MECHATRONICS ENGINEERING AND ELECTRICAL ENGINEERING

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 PROCEEDINGS OF THE 2014 INTERNATIONAL CONFERENCE ON MECHATRONICS
ENGINEERING AND ELECTRICAL ENGINEERING (CMEEE 2014), SANYA, HAINAN, P.R. CHINA,
17–19 OCTOBER 2014

Mechatronics Engineering and

Electrical Engineering

Editor
Ai Sheng
Information Science and Engineering Technology Research Association (ISET),
Hong Kong, China

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ISBN: 978-1-138-02719-0 (Hbk)

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Table of contents

Preface xi
CMEEE 2014 committee xiii

Battlefield situation cognition system based on big electronic reconnaissance

data processing 1
S.M. Xu, H.B. Yu & F.H. Chu
Automatic recognition of waste rock in top coal caving based on digital image processing 5
B.P. Wang, Y.J. Wang & Z.C. Wang
The application of Dijkstra algorithm based on multi-weighted distribution in GIS 9
Sh.M. Wang, H.T. Luo & B.W. Wang
Design of battery charging and discharging circuit 15
H.Q. Zhan & Z.P. Li
Automatic flight control of a certain UAV using LQG design 19
Sh.Y. Zhang
Research on online and remote calibration technology of electronic belt scale based on weights
superposition method 23
X.P. Shang, H.Y. Chen & Z.W. Huang
The application of wavelet filter in static synchronous compensator 27
L. Zhang & N. Liu
Fractional-order differential application and research in pavement cracks image enhancement 31
W. Jiang, Y.W. Liu & H. Zhang
Molecular algorithm in solving the shortest path problem of the application and research 37
L. Zhang
A method about video quality assessment in video phone service over 3G network 43
C. Feng, L.F. Huang & W.J. Xu
Analysis on the degree of the international fragment of China’s manufacturing industry based
on processing trade 49
Y.H. Yang
The voltage-controlled low-pass filter based on FPGA frequency measurement 53
Sh.Q. Ma, L.R. Zheng, J.F. Liu & Y.P. Ji
Departure capacity assessment of close staggered parallel runways 59
J.G. Kong, X. Li & W.B. Ding
The control design of blast furnace clay gun play mud quantity 63
B.H. Jiang, J. Mei, X. Zhao, D.C. Gao & H. Liu
Research and implementation of coal traffic video management system based on the technology
of image tracking and recognition 67
S.J. Jin
Residents air conditioning load management model studies and impact analysis 71
B. Li, S.W. Li, S.X. Zhang, X.S. Jing, F. Wu & X.J. Weng

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 Multi-objective optimized scheduling for hydro-thermal power system 77
W.J. Liu & P.F. Cheng
An optimal space-borne Solid-State Recorder based on domestic chips 83
S. Li, Q. Song, J.W. Song, W. Wang, Y. Zhu & J.S. An
Study on additional damping controller for VSC-HVDC to prevent
low-frequency oscillation 87
Z.H. Wang, Y. Li & X.Y. He
Lightning surge analysis for 220 kV AC double circuit transmission line using LPTL 91
Y. Ma, C.S. Liu, Y. Liu, G. Chen, T.X. Xie, Z.C. Zhou & F.B. Tao
Fault analysis of Metal Oxide Varistor (MOV) for series compensation capacitor banks 97
Y. Ma, Y. Liu, P. Li, G. Chen & Z.Z. Zhou
Experimental study of the human retinal security by LED light 103
L. Zhao, L. Lu, Sh.Y. Ren, L.Q. Geng & C.T. Li
Analysis of the phenomenon in LFO of AC electric locomotive 109
J.J. Ding, Y. Tu & S.B. Gao
The prototype of fatigue damage detection by the method of Metal Magnetic Memory Testing 115
X.Y. Yu & X.Y. Fu
Rotor composite faults diagnosis of asynchronous motor based on complex power 119
Zh. Wang, Zh.F. Lin, Ch. Li & Zh. Zeng
Commissioning and operation of Heze some leather wastewater treatment plant 125
K. Wang, B. Liu, H.D. Zhang & W. Zhao
Engineering depth treatment of pharmaceutical wastewater by magnetization catalytic
oxidation-A2O-MBR combined process 129
W. Zhao, B. Liu, H.D. Zhuang, K. Wang & H.D. Ji
Study of broadband microstrip circulator using YIG single crystal 133
Zh.Q. Cheng, Y. Luan, M.Sh. Jia & X.X. Lian
Decoupling mechanism for suspension laryngoscopy using a curved-frame
trans-oral robotic system 137
X.Y. Fu, X.Y. Yu & J.T. Seo
Calculation and analysis on shunt coefficient of short-circuit current inside Fuzhou 1000 kV
Ultra-High Voltage substation 141
B. Zhang, B. Tang, W.H. Ma & J.Y. Zou
Mechanical analysis of reliability test device of Head-Up Display’s retraction and extension 147
Y.G. Liu & Y.X. Wang
Study on electromagnetic loop rejection in Liaoning power grid 151
K. Gao & Zh.H. Wang
Study on effect of evaluating corrosion inhibitor for circulating cooling water
in dynamic simulation method 155
Y.P. Li, Y. Li & F. Liu
Research on the impulse current dispersal characteristics of tower grounding devices 159
Ch.Ch. Zhu, T. Wang, X.F. Tong, P.X. Xing, Zh.Q. Feng, H.L. Lu & L. Lan
Innovative design of centrifugal oil press 163
C.Q. Zhong & Y.L. Zhang
Analysis of the centrifugal oil press vibration 167
C.Q. Zhong & Y.L. Zhang
HPLC method for determination of concentration of Nifekalant in human plasma 171
X. Xie

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 Research of over-voltage in air-core reactor using Waveform Relaxation
based on Lanczos 175
L.M. Bo, B. Bao & Y. Xu
The design of automatic sorting and staking system based on PLC S7-200 181
L.Y. Fang, X.Y. Zhou, F.G. Wu & X. Zhang
Study of dynamic optimized allocation policy for AGC regulation power based
on fuzzy-Q learning algorithm 187
H. Qian, L. Zhou, W.X. Jin & J.B. Luo
Fault diagnosis of rolling bearing based on Fisher Discriminant Analysis 195
W.B. Zhang, Ch.G. Liang & G.Ch. Li
The voltage coordinated control strategy of the power grid which includes
large scale wind power 199
R. Shi, R. Jiao, Z.J. Chi & X.N. Kang
Research on predict Direct Capacitor Power Control of voltage source PWM rectifier,
applied to electric vehicle charging and discharging field 203
Ch. Gong, L.F. Ma, Zh.J. Chi, W. Li, B.Q. Zhang & Y.T. Zhao
Development of 2500V SMB-seagull SiC JBS diodes 209
G. Chen, Q.M. Zhang, S. Bai, A. Liu, L. Wang, R.H. Huang, D.H. Li & Y.N. Li
Feature-based intelligent machining method based on NX 213
X.H. Zhan & X.D. Li
The application of Analyze Formability-One-Step in progressive die strip design 217
X.D. Li & X.H. Zhan
The research on the signal reconstruction of the angular rate sensor 221
L.Y. Yuan, W.G. Zhang & X.X. Liu
Research on the application of Beidou and GPS dual-mode timing system
in the space flight tracking ship 225
F. Zhang, Y.B. Ren & Y. Zhou
Study of the wind-thermal allocation ratio for wind and thermal bundled power
as a source to participate in power planning 229
X.M. Cao, T.Q. Liu, X.T. Hu, Z.H. Chen, F.J. Wang & T.Y. Guan
A design method of inductance-capacitance filter circuit for reducing current harmonics
of high-speed motor 235
Y.Q. Mo & P.J. Dong
Burr detection algorithm based on machine vision 243
Zh. Shi, Ch.L. Xi, H.L. Li, F.Sh. Tan & J.F. Yan
Numerical simulation and experimental study on the anti-overload ability of cylindrical
roller bearing in a short time 249
Y.G. Ni, Y. Li, S.E. Deng & X.F. Li
Numerical simulation and analysis of wavefront reconstruction iterative method
in radial shearing interference 255
Y.F. Wang & Z.S. Da
Minimization of stator loss for high speed permanent magnet motor 259
X.Q. Liu
Iterative Adaptive Algorithm based on the cross covariance matrix of acoustic pressure
and particle velocity 265
C.R. Zhang, J.F. Cheng & B.L. Ma
A method to establish a continuous operational reference station in urban districts 271
S.B. Wang, X.J. Du, H.J. Li & W.P. Xu

vii

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 The research on the leak repairing method of the recoil mechanism 275
N. Li, W. Jiang, H.P. Guo, S. Wang & L.M. Chen
Image retrieval research based on feature points and affine invariant moments 279
B.Q. He & Z.M. Wang
Research on Electric Vehicle development in Beijing 285
L. Zhang, M.Y. Pan, Z.J. Chi, Y.X. Chen & X.N. Kang
Lubrication performance analysis of three axial-grooved gas-lubricated journal bearing
with micro grooves 291
Y.J. Lu, F.X. Liu, Y.F. Zhang, C. Tian & M. Li
A new configuration of current source converter applied in HVDC 297
J.Y. Zhao, F.M. Zhang, F.G. Liu & Y.H. Liu
Application of high-order grey forecast model in the short-term load forecasting 303
X.Y. Huang & L. Yang
Offshore wind power scale development trends and related policy research 309
Y. Zeng, J.S. Luo, X.L. Wang, P. Song, H.W. Huang & H.L. Bao
A power response characteristics equivalent model for the hybrid energy storage system 313
P. Chen, F. Xiao, X.W. Wang, H. Yang, Z.L. Yang & L.J. Wang
The research for power allocation strategy of the hybrid energy storage units
in distributed generation system 319
Z.L. Yang, P. Chen, L.J. Wang, Y.H. Wang, F. Xiao, X.W. Wang & H. Yang
Research on the control of temperature of batch reactors by multi-media in the reactor jacket 325
H.B. Li, D.Y. Feng & H. Liu
Three-phase voltage source PWM rectifier based on space-vector algorithm and one-cycle control 329
L.F. Ma, Ch. Gong, Zh.J. Chi, J.M. Cao & L. Zhu
Joint positioning method with radar based on wavelet entropy 335
H. Yu, J. Liu, M. Wang, R. Guo & Y. Yang
Optimal design of locking pin for surface AUVs launcher under uncertainty 341
S.Q. Yang
A low temperature drift and heavy load bandgap reference voltage with adjustable output 345
X. Xu & J. Jiang
Analysis of energy coupling between the computer chassis and electromagnetic pulse 349
J. Liu, Y.F. Wang, Z.X. Chen & C.D. Yu
Analysis of electromagnetic shielding effectiveness of the chassis with holes under
different polarization directions 353
Q.B. Deng, C.D. Yu & Z.P. Lian
Analysis of characteristic parameters of pulse impact on the electromagnetic
coupling of the chassis 357
C.D. Yu, Z.X. Chen, Y.F. Wang & J. Liu
A new type of control method for the variable-speed wind turbines based
on the PID neural network 361
T. Li, X.Y. Hou, H.Y. Lin, Q.Y. Liu, L. Zhao & H.J. Liu
Research on the control method for the torque of wind generator based on data-driven 365
T. Li, X.Y. Hou, H.Y. Lin, L. Zhao, H.J. Liu & Q.Y. Liu
Construction of robustly stable interval polynomial 369
T.A. Ezangina, S.A. Gayvoronskiy & S.V. Efimov
A MEMS digital seismometer with new structure 373
J. Guo & S.H. Xu

viii

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 A type of real-time vibration monitoring system based on Ethernet and RS-232 377
S.H. Xu, J. Guo & P.P. Li
Study on the transient voltage stability of distribution systems considering large-scaled
dispersed EV charging 381
Y.X. Chen, Z.J. Chi, P.W. Zheng & X.N. Lin
Fault diagnosis and failure rate analysis of power transformer based on cloud
relation space model 387
L.J. Guo & S.M. Tao
Analysis on technical innovation and regional disparities growth of China 391
J. Xiong & W.W. Zhang

Author index 395

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Preface

The 2014 International Conference on Mechatronics Engineering and Electrical Engineering (CMEEE2014)
was held October 18–19, 2014 in Sanya, Hainan, China. CMEEE2014 provided a valuable opportunity
for researchers, scholars and scientists to exchange their new ideas and application experiences face to face
together, to establish business or research relations and to find global partners for future collaboration.
CMEEE2014 was a most comprehensive conference focusing on Mechatronics Engineering and Elec-
trical Engineering. The papers in this book are selected from more than 500 papers submitted to the
2014 International Conference on Mechatronics Engineering and Electrical Engineering (CMEEE2014).
The book is divided into 4 sections, covering the topics of Mechatronics, Electrical Engineering, Control
and Automation and Other Engineering. The conference will promote the development of Mechatron-
ics Engineering and Electrical Engineering, strengthening international academic cooperation and
communications.
We would like to thank the conference chairs, organization staff, and the members of the International
Technological Committees for their hard work. Thanks are also given to CRC Press/Balkema (Taylor &
Francis Group).
We are looking forward to seeing all of you next year at CMEEE2015.

Yizhong Wang
Tianjin University of Science and Technology, China

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

CMEEE 2014 committee

ORGANIZER

Information Science and Engineering Technology Research Association (ISET), Hong Kong, China

CONFERENCE CO-CHAIRS

Ai Sheng, Information Science and Engineering Technology Research Association (ISET), China

Yizhong Wang, Professor, Tianjin University of Science and Technology, China

COMMITTEE

Jihe Zhou, Professor, Chengdu Sport University, China

Hongmin Gao, Professor, Beijing Institute of Technology, China
Chunguang Xu, Professor, Beijing Institute of Technology, China
Haitao Li, Professor, Southwest Petroleum University, China
Zhiming Liu, Professor, Liao Ning Institute of Science and Technology, China
Shanglin Hou, Professor, Lanzhou University of Technology, China
N.K. Sharma, Professor, The Glocal University, India
Kanglin Wei, Professor, Chongqing University, China
Je-Ee Ho, Professor, I-Lan University, Taiwan
Chunpeng Li, Professor, Quanzhou Normal University, China

xiii

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Battlefield situation cognition system based on big electronic

reconnaissance data processing

S.M. Xu, H.B. Yu & F.H. Chu

Electronic Engineering Institute, Hefei, China

ABSTRACT: Grid electronic reconnaissance system can be concentrated in a certain area in the layout,
interconnection and interflow, share collaboration between nodes, the overall performance is high, and
the battlefield environment cognitive ability is improved greatly. This paper constructs the network elec-
tronic reconnaissance system and situational cognitive system, using big data analysis and processing, to
make the data more relevant and more convenient, so that the battlefield is more transparent.

Keywords: Electronic Reconnaissance; Big data; Battlefield situation; Cognition

1 INFORMATION BATTLEFIELD 2 BATTLEFIELD SITUATION COGNITION

Since the 21st century, the development of informa-
tion technology has greatly promoted a revolution
in military affairs, information-based war, fighting
methods and operational ideas, and leading role
of the military war process technology is played
by information technology. Battlefield command
relies on to the microelectronic technology, com-
munication technology and computer technology
as the core of the command and control system.
Battlefield reconnaissance, surveillance and evalu-
ation need all kinds of advanced electronic, optical
sensing devices. Assault weapons rely more  on a
variety of precision-guidance technology sup-
ported by information technology.
In the information battlefield, all kinds of elec-
tronic equipments are playing an increasingly
extensive role. For example, all kinds of station of
radio communications equipment, loading on a
variety of combat platform, always undertake the
significant role for combat troops to provide com-
mand, control, communication and intelligence.
Electronic reconnaissance field is an important
means of battlefield situation cognition, especially
to the particular area of the battlefield radio source
signal to search, intercept, measure, find direction,
position, monitor, analyze, recognize and get access
to its technical parameters, function, type, location
and purpose. Battlefield electron reconnaissance
based on the real-time monitoring data and histor-
ical data fusion processing further forces the cur-
rent location and trend of know each other, so as
to analyze its military deployment and operational
plans, etc., to achieve the enemy and know your-
self. Therefore, it is of great military significance.
Situational cognitive process is a complicated
human–machine system, involved in the physical
domain, information domain and cognitive domain
fields. The battlefield originates in the real environ-
ment of battlefield of physical domain. The collec-
tion, process and distribution of information occur
in the information domain. The cognition for share
situation map and decision on this basis forms in
the cognitive domain, as shown in Figure 1.
Physical domain is the practical condition from
different fighting equipment, combat platform,
command and control system which carry all kinds
of electronic device, such as radio. Physical domain
is the place where information comes from and
decision result backs feed.
Information domain contains the information
perception, fusion, storage, transmission of battle-
field electromagnetic radiation, and then shares the
trend chart to decision maker for decision making.
Figure 1. Principal diagram of battlefield situation cog-
nition progress.

CMEEE_book.indb 1 3/20/2015 4:09:53 PM

 Figure 2. Data, information and knowledge hierarchy.
Cognitive domain is the domain where decision
makers accomplish situation perception, cogni-
tion, comprehension, inference, decision, etc. Cog-
nitive domain exists in the decision maker’s mind
and it is the source of value, belief and decision.
Battlefield situation cognition accomplishes the
process from collecting, analyzing and processing
of the electronic reconnaissance data to battlefield
situation knowledge acquisition. The meaning of
data, information and knowledge is different, and
also there is a connection on some level.
Data is in a formalized way for a kind of fact
and concept, suitable for the person or automatic
device for communication, interpretation and pro-
cessing, it is any meaningful or gives the meaning
of the expression form, such as characters or num-
bers. In computing, data are input to the contents
of a computer program, they through the process-
ing of arithmetic or logical operations, obtain the
result of processing. Here, compared with the word
“information”, “data” refers to the source data or
raw data, and “information” is defined as the data
obtained through the study of the processing of
data.
In general, the so-called knowledge or cogni-
tion is acquired in the practice of transforming the
objective world people’s basic concept, knowledge,
experience and laws, and it is the foundation of
human intelligence activity. From the computer
science point of view, knowledge is the result of
information integrated processing and, in the pro-
cess of comprehensive information through mutual
comparison, combined into meaningful links.
As shown in Figure  2, the bottom is the data,
which is the source of information and original
information, express information in data can be.
Information comes from processed and organ-
ized data. After summing up and summarizing,
information becomes knowledge. The higher the
position in the pyramid, the higher the level of
abstraction. Furthermore, with the increasing
level, the less the data required to express.
CMEEE_book.indb 2
Figure 3. Networked electronic reconnaissance system
architecture.
3 GRID ELECTRONIC
RECONNAISSANCE SYSTEM
Single electronic reconnaissance equipment altho-
ugh is designed to be powerful, in the use process
due to the frequency coverage and limited space
covering function, the signal intercept probability
is not high, the signal source interactivity is not
sufficient, equipment between the data sharing is
not strong, and correlation analysis is not enough.
Therefore, the battlefield signal reconnaissance
and intelligence analysis under complicated elec-
tromagnetic environment is very difficult.
As shown in Figure  3, networked electronic
reconnaissance system using low-cost RF-sensors,
can decorate in the densely populated area, form-
ing a grid network, and improve the traditional
radio spectrum monitoring “point to surface”
monitoring mode, solve the problem of the inte-
gration between the information system and real-
ize the data interaction and information sharing.
Compared with a single high-performance compu-
ter, the grid technology has a much more power-
ful processing capacity, the degree of information
integration and sharing is relatively high. Grid
reconnaissance is on the existing network technol-
ogy to establish a higher level, more comprehensive
resource sharing and its computing technology is
more advanced.
4 BIG DATA PROCESSING
In network electronic reconnaissance system, as
data are obtained continuously from all kinds of
sensors, the data quantity is growing at an unprec-
edented rate, and due to the increasing amount of
data and a variety of data format, data organiza-
tion, analysis and storage have become difficult,
3/20/2015 4:09:53 PM
 which also makes it increasingly difficult to get the
valuable information quickly.
At present, the data of networked electronic
reconnaissance system faces several main charac-
teristics: (1) With the full spectrum of information
awareness growing demand, information aware-
ness band continuously widened, from long to
short wave, from ultra-short wave to microwave, all
the way to the millimeter wave, the terahertz. At
the same time, various broadband radar, the emer-
gence of broadband communication system, also
to instantaneous processing bandwidth require-
ment enhances unceasingly, causes the AD rate
rising, thus the amount of data obtained signals
intelligence reconnaissance is growing rapidly. (2)
The detection signal is more and more complex,
and there are many different kinds of modulation
mode. According to the purpose of transmission,
transmitting signals can be divided into commu-
nication signals, radar, radio fuze signal, guidance
signals, navigation, etc. According to the signal,
spectrum can be divided into long-wave, medium-
wave and short-wave signals, ultrashort-wave sig-
nals, microwave, infrared signals, such as the laser
signal. According to the way of electromagnetic
wave propagation, signals can be divided into sur-
face wave signals, ground wave, the sky wave signals,
troposcatter, etc. Therefore, many complex signals
make data analysis and intelligent extraction more
and more difficult. (3) Huge amounts of data con-
tain a large amount of noise or interference, as well
as various signals of their own. Military intelligence
reconnaissance need to find out little but useful
information in the dense signal in a timely man-
ner. (4) Military intelligence reconnaissance needs
high instantaneity, ideally need real-time analytical
information content, which require high processing
speed. Therefore, networked electronic reconnais-
sance system has entered the era of big data.
The author of Big Data Era, Viktor Mayer-
Schönberger said “the real value of the big data
is just like the iceberg floating in the sea, one eye
can see only the tip of the iceberg, the vast major-
ity of all hidden under the surface”. If big data is
compared to an industry, the key to profit of this
industry is to improve the processing capacity of
the data and value-added by processing data. Also
because of this, many experts say it is the era of the
three pillars of data, technology and thinking. We
not only need huge amounts of data, but also ana-
lyze the data of professional skills to set up inno-
vative thinking in a unique way for the potential
value of the depth of mining data.
Therefore, the big data technology is applied to
network electronic reconnaissance system, in order
to realize the extract valuable information from
large data and then for the purpose of the auxiliary
decision-making. Big data technology application
CMEEE_book.indb 3
in the field of networked electronic reconnaissance
mainly includes the following: (1) Big data analysis
is used for multi-source information fusion. It is the
main task of the multi-source information fusion
based on mass, multi-source, multi-type data (such
as text, images, video and voice), they are related
and converted to all kinds of special intelligence
(e.g., Communications Intelligence (COMINT),
Electronic Intelligence (ELINT), Radar Intel-
ligence (RADINT), remote sensing information
(TELINT)). (2) Big data analysis is used for rela-
tionship analysis. In grid electronic reconnaissance
system, information in the process of intelligence
analysis from a single node (i.e., point) is not
enough to support decision making and the rela-
tionship between each unit (i.e., line and surface)
is analyzed. Relationship analysis is one of the
big data analysis mainly used in the field of intel-
ligence, and eventually it generates comprehensive
information support needed for the decision. (3)
Big data analysis is used for situational cognition.
The network electronic reconnaissance system of
many sensors will produce massive monitoring
data, as well as the long-term accumulation of his-
torical data for processing and analysis. Through
the combination of perception, cognition and
decision support in innovative ways to use huge
amounts of data, commanders greatly improve the
ability to extract high value information from huge
amounts of data and the cognitive ability of the
battlefield environment, able to control and make
decisions independently of autonomous system,
fundamentally change decision model to improve
the ability of rapid response.
5 CONCLUSION
A kind of grid electronic reconnaissance system is
built on the concept of big data network architec-
ture, and big data technology is used in the data
processing and intelligence analysis process with
the real-time monitoring data produced by many
sensor and the long-term accumulation of his-
torical data, so the cognitive ability of command-
ers on the battlefield environment is significantly
improved through the combination of perception,
cognition and decision support.
REFERENCES
[1] Big data in 2020[EB/OL]. [2012-12-24]. www.emc.
com. 2012.
[2] TERRY COSTLOW. Big Data Pose Big Challenge
for Military Intelligence[Z]. Defense systems. 2012.
[3] Wang Fu-rong. The analysis and application of grid
radio monitoring and management, Zhejiang univer-
sity of technology master’s thesis, 2013.03.
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 [4] Viktor Mayer-Schnberger. Big Data Age, Zhejiang
people’s publishing house, 2013.01.
[5] Yang Xiao-niu, Yang Zhi-bang. The next genera-
tion of signals intelligence reconnaissance system
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CMEEE_book.indb 4
[6] Tang Shan-hong, Xu Hong-ru. Big data: power tech-
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[7] Wang Shan, Wang Hui-ju. Architecture: big data
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Automatic recognition of waste rock in top coal caving based on digital

image processing

B.P. Wang & Y.J. Wang

Shandon Jiaotong University, Jinan, Shandong, China

Z.C. Wang
School of Mechanical Engineering, Shandong University, Jinan, Shandong, China

ABSTRACT: The recognition of the waste rock in top coal caving was investigated via digital image
processing. First, the hydraulic support was processed to install the capture device. Subsequently, the images
were pre-processed by median filter. Finally, the histograms were obtained and the parameters were also
calculated. Three statistical characteristics which were mean, variance and energy were extracted from the
histogram. The results show that the variance can be regarded as a feature to recognize the waste rock.

Keywords: coal-rock interface recognition; digital image procession

1 INTRODUCTION is shown in Figure 1. Because of poor lighting at

the site, the image-capture device needs to have its
Fully mechanized top coal mining is a high-yield, own lighting equipment. The device gets the images
low-power and efficient technology. It has been and transfers them to the signal-receiving device by
popularized. In the top coal mining process, one the wireless transmitter. Figure  2  shows the con-
of the problems encountered is how to monitor nection diagram of the required hardware.
the degree of the caving. Now it relies on the arti-
ficial visual judgment. So security problems occur 2.2 Image processing
because of the dusty conditions. And also manually
it is difficult to accurately monitor the top coal cav- The purpose of pre-processing is to make the image
ing fall extent, and so sometimes the coal mining did clear. The median filter is an effective method that
not finish, and sometimes it mined rock. And there- can suppress isolated noise without blurring sharp
fore it inevitably leads to over-caving process and edges[4]. When performing median filtering, each
less-caving status. Over-caving status increases the pixel is determined by the median value of all pixels
content of waste rock, and leads to high transport
costs. Over-caving will lose coal, resulting in reduced
recoveries. So there is an urgent need to study the
automatic identification of waste rock. Many
researchers have done a lot of research on this issue,
and have achieved certain results. The γ ray, infrared
and radar reflection methods are used to solve the
problem[1–3]. However, there is not a reliable method
yet. In this paper, a digital method is discussed.

2 APPROACH

2.1 Sample image acquisition

In order to obtain clean images, the hydraulic sup-
port is processed. The capture device is placed in the
back of the tail beam. The location of installation Figure 1. The installation of the camera.

CMEEE_book.indb 5 3/20/2015 4:09:53 PM

 where N is the total pixels and ni is the number of
pixels whose grey scale is ri.

3 COAL–ROCK INTERFACE
RECOGNITION

The images were collected in Xinglong Zhuang

Coal Mine. The median-filtered images of coal and
rock are, respectively, shown in Figures  3 and 4.
Contrasting the two images, some difference can
be found. The coal is black, while the rock is essen-
tially grey. The corresponding histograms are

Figure 2. The hardware connection diagram.

in a selected neighbourhood (mask, template,

window). The median value m of a population (set
of pixels in a neighbourhood) is that value in which
half of the population has smaller values than m,
and the other half has larger values than m.
Mathematically speaking, the grey-level histo-
gram is the function of grey-level statistical prop-
erties and grey values. It expresses the proportion
of areas or pixels of different grey scale in a whole
image. It reflects the statistical characteristic of
an image and also expresses the proportion of
areas or pixels of different grey levels in a whole
image[5]. Based on the significant difference in the
grey level of the coal and rock, it can be obviously Figure 3. The image of coal.
known that the information contained in an image
of the coal or rock is very different. Three statisti-
cal characteristics,[6] which are mean, variance and
energy, from the histogram are extracted as the
characteristic parameters to distinguish the coal
and the waste rock.
Mean:
μ = aver(ri) (1)
Variance:

σ2 i μ )2 (2)

Energy:
255
s ∑ (ri − p(ri ) / σ 3
)3 p( (3)
i =0

A two-dimensional image is set for f(x,y), whose

scales range in r0, r1, …, r255. The histogram is:
P(ri) = ni /N (4) Figure 4. The image of rock.

CMEEE_book.indb 6 3/20/2015 4:09:54 PM

 after reflection. So the variance is large. The waste
rock is essentially grey. And the reflection perform-
ance is poor. So the variance is smaller than that
of the image of the coal. Therefore, the variance
can be as used as a feature to distinguish the waste
rock from coal.

ACKNOWLEDGEMENTS

This work was supported by the National

Natural Science Foundation of China (Grant No.
51174126), Shandong Science and Technology
Development Plan (Grant No. 2013YD05005)
and the Foundation Shandong Jitong University
Figure 5. The histogram of coal.
(Grant No. Z201315).

Table 1. Comparison of the statistical characteristics. REFERENCES

Mean Variance Energy [1] K.W. Plessmann, B. Dickhaus and S. Scheytt 1993
Control Eng Practice. 11 457.
Coal 145.9 825.9 6.9 [2] J. Asfahani and M. Borsaru 2007 Applied Radiation
Rock 153.3 263.0 6.1 and Isotopes. 65 748.
[3] Ren Fang, Yang Zhaojian, and Xiong Shibo 2003
Chinese Journal of Mechanical Engineering. 3 321.
[4] Information on http://www.cs.ioc.ee/∼khoros2/non-
linear/median-filtering/front-page.html.
shown in Figures 5 and 6. The calculation results [5] Xinli Song, Xifeng Zheng, Liqing Ling 2009 Chinese
are shown in Table 1. It can be found that there is a Journal of Liquid Crystals and Display. 24 140.
larger difference in the variance than the other two [6] Jeng-Horng Chang, Kuo-Chin Fan and Yang-Lang
parameters between the coal and the rock. Chang 2002 Image and Vision Computing. 20 203.

4 CONCLUSIONS

Coal is black. The grey value is relatively low

in the image of coal. But part of it is bright

CMEEE_book.indb 7 3/20/2015 4:09:58 PM

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

The application of Dijkstra algorithm based on multi-weighted

distribution in GIS

Shi-Min Wang, Hai-Tao Luo & Bo-Wen Wang

Beijing Technology and Business University, Beijing, China

ABSTRACT: Traditional Dijkstra algorithm gets the optimal path from the source node to the destina-
tion node through iteration of path length. In fact, the shortest path cannot always meet the demand, and
the path distance sometimes cannot be used as the only weight standard. This paper discusses a kind of
improved algorithm of weight allocation, which redistributes the weights according to the actual macro-
factors and joins in the coordinate analysis of GIS system and information such as actual traffic jams
coefficient, in order to make the optimal path selection more reasonable.

Keywords: weight distribution; shortest path; Dijkstra algorithm

1 INTRODUCTION 1.1 Weight distribution

Geographic Information System (GIS) is a kind of
comprehensive application system based on geogra-
phy and computer science, as well as communication
and space science, which is widely used in logistics,
city traffic, electric power facilities repair, fire rescue
etc. Its outstanding advantage is that it can plan the
best route to the destination quickly according to
the current geographic information, to provide ref-
erence for the rescue and driving. The path planning
system is a GIS, which usually uses algorithm such
as Dijkstra algorithm, Floyd algorithm and matrix
algorithm[1]. The Dijkstra algorithm is commonly
used in network topology, such as choosing a path in
wireless mesh network[2]. Because Dijkstra algorithm
adapts optimal path selection between two nodes
in the network path well, it is most suitable for the
application of decision in GIS system. This paper
uses Dijkstra algorithm based on multi-weighted
distribution in the path optimization in GIS.
Most path-planning algorithms stake the short-
est distance as the only standard, which are not
based on the requirements of the users. With the
development of economy and society, the shortest
distance has been difficult to meet the requirements
of the users, and people pay more attention to the
optimal path problem with multifactors and multi-
weights[3]. Strong analysis abilities of GIS provide
data to support multi-weighted path planning.
After improvement, the algorithm can propose
path planning scheme according to different cus-
tomers’ requirements, which is more realistic and
has more availability.
We can perform the acquisition and inputting of
information in the optimization process through
real-time information sharing in the GIS[4].
We classify the optimal path weights into three
parts: the transportation distance, road traffic and
transportation cost.
1. Transportation distance
Transport distance directly relates to fuel con-
sumption, vehicle wear and fatigue level of the
driver, which directly determines the economic
benefit. As the calculation of transport distance
is simple, it is the most used index to deter-
mine the distribution routes. The time from the
beginning to the end of delivery is accumulated
by adding the transportation time in highway,
waterway, railway, aviation, station and wharf
cargo.
2. Transportation time
Transportation time accounts for the major-
ity of the whole logistic time, especially
long-distance transportation. Therefore, short-
ening the delivery time is of decisive impor-
tance in the entire circulation time. In addition,
the short ending of transportation time relies
on accelerating the transportation turnover to
play its full effectiveness and improve the trans-
portation capacity.
3. Transportation cost
All costs incurred in the process of carriage gen-
erally refer to the total fees that the owners cost
including fees on roads, railway, aviation, trans-
fer and other related services.

CMEEE_book.indb 9 3/20/2015 4:09:59 PM

 1.2 The path search principle of GIS system
Road traffic network GIS system in route choice,
subdivided into three elements which is point,
line and plane, through the combination of these
three factors describes the specific physical loca-
tion, size, shape and other characteristics. The
point represents the converging points of two
or more than two roads (cross and through). All
roads abstracted into line, which is the connection
between point and point. Roads and road in the
line of the closed area become plane.
The form of node data’s storage is point number,
the abscissa, ordinate values and correlation line.
The form of line data’s storage is line number,
starting point, end point and the line weight.
The form of surface data’s storage is plane
data, the peripheral circuit data and data domain
node data.
Because of the above-mentioned character-
istics, envisaged by the improved and combined
with the spatial distribution of GIS Dijkstra algo-
rithm, the complex traffic network path selection
has a great help.
2 THE BASIC IDEA OF DIJKSTRA
ALGORITHM
2.1 The description of Dijkstra algorithm
Dijkstra algorithm is a typical algorithm based
on shortest path, which is used to calculate the
shortest path from a particular vertex to the other
vertices in the graph or network. Its main charac-
teristic is that it starts from the center point and
expands outward layer by layer until all vertices are
covered.
The thought of Dijkstra algorithm is as follows:
Assume G  =  (V, E) for a weighted directed
graph, and divide the vertices graph in set V into
two groups. The first group is the set of vertices for
which shortest path has been found (it is expressed
as S). There is only one source point initially, and
vertex with the shortest path will be added in the set
S, until all vertices are added to the S. The second
group is the set of vertices for which shortest path
has not been found (it is expressed as U, U = V−S,
the vertices in set U are added to set S constantly
until U is empty, S = V). In the process of U enter-
ing S, it must be guaranteed that the shortest path
from source point to each vertex in S is less than
or equal to the shortest path from source point to
each vertex in U.
2.2 The execution steps of Dijkstra algorithm
Assume n as the number of vertices in graph
G  =  (V, E). The distance[n] is a collection of the
10
CMEEE_book.indb 10
shortest path length from the source point to each
end point, the path[n] is a collection of the corre-
sponding path, S is the set of shortest path which
has been found, U = V−S is a set of all vertices not
containing the source point initially.
1. There is only a source point ‘a’ in the set S of
the shortest path solved in the initialization,
S = {a}.
2. Select a vertex K which has a minimum distance
to a source point v from U. Add k in the set S,
the selected distance is the shortest path length
from the v to k, and the edge does not constitute
a loop.
3. Take k as the new middle point, and modify
the distance of each vertex in U. If the distance
from source point v to vertex u is shorter than
the original distance, modify the distance value
of vertex u, so the modified distance is the addi-
tion of distance of k and the weight value from
vertex k to edge u.
4. Repeat the steps of (2) and (3) until all vertices
are contained in S.
As the above-mentioned steps of the algorithm
shows, the core step in the process of Dijkstra
algorithm is selecting a minimum weight link node
which is never labeled. Distribution of weights has
become an important factor affecting the final
result of the algorithm. In addition, Dijkstra algo-
rithm is based on the single index (path length)
to choose the path. Multi-objective path weight
selection cannot be directly solved by it. It needs
a corresponding weight conversion. The following
Dijkstra algorithm was used to improve the single
weight.
3 IMPROVEMENT OF THE DIJKSTRA
ALGORITHM BASED ON THE DGIS
3.1 The disadvantages of Dijkstra algorithm
The traditional Dijkstra algorithm simply takes
the distance as the only standard of path selection.
However, in real life, we have to consider the cost
to achieve optimized configuration of cost and
time, namely the lowest cost of logistics under the
dual constraints of cost and time.
3.2 The algorithm model
The problem of multi-objective optimal path
between two points of the model is shown in
Figure 1.
Set a directed graph, directed line segment
number is s, Directed line segment representation
of road links between each node, m nodes, nodes
are connected by a directed edge, for each edge of
directed graph, gives the multiple target weight,
3/20/2015 4:09:59 PM

Figure 1. Multi-objective optimal path model.
they are the transportation distance, transporta-
tion time and transportation cost. The path of the
selected target weight is the sum of all sections of
the target weight. Out the optimal path between
any two nodes in the graph in accordance with
customer demand.
3.3 Improvement of the algorithm
According to the analysis of the multi-weights, we
can use three methods to improve the algorithm.
For the three factors of path (i, j), we record
transport distance as L, the transportation time as
T and integrated transportation costs as S.
For the path, assume that the evaluated value of
path (i, j) is P, and we can get:
Pij = m1L + m2T + m3S
as the scale of addition, in which m1, m2, m3 are
constants and can be adjusted according to differ-
ent constraints.
There is a path between any two nodes i and j
including n sections, so the weights of Pij can be
expressed as
Pij = m1 ∑ n =1 L + m ∑ n =1 T m3 ∑ n =1S
k k k
In GIS, collection of edge information can be
represented by the edges of road length, average
speed and vehicle fuel consumption, and the edge
of the weight is made up of these information.
A path distance, driving along this path of oil con-
sumption and so on are all terms by super impos-
ing the corresponding weights are calculated. For
along this path the time required, can first use the
average speed of the edges of each edge length
divided by, then find the required on each side.
When asked, finally put these time superposition.
That is to say in the GIS, most constraint informa-
tion have the additivity.
The first method: simplify some weights of the
section. Considering various factors of the section
11
CMEEE_book.indb 11
(transportation cost, transport distance,) give a com-
prehensive weight for each section, and then use the
comprehensive weight as the target weight, accord-
ing to Dijkstra algorithm based on the shortest path,
and take the shortest path as the optimal path.
The second method: take a target weight of the
path as the key target weight, the shortest path of
N single weights can be found by the single weigh.
Then calculate each target weight of the N paths.
Give the weights of three sections, which are trans-
portation distance, time and cost. Taking transpor-
tation distance as the main weight, N optimal paths
will be found through the analysis of the shortest
path. Then the other weights of these N optimal
paths will be listed, customers can choose the path
according their own will.
The third method: take each target weight of the
section as the main target weight in turn, and find
the shortest path of the former N paths. In this
paper, there are three target values in each section,
so 3 N better paths can be got. Then the weights
of 3  N paths are calculated, so users can choose
the path which meets their own needs in the 3 N
optimal paths.
The first method is not only a simple algorithm,
but also its shortest path is the optimal path. How-
ever, it is the comprehensive value that is assigned,
because the unit of each target is different, the func-
tional relation between the comprehensive weights
and each target weight is difficult to determine. And
the customer’s demands are various—different cus-
tomers will have different needs in different time, so
fixed coefficient is obviously not suitable. This algo-
rithm relies more on the customer experience, and
sometimes users need to adjust the relation function
between the integrated weight and the target weight
constantly according to the feedback information.
The second method and the third method give N
and 3 N optimal simple paths according to the tar-
get weight of the sections, and give the weights of
each path. The algorithm is reasonable and con-
vincing. Which is the optimal path in user’s mind
is not given by the algorithm, but is selected by the
user according to the calculated results.
However, the second method and the third
method are still different. The second method uses
a target weight as the target weight to find the alter-
native path, and the third method treats the objec-
tive weights equally to make full use of the existing
data. In the actual demand, 8–9 alternative paths
have been able to meet the needs of the users. In
the third method, we give three target weights, so
nine paths can be given.
3.4 The advantage of improved algorithm
There is not only one factor of length in the prob-
lem of path planning, but there are still many
3/20/2015 4:09:59 PM
 Table 1. Nine alternate sections weight of the path.

Main target Source End Mean of transportation

value point Middle vertex point distance (meters)

Transportation 1 2-7-18-24-33-36 37 1324

distance 1 2-7-17-24-29-36 37 1359
1 2-7-18-24-30-35 37 1367
Transportation 1 2-7-18-24-33-36 37 1359
time 1 2-7-18-24-30-35 37 1367
1 2-5-14-21-25-31 37 1372
Transportation 1 2-7-17-24-29-36 37 1359
cost 1 2-7-18-24-33-36 37 1324
1 2-7-18-24-30-35 37 1367

factors that need to be considered. Some users pay
attention to transportation time, while some users
focus on transportation costs, and usually other
factors such as roads also need to be considered.
After the algorithm improvement based on multi-
weights, the path selection is more reasonable. To
classify the weights according to the actual mac-
roeconomic factors can meet the needs of dif-
ferent users.
4 REALIZATION AND RESULTS OF THE
MULTI-WEIGHTED OPTIMIZATION
ALGORITHM
We searched road images of a city in China via
Google earth, and made a statistics on the road
information according to GIS. We get 37 nodes,
117 sections, in which the starting point is 1 and the
end point is 37. We processed each target weights.
After processing, we can get transportation length,
transport costs, and transport time mean and
variance. We took the path length and the cost of
the vehicle through as a fixed value, and the time of
the vehicle through a section as a random normal
variable. We took path length, transportation cost
and transportation time as target values in turns
to obtain three simple shortest paths. This paper
assumes that transportation time is not relevant, so
it is convenient to estimate the variance of trans-
portation time after getting the nine paths.
We take the third method as the basic algorithm,
run Dijkstra algorithm mainly based on transpor-
tation length, and get nine alternate sections cor-
respondingly. The point and the target weight of
the path are shown in Table 1.
The results of the third method not only gives
nine paths, but also lists the transportation dis-
tance, transportation cost, and the mean and
variance of transport time for each path. Due to
there are repeated path in seeking 3 simple short-
est path switch different target weight, though we
got 9 alternative paths initially, there are few alter-
native paths eventually. In order to increase the
number of final alternative paths and make user
have more non-quantitative factors in the final
decision, when the final alternative paths are few
in number, we can increase the number of k under
the condition of constant m, in order to make the
number of final output conform to the needs of
the users.
This paper analyzes the current situation of
optimal path research, based on the previous
research, and it obtained the following results:
1) This paper analyzes the models of optimal path
and related algorithm combined with the actual
situation of our distribution center, and also puts
forward the multi-weight optimal algorithm. 2) In
the multi-weight optimal algorithm, there are not
only fixed target weight but also random variable
target weight in each section (fixed mean and vari-
ance, but not necessarily limited to normal distri-
bution), in order to expand the optimization goal
further and more accord with the reality. 3) It puts
forward the method to solve the problems existing
in multi-weight optimal algorithm. Especially for
the algorithm in which each target weight plays the
role of weight in turns, this algorithm can make
full use of the data to provide multiple paths, and
the algorithm is less complex compared with the
algorithm based on single target when provid-
ing the path of the same number. The paper lays
a good foundation for further study on integrate
algorithm of the GIS.
REFERENCES
[1] Gu ling-lan, The Optimization of Dijkstra in
GIS Route Analysis. Department of computer
Engineering, 2006, 34(12):54–56.
[2] Tang wen-wu, Shi xiao-dong. The Calculation of
the Shortest Path Using Modified Dijkstra Algo-
rithm in GIS. Journal of Image and Graphics. 2000,
5(12):1020–1023.

12

CMEEE_book.indb 12 3/20/2015 4:10:00 PM

 [3] Shang jing. On the Shortest Path in Direction Diagram [7] Li yuan-chen. Liu wei-qun. Analysis of the Shortest
byDud Weight. Journal of Institute of Financial and Route in Network on Dijkstra Algorithm. Micro-
Commercial Management. 2008, 10(2): 21–22. computer Applications. 2004, 25(3): 296–298.
[4] Zhang mei-yu, Jiancheng-feng. Research on Dijikstra [8] Hao wei. Liu wan-qing. Shortest path algorithm for
algorithm in optimal path with multiple constraints rescue Vehicles based on GIS. Computer Applica-
of agricultural product distribution. Journal of Zhe- tions. 2008, 28: 104–108.
jiang university of technology. 2012, 40(3): 322–330.
[5] Fan yue-zhen, Jiang fa-chao, Design of Vehicle
Optimization route Algorithm. Department of
Computer Engineering. 2007, 28(23): 5758–5761.
[6] Zhang xin-yi. Wu jin-pei. An Implementation of
Path Planning Algorithm Applied to Vehicle Loca-
tion and Navigation System. Computer Automated
Measurement & Control. 2001, 9(4): 16–17.

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Design of battery charging and discharging circuit

H.Q. Zhan & Z.P. Li

Jiangxi Science and Technology, Normal University, Nanchang, Jiangxi, China

ABSTRACT: This study reports on the design of charging and discharging circuit based on operational
amplifier. Battery management is divided into charging (constant current and constant voltage), discharg-
ing and protection (overvoltage, under-voltage, over-current and over-temperature). At initial charging,
the battery uses constant current charging mode. When it reaches the rated voltage, it will switch to the
constant voltage charging status automatically. The battery supplies electrical power. When the discharge
voltage is less than the minimum voltage, it will convert to under-voltage protection state. If discharging
is stopped, then it converts to the charging state. It can convert to the state of charging by artificial con-
version too. The design achieves the requirements of the subject well. The circuit design is brief and clear
and has a high performance price ratio.

Keywords: battery; control circuit of charge and discharge; operational amplifier circuit; circuit
protection

1 SCHEME DEMONSTRATION current closed-loop control is shown in Figure  1.

AND ANALYSIS According to the concept of virtual short of inte-
grated op-amps, we can get it available:
1.1 The choice of battery charging scheme
Scheme one: Using a 555 timer to get a monostable IL = Vi/R1.
triggered PWM circuit to control the duty ratio of
PWM wave. Thereby it can achieve the control of where IL is the load current, R1 is the sampling
main circuit of charging on–off time and change resistor and Vi is the input signal of op-amps.
the average charging current. This scheme uses the If R1 is fixed, IL is completely determined by
battery voltage as the power supply voltage of 555 Vi. At this time no matter how the Vcc or RL
directly. The voltage fluctuation is large, which is changes, we can make IL to remain stable by
easily go against 555 timers work. And the design using automatic adjustment function of feed-
of equalizing charge and floating charge is complex. back loop.
Scheme two: This battery charging circuit
design is based on the op-amps and triode. It uses
the LM317 1.25 V output, and the end pressure
drop to achieve the purpose of filling and floating.
Compared with reference voltage, battery voltage
output of the high and low level controls the tri-
ode conduction, which switches the filling and the
floating. This scheme of voltage has a certain error
with the theory voltage.
Scheme one can better meet the system require-
ments, but the control circuit is complex. Although
the second scheme design parameters have a cer-
tain error, the impact is very little on the system.
So we chose scheme two.

1.2 The choice of battery discharge scheme

Scheme one: We use constant current closed-
loop to control the circuit. The typical circuit of Figure 1. Constant current control.

15

CMEEE_book.indb 15 3/20/2015 4:10:00 PM

 Scheme two: Adopting the method of constant
voltage discharge, compared with the reference
voltage, makes the output voltage constant. But for
battery, adopting the method of constant current
discharge can improve the efficiency of the battery.
The greater the current of battery is, the lower the
efficiency of the battery is.
In view of the above-mentioned analysis, this
system adopts scheme one.

2 SYSTEM THEORY ANALYSIS Figure 2. System block diagram.

AND CALCULATION

2.1 Constant current, constant voltage

charging circuit parameter design
As it is shown in Figure 3, during the early charg-
ing, the battery is charged with 0.25  A constant
current. According to the three terminal voltage
regulator tubes which have 1.25 V of voltage drop
between output terminal and earthling terminal,
we can work out the following equation:

R2 = 1.25/0.25 = 5 Ω.

When the voltage of battery reached 7 V by

constant current charging, it switches to con-
stant voltage charging. Op-amp reference volt-
age is 3V. When the partissal pressure value of Figure 3. Constant current, constant voltage charging
the R8 and R11 is greater than 3V, the charging circuit.
of battery is converted into a constant voltage.
If we set R8  =  10k, then R11 is a value for 10k
potentiometer.

2.2 The parameter design of commercial power,

solar power charging switching circuit
As it is shown in Figure  4, R2  =  20k, R4  =  20k,
partial pressure value of R4 is 0.5VC2 (VC2 is bat-
tery voltage), as a reverse input of the comparator.
According to the characteristics of photosensitive
resistance, the partial pressure of resistance R5 is
VREF. As a positive input of the comparator, it
switches to the solar charge during the daytime
and adopts commercial power charge in dark
environment.

3 THE SYSTEM CIRCUIT ANALYSIS Figure 4. Charging mode switching circuit.

According to the requirements and scheme dem-

onstration, the block diagram of this system is
shown in Figure 2.
System working principle: At the early charg-
ing, the battery voltage is less than 7.0 V, the
signal through the logical processors output low
level. That means the base of Q1 and Q2 for the
low level and makes the Q1 is on conduction,
Q2 is cut off. At this point, the charging process
is at the constant current charging stage. When
charging voltage is higher than 7.0 V, then Q2
is on conduction, and charging process converts
to constant voltage charging. Adjusting R11 can
change the battery voltage during constant cur-
rent charging. R3 is the resistance of negative

16

CMEEE_book.indb 16 3/20/2015 4:10:00 PM

 temperature coefficient, which functions on
temperature compensation so as to improve the
accuracy of constant-voltage charging voltage.
When constant voltage of charging reach to the
rated voltage, the power supply to the load condi-
tion, which can also be manually switched. This
system can achieve the purpose of solar charge
during daytime and commercial power charge in
dark environment.

3.1 Constant current, constant

voltage charging circuit
The LM317 is three-terminal integrated adjust-
able output voltage stabilization block, with
over-current protection and thermal overload
protection. When battery voltage is less than 7.0
Figure 5. Under-voltage protection circuit.
V, op-amp U1 and U2 output low level, Q1 is on
conduction, Q2 is on deadline. At this time, it is
at constant current charging stage. When battery
voltage rises to 7.0 V, then the charging process is
converted into a constant voltage charging. And
adjustable R11 can change the charging voltage.
R3 has the function of temperature compensa-
tion, which can improve the accuracy of constant
voltage charging. And the circuit is shown in
Figure 3.

3.2 Charging mode switching circuit

This system design for battery charging methods
are solar charging and commercial charging. They
can be both automatic and manual switched. This
switch circuit is shown in Figure 4. When there is
light irradiation, VREF reference voltage is less
than 0.5VC2 voltage, signal through logical proc-
essors output high level, then relay normally open
switch is closed and the normally closed switch
is open. The battery switches into solar battery
Figure 6. Battery discharge circuit.
charging. If in the dark environment, relays also
switch to the original state which is commercial
power supply. This circuit can also be manually
switched. When close button S1, relay normally 3.4 Battery discharge circuit
open switch is closed, it’s on solar power charging, This system design of discharge circuit adopts
When close button S2, it switches into a commer- the way of constant current circuit. This circuit is
cial power charging status. shown in Figure  6. The load current through the
resistor R9 obtained by U2 amplification 4 times
3.3 Battery under-voltage protection circuit sampling voltage feedback to the amplifier U1,
compared with 3v reference voltage. The load con-
Battery adopts the constant current method sup- stant current value is 1.5 A. By changing the refer-
ply current to the load. As the battery discharges, ence voltage value to change the constant current
the battery voltage is slowly reduced. When the value.
battery voltage is less than 5 V, signal through logic
processing and output high level, then relay nor-
mally open switch is closed. And the battery is no 4 CONCLUSION
longer discharge but switches into charging status
to make the battery storage voltage. Under-voltage We adopt the charging way by using the change
protection circuit is shown in Figure 5. of the battery voltage to control the charging

17

CMEEE_book.indb 17 3/20/2015 4:10:01 PM

 circuit directly. It can realize two charging ways:
solar power charging and commercial power
charging. In the initial stage of storage, battery
adopts constant current charging. When it reaches
rated voltage, it adopts constant voltage charging.
And when full of voltage, the battery can provide
the load voltage with the method of constant cur-
rent. This system completed the topic request, not
only can charge and discharge, but also can under-
take solar charging. The design of this circuit is
brief and has a high cost performance.
ACKNOWLEDGEMENT
Thanks to Zeping Li for the corresponding author
of this paper.
18
CMEEE_book.indb 18
REFERENCES
[1] Bai, S.T. & Ying, C.H. 2001. Analog electronic tech-
nology foundation. Beijing: Higher Education Press.
[2] Qun, F.Z. & Song, Q..L & Jin. S. 2004. A battery volt-
age equilibrium system. Electrical automation 04(4):
94–99.
[3] Feng, G.J. & Ming, H.W. 2008. Long life electric
bicycle with VRLA battery research. Battery 08(7):
14–19.
[4] Bin, L.L. & Peng, C. & Lin, H. 2008. Protection and
restoration of lead-acid battery technology research.
Battery 08(1): 25–28.
3/20/2015 4:10:02 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Automatic flight control of a certain UAV using LQG design

SH. Y. Zhang
Department of Aerial Instrument and Electrical Engineering, The First Aeronautical Institute of Air Force
Xin Yang, China

ABSTRACT: This paper presents the design and simulation of automatic flight controllers for a
UAV by using a Linear-Quadratic-Gaussian (LQG) control approach. The automatic flight controllers
are constructed based on two independent LQG regulators which govern the longitudinal and lateral
dynamics of the UAV respectively. The LQG design is able to retain the guaranteed closed-loop stability
while having incomplete state measurement. The Kalman filter is used to provide the estimated states.
The flight-test results show that it is highly feasible and effective with a relatively simple onboard system.

Keywords: (LQG) Linear-Quadratic-Gaussian; UAV (Unmanned Air Vehicle); automatic flight controller

1 INTRODUCTION 2 THE UAV MODELING

In recent years, UAV technology has experienced a The UAV is considered as a single rigid-body, for a
rapid growth in popularity. As more countries around certain UAV system, the following are defined for
the world begin to acknowledge and actively pursue the longitudinal model:
UAV systems to augment their own Intelligence, Sur-
veillance, Target Acquisition and Reconnaissance x [ ΔV , Δα , Δqq , h ]T
(ISTAR) capabilities, UAV has been one of the latest y [ ΔV , Δq h]T
(1)
military and force-multiplying technologies pursued u = [ Δδ e ]
by many countries around the world. Fixed-wing
UAVs, especially the larger ones with gross weight where V, α, q, θ, δe are the airspeed, angle-of-
in excess of 100  kg, own distinct advantages over attack, pitch rate, pitch angle, altitude and eleva-
other configurations in terms of payload capacity, tor deflection respectively. Similarly, for the lateral
operational speed, altitude, range and endurance. model,
This paper focuses on the automatic control strate-
gies developed exclusive of conventional fixed-wing
x [ Δβ Δppp, Δr, r, Δφ ]T
UAV systems. The linear-quadratic regulator, omit-
ted as LQR (1) has following advantages (1) control y [ Δp, Δr, Δφ ]T (2)
theory is well-established mathematically and the u = [ Δδ a , Δδ r ]
resulting control law is simple and elegant; (2) the
optimal control gains are automatically generated where β, p, r, φ, δa, δr are the sideslip angle, roll rate,
in the solution of the control equations; (3) highly yaw rate, bank angle, aileron deflection and ruder
suitable for the automatic flight control of UAVs deflection respectively.
like the stability and control of a high-altitude, long-
endurance UAV. However, the biggest pitfall of LQR
is the requirement of the real-time full-state meas- 3 LQG REGULATOR DESIGN(3)
urement which is often unavailable in practice (2).
The Linear-Quadratic-Gaussian (LQG) controller LQG Regulator is a combination of the Linear-
is an extension of the LQR where the unmeasured Quadratic Regulator (LQR) and the Kalman filter.
states are estimated using an optimal observer, i.e.
the Kalman filter. This gives the LQG the advan- u(K) = −Kx(K) (3)
tage of dealing with the uncertain linear systems dis-
turbed by the additive white Gaussian noise while where the optimal constant feedback gain, K is
having incomplete system state information avail- obtained such that the quadratic cost function J
able for the control-loop feedback. is minimized.

19

CMEEE_book.indb 19 3/20/2015 4:10:02 PM

 Figure 1. LQG regulator.

∞
∑ x(k
T
J (k ) k)) + u( k )T Ru( k )
Qx( k (4)
k =1

where K is readily attainable by solving the so-

called discrete algebraic Ricatti equation (4) for P:

P Q + AT PA ( AT PB )(R + BT PB ) 1( BT PA) (5)

which yields

K (R + BT PB ) 1( BT PA)

The block diagram of LQR regulator is shown

in Figure 1.

4 FLIGHT TEST SIMULATION Figure  2. Output response of straight-and-level auto-

matic flight.
4.1 Straight-and-level (equilibrium) flight
Keep throttle level unchanged throughout all
automatic flight modes, Straight-and-level auto-
matic flight are carried out in a gradual, successive
schedule. It is evident that the closed-loop control
systems for both longitudinal and lateral dynamics
are stable during the entire automatic flight lasted
for 27.5 seconds.
The variation of the altitude is bounded between
276  m and 282  m which means the system error
is generally less than 3 m. Moreover, despite hav-
ing only one control input (elevator deflection)
in the longitudinal controller, the airspeed is able
to be maintained within an error of 4 km/h from
the trim airspeed, 104  km/h. No distinct oscilla-
tion was observed on both airspeed and altitude
responses as well. On the other hand, after a short
transient process, the bank angle response enters
steady state with bounded error generally confined
within +5 deg. This indicates that the controller is
able to maintain the wing at level position under
external disturbance (wind gust and aerodynamic
load). In addition, the equilibrium condition of
the aircraft in flight is being sustained using little Figure 3. Simulation of bank angle tracking test.

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CMEEE_book.indb 20 3/20/2015 4:10:02 PM

 control effort. The figure shows that the elevator
and aileron typically operate in the order of 4 deg
and 2 deg deflections respectively while the rudder
is practically unused. This is one of the strength of
linear-quadratic control approach where the com-
promise between control effectiveness and control
effort is accomplished with the proper selection of
Q and R weighting matrices.
4.2 Bank angle tracking
The desired square wave has an amplitude and
period of 20 deg and 10 sec respectively. As shown
in Figure 3, the bank angle response exhibits
excellent transient and steady-state properties.
Typically, the overshoot percentage, rise time and
settling time lie in the order of 20%, 1.5 s and 3 s
respectively. The damping of system is more than
satisfactory where no noticeable oscillation occurs
before the tracking error converges to zero.
5 CONCLUSIONS
This paper presented a design and simulation of
automatic flight controllers based on the LQG
theory on a fixed-wing UAV. The automatic
flight is achieved by utilizing independent lin-
ear longitudinal and lateral controllers which are
21
CMEEE_book.indb 21
separately designed. Flight test simulation have
shown that the controllers perform very well even
though simplified linear models are used in the
synthesis of the controllers. In addition, the con-
trollers exhibit exceptional stability and tracking
performance with good disturbance rejection capa-
bility. No evidence of significant cross-coupling
dynamics between longitudinal and lateral motions
was found. Also, the resulting control laws are sim-
ple and efficient enough to be easily realized using
limited onboard computing power.
REFERENCES
[1] Hsiao, F.B. Engine speed and velocity controller
development for small unmanned aerial vehicle,
J Aircr, 2008, 45(2), pp 55–65.
[2] Lee, C.S., Hsiao, F.B., Jan, S.S. Design and imple-
mentation of linear-quadratic-Gaussian stability
augmentation autopilot for unmanned air vehicle,
Aeronaut J, May 2009, 113(1143), pp 275–290.
[3] Li Li, Zhang Hua-min. Neural Network Based
Feedback Linearization Control of an UAV,
AEIT2011 Conference, pp 45–48.
[4] Ogata, K. Discrete-time Control Systems, 1987,
Pretice-Hall.
[5] Erdos, D., Watkins, S.E. UAV autopilot integra-
tion and testing, 2008, IEEE Region 5 Conference,
pp 1–6.
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Research on online and remote calibration technology of electronic

belt scale based on weights superposition method

X.P. Shang, H.Y. Chen & Z.W. Huang

Zhejiang Province Institute of Metrology, Hangzhou, China

ABSTRACT: On the basis of research in existing measuring instruments and measurement method
of coal, we explored online and remote calibration technology of the main measuring instruments—
electronic belt scale. This system is based on incremental superposition method. It uses weights which
simulate actual material to superimpose on the auxiliary belt scale’s weighing sensors, as theoretical
superposition. By comparing the cumulative difference between the main and auxiliary belt to the theo-
retical superposition, we can obtain calibration results. The entire calibration process can be completed
online and all real-time data can be transmitted to the high compatibility and high reliability intelligent
measurement network platform remotely. The system provides the technical means of online and distance
calibration of belt scale for measuring departments and enterprises and it saves a lot of manpower and
resources and improves the efficiency of calibration and ensures that the belt scale works accurately.

Keywords: electronic belt scale; remote calibration; weights superposition

1 INTRODUCTION regulation’s requirements, in order to determine the

In our country, coal is the main energy. According
to statistics, China’s primary energy consumption
has been more than 4 billion tons of coal equiva-
lents, of which 3.5 billion tons are coal that accounts
for 74.7% of the energy consumption. Modes of
coal transportation include railways, shipping and
automobile transportation, and shipping becomes
the main way for its lowest costs relatively[1]. Coal
which is transported by ship is measured mainly by
water gauges and belt scales. Water gauge measure-
ment is affected more by waves, temperature and
the observer’s capability, and its repeatability and
reliability is bad. Furthermore, water gauge meas-
urement is unable to trace. Belt scales are stable,
reliable and traceable in measurement and its max-
imum permissible error can be controlled in the
0.5% range. Belt scales are also widely used in enter-
prises which use coal as the main energy source. In
addition, the electronic belt scale measurement can
realize on-line measurement of coal and improve
work efficiency and it has achieved more and more
attention[2].
As a kind of measuring equipment which weighs
continuously and automatically when belt con-
veyer is conveying solid bulk materials, electronic
belt scale’s accuracy is not only associated with
the product itself, installation position and instal-
lation quality, but also closely linked to periodical
calibration[3]. According to the national verification
specifications of belt scale in conformity with the
metrological requirements or not, calibration of belt
scale is needed. Calibration methods of belt scales
are divided into physical calibration methods and
simulation calibration methods. Physical calibration
methods include hopper scale calibration method
and material superimposed calibration method.
Simulation calibration methods include cyclic chain
method, roller chain calibration method, weights
superposition calibration method and so on.
This article presents a remote calibration system
of electronic belt scale based on weights superpo-
sition calibration method. This system can reduce
costs of calibration of belt scales in use for enter-
prises and reduce economic losses from trade set-
tlement for companies which have coal as main
energy. For energy management department and
statutory metrology department, this remote cali-
bration system can realize the real-time monitoring
and forecasting of energy data.
2 OVERVIEW OF THE DEVICE
The calibration method based on weights superpo-
sition of belt scales belongs to a kind of simula-
tion calibration methods. The device includes belt
conveyors, the major belt scale, the auxiliary belt
scale, weights superposition structure, IPC and so
on. Figure 1 is the structure of the belt scale.

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CMEEE_book.indb 23 3/20/2015 4:10:05 PM


Figure 1. The chart of the belt scale based on weights
superposition.
The basic principle of the calibration method
based on weights superposition of belt scales is
as follows: we use weights which simulate actual
material to superimpose on the auxiliary belt
scale’s weighing sensors as theoretical superposi-
tion when coal or other solid bulk materials are
being conveyed. By comparing the cumulative dif-
ference between the main and the auxiliary belt
scales to the theoretical superposition, we can get
the calibration results.
Before you start weights superposition cali-
bration, you must first ensure that the main belt
scale’s and the auxiliary belt scale’s error condi-
tions and accuracy are consistent, namely scale–
scale comparison experiments are needed. The
principle of the scale–scale comparison experi-
ment is as follows: in the main and the auxiliary
belt scales weighing the same amount of material
conditions, we amend measurement coefficient of
the auxiliary belt scale while the main scale is the
standard to insure that the main and the auxiliary
belt scales get the same material cumulative values.
When a calibration is started, we need start weights
superposition structure to put standard weights on
the auxiliary belt scale’s weighing sensors. After
a period of time, we calculate cumulant differ-
ence between the main and the auxiliary belt scale
within the set time and then compare the difference
to the theoretical superposition to obtain calibra-
tion results. At the end of the calibration, we start
the weights superposition structure again to lift the
standard weights.
3 THE REMOTE CALIBRATION SYSTEM
Remote calibration technology is the inevitable
result for combining of the information technology
and traditional measurement and testing technology.
Remote calibration is for distance calibration in the
use of information networks and communication
networks which is a multi-disciplinary comprehen-
sive cross involved in instrumentation, metrology,
computer hardware and software technology, and
24
CMEEE_book.indb 24
information technology. Electronic belt scale based
on incremental superposition method has the
advantages of high efficiency for calibration and
the calibration process being automatic and online
which are very important for realizing belt scale’s
remote control for calibration.
The calibration system based on weights super-
position of belt scales makes use of the Internet
and other technical means to develop a Coal Meas-
urement Network Platform which can realize on-
line monitoring and remote calibration. Remote
calibration methods of the system are realized by
the way that the web server communicates with a
local webcam and the calibration device’s IPC in
the same time.
The local IPC has installed the calibration soft-
ware which is designed and developed by us. This
software can send commands directly to the PLC
to make parameter setting, to drive motor, to col-
lect and transmit data. Meanwhile, from the data-
base founded by the Coal Measurement Network
Platform, we can inquiry the history of calibration
results of the local computer. Figure 2 is the data
flow chart of the remote calibration system.
The Coal Measurement Network Platform is
a part of “Energy Smart Metering Data Service
Platform” and its main functions are measurement
apparatus management, remote calibration con-
trol, monitoring online and statistical diagnosis
and so on.
First, we make surveillance cameras and IPCs
which control PLCs to access the Coal Measure-
ment Network Platform. The Coal Measurement
Figure  2. The data flow chart of the remote calibra-
tion system of belt scales based on weights superposition
methods.
3/20/2015 4:10:05 PM

Figure 3. The control process of belt scales’ calibration
based on weights superposition methods.
Network Platform realize belt scales’ on-line moni-
toring and remote calibration by controlling cam-
eras, video recorder hard drives, and IPCs. Remote
surveillance uses dot-IR cameras which has scan-
ning frequency 50  Hz. In the Coal Measurement
Network Platform, the web system can send con-
trol commands to PLCs and store these commands
in web database. Basic calibration information
of belt scales, including models, manufactur-
ers, precision and flow parameters, is stored in
database. Web servers and PC machines (or IPCs)
25
CMEEE_book.indb 25
have developed Windows service and web service
separately. Windows service gets commands stored
in the database periodically, and then sends com-
mands through the web service to related meter-
ing monitoring equipment. During the calibration
process, we need to control the hopper’s opening
or closing, and the belt conveyor’s starting or stop-
ping, and weights superposition structure’s lifting
and falling, as shown in Figure 3.
The Coal Measurement Network Platform
sends control command to the web server by the
Windows service. After the web service in the web
server receives the commands, it forwards the com-
mands to the IPCs, the cameras and other equip-
ments depending on the control objects. PLCs
receive commands stored in the IPCs’ web service,
and then control all components’ motors to move.
By adjusting the monitors’ angle, operators can
monitor metering equipments’ operation status
remotely and in real time. Meanwhile, cumulative
flow of belt scales and speed of conveyors and
other online metering data will send to the Coal
Measurement Network Platform remotely.
4 CONCLUSION
This paper has successfully developed remote cali-
bration system of electronic belt scales based on
the weights superposition method. It provides
technology methods of belt scales’ remote and
online calibration for measuring departments and
enterprises, saves a lot of manpower and material
resources, improves the calibration efficiency and
ensures the accuracy and reliability of belt scales’
online measurement.
ACKNOWLEDGMENTS
This work was financially supported by the major
science and technology project of Zhejiang prov-
ince (2012C01026-1).
REFERENCES
[1] Simpson J. 2000. Canadian Weights and Measures
and 0.1% Certified Belt Scales. Canadian Weights and
Measures (Technical Paper).
[2] Wang Z.J. 2009. The calculation method of hanging
code calibration of electronic belt scale. Journal of
weighing apparatus 38(7): 36–37.
[3] Chen Y.F. 2010. The development of dynamic chain
code loop checking device of electronic belt scale.
In Shanghai, east China university of science and
technology.
3/20/2015 4:10:06 PM
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

The application of wavelet filter in static synchronous compensator

Li Zhang
School of Electronics and Information Engineering, Anhui University, Hefei, China

Ning Liu
Heifei Normal University, Hefei, China

ABSTRACT: Reactive power balance of power system is important. The static synchronous compen-
sator (STATCOM) based on inverter technology is a new dynamic reactive power compensation, and
has many advantages compared with Static VAR Compensator (SVC), so STATCOM has vast market
prospect. In this article, wavelet filter is applied in STATCOM to filter the harmonics of load current.
The active portion and reactive portion of the fundamental current are calculated by dq transformer, and
the reference signal of output current is calculated by dq reverse transformer, using the reactive portion
and the output of PI controller which controls the DC voltage, and PWM tracking control technology is
employed. The simulation results indicate that the application effect is good.

Keywords: wavelet filter; STATCOM; reactive power compensation; simulation

1 INTRODUCTION in 1998  made by Siemens, Germany. In China,

Reactive power in power grid is the basic reason
of the deviation of power system voltage from the
nominal value. When the voltage deviation gets
big, the electrical equipment performance would
be deteriorated, which may lead to not only the
low operating efficiency of equipment, but also the
damage caused by the overvoltage or overcurrent.
Big voltage deviation is the thread to the power
system’s stability and influences the system’s eco-
nomical operation. The necessary and sufficient
way to ensure every node voltage of power system
in normal levels is that the power system has plenty
of reactive power sources and essential voltage reg-
ulation method is used. The SVC and STATCOM
have dynamic reactive compensation properties in
many kinds of reactive power sources. Compared
with SVC, the STATCOM has many superior per-
formances, such as fast governing speed, wide run-
ning range, and can greatly reduce the harmonics
in the compensation current when the PWM con-
trol technique and so on are used. Besides, both
the bulk and the weight of the device are decreased
because the reactor and capacitor used in STAT-
COM are far smaller than these in SVC.
Japan and the USA, respectively, developed a
set of 80 Mvar and 100 Mvar STATCOM device
adopted GTO thyristor in 1991 and 1994. Both
the devices were successfully put into commercial
operation.[1] The STATCOM device, with a unit
capacity of 8 Mvar, was also put into operation
the STATCOM device of ±20 Mvar was run in
Chaoyan transformer substation of Henan power
company in 1999, and in 2005 the STATCOM
device of ±50 Mvar was installed in Huangdu
Xijiao transformer substation, which was used to
improve the voltage stability of 220 kV bus and
inhibit the bus voltage surge.[2–3]
In this article, the wavelet filtering is applied in
STATCOM, which filters the harmonics in voltage
and current and get the fundamental voltage and
current. Simultaneously, the active portion and
reactive portion of the fundamental current are
calculated by dq transformer, and the tracking
control technology is employed to control the out-
put current of STATCOM, using reactive portion
of the fundamental current as reference signal. The
output current tracks the reference signal and the
source current does not contain fundamental reac-
tive current.
2 THE STATCOM STRUCTURE
AND WORK PRINCIPLE
The schematic diagram of STATCOM adopted volt-
age source inverting circuit is shown in Figure 1. The
voltage source inverting circuit gets into the power grid
through the transformer, which can match the source
voltage with the grid voltage. If there is no need to
match the two voltages, the inverting circuit can also
get into the grid through the inductance. In order to

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 Figure 1. The STATCOM with voltage converter circuit.

achieve dynamic reactive power compensation, the

output voltage phase and amplitude of the AC-side
of convert circuit can be controlled (or directly con-
trol the current of AC-side) to make the fundamental
reactive current ((iiac), which is in the converter circuit,
equal with the load fundamental reactive current
Figure 2. The wavelet decomposition.
(i
(ial), and there is no fundamental reactive current in
the source current (i (ias ). More thyristors used in series
can improve the STATCOM capacity and the voltage Table 1. The Frequency band and harmonics.
grade, which can also be achieved through the multi-
ple technology and multi-level technology. Wavelet Frequency band (Hz) Harmonics

cd1 1600–3200 32–64

3 THE THEORY OF WAVELET FILTERING cd2 800–1600 16–32
cd3 400–800 8–16
The formula of f(t)∈L2(R) is launched following cd4 200–400 4–8
the space combination shown in equation (1),[4–5] cd5 100–200 2–4

J
L2 (R ) = ∑ Wj VJ ,
j =−∞
where J is an arbitrary scale. So, the f(t) can be
written as
J ∞ ∞
f t) = ∑ ∑ dj k j k (tt)) + ∑
j =−∞ k =−∞ k = −∞
The signal f(t) is decomposed by five-layer
orthogonal wavelet (Fig. 2).
If the signal fundamental frequency is 50  Hz,
according to Shannon’s sampling theorem, the
fundamental signal, sampled 128 points per cycle,
can be analyzed to 64 harmonics (3200 Hz). If the
maximum frequency of f(t) is 3200  Hz, accord-
ing to Figure  2, the band division on the wavelet
decomposition is shown in Table  1,[1] where each
decomposition of the signal or low frequency (ca)
of the band is down into some low-frequency band
(ca) and high frequency band portion (cd), and
the decomposition of the band is in accordance
with the highest frequency that can be analyzed.
The 128-point sampling is according to the band
decomposition at the maximum frequency of
3200 Hz. In Table 1, the voltage signal and current
signal are for five-layer wavelet decomposition. If
the voltage and current without DC and second
harmonic, their low frequency (ca5) only con-
(1) tains base wave after the five layers of wavelet
decomposition.
4 CONTROL OF STATCOM
Block diagram of fundamental reactive load cur-
c j kφ j k (t ). (2)
rent’s detection and power grid reference current’s
generation is shown in Figure 3, where sine and
cosine signal (sinωt, cosωt) are obtained, which
have the same frequency and power with the
power grid by pll. ial , ibl and icl are the load cur-
rent, and the fundamental current (iiaf , ibf , icf ) can
be get after wavelet filtering described in step 2.
The three-phase fundamental current is assumed
as follows:
iaf I m sin(ωt − ϕ )), (3)
ibf I m sin(ωt − 2π / − ϕ ), (4)
icf I m sin(ωt + 2π / − ϕ ). (5)
The dq transformer of three-phase current is
shown as follows,[1,6] so that the load fundamental
current active component and reactive component
can be obtained. In order to maintain the DC bus
voltage (UC) stable, closed-loop control of capacitor
voltage is used, whose controller is the PI regulator.
I′P is assumed as the output of PI regulator,

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 5 THE SIMULATION

The power supply system with STATCOM is shown

in Figure  5, where the three-phase power is sym-
metrical. The STATCOM and its control circuit
are at the right part of the figure. At the left part,
there are access point detection of voltage and cur-
rent, the three-phase power and its load which is the
three-phase full-controlled bridge rectifier circuit.
The three-phase power supply is joined by the star-
Figure  3. Block diagram of the power grid reference
current’s generation.
connecting and the equivalent inductance of the
power is LS, while the equivalent resistance is not
drawn. The current whose characteristic harmonic
is 6k ± 1 (k = 1, 2, 3, …), causing the supply point
voltage distortion, is formed by the three-phase full-
controlled bridge rectifier circuit. The STATCOM
is the three-phase bridge voltage inverter circuit. It is
connected to the access point through the inductor
LC, whose effect is filtering. The three-phase voltage
inverter circuit is controlled using the hysteresis cur-
Figure 4. Tracking control. rent tracking control technology.
The simulation system is to maintain DC volt-
age (voltage across the capacitor) of STATCOM
⎡ ⎛ 2 ⎞ ⎛ 2 ⎞⎤ stable and compensate the load fundamental reac-
sin ωt sin ωt π i ωt + π ⎥
⎡ IP ⎤ 2 ⎢ ⎝ 3 ⎠ ⎝ 3 ⎠⎥ tive current. The grid voltage and load current con-
⎢ ⎥= ⎢ tain harmonics, which can be filtered by wavelet
⎢⎣ IQ ⎥⎦ 3 ⎢cos ωt cos ⎛ ωt 2 π ⎞ ⎛ 2 ⎞⎥
ωt + π ⎥
⎢ ⎝
transform. The signal is decomposed by five-layer
⎣ 3 ⎠ ⎝ 3 ⎠⎦ orthogonal wavelet, and the low frequency part
⎡ I m sin(ωt ϕ ) ⎤ (ca5) is reconstructed. According to the frequency
⎢ ⎥ division of wavelet decomposition in Table 1, the
⎢ I m sin ⎛ ωt − 2 π − ϕ ⎞ ⎥ ⎡ I m cos ϕ ⎤ lowest harmonic frequency in the signal is 5, and
×⎢ ⎝ ⎠⎥ = ⎢
s n ϕ ⎥⎦
3 the reconstruction signal of the low frequency
⎢ ⎥ ⎣ I m si
⎢ I sin ⎛ ωt + 2 π − ϕ ⎞ ⎥ part is just the fundamental signal. So, the lowest
⎢⎣ m ⎝ 3 ⎠ ⎥⎦ harmonic of the voltage and current in the simula-
tion system is 5 and both the voltage and current
(6) are decomposed by five-layer wavelet, and the fun-
damental voltage and current can be obtained by
The reference signals (iiaref , ibref and icref ) of cur- the low frequency part’s reconstruction.
rent tracking controlling can be obtained through The simulation results are shown in Figures 6–9.
the dq inverse transformation. The value of d in dq In the four figures, the control angle of the full-con-
inverse transformation is the PI regulator output trolled rectifier bridge has been changed from 5° to 60°
I′P, while the value of q is the reactive component at 0.4 s. Figure 6 shows the three-phase voltage (uap,
(IQ) of load current. Both of them are as follows. ubp, ucp) of the public power supply point (PCC) and
its wavelet filtered voltage (ual, ubl, ucl). Figure 7 shows
⎡ sin ωt cos ωt ⎤
⎡iaref ⎤ ⎢ ⎥
⎢ ⎥ ⎢sin ωt 2 π ⎞
⎛ ⎛ 2 ⎞ ⎥ ⎡I ′ ⎤
ωt − π p
⎢ibref ⎥ = ⎢ ⎝ 3 ⎠ ⎝ 3 ⎠⎥⎢ ⎥ (7)
⎢ ⎥ ⎢ ⎥ ⎢⎣ IQ ⎥⎦
⎢⎣ icref ⎥⎦ ⎢sin ⎛ ωt + 2 π ⎞ ⎛ 2 ⎞
cos ωt + π ⎥
⎢⎣ ⎝ 3 ⎠ ⎝ 3 ⎠ ⎥⎦

The output current can be controlled in inverter

circuit with PWM Tracking Control Technology. Its
working principle is shown in Figure  4, where the
reference signal i ref
e (iiaref , ibref and icref ) can make
the output compensation current of inverter circuit
have the same value, phase and frequency with the
load fundamental reactive current, and there is no
fundamental reactive current in power current. Figure 5. The power supply system with STATCOM.

29

CMEEE_book.indb 29 3/20/2015 4:10:10 PM

 the three-phase load current (ial, ibl, icl) and its wavelet
filtered current (iaf, ibf, icf). These two figures indicate
that the filter works well. Figure 8 shows the three-
phase command current of STATCOM (iaref, ibref, icref)
and its actual output three-phase current (iac, ibc, icc).
Figure  9  shows the waveforms of three-phase sup-
ply voltage (uas, ubs, ucs) and current (ias, ibs, ics). Before
0.4 s, the fundamental reactive current is very small,
so is the current generated by STATCOM. The sup-
ply current almost has no change compared with the
load current. After 0.4 s, both the fundamental reac-
tive current and the current generated by STATCOM
are big, and the supply current has great changes
compared with the load current. Figure 8. The command current and its actual output
current.

6 CONCLUSIONS

With the development of microelectronics technol-

ogy, The DFACTS device, based on full-controlled
devices and inverter technology, has been con-
tinuously improving its reliability and reducing
its ongoing cost. So devices, such as STATCOM,
APF, have broad application prospects. The wave-
let filtering was applied in STATCOM while its

Figure 9. The voltage and current of the source.

simulation was done. The simulation results show

that the application works well.

ACKNOWLEDGEMENT

This work is supported by the training project of

young key teachers of Anhui University (02303301).

Figure 6. The voltage of the public power supply point REFERENCES

(PCC) before and after the filtering.
[1] Wang Zhao-an, Yang Jun, etc. Harmonic suppres-
sion and Reactive power compensation [M]. Beijing:
China Machine PRESS, 1985.
[2] Liu Wen-hua, Song Qiang, Zhang Dong-jiang, etc.
Equivalent Tests of Links of 50 MVA STATCOM [J].
Proceedings of the CSEE, 2006, 26(12): 73–77.
[3] Zheng Dong-run, Qiao Wei-dong, Liu W en-hua, etc.
Field tests of 500 Mvar STATCOM [J]. East ChinaE-
lectric Power, 2007, 35(1): 47–50.
[4] Weon-Ki Yoon, etc. Reactive Power Measurement
Using the Wavelet Transform [J]. IEEE Transactions
on Instrumentation and Measurement (S0018–9456),
2000, 49(2): 246–252.
[5] Zheng Chang_bao, etc. Reactive Power Measurement
by Wavelet Transform and Hilbert Transform [J].,
Journal of System Simulation 2005, 17(4): 822–824.
[6] Jiang Qi-rong, Xie Xiao-rong, Chen Jiang-ye, etc.
Figure 7. The current of the load before and after the Power system parallel compensation [M]. Beijing:
filtering. China Machine Press, 2004.

30

CMEEE_book.indb 30 3/20/2015 4:10:12 PM

 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Fractional-order differential application and research in pavement

cracks image enhancement

W. Jiang & Y.W. Liu

School of Science, Chongqing Jiao Tong University, Chongqing, China

H. Zhang
Institute of Civil Engineering and Construction, Chongqing Jiao Tong University, Chongqing, China

ABSTRACT: In order to sharpen the image edge features while enhancing texture detail, a new image
enhancement method of pavement cracks is proposed by combining fractional-order differential theory
with Prewitt operator effectively. The new method, compared with the existing image enhancement meth-
ods, retains the advantages of fractional-order differential effectively, which improve signal of high fre-
quency components, and enhance the signal of the intermediate frequency components, and nonlinear
keep signal very low frequency characteristics. Simulation results demonstrate that the new method can
be obtained the effect of continuous variation, which not only enhanced image texture well, but also
improved the edge enhancement effectively. Objectively, using image edge evaluation parameters of tex-
ture features such as information entropy and average gradient for quantitative analysis and experimental
verification shows that the new method achieves the purpose of image enhancement.

Keywords: image enhancement; fractional-order partial differential; Prewitt operator; pavement cracks

1 INTRODUCTION a hot topic, and some research has shown the

The digital image processing technology, in the
application of pavement crack detection, improves
the automatization level of pavement crack rec-
ognition system based on the camera. In order
to analyze the details of pavement crack effec-
tively, there need to identify the enhanced image
preprocessing. The existing crack detection algo-
rithm is mainly based on three-dimensional ter-
rain model of pavement crack automatic detection
algorithm[1], artificial population algorithm[2], neu-
ral network algorithm[3], etc. All above mentioned
are improved in a certain extent of regular crack
detection algorithm, but for some slight and retic-
ular cracks detection, these methods still cannot
achieve the desired effect, and the computation is
too large[4]. In digital image processing technology,
it is not ideal when dealing with the edge texture
details by using one-dimensional wavelet trans-
form tensor product extension of two dimensional.
Contourlet transform is due to the presence of the
sampling process, which leads to the lack of trans-
lation invariance, the result of pavement image
enhancement generates pseudo Gibbs distortion
and the blurred crack edge.
In recent years, the theory of fractional-order
partial differential image processing has become
fractional-order partial differential’s advantages
in image enhancement. Pu Y.F.[5] introduced
fractional-order differential into digital image
processing and brought forward fractional-order
differential masking and its algorithm. Simula-
tion results showed that for image signal with rich
texture information, fractional-order differential
is superior to integer-order differential in enhanc-
ing texture details information. By analyzing the
signal amplitude and frequency characteristics,
Yang Z.Z.[6] found the fractional-order differen-
tial operation can improve image edge and texture
details, and extract the edge information can avoid
to produce larger noise at the same time, so as to
improve the SNR of image processing. Fraction-
al-order variation image denoising model is put
forward[7]. The experimental results show that the
fractional-order variation models are very effective
in improving the peak signal-to-noise ratio and
maintaining image texture details.
However, to the best of our knowledge, there
are few pavement crack image enhancement
researches based on fractional-order differen-
tial theory, and almost fewer the study of pave-
ment crack image enhancement, which combines
the fractional-order differential with the Prewitt
operator. Motivated by the above discussions, we

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CMEEE_book.indb 31 3/20/2015 4:10:13 PM

 have combined fractional-order differential theory 3 NEW IMAGE ENHANCEMENT MODEL
with Prewitt operator and applied them to pave- OF PAVEMENT CRACKS
ment crack image enhancement; a new method of
pavement crack image enhancement based on frac- Assuming the gray function of image is F ( x, y ),
tional-order partial differential is proposed. On the the 3 3 pixel-domain is extracted, as follows.
one hand, the fractional-order differential is good
at retaining image texture details. Prewitt operator, ⎡ F ( x , y 1) F ( x 1, y ) F (x ( x , y + 1) ⎤
on the other hand, is better to keep the edge char- ⎢ F ( x, y 1) F ( x , y)
y ) F ( x, y + 1) ⎥⎥
acter. The method inherits the advantages of both ⎢
fractional-order differential and Prewitt operator, ⎢⎣ F ( x , y − 1) ( x + 11,, y ) F ( x 1, y 1) ⎥⎦
and it can enhance image details at the same time,
also has a certain resistance to noise. Simulation In order to simplify calculation, the differential
results show that the new method can make obvi- is commonly used, instead of difference approxi-
ous edge features, and smooth area information to mation, in the image processing. The operator
retention. It can retain more texture details, thus template of horizontal gradient and vertical gradi-
improve the image visual clarity. So, it is more ent of the Prewitt operator, as for the 3 × 3 area of
effective and practical on pavement crack image discrete gray functions.
enhancement.
⎡1 1 1⎤ ⎡1 0 −1⎤
LH ⎢ 0 0 0 ⎥ , L = ⎢1 0 −1⎥
2 DIFFERENTIAL EXPRESSION ⎢ ⎥ V ⎢ ⎥
⎢⎣ −1 −1 −1⎥⎦ ⎢⎣1 0 −1⎥⎦
OF THE FRACTIONAL-ORDER
PARTIAL DIFFERENTIAL ∇fx = f ( x − , y − 1) + f x − 1,, y + f ( x − , y + 1)
The difference approximate expression of f tt) is − f x + ,y − − f ( x + 1, y ) − f x + 1, y + 1) (4)
exported based on the definition of fractional- ∇f y = f ( x − , y − 1) + f x, y − + f ( x − , y − 1)
order differential[8]:
− f x− , y + − f ( x, y + ) − f x + 1, y + 1), (5)
v
d f (t ) ( v )( v )
≈ f tt)) + ( v f (t
(t ) + f t ) where ∇fx and ∇fy are horizontal gradient and ver-
dtv 2 tical gradient, respectively. The step is Δx = 1, as the
Γ( v ) managed picture is digital image and the grayscale
+ + f t − n) (1)
n ! ( −v + n + 1) change of image is also limited, and the shortest
distance of change is between two adjacent pixels.
The duration of the two-dimensional digital
⎧ ∂ff x, y )
⎪⎪ f x, y f ( x 1, y ) = ∂x
image on the axis is measured by pixel. In view
of the digital image, the difference expression of
⎨ (6)
the fractional partial differentials’ definition of ⎪ f x , y f ( x , y ) = ∂f x + , y )
the two-dimensional digital image f x, y ) is as ⎪⎩ ∂x
follows:
So the differentials form of ∇fx is as follows:
∂v f x , y )
≈ f x, y ) + ( −v ) f x − 1, y ) ∂f + , y − 1) ∂f
∂f , y − ) ∂f + , y )
∂x v ∇f x = − − −
∂x ∂x ∂x
( −v )( −v + ) ∂f x, y ) ∂f
∂f + 1, y 1) ∂f ( , y + 1)
+ f x − , y) − − −
2 ∂x ∂x ∂x
Γ ( −v + 1) (7)
+ + f ( x − n, y ) (2)
n!! ( −v + n + 1)
In the same way the differential form of ∇fy is
∂v f x , y ) as follows:
≈ f x, y ) + ( −v ) f x, y − )
∂yv ∂f− , y + 1) ∂f
∂f − 1,, yy)) ∂f + , y + 1)
∇f y = − − −
( −v )( −v + ) ∂y ∂y ∂y
+ f x, y − 2 )
2 ∂f + , y ) ∂f x, y + 1) ∂ff x, y )
− − −
Γ( −v + 1) ∂y ∂y ∂y
+ + f ( x, y − n ) (3)
n!! ( −v + n + 1) (8)

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CMEEE_book.indb 32 3/20/2015 4:10:13 PM

 The new model is as follows, though replacing ⎡ ( − ))(−
( + ) ( − )(−
)( + ) ( − )(−
)( + ) ⎤
the integer partial differential of the equations (7) ⎢− 2
−
2
−
2 ⎥
and (8) with fractional partial differential. ⎢ ⎥
⎢ − ( − )(−
)( + )
+v −
( − ))(( −v + 1)
+v −
( −v)(
)( −v + 1) ⎥
+v
⎢ 2 2 2 ⎥
∂f v
+ , y − 1) ∂f
∂f v , y − ) ∂f v + , y ) ⎢ v −11 v −1 v −1 ⎥
∇fxv = − − −
∂x v
∂x v ∂x v ⎢ ⎥
⎢⎣ −1 −1 −1 ⎥⎦
∂f v x, y ) ∂f v + , y + 1) ∂f ∂f v , y + )
− − −
∂x v
∂x v
∂x v ⎡ ( − )(−
)( + ) ( − ))(−
( + ) ⎤
⎢− − +v v −1 − 1⎥
(9) ⎢ 2 2 ⎥
⎢ ( − )(−
)( + ) ( − )(−
)( + ) ⎥
∂f v
− , y + 1) ∂f
∂f − 1,, yy)) ∂f
v v
+ , y + 1) ⎢− − +v v −1 − 1⎥
∇fyv =− − − ⎢ 2 2 ⎥
∂yv
∂yv ∂yv ⎢ − ( − )(−
)( + 1) ( − )(−
)( + 1)
− +v v −1 − 1⎥⎥
∂f v + 1, y ) ∂f v ( , y + 1) ∂f v ( x, y ) ⎢ 2 2
− − − ⎣ ⎦
∂yv ∂yv ∂yv
Take example by the literature[5], rotating the
(10)
mask on the up and down or so four directions
where ∇f
∇fxv and ∇f∇f yv are the improved horizontal centered on the point (x,y), then overlay, getting
gradient and vertical gradient by fractional-order the new model gradient mask is as follows:
differential.
To achieve a better image enhancement process- ⎡ v v
2
v v
2
v v
2
⎤
ing, choosing the first three of fractional partial dif- ⎢ 0 0 ⎥
⎢ 2 2 2 ⎥
ferential difference expression (2) and (3) to form a ⎢v v 2 v v ⎥
2 2
7 6
3 × 3 differential mask. In addition, the model of ⎢ 3
2
2 3
2
⎥ 2
fractional-order horizontal gradient and vertical ⎢ 2 2 ⎥ 2
gradient the of Prewitt operator, which combining ⎢v v 2 2
7v v − 6 7
2
6 v −v ⎥
2

type (9) and (10), is as follows: ⎢ 4v 4 ⎥

⎢ 2 2 2 2 ⎥
⎢v − v 2 7
2
6 v −v ⎥
2
∇fxv = v − )[
)[ f x, y + f ((x
x, y − 1) + f x, y + )] ⎢ 3
2
2 3
2
2 ⎥
− f x + , y − − f ( x + 1, y ) − f ( x , y + 1) ⎢ 2 2 2 ⎥
⎢ v −v
2
v v
2
v v
2 ⎥
⎡ ( )( ) ⎤ ⎢ 0 0 ⎥
+ ⎢− + v⎥ [ f ( x − 1,, y ) ⎢⎣ 2 2 2 ⎥⎦
⎣ 2 ⎦
+ f ( x , y)y ) f (x ( x − 1, y + 1)]
( −vv )( v + 1)
− [ f x − 2, y − 1) 4 EXPERIMENT AND RESULT ANALYSIS
2
+ f x − 2, y f ( x − 2, y) + 1] This new model uses the Matlab7.1 for computer
(11) simulation experiment, and comparing with the
existing part of the image enhancement method.
∇f yv = v − )[
)[ f x, y + f (x−
( x , y ) + f x + 1, y )] The first set of experiments is to enhance image
crack image 1, the experiment result is shown in
− f x, y + − f ( x − 1, y + ) − f ( x , y + 1) Figure  1, where, (a) is the original crack image,
(b)–(f) are enhance image results, which the new
⎡ ( )( ) ⎤
+ ⎢− + v ⎥ [ f ( x − 1,, y ) model take difference value of v . By the experi-
⎣ 2 ⎦ ment result, if 0 0.7 , the experimental effect
+ f ( x, y ) ( x + 1, y − 1)]
f (x gets better with the increase of v ’s order gradu-
( −vv )( v + 1) ally; if v > 0.7 , the experimental effect get worse
− [ f x − 1, y − 2 ) with the increase of v ’s order gradually. The
2 whole experiment gray became smaller with the
+ f x, y f ( x + 1, y − 2) ] increase of v ’s value; the enhanced image grey
(12) value is the most closely to the original image, so
the effect is relatively good. when v = 0.65 .
The horizontal direction and vertical direction To illustrate, the new model of this paper has the
of gradient backward difference mask of the new advantages of the method of image enhancement.
improved model in is as follows, respectively: The second set of experiment uses an image crack

33

CMEEE_book.indb 33 3/20/2015 4:10:16 PM


Figure 1. (a) Crack image 1, (b) ν = 0.6, (c) ν = 0.65, (d)
ν = 0.7, (e) ν = 0.75, (f) ν = 0.9.
Figure 2. (a) Crack image 2, (b) new method, (c) frac-
tional-order differential, (d) Laplacian operator, (e) Sobel
operator, (f) Prewitt operator.
image 2 with rich texture details, the result is shown
in Figure 2.
It is not hard to see, the fractional-order differ-
ential treatment on texture details enhancement
has certain effect. The exposure of image is too
high by enhancement of the fractional-order dif-
ferential and the visual effect is not very ideal. The
visual effect of the enhanced image by Laplacian
operator is not ideal as the measure in this article.
The visual effect of the enhanced image by the
Sobel operator and Prewitt operator appeared
the phenomenon of distortion. After processing
by the new model in this paper, the image not only
has been enhanced in texture details, and the effect
of the edge area enhancement is better compared
to fractional differential.
The enhanced image is improved in terms of
signal-to-noise ratio and the average gradient com-
pared with other strengthening methods through
objective evaluation. Obviously, the enhanced
34
CMEEE_book.indb 34
Table 1. Performance analysis.
Information Average
Relative parameters entropy gradient
Original image 7.0096 7.1606
Prewitt operator 5.6614 8.4880
Fractional differential 7.8094 12.3046
New method 8.0853 16.4117
image by the method in this paper achieved better
effect in noise resistance and resolution than other
methods. Thus, relative to the other methods, the
new method in this article is an effective method of
image enhancement.
5 CONCLUSIONS
Currently, seldom people combine fractional-
order differential theory with Prewitt opera-
tor to do image enhancement. A new pavement
cracks image enhancement method based on
fractional-order partial differential is proposed.
The new method effectively inherits advantages,
which keeps the characteristics of image edge and
retains texture details of smoothing region. Sim-
ulation results show that the new method, com-
pared with current image denoising methods, can
not only suppress noise better, but also keep the
characteristics of image edge better. Especially, it
is better than current integer-order partial differ-
ential methods. It is an effective image denoising
method. The result is approximatively expressed
by fractional-order differential, so the future
research is to determine a better differential order
to obtain better results.
ACKNOWLEDGEMENTS
The work is supported by the Research Programs
for National Natural Science Foundation of China
(11071266), the Natural Science Foundation of
Chongqing (CSTC, 2012JJA1164), and the Tech-
nology Project of Chongqing Municipal Educa-
tion Commission (KJ120401).
REFERENCES
[1] Tang, L. et  al. 2008. Automated Pavement Crack
Detection Based On Image 3D Terrain Model. Com-
puter Engineering 34(5): 21–38.
[2] Zhang, H.G. et al. 2005. Pavement Distress Detection
Based on Artificial Population. Journal of Nanjing
University of Science and Technology 29(4): 389–393.
3/20/2015 4:10:20 PM
 [3] Bray, J. et al. 2006. A neural network based technique
for automatic classification of road cracks. Pro-
ceedings of International Joint Conference on Neural
Networks 907–912.
[4] Ma, C.X. et  al. 2009. Pavement Cracks Detection
Based on NSCT and Morphology. Journal of Com-
puter-Aided Design and Computer Graphics 21(12):
1761–1767.
[5] Pu, Y.F. 2007. Application of fractional differential
approach to digital image processing. Journal of
Sichuan University (Engineering Science Edition)
39(3): 124–132.
[6] Yang, Z.Z. 2006. Fractional order differential in the
study of the application of the modern signal analysis
and processing. Chengdou: Sichuan university.
[7] Thangavel, K. & Karnan1, M. 2007. Automatic
detection of asymmetries in using genetic algorithm.
International Journal on Computer Methods and Pro-
grams in Biomedicine 87: 12–20.
35
CMEEE_book.indb 35
[8] Pincherle, I. 1990. Fractional differential equations.
20–23. SanDiego: Academic Press.
[9] Jiang, W. 2011. New image denoising model based
on fractional-order partial differential equation.
Journal of Computer Applications 31(3): 753–756.
[10] Guo, L.Z. & Zhao, J.H. 2007. Edge detection based
on wavelet transforms. Journal of Qingdao Techno-
logical University 28(2): 78–80.
[11] Zhang, J. et  al. 2009. Automatic identification of
pavement crack image enhancement technique. Jour-
nal of China and Foreign Highway 29(4): 301–305.
[12] Yang, Z.Z. et  al. 2008. Edge detection based on
fractional differential. Journal of Sichuan University
(Engineering Science Edition) 40(1): 152–157.
3/20/2015 4:10:20 PM
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Molecular algorithm in solving the shortest path problem

of the application and research

L. Zhang
College of Sciences, Chongqing Jiaotong University, Chongqing, China

ABSTRACT: Interest in DNA computing has increased overwhelmingly since Adleman successfully
demonstrated its capability to solve Hamiltonian Path Problem (HPP). One line of DNA computing
research focuses on parallel search algorithms, which can be used to solve many optimization problems.
In this article, we have implemented a new DNA computation-based optimal path planning algorithm on
3D space. The molecular programming algorithm imitates the biological evolution mechanism through
artificial programming to enhance the opportunities for searching the shortest moving path while avoid-
ing obstacles. Simulation results are presented to show the effectiveness and applicability of the proposed
approach.

Keywords: DNA computation; optimal path planning; crossover; mutation

1 INTRODUCTION evolutionary process. This work presents clear

The shortest path between two given points over a
curved surface is a difficult problem in theoretical
and practical field. It is widely used in the map-
ping, the span of electric power and LOC, the lay-
out of the railway, the road, the path of robot etc.
It will take huge economical benefit if it has been
resolved well. Up to now, genetic algorithm and
evolutionary algorithm have been widely applied
for system optimization and industrial applica-
tions. Because traditional GA or EA can neither
represent the diverse genetic information nor can
better imitate the regulation of genes to the genetic
processes, some biological operations at the gene
level cannot be effectively presented in the existing
GA or EA. Especially on three-dimensional (3D)
space it is a thorny issue. In addition to GA and
EA, DNA computing [1] has recently captured
more and more attention [2] since DNA sequences
encode plentiful genetic information.
This article presents an optimal path plan-
ning method for the moving object on three-
dimensional (3D) space using DNA molecular
structures and molecular programming. The algo-
rithm is designed to analogously accomplish the
evolutionary process. In the proposed method, the
3D workspace is inserted into several points, the
DNA sequences are used to represent the points,
connecting all optimal points while avoiding the
obstacle areas builds the optimal moving path,
and the shortest path for obstacle avoidance in
the workspace is finely characterized with DNA
evidence of the ability of molecular computing to
solve the NP-complete problem with mathemati-
cal operations.
The article is organized as follows: Section  2
introduces the DNA computing in detail. Section 3
introduces the DNA program to solve the optimal
path planning problem in three-dimensional (3D)
space. In Section 4, experimental results by simu-
lated DNA computing are given. Conclusions and
discussion are presented in Section 5.
2 DNA COMPUTING
In the late 1950s, Feynman first introduced the idea
of computation at a molecular level, but his idea
was not implemented by experiment for a few dec-
ades. In 1994, Adleman wrote the first article that
demonstrated that DNA strands could be applied
for dealing with solutions of the NP-complete
Hamiltonian Path Problem (HPP). Since then,
the possibility of DNA computation has attracted
many researchers’ attention. In 1995, Lipton [3]
wrote the second article that showed that the new
techniques could also be used to solve the NP-
complete satisfiability (SAT) problem. Adleman
and his co-authors [4] proposed sticker for enhanc-
ing the Adleman–Lipton model in 1999.
DNA computation uses chromosomes of DNA
to describe a specific problem and to manipu-
late the chromosomes using techniques com-
monly available in molecular bank for simulating

37

CMEEE_book.indb 37 3/20/2015 4:10:20 PM


Figure 1. The flow of the optimal algorithm.
operations, which can be used to seek for the solu-
tion. The central idea of DNA computation is the
Watson–Crick model of DNA structure, which
specifies complementary binding properties of
DNA molecules. The basic elements of biological
DNA are nucleotides. Due to their different chemi-
cal structure, nucleotides can be classified as four
bases: A (Adenine), G (Guanine), C (Cytosine)
and T (Thymine). A single strand of DNA can be
likened to a string consisting of a combination of
the above-mentioned four different symbols; this
means that we have an alphabet ∑ {A, G, C, T}
to encode information. Any single-stranded DNA
will adhere tightly to its complementary strand, in
which G always pairs with C and A always pairs
with T, and vice versa.
The process of DNA computation can be
refined into two steps. The first step is to gener-
ate all possible solutions to the problem by mix-
ing DNA solutions. DNA complementary binding
reactions occur in parallel and extremely fast upon
mixing. The second step is to isolate correct solu-
tions through repeated separations of the DNA
strands from incorrect solutions and potentially
good solutions. A schematic representation of
DNA computation is given in Figure 1.
DNA computation is attractive mainly for three
reasons. First, the computation realizes fast paral-
lel information processing. Second, the process is
remarkably energy efficient. Finally, DNA mol-
ecules have very high storing capacity. DNA com-
puters have been shown to be at least equivalent to
a classical Turing machine [5].
3 PATH PLANNING AND OBSTACLES
AVOIDANCE
Our goal is to characterize a feasible moving path
which is required to start from the origin and reach
38
CMEEE_book.indb 38
the goal along a shortest path while avoiding static
obstacles on the workspace. In practical projects,
this is very common. In this article, the algorithms
will bypass the designated area, and will access a
feasible and shortest path successfully.
3.1 The initial path and coding schemes
The initial DNA sequences are generated ran-
domly, suppose the workspace is designated. The
origin is A( x0 , y0 ), the goal is B ( xn , yn ), wij is the
edge weight between two random nodes i and j
which have a connection with each other. Divide
the area of [ 0 , xn ] into n slices, meanwhile the
partition of [ y0 , yn ] is ascertained. Each point we
use the DNA strands to encode, the length is 20,
and mark it as Oi (i , 2, , n ) . Edges that con-
nect nodes encoded and formed by the following
sequence: the first part is a 10 codes comes from
the 3′ of the Oi; the middle part is the codes of the
edge weight; and the last 10 codes appears at the
5′ of the Oj. In Figure 2, let O2 O3 → O4 as an
example to explain the coding of the paths.
3.2 Choose the fitness function
When listing facts use either the style tag List signs
or the style tag List numbers.
3.2.1 The design of avoiding obstacles
The slope and length are two important factors in
path planning. In the numerical simulation exam-
ple, the value of z on the roadblock will be added a
large constants ĉ ( ˆ max( ij )) , zij is the elevation
value of the corresponding point which is decided
by the landform. Because the fitness of the slope
and length are all poor, the individual which gets
across the obstacle areas will be eliminated during
the operation.
3.2.2 The calculation of fitness value
After times of genetic operation, the new path set
is appearing, we define it for Γ k , and suppose rki is
the node sequence of the ith path in Γ k .
Figure 2. The coding of paths.
3/20/2015 4:10:21 PM
 rki {( xki1, yki 1 zki1 ),(x
) (xki 2 yki 2 , zki 2 ), ,( xkn
i i
, ykn i
, zkn )} In the path searching, in order to obtain
some better individual, part of the initial DNA
(1) sequences should be interchanged, the via-points
In which, i 1, 2, …, m , m is the quantity of the in an adjacent area can be displaced by each other
routes; k g, and g is the evolutional gen- through the crossover process to change their for-
erations. Suppose Lik is the length of the ith path. ward directions and have more chances to avoid
the obstacles. Crossover operation can avoid the
algorithm getting into the local optimal solutions,
Lik rki the design of the operator is especially important.
n−1 The descendant must keep the excellent ingredient
= ∑ ( xki j+
j )
i 2
xkj ) + ( yki j ) − ykj )
j+
i 2
+ ( zki j ) − zkj )
j+
i 2
of their fathers, and must have their validity.
j =1

(2) 3.3.2 Mutation

Any change in a DNA sequence is called a mutation,
The Dki
is the sum of variance, the distant height it includes point mutations and structure mutations.
of two connecting nodes will be measured by it. In mutation operation, the randomly selected bit in
the sequence is replaced by the rule that A changes
E = (z j + z j + z jj++1 ) 3 to T and vice versa. To avoid more duplicate points
n−1
Dki = ∑ ( zki ( j+
j ) E )2 + ((zzkj
i
E )2 + ( zki j− ) )
E )2 3
generated by crossover, the mutation has func-
tion to enhance the chances of exchange between
j =2
(3) the points in a small scope. For the optimal path
searching, let the vij and v( i )()( j ) replace the vi( i )
So the fitness function is and v j ( j ) when wij + w(ii j + ) < wi ( i + ) + w j(j ( j + ) .
This algorithm can eliminate overlapping phenom-
Fitnessk (i ) = 1000 − 0 * Lik − 0.. * Dki enon of the sides. When we improve the route by
i 1, 2, …, m; k g (4) mutation, to every point, their correlative sides
are all taking place around it. So we only have to
carry through the optimized computation between
3.3 The manipulation of DNA computing the point and the points of their adjacent array to
After the initial DNA sequences are generated, we improve the loop. This method can enhance the
should reproduce the route by the adaptive value efficiency, and decrease the searching space.
which was determined preliminary by the length of Before the mutation:
the path. The purpose of reproduction is to make
the individual which has bigger adaptive value has GACT ATATCGCGGGTTCAACGTGC
A GACG 
more chance to breed the descendant. This article
adopts the ways of fitness rule and distillate con- After the mutation:
servation to reproduce.
GACT ATATCGCGGGCAGTTCGTGC
A TAGA 
3.3.1 Crossover
Crossover is a process of exchanging genetic infor-
mation between two DNA sequences. For simplic-
3.3.3 The result
ity, the one-point crossover is adopted here where
After the crossover and mutation, there will be
the crossover point is determined uniformly at ran-
appearing a series of new generation paths, if
dom. However, a multiple point crossover is also
the fitness is not satisfactory, we should repeat
permissible. After crossover, the codes placed in
the above operations, all of the operations will
front of the crossover point are kept invariant, while
make the individual’s fitness value and the average
the subsequent DNA codes are interchanged.
value becomes higher and higher. Until the best
Before the crossover:
individual’s fitness is achieving a restrict value or
 GACT A TATCGCGGG TTCAACGTGC GACG 
ATATCGCGGG the individual’s and the average fitness couldn’t
change anymore, then the iterative process can be
 ATAG CAGCTCATCG
C G
CAGTTGACAT TCTG converged to the optimal solution, and the algo-
rithm finished.
After the crossover: The final process is to separate the DNA strands.
Gel electrophoresis is a technique for separating
 GACT A TATCGCGGG CAGTTGACAT TCTG 
ATATCGCGGG DNA strands according to its length through a gel
in an electrical field based on the fact that DNA is
 ATAG CAGCTCATCG
C G
TTCAACGTGC GACG negatively charged [6]. As the separation process

39

CMEEE_book.indb 39 3/20/2015 4:10:23 PM

 Table 1. Parameters of simulated altitude.

n 1 2 3 4 5 6 7 8

xc 25 64 34 77 94 65 15 93
yc 87 28 53 92 55 24 11 14
Figure 3. Gel electrophoresis process. p 1.5 2 3 2 3 1.5 3 3
q 1.5 3.5 2 2 3 1.5 2 3
u 30 65 21 6 11 13 11 13
v 20 12 13 25 14 9 13 11
continues the separation between the larger and h 57 19 −32 38 24 −22 −14 −17
smaller chains increases as depicted in Figure  3
[7]. At last, we should incise the joint between two
nodes by cutting enzyme, a series of polynucle-
otide fragments are received. Then the path nodes Table 2. Coordination of result nodes.
are decided by contradistinguishing the initial cod-
ing schemes. n 1 2 3 4 5

x 5 15 25 35 45
4 DEMONSTRATIONS y 92 63 54 43 19
AND VERIFICATIONS z 29.2 2.2 −23.4 −14.3 8.4

n 6 7 8 9 10
This article cites the simulation landform of the lit-
erature [8] to search the square space on 100*100. x 55 65 75 85 95
we use the analytical function to simulate the origi- y 12 13 10 9 9
nal terrain, and the curved surface has been con- z −1.2 −3.6 −2.45 −12.5 −15.4
structed by the following function:

⎧ ⎛ pi
⎛ y yc ⎞ i ⎫⎪
q
n ⎪ x xci ⎞
z ( x, y ∑ hi exp ⎨⎪− ⎜⎝ u ⎟⎠ − ⎜⎝ v ⎟⎠ ⎬⎪
i

i =1 ⎩ i i ⎭
(5)
The data in Table  1 are the parameters of the
above-mentioned function.
In the simulation example, suppose the initial
positions of the object and goal are specified,
respectively, at (5,92) and (95,9). The area of x
is established for [5,95] and y is been decided in
[9, 92]. Then take 10 as the length of stride to divide
the area of x into nine segments. We can obtain the
value of z through the curved surface function and Figure 4. The three-dimensional sketch drawing.
the value of the x and y, the raised square areas are
the roadblock.
In the example, choose eight points to divide the length when it is only been connected by beeline
workspace into nine slices, every point denoted as between two points is = 201.2 , the result is better
the feasible via point, the optimal moving path is than the method mentioned in [8], the optimiza-
obtained by connecting the best via point which is tion efficiency λ is:
determined by the applying the proposed comput-
ing algorithm with the fitness function. After spec- S−L
λ= × 100% = 5.13%
ifying the roadblock, the DNA computing-based S (6)
search algorithm is activated in the path planner
to generate via points for the short and safety path The best node sequences of the function are pre-
to the goal. The scale of the initial population is sented in Table 2.
20, let 0.1 as the reproductive probability, 0.7 is Simulation results confirm the feasibility of our
the crossover probability, and the mutation prob- proposed approach (see Figs. 4 and 5). It is obvi-
ability is 0.05, the most iteration number is three ous that with this method the path planning is rea-
hundreds, and cˆ = 500 . After the simulation exam- sonable, it bypasses the roadblock and some steep
ple, the length of the best path is L = 190.87. But the places well.

40

CMEEE_book.indb 40 3/20/2015 4:10:27 PM


Figure 5. The contour schematic drawing.
5 CONCLUSION
It is expected from experimental results that the
shortest DNA sequence length will represent the
required optimal path planning on 3D space.
Based on the DNA computing algorithm, a novel
process for charactering the optimal path while
avoiding obstacles is developed. With the success-
ful confirmation of the expected result, the appli-
cability of DNA computing could be extended
into many more complex problems of this type of
41
CMEEE_book.indb 41
nature. Hence, the applicability of DNA comput-
ing could be extended into greater fields of other
engineering-related problems.
REFERENCES
1. Adeleman L.M., 1994, Molecular computation of
solutions to combinatorial problems. Science. (266),
1021–1024.
2. Garzon M.H. and Deaton R.J., 1999, Bimolecular
computing and programming, IEEE Trans. On Evo-
lutionary Computation, vol. 3, no. 3, 236–250.
3. Lipton R.J., 1995, DNA solution of hard computa-
tional problems. Science. (268), 542–545.
4. Roweis S., Winfree E., Burgoyne R., Adeleman L.M.,
et  al., 1999, A sticker based model for DNA
computation. Second Annual Workshop on DNA
Computing, Princeton University. American Math-
ematical Society, 1–29.
5. Maley C.C., 1998, DNA computation: theory, prac-
tice, and prospects. Evol. Comput, 6(3), 201–229.
6. Paun G., Rozenberg G., Salomaa A., 1998, DNA
Computing: New Computing Paradigms. Lecture
Notes in Computer Science, Springer-Verlag, Vol.
1644 106–118.
7. Amos M., 1997, DNA Computation. PhD Thesis,
The University of Warwick, UK.
8. Huang Zhang-can, Chen Si-duo, Kang Li-shan. 2000,
Solving the Shortest Path on Curved Surface Based
on Simulated Annealing Algorithm. The transaction
of Wuhan University, 6(46)3: 273–276.
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

A method about video quality assessment in video phone

service over 3G network

C. Feng & L.F. Huang

School of Information Science and Technology, Xiamen University, Xiamen, China

W.J. Xu
Jimei University, Fujian, China

ABSTRACT: The method about video phone service and quality evaluation on TD-SCDMA has been
studied in this article. A wireless module LC6311+ is used as the front-end video data transceiver equip-
ment and the ITU-T J.247 PEVQ algorithm is used as the back-end video quality evaluation model. The
LC6311+ wireless module is developed via AT commands over videophone CS64k link. After sending a
prepared video compression stream over the CS64k link, the receiving end will get the video stream and
preserve it. The original video sequences and the degraded video sequences can be obtained after decod-
ing them. The degraded video sequences are imported to PEVQ model, comparing them with original
video and analyzing them. The score of the video quality can be obtained. The results show that this
method may be effective for an objective assessment of the video quality of the 3G network evaluation. It
is useful for mobile network operators to optimize scalable video quality.

Keywords: in video quality assessment; TD-SCDMA; video phone; PEVQ; LC6311+

1 INTRODUCTION
In 3G or LTE mobile communication system,
the most attractive service is about video trans-
mission. But the key indicator that affects the
user experience is the wireless video quality. The
methods of currently wireless video quality assess-
ment are divided into two basic categories: Sub-
jective evaluation and objective evaluation. Many
observers are required to rate the quality of the
video in subjective evaluation. The disadvantage is
time-consuming and expensive. So it is not widely
used. It is widely used for objective evaluation of
video quality because it has less cost, time-saving,
objective, reliable and repeatable etc. The com-
mon algorithm about image quality assessment is
the Peak Signal-To-Noise Ratio (PSNR), the edge
of the Peak Signal-To-Noise Ratio (EPSNR) and
structural similarity (SSIM) [1]. There is a number
of recommendations for video quality assessment
including ITU-T J.247 recommended evaluation
model—Perceptual Evaluation of Video Quality
(PEVQ). It has become one of the major video
quality assessment methods.
The PEVQ is the full reference video quality
evaluation model. A complete reference source
video is needed. For evaluating the video quality
of videophone service, there are two main steps:
the front-end for capturing the video data and the
back-end for video quality assessment [2].
The LC6311+ wireless module is described in
this paper. A standard H.263 video stream is sent
by videophone services through the CS64k channel
to the receiver. It is studied by the degraded video
stream. After obtaining the decoded source video
and the degraded video, the video quality evalua-
tion score can be calculated from the PEVQ model.
The main indicator of PEVQ is introduced in the
final part [3].
2 THE BASIC PRINCIPLE
OF VIDEOPHONE SERVICE
QUALITY EVALUATION
As the current TD-SCDMA test terminal does
not provide relevant programming interface, the
TD-SCDMA test terminal cannot be directly used
to get the video data. The video sample data files
saved on the computer’s hard disk are encoded in
accordance with videophone 3G-324M protocol.
Then the encoded video stream is transmitted over
videophone link (CS64k) to simulate videophone
data transmission process. The 3G-324M proto-
col is integrated on the LC6311+ wireless module.
Meanwhile, the video quality assessment method

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CMEEE_book.indb 43 3/20/2015 4:10:28 PM


Figure  1. Block diagram of video quality assessment
for video phone.
uses the ITU-T J.247 PEVQ (Perceptual Evaluation
of Video Quality). The algorithm compares source
video (SRC) and the video after transmission
(PVS). Then the MOS score which is an objective
assessment to simulate the user’s subjective evalu-
ation can be calculated [4]. The basic principle of
the design is shown in Figure 1.
3 THE VIDEO PHONE SERVICE
SIMULATION WITH LC6311+
We use the LC6311+ TD-SCDMA wireless mod-
ule to call a CS64k videophone service. The video
data is transmitted through the channel so as to
obtain the test video data. The terminal uses MTK
Co.  Ltd ASIC chipset, including RF subsystem
and analog baseband subsystem. The RF subsys-
tem includes radio frequency transceivers, ampli-
fiers and transceivers, such as switches and filters.
The analog baseband subsystem integrated DAC,
PMU. PMU (Power Management Unit) module
contains a number of different voltage and current
path in the power supply unit to meet the needs
of the power supply. Digital baseband processor
44
CMEEE_book.indb 44
and memory system includes the core processor
which is a dual-core processor: BlackFin DSP core,
running physical layer protocol and AMR codec;
ARM926 MCU core, running senior protocols,
and communication with external interfaces.
External interface provides external connectivity
including power input, communication interface,
control signals and debugging interface.
The LC6311+ module uses the USB interface
to communicate with the PC. It provides two End-
point links to achieve CS64k signaling and data
interaction which is operated by AT commands.
Endpoint6 is used as the link1 which mainly makes
video calls and hangs up the phone. Endpoint4
is used as link2 for the interaction of video data.
All the USB endpoints are developed as virtual
serial port. In a video call, the sending data rate is
required to meet channel rate CS64k, i.e. 64k = 48k
(for video data) +12.2 k (for voice and data)  +
control information. Because the voice data are
acquired with the LC6311+ module, the control
information is also packaged in it. The terminal
application need to control the transmission rate
of the video data. The LC6311 + modules are oper-
ated via AT command set which mainly reference
the 3GPP 27.007, 3GPP 27.005 and ITU-T V.25.
The AT commands is generally used in connec-
tion with the communication between the terminal
device and the PC [5]. The flowchart of operation
with LC6311+ including the module initialization,
startup, calling a video phone and shutdown is
shown in Figure 2.
Figure 2. Call a video phone with LC6311+.
3/20/2015 4:10:29 PM
 luminance part and the chrominance part of the
edge images.

Pedge,x [i, j ,t ] − Sedge,x [i, j ,t ]

E x [ i , j ,t ] =
Sedge,x [i, j ,t ]
( x isY
i oor Cb or Cr) (1)
W −1 H −1
∑∑
2
E x [ i , j , t ] w[ i , j ]
Figure 3. The saved SRC and PVS.
Ex [t ] = 2
i =0 j =0
W −1 H −1
∑ ∑ w [i j ]
In Figure  2, the OpenComm() is used to open i =0 j =0
the serial port (USB Endpoint6) and configure it. ( x isY or Cb or Cr) (2)
Init_LC() function is used to initialize the module.
After initialization the Start() function is used to ⎛ i ⎞ ⎛ j⎞
w[ i , j ] sin π ⋅ sin π (3)
power the module. VoiceDial() function is used to ⎝ W⎠ ⎝ H⎠
make voice calls and VideoPhone() function is used
to make video calls; The Hand_up() function is used The H and W represent the row and column.
to hang up a voice call and Hand_up_VP() function The i and j represent the coordinate of the pixel.
is used to hang up the video phone; and Off() func-
tion is used to execute the shutdown command. 4.1.1 Luminance indicator
When the wireless module is powered on, the PC When the x is Y, it means equations (1) and equa-
executes module initialization, startup, make video tion (2) compute the luminance indicator. The
calls and other AT command operation. The com- indicator not only indicates loss of sharpness.
pressed bit stream which is sent by wireless module Also, the introduction of sharpness is registered as
can then be decoded by the PC. When we get the a distortion. This indicator is perceived as a loss of
transmitted video data, they are imported to the sharpness. Some source sequences have an overall
PEVQ module. After calculating, the video quality higher edginess than others. The introduction of
MOS score can be obtained. The sample frame of edginess in areas with a lot of edginess is less dis-
SRC and PVS is shown in Figure 3. turbing than the introduction of sharpness where
little edginess is originally present.
The luminance indicator is then calculated by
4 THE VIDEO QUALITY averaging the frame wise edginess distortions over
ASSESSMENT WITH PEVQ time

1 N −1
In this article, PEVQ algorithm is used to evalu-
ate the video quality of 3G videophone. PEVQ is
Lum IIndicator = ∑ EY [t ]
N t =0
(4)
developed by OPTICOM and recommended by
the ITU-T J.247. The evaluation results have been
4.1.2 Chrominance indicator
recognized by many manufacturers. It gives dif-
The chrominance indicator uses a similar approach
ferent weighting coefficients for different indica-
as the luminance indicator. When the variable x in
tors in order to approximate subjective evaluation
equation (1) and equation (2) represents the Cb or
value [6]. The PEVQ is a full reference model which
Cr. The Ecb [i, j ,t ], Ecr [i, j ,t ], Ecb [t ] and Ecr [t ] are
requires the same resolution source video sequence
calculated separately. As for the deviation signal, the
(SRC) and test video sequence (PVS). The PEVQ
maximum of the color saturation of the reference
uses several fitting parameters which are extracted
signal and the degraded signal is taken as above.
from the time domain, space domain, luminance
The change in edginess of both color components is
and chrominance domain of the SRC and PVS.
evaluated. The extraction methods of chromaticity
After extracting the parameters, they are imported
component and luminance component are similar.
to the model. So the MOS score can be obtained.
Chrominance value contains components of Cb
All the indicators are described as follows:
and Cr which are calculated separately as above. The
chrominance indicator is then calculated by averag-
4.1 Spatial variability indicators ing the frame-wise edginess distortions over time:
The spatial variability indicators involve two indi- 1 N −1
cators: the luminance indicator and the chromi- Chrom Indicato
I r= ∑ (Ecb [t ] + Ecr [t ])
2N t = 0
(5)
nance indicator. They are calculated based on the

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 4.2 Temporal variability indicators Table 1. Weight values and model parameter (QCIF).
The edginess indicator is a pure spatial indica- i I[i] w[i] α[i] β[i]
tor. However, the spatial content of a sequence is
judged more critically in case of still images than 0 LumIndicator 6.184 0.168 −1.449
for images with fast motion and rapid changes. 1 ChromIndicator 2.501 1.351 −17.748
To reflect this, we introduced two indicators: The 2 OCI −5699.585 0.0036 8.729
Omitted Component Indicator (OCI) and the 3 ICI −0.866 0.311 −6.767
Introduced Component Indicator (ICI). The tem-
poral variability of the processed video signal is
also influenced by transmission errors and the
presence or absence of frame repeats. As a result, Table 2. The VQA result of PEVQ method.
the temporal variability is best measured on the
Foreman Hall Carphone Suzie Akiyo
luminance of the source sequence.
PEVQ 2.8881 2.9136 2.9133 2.7821 2.7665
d [i, j t ] = SY [i j t ] − SY [i, j t − ]
− PY [i j t ] − PY [i, j t − ] (6)
4.3 The aggregation of indicators
Frame loss caused by wireless transmission not The perceived video quality is estimated by map-
only causes big difference between the two con- ping the Indicators to a single number using a
tinuous frames in SRC and PVS, but also signifi- sigmoid approach. Let I[i] represent the indicators.
cantly influences the subjective feeling ability of Then the mapping function may be defined by a set
human eyes. The temporal variability indicators of input scaling factors I[i], a set of scaling factors
in PEVQ model is defined as equation (6), where w [i ], α [i ] and β [i ]:
d [i, j ,t ] is computed per pixel per frame, SY [i, j ,t ]
3
and PY [i, j ,t ] are representing the luminance of w[ i ]
O et + ∑
Score Offs (10)
pixel at the SRC and PVS of frame t. Therefore,
i =0 1 + eα [ i ] I [i ] β [i ]
this algorithm can only be used in full reference
evaluation model of video quality. The HVS reacts Mapping coefficients used for QCIF resolution.
differently if a new component is introduced to The offset is equal to −0.93 [6].
the signal then if it is removed from the signal. The PEVQ Score of five test video sequences:
Therefore, two different indicators are evalu- Foreman, Hall, Carphone, Suzie and Akiyo are
ated. To measure the omitted component part, given in Table 2.
the negative part (d [i, j ,t ] ) and the positive part
−
(d [i, j ,t ]) of d [i, j ,t ] are separately calculated as
+ 5 CONCLUSION
equation (7).

H −1W −1
With the rapid development of 3G video phones
1
dO/I [t ] = 5 ∑ ∑d 5
/ + [i, j ,t ] (7) and other wireless video services, in order to ena-
W H i =0 j =0
ble users to obtain a better subjective experience,
the importance of video quality assessment in the
development of wireless video services, network
The Omitted Component Indicator (OCI) is optimization and other areas are also increas-
then calculated by averaging the frame-wise omit- ingly prominent. In this article, LC6311+ wireless
ted distortions over time. module and FFmpeg video codec library use the
LC6311 modules via serial programming completed
1 N −1 encoding YUV material sent and program received
C =
OCI ∑ d [t ]
N t =0 O
(8) design; realize the video of the original material and
synchronization obtained through material wireless
transmission after the; adoption PEVQ objective
The Introduced Component Indicator (ICI) is evaluation of the degradation of the video qual-
then calculated using an L2 Norm over the frame- ity of the video. After the experiment, the method
wise introduced distortions over time can be effectively applied to TD-SCDMA system
CS64k videophone business objective evaluation of
1 N −1 2 video quality, the video can optimize the quality of
C =
ICI ∑ dI [t ]
N t =0
(9) service operators, and network planning and opti-
mization work to provide a convenient way.

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CMEEE_book.indb 46 3/20/2015 4:10:32 PM

 ACKNOWLEDGEMENTS
The work presented in this paper was partially
supported by 2011  National Natural Science
Foundation of China (Grant number 61172097),
2014  National Natural Science Foundation of
China (Grant number 61371081), 2012  Natural
Science Foundation of Fujian (Grant number
2012  J01424) and Foundation by Comba Co.,
Ltd.
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[1] Kjell Brunnstrom. David Hands. VQEG Validation
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Video Quality Metrices[J]. IEEE Signal Processing
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47
CMEEE_book.indb 47
[2] Margaret H Pinson and Stephen Wolf, A New Stand-
ardized Method for Objectively. IEEE Transactions
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[3] Chao Feng, Image quality assessment-oriented frame
capture of video phone over 3G system; Anti-coun-
terfeiting, Security and Identification 2010, Page(s):
359–362.
[4] Xin-Bo Gao, Quality Assessment Methods for Visual
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house, 2010.
[5] Leadcore Technology Co. Ltd. The Video Phone
Development Manual_1.10 based on LC6311+ [DB].
[6] ITU-T J.247 Objective perceptual multimedia
video quality measurement in the presence of a full
reference[S], 2008.
3/20/2015 4:10:34 PM
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Analysis on the degree of the international fragment of China’s

manufacturing industry based on processing trade

Y.H. Yang
School of Economics and Management, Yunnan Normal University, Kunming, China

ABSTRACT: This article constructs measuring indexes of the international fragmentation production
of manufacturing industry based on the data of processing trade. Using China’s manufacturing trade
data encoded into 4-digit HS code, it measures the international fragmentation production of China’s
26  manufacturing industries. The result shows that there are industrial differences in the participation
of international fragmentation of China’s manufacturing production, that is, the degree of international
fragmentation production of some industries is high, while others’ is low. Some industries participate in
the international fragment of production mainly through the processing trade exports. While others par-
ticipate in the international fragment of production mainly through the processing trade imports. Other
participations of imports and exports are more prominent.

Keywords: international fragmentation of production; processing trade; China’s manufacturing industry

1 INTRODUCTION extent of our participation in the international

Since the reform and opening up, China’s export
expensed rapidly. The rank of the total amount of
China’s export rose from the 28th in 1980 to the
2nd in 2007. From 2009 to 2011, China remains
the world’s largest exporter. China’s exports are
mainly manufactured goods-oriented. In recent
years, the share of manufactured goods in total
exports has remained at 95%, and exports of man-
ufactured goods grew faster than the growth rate
of exports of all goods. The basic phenomena of
current products is that different processes, sec-
tors, and components in the production process
scattered to different countries and regions, thus
the same final product was manufactured by dif-
ferent countries or regions’ participations in the
international fragmentation of production. Two
or more countries or regions completed a final
production through the Foreign Direct Invest-
ment (FDI) or outsourcing activities to produce
or assemble parts. A distinguishing feature is that
the intermediate input circulated in nations, result-
ing in a large number of intermediate goods trade.
Processing trade is one of the basic forms of the
international fragmentation of production, as well
as China’s main way to participate in the inter-
national fragmentation of production (Lufeng,
2004). China’s processing trade export share of
total export increased from 5% in 1981 to 56% in
1996, then at around 55% by 2009. Obviously, the
fragmentation of production has been increasing.
Manufactured goods are the subject of China’s
participation in the international fragmentation
of production, which is an important form of
China’s participation in international economic
activity. It is a valuable research to accurately
measure the degree of international fragmenta-
tion of Chinese manufacturing industry and to
comprehensively analyze China’s manufacturing
industries’ participation in the international frag-
mentation of production.
Input–output method has been commonly
used in the literature to measure international
degree of fragmentation in the production of
our manufacturing industry (Zhao lei and Yang
Yonghua, 2011). Due to the unavailability of the
key variable—the intermediate input amount
of data—the intermediate goods imports were
assumed, that is, the proportion of industry’s
total import of intermediate products is equal
to the import of k industries. There are some
deviations from the intermediate input the actual
situation of various industries. Therefore, the
input–output method to measure the true degree
of international fragmentation of China’s manu-
facturing production has its limitations. There-
fore, this article uses the data of processing trade
which is relatively easily available to measure
China’s manufacturing industries’ international
fragmentation of production.

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CMEEE_book.indb 49 3/20/2015 4:10:34 PM

 2 MEASUREMENTS OF INTERNATIONAL
FRAGMENTATION IN PRODUCTION
BASED ON PROCESSING TRADE DATA
Processing trade is to use foreign parts, components
and other resources and to process, manufacture,
assemble and produce in domestic country, which
is then sold in foreign trade. Processing trade is one
of the basic forms of the international fragment of
production, as well as China’s main way to partici-
pate in the international fragment of production.
Measurements of international fragmentation in
production based on processing trade data are
mainly used in many literatures (Yeats, 1998; Görg,
2000; Baldone et al., 2001, 2007; Helg and Tajoli,
2005). Referenced Balassa index of revealed com-
parative advantage, and Baldone et  al. (2007), we
can construct a metric index of China’s manufac-
turing industries international fragment of produc-
tion as following:
PT
T jt / T jt PTX
X jt / TX
X jt
PijT =
RFP PijX =
, RFP
PT
Tt / Tt PTX
X t / TX t
PTM
M jt / TM
M jt
PijM =
RFP
PTM
Mt / TMt
Here, RFP PijT , RFP PijX and FP PijM , respectively,
represent the indicators of international fragment
of manufacturing production measured from the
perspective of trade import and export volume,
export and import; i represents trading nation, and
j represents some industry. PT T jt and PT Tt , respec-
tively, represent j industry’s import and export
volume of processing trade, and Chinese manu-
facturing industry’s import and export volume of
processing trade in the t year. T jt and Tt , respec-
tively, represent j industry’s import and export
volume, and Chinese manufacturing industry’s
import and export volume in the t year. PTM
PTX X jt , PTM
Mt and PTX X t , respectively, represent j
industry’s import and export volume of process-
ing trade, and Chinese manufacturing industry’s
import and export volume of processing trade in
the t year. MTT jt , XT
T jt , MT Tt and XT Tt , respectively,
represent j industry’s import and export volume,
and Chinese manufacturing industry’s import and
export volume in the t year.
3 DESCRIPTION OF THE DATA SOURCE
AND INDUSTRY SELECTION
3.1 Industry selection
According to the National industrial classification,
we select the manufacturing industries except arts and
crafts industry and the processing of waste recycling
CMEEE_book.indb 50
in 1997 and in 2002, other manufacturing industry in
1997, other industry in 2002, arts and crafts industry
and the processing of waste recycling in 2007. We
categorized some industries and unified their names,
such as classifying agro-food processing and food
manufacturing as food processing and manufactur-
ing, classifying wood processing and wood, bamboo,
cane, palm, grass products industry and furniture
industry in the year of 2002 and 2007 as wood
processing and furniture manufacturing, classify-
ing sawn timber processing and furniture, wood and
man-made board manufacturing and grass bamboo
rattan palm products manufacturing in 1997 as wood
processing and furniture manufacturing, so as to get
26 manufacturing industries. For the convenience of
following analysis, we encode the 26 manufacturing
industries (see the note of Table 1).
Table 1. Tendency of international fragment of China’s
manufacturing production based on the measurement of
processing trade export from 2001 to 2008.
,
Industry year C1 C2 C3 C4 C5 C6 C7
Average 0.55 0.14 0.05 0.48 0.66 0.75 0.67
(1)
Industry year C8 C9 C10 C11 C12 C13 C14
Average 1.02 1.35 1.19 0.48 0.42 0.38 0.48
Industry year C15 C16 C17 C18 C19 C20 C21
Average 1.50 1.03 0.41 0.28 0.73 0.58 0.77
Industry year C22 C23 C24 C25 C26
Average 0.75 1.39 1.20 1.62 1.46
Note: Corresponding of codes and categories: C1 (food
processing and manufacturing industry), C2 (beverage
manufacturing industry), C3 (tobacco industry), C4 (tex-
tile industry), C5 (textile and garment, shoes, hats manu-
facturing industry), C6 (leather fur and feather industry),
M jt , C7 (timber processing and furniture manufacturing
industry), C8 (papermaking and paper products indus-
try), C9 (printing and record medium reproduction), C10
(cultural educational and sports goods), C11 (petroleum
refining and coking), C12 (chemical raw materials and
chemical products manufacturing industry), C13 (phar-
maceutical manufacturing industry), C14 (chemical fiber
industry), C15 (rubber product industry), C16 (plastic
product industry), C17 (non-metallic mineral prod-
ucts), C18 (black metal smelting and rolling processing
industry), C19 (non-ferrous metal smelting and rolling
processing industry), C20 (fabricated metal products),
C21 (ordinary machinery manufacturing industry), C22
(special equipment manufacturing), C23 (transporta-
tion equipment manufacturing industry), C24 (electrical
machinery and equipment manufacturing industry), C25
(communication equipment computers and other elec-
tronic equipment manufacturing industry), C26 (instru-
mentation and cultural office machinery).
Source: Calculated based on IIR network database data.
50
3/20/2015 4:10:34 PM
 3.2 Data source
We can obtain the data in equation (1) from the
IIR network database such as import and export of
China’s processing trade imports and exports and
manufacturing data. But IIR network database
data on trade are classified by HS codes (Harmoni-
zation Code System Code), and are not according
to national industrial classification. Referring to
Cheng Bin (2002), we took the related merchandise
trade data in correspondence with the 26 selected
manufacturing industries. Then we obtained the
processing trade data of the industries. Processing
trade includes processing and assembling trade,
processing trade, processing trade and imports of
foreign-invested enterprises as an investment in
equipment and supplies. The time span of China
HS code of 4-digit data available in IIR network is
from 2001 to 2008.
4 DEGREE OF INTERNATIONAL
FRAGMENT OF CHINA’S
MANUFACTURING PRODUCTION
BASED ON PROCESSING TRADE
In equation (1), we use the 26  manufacturing
industries’ data such as export, import, import
and export trade, processing trade import and
export, and total amount of import and export
to calculate and measure the degree of interna-
tional fragment of China’s manufacturing pro-
duction from the point of import and export (see
Tables 1–3).
Table 1 shows the tendency of international frag-
ment of China’s manufacturing production from
2001 to 2008 measured by the export of processing
trade. From the perspective of average, C25 has the
highest trend. In addition, there are some indus-
Table 2. Tendency of international fragment of China’s
manufacturing production based on the measurement of
processing trade import from 2001 to 2008.
Industry year C1 C2 C3 C4 C5 C6 C7
Average 0.43 0.03 0.28 1.94 1.32 1.71 0.91
Industry year C8 C9 C10 C11 C12 C13 C14
Average 0.69 0.61 1.44 0.05 0.72 0.04 1.49
Industry year C15 C16 C17 C18 C19 C20 C21
Average 0.65 1.12 1.33 0.69 0.91 1.03 0.80
Industry year C22 C23 C24 C25 C26
Average 0.85 0.09 1.30 1.27 1.36
Source: Calculated based on IIR network database data.
51
CMEEE_book.indb 51
Table  3. Tendency of international fragment of
China’s manufacturing production based on the meas-
urement of processing trade import and export from
2001 to 2008.
Industry year C1 C2 C3 C4 C5 C6 C7
Average 0.50 0.12 0.09 0.70 0.72 0.88 0.73
Industry year C8 C9 C10 C11 C12 C13 C14
Average 0.75 1.15 1.25 0.24 0.60 0.18 0.89
Industry year C15 C16 C17 C18 C19 C20 C21
Average 1.28 1.07 0.61 0.45 0.83 0.68 0.78
Industry year C22 C23 C24 C25 C26
Average 0.81 0.85 1.24 1.47 1.37
Source: Calculated based on IIR network database data.
tries’ trends above 1  such as C8, C9, C10, C15,
C16, C23, C24 and C26. Other industries’ trends
are relatively lower, such as C2, C3, C17, C18, C12
and C13.
Table 2 shows the tendency of international frag-
ment of China’s manufacturing production from
2001 to 2008 measured by the import of process-
ing trade. Among them, C6 has the highest trend.
There are some industries’ trends above 1 such as
C4, C5, C10, C14, C16, C17, C24, C25 and C26.
Other industries’ trends are relatively lower, such
as C2, C3, C11, C13 and C23.
Table  3  shows the tendency of international
fragment of China’s manufacturing production
from 2001 to 2008 measured by the total amount
of import and export of processing trade. Among
them, C25 has the highest trend. In addition, there
are some industries’ trends above 1  such as C9,
C10, C15, C16, C24 and C26. Other industries’
trends are relatively lower, such as C2, C3, C11
and C13.
Obviously international fragment of produc-
tion measured by the total amount of import and
export of processing trade reflects the general par-
ticipation of China’s manufacturing industries.
But there are different tendencies of international
fragment of China’s manufacturing production
measured by the import or export of processing
trade. It also shows that some industries partici-
pate in the international fragment of production
mainly through the processing trade exports, such
as C8, C9, C15, and C23. While others participate
in the international fragment of production mainly
through the processing trade imports, such as C6,
C4, C5, C14 and C17. Other participations of
imports and exports are more prominent, such as
C10, C16, C24, C25 and C26.
3/20/2015 4:10:37 PM
 5 CONCLUSIONS
The advantages of using metrics based on process-
ing trade data to measure the degree of China’s
participation in the international fragmentation of
production is availability of data and that process-
ing trade imports and exports can comprehensively
reflect the situation and the characteristics of Chi-
na’s manufacturing industries’ participation in the
international fragment of production.
Measurements based on processing trade data
shows that from the perspective of overall imports
and exports, seven manufacturing industries have
higher degree of international fragmentation of
production, respectively: communication equip-
ment, computers and other electronic equipment
manufacturing industry, printing and record
medium reproduction, cultural and educational
sporting goods manufacturing industry, the rubber
products industry, the plastic products industry,
electrical machinery and equipment manufactur-
ing industry, instrumentation and cultural office
machinery. Other four industries have lower degree
of international fragmentation of production,
respectively: beverage manufacturing industry,
tobacco industry, oil processing and coking indus-
try and pharmaceutical industry. Papermaking
and paper products industry, printing and record
medium reproduction, rubber Product industry and
transportation equipment manufacturing industry
participated in the international fragmentation of
production through the export of processing trade.
Industries of leather fur and feather, textile indus-
try, textile and garment, shoes, hats manufacturing
industry, chemical fiber industry and non-metallic
mineral products participated in the international
fragmentation of production through the import.
Cultural educational and sports goods, plastic
product industry, electrical machinery and equip-
ment manufacturing industry, communication
equipment, computers and other electronic equip-
ment manufacturing industry and instrumentation
and cultural office machinery participated in the
international fragmentation of production through
both the import and export. Obviously, most of
China’s manufacturing industry had relatively high
52
CMEEE_book.indb 52
degree of participation in the international frag-
ment of production, and international fragment of
production greatly accelerated the growth of manu-
facturing output and exports in China. Meanwhile,
it also showed that China’s manufacturing output
and exports contained large amount of the foreign
investment. After the deduction of foreign inter-
mediate inputs, the real added value and export
of Chinese manufacturing industry might not be
so much, and so does the trade interests. So, what
kind of stage should Chinese manufacturing pro-
duction sections are in the international division of
production system, and how to strive for a higher
degree of fragmentation in the production with
high added value and more interest? This research
direction is worthy of further investigation.
ACKNOWLEDGMENT
This research is supported by Natural Science
Foundation of China (No. 71163047).
REFERENCES
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Feenstra, R.C. & Hanson, G.H. (1996), “Globalization,
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Hummels, D., Rapoport, D. & Yi, K.-M. (1998), “Vertical
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3/20/2015 4:10:37 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

The voltage-controlled low-pass filter based on FPGA frequency

measurement

Sheng-Qian Ma, Li-Rong Zheng, Juan-Fang Liu & Yan-Ping Ji

Key Laboratory of Atomic and Molecular Physics and Functional Materials of Gansu Province,
College of Physics and Electronic Engineering, Northwest Normal University, Lanzhou, Gansu, China

ABSTRACT: This paper describes the circuit and implementation method of the voltage-controlled
self-tracking low-pass filter, which uses FPGA to measure the frequency of the input signal, and uses a
special method to make frequency convert to corresponding voltage by D/A converter. Then the voltage
signal is input into voltage-controlled low-pass bi-quad loop filter circuit which is mainly composed of
an analog multiplier AD835 and the current feedback operational amplifier OPA658. Cut-off frequency
of the filter can automatically track the input signal frequency changes by adjusting the external control
voltage through FPGA programming. This paper describes the system work principles, infers the transfer
function of the filter and designs the circuit of voltage-controlled second-order low-pass filter. The filter
can realize the scope of the cut-off frequency up to 8 MHz. The simulation and experiment results show
the valid of the filter system designed.

Keywords: FPGA frequency measurement; D/A; frequency automatically tracking; voltage-controlled

low-pass filter

1 INTRODUCTION difficult to achieve the tracking of the frequency

The filter has a wide range of applications in the
fields of the signal processing, the data collection
and the communication systems. Especially, the
self-tracking filter plays an important role in the
field of the adaptive signal processing. There are
many kinds of methods to realize the automatic
self-tracking filter. The first is the state variable
method which can be carried out simultaneously
low-pass, high-pass and band-pass filter, but the
design and debug are troublesome and difficult to
control, and besides the components are discrete
and the non-linear effects are large. The second
method is the voltage-controlled method. Using
this method when the input signal frequency is
within the bandwidth of the filter, there is no
phase difference between the filtered signal and the
input signal. But the offset voltage and drift will
directly affect the stability of the low frequency.
The third method is using existing active filter chip.
This method does not require to know the signal
frequency in advance, and filtering frequency is
controllable, but there are some circuit noise and
signal aliasing problems in the course of the use,
even through clock frequency or pin programming
is difficult to achieve the filter cut-off frequency
continuous change. If the signal frequency changes
in a wide range, the above three methods are
of the input signal.
This paper proposes a voltage-controlled self-
tracking filter system that can control the cut-off
frequency of the filter by changing the external
voltage. In the system, FPGA is used to measure
frequency of the input signal, and D/A conver-
tor is used to convert the measured frequency to
voltage signal which will be input into the bi-quad
loop filter as the external control terminal to con-
trol the cut-off frequency to track the input signal
frequency changes automatically. Compared the
voltage-controlled filter designed in this paper
with other voltage-controlled filters, its cut-off
frequency can dynamically adjust, and filter-
ing speed is high, waveform is smooth and other
features.
2 FREQUENCY VOLTAGE CONVERSION
The frequency voltage conversion circuit is com-
posed of FPGA and D/A. FPGA measures the fre-
quency of input signal, and then D/A converts the
measured frequency into voltage. It is necessary to
establish a linear relationship between the meas-
ured frequency and the converted voltage. Then we
can obtain the voltage corresponding to different
frequency by finding the scale factor.

53

CMEEE_book.indb 53 3/20/2015 4:10:37 PM

 2.1 Frequency measurement circuit
based on FPGA
The frequency measurement circuit uses the
EP2C20F484C8  N of Altera Corporation as the
core chip. The chip have 50 MHz active crystal and
50 MHz active clock inside. The measured signal fin
is amplified, shaped and limited by signal preproc-
essing module, and the shaped rectangular pulse
fx is input into FPGA as the input signal. The dia-
gram of FPGA frequency measurement is shown
in Figure 1. Figure  2. The relation of linear frequency-to-voltage
The crystal oscillator provides 50  MHz clock convert.
signal fs. The signal fs is divided into two paths,
the first inputs into counter 2 as clock pulse, the
other one makes frequency division through signal Table 1. The measured and theoretical voltage values of
source module and generates 1  second gate time the frequency voltage conversion circuit.
Td, which is regarded as the clock input of the
fx/Hz 2M 4M 6M 8M
control module. The control module generates the
count enable signal EN and the reset signal CLR. Vx/V
When measuring, the first thing is resetting the two Theoretical 0.250 0.500 0.750 1.000
counters. When the signal EN is for high level and Measured 0.248 0.479 0.748 0.996
the rising edge of fx signal to be measured is arrived,
counters start to count the measured signal and the Relative error δ (%) 0.800 0.600 0.267 0.400
clock signal separately. When EN is for low level Absolute error/V 0.002 0.003 0.002 0.004
and the rising edge of fx signal to be measured is
arrived, counters stop counting. The count value is
latched and sent to display unit. Assuming within
in order to achieve a good linear relationship, we
a gate time Td, the count value of the measured
design that when the measured frequency is 8 MHz,
signal counted by the counter is Nx, and the count
the converted voltage is 1.00 V, and when the meas-
value of the clock signal is Ns, then the frequency
ured frequency is 0  Hz, the converted voltage is
of the measured signal is fx N x /N s fs .
0.00V, thus we can get that the conversion relation-
ship between the measured frequency and the con-
2.2 D/A conversion circuit verted voltage is
D/A conversion circuit is mainly responsible for
fx = 8 × 106 Vx (1)
converting the digital frequency measured by
FPGA to the corresponding analog voltage, and
From formula (1), we can calculate the corre-
loading the voltage signal into the control termi-
sponding conversion voltage. The relation of linear
nal of the voltage-controlled filter, it can change
frequency-to-voltage convert is shown in Figure 2.
the cut-off frequency of the filter, so as to achieve
The measured and the theoretical voltage val-
the goal of the cut-off frequency automatically
ues of the frequency voltage conversion circuit is
tracking the input signal frequency. This design
shown in Table 1. From the table, we can know the
uses a programmable dual 12 bit converter, that is
error of the frequency voltage conversion circuit
TLC5618 AC D/A converter.
is small.
Supposing the measured frequency fx is from
0 Hz to 8 MHz, the voltage is from 0.00 V to 1.00 V,
3 DESIGN OF VOLTAGE-CONTROLLED
TRACKING FILTER

The system diagram of the voltage-controlled

Figure 1. The diagram of FPGA frequency measurement.
tracking filter is shown in Figure 3. The input sig-
nal fin is divided into two paths, the first is trans-
formed into rectangular wave signal fx through
amplifying, amplitude-limiting and shaping, and
put fx into FPGA to measure the frequency, then
use the special linear frequency-to-voltage conver-
sion method to control D/A convert the measured

54

CMEEE_book.indb 54 3/20/2015 4:10:37 PM

 U4, R5 and R7 can reduce the closed-loop gain,
improve the stability of gain and decrease the non-
linear distortion. U1 can achieve the square of the
signal, which makes a linear relationship between
the cut-off frequency and the input frequency. U1
and U3 are both four quadrant analog multiplier
AD835, U2, U4 and U5 are low power current feed-
back operational amplifier OPA658, D0, D1, D2
and D3 are resistance network, Vx is voltage control
terminal, fin is input signal terminal, fout is filtered
signal terminal.
According to Kirchhoff’s law, we can obtain:

VW = Vx2 (2)
Figure 3. The system diagram of the voltage-controlled
tracking filter. Vout/R5 = VG/R7 (3)
VWVF = VE = VoutC1sD2 (4)
Vin/D0 = VF/D3 + VFC2s + VG/D1 (5)

According to the formula (2–5), the transfer

function of the filter is:

Vx2
Vout C1C2 D0 D2
H (s) = = (6)
Vin s Vx2R7
s +
2
+
C2 D3 C1C2 D1D2R5

According to the formula (6), it can deduce the

cut-off angular frequency is

ωLP = (VxR71/2)/(C1C2D1D2R5)1/2 (7)
Figure  4. The diagram of the voltage-controlled sec- the gain factor is
ond-order low-pass filter circuit.
K = (R7D0)/(R5D1) (8)

frequency into the corresponding analog volt- the quality factor is

age Vx, which is the voltage control terminal of
the filter. The other one is as the input signal of QLP = C2D3ωLP (9)
voltage-controlled filter, so that the combination
of the two signals can realize the function of the so the cut-off frequency is
frequency tracking automatically.
fLP = (VxR71/2)/[2π (C1C2D1D2R5)1/2] (10)
3.1 Design of voltage-controlled second-order
When taking C1  =  C2  =  C, D0  =  D1  =  D2  =  D,
low-pass filter
R5 = R7, it can deduce
The second-order voltage-controlled filter circuit
is achieved by using the analog multiplier and fLP = Vx/2πDC (11)
introducing into bi-quad loop filter circuit model,
its circuit is shown in Figure  4. The addition of The formula (1) is substituted into formula (11),
damping integrator composed by D0, D1, D3, C2 it can obtain
and U2 plays a role of automatic compensation.
The inverting integrator composed by D2, C1 and fLP = fx/(8 × 106 × 2πDC) (12)
U5 is used as the linear modulator to complete the
pulse width demodulation. The inverting input It can be seen from (12) the cut-off frequency of
closed-loop operational amplifier composed by the filter designed will change linearly with input

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CMEEE_book.indb 55 3/20/2015 4:10:38 PM

 Figure 5. The experimental and theoretical values comparison of the amplitude-frequency responses of the voltage-
controlled second-order low-pass filter.

frequency as long as adjusting the value of capaci- Table 2. The comparison of the measured and theoreti-
tance and resistance reasonably. cal values of the cut-off frequency of the second-order
low-pass filter.

3.2 The experimental result f0/KHz

Relative
In the actual measurement, when taking C1 = C2 = Vx/V Measured Calculated error δ (%)
C = 100pf, D0 = D1 = D2 = D = 200Ω, D3 = 115Ω,
R5  =  R7  =  500Ω, then according to formula (12), 0.1 796.20 795.77 0.054
it can deduce fLP  =  fx, fx is the frequency signal 0.4 3184.70 3183.08 0.051
after fin amplifying, amplitude-limiting and shap- 0.7 5573.30 5570.39 0.052
ing, so fLP  =  fx  =  fin, that is, it realizes the cut-off 1.0 7961.80 7957.70 0.051
frequency to track the input frequency. From for-
mula (11), it can deduce the cut-off frequency of
filter is fLP = 7.9577 × 106Vx. The amplitude of the 4 CONCLUSION
input signal is taken 1.0 V, the control voltage Vx
are taken 0.1 V, 0.4V, 0.7 V, 1.0 V, for physical test- This paper describes a method that firstly uses
ing, the actual measured corresponding cut-off fre- FPGA to measure the frequency of input signal,
quency are 796.2 KHz, 3184.7 KHz, 5573.3 KHz, and uses the special method to control D/A to
7961.8  KHz, the experimental and theoretical convert the measured frequency into the corre-
values comparison of the amplitude-frequency sponding voltage, then inputs this voltage signal
responses is shown in Figure 5. into analog multiplier which is a filter unit to con-
From Figure  5, it can be seen that when the trol the cut-off frequency of the filter indirectly.
second-order voltage-controlled low-pass filter Based on the proposed design method, we design
taking different control voltage Vx, the cut-off fre- self-tracking second-order low-pass filter circuit,
quency will realize to change and track the input the input signal frequency ranges up to 8 MHz to
signal. The advantages of this method are wide ensure the cut-off frequency of the filter can track
range of adjusting and tracking and high precision. automatically the input signal. The experimen-
Detailed error analysis is shown in Table 2. tal result matches well with the theoretical value,

56

CMEEE_book.indb 56 3/20/2015 4:10:39 PM

 which can prove the correctness and effective of
circuit design. The structure of circuit is simple and
conveniently controlled. And the filter system has
an ability of fast tracking input signal change, and
good real-time dynamic characteristics. It can be
widely used in all aspects of the signal processing.
ACKNOWLEDGEMENT
In this paper, the research work was sponsored
by the Natural Science Foundation of China
(61162017), Department of Education-fund pro-
jects in Gansu (1101–03) and Northwest Normal
University NWNU-LKQN-13-16.
REFERENCES
Guo. C.P, Ni. W.Q. 2013. The stability analysis of volt-
age-controlled voltage source filter. Journal of Luoy-
ang Normal University 32(5): 32–34.
Horng. J.W, Hou. C.L. 2005. Voltage-mode universal
biquadratic filters with one input and five outputs
using MOCCIIs. Computers and Electrical Engineer-
ing 31: 190–202.
57
CMEEE_book.indb 57
Jiang. Z.P. 2010. Design and implementation of FM
exciter. Communication technology 9: 50–53.
Li. X.P, Xu. J, Li. J. 2006. The principle and implementa-
tion method of the voltage-controlled filter. Modern
Manufacturing Engineering 10: 114–115.
Ma. S.Q, Ran. X.P, Fan. M.H. 2013. The design of the
self-adaptive low-pass filter. Piezoelectrics & Acous-
tooptics 35(2): 245–249.
Rezaei. F, Azhari. S.J. 2011. Ultra low voltage, high per-
formance operational transconductance amplifier and
its application in a tunable Gm-C filter. Microelec-
tronics Journal 42: 827–836.
Shi. X.C, Liu. S.L, Yu. M. 2010. The design of the anti-
aliasing filter using the monolithic integrated active
filter chip. Automation and instrumentation 3: 10–11.
Tao. L.M, Li. Y, Wen. X.S. 2007. Signal tracking filter
method based on technology of switched capaci-
tor and its application in Rotor Balancing. China
Mechanical Engineering 18(4): 427–430.
Yang. Z.M. 1999. A basic method of the circuit based
on the operational amplifier converted into the circuit
based on CFA. Journal of Northwest normal univer-
sity (natural science edition) 35(2): 31–38.
Yu. W.W, Yan. D.T, Yang. Y. 2008. The engineering
design and application of the automatic tracking fil-
ter based on MAX260. Modern electronic technology
31(5): 76–78.
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Departure capacity assessment of close staggered parallel runways

J.G. Kong, X. Li & W.B. Ding

School of Air Traffic Management, Civil Aviation Flight University of China, Guanghan, Sichuan, China

ABSTRACT: First, this article analyzes the staggered layout of closely spaced parallel staggered run-
ways, its advantages compared to the traditional closely spaced parallel runway system and operating
mode of the departure of aircraft. According to its operational characteristics, this paper learns from
the departure capacity calculation model under mixed operation mode of single runway to establish the
departure capacity calculation model of closely spaced parallel staggered runways. Then, it takes a group
of closely spaced parallel staggered runways of Shanghai Pudong airport which consists of runway 1 and
runway 3 as example, collects the relevant operational data, and uses the established model to do the data
simulation to obtain the departure capacity of this parallel runway system.

Keywords: closely spaced parallel runway; staggered; departure capacity

1 INTRODUCTION one runway for departure, the other runway for

At the beginning of the 1970s, the USA and Europe
began to raise closely spaced parallel runways tech-
nology. At present, the rapid development of the
civil aviation market which makes the construc-
tion of airports and other infrastructure needs a
lot of land resources, but because of limited land
resources, national efforts to control the basic con-
struction land get more and more, making building
large spaced parallel runway system economy and
social costs unbearable. Therefore, there is a need
in the finite field area within, to achieve the maxi-
mization of the runway capacity, improve the oper-
ational capability of the airport, only through the
design different layouts runway system to achieve.
In the country, in March 2008, Pudong Airport
closed runway operation mode enabled, becoming
China’s first implementation of the operating mode
of the close-up runway airport. In March 2010,
the Shanghai Hongqiao International Airport was
officially opened a second runway, formed a group
spacing of 365  meters with the original runway
closely spaced parallel runways.
2 CLOSE STAGGERED PARALLEL
RUNWAYS OPERATING
CHARACTERISTIC
Closely spaced parallel runway is a combination of
running parallel runways. Reference to FAA regu-
lations and some European countries, the defini-
tion of closely runway is less than 760 meters to the
distance between the two parallel runway centerline,
arrival, to establish a correlation between departure
and arrival safety interval. The implementation of
this way of running parallel runways called closely
spaced parallel runway, referred to closely runway.
In a certain mode of operation, flight procedures,
air traffic control and communications and naviga-
tion equipment conditions, closely spaced parallel
runway capacity is much larger than a single run-
way, but the land used for significantly less than
the distance parallel runways. Accordance with the
provisions of <The parallel runways instrument
operation and management regulations>, closely
runway’s operation mode only with one arrival one
departure, and Article 43 of <China's civil aviation
air traffic management rules> also made clear that,
The two aircraft use the parallel runways which
centerline intervals less than 760 meters should be
equipped with wake turbulence separation.
However, due to geographical constraints, or
the flight procedure design considerations, many
closely spaced parallel runways is designed to be
the threshold of the two runways staggered, We
call this system of closely spaced parallel runways is
close staggered spaced parallel runway[1]. Runways
threshold staggered can be achieved in three ways:
the runway threshold physical staggered; thresh-
old displace; and combination of both. Research
indicates that runway threshold have to stagger at
least 300 m to significantly enhance closely runway
capacity[2]. However, completely physical staggered
will increase the amount of land use, and when
the runway system uses the most common along
with one arrival and one departure, with the run-
ning direction of the change, takeoff and landing

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CMEEE_book.indb 59 3/20/2015 4:10:39 PM

 can learn from the capacity calculation method
of single runway under the mixed operation. At
first, we discuss the interval requirements of two
arrival aircraft when insert the departure aircraft.
Suppose that:
1. Lδ is the spacing of close staggered parallel run-
ways, Lγ is the departure runway’s threshold
Figure  1. The operation mode of one arrival and one displace;
p
departure. 2. Vi A is arrival aircraft Fi final approach speed,
Ti A is the time reach the approach runway’s
threshold;
runway must be interchanged. Thus, in the non- 3. V j A is arrival aircraft Fj final approach speed,
primary landing direction will inevitably lead to T j A is the time reach the approach runway’s
outside takeoff and inside landing, it’s unreason- threshold;
able for the safe operation, runway capacity and 4. RTT j A is arrival aircraft Fi occupied runway
infrastructure investment. Therefore, in the design time;
of close staggered parallel runway system, gener- 5. L is the limit distance which Fj away from
ally use the runway threshold displace or combina- approach runway when departure aircraft take
tion of physical staggered and threshold displace, off;
able to deliver the promised runway capacity, sav- 6. Ti D is departure aircraft occupied runway
ing the runway construction land and to maintain time;
safe and efficient operation. 7. Ti j A is the time interval which can inserted
In accordance with ICAO’s current air traffic departure aircraft between two consecutive
control rules, the closely spaced parallel runway, arrival aircraft.
regardless of how much runway spacing and how
p
When departure aircraft need to take off, time
far away the runway threshold staggered are not
interval Ti j A is calculated as follows:
allowed to implement parallel instrument approach.
Appropriate threshold staggered to help the closely
spaced parallel runway parallel approach, and Ti j A T j A − Ti A = RT
Tj A L /V j A ( N − 1) × RT
Ti D
thus significantly increase the runway capacity.
This article focuses on the close staggered parallel where N is the number of departure air-
runways departure capacity under the operation craft could take off, it is obviously that when
mode of one arrival one departure. Between two Ti j A > RT
T j A ( N − ) × RT Ti D , departure aircraft
arrival aircraft, departure aircraft to leave the field can take off.
under the appropriate security conditions, shown When departure aircraft take off, arrival aircraft
in Figure 1. need maintain a certain time interval with departure
aircraft, which to make ensure that the two run-
ways at the same time only one aircraft. According
3 DEPARTURE CAPACITY ASSESSMENT
to the actual situation of the relevant rules of the
MODEL OF CLOSE STAGGERED
air traffic control and airports,
p we can set a safe
PARALLEL RUNWAYS
interval value Ts , and T j AD is the actual time inter-
val between arrival aircraft and departure aircraft,
First analyze the characteristics of the runway
only T j AD Ts departure aircraft could take off, or
system before in the assessment of close staggered
stand by. This could be calculated as follows:
parallel runways departure capacity[3]:
1. The priority of the arrival aircraft;
2. At the same time, only one aircraft on the two
T j AD = ( L L +L Vj A )
runway;
According to the above discussion, departure
3. Arrival aircraft from the runway threshold time
interval of departure aircraft decided by mini-
is less than Ts, the departure aircraft have to Ti j D , departure
mum safety clearance interval minT
hold;
4. After arrival aircraft landing, departure aircraft
aircraft occupied runway time RT Ti D and arrival
aircraft occupied time ( j AD A . Departure
i )
on another runway can take-off.
interval:
In the current operating conditions[4], the flow of
arrival aircraft and departure aircraft is related in
close staggered parallel runway, so close staggered Ti j D ( ρ)MAX
M (min Ti j D , RTTi D )
parallel runway’s departure capacity calculation + ρ ⎡⎣MAX (min Ti j D , RTTi D ) + (T j AD Ti A ) ⎤⎦
RT

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CMEEE_book.indb 60 3/20/2015 4:10:39 PM

 where Ti j D the departure interval of two consecu-
tive arrival aircraft is, ρ is the proportion of depar-
ture aircraft cannot take off due arrival aircraft,
which can obtained by historical statistical data.
Fij D is the combination model of two consecutive
departure aircraft, so the average time interval of
consecutive departure aircraft on the close stag-
gered parallel runways could calculate as follows:
n n
E [Ti j D ] = ( ρ)∑ ∑ Fij D M
MAX (min Ti j D , RT
i =1 j =1
n n
+ ρ ∑∑ Fij D ⎡M
⎣MAX (min Ti j , RTi )
i =1 j =1
+ (T j AD
And departure capacity of close staggered par-
allel runways CCL is:
1
CCL =
E [Ti j D ]
4 DEPARTURE CAPACITY ASSESSMENT
OF SHANGHAI PUDONG
INTERNATIONAL AIRPORT
The spacing between the 1st and the 3rd runway in
Shanghai Pudong International Airport is 450 m,
the Stagger distance is 600  m. According to the
<2008 Pudong Airport demand forecasting and
resource allocation Technical Report>, the propor-
tion of heavy aircraft (FH) is 46.5%, moderate air-
craft (FM) is 53.5%. Operation of aircraft model is
shown in Table 1.
We suppose the final approach speed of heavy
aircraft is 150 knot, occupied runway time is 60 s;
the final approach speed of moderate aircraft is
130 knot, occupied runway time is 50 s. The limit
distance which arrival aircraft from approach run-
way when departure aircraft take off is 2 nm[5], in
closely spaced parallel runways, the minimum wake
turbulence separation between two departure air-
craft is 2 minute. Generally cleared one departure
aircraft takeoff between two consecutive arrival
Table 1. Operation of aircraft model in
Pudong Airport.
Aircraft model
Proceed: FH; after: FH
Proceed: FH; after: FM
Proceed: FM after: FH
Proceed: FM after: FM
CMEEE_book.indb 61
aircraft in actual operation, the capacity of the
runway system reaches the maximum, and N = 1,
ρ = 0.5 [6]. Based on the collected data, we can cal-
culate the departure capacity of close staggered
parallel runways is 31.8 flights per hour, average
departure interval is 113.2 s.
5 EPILOGUE
Ti D ) At first, this article analyzes the structure and
operational characteristics of close staggered par-
D D
allel the runways, then uses the calculation model
of mixed operation mode of the single runway,
established the departure capacity calculation
RTi A )⎤⎦
model of close staggered parallel runways and col-
lect actual data validated the model. Through this
practice, I hope to provide some useful reference
for close staggered parallel runways fully utilized
and reduce flight delays.
REFERENCES
[1] Guo Hai-qi, Zhu Jin-fu. Calculation models of
capacity and delay for closely spaced parallel runway
[J]. Journal of Traffic and Transportation Engineer-
ing, 2008, 8 (4): 68–72.
[2] Wang Wei, Wang Mei-ling, Qian Xue-bing. Study on
Method of Determination of Centrally Distance and
Threshold Staggering Manner for Closely Spaced
Parallel Runways of Airport [J]. Journal of Civil
Aviation University of China, 2011, 29 (2): 23–26.
[3] Richard de Neufville, Amedeo Odoni. Airport Sys-
tems: Planning Design, and Management [R]. Beijing;
China civil Aviation Press, 2006.
[4] Milan Janic. A Model of the Ultimate Capacity of
Dual Dependent Parallel Runways [R]. Delft: OTB
Research Institute Technical University of Delft:
2006.
[5] Hu Ming-hua, Liu Song, Su Lan-gen. Research of
Airport Capacity Estimation Model Based on Sta-
tistic Analysis [J]. Journal of Data Acquisition &
Processing, 2000,15 (1): 74–77.
[6] Wang Wei, Li Wei. Airport Capacity Calculation of
Closely Spaced Parallel Runway under Operation
Mode of One Arrival and One Departure [J]. Journal
of Civil Aviation University of China, 2009, 27 (3):
20–22.
Proportion
21.62%
24.88%
24.88%
28.62%
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© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

The control design of blast furnace clay gun play mud quantity

B.H. Jiang, J. Mei, X. Zhao, D.C. Gao & H. Liu

Institute of Electrical and New Energy, China Three Gorges University, Yichang, Hubei, China

ABSTRACT: The hydraulic clay gum is a key equipment of blast furnace smelting. This article mainly
describes the control system design of blast furnace clay gun play mud quantity. It analyses the error of
clay gun and gives a method to reduce the error which can reduce the loss of engineering effectively. In
addition, it also briefly describes the hydraulic system and the detection device of play mud quantity.
Then the design and implementation of the relevant hardware and software are discussed in detail and the
interrupt subroutine is given. The result indicates that it improves the operational reliability and fulfills
the production requirement continuing to strengthen in industry.

Keywords: clay gun; blast furnace; hydraulic system; play mud quantity

1 INTRODUCTION

With the continuous development of the iron and

steel enterprise, the higher requirements are put
forward in view of the blast furnace. After the iron
is come out when the blast furnace is opening every
time, the amount of clay gun that is input along the
channel of molten when the clay gun is blocking
up the iron mouth will affect the iron mouth depth
of blast furnace. When the blast furnace smelting
system becomes more and more sophisticated, the
corresponding precision of blast furnace clay gun
play mud quantity is higher and higher. This makes Figure 1. The principle diagram of hydraulic system.
the use of flow meter in the system of play mud an
inevitable trend[1].
In order to accurately control the play mud
2 THE DETECTION DEVICE OF PLAY
quantity, the system of clay gun should install
MUD QUANTITY
flow meter. It provides the operator with intuitive
data and convenient operation, at the same time it
In the process of playing mud, as the route of the
can avoid unnecessary loss of clay gun[2]. Figure 1
bod cannot be precisely measured in real-time, play
displays the principle diagram of the hydraulic
mud quantity cannot be accurately detected. This
system.
detection system of mud amount is through the
As is shown in Figure 1, when the iron mouth of
flow test device to test the hydraulic flow. Based
blast furnace need to be plugged up, hydraulic pro-
on the principle of clay gun, as is shown in the
portional valve XZ3 power on, oil inputs through
literature[3], the actual route of the bod is:
the A2 cavity and returns through the B2 cavity.
The piston moves to the right driven by the pres- V oil V
sure and the bod connected to the piston rod also L= = mud (1)
moves to the right. Therefore clay gun can input π R mud
2
π R 2oil
the iron mouth of blast furnace through the mouth
of clay gun. From equation (1):
Flow sensor is installed in the return pipe 2
R mud φ mud
2
mud = Vooil × = Vooil ×
channel because it can only be used in the single Vm (2)
2 2
direction. When reverse flowing, it will result in R oil φ oil
the differential pressure of flow of the import and
export increases. For a long time, it can cause dam- Due to the diameter of the mud cylinder and oil
age of the flow sensor. cylinder (φ mud φ oil ) of the clay gun is determined.

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CMEEE_book.indb 63 3/20/2015 4:10:43 PM

 When the hydraulic flow (Voil) in the process of
playing mud is known, we can calculate the play
mud quantity (Vmud) through equation (2).
In the process of playing mud, there is some
error between the play mud quantity of the cal-
culation and the actual requirement. The ratio of
K between the calculation and the actual require-
ment is set as 0.95 according to the experience. The
play mud quantity of the calculation multiplied by
the proportion K is equal to the actual play mud
quantity. At the same time, the proportion coeffi-
cient is saved in the PC so that you can change the
actual play mud quantity by changing the propor-
tion coefficient.

3 THE CHOICE OF SYSTEM

CONTROLLER AND MODULE

In accordance with the control requirements of the

hydraulic clay gun, we increase by 15%–20% spare
capacity base on the I/O points of actual statis- Figure 2. Calculation flow chart of subroutine for mud
amount.
tics to adjust and expand afterwards. At the same
time, the input and output expansion units should
be made full use of to improve the utilization rate
of the host. Thus, the S7-200 CPU226 series PLC
is adopted. The amount of mud of the system is
a simulation, thus analog input and output mod-
ule is used. This system uses the S7-200  series
EM235 module[4]. Its resolution is 12 bit A/D con-
verter and the current input range is 0–20 mA which
can meet the requirement of system control.

4 THE DESIGN OF THE SYSTEM

PROGRAM

In the process of playing mud of blast furnace

hydraulic system, the play mud quantity is the key
part. In view of the play mud quantity, we design
the subroutine of the play mud quantity as shown
in Figure 2.
The system begin to start and initialization, reset
and assign a default value in the register VD200.
At the same time, the total amount of mud of mud
cylinder is put in the register VD100.
When the rotated gun turns the position and the
play mud handles start then the system start play-
ing mud. As is shown in Figure 2, every 0.2 seconds
regularly get flow and put it in the VD118 register.
The each flow is added up through the accumulator
then the accumulative value multiplied by propor-
tion coefficient K and stored in the VD110 register.
Comparing the value in VD110 register with the
present value, if the accumulated value is less than
the present value, continued to play mud until the
accumulated value is more than the present value. Figure  3. Ladder diagram of reading flow for timer
The injection of clay gun is stopped and gets into interrupt.

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CMEEE_book.indb 64 3/20/2015 4:10:44 PM

 the holding state. In the measurement, what we get
is just the oil quantity (Voil) in the process of play-
ing gun, and then through equation (2) we can get
the play mud quantity (Vmud).
After playing mud each time, each of the
accumulative amount of mud is accumulated by
accumulator and the total of accumulated mud
volume is stored in the VD210 register. The amount
of mud of mud cylinder is known, when the resid-
ual amount of mud (that is the total amount of
mud minus the mud volume which has played in
the VD210 register) only 10% of the total amount
of mud, then an alarm signal is created.
In this article, the taking of flow regularly uses
interrupt timing instead of a timer. If the timer is
used, the execution of the program is limited by
the bondage of the scan. But the interrupt timing
is different, as long as the interrupt time comes
then execute the interrupt subroutine which can
enable the timing more accurate. Timer interrupt
subroutine is shown in Figure 3.
5 THE ERROR ANALYSIS AND
MEASURES OF PLAY MUD QUANTITY
In the process of playing mud of blast furnace
hydraulic system, the actual play mud quantity of
iron notch will produce deviation because there is
air gap and thus affect the effect of blocking up
iron mouth[5]. The solution is: increasing the work-
ing oil pressure of rotated gun hydraulic cylinder
to increase the force that presses the gun. The most
effective and direct way to increase the working oil
pressure of rotated gun hydraulic cylinder is to add
a pressurization system to the hydraulic oil pump.
When the hydraulic clay gun is within 0.5  meters
from the tap hole position, the manual reversing
valve of pressurization system is opened which leads
to the increase in pressure of rotated gun hydraulic
cylinder. At the moment, the speed of rotated gun is
also accelerated, the air in the iron mouth will also
65
CMEEE_book.indb 65
be reduced and the mud is more close which greatly
reduces the error of play mud quantity.
6 CONCLUSIONS
The control system adopts Siemens S7-200  series
programmable controller. The control design of
play mud quantity detection in the hydraulic system
of clay gun blast furnace is completed. It greatly
improves the accuracy of the clay gun play mud
quantity and the ability of quantitative control. It
keeps the depth of the iron notch at the best depth.
In addition, it provides corresponding guarantee
to realize the stable production and high yield of
blast furnace. At the same time, it can improve the
using efficiency of clay gun and generate huge eco-
nomic benefits. The system also has the warning
function of flow which is conductive to the stabil-
ity of the system.
REFERENCES
[1] Liu Libing, Zhou Xuebing, Gao Jingbo, Wang
Baohu. The improvement and perfection of the
system of Hangang 3200 m3 blast furnace clay
gun [J]. China’s new technology and new products,
2013(2):7–7.
[2] Sun Jiarong, Kong Ju. The research and applica-
tion of digital play mud quantity detection technol-
ogy in the operation of blocking up iron notch [C].
Shangdong iron making proceedings of academic
exchange, 2009(9):182–183.
[3] Yu Chenglong. Blast furnace clay gun play mud
quantity indicating device improvement and applica-
tion [J]. Electronic test, 2013(4):121–122.
[4] Xiao Junming, Zhang Rui, Jiao Lingyun, Zhu
Haiming. The application of S7-200 PLC in the tem-
perature control system [J]. Journal of zhongyuan
institute of technology, 2010(6):13–15.
[5] Lu Shikui. Reasons for the Difficulties in Clay
Gunning in NO. 1 BF Taphole and Its Measures [J].
Bao-steel technology, 1996(2):1–3.
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Research and implementation of coal traffic video management system

based on the technology of image tracking and recognition

S.J. Jin
Mechanical Engineering College, Jilin Agricultural Science and Technology College, Jilin, China

ABSTRACT: This article introduces in detail the three components of video monitoring system of coal,
by means of the target tracking technology and the effective integration of the license plate recognition
technology, combined with the rotation of the PTZ function. At the same time, it realizes the clearer tar-
get image from different angles of scanning, improves the accuracy and rapidity of system identification;
it is realistic and has a significant role in the reasonable exploitation and utilization of coal resources.

Keywords: target tracking; image identification; vehicle monitoring system

1 SYSTEM HARDWARE INTRODUCTION communication format, the system make the PC to

The system use the DVR—SV4125  industrial
computer as the upper machine of this system,
the computer for anti-interference ability is very
strong, it can be implemented in a very bad envi-
ronment normal work. Considering the system
actual application environment, the whole video
monitoring and control system hardware is mainly
composed of four parts: vehicle arrive induction
module, image acquisition module, PTZ control
module, PC and so on. The system hardware struc-
ture is shown in Figure 1.
2 THE MODULE OF VEHICLE ARRIVE
INDUCTION HARDWARE DESIGN
AND IMPLEMENTATION
read digital signals the arrival of vehicles or through
the module of the write operation to send commands
to lower computer. AC6652 is shown in Figure 2.
2.2 Isolating anti-interference module
Because the whole system working environment
is bad, it is easy to bring an interference to input
signal. In order to protect the normal signal of the
scene, this module uses a terminal card AC140 on
account of photoelectric isolation function. AC140
is shown in Figure 3.
The connection of terminal card AC140:
1. K0–K7: corresponds to the eight relays where
0–7 normally open switch contact, any one K
contact are two terminals that the correspond-
ing to relay switch contact all the way.

2.1 PCI switch plate

AC6652 is a low price general photoelectric isolat-
ing I/O board, with 16 road input, 16-way output.
Through the adoption of PCI trunk so as to real-
izes supporting plug and play and no address jump
line. At the same time, large-scale programmable
gate array which is used to design for improving
the reliability of system, AC6652  input support
5–24 V input, while output for the open collector
output (OC output, output chip: 6N33 or TIL113),
output drive current is greater than 30 ma, can eas-
ily drive miniature relays and the LED load.
AC6652 uses CH series of PCI interface chip
arrays as the master control chip. AC6652 PCI
switch board has the function of the photoelectric
isolation, It can receive signals from the AC140,
and then through the module processing into a PCI Figure 1. The system hardware structure.

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CMEEE_book.indb 67 3/20/2015 4:10:46 PM


Figure 2. AC6652 switch plate.
Figure 3. Isolating anti-interference module (AC140).
2. DI0–DI7: corresponds to the eight road photo-
electric isolation input of 0–7.
3. The GND: photoelectric isolation of input
ground, namely DI0–DI7 ground.
4. POWER: corresponds to the +12 V power input,
and the power supply cathode and photoelec-
tric isolated input ground GND is isolated from
each other.
2.3 Geomagnetic sensor
Accurately induction the vehicle arrival is the
first condition of the video monitor system, there
are many ways such as infrared, ultrasound and
magnetic induction, etc. Ultrasonic sensor is eas-
ily affected by the environment: when the wind
speed is above level 6, it is due to the reflection
wave produced drift and therefore unable to real-
ize normal detection; at the same time, people or
objects which in the bottom of the probe will also
produces reflected wave as form error checking.
In addition, the infrared sensor which is due to
ice fog, dust, etc in the job site, the normal work of
the system will also is affected. Geomagnetic signal
68
CMEEE_book.indb 68
is less affected by environmental factors, so, more
stable; this system uses a magnetic sensor.
Geomagnetic sensor is used when the vehicle
through earth’s magnetic field to realize the detec-
tion of vehicles, because the earth’s magnetic field
can basically constant in a few miles, large ferro-
magnetism objects will produce very large pertur-
bation to the earth’s magnetic field. Geomagnetic
sensor can distinguish the earth’s magnetic field
1/6000 with slight changes, when the vehicles pass
through the road, the impact of geomagnetic can
reach a fraction of geomagnetic intensity. To sum
up, using the geomagnetic sensor to detect the
vehicle have a sensitive enough.
3 IMAGE ACQUISITION MODULE
3.1 T Video acquisition card (Tian min
4000 Video acquisition card)
The video acquisition card is used to receive the
video input analog video signal In PC, so as to real-
ize the collection and quantitative for the signal,
and then the compression and coding become dig-
ital video. Because acquisition card has the hard-
ware compression, so in the acquisition of video
signal, it must be compressed firstly, and then
through the PCI interface of the compressed video
data transmitted to the host. Tian min 4000 Video
acquisition card is shown in Figure 4.
Ordinary PC video acquisition card mainly
adopts frame compression algorithm to the digital
video files into AVI files, high-end video acquisi-
tion card still can more directly the collected dig-
ital video data real-time compression into mpeg-1
format file.
Because the analog video input has the func-
tion of providing uninterrupted source, so acqui-
sition card has to gather any frames in simulate
video sequences, and before going to collect the
next frame image you should put the data file to
Figure 4. Tian min 4000 Video acquisition card.
3/20/2015 4:10:47 PM
 PC system. Therefore, key steps which in realizing
the collection of real time is the processing time
required for each frame. If more than the interval
of time between two adjacent frames, so the data
file will be lost, or to say frame Loss.
So when acquired the video sequence by acqui-
sition card, it is necessary to compress firstly, and
then deposited in the hard disk, namely the acqui-
sition and compression is always together, there
is no need for video sequence to compress again.
Different acquisition card collection is endowed
with different compression quality.
3.2 The selection and characteristics
of the camera
This system adopts the Sony company EVI-D30
color camera. Its main functions: automatic
Tracking. it through the camera to constantly auto-
matic obtain the user predefined themes. Around the
choice of the theme, it will gather the similar pixel
color and brightness. Based on optical reverse prin-
ciple and nonlinear reverse camera processing and
predefined themes which including the automatic
tracking function, automatic focusing, automatic
exposure, motion detection, so as to select a goal.
index are mainly considered in the choice of slew-
ing range, bearing capacity and rotational speed.
General PTZ all belong to cable control electric.
4.2 PTZ equipment installations
PTZ is usually associated with the camera which
by providing extra lines to make PTZ equipment
and the computer joining together. This circuit is
often connect with the computer in the form of a
COM port, On the other side, PTZ control of con-
verter, as shown in Figure 5.
PTZ control converter is connected to the com-
puter in the form of COM port, Figure  6  shows
the connection between PTZ control converter and
the PC.
4.3 PTZ control analysis
Through serial communication, it realizes the
communication between computer and PTZ.

4 PTZ CONTROL MODULE

4.1 PTZ introduction

PTZ is the support equipment which has a fixed
camera function, it is divided into two types: fixed
and electric. Fixed PTZ: it mainly used in small size
range of monitoring, when using, it is bound to
fix the camera in PTZ and adjust the angle of the Figure 5. PTZ control converter.
camera level and pitch, make its best work attitude,
finally lock adjusting mechanism. If you need to
scan and monitoring a wide range when electric
PTZ is used. Because it can expand the camera
monitoring field of vision, improve the actual use
value of the camera.
According to the characteristics of the rotary,
it can be divided into: horizontal rotating around
(rotating) and all-round (rotate and can up and
down or so). It turns to level 0–350 degree angle,
pitch angle of 0–90  degrees, some of them can
also automatically patrol. Electric PTZ posture
adjustment mainly through two force motor which
by accepting the controller signal to implement
the accurate operation positioning to realize the
rotation.
Through controlling signal, camera can auto-
matically scan on the area of monitoring, and can
through to the monitoring center on duty per-
sonnel to implement tracking monitoring object
manipulation. From using environment, it also Figure 6. Connection diagram of the converter and the
can be divided into: indoor and outdoor. The PTZ upper machine.

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CMEEE_book.indb 69 3/20/2015 4:10:47 PM

 PC provides only standard RS-232 interface, then
PTZ provides industrial standard RS-485  inter-
face, so it requires a RS232-485 converter to
RS-232  signals converted into RS-485 between
them. And PTZ is able to implement connected
with the computer serial port through the decod-
ers and RS232-485 converter, which is controlled
by procedure in the form of sending commands
to PTZ. These instructions are determined by
PTZ control protocol, so the manufacturer is
different, PTZ control protocol is also differ-
ent. This system adopted the protocol PELCO-
D2400.
5 SUMMARY
This article analyzes and designs the hardware of the
whole video management system. Considering the
application environment of the whole system,
the hardware structure of system can be divided
into the following three parts, respectively: vehicle
arrives induction part, image acquisition, PTZ
control part. And each part of the hardware and
70
CMEEE_book.indb 70
its working principle, the performance is specifi-
cally presented and analyzed.
REFERENCES
[1] Jialei Cui. 2008. the research between FY-1 receiving
system timing synchronization with PCI interface,
xi ’an university of electronic science and technology,
xi ’an.
[2] Sony EVI-D30/EVI-D31 Operating Instructions,
Sony Corporation, 2001.
[3] Shi jia jin, 2010. Research and application of image
identification and tracking technology in video man-
agement system of coal transportation, North-East
university master degree theses, Shenyang.
[4] Suliang Liu et al. 2006. Based on VFW video applica-
tion development, northwestern university institute
of visualization, 45(5):10–15.
[5] Xiaojing Liu & Yu Cheng, 2003. Car license plate
automatic identification technology research, journal
of nan jing university of aeronautics and astronau-
tics, 30(5):573–576.
[6] Xuqiang zhan et  al. 2001. Fast algorithm based on
MPEG-2 video target tracking, journal of Shanghai
jiao tong university, 35(9):1321–1324.
3/20/2015 4:10:48 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Residents air conditioning load management model studies

and impact analysis

B. Li & S.W. Li
Beijing Guodiantong Network Technology Co. Ltd., Beijing, China

S.X. Zhang
State Grid Information and Telecommunication Branch, Beijing, China

X.S. Jing, F. Wu & X.J. Weng

Beijing Guodiantong Network Technology Co. Ltd., Beijing, China

ABSTRACT: With the growth of the national economy and the people has improved continuously, the
electricity load to maintain a faster, higher growth, especially air conditioning load growth on the impact
of the economic operation of power grids, power supply and demand balance is growing. Based city of
intelligent air-conditioning load management model studies and impact analysis is the main research con-
tents of this paper, this paper focuses a comprehensive set to meet the city air conditioning load regulation
and energy management mode and control means, and its widespread implementation of urban energy
management and energy saving effect. The article describes the status and trends of the domestic air-
conditioning load growth, domestic and foreign air conditioning load management and energy conserva-
tion case studies of air conditioning load control mode and means of summary, and finally elaborated
promote the application of far-reaching impact.

Keywords: load regulation; energy conservation; air conditioning load

1 INTRODUCTION tions, Beijing grid will face the problem of power

With the enlargement of city scale, the improving
of the total urban residents, city industrial and
commercial the most efficient and comfortable
residence requirements has improved energy appli-
cation requirements for urban energy supply pres-
sure, especially during the peak of the high power
load to the urban power grid load carrying ability
put forward higher requirements, how to coordi-
nate and control city energy load pressure, ensure
stable operation of city power grid, improve urban
effect is the problem of the current must pay atten-
tion to energy saving and emission reduction.
According to statistics, Beijing July 14, 2011
power grid load between 18.5 to 19.1 million kilo-
watts, an increase compared to the same period in
2010 of 11.04%∼14.64%, of which about 40% of
air-conditioning cooling load. Beijing area total
power generation of 400  million kilowatts, about
78% of the electricity needed to send power plants
rely on electricity supply outside Beijing, dur-
ing the summer period, in the lack of an external
power supply capacity or extreme weather condi-
shortage.
Harbin July 27 sustained hot weather caused a
sudden increase in local residents air conditioning
electricity consumption, so that the local power
supply reached 40,734,000 KWH, compared with
the same date in 2010 of 23.5% growth in electric-
ity demand, the highest value. Due to the high
power air conditioners and other appliances in
use, resulting grid load appears short load “peak”,
which brings transformers and power lines over-
load and overload problems in terms of power
equipment; need emergency personnel at work
mobilize the majority of substation operator to
closely monitor the situation daily power load
growth, increasing the frequency of inspection
equipment, heavy duty power line contacts for
strengthening monitoring; serious impact on the
city safe and reliable power supply. Meanwhile,
in terms of grid construction load for a short
period of “peak” need to invest in large-capacity
transformers, electric peak load distributor and
other antihypertensive equipment, causing power
resources severely strained.

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 2 DOMESTIC PRESENT SITUATION AND to the survey results show that if the current set of
TREND OF AIR CONDITIONING LOAD air conditioning room temperature 2 °C more than
the summer, the peak power can reduce air con-
Based on the present situation of the air condi- ditioning load of 10% to 15%, namely cut about
tioning load, our first-tier cities (such as Beijing, 50–75  million KW power peak capacity require-
Shanghai and Guangzhou) air conditioning load ments, at ease tensions in the electric power at the
rapid growth, accounting for the proportion of the same time can save a large amount of electric power
total urban load continues to increase. Growing construction investment; About 2400–3500 tons of
air-conditioning load is mainly conditioned by the emissions of sulfur dioxide, carbon dioxide is about
urban cool in summer and winter air condition- 40–60 million tons. By the calculation, if the sum-
ing cooling load heating load composition. As the mer air conditioning temperature raise 1 °C, air
city air conditioning gradually into the household, conditioning energy consumption can be reduced
commercial and industrial buildings, causing rapid by 8%, only 4  million households in Beijing can
expansion of the application of air conditioning save about 108 million KWH.
equipment, its concentrated in summer and winter Prove that, our country the present situation
peak use, and promote the rapid rise in the city’s of the air conditioning load is air conditioning
total load. load absolute value growing every year, gradually
Beijing, for example, the proportion of Beijing’s become the city constitute the key influencing fac-
air conditioning electricity demand increased tors of high load pressure, if not for effective con-
every year. In 2000–2004, for example, the maxi- trol and management in the future, will cause the
mum power load in summer continues to rise, urban energy supply pressure is too large, reliabil-
from 676.8 KW to 9.5 million KW in 2000, the air ity and reduce the energy use of the city.
conditioning load ratio rose from 36.94% to 45%.
In recent years, the Beijing area’s air condition-
3 DOMESTIC AIR CONDITIONING LOAD
ing ownership from 2 sets/hundred households in
MANAGEMENT APPLICATION CASES
2001 rose to 22 sets/hundred households in 2011.
By 2012 the Beijing air conditioning has reached
To verify the residents and commercial users of
13 million units. Residents take conditioned aver-
air conditioning load as the feasibility of inter-
age power 1.3  KW, while the coefficient 0.5, the
ruptible load, the National Development and
load rate of 0.6 (the value of the experience gained
Reform Commission commissioned by the State
by the general air conditioning running), you can
Grid Corporation of China to carry out research,
get the 2012 Beijing air conditioning load which is
November 2011 Guo dian Tong organizations State
5070 MW.
In Shanghai, for example, Shanghai electric
power load is the cause of the sustained and rapid
economic development and people’s living stand-
ards continue to improve and to buy cooling prod-
ucts, caused by air conditioning load is a major
cause of electric power peak load to produce; The
temperature is damage the final determinant of
power load. According to statistics analysis, the
Shanghai summer air temperature at 30 °C above,
the temperature rise per 1 °C, about 240000  KW
load increases. But for days above 35 °C high tem-
perature, the heat accumulation of household, make
the lowest temperature at night will rise to more
than 27 °C, the growth of the load and speed will Figure 1. Networking diagram of the air conditioning
be faster. In smart grid as an example, according load empirical topics.

Table 1. Centralized control platform monitoring data.

2012 2012 2012 2012 2012 2012 2012 2013 2013

Category/date 06 07 08 09 10 11 12 01 02

Visual group 15.53 11.97 13.68 15.27 7.3 18.66 8.36 20.79 19.44
Control group 14.59 12.86 8.95 15.21 7.51 18.05 8.59 21.98 21.2
Base group 15.11 14.12 10.84 16.57 7.83 18.23 8.22 20.93 20.6

72

CMEEE_book.indb 72 3/20/2015 4:10:48 PM

 Grid Electric Power Research Institute, joint Beijing
Electric Power Company, Shanghai Electric Power
Company, Jiangxi Power Company, Chongqing
Electric Power Corporation and the Ningxia Electric
Power Company, relying on the already built four
intelligent village, three intelligent building air con-
ditioning load empirical research work.
3.1 Analysis of load control effect
Project using mature intelligent electrical products
(home gateway, intelligent electrical outlet, etc.)
and intelligent control user air conditioning tech-
nology for electricity, using electric power fiber
to the home technology to realize the application
platform of network architecture (Fig. 1).
Participating in the project to install 100 residents
in intelligent interactive terminals, smart home gate-
way, smart sockets and other equipment acquisition
and power consumption of air conditioning, accord-
ing to the subordinate transformer or become bench-
mark users can be divided into groups and utilization,
visualization and air conditioning control group, by
docking with electricity information acquisition sys-
tem, copy the user home electric meter data, achieve
air conditioning load management implementation
and monitoring of detailed data through centralized
control monitoring platform. According to the data
obtained from monitoring management platform of
empirical analysis platform on June 2012 to March
2013, as listed in Table 1.
Use group in the peak (specified group peak
hours electricity/designated group, the total electric-
ity consumption (calculated monthly cycle)) when
the power load control effect evaluation, the group
focused on the regulation of 6,8 months of 2012,
according to data analysis for June monitoring
platform of the air conditioning load control can
effectively reduce the air conditioning load ratio of
peak load, through June and August compared to
control frequency and control status directly affect
the depth of peak load (as shown in Fig. 2).
In August 31, 2012 air conditioning control, for
example, three strategies for control group were
used respectively to control air conditioning in the
home. Table 2 to carry out close operation control
group, the change of the air conditioning load, it
can be seen after regulation was implemented, the
air conditioning load of air conditioning control
group overall decline, the air conditioning load
regulation time have obvious rising trend.

3.2 Air conditioning load data analysis

Figure 2. Power consumption comparison group were
peaks when analyzing data.
According to the data in Table 2, the control group
using intelligent power device remote shut down
air conditioning, during the period of peak power
grid under the premise of good agreement with the
user, more than 50% of the users meet the control
requirements for 30 minutes, the user cooperation
degree is higher.

Table 2. Air conditioning load change.

Category Unit 19:55 20:05 20:15 20:25 20:35 20:45

Control group kW 31.16 17.78 20.60 22.80 27.39 31.10

Visual group 31.03 28.50 27.71 28.65 26.34 30.19
Control group of air-conditioning % – 95.44 67.22 55.67 41.56 27.15
closing rate

Table 3. Empirical project data.

City Data entry Unit Base group Visual group Control group

Beijing Maximum load kW 39.53 37.46 32.88

Minimum load 4.85 4.83 5.04
Valley-to-peak 34.68 32.63 27.84
Load reduction rate – 6.82% 38.12%

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CMEEE_book.indb 73 3/20/2015 4:10:48 PM

 According to the data in Table  3, after the
implementation of the regulation, control group
of 40 families peak valley is 27.84 kW. Compared
with the baseline group 34.68 kW and 32.63 kW of
visual group have significant lower, load reduction
rate of 38.12%.
Project results show: the effect of air-condi-
tioning load by implementing evidence-based
regulation, the regulation can effectively reduce air
conditioning load during peak hours power peak-
ing pressure, improve power supply reliability and
service levels, and help users build load shifting
consciousness. Prompting power grid load rate to
increase, hair power distribution equipment utili-
zation to be improved, improvement in power grid
operation state. In narrow peak valley electricity at
the same time, reduce the line loss of power trans-
mission and distribution network, improve the
economic benefit of the power grid operation as
a whole.
4 RESIDENTS OF AIR CONDITIONING
LOAD MANAGEMENT MODEL
RESEARCH
4.1 Residents general idea of air
conditioning load management
With the rapid growth of air-conditioning load of
the impact of the grid, the general idea of air con-
ditioning load management is divided into three
areas:
1. Strengthen macro-oriented government agencies.
In the energy air conditioning load under
the condition of serious damage to the power
grid security, air-conditioning load manage-
ment requires the active participation of the
whole, put forward the corresponding policies
and regulations, formulate policy guidance,
under favorable circumstances of promoting
technology mature energy-efficient appliances
and intelligent home appliance. Meanwhile
countries need to actively encourage the devel-
opment of advanced energy-saving technology
to achieve strategic policy in line with national
development of advanced energy-saving
technology.
2. Energy-efficient appliances manufacturer
actively cooperate with the government of nega-
tive control strategy.
The government needs to choose a home
appliances with energy-saving technologies of
home appliances manufacturers in line with the
actual situation of load management strategy,
by the implementation of load management
strategy can effective promote the use of intel-
ligent home appliances and help the government
74
CMEEE_book.indb 74
to achieve the goal of energy conservation and
emissions reduction.
3. Residents to actively participate in energy load
management strategies.
Formulate relevant policies to encourage and
guide the user to actively participate in electricity
power clipping. Under the guidance of the gov-
ernment’s macroeconomic policy, government,
energy-efficient appliances manufacturers and
users consist of the three closed loop network,
government policies and economic support,
energy-saving appliances manufacturers to pro-
vide energy-saving technologies and appliances,
residential customers use energy-efficient appli-
ances and normal fees paid in the economic,
material level achieved within the loop.
4.2 Residents air conditioning
load management objectives
Air conditioning load management through the
implementation of the air conditioning load man-
agement measures, from the viewpoint of power
industry in our country to realize the sustainable
development, not only can improve the efficiency
of energy use, effectively reduce the future demand
for energy, reducing energy consumption level, to
achieve power and the coordinated development of
environmental protection, is to achieve the devel-
opment goal of building a moderately prosperous
society in an all-round way, and is an important
part of national energy strategy.
For power grid at the same time, the effective
demand side management measures can reduce
the peak load and increase the low power con-
sumption, achieve peak shift, balanced load and
improve the effect of load curve, thereby increas-
ing the stability of power system operation and
reliability, guarantee efficient grid economic
operation. Air conditioning load management is
an important measure to ease the power shortage
situation, improve the efficiency of electricity use,
is a concrete manifestation of the scientific con-
cept of development, the promotion of energy,
economic, and environmental development of
great significance.
4.3 Residents air conditioning load
control and management methods
4.3.1 Residents air conditioning
load control method
The main reason for the air conditioning load
caused by sudden changes in power curve is due
to cooling and heating load required for residents,
cooling and heating load is always in dynamic
change, such as the outdoor environment and
human status, real-time impact on the residents’
3/20/2015 4:10:49 PM
 demand for air conditioning. General price guide
using the air conditioning load management, load
control management and other means, to achieve
the load curve shape to be adjusted to achieve effec-
tively reduce peak load electricity demand target.
Air conditioning load management has a direct
load control, load control and contract interrupt
request interrupt load control three types.
Direct load control, namely in the power sys-
tem load curve peak load period of time, through
electric power dispatching personnel issued
instructions, electric power marketing personnel
through to the construction of electric power com-
munication network, to direct jurisdiction area
air conditioning load and electricity at any time.
Reduce peak load users typically involved large
consumption of electricity or air conditioning load
into urban neighborhoods.
Contract interruptible load control, that means
through incentives, according to the contract
signed before, in the peak load curve segment, the
air-conditioning load control systems by directly
controlling the load dispatchers or after a direct
request user, interrupt the power supply. Users is
usually involved in contract the residents of the air
conditioning users.
Request interrupt load control, that is registered
in the area of the load control of air condition-
ing use, through the information management,
user interruption to the area air conditioning load
control request operation, new users can imple-
ment the air conditioning load control operation
to the negative control management, eventually to
perform corresponding compensation mechanism
for the user.
4.3.2 Residents air conditioning load management
Under the guidance of a unified government,
through the development of “air-conditioning
load management approach” and other policy
objectives, to achieve joint air conditioning man-
ufacturers and air conditioning units of energy-
saving technologies, users of air conditioning for
the promotion of energy-saving air-conditioning
products.
In the current market as a whole and residents
under the condition of using air conditioning, air
conditioning load management generally adopt
specific measures as follows: Air conditioning
load management policy measures; Encouraged
to promote energy-saving air conditioning, intel-
ligent air conditioning and new energy-saving air
conditioning technology; encourage and guide the
power user involved in the promotion of the use
of air conditioning electricity clipping; through the
government regulation and achieve tripartite joint
research on air conditioning load management;
Achieve the ultimate goal of air conditioning load
75
CMEEE_book.indb 75
management. for example, the Shanghai municipal
government in the public electricity side control
measures adopted for the peak air conditioning
load on government buildings, shopping malls and
hotels, such as the use of central air-conditioned
places, take effective nodes to avoid the peak
measures; in the civilian side of the home air con-
ditioning production specifications, and guide
the rational use of public air conditioning; use of
energy-saving air-conditioning; formulate relevant
policies to encourage and guide the user to actively
participate in electricity clipping.
4.4 Residents air conditioning
load management impacts
The use of air conditioning load management can
reduce the high cost of peak load, delaying the con-
struction of new peaking units, thereby saving total
system operating costs, peak clipping reduced the
peak period of purchasing electricity, while total
operating expenses will also be reduced.
According to the status constitutes a means
of load and peak load shifting and other current
analysis, the power company is still a lack of air
conditioning load, especially household air condi-
tioner load control means, the government has not
yet associated with air-conditioning control poli-
cies. Therefore, through the establishment of a cen-
tralized air-conditioning load control monitoring
platform will make up for the air-conditioning load
control means peaking blank, promoting effectively
reduce the air conditioning load, to enhance the
effectiveness and level of demand side management.
Thereby reducing the peak power grid companies
to cope with the growing burden of infrastructure
investment, to further improve the power grid load
factor and energy efficiency, but also for the gov-
ernment to promote energy conservation, to deal
with high energy consumption caused by environ-
mental pollution and energy waste provides a new
one kind control means in order to achieve the
overall energy saving environment.
5 ECONOMIC ANALYSIS
From a macroeconomic perspective, the air condi-
tioning load management in electric power market
is one of the effective measures to alleviate the con-
tradiction between supply and demand of electric
power, but also an important part of electricity
demand management. Load management can not
only achieve peak shift and optimization of load
curve, improve the utilization rate, but also bring
corresponding economic benefits.
Load management has great cost effectiveness,
through the load management realize load saving
3/20/2015 4:10:49 PM
 benefit, realize load energy saving benefit at the
same time. Potential savings are greater than the
savings load efficiency, economic and environ-
mental benefits more significant. Electricity load
by load management optimization to improve the
rate of electricity load, thereby reducing transmis-
sion and distribution losses, improve the operating
efficiency of the transformer to improve power
generation efficiency of the generator set. To
enhance the efficiency of power generation, trans-
mission and distribution means that the whole
power system loss reduction.
According to statistics, Beijing residents about
6.2  million subscribers for air conditioning, cal-
culated according to full coverage cooperation
degree is 25%, calculated is 1.55  million house-
holds, household air-conditioning to reduce peak
load 1.89  W, according to a degree of 90  days
calculated in summer, air conditioning regula-
tion can reduce peak power load 265000 kW, save
power optimization and secondary input costs
9.275  million Yuan, can reduce a 110  KV sub-
station (in accordance with the reduction of a
110 KV substation, covering 3,000 square meters,
construction area of 1,600  square meters for the
reference), to reduce carbon dioxide emissions
264205  kg, it is conceivable by air conditioning
load control management, energy can achieve
the government’s macro-control, air conditioning
manufacturers to achieve product sales, boost-
ing domestic demand throughout the consumer
electronics market space, at the same time to the
people’s normal life and living environment has
brought great benefits.
6 SUMMARY
Realize the peak load shifting of smart grid is air
conditioning load management and user friendly
interactive service base, is the government and
power grid company in residential electricity side
load control of the important means and key link.
Through intelligent air conditioning load manage-
ment realized the decline of the peak load of power
grid, effectively reduce the power grid operation
economic investment, greatly reducing the grid
infrastructure investment and reduce energy sec-
ondary pollution from emissions.
Therefore, attaching great importance to the
intelligent air conditioning load to power grid secu-
rity, stability, the influence of the economic opera-
tion, utilization of electric power demand side
76
CMEEE_book.indb 76
management of economy, technology and admin-
istrative means, realize the effective management
of air conditioning load, to achieve effective
management of air conditioning load, which can
effectively alleviate the shortage of electricity sup-
ply contradiction to ensure grid smooth and safe
operation, but also to optimize the power con-
sumption, improve energy efficiency, promotion of
energy-saving appliances and expanding domestic
economy. To build a conservation-minded society,
achieve the optimal allocation of power resources
and the sustainable development has a far-reach-
ing influence.
Supported by the National High Technology
Research and Development Program of China
(863 Program): 2011AA05A117.
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Multi-objective optimized scheduling for hydro-thermal power system

W.J. Liu
School of Electrical Engineering, Guangzhou College of South China University of Technology,
Guangzhou, China

P.F. Cheng
Power Company of Fushun, Fushun Liaoning Province, China

ABSTRACT: This paper puts forward a multi-objective optimization model which can make the coor-
dination among economy, energy saving and environmental protection, in order to improve the combina-
tion property of hydro-thermal power system with cascade hydro plants. The multi-objective optimization
problem is difficult to solve, on the one hand is because the targets are conflicting, on the other hand is
because the weight coefficient of the target is difficult to determine, therefore, using the satisfaction func-
tion and Euclidean distance function to normalize the three targets, then using improved Particle Swarm
Algorithm (DPSO) to optimize. An example with 8 cascade hydroelectric plants and 10 thermal plants
was executed, the simulation results show that in scheduling period, the hydropower station affords larger
power output, instead of coal-fired power, reducing the coal consumption and pollutant emissions.

Keywords: hydro-thermal power system; optimization scheduling; multi-objective; improved PSO

1 INTRODUCTION cascade hydroelectric plants and 10 thermal plants

was executed to verify the correctness of the mod-
Energy shortage needs the electric power indus- els and the effectiveness of the arithmetic.
try improve efficiency, realizing the maximize
utilization of resources. Only pursue power
system economic dispatch already can’t satisfy 2 MULTI-OBJECTIVE
the requirements, multi-objective optimization OPTIMIZATION MODEL
scheduling[1–3] become the current research hot
spot. Conventional algorithms for processing 2.1 Objectives
high-dimensional multi-objective optimization of Here, we establish three objectives function,
hydro-thermal have certain limitations, people turn cost-minimized, emission-minimized and water
to the intelligent optimization algorithms, such as consumption-minimized.
genetic algorithm[4], particle swarm algorithm[5],
because they have faster convergence performance ⎧ T NT T NT
and higher convergence precision. Standard PSO ⎪min f1 ∑ ∑ fc (P
( Pt ,i ) ∑ [a
[ ai ( t
,i )
2
bi PTt ,i + ci ]
can effectively optimize the single objective prob- ⎪ t =1 i =1 t 1 i =1
lem, then people usually adopt weight coefficient, ⎪ T NH
⎪
goal programming method or other method con- ⎨min f2 ∑∑ WGt , j
vert multi-objective problem into single objective ⎪ t =1 j =1
problem to optimize. These processing methods ⎪ T NT T NT
need to have strong prior knowledge, cannot effec- ⎪min f ∑∑ E ( PT,t j ) ∑ ∑ (α j PT,t,j2 + β j Pt j + γ j )
⎪⎩ 3
t =1 i =1 t =1 i =1
tively response the actual operation situation.
Considering various factors, this paper puts for- (1)
ward multi-objective model coordinate energy-sav-
ing, water resources and environmental protection. where t is time index, T is scheduling period;
Using the satisfaction function and Euclidean dis- f1 is total coal consumption(t), f2 is total water
tance function to normalize three objective func- consumption(m3), f3 is total pollutant emissions(t),
t
tion with different dimensions, avoiding artificial WG, j is the water consumption of hydropower
factors, and then adopt the improved PSO to opti- station j at time t(m3); NH , NT is the number of
mize the goal after processing. An example with 8 hydropower station and thermal station.

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 2.2 Constraints where i is the number of objective functions; ϕi(x)
1. System balance constraint is the satisfaction function of the objective func-
tion i; fi ,opt
p x ) is the optimum solution of objec-
NT NH tive i; fi ,inf x ) is the worst solution of objective
∑ PTt ,i ∑ PHH,t j = PDt PLt (2) i; structuring the Euclidean distance function as
i =1 j =1 follows:
t
PH, j is generation level of hydropower plant j at m 2
time t (MW), PT,t i is loading of thermal plant i min (x) ∑ ⎡⎣ϕ ((x)
x)) ϕ i* ( x ) ⎤⎦ (9)
at time t (MW), PDt is the demand of the power i =1
system at time t (MW), PLt is total transmission
line losses at time t (MW). where d ( x ) is the constructed Euclid distance;
2. Hydro-thermal plant loading limits ϕ i* ( x ) is the optimization (minimum) of each
objective satisfaction function ϕ i ( x ) ; ϕ ( ) is the
⎪⎧PH, j PHt j ≤ PH, j a (j 2 NH ; t T ) function of the optimum solution x which is under
⎨ the constraint of all the objective formula. The dis-
⎩⎪PT,ii PTt ,i ≤ PT,i max
a ( , 2, ...,, NT ; )
tance between ϕ ( ) ϕ i* ( ) is smaller, indicating
(3) that they are more close to the optimization.
3. The constraints of cascade hydro plants water
balance
3.2 The improved Particle Swarm
⎧V1t V1t −1 + ( I1t Q1t − S1t ) t (t T ) Optimization algorithm (DPSO)
⎪ t
⎨V j V jt −1 + ( I tj Qtj −−τ1 + S tj −τ1 − Qtj − S tj )Δt (4) In the standard PSO, particles’ flight rely on the
⎪ velocity and displacement to update themselves
⎩ (j = ,3 n; t ∈T ) in order to seek optimal solution. Assuming that
there are M particles in the N dimensional space,
V1t −1, V1t is the first reservoir volume at time the position of the i-th particle can be expressed
t−1, t (m3); I1t is inflow of first reservoir during as xi ( xi , , xi , xin ) , its speed can be expressed
time t (m3); Q1t is water discharge of first reser- as vi (vi , , vi , vi ,n ), its speed and displacement
voir at time t (m3/s); S1t is spillage of first res- update equation is:
ervoir at time t; j is the number about the rest
reservoir; τ is water time delay. ⎧vi j (t ) = w ⋅vvi j (t
(t ) c1 ⋅ r1 [ pi j (t ) xi j (t )]
4. Reservoir level limits ⎪
⎨ + c2 ⋅ r2 ⋅ [ pg, j (t ) − xi j (t )] (10)
Vj V jt ≤ V j max ( j , 2, , NH ; t T ) (5) ⎪x (t + ) = x (t ) + v (t + )
⎩ ij i j i j

5. Hydropower plant discharge limits

where t is iteration, w is inertia factor, decide the
t search capabilities of particle; c1, c2 is learning fac-
QG, j QG j ≤ QG , j (j 2 NH ; t T )
tor, usually, c1 = c2  = 2, c1 is the learning ability of
(6) particle itself, c2 is the ability of particle exchange
6. Hydropower plant spillage limits information with other particles; r1, r2 is random
number between[0, 1].
0 ≤ S tj ≤ S tj max For standard PSO easy to fall into local optimal
(7)
solution and other defects, using the way of linear
decrease inertia weight, then the algorithm with
dynamic self-adaptive can converge to the optimal
3 MULTI-OBJECTIVE OPTIMIZATION solution quickly[6].
ALGORITHM Inertia weight linear decrease
3.1 Multi-objective processing
t (wmax wmin )
First, processing the single objective, and unify w(t ) = wmax − (11)
tmax
each objective to one standard with formula (8),
then work out the satisfaction function of each
objective. where wmax is maximum of w, wmin is minimum of
w, usually, wmax  = 0.9, wmin = 0.4; t is current itera-
fi x ) − fi ,opt x ) tion; w(t ) is the inertia weight when the number
ϕi (x ) = i 1, 2, …, m (8) of iteration is t, tmax is the maximum number of
fi , x ) − fi ,opt x ) iteration.

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 DPSO algorithm steps:
Step 1: Initialize all parameter, such as particle
scale, initial position and speed of particle. In the
paper, we regard the output power of heat-engine
plant and water discharge of hydropower station
as particles in every scheduling time;
Step 2: Using the fitness function to evaluate the
adaptive value of particles, then compare with the
adaptive value of optimal location Pi , update Pi ;
Step 3: Comparing all particles own fitness and
global optimal adaptation value of particle position
Pg, using the optimal adaptive value updates Pg;
Step 4: Using (10) to update the particle’s speed
and displacement;
Step 5: Using the (11) to update the inertia factor;
Step 6: Determining whether the stop condition
is meet, if achieve the maximum number of iteration
or accuracy requirement, then stop the operation,
output the optimal solution, otherwise return to step
2 to continue iteration until meet the condition.
4 EXAMPLE
An example with 8 cascade hydroelectric plants and
10 thermal plants is analyzed. Thermal power plants
and hydropower stations parameters are shown in
Table 1, 2, 3. The scheduling time is 24 hours.
Under the condition of satisfying all the con-
straints and system load balancing, using improved
PSO algorithm to solve multi-objective optimiza-
tion problem. The particle number is 100, iteration
is 500 times, each time hydropower units and ther-
mal power output situation as shown:
In order to verify the superiority of improved
particle swarm algorithm, using the PSO and
DPSO to solve the multi-objective problem in the
same time, the parameters of two algorithms is
shown in Table 5, the results are as follows:
Optimization results analysis
1. From Figure 2 and Table 3, we can see the sec-
ond and fourth hydropower station which take
a larger output in the scheduling period have
larger installed capacity and higher water head.
As one of the goals is minimum water consump-
tion, so large capacity unit will be preferential
arrangement generation under the high head for
reducing water consumption, which is consist-
ent with the actual situation.
2. It can be seen from Table  1 and Figure  3, the
average coal consumption of no. 1, 2, 4 power

Table 1. Parameters of coal-fired plants.

Coal consumption coefficient Power output limit

Power Installed Average coal
plant capacity aj bj Pj min Pj max Consumption
no. [MW] [×10−5t/MWh2] [t/MWh] cj [t] [MW] [MW] [g/kWh]

1 2 × 600 0.3 0.27 13.70 300 1200 298

2 2 × 600 1.4 0.26 14.50 300 1200 291
3 2 × 300 6.1 0.28 6.35 150 600 329
4 2 × 600 0.8 0.27 14.10 300 1200 297
5 2 × 125 3.3 0.31 4.64 62.5 250 356
6 2 × 360 1.6 0.29 6.81 180 720 318
7 2 × 330 0.3 0.31 6.74 150 600 319
8 2 × 200 2.1 0.30 5.42 100 400 335
9 2 × 330 1.5 0.30 6.77 165 660 322
10 2 × 135 4.9 0.31 5.04 67.5 270 353

Table 2. Parameters of emissions.

Power plant no. αi [t/h] βi [t/MWh] γi [t/MWh2]

1 0.0531 0.0355 0.0333

2 0.0423 0.0509 0.0459
3 0.0254 0.0605 0.0564
4 0.0236 0.0412 0.0438
5 0.0619 0.0556 0.0515
6 0.0164 0.0222 0.0260
7 0.0263 0.0591 0.0558
8 0.0210 0.0132 0.0148
9 0.0307 0.0288 0.0277
10 0.0163 0.0212 0.0256

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 Table 3. Basic parameters of cascade hydropower stations.

Power Maximal Minimal Maximal Minimal Initial

plant power output power output reservoir volume reservoir volume reservoir volume Water
no. [MW] [MW] [× 108 m3] [× 108 m3] [× 108 m3] head [m]

1 1200.00 405.20 102.57 25.99 83.95 110.70

2 1320.00 730.00 0.88 0.08 1.46 176.00
3 405.00 126.90 2.78 1.84 2.21 34.00
4 4200.00 1234.00 164.00 50.60 111.10 125.00
5 1210.00 242.00 33.50 10.40 22.00 60.80
6 566.00 201.00 9.64 2.84 6.54 22.00
7 192.00 123.00 3.40 0.65 2.00 9.70
8 600.00 213.40 9.50 3.56 6.02 19.5

Table 4. Situation of system loads in scheduling periodic.

Time Load Time Load Time Load Time Load Time Load Time Load
[h] [MW] [h] [MW] [h] [MW] [h] [MW] [h] [MW] [h] [MW]

1 7200 5 8600 9 11500 13 12200 17 12000 21 9800

2 7400 6 9500 10 11900 14 11300 18 11600 22 9600
3 7600 7 9700 11 12000 15 12300 19 11300 23 9200
4 8000 8 11000 12 12300 16 12400 20 10000 24 9000

Table 5. DPSO/Std.PSO arithmetic parameter.

DPSO Std.PSO

Parameter Value Parameter Value

Particle number 100 Particle number 100

w w(t) w (0,1)
c1 2 c1 2
c2 2 c2 2
Iteration 500 Iteration 500

Figure 2. Power output of thermal power plants.

station is lower than other power plants, and

3. It can be seen from Table  6, with the total
Figure 1. Power output of cascade hydropower stations.
one of the goal is to pursue the minimum coal
consumption of thermal power generation,
therefore, the units with lower coal consump-
tion rate and large capacity should assume
larger output which can effectively reduce the
coal consumption amount, thus reducing emis-
sions of pollutants.
load settled, the water consumption, coal
consumption and pollution emissions solved
by improved algorithm are lower than them

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 For solving multi-objective optimization model,
the objective function without the need for the
determination of weighting coefficients, using
Euclidean distance and satisfaction function on
different dimensions and conflicting objectives
normalized to simplify the solution process.
For containing multi-dimensional constraint,
a large, complex nonlinear problem solving,
improved PSO has higher accuracy and faster con-
vergence speed and better accuracy than standard
particle swarm algorithm.

ACKNOWLEDGEMENTS
Figure  3. Optimal scheduling of hydrothermal com-
bined system. Firstly, I would like to express my heartfelt grati-
tude to my friend Pengfei Cheng, he give me many
Table 6. Dispatch results. ideas.
Second, I would like thank for Guangzhou Col-
DPSO Std.PSO lege of South China University of Technology and
the project “Student Research Plan:The optimiza-
f1 [×104t] 3.310 3.432 tion scheduling and benefit evaluation for wind
f2 [×108 m3] 5.534 5.613 and Hydro-thermal Power System, JY140635.”
f3 [×105t] 1.136 1.178 Last but not the least, my thanks would go to
The total output of hydropower 1.3810 1.3676 my students who helped me make the program. It
stations [×105MWh] took them a year spare time to make the program
The total output of thermal 1.0245 1.0492 and help me write the thesis.
power plants [×105MWh]

which by standard particle swarm algorithm, it
shows that the precision of improved algorithm
is higher. From Table 6, hydropower output is
greater than the output of thermal power units
in the scheduler all times, reached the water
replacing coal, which can effectively reduce the
use of coal and pollutant emissions, proves the
model and the algorithm are availability.
5 CONCLUSIONS
In this article, we establish multi-objective opti-
mization model which can make the coordination
among economy, water resources and environmen-
tal protection. The simulation results show that the
large capacity, high head hydroelectric power gen-
eration assumes greater output in the scheduling
period, while the lower coal consumption rate and
larger output capacity units assume larger output,
achieving water to replace coal, energy saving and
emission reduction.
REFERENCES
[1] Z.Z. Guo, J.K. Wu, F.N. Kong. 2013. Multi-objective
Optimization Scheduling for Hydrothermal Power
Systems Based on Electromagnetism-like Mechanism
and Data Envelopment Analysis. Proceedings of the
CSEE33(4): 53–61. Nanning: Guangxi.
[2] J. Yu, X.M. Ji, A.B. Xia. 2009. Multi-objective Hydro-
thermal dispatch based on energy conservation and
environmental protection. Power System Protection
and Control 37(1): 24–27. Nanjing: Jiangsu.
[3] J.K. Wu, Y.Li. 2011. The Multi-objective Optimized
Scheduling of Hydro-thermal Power System. Mod-
ern Electric Power 28(1): 53–57. Nanning: Guangxi.
[4] Y.J. Wang, X.Y. Xiong. 2000. A genetic algorithm
on short term optimal scheduling for a hydrothermal
system. RELAY 10(28): 21–24. Wuhan: Hubei.
[5] S.Q. Liu, L.F. Zou, H.L. Zhang, etc. 2010.
Hydrothermal Generation Scheduling Based on
Enhanced PSO. Water Resources and Power 28(7):
153–156. Kunming: Yunnan.
[6] R.F. Wang, Y.J. Zhang, Z.S. Pei. 2011. Novel particle
swarm optimization algorithm. Computer Engineer-
ing and Applications 47(16): 32–34. Zhengzhou:
Henan.

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

An optimal space-borne Solid-State Recorder based on domestic chips

S. Li & Q. Song
National Space Science Center, Chinese Academy of Sciences, Beijing, China
University of Chinese Academy of Sciences, Beijing, China

J.W. Song, W. Wang, Y. Zhu & J.S. An

National Space Science Center, Chinese Academy of Sciences, Beijing, China

ABSTRACT: This article describes the design and implementation of a novel space-borne Solid-State
Recorder (SSR) by domestic chips which have never been used in space environment. Currently, the for-
eign high-grade chips embargo seriously restricted the development of China’s space cause. The attempt
of domestic chips in this field will change the situation. The domestic chips include a radiation hardened
CPU and three types of 3D package radiation-hardened memory chips. The structure of novel SSR is
CPU + FPGA + main storage area. The main storage area, which has the capacity of 512 GB, is made of
eight pieces of 64 GB NAND FLASH. FPGA and CPU are connected by a PCI bus, which increase the
speed of commands and state signal. The SSR is designed for a satellite and the system cascade tests with
19 payloads are finished. Its throughput is 300 Mbps and can be raised to 1 Gbps and the power is no more
than 5.4 W. Its capacity can be expanded to TB by PCI. The result shows that the SSR meets the require-
ments of practical application and the performance of which can compete with imported components.

Keywords: NAND FLASH; PCI; SSR domestic chips

1 INTRODUCTION a high-capacity storage system. Shijian-5  satellite

The storage system is an important component
of a modern electronic system, especially in the
field of communications, radar and aerospace[1].
The data transmission system is the most impor-
tant link in satellite communication, whose most
important unit is the storage system. With the
rapid development of China’s Space Cause, the
demand for storage system is rising. The payload
for space surveillance, earth observation and space
exploration in the future will produce more and
more high-speed and high-definition data, so a
high-throughput and large-capacity space-borne
storage system is needed.
Initially, a space-borne storage system was made
by tape drives. With the increase in integration
density of semiconductor memory chips, a space-
borne storage system entered the age of Solid-State
Recorder (SSR). The SSR used electronic compo-
nents to do all the operation instead of mechanism
components[2],[3], so it is stable when hit, struck and
shocked which is a notable advantage for applica-
tion in the field of space exploration. The earli-
est SSR in China is the SSR of Shijian-4 satellite,
which is composed of SRAM to attain a capacity
of 2 Mbits. For the limited technology and high
cost of SRAM, the storage density is so low to form
used SDRAM which has 64 Mbits of one chip, to
produce a 512 Mbits SSR. After that, the SDRAM
is widely used in the space-borne SSR, for exam-
ple the series of Shenzhou. The largest SSR with
SDRAM used in space is 48 Gbit of single module,
but it is not enough for the increasing demand of
space exploration. Recently, with the rapid devel-
opment of the NAND FLASH technology, it has
the advantages of non-volatile, higher storage den-
sity, lower cost and lower power which give it wide
options to replace the SDRAM to obtain the pow-
erful states in the field of space memory.
Because of the embargo of the space-grade,
radiation-tolerant chips such as anti-radiation CPU,
of the developed countries, the development of
China’s Space Cause has been held back for many
years. Research on the domestic high-performance
chips could meet the increasing demand of space
exploration tasks and enhance the security and reli-
ability of our equipment. Developing and shows our
own intellectual property rights especially in the field
of space exploration, which could break the block-
ade on techniques, means a lot to our country. We
designed a high-speed SSR with mostly of domestic
chips, which could reach 1 Gbps and 512 GB capac-
ity of one module. The capacity and throughput of
whole SSR could be extended by PCI.

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 2 HARDWARE DESIGN
2.1 The characteristic of domestic memory chips
Currently, the mainstream chips used in SSR are
SDRAM and NAND FLASH. NAND FLASH
chips have the largest memory density, while the
access time of SDRAM is the least among main-
stream space-borne memory chips. In our design,
we combine the two chips to achieve a high-speed
SSR with large capacity. In space, there are a great
number of high energy particles due to which Total
Ionising Dose (TID), Single Event Upset (SEU),
Single Event Latch up (SEL), single event func-
tional interrupt, single event burnout, single event
transient and displacement damage[4] will have a
great influence on the performance of memory
chips. Space-borne chips must do some measures
against the effect. We use the chips produced by
Zhuhai Orbita Company. Table 1 shows the anti-
radiation property of the used memory chip which
is NAND FLASH (VDNF64G08-F), SDRAM
(VDSD3G48) and EEPROM (VDEE8M08).
As the cost of sending a satellite into the
space is rather huge, the space-borne equipment
needs high integration. Zhuhai Orbita used 3D
technology[5] to form one high integration chip
with many dies. The core memory chips in SSR
are NAND FLASH VDNF64G08-F. It is packed
with eight pieces of 8G NAND FLASH die to
attain the capacity of 64G for one chip. It looks
like a golden cube. The eight pieces in one cube
share the I/O bus, power but have independent CE,
CLE, ALE, RE, WE.
2.2 The characteristic of domestic CPU
For the embargo of high-performance CPU, the
CPU of most of the SSR in use is low-end products.
The highest product among most commonly used
CPU is ERC32 with SPARC V7 core, which can
only operate at 25 MPIS[6]. The CPU we use is
called LONGSON, which is designed towards the
space application with forward design and has got
intellectual property rights. The LONGSON we
Table 1. The anti-radiation property table of memory chip.
Specification Capacity TID NO SEL
VDNF64G08 64 G 50 kRads 50 Mev ⋅ cm2/mg 5 Mev ⋅ cm2/mg
VDSD3G48 3G 50 kRads 80 Mev ⋅ cm3/mg 2 Mev ⋅ cm2/mg
VDEE8M08 8M 50 kRads 80 Mev ⋅ cm /mg Read 25 Mev.
6 Read 1E-5/
84
CMEEE_book.indb 84
used is a high-performance application processor
SOC based on LONGSON-1 processor[7]. It con-
tains interrupt controllers, timers, RS232  serial
port controller, floating-point processor, PCI and
some memory interface supporting SDRAM and
Flash ROM. The internal frequency is 50  MHz,
while the external frequency is 100  MHz fixed
point 300 MIPS and floating-point 50 MIPS. To
make it competent for use in the radiation harsh
environment, it has been fastened in modules. It
can stand the anti-radiation dose not less than
168 krad, and the single particle lockout threshold
of it is not less than 74 Mev ⋅ cm2/mg[8]. Therefore,
it is qualified for satellites in all orbits.
2.3 Hardware design
Large-capacity storage system can be classified
into five modules, which are the storage mod-
ule, the FPGA module, the computer module,
the external interface module and buffer module,
according to module’s function. The storage mod-
ule is made of NAND FLASH. We use four chips
to do 32-bit parallel operation. The buffer module
is made of SDRAM. When data come in, they will
be stored into SDRAM first, then transfered to
NAND FLASH at spare time of SDRAM. NAND
FLASH runs in 32 M clock while SDRAM runs
in 64 M clock, which will enable the system get
1 Gbps throughput.
The CPU module is made of LONGSON,
SDRAM and EEPROM, which is the core of the
system. To make the system core reliable enough,
the chips are all of anti-radiation. Moreover, the
error detection and correction are employed.
The interface module is a key factor which will
affect the versatility of the whole system. We have
done research on all tasks in the recent 5 years and
conclude the commonly used interfaces. The SSR
needs interface to transfer data both in low-speed
and high-speed, and the bus interface to commu-
nicate with the external control unit of a whole
system. The command and logic information of
storage area are all from the bus, so it must be
Largest
access
NO SEU X section Temperature time (ns)
7E−11 −55–125 ºC 25
3E−11 −55–125 ºC 7.5
−55–125 ºC 250
cm2/mg/ write 5E-4
write 10 Mev ⋅
cm2/mg
3/20/2015 4:11:00 PM

Figure 1. Functional block diagram of SSR.
very reliable. The dual redundant bus 1553B is used.
In our design we use LVDS as a high-speed data
interface, RS422 as a low-speed data interface.
Within the SSR itself, the FPGA module will
have a lot of communication with the CPU module.
The CPU module will resolve all the command
from the external control unit of the whole sys-
tem, and does logic management including address
allocating, playback check, bad block manage-
ment and so on, for SSR. The FPGA module is
responsible for all timing control of all the hard-
ware operations in SSR. To some extent, the CPU
module is the software core and the FPGA module
is the hardware core of the SSR. There must be
many information interaction between the two,
so the bus connecting them would decide the
efficiency and flexibility of the SSR. The PCI is a
local computer bus for attaching hardware devices
in a computer. PCI is an initialism of peripheral
component interconnect[9] and is part of the PCI
local bus standard. The PCI bus supports the func-
tions found on a processor bus, but in a standard-
ised format that is independent of any particular
processor’s native bus. Devices connected to the
PCI bus appear to a bus master to be connected
directly to its own bus and are assigned addresses
in the processor’s address space[10]. It is a parallel
bus, synchronous to a single bus clock, which could
reach the speed of 132 Mbps[11]. Figure 1 shows the
functional block diagram of SSR.
3 SOFTWARE DESIGN
SSR management software is designed based
on VxWorks, an embedded real-time operating
system. The application implementation process is
realised in the form of the operating system tasks.
Vxworks is a kind of preemptive real-time kernel
operating system, commonly used in satellites[12].
Vxworks operate the tasks by the priority
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CMEEE_book.indb 85
scheduling algorithm, and the same priority tasks
will be operated in the round-robin scheduling
algorithm. The software is designed for a real task
which will be sent to space in 2016. The main func-
tion of the management software includes the four
points below:
1. External bus communication management: com-
municates with the external control unit, receives
control commands and resolves it, does long
hold cycle test, checks the time with the whole
system, sends engineering parameters of SSR.
2. Storage Management: allocates new address for
the storage area, gives the playback command,
records the information of writing and play-
back, sends erase command, manages the Bad
Block Table (BBT) for SSR.
3. Clock management: system auto-time determi-
nation and system automatic correcting time.
4. System maintenance: system initialisation, tis-
sue engineering parameters, feed the dog.
The relationship between the various functional
modules is shown in Figure 2.
The software will auto-set some related regis-
ters to ensure the system could boot with a stable
environment. The related registers will be extracted
from the BBT, so it will read the storage area by
inquiry. FPGA will gather the information in spare
area of NAND FLASH and send it to CPU mod-
ule for it to organise a BBT. The initialisation end
command will be sent after the valid block number
is got by the CPU. After initialisation, the software
will enter the main circle by itself. It will be run in
the circle until a command arrives. When it gets the
writing command, it will search the BBT to allo-
cate a valid block for new data to be stored. After
one block is finished, a state register of NAND
FLASH would be checked to verify whether the
data are stored well. If it is stored well, the infor-
mation of the block will be remembered in CPU to
form a Block Access Table (BAT). When the play-
back command is obtained, it will search the BAT,
locate the target data stored block and sends the
address to FPGA module. When the erase com-
mand is obtained, it will check the address with
the BBT to avoid erasing a bad block for it may
Figure 2. The relationship of each module.
3/20/2015 4:11:00 PM
 The actual playback speed can reach higher,
but the transmit speed of the transmitter unit is
150 Mbps. It is no sense to reach so much high. The
capacity and throughput also could be enhanced
by adding more modules.

5 CONCLUSION

The design proposed in this article is a high-speed,

extended, universal end reliable SSR by using
domestic chips. The SSR is already used in a prac-
ticed task, a satellite is to be sent in 2016. It could
meet all the demands of application and have the
potential to be developed and spread.

ACKNOWLEDGEMENT

This paper is supported by the ‘Strategic Priority

Research Program’ of the Chinese Academy of
Sciences under Grant No. XDA04060300.

REFERENCES
Figure 3. Functional block diagram of SSR.
[1] L. Lei. Design and implementation of a multiple-
function storage system based on NAND FLASH.
Table 2. System parameters.
Beijing Institute of Technology. Beijing. 2008.
[2] Zhu Zhibo. Design of high speed and mass storage
Parameters Indicators
system based on NAND FLASH [J]. Modern
Size 6U electronics technique, 2011, 34(8):170–173.
[3] Song Jie, He You, Tang Xiaoming. The ultra-high
Power <5.5 W
speed radar signal real time acquisition and storage
Capacity 512 GB system based on FPGA [J]. Application of elec-
Throughput 1 Gbps tronic technique, 2005(11):18–20.
The actual playback speed 300 Mbps [4] Ningfang Song, Mingda Zhu, Xiong Pan.
Experimental Study of Single Event Effects in
SRAM—Based FPGA. Journal of Astronautics.
break the initialisation information for SSR. All 2012, 33(6):836–842.
[5] Said F. Al-sarawi, Derek Abbott, Paul D. Franzon.
the operations done by the FPGA module will pro-
A review of 3-D packaging technology, IEEE
duce an interrupt to inform the CPU module. The Transactions on Components, Packaging and
workflow of the management software is shown in Manufacturing Technology. 21(1998):2–14.
Figure 3. [6] Z.Y. Wang. The application of domestic CPU in
space computer. Chinese Academy of Sciences
National Space center. Beijing. 2006.
4 TEST AND ANALYSIS [7] McCollum, J. ASIC versus antifuse FPGA
reliability[C]. Big Sky, MT: Aerospace conference,
This SSR has been used as a storage system in 2009 IEEE, 2009:1–11.
a satellite. So far, the unit test and system cas- [8] LONGSON processor user manual. LONGSON
cade test have been completed. The test results Branch Technology Co., Ltd. 2011.07.
are good. In the test the completed core features [9] http://www.webopedia.com/TERM/P/PCI.html.
are BAT table read, update BAT after bad block [10] Hamacher et  al (2002), Computer Organization,
5th ed., McGraw-Hill.
occurs, reading, writing, erasing at the same time.
[11] PCI Special Interest Group. PCI local bus
In this satellite the SSR is designed to receive data specification [J]. Kluwer Academic Publisher, 2001,
from 19 payloads in the two tanks. The playback 2(3).
data will transmit to the transmitter unit. The [12] Zhang Zengji. Design of Center Control Software of
system parameters and test results are shown in an Airborne SAR Based on VxWorks [J]. Industrial
Table 2. Control Computer, 2012(25(9)):3–6.

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Study on additional damping controller for VSC-HVDC

to prevent low-frequency oscillation

Z.H. Wang & Y. Li

School of Electrical Engineering, Northeast Dianli University, Jilin Province, China

X.Y. He
State Grid Liaoning Electric Power Supply Co. Ltd., Liaoning Province, China

ABSTRACT: In this paper, an additional damping controller for VSC-HVDC with the structure of sin-
gle input and single output is presented. Choosing active power order of VSC-HVDC as input and active
power transferred on parallel AC line as output, the simplified opened-loop transfer function between
input and output is derived by Prony identification. Then the damping controller is designed by closed-
loop pole placement. The model of VSC-HVDC system utilizing additional damping controller is con-
structed, and the time-domain simulation analysis of an example of accessing the VSC-HVDC model is
carried out. The simulation results show that AC system damping for low-frequency oscillation is obvi-
ously increased and operation stability is improved.

Keywords: VSC-HVDC; additional damping controller; Prony identification; low-frequency oscillation

1 INTRODUCTION 2 BRIEF DESCRIPTION OF THE STUDY

VSC-HVDC can fast and flexibly control active
power transferred, meanwhile it can dynamically
compensate reactive power to AC bus and stabilize
AC bus voltage [1–3]. This can provide necessary
reactive power support. Also this realizes optimal
regulation of power flow during normal opera-
tion, rapid and emergent power support within the
AC system and isolate fault for limiting extension
of accident. Meanwhile, the VSC-HVDC system
could enhance the controllability and anti-distur-
bance ability to improve operation stability.
Prony identification is a method of solving sys-
tem model by time-domain response data. Appli-
cation of this method has covered several areas
such as measured data analysis of power system,
on-line stability control and parameters design of
power system stabilizer. Therefore, it promises a
good prospect of application [4].
This paper presents an additional damping
controller for VSC-HVDC to increase AC sys-
tem damping for swing and to improve operation
stability. The paper will first give a brief descrip-
tion about the study system. Following that the
damping controller for VSC-HVDC is designed
based on Prony identification and pole placement.
Finally, the time-domain simulation is used to
verify the effectiveness of the additional damping
controller.
SYSTEM
Taking an example from reference [5] based on
LCC-HVDC, the single line view of the study
system is shown in Figure  1, where a single gen-
erator is connected to the infinite bus by VSC-
HVDC and parallel AC line. In normal condition,
station 1 adopts active power control mode and
reactive power control, and station 2 adopts DC
voltage control mode and reactive power control.
Utilizing dynamic adjusting loop and amplitude
limiter, which is the so-called damping control,
is an effective control strategy to prevent power
oscillation [6–7]. Figure  2  shows that, the Pm in
active power controller is a disturbance reference
value added when considering system oscillations.
It is added with stability order Pset for preventing
power oscillation, improving the static stability of
Figure 1. Single line view of the study system.

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CMEEE_book.indb 87 3/20/2015 4:11:02 PM


Figure 2. Active power control of VSC-HVDC.
AC system and providing emergent power support
to keep AC system stable after disturbance.
3 DESIGN OF ADDITIONAL DAMPING
CONTROLLER FOR VSC-HVDC
As shown in Figure  3, the opened-loop transfer
function between the VSCs active power set point
Pset and active power Pac transferred on parallel
AC line is represented as G(s), and the transfer
function of damping controller is represented as
H(s).
The closed-loop transfer function Gc(s) can be
expressed as
G (s)
Gc ( s ) = . (1)
1 − G ( s )H ( s )
Based on the method of pole placement, if the
expected pole is selected as λ0, the amplitude and
phase of H(s) at λ0 should satisfy the following
equations
H ( λ0 ) G ( λ0 ) (2)
arg [ H ( λ0 )] arg [G ( λ0 )]. (3)
Then the damping controller is designed and
tuned based on Equations (2) and (3).
The steps of utilizing Prony identification and
pole placement for additional damping controller
design are as follows:
1. Applying a short narrow pulse, whose Laplace
transform value is approximate to k, to the
input Pset, the simplified transfer function G′(s)
is derived by Prony identification of Pac output
response, which is
p Utilizing the damping controller for VSC-HVDC
bi
G′′( s ) = ∑ . (4)
i =1 s − zi
Since the input is a non-ideal shock input (the
Laplace transform value of ideal shock input
is equal to 1), the gain of real system model is
k times to that of identified system model.
88
CMEEE_book.indb 88
Figure 3. Closed-loop system between Pset and Pac.
2. When the expected dominant pole is selected
as λ0, the time constant of phase compensation
is determined by Equation (3). The estimated
value of damping controller gain is equal to
k/|G′(s)|,
3. Repeat Prony identification process after
damping controller configuration, and adjust
damping controller gain based on identifica-
tion results until the Prony identification pole
of closed-loop system is approximate to the
expected pole λ0.
4 THE RELATIONSHIP BETWEEN DC
POWER FLUCTUATION AND DC
VOLTAGE FLUCTUATION
When the AC system is disturbed, the DC power
regulation gives rise to DC voltage fluctuation, for
which there is risk of overvoltage and overcurrent
for VSC-HVDC. To avoid this problem, an ampli-
tude limiter is required to limit the output of addi-
tional damping controller. The maximum value
and minimum value of limiter can be determined
by the relationship curve between DC power fluc-
tuation and DC voltage fluctuation.
By adding DC power fluctuation of sinusoidal
form with different amplitude to Pset, the corre-
sponding DC voltage fluctuations can be measured
as shown in Figure 4. Using the relationship curve,
the maximum value of DC power fluctuation is
about ±17% on the condition that the maximum
allowable DC voltage fluctuation ±5%.
5 SIMULATION ANALYSIS
In order to verify the effectiveness of additional
damping control, time-domain simulation model
of an example as shown in Figure 1 is constructed
in Matlab/Simulink.
with structure of single input and single output, as
shown in Figure 5, the expected dominant pole is
selected as −0.20 ± j6.60. Therefore, the correspond-
ing oscillation frequency is equal to 1.05  Hz and
damping ratio is about 3.13%. Based on this, the
parameters of damping controller are as follows:
T1 = 10, T2 = 10, T3 = 0.55, T4 = 0.2, K′ = 0.25.
3/20/2015 4:11:02 PM
 Figure 4. Relationship curve of DC power fluctuation
and DC voltage fluctuation.
Figure  5. Additional damping controller for VSC-
HVDC.
Figure  6. The DC power and its reference of VSC-
HVDC in different conditions.
Under steady state, the VSC-HVDC only transfers
nominal active power. At t = 5 s, a three-phase fault
is applied to bus i, lasting for 0.1 s, to lead to active
power oscillation. The conditions with the damping
controller activated or inactivated are simulated.
In Figure 6, the red line represents DC power ref-
erence while the measured DC power is shown in
black. As can be seen from the graphs, the DC power
of VSC-HVDC can track its reference fast and
accurately. Figure 6b also shows that the amplitude
limiter of damping controller is functioned in early
stage of DC power regulation after disturbance.
In Figure  7, the red line represents the condi-
tion with damping controller inactivated while the
89
CMEEE_book.indb 89
Figure 7. Simulation results of generator power angle,
AC line active power and DC bus voltage.
black line represents the condition with damping
controller activated. Figure  7a,b shows that the
generator power angle and AC line active power
can rapidly recover to steady state. The DC bus
voltage of VSC-HVDC, as shown in Figure 7c, is
maintained well during DC power regulation. It is
concluded that additional damping controller for
VSC-HVDC can effectively increase system damp-
ing for active power oscillations in the AC system
and improve operation stability.
6 CONCLUSION
A simulation model of the VSC-HVDC integrated
into a simple power system with single generator
and infinite bus is built in the Matlab/Simulink
environment. The additional damping controller
based on Prony identification is constructed and
applied to the VSC-HVDC system. Two condi-
tions with the damping controller activated and
inactivated are simulated. Simulation results show
that the VSC-HVDC can provide flexible power
support with no static error, so that AC system
damping for active power oscillation is increased
to improve system operation stability.
REFERENCES
[1] Y.H. Li, J.Y. Yang, J.H. Zhang. Application of VSC-
HVDC in Urban High Voltage Power Network.
Power System and clean Energy, Vol. 25, No. 8 (2009):
14–18.
3/20/2015 4:11:03 PM
 [2] G.B. Zhang, Z. Xu, G.Z. Wang. Steady-state Model
and its Nonlinear Control of VSC-HVDC System.
Proceedings of the CSEE, Vol. 22, No. 1 (2002):
17–22.
[3] G.F. Tang. High Voltage Direct Current Transmission
Based on Voltage Source Converter. Beijing: CEPP,
2010.
[4] C. Zheng, X.X. Zhou. Small Signal Dynamic Mod-
eling and Damping Controller Designing for VSC
Based HVDC. Proceedings of the CSEE, Vol. 26,
No. 2 (2006): 7–12.
90
CMEEE_book.indb 90
[5] Kunder P. Power System Stability and Control. New
York: McGraw-Hill Inc, 1994, 777–781.
[6] Preece R, Almutairi A.M, Marjanovic O. Damping
of Inter-Area Oscillations Using WAMS Based Sup-
plementary Controller Installed at VSC based HVDC
Line. IEEE Power Tech. Conference, Trondheim,
2011.
[7] W. Yao, J.Y. Wen, S.J. Cheng. Design of Wide-Area
Supplementary Damping Controller of SVC Consid-
ering Time Delays. Transactions of China Electrotech-
nical Society, Vol. 27, No. 3 (2012): 239–246.
3/20/2015 4:11:05 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Lightning surge analysis for 220 kV AC double circuit

transmission line using LPTL

Y. Ma
Laboratory of State Grid, Jiangsu Electric Power Research Institute, Nanjing, Jiangsu Province, China

C.S. Liu
Huazhong University of Science and Technology, Wuhan, Hubei Province, China

Y. Liu, G. Chen, T.X. Xie, Z.C. Zhou & F.B. Tao

Laboratory of State Grid, Jiangsu Electric Power Research Institute, Nanjing, Jiangsu Province, China

ABSTRACT: In order to analyze the main factors that influence lightning back flashover performance
of 220 kV double-circuit AC transmission lines on the same tower and guide lightning protection renova-
tion work, a lightning back flashover simulation model of double-circuit AC transmission lines on the
same tower is established by using lightning protection calculation tool ‘LPTL’ in this paper. In the model,
equivalent tower of wave impedance model with multi-conductor parameter distribution is utilized, and
leader method is using to judge the insulator string flashover as insulator flashover criterion. The light-
ning back flashover level and back flashover trip-out rate are calculated to analyze the influence of tower
height, ground resistance and soil resistivity on the tower back flashover performance, and then, a case
analysis of lightning trip-out is conducted by using LPTL. The results show that these factors have a great
impact on the performance of the tower lightning protection.

Keywords: double-circuit transmission lines on the same tower; lightning protection performance;
LPTL; simulation model

1 INTRODUCTION are more prominent [4] [5]. Therefore, an accu-

Overhead transmission line is an important part
of China’s electric power system, and its state
determines whether the power system can operate
safely, reliably and stably. According to statistics of
China’s high voltage transmission lines accident,
transmission line trip-out accidents account for
about 40%–70% of total lines trip-out accidents
[1–3]. Accidents caused by lightning have become
one of the major failures of transmission lines. In
some areas where frequent lightning activity exists,
the probability of line accidents struck by lightning
is greater. Therefore, an accurate assessment of the
line lightning performance is significant for design
and construction of transmission lines, especially for
improving the stability of power system operation.
Since a 220 kV transmission line is one of the
main transmission lines grid, thus ensuring the safe
and stable operation of 220 kV line is a major prob-
lem that is placed before power workers. Currently
220 kV transmission line is a double-circuit on the
same tower which has large triggered lightning
area and big opportunity of lightning strike, and
the shielding failure and back flashover failure
rate assessment of the performance of a 220 kV
double-circuit transmission line on the same tower
is critical to ensure safe and stable operation of the
power grid.
Based on transmission equipment lightning pro-
tection calculation tool of Jiangsu Electric Power
Corporation (hereinafter referred to as ‘LPTL’), a
double-circuit transmission line tower with counter
simulation model is established, and factors sensi-
tivity of back flashover of the 220 kV double-cir-
cuit transmission line on the same tower is studied.
2 SIMULATION CALCULATION OF LPTL
2.1 Introduction of LPTL
LPTL is a software for calculation and analysis of
transmission line lightning protection performance.
LPTL allows users to create transmission lines and
towers, count temporal and spatial distribution of
lightning activity along the line corridors and view
and obtain the topography of each base tower.
Through the appropriate choice of calculation
model and criterion, the lightning analysis tasks

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 are established; based on a typical transmission
line tower, several towers or the whole line, analysis
and evaluation results of lightning shielding and
back flashover performance can help and guide the
user to carry out lightning protection work.
LPTL software has the following features:
1. manage a grid of transmission lines and towers;
2. grasp lightning activity of a region and the tempo-
ral and spatial distribution of flash frequency law;
3. grasp temporal and spatial distribution law
of lightning activity of the transmission line
corridor;
4. obtain high-resolution area and flashover den-
sity distribution of lines to guide the grid light-
ning protection work;
5. query and access leach base tower topography,
which is convenient for line inspection and
troubleshooting;
6. use regulation method and electrical geometric
model law and leader method to research and
analyze the lightning shielding strike perfor-
mance of transmission lines;
7. use regulation method and electromagnetic
transient analysis method to study and analyze
Figure 1. Interface of software LPTL.
Figure 2. Model parameter setting page of LPTL.
92
CMEEE_book.indb 92
lightning back flashover performance of trans-
mission lines.
2.2 Back-flashover model in LPTL
In LPTL, entering basic information lines and tow-
ers is made to complete the creation of lines and
towers. In LPTL, regulation method and electro-
magnetic transient analysis method are the main
methods to calculate the lightning back-flashover
performance, while the latter is a simplified inte-
gration model of ATP/EMTP, when modeling,
lightning current model, the channel impedance,
line model, tower model, flashover criterion, the
induced voltage and grounding resistance, and
other model parameters can be directly selected,
which greatly reduce the workload of system
modeling.
2.2.1 Lightning current waveform and lightning
channel wave impedance
The parameters of lightning current waveform
include: lightning current amplitude, the wave
head time and tail time. Statistical results showed
that most of the lightning current wave head time
is in the range of 1.0–5.0 μs, the average is about
2.0–2.5  μs [6]. In this paper, 2.6/50.0  μs double
exponential wave is selected as a simulation of light-
ning current source. For back flashover simulation,
lightning channel impedance is about 400 Ω.
2.2.2 Model of transmission lines
Under the impact of lightning, great changes of
the electrical parameters of line will appear com-
pared with the work frequency parameters. In the
simulation, the frequency-dependent model of
transmission line (based on domain transform) is
used, this model can calculate the line impedance
with frequency by inputing line structural param-
eters, corresponding to JMarti transmission line
model in EMTP.
2.2.3 Model of the tower
The wave impedance method is to take the injected
current wave as plane wave approximately after
lightning strikes the tower, by using the lumped
wave impedance to describe wave propagation
injection current wave in the tower, and then the
towel potential and injected component of the
voltage across the insulator strings are obtained.
Multi-wave impedance is based on the theory of
wave impedance, depending on the structure of
the tower, the method divides the tower into mul-
tiple segments wave impedance so that the tower
reflection process of current wave is more consist-
ent with the actual situation [7]. The tower multi-
impedance equivalent model is shown in Figure 3.
3/20/2015 4:11:05 PM
 dL ⎡ u(t ) ⎤
= ku(t ) ⎢ − E0 ⎥ (5)
dt ⎣D L ⎦
In the formula, L(t) is the leader development
length (m); u(t) is the voltage (kV) on the insulator
strings; D is the gap length (m); E0 is the leader
starting field strength (kV/m); k is the fitting expe-
rience factor obtained by the experiments results,
which is related to insulator type, the applied volt-
age polarity and so on (m2/(s ⋅ kV2)). In this paper,
the simulation uses k = 1.1, E0 = 500.0 kV/m.

2.2.5 Model of grounding resistance

Impulse grounding resistance is influenced by
flowing current amplitude and frequency, show-
Figure 3. The tower multi-impedance equivalent model. ing strong nonlinear characteristics. In this paper,
In this Figure, hk is cross arm height, m; rTk is single con-
IEC recommended formula (6) is used to calculate
ductor top equivalent radius, m; RTk is multi-conductor
systems adjacent conductors spacing, m; RB is multi- grounding impedance values when impulse current
conductor systems adjacent conductor spacing, m; rB is flows [9].
single conductor bottom radius, m. ZAk is cross arm wave
impedance, Ω; ZTk is trunk impedance, Ω; ZLk bracket R0
RT = (6)
portion impedance, Ω. 1+ I Ig

1. Towel trunk wave impedance And R0 is the impulse impedance under low
frequency and low amplitude current (Ω); I is the
magnitude of the impulse current flowing through
⎛ 2 2 hk ⎞
ZTk = 60 ⎜ ln − 2⎟ (1) the grounding (kA); Ig is the smallest current ion-
⎝ rek ⎠ izing the soil (kA), which can be expressed as:
E0 ρ
And rek is equivalent radius of towel trunk. Ig = (7)
2π R0 2

(
rek = 21 / 8 rTk1 / 3rB2 / 3 ) (RTk1/ 3RB2 / 3 )
1/ 4 3/ 4
(2) where ρ is the soil resistivity (Ω ⋅ m); E0 is the field
strength when soil is ionized (kV/m).
2. Towel bracket wave impedance
2.2.6 Calculation model of induced voltage
ZLk 9ZTk (3) In this paper, the induced voltage is calculated by
the formula recommended by the State Grid Elec-
In Hara tower model, the transmission line tric Power Research Institute [10]:
length the bracket portion wave impedance is
1.5 times the trunk section. (
U i = 1.33 1.771 + 1.754 hc hc 2
3. Towel cross arm wave impedance
) ⋅ (1 − )
0.232
.
+ 1.935 × 10 −5 hc3 ⋅ I
0.1706 hc
0
(8)
2 hk
ZAk = 60 ln (4)
rAk where hc is the average height for wire-to-ground
(m); I is lightning current amplitude (kA).
And rA is equivalent radius of the cross arm,
one-fourth of cross arm width of the tower master 3 ANALYSIS OF BACK FLASHOVER
connections node. FACTORS

2.2.4 Insulator string flashover criterion
The leader development length crossing through
the gap can be used to judge insulator string
flashover, CIGRE WG33.01 recommended leader
development rate formula [8]:
A typical tower is shown in Figure 4 as the object
for analysis, based on the model of LPTL, the fac-
tors influencing the back flashover trip-out per-
formance of 220 kV double-circuit transmission
line on the same tower.

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 Table  1. Impact of tower height on lightning back
flashover performance (grounding resistance is 10Ω).

Height (m) 24 30 36 42 48

Lightning back 91 86 81 76 72
flashover
level (kA)
Back flashover 0.356 0.447 0.552 0.671 0.778
trip-out rate

Figure 5. Curve of lightning back flashover levels and

back flashover trip-out rate with tower height.

Table 2. Impact of grounding resistance on lightning

Figure 4. Schematic diagram of the tower. back flashover performance.

Grounding
3.1 Impact of tower height on lightning back resistance (Ω) 5 10 15 20 25
flashover performance
Lightning back 100 81 73 69 66
In this paper, tower typical size as shown in Figure 4 flashover level
is used; when the soil resistivity is 100  Ωm and (kA)
grounding resistance is 10 Ω, the results of light- Back flashover 0.399 0.486 0.608 0.728 0.861
ning back flashover level and trip-out rate with the trip-out rate
tower height as 24 m, 30 m, 36 m, 42 m and 48 m
are calculated. As can be seen from the results of
Table 1 and Figure 5, the impact of tower height
on lightning back flashover level of transmission
line is obvious; with increase of tower height from
24 m to 42 m, lightning back flashover levels of the
transmission line are significantly reduced.

3.2 Impact of grounding resistance on lightning

back flashover performance
The analysis results of a typical tower grounding
resistance are shown in Table 2 and Figure 6. Under
the same height, with increase in the grounding
resistance, lightning back flashover levels reduce and
back flashover trip-out rate rises. Thus, the ground-
ing resistance has impact on lightning withstand Figure 6. Curve of lightning back flashover levels and
levels of the tower; therefore, reducing the tower back flashover trip-out rate with grounding resistance.

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 Table 3. Impact of soil resistivity on lightning back Table 4. Information of the tower topography.
flashover performance.
Number Altitude Left Right
Soil resistivity of tower (m) inclination/° inclination/°
(Ωm) 100 300 500 1000 2000
50 3.006194 0.154539 −3.09186
Lightning back 81 75 74 73 71
flashover level
(kA)
Back flashover 0.456 0.567 0.587 0.608 0.623
trip-out rate

Figure 8. Topography map of the tower’s location.

the transmission line department has lightning, the

Figure 7. Curve of lightning back flashover levels and
back flashover trip-out rate with soil resistivity.
grounding resistance is an effective measure to raise
the lighting back flashover level of the transmission
lines and to reduce the back flashover trip-out rate.
3.3 Impact of soil resistivity property on lightning
back flashover performance
The analysis results of typical tower soil resistiv-
ity are shown in Table 3 and Figure 7. Under the
same height, with the increase of soil resistivity,
lightning back flashover levels reduce and back
flashover trip-out rate rises. Thus, the soil resistiv-
ity has impact on lightning withstand levels of the
tower; therefore, reducing the soil resistivity of the
tower is an effective measure to raise the lighting
back flashover level of the transmission lines and
to reduce the back flashover trip-out rate.
4 CASE APPLICATION
In Jiangsu province, phase-B zero sequence over-
current segment of one 220 kV double-circuit
transmission line on the same tower is acted, and
then coincided successfully. According to lightning
location system records, at that time 50 # tower of
amplitude of lightning current is 262 A; field line
patrol, we found 50 # phase-B insulator and equal-
izing ring have obvious burns. Based on the above
information, we initially concluded that there was
a trouble spot.
The calculation and analysis of the tower with
LPTL is applied, the lightning back flashover
level of the tower phase B is 100.51kA, the back
flashover trip is 0.3995. Connected with Google
earth via LPTL, the tower topography is obtained,
the results are shown in Table 4 and Figure 8.
The results show that the tower location has flat
terrain, the location is in farmland, which is not far
from the river, and soil resistivity is low. According
to information obtained via LPTL combined with
results of lightning location and field patrol line,
primarily the trouble was caused by lightning back
flashover trip-out.
5 CONCLUSIONS
In this paper, a lightning back flashover simulation
model of 220 kV double-circuit transmission line
on the same tower by using LPTL software is estab-
lished, and on this basis, the various factors that
affect lightning back flashover performance, includ-
ing tower height, grounding resistance and soil resis-
tivity are analyzed. The conclusions are as follows:
1. Performance of lightning back flashover is
weakening with tower height rising, and tower
height is higher, the increasing magnitude of
lightning back flashover trip-out rate is greater.

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 2. Impulse grounding resistance has great impact
on the performance of lightning back flashover,
with the increase in grounding resistance, the
lightning back flashover trip-out rate increases.
3. With the increase of soil resistivity, lightning
back flashover levels reduce and back flashover
trip-out rate has a rising trend.
4. Modeling for transmission line lightning pro-
tection computational analysis by LPTL is con-
venient, and the topography of the tower can
be intuitively obtained by simplifying the mod-
eling steps. It is convenient for the conduction
of lightning protection calculation and analysis
work of power transmission and transforma-
tion equipments.
REFERENCES
[1] Wei Lie-xia-jin, Wu Wei-han. The Analysis of Light-
ning Protection for EHV and UHV Transmission
Lines in Russia [J]. High Voltage Engineering, 1998,
24(2):76–79.
[2] Huang Wei-chao, He Jun-jia, Lu Jia-zheng, et al.
Calculation of lihtning tripout rate of transmission
lines under real lightning sroke distribution [J]. High
Voltage Engineering, 2008, 34(7):1368–1373.
[3] Li Chang-xu, Yuan Zhong-jun, Zhang Hai-lomng.
Study on EGM-Based 500 kV Double-circuit lines
Flashover Rate [J]. Electric Power Construction,
2008, 29(02):15–18.
96
CMEEE_book.indb 96
[4] Gong Jian-gang, Tong Hang-wei. Evaluation of
Lightning Trip-out Rates for Zhejiang Power Grid
by using lightning location systems [J]. East China
Electric Power, 2007, 35(1):73–75.
[5] IEEE Working Group on Estimating Lightning
Performance of Transmission Line. A Simplified
Methods on Estimating Lightning Performance of
Transmission Line [J]. IEEE Trans. on Power Appa-
ratus and System, vol. 104, no. 4, pp. 919–931, 1985.
[6] A. Ametani and T. Kawamura, “A method of a
lightning surge analysis recommended in Japan
using EMTP,” IEEE Trans. Power Del., vol. 20,
no. 2, pp. 897–908, Apr. 2005.
[7] T. Hara and O. Yamamoto, “Modeling of a trans-
mission tower for lightning surge analysis,” Proc.
Inst. Elect. Eng., Gen. Transm. Distrib., vol. 143,
no. 3, pp. 283–289, May 1996.
[8] Becerra M, Cooray V. A simplified physical model
to determine the lightning upward connecting leader
inception[J]. IEEE Trans. On Power Delivery, 2006,
21(2): 897–908.
[9] Juan A. Martinez and Ferley Castro-Aranda,
“Lightning Performance Analysis of Overhead
Transmission Lines Using the EMTP,” IEEE Trans.
Power Del., vol. 20, no. 3, pp. 2200–2210, Apr. 2005.
[10] Nie Dingzhen, Zhou Peihong, Dai Min, etal. Study
on lightning Performance for ±500 kV DC Double
circuit Transmission lines [J]. High Voltage Engi-
neering, 2007, 33(1):148–154.
3/20/2015 4:11:10 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Fault analysis of Metal Oxide Varistor (MOV) for series compensation

capacitor banks

Y. Ma, Y. Liu, P. Li, G. Chen & Z.Z. Zhou

State Grid Laboratory, Jiangsu Electric Power Company Research Institute, Nanjing, China

ABSTRACT: A fault of Metal Oxide Varistor (MOV) for series compensation capacitor banks is ana-
lyzed in this paper. The MOV is checked by visual inspection and electrical test, and the wave of fault
recorder is analyzed by incorporating the simulation. The fault is due to the discharge of the capacitor,
because the MOV is broken down while the phase–phase grounding fault appears. According to this
fault, two improvement measures (change MOV not at will, replace MOV with a long history and per-
formance degradation) are presented, so as to improve and enhance operation and maintenance situation
of the MOV.

Keywords: series compensation capacitor banks; Metal Oxide Varistor (MOV); gap; fault analysis

1 INTRODUCTION device is effectively input, the red light for switch

on in A, B and C phase is on.
As the EHV power network develops in China,
long distance and high-capacity AC line is applied
2.2 Structure and parameter of faulted device
more and more extensively. Because of restriction
by transmission line corridor and environmental MOV, bypass gap, and bypass breaker are used as
factors, improving capacity of the transmission the protective device for a capacitor in the series
line appears particularly important. Installing capacitor compensation device. The basic wiring
series compensation capacitor banks is one of the diagram of the compensation device is as shown
effective measures for improving capacity and sav- in Figure 1.
ing of the transmission line. Metal Oxide Varistor
(MOV) is one of the important protection equip-
ments in series compensation capacitor banks. The
overvoltage of a series capacitor is limited by MOV
in parallel with a series capacitor.

2 FAULT INSTRUCTIONS

2.1 Fault overview

As ground-fault in a line at a 500 kV substation,
18:46  in one day, series capacitor compensation
device had operated for protecting. The device
blocks perpetually series capacitor compensation.
Line-to-earth fault is considered as external fault
for the series capacitor compensation device; three
phases of a bypass breaker of the device close.
Display on screen of the device contains:
protective operation of a series capacitor com-
pensation, operation of over current of MOV in
B phase, anti-trigger action of GAP in B phase,
command for MOV to protect bypass breaker
which is received by platform protection, perpetual Figure 1. Basic wiring diagram of the series capacitor
blocking signal of a series capacitor compensation compensation device.

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 Table 1. MOV’s parameters. have been experimented on MOV of B phase and
C phase of the series capacitor compensation
Rated voltage 118 kV device, and records of the 2 years experiment are
Maximum continuous 94 kV as follows:
operating voltage
From the test results and historical test we can
Overvoltage protection level 2.3 p.u.
know:
Unbalanced current Not exceeding 10% of
average current per set 1. DC reference voltage of the fault MOV in B
The number of paralleling 19 (including 2 spinning phase is less than non-faulty MOV and 0.75 time
sections in each phase reserve)
reference voltage of the fault MOV is increased,
The number per column in 4
all of which indicate the existence of the inter-
a MOV
The number of resistance 24
nal defect that may be do to dampness after rain
chips in a column before the day of the test, and the MOV’s seal
Capability of release of 40 kA + discharge current suffers damage.
pressure of capacitor bank 2. 2  mA DC reference voltage of the non-faulty
Production date In 2000 MOV in B phase and C phase reduces by 2%–3%
compared to historical test (code requires the
value to be no more than ±5%). This test result
may be influenced by humidity and test result is
The main elements of the compensation devices not changed after shielding.
contain: 1, capacitor bank; 2, MOV; 3, trigger gap; 3. The value of leakage current under 0.75 times
4, bypass switch; 5, damping reactor; 6, insulated reference voltage of non-faulty MOV in B phase
platform. and C phase has a marked increase compared to
The capacitor bank is the main device of the the historical records. The result relates to field
series capacitor compensation device which is used humidity as well as MOV resistor disc’s voltage–
to raise transmission capacity of the transmission current characteristic has negative temperature
line. MOV is used for limiting voltage of the capac- coefficient in low current area. Because in sum-
itor bank. Trigger gap, which does not have strong mer, the test temperature is higher than the pre-
capacity of arc blowout and needs to close the vious two times.
bypass switch or trip of line switch to quench the
arc, is used to puncture rapidly the bypass capaci-
tor bank and MOV to prevent overheating damage 3.3 MOV design requirement of the series
of the MOV and protect capacitor bank from suf- capacitor compensation device
fering overvoltage damage. Bypass breaker is used 1. MOV operates usually under 10% redundance
for switching series capacitor bank and quenching hot bank
arc by shorting gap. Damping reactor is used for Ambient temperature, measurement error,
limiting high amplitude and frequency oscillating unbalanced current, utilization rate, and so
current which is from discharge of capacitor bank on have influence on current distribution and
when breakover of trigger gap due to discharge or capacity value in the process of manufacture
bypass breaker is switched on[1]. The key param- and assembly of MOV’s resistor disc. MOV’s
eters of MOV are shown in Table 1. capacitance should consider a certain mar-
gin based on calculated value and 20% mar-
gin when calculating maximum capacity, and
3 INSPECTION AND ANALYSIS this value is used as rated capacity of resistor
OF FAULT EQUIPMENT disc[3].
In addition, because of probable damage
3.1 Visual inspections while the MOV is running, replaced new com-
From the result of visual inspection, we can see ponents are difficult to guarantee that its char-
that the MOV has broke down and the large fault acteristics match with operating components,
current flowed through the MOV that lead to inter- therefore, considering 10% margin usually in
nal high energy burst the bursting disk open so that the way of hot bank to guarantee that all MOVs
the operation of pressure release equipment and have the same characteristic[4–5].
cause damage of external insulator shed at outlet According to the ability of energy absorp-
of releasing pressure. tion per cubic centimeter from the producer, the
value of energy absorption of 17 MOV which
combines into a set of device is 56 MJ that meets
3.2 Electrical test
rated capacity 50 MJ. Considering 10% margin
A 2  mA DC reference voltage test and leakage of hot bank, each phase has two MOV sections
current test under 0.75 times reference voltage for spinning operation.

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 Figure 2. Result of fault MOV’s visual inspection.

Table 2. Test results of the fault series capacitor compensation device.

2 mA DC Leakage current test

reference under 0.75 times Field Field
Test time Equipment voltage/kV reference voltage/μA temperature/°C humidity/%

2014.7.31 Fault MOV of B phase 154 147 31 73

Non-faulty MOV of B phase 164.1–164.8 104–122 31 73
Non-faulty MOV of C phase 163.8–164.4 111–126 31 73
2014.4.10 Each section of MOV of B phase 168–169 50–70 24 20
2013.3.2 Each section of MOV of B phase 169.3–169.8 45–75 15 24

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 2. Each phase itself should have auxiliary section 4 FAULT ANALYSIS
which does not recommend misuse.
From GB/T 6115.2–2002/IEC 60143: 1994 4.1 Protection record wave analysis
Series Capacitors For Power Systems—
Protection record is as follows: 18:46:57.574, short
Part 2: Protective Equipment For Series Capaci-
circuit grounding fault between A phase and B
tor Banks we know: recommend varistor section
phase at a line (fault point is 270 km away from
should be installed and energized with other
the series capacitor compensation) two sets of
sections. This recommendation will guarantee
protective devices for fault line are rapidly oper-
that all varistors, including auxiliary sections,
ating and switching off the three-phase switch
can uniformly age and maintain current distri-
of the series capacitor compensation device;
bution deviation. Every phase will have electrical
18:46:57.574, MOV over current protection,
experience, therefore, do not recommend aux-
MOV unbalanced protection and GAP anti-
iliary sections of different phase misuse. Each
trigger protection in B phase of the compensa-
phase itself should have auxiliary section.
tion device are operating, and three-phase bypass
The series capacitor compensation device is
break switch on to stop operation of the compen-
operated for more than 10 years, and there is
sation device and the device blocks perpetually.
difference for every phase series capacitor com-
SOE incident record of the series capacitor
pensation device on GAP trigger and artificial
compensation device is shown in Table 3.
earth short circuit test. These fault MOV sec-
Fault record wave of the series capacitor com-
tions are not recommended to be used for huge
pensation device as shown in Figure  3. From the
different operating experience to avoid trigger-
record wave we know:
ing new faults.

Table 3. SOE incident record of fault series capacitor compensation.

Time Type Source Content

(a) A system
18:46:57.596 Fault MOV protection 1808-MOV over current protection in B phase is operating
18:46:57.596 Incident Platform protection 134-platform protection receives order for protecting
bypass breaker
18:46:57.825 Incident DI case 116-restor trigger signal of platform GAP in B phase
18:46:57.686 Incident MOV protection 1814-GAP anti-trigger protection in B phase is operating
18:46:57.627 Incident Platform protection 140-perpetual blocking signal of series capacitor
compensation device is effectively input
18:46:57.686 Incident Platform protection 134-platform protection receives order for protecting
bypass breaker
18:46:57.687 Incident Platform protection 134-platform protection receives order for protecting
bypass breaker
18:46:57.735 Incident Platform protection 126-B phase breaker switches on
18:46:57.738 Incident Platform protection 128-C phase breaker switches on
18:46:57.741 Incident Platform protection 124-A phase breaker switches on
(b) B system
18:46:57.596 Fault MOV protection 1808-MOV over current protection in B phase is operating
18:46:57.596 Incident Platform protection 134-platform protection receives order for protecting
bypass breaker
18:46:57.596 Incident MOV protection 1820-MOV unbalance protection in B phase is operating
18:46:57.596 Incident Platform protection 134-platform protection receives order for protecting
bypass breaker
18:46:57.686 Incident MOV protection 1814-GAP anti-trigger protection in B phase is operating
18:46:57.596 Incident Platform protection 134-platform protection receives order for protecting
bypass breaker
18:46:57.597 Incident Platform protection 134-platform protection receives order for protecting
bypass breaker
18:46:57.716 Incident Platform protection 140-perpetual blocking signal of series capacitor
compensation device is effectively input

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 1. The maximal current value of B phase is 70700 A
(the maximal value before it is 3227  A), and
current value is more than 10000  A (constant
value of over current) for four consecutive times
which lead to operation of MOV over current
protection. However, there is no current in GAP
of B phase that lead to operation of anti-trigger
protection.
2. The value of CT test current for branch 2 of
MOV in B phase is about 0.64 A (primary cur-
rent is 1600 A), unbalance protection in B phase
is operating.
3. After operation of MOV over current protec-
tion, GAP of B phase of the compensation
device is triggered. This fault is actually external
(short circuit grounding fault between A phase
and B phase), therefore, the voltage between the
two poles of GAP in B phase may not be up to
trigger voltage so that the GAP does not conduct
and the GAP anti-trigger protection is operated.
4. In the process of fault operation, the MOV
current value in B phase meets operating con-
dition of MOV over current protection, and
the CT does not detect current, and GAP anti-
trigger protection in B phase is operating. Two
branches’ current are critical unbalance in B
phase of the series capacitor compensation
Figure  3. Fault MOV current of series compensation
capacitor banks.
Figure 4. Calculated results of current simulation for MOV external fault.
101
CMEEE_book.indb 101
device which lead to the operation of MOV
unbalance protection.
Establishing mold and calculate the voltage
and current of the series compensation capaci-
tor banks’ section while simulate the short circuit
grounding fault between A phase and B phase. The
results are as follows:
1. The peak current of MOV in B phase is 3259.8 A
when MOV is running normally (the peak cur-
rent of fault record wave is 3227  A), and the
voltage between the two poles of GAP is 200 kV
which is not up to trigger condition of GAP.
2. If in one section of MOV short circuit occurred
when external fault current flows through it, the
peak current of MOV in B phase is up to 66 kA
(the current displayed on the fault wave picture
is 70.7 kA), the two poles of GAP are short and
the voltage is about 0 which is much less than
the value of trigger.
5 CAUSE ANALYSIS FOR FAULT
AND RECOMMENDATION
Combining with equipment inspection, fault record
wave and results of fault simulation, fault analysis
of the series compensation capacitor banks is as
follows:
1. Internal defects of fault MOV of the series com-
pensation capacitor banks caused MOV failure
when external fault occurs which cause rise of
current flowing through MOV.
2. While MOV failure, capacitor banks discharge
through a fault MOV which cause discharge cur-
rent is up to 70 kA that meets the constant value
of over current protection (10 kA), however, the
two poles of GAP is short and the voltage is
about 0 which much less than the value of trigger,
therefore, MOV over current protection is oper-
ating and GAP protection refuse to operating.
3/20/2015 4:11:13 PM
 Through inspection of appearance and electri-
cal test and so on, we recommend the following:
1. Considering that there are differences for every
phase series capacitor compensation device on
GAP trigger and artificial earth short circuit
test, do not recommend to use other MOV ele-
ments to replace element of this fault MOV
in B phase of series capacitor compensation
banks.
2. There are 18 MOV sections in B phase can
be used (including one auxiliary section),
which means the total capacity meet demand,
but, considering that there are many similar
faults in china, and the MOV for series com-
pensation capacitor banks have operated for
many years which may cause the existence of
cracking (decline of DC reference voltage).
Therefore, we recommend to replace rapidly
the fault MOV for series compensation capaci-
tor banks.
3. We cannot to do electric check on series capaci-
tor compensation device because of its particu-
larity, therefore, we advise that replace device
102
CMEEE_book.indb 102
with long-time-operating and degraded electri-
cal performance to improve operational reliabil-
ity of device.
REFERENCES
[1] Yang Yu-juan. Development and Characteristics of
Metal Oxide Nonlinearity Resistor (MOV) for Series
Compensation Capacitor Banks [J]. Insulators and
Surge Arresters, 2011, (243):100–106.
[2] Deng Yong-jie, Zhang Jie. Analysis of a MOV Inter-
nal Fault of Series Compensation [J]. Guangxi Elec-
tric Power, 2013, 36(4):72–74.
[3] Cheng Zhen-he. Research on the Series Compensa-
tion Equipment Optimization in 500 kV UHV System
[D]. Nanjing University Of Science and Technology,
2003.
[4] Ye Bo, Cheng Zhong-wei, Huang Kang-jia. Analysis
and Diagnose of MOV Fault in Series Compen-
sation Station [J]. Guangxi Electric Power, 2010,
133(5):55–57.
[5] Chen Xi-peng. Study on Overvoltage of 500 kV
Series Compensator [D]. South China University of
Technology, 2010.
3/20/2015 4:11:14 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Experimental study of the human retinal security by LED light

Li Zhao, Liu Lu, Shu-Yan Ren, Li-Qing Geng & C.T. Li

Key Laboratory of Information Sensing and Intelligent Control, Tianjin University of Technology
and Education, Tianjin, China

ABSTRACT: Medical experiments by LED light had been done to explain the influence on visual
function. White LED was regarded as light source. Experiments about retinal security of rats had been
carried out under different illumination, and test results of flow cytometry, visual electrophysiology, light
and electron microscopy were obtained. After 24 hours under 3000 LUX light irradiation, apoptosis rate
is 87.6%. After 7 days under 500 LUX light irradiation (alternating light and dark for 12 hours), electrore-
tinography is abnormal. From the test results of light and electron microscopy, the conclusions of retinal
damage can also be observed. Experimental study of the human retinal security by LED light will provide
theoretical basis to indoor application of LED light.

Keywords: ERG; retinal security; flow cytometry; LED light

1 INTRODUCTION the photon changing in an instant to mechanical

The sensitivity of the human visual perception
to different wavelengths of light is different. In
the radiation wavelength range of light diode,
radiation energy distribution of each different
wavelength will cause adaptive visual response to
humans. The illumination of a point on the sur-
face is defined as the ratio of the incident flux
and the unit area, and low illumination will cause
eye fatigue, and high illumination will cause glare
and waste of electricity. Using LED lights, there
are two irradiation methods, which are direct and
oblique. Under these methods, human visual per-
ception is different, as that under different lengths
of exposure time.
Studies have shown that prolonged exposure
to bright light can cause adverse effects on retinal
function. Many scholars used a variety of experi-
mental animals to demonstrate the effects of light
on the retina and its mechanism [1–3]. The causes
of light impact on the retina are deduced to three
aspects, which are thermal damage, mechanical
damage and photochemical damage [4–6]. Thermal
damage is produced from the high energy absorbed
by the tissue, which makes local tissue temperature
to increase. When the tissue temperature exceeds
a certain limit, all kinds of protein components
within the organization produce solidification and
conduct damage. Mechanical damage is that tissue
receives strong light (such as laser) in a very short
time, and organization instantaneous changes by
damage tissue. Photochemical damage is patho-
logical changes in retinal tissue which is caused by
not obvious temperature rising, low energy and
relatively long time illumination.
LED semiconductor light-emitting device as the
fourth generation of light source will soon be widely
used in indoors, which can realize lighting and com-
munication functions at the same time. Exploring
healthy and comfortable designing methods of
indoor LED lighting, or providing theoretical basis
and technical support is important to improve the
general health level of human beings and has enor-
mous social benefits. In this paper, white light LED
is used as the light source to do medical research to
find the LED light source effect on the human vis-
ual function. Under different illumination, experi-
ments were made to study retinal safety of rats, and
confirmed that the intensity of LED light source
has a certain degree of damage to the retina.
2 THE INTERACTION PRINCIPLE
OF LIGHT AND BIOLOGICAL TISSUE
Rod cells and cone cells are two types of visual
cells in the human eye retina, and these cells have
a photosensitive substance called sensitive pig-
ment. Based on the mechanism of interaction
between light and biological tissues [7], the visual
cells generate pulses by the light. These pulses are
posted to the brain’s visual centers by the optic

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 nerve. When photosensitive pigments of the visual
cells were stimulated by visible light, photons of a
certain wavelength would be absorbed. The elec-
tronics within the biological molecules jumped to
a certain level and caused the variation of the bio-
logical molecules. When these effects are not strong
enough, damage does not emerge, and some ben-
eficial effects of biological stimuli have been pro-
duced. However, when the stimulus is too strong,
it will cause irreversible damage to the visual cells
[8–9].
In order to assess the extent of the damage,
the techniques of Flow Cytometry (FCM), visual
electrophysiological analysis and light microscopy
have been adopted in this paper to study the reac-
tion of the retina after stimulation by light.

3 BASIC MEDICAL EXPERIMENTS

Figure 1. Apoptosis in normal control group.
According to the experimental requirements, cages
of rats and light sources are designed. Selecting
white LEDs as light source, the light-emitting sur-
face is 400 mm * 600 mm. Unless adding a piece of
glass as a scatter to enhance the uniformity of illu-
mination, the method of segmentation controlling
is used to ensure the stability of photoluminescence.
By 12 hours light and 12 hours dark illumination
mode, samples of rats were taken for basic medicine
experiment after continuous irradiation for 7 days.
A group of rats without irradiation is selected as
normal control group subjected to the same medi-
cal experiments.

3.1 Flow cytometry

FCM is a detection method for quantitative analy-
sis and separation of single cells or other biologi-
cal particles in function level [10]. It can analyze
tens of thousands of cells by high-speed and get
more parameters simultaneously from one cell.
Compared with the conventional fluorescent micro-
Figure 2. 3000 LUX light cell apoptosis in 24 hours.
scopy, FCM has the advantages of high speed, high
precision, and so on. The results of cell apoptosis
obtained by FCM are shown in Figures 1 and 2.
Apoptotic response is a kind of characteristic occur in the visual receptors, which produce poten-
changes that occur in the level of the retinal cells, tial changes and form nerve impulses passing to
sub-cellular and molecular. Apoptosis in the con- bipolar cells, ganglion cells, optic nerve, optic chi-
trol group was 2.44%, while in the 3000 LUX light asm, optic tract, and lateral geniculate body. Optic
irradiation after 24 hours, apoptosis was 87.6%. So radiation terminates in the cerebral cortex of the
damage is very greatly under the condition of the calcarine visual cortex. After the retina is stimu-
irradiation. lated by the full-field (Ganzfeld) flash, the sum of
electrical responses of the retina neurons and non-
neuronal cells is recorded by cornea. It represents
3.2 Visual electrophysiology
the electrical activity of the retinal cells of every
After the human eye’s retina is stimulated by light, layer. Diagram of electroretinogram (ERG) [11,12]
photochemical and photoelectric reactions will is shown in Figure 3.

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 Table 1. Dark-adapted rod reaction.

Normal 500 LUX
control group light group

b wave latency 67.87 ± 6.63 442.13 ± 40.84

B wave amplitude 86.00 ± 9.01 244.00 ± 29.83

Figure 3. Schematic diagram of ERG component.

Table 2. Dark-adapted largest mixed reaction.

Normal 500 LUX
The common clinical abnormal ERG is mainly control group light group
embodied in five different types. The amplitude
of B wave of hypertypic ERG exceeds the normal b wave latency 66.67 ± 5.55 66.29 ± 5.96
average value over 30%. a and b wave amplitude of b wave amplitude 674.00 ± 32.12 402.00 ± 25.10
low ERG decreases, and the range should be lower a wave latency 16.33 ± 2.24 17.43 ± 1.62
than the normal average value over 30%. For the a wave amplitude 242.47 ± 28.67 142.29 ± 18.42
negative wave of ERG, a wave is deep and wide, Ops total amplitude 325.07 ± 35.71 142.57 ± 17.65
and b wave is small or disappeared. For delayed-
type ERGs, a and b wave amplitude is normal,
but the peak time will delay by standard flash
recording. The composition of flat type ERG will
be submerged in the baseline noise.
In the visual electrophysiological experiments,
RolanConsult’s eye electrophysiological systems
and Retisystem 2.26 software are used to measure
ERG. Corneal electrode and the reference elec-
trode and the ground electrode are made of stain-
less steel needle.
Comparison of visual electrophysiological
parameters in the normal control group and the
group illuminated by 500  LUX continuous light
for 12 hours is shown in Tables 1 and 2, in which
the incubation period unit is ms and amplitude of
the unit is mv.
Compared with the normal control group, Figure 4. HE staining pattern of normal control group.
retinal electrophysiology dark adaptation biggest
mixed reaction a and b wave latent period of rats in
500 LUX light group were basically not changed, outer nuclear layer nucleuses arrange regularly,
but the amplitude decreased, and the rest of the and the thickness is an average of about 10∼12
wave amplitude decreased. Dark adaptation rod nucleuses. The inside and outside section struc-
response b wave amplitude decreased by 45%, and ture of photoreceptor cells is clear and colored
the largest mixed dark-adapted response of b wave uniformly, HE staining of the control group is
amplitude decreased by 14%, and a wave ampli- shown in Figure  4. Under 2000  LUX illumina-
tude decreased by 41%. Experimental results show tion, the outer nuclear layer cell nucleus became
that the ERG of the rats in 500 LUX light group thin, and arranged loosely, and the thickness is an
is abnormal. average of about 2–4 cells, as shown in Figure 5.
Experimental results show that the apoptosis of
the retinal photoreceptor cells increases in the light
3.3 Light microscopy and electron stimulation, so the thickness of the outer nuclear
microscopy experiments layer is reduced.
Dying characteristics of light microscopic exami- Electron microscopy is a typical method to
nation of biological tissue is used to show the observe the cell morphology, by which micro
morphological structure of tissues and cells, and structure of the nucleus is clear. Therefore, com-
to study the pathological changes of the disease bination of the electron microscope and dig-
and the development process. Normal rat retinal ital image processing system can be adopted to

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 detect more subtle changes. Electron microscopy
results of the experimental group and the control
group under 2000  LUX illumination are shown
in Figures 6 and 7, and the injured parts revealed
myelin structure, cell gap is mild to moderate
edema and a small amount of cystic cells are
expanse.

4 CONCLUSION

From the test results of FCM, visual electrophysi-

ology, optical microscopy and electron microscopy,
compared with the normal control group, the ret-
Figure 5. HE staining under 2000 LUX illumination. ina of rats presented different levels of apoptosis
under different illumination of light source from
500  LUX to 3000  LUX by the fixed exposure
mode. Therefore, the LED source is subject to be
strictly tested before entering the indoor lighting,
and brightness should be controlled in a certain
range.

ACKNOWLEDGEMENTS

The National Natural Science Fund Project “LED

light source of the retina medical security and
visual function influence mechanism research”
(No. 61178081).
The Research and Development fund “Special
LED lighting and control system design for plant
growth” (No. KJY11-10).

Figure 6. Electron microscopy results of normal control

group. REFERENCES

[1] Desmet K.D., et al. 2006, Clinical and experimental

applications of NIR-LED photobiomodulation [J].
Photomed Laser Surg, 24(2): 121–128.
[2] Jeong Jun Lee. 2005, Three dimensional eye gaze esti-
mation in wearable monitor environment [D], Yonsei
University.
[3] Suzdaļenko A., Galkins I. 2010, Research and Devel-
opment of LED Driver with Power Line Commu-
nication for Intelligent Lighting [J], Proceedings of
NEXT 2010, Finland, Turku, 78–85.
[4] Komine Toshihiko, Haruyama Shiniehiro, Nakagawa
Masao. 2005, A study of shadowing on indoor
Visible-light wireless communication utilizing
Plural white LED lightings [J]. Wireless Personal
communications, 34(l–2): 211–22.
[5] Penn J.S., Anderson R.E. 1991, Effect of light history
on the rat retina [J]. Prog Ret Res, 11:75.
[6] Young R.W. 1988, Solar radiation and age-related
macular degeneration [J]. Sury Ophihalmol, 32:252.
[7] Ash C., Town G. and Bjerring P. 2008, Relevance
of the structure of time-resolved spectral output to
Figure  7. Electron microscopy test results of control light-tissue interaction using intense pulsed light [J].
group under 2000 LUX illumination. Lasers Surg Med, 40(2): 83–92.

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 [8] Dall Agnol, et  al. 2009, Comparative analysis of
coherent light action (laser) versus non-coherent light
(light-emitting diode) for tissue repair in diabetic rats
[J]. Lasers Med Sci, 24(6): 909–916.
[9] Leal Junior E.C., et al., 2009, Effect of cluster multi-
diode Light Emitting Diode Therapy (LEDT) on
exercise-induced skeletal muscle fatigue and skeletal
muscle recovery in humans. Lasers Surg Med, 41(8):
572–577.
[10] Wu Xiaona and Jiang Hongbing. 2011, Working
principle and clinical application of flow cytometry,
Chinese medical equipment, 26(3): 91–93.
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CMEEE_book.indb 107
[11] Li Qiaolian, Tang Renhong and Yi Junhui. 2013,
Application ERG assess changes in retinal func-
tion with high myopia, Chinese and foreign medical
research, 11(12): 151–153.
[12] Wang Hui Wu Xingwei Zhu Jianfeng Chen Fenge
Wu Ying Sun Yong Gong Yuanyuan. 2008, Deter-
mination of [J]. high myopia macular retinal thick-
ness and multifocal ERG. Journal of Optometry. 10
(05): 332–334.
3/20/2015 4:11:17 PM
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Analysis of the phenomenon in LFO of AC electric locomotive

J.J. Ding, Y. Tu & S.B. Gao

School of Electrical Engineering, Southwest Jiaotong University, Chengdu, China

ABSTRACT: In order to analyze the mechanism and key factors of the stability of the traction power
supply system and the high-power electric traction system which is influenced by Low Frequency Oscil-
lation (LFO), this article uses the Matlab/Simulink simulation software to build the locomotive–traction
network coupling model which contains HXD3 locomotives and traction network. By changing the length
of traction power supply arm, the number of locomotives and the condition of locomotive in full-load or
un-load, we can get different simulation results under various conditions. Combining the actual measure
results and simulation results, we can find the main reasons which cause the LFO of the electric locomo-
tive and traction network. If we let the length of the power supply section become longer, the oscillation
will be more obvious. Besides, the number of the locomotives which is running together can determine
whether the oscillation is shown. The locomotive and traction network LFO will appear when the loco-
motive is only in full load operation but not in no load operation.

Keywords: traction network; electric locomotive; LFO; stability analysis

1 INTRODUCTION 2 THE MODELING OF AT TRACTION

NETWORK
For rapidity and traffic density of trains on high-
speed passenger special railway, it may exist the In the traction network, for the AT power supply
possibility that many locomotives are accessing the mode has the advantage that not only can reduce
traction network at the same time in the same rail- the interference from electrified railway to commu-
way section. It leads to the problem that the coupling nication line but also other supply systems don’t
relationship between the electric locomotive and have, so it is used by many countries.
traction network becomes more and more serious. The three lines equivalent AT traction power
The spreading of the harmonic power flow in the supply mode in this paper includes contact wire,
traction network may cause harmonic resonance messenger wire, return line, rail and positive feeder.
between the locomotive and traction network. The contact wire and messenger wire can be sim-
On December 26, 2007, there were many loco- plified as traction line (T line). The return line and
motives affected by the Low Frequency Oscillation rail can be simplified as return circuit line (R line),
(LFO) of the traction network-voltage when they and the positive feeder line is recorded as “F line”.
are servicing together in the Hu Dong locomotive We can establish the traction network simulation
depot, and the locomotives could not work nor- module with the line model provided by Matlab,
mally because of the traction blockade. It caused the “Series RLC Branch” module and “Mutual
the locomotives can’t entry and out of the garage inductance” module in “SimPowerSystems” that
normally and disturb the traffic order seriously.
In this paper, through the establishment of
the all-parallel AT traction network model and
the multi HXD3-locomotives model, using the
Simulink simulation tool, the different conditions
of the LFO which is influenced by the different
length of power supply section and different work-
ing conditions about one or several locomotives
were simulated and analyzed. According to the
simulation results, we can reproduce the accident
in the Hu Dong locomotive depot and find the
main reasons which cause the LFO of the electric
locomotive and traction network. Figure 1. The AT traction network model.

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 can, respectively, represent self-impedance and
mutual impedance. The AT transformer can be
realized by single-phase and two-winding trans-
former. Finally, the AT traction power supply
system with mutual inductance can be established
according to the requirements of the prototype
system. The model is shown in Figure 1.
3 THE MODELING OF HXD3
LOCOMOTIVE
The simulation model of a locomotive in this paper
is established with reference to the main circuit of
China Railway HXD3 (HXD3). The model includes
the main traction transformer, two-level rectifier
bridge, modulation wave generation module, PWM
control signal module, the intermediate DC voltage
link, the second filter, and variable resistance load.
Because the phenomenon of LFO of electric loco-
motive and traction network has close ties to the
rectifier circuit but not to the inverter circuit, the
integral part of the locomotive model is rectifier cir-
cuit and we can simplify the part of inverter circuit
and traction motor as a variable resistance load.
The final locomotive model is shown in Figure 2.
The parameters of the rectifier circuit model
established in this section are as shown in Table 1.
4 THE SIMULATION OF LOCOMOTIVE
AND TRACTION NETWORK COUPLING
SYSTEM
Through the simulation  of locomotive–traction
network system under different conditions, we
Figure 2. The simulation model of electric locomotive.
Table 1. The parameters of the model.
Rated capacity 1400 kVA
Rated voltage input 1400 V
Rated frequency input 50 Hz
Rated voltage output 2800 V
Power factor ≥98%
110
CMEEE_book.indb 110
observe the phenomenon of LFO.  And through
the analysis and comparing of the different simula-
tion results, we can find the reasons and the related
factors which lead to the LFO.
For the traction network, it is important to ana-
lyze the influence of the current and voltage wave-
form of locomotive and traction network which is
caused by the change of the traction power supply
arm length from 15 km to 45 km.
For the locomotive, this article analyzes the cur-
rent and voltage waveform of the locomotive and
traction network when there are different number
of locomotives accessing the traction network,
such as one, two, and seven locomotives. Besides,
through change the working state, change from
full-load state to no-load state, we can observe the
appearance of the LFO.
4.1 The simulation of one locomotive working
When only one locomotive is working on the trac-
tion network which has the length of power supply
arm about 15 km and 45 km, the traction current
and voltage simulation waveform are shown in
Figures 3 and 4.
It is easily to find that no matter the length of
power supply arm are 15 km or 45 km, it can’t lead
to the appearance of the LFO when single locomo-
tive access the traction network.
4.2 The simulation of two locomotives working
Let the two locomotives access the traction net-
work in turn, setting the length of the power sup-
ply arm as 45 km and measure the network current
Figure 3. Current and voltage waveform of single elec-
tric locomotive with 15 km power supply arm.
Figure 4. Current and voltage waveform of single elec-
tric locomotive with 45 km power supply arm.
3/20/2015 4:11:18 PM
 and voltage. The TIME module of the circuit
breaker is set as 0.5 s, which simulate that one loco-
motive access to the system at the first, but another
access to the system delaying 0.5 s. The simulation
waveform is shown in Figure 5.
According to the result of the simulation, the
traction voltage waveform appears as sharp fluc-
tuations when the second locomotive accesses the
network. So, we can find that when the locomo-
tive accesses the network, the traction voltage
waveform will appear as oscillation lasting about
0.5 s and the difference between the maximum and
minimum value is about 10,000 V.
From 1.4 s, when the system become stable run-
ning, the voltage and current appear the light LFO Figure 6. Current and voltage waveform of seven full-
with the amplitude of 1000 V and the frequency load electric locomotives with 15 km and 45 km power
of 6 Hz. Therefore, the accessing of the two loco- supply arm.
motives will make the system become unstable and
lead to the LFO. What is more, more and more
locomotives access the traction network, the phe-
nomenon of the LFO becomes evident.

4.3 The simulation of multi-locomotives working

For reproducing the field conditions accurately,
the paper changes the number of locomotives
from one to seven to observe the waveform. In this
section, using the seven locomotives as the major
subject, we can change the power supply arm from
15 km to 45 km and change the locomotive condi-
tion from full-load state to no-load state, and get
different simulation results. Setting the locomotive
accessing time as 0, 0.25 s, 0.5 s, 0.75 s, 1 s, 1.25 s,
1.5 s.
When the locomotives are running full-load, the
resistance R of the DC circuit is set to the value
about 6.8Ω that is equal to the value when the
inverter circuit is running full-load. Simulating and
analyzing the case that the length of power supply
arm equal to 15 km and 45 km, respectively.
Figure  6  shows the current and voltage wave-
form of the traction when the length of the power
supply arm is 15  km and 45  km. It is very clear
that the value of current and voltage is stable, the
Figure 5. Voltage waveform of two electric locomotives
with 45 km power supply arm.
Figure  7. Current and voltage waveform of seven  no-
load electric locomotives with 15 km and 45 km power
supply arm.
harmonic content of the circuit is low and the
phenomenon of LFO does not appear. So, we can
understand that the full-load locomotive cannot
cause the LFO. When we change the working state
of the locomotives to no-load, and set the value
of the load resistance as 10,000 Ω, the waveform is
shown in Figure 7.
The above waveform shown in Figure  7 is set-
ting the power supply arm as 15 km, and another
is setting the power supply arm as 45 km. It is easy
to find that LFO appears in the two systems after
3 s. The longer the power supply arm length is, the
more increasing the amplitude of the oscillation is.
We can analyze the condition that seven loco-
motives are running together and the length of the
power supply arm is 45 km in detail.
Figure  8  shows the traction voltage and cur-
rent waveform with 45  km power supply arm

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CMEEE_book.indb 111 3/20/2015 4:11:18 PM


Figure  8. Current and voltage not steady waveform
of seven electric locomotives with 45  km power supply
arm.
Figure  9. Steady voltage waveform of seven electric
locomotives with 45 km power supply arm.
length when seven locomotives are instable run-
ning. From 0 s to 1.5 s, the locomotives access the
traction network one by one. Before 3  s, the net
voltage fluctuation is very large and the differ-
ence between the maximum and minimum value is
about 25,000 V. The overvoltage may lead to the
blockade of the traction during the time. After
3  s, the voltage waveform of traction appear the
oscillation as shown in Figure 9. The amplitude is
about 2000V and the frequency is about 6 Hz, so
it is easy to see that it is similar to the waveform of
the field accident which belongs to the LFO.
5 SUMMARY
This paper uses the traction power supply system
and transmission system as the major research
object based on the Simulink software. By chang-
ing the length of traction power supply arm, the
number of locomotives and the condition of loco-
motives in full-load or un-load, we get the differ-
ent simulation results under various conditions
and analyze the necessary condition leading to the
LFO. We can reach the conclusions as follows:
1. Through analyzing the field accident, we can
find that the phenomenon of LFO is caused
by the condition that multi-locomotives are
running together. Using the simulation soft-
ware to simulate this condition, it can be found
that at least two locomotives access the trac-
tion which will lead to the light LFO, and the
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CMEEE_book.indb 112
more the number of locomotives, the more
obvious the phenomenon of the LFO. When
the locomotives access the traction at the same
time, the current of the locomotives is in the
same phase and make synchronous change. At
this time, the locomotive and traction system
turn to synchronous state. On the one hand, the
superposition of the current of synchronous
oscillation makes the traction voltage oscillate;
on the other hand, the oscillation of the voltage
aggravates the oscillation of the current simi-
larly. It leads to the condition of the LFO.
2. Comparing the waveform when the power sup-
ply arm length is 15 km or 45 km. The length
of the traction power supply arm determines
the values of the distributed capacitance, unit
impedance, and unit inductance. So, it is the
important factor which influences the LFO.
The longer the length of the traction power sup-
ply arm is, the higher the values of distributed
capacitance, unit impedance and unit induct-
ance are. The amplitude of the LFO voltage is
larger.
3. Analyzing the simulation results when seven
locomotives access the traction network, we can
find that the LFO disappears when the locomo-
tives are in full-load. On the contrary, the run-
ning of the no-load locomotives may cause the
appearance of the LFO.
ACKNOWLEDGEMENTS
The authors acknowledge  the support  of  the
National Natural Science Foundation of China
(Grant Nos 50907055 and U1134205).
REFERENCES
[1] Shibin Gao. Study on novel protective schemes of
traction power supply systems for high speed rail-
ways [D]. ChengDu Southwest Jiaotong University,
2004:14–37.
[2] Qionglin Zheng. Cause analysis and countermeas-
ures of the HXD1 AC locomotive harmonic oscilla-
tion [J]. The World of Inverters, 2009, (05):44–45.
[3] Zhihua Yang, Liqin Zhu. Cause analysis and coun-
termeasures of traction harmonic of AC locomotives
[J]. Electric Locomotives & Mass Transit Vehicles,
2003, 26(02):8–11.
[4] Haitao Hu, Min Zhang, Chenghao Qian, Lei Fang.
Research on the Harmonic Transmission Charac-
teristic and the Harmonic Amplification and Sup-
pression in High-Speed Traction System [J]. Power
and Energy Engineering Conference (APPEEC),
2011 Asia-Pacific.
3/20/2015 4:11:20 PM
 [5] Qiling Yang. The Coupled oscillation between catenary
system and the traction drive system in High-Speed
Train [D]. Beijing Jiaotong University, 2012, 06.
[6] Chaopeng Zhao, Xudong Tian. The Influence of
AC-DC-AC electric traction harmonic [J]. Electric
Railway, 2010, (03):6–8.
[7] Erik Mollerstedt. Out of control because of
harmonics-an analysis of the harmonic response of an
inverter [J]. Control Systems, IEEE, Aug. 2000:70–80.
[8] B. I. Khomenko, K. N. Suslova. Unified converter for
electric locomotives of direct and alternating current
[J]. Russian Electrical Engineering, 2009, Vol.80 (6)
113
CH23_25.indd 113
[9] Wensheng Song, Zhiming Liu, Xiaoyun Feng.
Controling and Simulation of 4-Quadrant Con-
verter [J]. Electric Locomotives & Mass Transit
Vehicles, 2007, 30(02):34–37.
[10] Katsuhiro Shimada. A control method of matrix
converter for plasma control coil power supply [J].
Fusion Engineering and Design, 2007, 82(5).
[11] L. Malesani and P. Tomasin. “PWM current control
techniques of voltage source converters-A survey”.
Proc. IECON’93.
3/20/2015 6:15:35 PM
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

The prototype of fatigue damage detection by the method of Metal

Magnetic Memory Testing

X.Y. Yu
Harbin Institute of Technology, Harbin, Heilongjiang, China

X.Y. Fu
Center for Control Theory and Guidance Technology, Harbin Institute of Technology, Harbin,
Heilongjiang, China

ABSTRACT: Metal Magnetic Memory Testing (MMMT) is one of the most potential non-destructive
testing technology, which can effectively distinguish the stress concentration zone. And in most situations,
it can be used to provide early diagnosis and dynamic analysis for casing damages. Based on this method,
we create an integrated prototype equipment for detection. And the prototype is proven to be effective and
reliable through the experiment analysis.

Keywords: Metal Magnetic Memory Testing (MMMT); fatigue damage detection; anti-interference cir-
cuit; data analysis based on the Matlab

1 INTRODUCTION In Section III, we will explicate the general

design of some main modules.
1.1 General introduction In Section IV, we will make a GUI program
as a display by Matlab software and use it to
In the last few years, the non-destructive testing
prove the reliability of the prototype through the
technology has a tremendous development. But the
experiment.
traditional non-destructive testing technology still
has some limitations, such as some requirements
of the surface pretreatment or excitation source
2 SECTION II
device. With the increasing industrial level, a new
testing technology by metal magnetic memory
First of all, the magnetic signal above the surface of
is gradually discovered and becoming the main-
ferromagnet can be detected by the magnetoresistive
stream. It’s all based on the own magnetic leak-
sensor, and fast converted into the analog electrical
age field, caused by the geomagnetic field and the
signal. Then the new signal will be transmitted to the
magnetostriction in ferromagnetic products. And
signal processor through the filtering and amplifying
the abnormal magnetic signals can be detected on
circuit. And the processing signal can be sampled by
the defect location.
the data acquisition part, which has a built-in 24-bit
Based on the principle of MMMT, we have cre-
high-precision ADC. Finally, the electrical signal is
ated an integrated prototype. We use PCB to support
restored to the magnetic signal, and transmitted to
and integrate different kinds of functional modules.
the host directly through RS485 communication for
The magnetoresistive sensor with high sensitivity is
the further signal processing in GUI.
used for collecting the weak magnetic signals. And
we also design the set/reset circuit and electromag-
netic shielding to achieve anti-interference. The low-
3 SECTION III
noise amplifier circuit amplifies the weak signals.
The PIC controls the data after A/D conversion in
3.1 The sensor circuit
order to achieve the preservation, communication
and some other extensible functions. Because the working environment is under the
weak magnetic fields, we can choose the magne-
toresistive sensors with the type of Honeywell
1.2 Organization
HMC1001/1002. Configured as a 4-element
In Section II, we will show the system design block wheatstone bridge, these types of magnetoresistive
diagram of prototype and the detailed workflow. sensors convert magnetic fields into a differential

115

CMEEE_book.indb 115 3/20/2015 4:11:20 PM


Figure 1. (a) Design principle diagram.
Figure 1. (b) The entity of detector part.
Figure 2. The sensor circuit.
output voltage, capable of sensing magnetic fields
as low as 30  μgauss. This MR offer a small, low
cost, high sensitivity and high reliability solution
for low field magnetic sensing.
3.2 The set/reset circuit
Most low field magnetic sensors can be affected
by the large magnetic disturbing fields, which may
lead to output signal degradation. In order to
reduce this effect and maximize the signal output,
116
CMEEE_book.indb 116
Figure 3. The set/reset circuit.
Figure 4. The filtering and amplifying circuit.
a magnetic switching technique can be applied to
the MR bridge that will eliminate the effect of the
magnetic history. The Set/Reset strap can restore
the MR sensor to its high sensitivity state for meas-
uring magnetic fields. This is done by pulsing a
large current through the S/R strap.
The circuit in Figure  3  generates a strong set/
reset pulse ( 4 Amp) under microprocessor control.
The S/R signals are generated from a microproces-
sor and control the P/N channel HEXFET drivers
(IRF7105). The purpose of creating the TRS and
the TSR delays are to make sure that one HEXFET
is off before the other one turns on. Basically, a
break-before-make switching pattern. And the cur-
rent pulse is drawn from the 4.7 μF capacitor.
3.3 The filtering and amplifying circuit
In the filtering circuit part, we decide to choose the
passive-RC low-pass filter, which makes the bet-
ter effect. And in the amplifying circuit part, we
choose the AD8221 chip to amplify the signal. The
Figure 4 shows the detailed design of circuit.
4 EXPERIMENT
We use a 3 m iron pipe with one fatigue damage for
the experiment. The damage is artificial and typical.
The Figure 5 (a) and (b) show the waveform of
the magnetic field intensity and gradient.
3/20/2015 4:11:21 PM

Figure 5. (a) The magnetic field intensity. (b) The mag-
netic field gradient.
We can see that the abnormal magnetic signals
occur once at the same location, where is just same
as the real damage point. We repeat this experi-
ment many times, and finally get the same result.
Therefore, we can prove the reliability of the
prototype.
5 CONCLUSION
The stress concentration zone on the ferromag-
netic object can be distinguished by the method
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CMEEE_book.indb 117
of Metal Magnetic Memory Testing (MMMT)
effectively. And based on this method, we have cre-
ated the prototype for detection. Finally the proto-
type is proven to be effective and reliable through
the experiment.
REFERENCES
[1] Dubov A.A. Principal Features of Metal Magnetic
Memory Method and Inspection Tools as Compared
to Known Magnetic NDT Methods [C]. Proceedings
of the 16th Annual World Conference on Non-
Destructive Testing, 2004 (9): 112–114.
[2] Wang B.B, Liao C.R, Shi X.C. Study on Magnetic
Flux Leakage Model and Experimental Apparatus of
Metal Magnetic Memory Testing [C]. International
Symposium on Test Automation and Instrumenta-
tion, 2010 (4): 1497–1503.
[3] Tanasienko A.G, Suntsov S.I, Dubov A.A.
Monitoring Chemical Plant by A Metal Magnetic
Memory Method [J]. Chemical and Petroleum Engi-
neering, 2002 (38): 9–10.
[4] Dubov A.A, Kolokolnikov S, Evdokimov M.
Estimation of Gas and Oil Pipelines Condition Based
on the Method of Metal Magnetic Memory [C]. 17th
World Conference on Nondestructive Testing, 2008:
35–38.
[5] Lin J.M, Lin F.B, Lin C.J, et al. Nondestructive Test-
ing New Technology of 21 Century Magnetic Mem-
ory Metal Diagnostic Technique [J]. Proceedings of
III International Symposium on Tribo-Fatigue, 2010:
648–650.
[6] Analog Devices. ad8221 datasheet, 1–22.
[7] HMC1001 datasheet, 1–15.
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© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Rotor composite faults diagnosis of asynchronous motor

based on complex power

Zhen Wang, Zhi-Fang Lin & Cheng Li

Huazhong University of Science and Technology, Wuhan, Hubei, China

Zhi Zeng
Xianning Vocational Technical College, Xianning, Hubei, China

ABSTRACT: In order to diagnose rotor composite faults of a broken bar and air-gap eccentric in
Squirrel Cage Induction Motors (SCIMs), an approach was proposed based on the complex power modu-
lus. Complex power modulus (apparent power) of SCIM’s stator was derived on the condition of normal
motor and the rotor composite faults. Theoretical analysis indicates that the fundamental component
is eliminated in apparent power, and broken bar and air-gap eccentric fault characteristic frequency are
gained, which is beneficial to the separation and diagnosis of mixed faults. Experimental results demon-
strate that the amplitude of fault characteristic frequency is high in the early fault diagnosis, which shows
the approach is effective to rotor composite faults of early fault diagnosis. The amplitude of 2sf1 raises
linearly along with the increase of broken bar for the case of the rotor composite faults, which is useful to
the quantification of the fault extent.

Keywords: Squirrel Cage Induction Motors; the rotor composite faults; apparent power; the fault char-
acteristic frequency; on-line monitoring

1 INTRODUCTION can be made into a non-immersion and suitable

Squirrel Cage Induction Motors (SCIMs) have
been widely applied to the industrial production
system. Motor faults always result in paralysis of
production line, which causes great economic loss
beyond the value of the motor itself [1–3]. Broken
rotor bars and air-gap eccentricity are the typi-
cally common faults, which accounts for a large
part of total failures in SCIMs [4–6]. Motor cur-
rent signature analysis is one of most widely used
to diagnose SCIMs, due to its advantages that it
for online monitoring. For broken rotor bars and
air-gap eccentricity, the fault characteristic com-
ponents near fundamental frequency appear in the
stator current. In the traditional spectrum analysis
of SCIM, the fault characteristic frequency of a
broken rotors bar fault is easily submerged by the
fundamental frequency, thus it is difficult to dis-
tinguish the fault [7], as is shown in Figure 1. The
study of single fault is currently more and the study
of composite fault is few at home and abroad.
In this paper, the fault characteristic frequency
of rotor composite faults was extracted based on
the complex power modulus (apparent power).
The approach separates characteristic frequency
of the rotor composite faults and, therefore, it is a
novel and effective method.

2 APPARENT POWER SIGNAL ANALYSIS

FOR ROTOR COMPOSITE FAULTS

2.1 Complex power

Complex power is defined as [11,12]

s  * (uα + ju
ui juβ )(iα jjiiβ )
Figure  1. Spectrum of stator current for the case of
three broken bars. = (uα iα + uβ iβ ) + j (uβ iα uα iβ ) (1)

119

CMEEE_book.indb 119 3/20/2015 4:11:23 PM

 Eq. (1) can be expressed as
s = p + jq ,
where p is active power, and q is reactive power.
Clearly, the apparent power is expressed as
2.3 The expression of apparent power for the case
of the rotor composite faults
(2)
For a broken rotor bars fault of SCIM, the fault
characteristic frequency appears in the stator cur-
rent spectrum [13].

s= p2 + q 2 . (3) f1 sff1 = f1
ksf
k kf
kf b (9)

where k = 1, 2, 3…; f1, 50 Hz, is power supply fre-

2.2 The expression of apparent power under quency, and s is the slip of the motor.
normal condition For air-gap eccentric of SCIM, the fault char-
The coordinate transformation matrix is acteristic frequency appears in the stator current
spectrum [13]
⎡ 1 1 ⎤
1 − − f1 ± mffr
2⎢ 2 2 ⎥
fecc (10)
C3s 2s = ⎢ ⎥. (4)
3⎢ 3 3⎥
⎢⎣0 2 − where m is 1, 2, 3…, and s is the rotational fre-
2 ⎥⎦ quency of the motor.
When broken bars and eccentricity appear simul-
The stator voltages in three-phase coordinates taneously, currents in stator current is [13–14]
are expressed as
∞
ua U cos ωt ia I cos(ω t ) ∑ {Il ,k c ⎡⎣( − k b )t − ϕ l ,k ⎤⎦
⎛ 2π ⎞ k =1
ub U cos ωt −
⎝ ⎟
3 ⎠ + I r,k cos ⎡⎣(ω1 + kω b )t ϕ r ,k ⎤⎦}
⎛ 2π ⎞ ∞
uc U cos ωt +
⎝ ⎟
3 ⎠
(5) + ∑ {Il ,m cos ⎡⎣(ω mω r ) t − ϕ l ,m ⎤⎦
m =1

where U denotes phase voltage. Using the coordinate + I r,m cos ⎡⎣(ω1 + )t − ϕ r,m ⎤⎦}
transformation matrix, the stator voltages can be ⎛ 2π ⎞
expressed in two-phase static coordinates as follows: ib = I1 cos ω1t − ϕ − ⎟
⎝ 3 ⎠
∞
⎧ ⎡ 2π
3
U cos ωt
+ ∑ ⎨I l ,k cos ( 1 − )t − ϕ l ,k − 3 ⎤⎥
uα k =1 ⎩ ⎣ ⎦
2
⎡ 2 π ⎤ ⎫
3 + I r,k cos (ω1 kω b )t − ϕ r ,k − ⎬
uβ
2
U sin ωt (6) ⎣ 3 ⎥⎦ ⎭
∞
⎧ ⎡ 2π
and the stator currents in two-phase static coordi-
+ ∑ ⎨I l ,m cos ( − )t − ϕ l ,m − 3 ⎤⎥
m =1 ⎩ ⎣ ⎦
nates are
⎡ 2π ⎤ ⎫
+ I r,m cos (ω1 + mω r ) t − ϕ r,m − ⎬
3 ⎣ 3 ⎥⎦ ⎭
iα I1 cos(ωt ϕ ) ⎛ 2π ⎞
2 ic = I1 cos ω1t − ϕ + ⎟
3 ⎝ 3 ⎠
iβ I1 sin(ωt ϕ ) (7) ∞
⎧ ⎡ 2π ⎤
2 + ∑ ⎨I l ,k cos (ω1 − kω b )t − ϕ l ,k +
k =1 ⎩ ⎣ 3 ⎥⎦
where I1 denotes phase current and ϕ denotes ⎡ 2π ⎤ ⎫
+ I r,k cos (ω1 + kω b )t − r,k + ⎬
3 ⎥⎦ ⎭
phase difference. Combining (6) and (7) gives
⎣
∞
⎧ ⎡ 2π
s0
3
UII1 .
U (8) + ∑ ⎨I l ,m cos ( − )t − l ,m + 3 ⎤⎥
2 m =1 ⎩ ⎣ ⎦
⎡ 2π ⎤ ⎫
+ I r,m cos (ω1 − mω r )t − ϕ r ,m + ⎬
Equation (8) indicates that the spectrum of the
⎣ 3 ⎥⎦ ⎭
apparent power has only DC component under
normal condition. (11)

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CMEEE_book.indb 120 3/20/2015 4:11:23 PM

 where ω1 ± kω b = 2π f1 ± kffb ) , ω1 ± ω r = 2π (f1 ±
mfr), I l ,k , and ϕ l ,k are, respectively, the peak value
and phase of ω1 kω b ; I r,k and ϕ r,k are, respec-
tively, the peak value and phase of ω1 + kω b ; I l ,m
and ϕ l ,m are, respectively, the peak value and phase
of ω1 ω r; I r,m and ϕ r,m are, respectively, the
peak value and phase of ω1 + ω r .
Using matrix (4), currents of stator current in
two-phase static coordinates can be gained easily
where sd is DC component, skω b is frequency kω b
in apparent power due to the fault frequency of
broken bars, and smω r is frequency mω r in apparent
power due to the fault frequency of air-gap eccen-
tric. For rotor composite fault, the fault character-
istic frequency of broken bars is kω b , and air-gap
eccentric is mω r , which is useful to the separation
and diagnosis of a rotor composite fault.

3 3 EXPERIMENT RESULTS
iα I1 cos(ω1t ϕ )
2 Experiments are performed on a three-phase
∞
+∑
k =1 2
3
{
I l ,k cos ⎡⎣(ω1 kω b )t − ϕ l ,k ⎤⎦ SCIM, Y100  L1–4. A rated mechanical load was
supplied with a separately excited 2.3  kW DC
+ I r,k cos ⎡⎣(ω1 + kω b )t − ϕ r,k ⎤⎦ } generator. Motor rated speed is 1440 r/min, and
rated load is 2.3 kw. At the same time, rated volt-
∞ age is 380 V and rated current is 5  A. Validating
+ ∑
m =1
3
2
{
I l ,m cos ⎡⎣(ω1 − mω r )t − ϕ l ,m ⎤⎦ the effectiveness of this approach, different motor
fault cases have been set. The cases contain normal
+ I r,m cos ⎡⎣(ω + k r )t }
− ϕ r,m ⎤⎦ rotor with eccentricity, one broken bar with eccen-
tricity, two broken bars with eccentricity, as well
3 three broken bars with eccentricity. The following
iβ I1 sin(ω1t ϕ )
2 results can be received from Figures 2–6.
∞
+∑
k =1 2
3
{ si ⎡⎣(ω1 kω b )t − ϕ l ,k ⎤⎦
I l ,k sin

+ I r,k si ⎡⎣(ω1 + kω b )t − ϕ r,k ⎤⎦ }

∞
+∑
m =1 2
3
{
I l ,m sin ⎡⎣(ω1 − )t − ϕ l ,m ⎤⎦
+ I r,m si ⎡⎣(ω1 + kω r )t − ϕ r ,m ⎤⎦ } (12)

Combining (6), (12), and (1), active and reactive

power can be obtained

∞
3 ⎧
p U ⎨I1 cosϕ
2 ⎩
∑ ⎡⎣Il ,k cos(k
(k bt + l ,k )
Figure 2. Spectrum of complex power modulus for the
k =1
∞ case of eccentricity fault.
+ I r,k cos( kω bt − ϕ r,k )⎤⎦ ∑ ⎡⎣ ,m cos(
c ( r ϕ l ,m )
m=1
⎫
+ I r,m cos(( kω rt − ϕ r ,m )⎤⎦ ⎬
⎭⎪
∞
3 ⎧
q U ⎨I1 si ϕ ∑ ⎡⎣I l ,k sin
2 ⎩
(
i kω bt + ϕ l ,k )
k =1
∞
− I r,k si ( kω bt − ϕ r,kk )⎤⎦ ∑ ⎡⎣Il ,m si ( m rt l ,m )
m=1
− I r,m sin( mω rt − ϕ r ,m )⎤⎦ }
(13)
From (3) and (13), apparent power for the case
of the rotor composite fault can be expressed as
Figure 3. Spectrum of complex power modulus for the
sb = sd + skω b + smω r (14) case of one broken bar and eccentricity.

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CMEEE_book.indb 121 3/20/2015 4:11:26 PM


Figure 4. Spectrum of complex power modulus for the
case of two broken bars and eccentricity.
Figure 5. Spectrum of complex power modulus for the
case of three broken bars and eccentricity.
Figure  6. The relationship between fault number and
amplitude of 2sf1 in apparent power.
1. Figure 2 shows that the fault characteristic fre-
quency of eccentricity is mfr in the spectrum of
apparent power. Obviously, when m is 1, the
amplitude of characteristic frequency is highest
and the fault is diagnosed easily.
2. Figures 3–5 show that the broken bar and air-
gap eccentric fault characteristic frequency are,
respectively, fb (k = 1) and mfr, which is beneficial
122
CMEEE_book.indb 122
to the separation and diagnosis of mixed faults.
Especially, the amplitude of the fault charac-
teristic frequency is high in the early fault diag-
nosis, which shows the approach is effective to
rotor composite fault of early fault diagnosis.
The amplitude of 2sf1 raises linearly along with
the increase of the broken bar for the case of the
rotor composite fault, which is beneficial to the
quantification of the fault extent, as is shown in
Figure 6.
4 CONCLUSION
In this paper, an approach is proposed based on
apparent power for detecting rotor composite fault
of the broken bar and air-gap eccentric. Theoreti-
cal analysis and experimental results indicate that
broken bar and air-gap eccentric fault charac-
teristic frequency are, respectively, kfb and mfr in
the spectrum of apparent power, thus the charac-
teristic frequency of the rotor composite fault is
separated. The amplitude of the fault characteris-
tic frequency is high in the early fault diagnosis,
for example, one broken bar, which shows the
approach is effective to rotor composite fault of
early fault diagnosis. The amplitude of 2sf1 raises
linearly along with the increase of the broken bar
for the case of the rotor composite fault, which is
useful for the quantification of the fault extent and
construction of diagnostic rules.
ACKNOWLEDGMENT
The authors wish to acknowledge the contribution
of Zhi Zeng, the second author, who is also the
corresponding author of this paper.
REFERENCES
[1] Nandi, S. Toliyat, H. A. & Li, X. 2005. Condition mon-
itoring and fault diagnosis of electrical motors—A
review. IEEE Trans. Energy Converts 20(4):719–729.
[2] Sun, L.L. Xu, B.Q. & Li. Z.Y. 2012. A MUSIC-SAA
Based Detection Method For Broken Rotor Bar
Fault in Induction Motors. Transactions of China
Electrotechnical Society 27(12):205–212.
[3] Bellini, A. 2009. Quad demodulation: A time-do-
main diagnostic method forinduction machine. IEEE
Trans. Ind. Appl. 45(2):712–719.
[4] Liu, Z.X., Yi, X.G. & Zhang, Z. 2003. On-line rotor
fault diagnosis way based on spectrum analysis
of instantaneous power in squirrel cage induction
motors. Proceedings of the CSEE 23(10):148–152.
[5] Blödt, M., Regnier, J. & Faucher, J. 2009. Distinguish-
ing load torque oscil-lations and eccentricity faults in
induction motors using stator current Wigner distri-
butions. IEEE Trans. Ind. Appl. 45(6):1991–2000.
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 [6] Arthur, N. & Penman, J. 2000. Induction machine
condition monitoring with higher order spectra.
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[7] Khezzar, A., Kaikaa, M. Y., Oumaamar, M. E.
Boucherma, M. & Razik, H.2009. On the use of
slot harmonics as a potential indicator of rotor bar
break age in the induction machine. IEEE Trans.
Ind. Electron. 56(11):4592–4605.
[8] Faiz, J. & Ojaghi, M. 2009. Instantaneous-power
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[9] Drif, M. & Cardoso, A.J.M. 2009. The use of the
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[10] Mirafzal, B. & Demerdash, N.A.O. 2006. On inno-
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[11] Jung, J.H. & Kwon, B.H. 2006. Corrosion model of a
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[12] Drif, M. & Cardoso, A.J.M. 2008. Airgap-eccentric-
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[13] Liu, Z.X., Wei, Y. & Zhao, M. 2006. Fault Diag-
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Commissioning and operation of Heze some leather wastewater

treatment plant

K. Wang, B. Liu, H.D. Zhang & W. Zhao

Shandong Academy of Environmental Science, Jinan, China

ABSTRACT: Main disposal process of a leather sewage factory in Heze includes coarse and fine screen +
ash sump + regulation pool + flocculating chamber + primary biological treatment + secondary biological
treatment + Fenton oxidation. The time of the debug was 45 days, and the debugging results show that
the flocculation precipitation using the combination of FeSO4 + PAM can not only remove about 30%
of COD, but can also realize desulfurization. Biochemical treatment part was composed of two levels of
A/O, not only to improve the treatment effect, but also to have good resistance to impact load capacity.
During the debugging, the effluent COD and ammonia nitrogen were 80–150 mg/L and 0.5–2.5 mg/L,
respectively, the total removal rate reached 90% and 98%, respectively. The dosage of FeSO4 and H2O2 of
Fenton oxidation was 250 mg/L and 500 mg/L, respectively. Under this condition, the effluent COD was
38–52 mg/L and the removal rate reached 54–64%.

Keywords: leather wastewater; COD; ammonia nitrogen; A/O; flocculation; Fenton

1 INTRODUCTION whole process which is applied to the actual water

There were more than 2000 leather enterprises
which produce more than 138  million tons of
wastewater. Due to the large number of chemi-
cals used in the leather production process [1],
leather wastewater was considered to be one of
the world’s most polluted wastewater [2]. Because
of this, governance and solving the leather waste-
water pollution were the urgent affairs of the
leather industry. It has become important factors
which affect the sustainable development of the
leather industry.
Leather wastewater treatment methods mainly
included physical and chemical methods [3] and
biochemical methods [4–5]. Physical and chemi-
cal methods mainly included flocculation precipi-
tation, reverse osmosis, electrochemical, ozone
and Fenton oxidation, etc. Biochemical methods
mainly included SBR, A/O, and the MBR, etc.
In order to make the leather wastewater meet
the processing requirements, people often used
the combination of physical and chemical meth-
ods and biological method combined process.
Physicochemical method is commonly used in
pretreatment or deep processing phase, and main
technology was biochemical method which could
remove most of COD and ammonia nitrogen of
the wastewater.
At present, most studies of leather wastewater
were done in a small or pilot level. Reports on the
processing and to achieve good treatment effect
were little. This article introduced in detail the
whole operation of a leather sewage plant in Heze,
including primary physicochemical treatment, the
operation of the secondary biochemical treatment
and advanced treatment.
2 THE BASIC INFORMATION
OF THE PLANT
2.1 Main technological processes of the plant
The leather industry sewage plant mainly dis-
poses the water produced in the process of leather
production. The design flow rate was 3000 m3/day.
Pretreatment of the plant level included coarse
and fine screen, ash sump, regulation pool and
flocculating chamber. The secondary process-
ing mainly included primary biochemical pool
and secondary biochemical pool. Deep process-
ing was Fenton and its function was to dispose
hard biodegradable organic matter by strong
oxidation.
2.2 Leather wastewater
The design of water quality and the actual water
quality of leather wastewater is shown in Table 1.
Table  1  shows that the actual water quality has
been beyond the design water quality except pH.

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 Table 1. Comparison of design quality leather wastewater and the actual water quality.
Index COD BOD
Design quality 3000 2000
Actual quality 2800–5400 1800–3000
Note: The unit is mg/L except pH.
3. THE RESULTS AND DISCUSSION
3.1 Pretreatment
Pretreatment preprocessing included coarse and
fine screen, ash sump, regulation pool and floccu-
lating chamber. The effect of primary treatment of
wastewater is shown in Figure 1.
Figure  1  shows that in the debugging process,
the removal rate of SS has been stable at more than
95%. Ten days before debugging, the flocculants
were PAC and PAM, the dosages were 300  mg/L
and 5 mg/L, respectively. Debugging results showed
that the COD removal rate of PAC and PAM was
low, which was 15%–20%. Not only that, because
PAC has no desulfurization, the removal rate of
sulfur ions of wastewater is only about 10%. In
order to reduce the follow-up biochemical oxygen
consumption of the process, reduce the process-
ing cost, starting from the 11th day, the floccu-
lant changed to ferrous sulfate and PAM and the
dosages were 300  mg/L and 5  mg/L, respectively.
Because the iron in ferrous sulfate ion can react
with sulfur ions in waste water, starting from the
11th day, removal rate of the sulfur concentration
in wastewater was around 95% and sulfur ion con-
centration in water was stable at 5 mg/L. Due to the
vast majority of sulfur ions in waste water has been
removed, the effluent COD was greatly reduced.
The removal rate was from the original 15% to
35%. Thus, for leather wastewater, a combination
of ferrous sulfate and PAM treatment effect was
better than the combination of PAC and PAM.
3.2 Biochemical treatment
Biochemical was the core part of the sewage treat-
ment plant. In biochemical treatment, most of
the organic matter and ammonia nitrogen was
removed. It included primary and secondary A/O.
Due to large change of leather wastewater, the pri-
mary A/O was oxidation ditch form, and second-
ary A/O was traditional push streaming.
3.2.1 The effect of primary A/O
During debugging, the sewage plant sludge concen-
tration of A/O, the water inflow, the concentration
of ammonia nitrogen and COD in influent and
effluent are shown in Figure  2. Figure  2  showed
that in order to accelerate the debugging and
domestication, after the start of debugging, acti-
126
CMEEE_book.indb 126
NH4+-N SS Sulfide pH
200 3000 60 6–10
188–513 2500–3400 56.3–82.5 8.9–7.7
Figure 1. Effect of pre-treatment.
vated sludge was added to primary A/O every day
as a kind of seed sludge. The process sustained
nine days. The seed sludge came from Heze first
city municipal sewage plant and the sludge concen-
tration was 100  g/L. The volume of addition was
25 m3 per day. In the fifth day, the seed sludge came
from Heze third city municipal sewage plant which
was pressure filtration activated sludge. Therefore,
sludge concentration increased rapidly and there
are 4  days of 1539  mg/L and up to 5  days of
2516 mg/L. On the ninth day, the sludge concentra-
tion of A/O pool has reached 3784 mg/L, and the
adding of seed sludge was stopped. Because leather
wastewater has certain toxicity, the water inflow
was increased step by step. In that condition, the
activated sludge gradually adapts to the water qual-
ity of leather wastewater. Before the commissioning
of 13th day, because of the water inflow was not so
much, the water inflow was intermittent. Artificial
additive glucose was added at the same time in
order to make sure of organic matter content in the
wastewater. Before the 13th day of debugging, the
effluent COD and ammonia nitrogen were around
200 mg/L and 3 mg/L, the removal rate reached 90%
and 95%, respectively. From 14th day, the water
inflow reached 1200 m3. Compared to the 13th day,
the volume of water inflow increased by 150%. The
successive way of inflowing was used. Because of
the increase of the wastewater, the effluent COD
and ammonia nitrogen have some fluctuation; the
effluent COD and ammonia nitrogen were 521 mg/L
and 13.5 mg/L, respectively, i.e. more than double
compared to the previous data. This showed that
the increase of water inflow has a certain impact on
3/20/2015 4:11:32 PM

Figure 2. Secondary biochemical sludge concentration
in water and wastewater treatment effect. (a) Sludge con-
centration, water inflow, COD and ammonia nitrogen
variation. (b) The removal rate of COD and ammonia
nitrogen.
the system, leading to the reduction of removal rate
of COD and ammonia nitrogen.
But then the system returns to normal soon, the
removal rate of COD and ammonia nitrogen returns
to more than 90%. This showed that oxidation ditch
in the form of A/O process has a strong resistance
for impact load. Even the organic load was more
than double, the system would not lead to crash.
On the 20th day of debugging, the water inflow was
increased to 1800 m3 and the system performance
was good. Because the resistance ability of impact
was strong, the water inflow increased every 3 days.
On the 32th day of debugging, the water inflow had
reached the designed water quantity, 3000  m3 per
day. It was important to note that on the 35th day
of debugging, due to human error, the water inflow
suddenly increased to 4800  m3/d, which lasted for
about 12 h. The sludge concentration of the system
soared to more than 6000 mg/L and the color of the
activated sludge had changed from amber to dark
brown, while the DO of the aerobic pool was under
0.2 mg/L. These phenomena show that the system
was beyond the scope of affordability. Subsequent
testing also shows that under the water inflow, there
is an obvious higher effluent COD and ammo-
nia nitrogen, removal rate fell sharply. In order to
make the system quickly recover, on the 36th day,
127
CMEEE_book.indb 127
water flow was reduced to 2000 m3. After reducing
the water flow, the effect of treatment was recov-
ered quickly. From the 37th day, the water flow
was 3000  m3 and the effect of treatment was not
deteriorated. Until the end of commissioning, the
operation of the system has been very stable, sludge
concentration remained at around 4000 mg/L, the
removal rate of COD and ammonia nitrogen has
remained steady at around 95%.
To sum up, at the beginning of debugging, it was
a good strategy to add a large amount of activated
sludge and carbon source. At the same time, com-
bining with the gradient of the inflow, the activated
sludge could rapidly adapt to the water quality of
leather wastewater. After the system was subjected
to shock loading, the quality of the efflux was dete-
riorated, but recovered quickly. It suggested that
oxidation ditch form has a strong impact resistance
capacity. If the water inflow was more than 50%
of the design inflow, the system will collapse. But,
after reduction of water, the effect of treatment was
recovered rapidly. In the end, the concentration of
A/O effluent COD and ammonia nitrogen was
200  mg/L and less than 5  mg/L, respectively and
removal rate reached 95% and 98%, respectively.
3.2.2 Secondary A/O
From the 21th day of debugging, secondary A/O
was started. The main role of the secondary A/O
was to remove organic matter and ammonia nitro-
gen of wastewater further. Due to the actual opera-
tion process, nitrification was good, the ammonia
of the inflow of secondary A/O was low. The func-
tion of secondary A/O was to remove COD. The
result of secondary A/O is shown in Figure 3. In
order to improve the efficiency of debugging, at
the beginning of debugging the secondary A/O
also added foreign activated sludge as seed sludge.
After adding the first time, the sludge concentra-
tion reached 700  mg/L. In order to ensure the
treatment effect, debugging on 26th day, more seed
sludge was added. Eventually sludge concentration
of secondary A/O maintained at about 1500 mg/L.
Figure 3. Secondary A/O treatment effect.
3/20/2015 4:11:33 PM
 Table 2. Test in Fenton experimental results.
Raw water COD = 130 mg/L First Second
Dosage of ferrous sulfate 0.25 kg/m3 0.5 kg/m3
Dosage of H2O2 0.5 kg/m3 0.25 kg/m3
COD (eff) 76 mg/L 46 mg/L
Removal rate 41.5% 64.6%
Because of the concentration of wastewater was
low, the secondary A/O the COD removal rate was
not high, generally between 9% and 50%. And efflu-
ent COD was generally between 80 and 150 mg/L.
It is important to note that on the debugging 35th
day, the COD of secondary A/O inflow increases
suddenly which reached 612 mg/L. But the COD of
effluent of secondary A/O keeps within 150 mg/L.
Thus, the secondary A/O not only has the effect of
deep processing. When primary A/O has operation
problems, it could also be used as a buffer pool, to
ensure the biochemical effluent water quality.
3.3 Oxidation treatment
Through biochemical processing, leather wastewater
effluent COD was between 80 and 150 mg/L, which
could not meet the local COD emission standards
(COD < 60 mg/L). So the wastewater needed further
in-depth processing. The choice of technology was
Fenton oxidation. In order to improve the efficiency
of debugging, we have done some tests to determine
the reaction parameters. The experimental results
are shown in Table 2. Table 2 shows raw water COD
was 130 mg/L, higher than the average concentration
of the water. The experiment was divided into five
groups, all the raw water add hydrogen peroxide and
ferrous sulfate after pH to about 4, under the condi-
tion of stirring reaction for an hour. After the reac-
tion, the pH was increase back to 7, and then PAM
(3 mg/L) was added. Experimental results suggested
the lowest COD removal rate was 41.5% which the
water COD was 76  mg/L and the highest COD
removal rate was 92.3% which the effluent COD was
10 mg/L. Considering the actual emission standard
and economic factors, determination of ferrous sul-
fate and hydrogen peroxide dosage of 0.5 kg/m3 and
0.25 kg/m3.
Fenton oxidation in the actual debugging process
of the effect of the secondary biochemical process is
shown in Figure 4. Figure 4 shows that the Fenton
process was started on the 31th day of debugging. The
secondary biochemical effluent has been relatively
stable which could deal with the actual effect of the
real reaction. Within 15 days of the debugging proc-
ess, in accordance with the test parameters, namely,
ferrous sulfate and hydrogen peroxide, 0.5 kg/m3 and
0.25  kg/m3, respectively. The stable effluent COD
within 60 mg/L, removal rate of 54–64%.
128
CMEEE_book.indb 128
Third Fourth Fifth
0.5 kg/m3 0.5 kg/m3 1 kg/m3
0.5 kg/m3 0.8 kg/m3 0.8 kg/m3
40 mg/L 15 mg/L 10 mg/L
69.2% 88.4% 92.3%
Figure 4. COD removal rate of Fenton.
4 CONCLUSION
Heze, a sewage plant, uses coarse and fine screen +
ash sump + regulation pool + flocculating chamber +
primary biological treatment+secondary biological
treatment + Fenton oxidation process to dispose
leather wastewater. The COD and ammonia nitrogen
were 2800–5400  mg/L and 188–513  mg/L, respec-
tively. Through 45 days of commissioning, start-up
success and effluent COD and ammonia nitrogen
are lower than 60 mg/L and 5 mg/L, respectively.
REFERENCES
[1] Amel Benhadji, Mourad Taleb Ahmed, Rachida
Maachi. Electrocoagulation and effect of cathode mate-
rials on the removal of pollutants from tannery wastewa-
ter of Rou ba [J]. Desalination, 2011, 277(1–3): 128–134.
[2] Alberto Mannucci, Giulio Munz, Gualtiero Mori.
Anaerobic treatment of vegetable tannery wastewaters:
A review [J]. Desalination, 2010, 264(1–2): 1–8.
[3] Sajjad Haydar, Javed Anwar Aziz. Coagulation–floc-
culation studies of tannery wastewater using combina-
tion of alum with cationic and anionic polymers [J].
Journal of Hazardous Materials. 2009, 168: 1035–1040.
[4] R. Ganesh, G. Balaji, R.A. Ramanujam. Biodegra-
dation of tannery wastewater using sequencing batch
reactor-Respirometric assessment [J]. Bioresource
Technology, 2006, 97: 1815–1821.
[5] G. Farabegoli, A. Carucci, M. Majone. Biological
treatment of tannery wastewater in the presence of
chromium [J]. Journal of Environmental Manage-
ment, 2004, 71: 345–349.
3/20/2015 4:11:33 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Engineering depth treatment of pharmaceutical wastewater by

magnetization catalytic oxidation-A2O-MBR combined process

W. Zhao, B. Liu, H.D. Zhuang, K. Wang & H.D. Ji

Shandong Academy of Environmental Science, Jinan, China

ABSTRACT: The pharmaceutical wastewater, after secondary biochemical process, has the character-
istics of poor biodegradability, high ammonia, and high concentration of suspended solids. In order
to solve the above problems, in this project, the magnetized catalytic oxidation-A2O-MBR process was
explored for the deep treatment of pharmaceutical wastewater, which improved the biodegradability and
effect of the removal of ammonia of the wastewater, as well as reduced suspended solids, effectively. Due
to the application of the magnetized catalytic oxidation-A2O-MBR process, the COD of the effluent was
below 250 mg/L with a removal rate of 93%, and the ammonia was below 15 mg/L with a removal rate
of 97%. Moreover, the concentration of suspended solids was as low as 5 mg/L, and the removal rate of
suspended solids was over 99.5%. The process has a series of advantages such as good effect, shock load
capability, and low sludge production, which provides a potential reference for this type of wastewater.

Keywords: pharmaceutical wastewater; magnetized catalytic oxidation; A2O; MBR

1 INTRODUCTION cardiovascular drugs and so on. For the large

Since the time of reforming and opening up of
China, the pharmaceutical industry has been devel-
oping rapidly and the scale of production has been
expanding gradually, which accordingly made the
pharmaceutical wastewater becoming one of the
major industrial wastewater. Due to the difference
of categories and manufacturing process of drugs,
the treatment of pharmaceutical wastewater has
become a major problem in the environmental pro-
tection for the characteristics of high toxicity, poor
biodegradability and high salinity[1–3].
2 PROJECT OVERVIEW
A pharmaceutical group in Shandong Province
is mainly engaged in researching, manufacturing,
and selling of active pharmaceutical ingredients,
intermediates, and sterile preparation contain-
ing cephalosporins, penicillins, anti-cancer, and
scale production in the enterprise, the discharge
waste water is continuous, and the quality and
quantity are stable after adjusting. However, such
pharmaceutical wastewater has the characteristics
of complicated composition, high toxicity, and
salinity, and poor biochemical process. The direct
discharge, even after the two-stage biochemical
treatment, would still cause serious pollution to
the surrounding water, because of high toxicity,
poor biochemical treatment and high COD and
ammonia nitrogen of the effluent. Through the
experimental research, we finally determined the
deep treatment process as the suitable process for
this kind of wastewater, which also achieved good
effect in the practical engineering application. The
effluent meets the secondary emission standard of
national integrated wastewater discharge standard
(GB8978-1996) after the treatment by this deep
treatment process. The comparison of indicators
of influent and effluent and the secondary emis-
sion standard is as shown in Table 1.

Table 1. Comparison of indicators of influent and effluent and the secondary emission standard.

COD BOD Ammonia SS

Setting (mg ⋅ L−1) (mg ⋅ L−1) (mg ⋅ L−1) (mg ⋅ L−1) pH

Influent 3000 250 650 1100 8.5

Effluent ≤250 ≤30 ≤15 ≤5 7.0
The secondary emission standard 300 60 50 150 6∼8

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 3 PROCESS SELECTION
3.1 Process
In view of the poor biodegradability, high concen-
trations of nitrogen and SS of this kind of phar-
maceutical wastewater, the deep treatment process,
that is the magnetization catalytic oxidation-A2O-
MBR process, were proposed on the basis of tests
in the laboratory and engineering experience in
pharmaceutical wastewater treatment. This proc-
ess has significant effects on improving biodegrad-
ability, denitrification and phosphorus removal,
and intercepting suspended solid, and also provid-
ing reference for this kind of wastewater.
Process is shown in Figure 1.
3.2 The main process description
Technological process mainly includes the magnet-
ization catalytic oxidation treatment unit, A2O and
MBR treatment unit.
1. Magnetization catalytic oxidation treatment
unit
After biochemical reactions, there are macro-
molecular organic matters which are difficult for
biochemical degradation in the pharmaceutical
wastewater. The establishment of this unit is to
remove part of the organic matter, as well as to
improve biodegradability of the wastewater.
Figure 1. Figure of process.
Table 2. The main structure and design parameters.
Serial number Structures Specifications
1 Sump Brick
2 Catalytic oxidation pond Brick
3 Sedimentation tank Brick
4 Biochemical pool Brick
5 Membrane pool Steel
130
CMEEE_book.indb 130
The main residual organic pollutants in the
biochemical treated wastewater are the small
molecules polar organic matter with nega-
tive charge, in which the electronegative active
points were packed in unsystematic arrange-
ment of water molecules under the normal state.
After magnetization treatment, water molecules
group collapsed and rearranged according
to the direction of magnetic field lines, which
reduced the collision barriers between the
polarity of organic activity and elixir molecule,
and increased the speed and degree of chemical
reaction significantly.
When the effluent from secondary sedimen-
tation tank flowed into the hybrid reactor, the
processes such as combining of drugs, activat-
ing of catalyst and organic pollutant molecule
would be conducted. Then, the effluent flowed
into the catalytic polymerization reaction zone,
the hard biodegradable macromolecular pol-
lutants can be degraded into small molecules
through chemical oxidation, and thus improved
the biodegradability.
2. A2O and MBR treatment unit
The process of degradation of organic pol-
lutants, nitrogen and phosphorus removal of
pollutants of the wastewater would proceed in
the biochemical tank. Then, the effluent would
flow into the membrane processing unit to
strengthen the biochemical function. The waste-
water treated by the membrane filtration system
can be discharged or entering the subsequent
processing system.
3.3 The main structure and design parameters
The main structure and design parameters are
shown in Table 2.
4 OPERATING RESULTS
4.1 Magnetization catalytic oxidation
treatment unit
When the effluent from the secondary sedimenta-
tion tank flowed through the magnetizer, catalytic
Size Quantity Parameters
15 × 10 × 5 m 2 HRT = 24 h
10 × 10 × 5 m 1 HRT = 8 h
10 × 10 × 5 m 1 HRT = 8 h
30 × 20 × 5 m 1 HRT = 48 h
10 × 10 × 5 m 1 HRT = 8 h
3/20/2015 4:11:33 PM
 oxidation reaction would occur. The test and actual
engineering application indicating the catalytic
oxidation effect and biodegradability increased
significantly after magnetization. Due to the main
aim of this unit is to improve the biodegradability
but not to degrade all organic matter, less dosage
was used to save cost.
The inflow of this deep processing system is
1500  m3/d, the COD, BOD, ammonia and SS of
the inflow are 2800–3200  mg/L, 600–700  mg/L,
1000–1200  mg/L, respectively. After wastewater
is let into the magnetizing apparatus, sulfuric acid
and 0.25  kg/m3 of ferrous sulfate were used to
adjust pH to 4–5. Afterwards, 0.5 kg/m3 of H2O2
was added and reacted fully, then, NaOH solu-
tion was added to adjust the pH to be 7∼8. After Figure 3. The ratio of BOD and COD ratio.
precipitation, the COD and SS of the supernatant
can reduce to 1500–1800 mg/L and 300–400 mg/L,
respectively, whereas the BOD of supernatant rises
to 400–600  mg/L, and ammonia nitrogen almost
remains the same.
After a period of debugging, the parameters of
the magnetized catalytic oxidation unit become
stable, 30  days was selected to observe the trend
of the change of COD and BOD. As can be seen
from Figure 2, both the COD and BOD of inflow
and outflow keep stable, COD removal rate was
about 45%, and BOD increased obviously. As can
be seen from Figure 3, the ratio of BOD and COD
increased from 0.07 to 0.07, and the biodegrad-
ability improved apparently. All of which demon-
strated the potential in providing a good condition
for the subsequent biochemical unit.
Figure 4. Before and after biochemical pool COD and
4.2 A2O processing unit ammonia nitrogen concentration.
Aiming at the problem of high ammonia nitrogen
in wastewater, the A2O processing units were set up
to achieve the purpose of removing nitrogen and phosphorus and degrading organic matter at the
same time. The ammonia nitrogen content in the
wastewater is as large as 600–700  mg/L, it would
damage the activated sludge if the wastewater was
directly discharged into the biochemical system.
Thus, the inflow must be mixed with the wastewater
treated by the MBR membrane pool with volume
of 1:1 before letting into the biochemical system.
In order to maintain the best condition of alka-
linity and pH of the biochemical system, a certain
amount of NaCO3 and NaOH needs to be added
in the process of ammonia nitrogen degradation.
The local municipal sludge was adopted for the
cultivation and domestication of activated sludge
in this biochemical unit. The inflow water was
gradually increased to 1500  m3/d by four stages,
sludge quantity in the aerobic pond was main-
tained at about 6000  mg/L. Figure  4  shows the
Figure  2. Compare COD and BOD before and after data of 30  days consecutive testing after debug-
reaction. ging stability. As can be seen from Figure 4, after

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CMEEE_book.indb 131 3/20/2015 4:11:34 PM

 a biochemical reaction, the COD of inflow in the
biochemical pool was decreased from 950 mg/L to
300  mg/L, the obvious degradation of COD also
explains that the magnetization catalytic oxida-
tion unit can effectively improve the wastewater
biodegradability. In order to improve denitrifica-
tion ability quickly, a moderate amount of anti-
nitrifying bacteria was added. The testing data of
30 days indicate that ammonia nitrogen decreased
from 300–350 mg/L to 20 mg/L, the denitrification
effect is remarkable in this system.
4.3 MBR membrane cell processing unit
The microorganisms were shut off within the
bioreactor completely, which is not only helpful
for interception growth of the proliferated slowly
microorganisms, but also for the hydraulic reten-
tion time of the refractory organic matter, and thus
improved the nitrification efficiency and degrada-
tion efficiency. Moreover, high quality and stability
of effluent water was obtained, of which the sus-
pended solids and turbidity were close to zero.
The microorganisms were shut off within the
bioreactor completely, which is not only helpful
for interception growth of the proliferated slowly
microorganisms, but also for the hydraulic reten-
tion time of the refractory organic matter, and thus
improved the nitrification efficiency and degrada-
tion efficiency. Moreover, high quality and stability
of effluent water was obtained, of which the sus-
pended solids and turbidity were close to zero.
5 CONCLUSION
After the secondary biochemical process, the
pharmaceutical wastewater has characteristics
132
CMEEE_book.indb 132
of poor biodegradability, high ammonia nitro-
gen content and high SS. The use of magnetiza-
tion catalytic oxidation-A2O-MBR technology
for deep treatment improved the biodegradability
and denitrification effect and intercepted the sus-
pended solid effectively. For the effluent, the COD,
ammonia nitrogen and SS were 250 mg/L, 15 mg/L
and 5 mg/L, respectively, and the removal rate of
COD, ammonia nitrogen and SS was 93%, 97%
and 99.5%, respectively. The quality of effluent
conforms to the national integrated wastewater
discharge standard (GB8978-1996) and biologi-
cal pharmaceutical industry secondary emission
standards. This process design has a good prospect
in industrial application.
REFERENCES
[1] Oktem Yalcin, Ince Orhan, Donnelly Tom. Determi-
nation of optimum operating conditions of an acidi-
fication reactor treating a chemical synthesis-based
pharmaceutical wastewater [J]. Process Biochemistry,
2006, 41: 2258–2263.
[2] Timothy M, Lapara,. Aerobic biological treatment of
a pharmaceutical wastewater: effect of temperature
on COD removal and bacterial community develop-
ment [J]. Water Research, 2001, 35 (18): 4417–4425.
[3] Wu Suqing, Yue Qingyan, Qi Yuanfeng. Preparation
of ultra-lightweight sludge ceramics (ULSC) and
application for pharmaceutical advanced wastewa-
ter treatment in a biological aerobic filter (BAF) [J].
Bioresource Technology, 2011, 102(3): 2296–2300.
3/20/2015 4:11:35 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Study of broadband microstrip circulator using YIG single crystal

Zhi-Qun Cheng, Ya Luan, Min-Shi Jia & Xin-Xiang Lian

Key Laboratory of RF Circuit and System, Education Ministry, Hangzhou Dianzi University, Hangzhou, China

ABSTRACT: A broadband C-band microstrip junction circulator is designed in this paper, and the
design method and process are given. By using double Y-junction technology, we improve the bandwidth
of the circulator. The substrate is YIG single crystal ferrite materials. This circulator is simulated with
HFSS software. After Optimization, we get performances of the circulator, the results show that insertion
loss of circulator is less than 0.5 dB from 3.90–9.15 GHz, isolation is more than 15 dB. Meanwhile, con-
sidering the change of material properties under high frequency, we do a deviation analysis.

Keywords: ferrite; broadband; circulator

1 INTRODUCTION 2 THEORY

Ferrite circulator, as one of nonreciprocal micro- Ferrite circulator is a nonreciprocal three-port

wave components based on ferrites, plays an device and it possesses a unidirectional transmis-
important role in modern communications [1]. sion of high-frequency signal energy characteristic,
The circulators have been used in wireless com- because of using gyromagnetic ferrite material.
munications, GSM/WCADMA mobile commu- To Design a circulator, first, we must determine
nications systems, GPS, military radar, electronic the saturation magnetization of ferrite (4πMs).
warfare and other RF systems [2]. Most circulator Saturation magnetization intensity is saturated
use waveguide structure, it works as a large exter- magnetic moment of ferrite per unit volume.
nal module in circuit system rather than integrated Under normal circumstances, the higher center fre-
into circuit PCB. It is an effective and reasonable quency f0 of annular is, the bigger saturation mag-
way to reduce the size and weight of devices [3]. netization 4πMs of the ferrite materials adopted
Development of broadband technology also brings is [4]. Figure  1 shows the saturation magnetiza-
a big challenge to the circulator, how to improve the tion. It shows the relationship between saturation
bandwidth of the circulator has became an urgent
problem for RF engineers. Double Y-junction cir-
culator has a good performance on miniaturiza-
tion and bandwidth, so it becomes a hot research
direction.
In this paper, a broadband C-band microstrip
junction circulator is designed. The bandwidth
of the circulator is improved by using “double
Y-junction” technology. First, the appropriate fer-
rite materials-YIG single crystal is chosen at first.
And then, the related parameters and modeling
are set up. Finally, circuit is simulated by using
software of HFSS (High Frequency Structure
Simulator). It is analyzed that the circulator per-
formances change with permittivity and the reso-
nance linewidth of YIG material. The simulated
results show that insertion loss of circulator is less
than 0.5 dB from 3.90 to 9.15 GHz, isolation is
more than 15 dB, and VSWR is less than 1.46.
Meanwhile, deviation analysis is given out for con-
sidering the change of material properties under Figure  1. The choice of saturation magnetization
high frequency. working.

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CMEEE_book.indb 133 3/20/2015 4:11:35 PM

 magnetization and the center frequency, which that the center equal model is RLC parallel circuit.
indicates the basic linear relationship: The equivalent admittance of center is following as:

4πMs ≈ 0.3f0 (MHz) (1) Gj = Gr + jωC1 + 1/jωL1 (3)

The center frequency of C band is 6 GHz, so, The small Y-junction equivalent model is LC par-
ferrite materials whose saturated magnetization allel circuit, the equivalent admittance of center is
intensity is about 1850 G is chosen with frequency
of 6 GHz. YIG gyromagnetic materials is adopted Gy = jωC2 + 1/jωL2 (4)
as the substrates of circulator, the saturation mag- Under the action of small Y-junction, equiva-
netization of materials is 1780 G, the relative dielec- lent admittance of center is:
tric constant εr equal to 15, the linewidth is 20 Oe,
dielectric loss is 0.0037. The resonance linewidth G1 = Gr + jωC1 + 1/jωL1 + jωC2+ 1/jωL2
of the material is very small, [5] which have a posi-
tive impact on developing circulator’s bandwidth = Gr + jω (C1 + C2 − 1/L1 − 1/L2 (5)
and reducing the insertion loss.
By adjust the size of small Y-junction open-
C band circulator generally works in low field
circuit line, supposing:
mode. It means that constant deviation resonance
magnetic field intensity is lower than the material
jω (C1 + C2 − 1/L1− 1/L2= 0 (6)
itself. Due to the demagnetization effect itself, fer-
rite materials’ infield is close to 0. In the design, It means that the imaginary part of center
we set the diamond as 0 to simplify the problem. impedance is nearly disappear. Pure resistance is
Another important parameter is the size of the easy to match to 50Ω in wideband.
center of the circular. The center junction radius R
can be calculated by equation:
3 DESIGN
R a λ0 ξr μ⊥ (2)
According to selection of material and calculation
of the design, double Y-junction microstrip circu-
where, “a” takes between 0.127∼ 0.293, λ0 is for the lator is designed as shown in Figure 3. Using 3D
center frequency, εr is ferrite relative dielectric con- electromagnetic field simulation software of Ansoft
stant, effective permeability μ⊥ takes between 0.5 ∼ HFSS to establish and simulate circulator model.
0.8. Finally, the center junction radius R is calcu- YIG and substrate of printed copper microstrip
lated of 2.9 mm. line are adopted in the design and microstrip line
Double Y-junction circulator is a good candidate thickness is 0.002 mm.
to get performances of miniaturization and wide Figure 4 shows the circulator’s flat structure and
bandwidth. So, it becomes a hot research direction. part parameters. The destination of the design of
[6] By adding a small Y-junction, the impedance the three different microstrip lines is to match the
of center can be adjusted. If small Y-junction
has appropriate size, the imaginary part of center
impedance is close to zero in wideband. It avoids
that imaginary part of impedance changes with
frequency and provides a precondition for broad-
band circulator. The equivalent model is given
in Figure  2. Essentially, small Y-junction is open-
circuit line, it multiples with the center. It shows

Figure 2. The equivalent circuit of Y-junction choice of

saturation magnetization. Figure 3. The model of circulator.

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CMEEE_book.indb 134 3/20/2015 4:11:35 PM

 (isolation) is more than 15 dB, S11 (return loss) is
less than 15 dB at the frequency range from 3.90
to 9.15 GHz.
Microwave circuit and device is becoming
smaller. Decrease the thickness of YIG substrate
a good way to make circulator smaller. The rela-
tionship between the thickness and insertion loss
is simulated in this design. At center frequency
6 GHz, we observe the insertion loss while chang-
ing the thickness of substrate from 0.7 to 2.2 mm.
The relation between them is showed in the follow-
ing Figure 6.
The relative permittivity and the resonance
linewidth of YIG material will fluctuate in high
frequency [7]. Figure  7 shows curves of S11, S21
versus the resonance linewidth respectively at
frequency of 4, 6, 8 GHz. The bigger resonance
linewidth of the ferrite materials is, the bigger
insertion loss (S21) is. The RMSE (Root-Mean-
Figure 4. The parameters of circulator. Square Error) of S11 are 0.03656, 0.02503, 0.01966
respectively at frequency of 4, 6, 8 GHz, this shows
a good stability. Port 1 reflection coefficient (S11)
is almost constant.

Figure 5. Simulated S parameters of circulator.

Figure 6. Insertion loss at different thickness.

center junction impedance to port characteristic
impedance 50 Ω, in order to improve the device
performance, two-stage microstrip matching is
adopted and small Y-junction is added. So it can
effectively expand the bandwidth. The circula-
tor is simulated with impedance of three ports
of 50 Ω and frequency range from 3 to 10 GHz.
The physical parameters R, W1, L1, W2 and L2,
W3, L3 are optimized to obtain ideal transmission
characteristics.
After optimization, simulated results show in
Figure 5 at the frequency range from 3 to 10 GHz.
Circulator is symmetry, the performance of port 2
and port 3 is same to port 1.
The circulator works in the annular direction as
1-2-3-1 according to the S parameter simulating
result. S21 (insertion loss) is less than 0.5 dB, S31 Figure 7. Simulated S parameters at different linewidth.

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CMEEE_book.indb 135 3/20/2015 4:11:36 PM


Figure 8. Simulated S parameters at different permittivity.
Figure 9. Ideal and deteriorative S parameters.
Figure  8 shows the relationship between S11,
S21 and relative dielectric constant respectively
at 4, 6, 8 GHz. Insertion loss (S21) increases as
relative permittivity decreases, and port1 reflection
coefficient (S11) increases as relative permittivity
decreases at the low frequency such as 4GHz. The
RMSE of S21 is 0.06014. The RMSE of S11 is
2.4272. S21 and S11 change little at the high fre-
quency such as 6, 8 GHz.
Figure  9 shows that S parameters change with
frequency in an extreme deteriorative situation (the
red curve): the relative permittivity (εr) of 13.5 and
the linewidth of 40 Oe and in the ideal situation
136
CMEEE_book.indb 136
(the black curve): the relative dielectric constant εr
is 15 and the linewidth is 20 Oe. S21 (insertion loss)
down a little and S11 have a deviation toward high
frequency on deteriorative situation.
4 CONCLUSIONS
By using double Y-junction technology, the per-
formances of bandwidth of the circulator are
improved. An ultra broadband circulator with
YIG single is successfully designed. It shows that
insertion loss of circulator is less than 0.5 dB from
3.90–9.15 GHz, isolation is more than 15 dB.
Circulator is still stable while the permittivity and
the resonance linewidth of YIG material have a
fluctuation.
ACKNOWLEDGMENT
This work was supported by Natural Science Foun-
dation of Zhejiang Province (No. Z1110937).
REFERENCES
[1] J. Helszajn, The Stripline Circulators: Theory and
Practice, Wiley, 2008.
[2] L.Y. Tio, et al, “Novel general finite elementsolver
for gyroelectric structures,” in IEEE MTTSInt. Dig.,
vol. 1, Jun. 2003, pp. 421–424.
[3] H. Newman, D.C. Webb, and C.M. Krown “Design
and realization of millimeter wave microstrip circula-
tors,” Proc. SPIE, Vol. 2842, pp. 181–191, 1996.
[4] W.K. Gwarek and A. Moryc, “An alternative
approach to FD-TD analysis of magnetized ferrites,”
IEEE Microwave and Wireless Component Letters,
Vol. 14, No. 7, July 2004.
[5] Lu and F.A. Fernandez, “An efficient finite ement
solution of inhomogeneous anisotropicand lossy die-
lectric waveguides,” IEEE Trans. Microwave Theory
Tech., vol. 41, pp. 1215–1223, June/July 1993.
[6] O. Zahwe, B. Abdel Samad, B. Sauviac, J.P. Chatelon,
M.F. BlancMignon and J.J. Rousseau, “YIG thin film
used to miniaturize acoplanar junction circulator,” J.
of Electromagn. Waves and appl., Vol. 24, pp. 25–32,
2010.3.
[7] Helszajn, J.; Apollo Microwaves Ltd., Dorval, QC,
Canada; Caplin, M.; Frenna, J.; Characteristic Planes
and Scattering Matrices of E and H-Plane Waveguide
Tee Junctions Microwave and Wireless Components
Letters, pp. 209–211 IEEE.
3/20/2015 4:11:37 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Decoupling mechanism for suspension laryngoscopy using a curved-

frame trans-oral robotic system

X.Y. Fu & X.Y. Yu

Center for Control Theory and Guidance Technology, Harbin Institute of Technology, Harbin, Heilongjiang,
China

J.T. Seo
Hanyang University ERICA Campus, Ansan-si, Gyeonggido, Korea

ABSTRACT: The decoupling mechanism for suspension laryngoscopy, which uses a curved-frame
trans-oral robotic system, is presented to promise enough position precision. The mechanism provides
some friction force to maintain the stiffness of the end-effector so that the clamped motion of claw does
not have influence on the shifting motion of end-effector. What is more, the structure of this decoupling
mechanism ensures that it can be adopted widely in rope-traction end-effector. From simulations and
from experiment, it is seen that the decoupling mechanism promises enough friction force to solve the
coupled motion problem.

Keywords: decoupling mechanism; trans-oral robotic surgery; surgical robot; suspension laryngoscopy

1 INTRODUCTION of the active motion part can be an appro-

priate way.
By using suspension laryngoscopy, especially in [1], The paper is organized as follows. In Section II,
various treatments [2–5] have been employed for the paper shows a possible scheme to decouple the
laryngeal disease without radical open surgery of clamping motion and shifting motion. Detailed
the hypopharynx, which results in loss of linguistic demands for the decoupling mechanism are pre-
function. What is more, “a new surgery procedure sented in Section III. In Section IV, a decoupling
which employs a curved frame as a means to guide structure is shown. Then, simulation and trail
a flexible arm for laryngeal surgery” in [6] has model is presented to show that it provides suffi-
been applied to protect the patient from second- cient friction force. Conclusions follow.
ary complication, and promises people who have
congenital problem to be conducted by suspension
laryngoscopy.
However, end-effector in [6] involves a cou-
pled motion with deviation of 10º when the
rope-traction claw closes, shown in Figure  1. It
can be obviously seen that the clamping motion
involves an extra force, leading the position of the
end-effector to deviate from the accurate point.
Then, the position precision of the end-effector
cannot be guaranteed, which may cause irredeem-
able accident in surgery.
It is apparent that this phenomenon occurs
when active motion part in [6] does not have
enough stiffness, so that clamping motion of claw
changes the position of the end-effector, which
means that the clamping motion of the claw cou-
ples with the shifting motion of the end-effector.
To solve this problem, promising enough stiffness Figure 1. Coupled motion.

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 2 SECTION II
To begin, changing the material for active motion
part into the one which has enough stiffness can
be the possible way to solve the coupled motion
problem. However, after changing a compara-
tive high-stiffness active motion part, the cou-
pled motion still exists, which has been verified
in experiments on an adult phantom in [6]. What
is more, it is not permitted to improve the stiff-
ness infinitely, since the active motion part should
maintain enough flexibility to bend when control-
ler in the slave system pulls the wire to control the
position of the end-effector.
Then, control of the tightness of the wire can
be an appropriate way to decouple the clamping
motion of the claw and shifting motion of the
end-effector. For instance, as shown in Figure  2,
when the controller pulls the up-direction wire to
move the claw upwards, if there is enough tightness
in the down-direction wire, then the end-effector
will have adequate stiffness which will weaken the
influence, caused by the pulling force of the claw,
on the position of the end-effector.
Hence, it is a possible way to design an additional
mechanism to keep sufficient stiffness for wires,
which will solve the coupled motion problem.
Figure 2. Decoupling method.
Figure 3. Position of decoupling mechanism.
138
CMEEE_book.indb 138
3 SECTION III
The use of a friction force to maintain the tightness
of the wire is a proper method to improve the stiff-
ness of the end-effector. However, there are several
demands for designing this mechanism.
Firstly, an appropriate position for the decou-
pling mechanism should not affect the process of
surgery. Considering that the end-effector can be
inserted into the throat, and adaptor and driving
modules are designed concentrated so that there
is no space to install big mechanism as well, we
make an adequate position between guide pipeline
part and connecting part shown in Figure 3. It is
not only convenient to insert an element, but also
various lengths of the guide pipeline part do not
have much influence on the effects of the system.
Furthermore, the long tube is an ubiquitous char-
acteristic for a surgical end-effector so that the
decoupling mechanism can be applied widely.
Then, the mechanism should respond to the
changing of the controller automatically, so that
the system can adopt a pure mechanical decoupling
structure by utilizing the wires for shifting motion,
which promise a smart structure and a wide appli-
cation in a rope-traction end-effector.
4 SECTION IV
By adopting lever and cam mechanism, a decou-
pling mechanism is shown in Figure 4.
Up-control wire is attached to the up-direction
wire show in Figure  4 (b), and the down-control
wire, right-control, and left-control wire are
attached to the corresponding wire as above. When
the controller pulls the claw upwards, the up-control
wire rotates the cam counter-clockwise, releases
the lever, and no compression force acts on the up-
direction wire. Meanwhile, on the opposite side,
the down wire releases the cam so that the spring
rotates the cam clockwise, compresses the lever,
and the lever compresses the down-direction wire,
providing some friction force to improve the stiff-
ness of the end-effector. Other directions have a
similar phenomenon.
3/20/2015 4:11:38 PM
 where α is the preloading angle of the torsion
spring, and k is spring constant.
The simulation in Figure 4 (c) shows that it has
sufficient strength. What is more, the trial model
generates at most 5.76∼5.86N (weight of 588∼598g)
upwards which is enough for the end-effector to
maintain sufficient stiffness. From the experiment,
the deviation is limited to 2º. By changing the tex-
ture on the end point of the lever, it is easy to gain
more friction force.

5 CONCLUSION

For a suspension laryngoscopy using a curved-

frame trans-oral robotic system, a decoupling
mechanism is presented. The mechanism, in which
the cam be attached on a tube, is controlled only
by wires of the rope-traction end-effector, and is
smart enough, so that it can be applied widely to
lock the wires which is released by the controller.
Quantified analysis of the friction force needed
to guarantee enough stiffness is still remained to be
further studied.

REFERENCES

[1] Xidong C., Xia Z, Chenjie X., Wenhong Y.,

Huichang Y., Jiaqi J. (2012). “Management of difficult
suspension laryngoscopy using a GlideScope® Video
Figure 4. Decoupling mechanism. Laryngoscope”. Archotolaryngol 132:1318–1323.
[2] Park Y.M., Kim W.S., De Virgilio A., Lee S.Y.,
Seol J.H., Kim S.H. (2012). Transoral robotic sur-
gery for hypopharyngeal squamous cell carcinoma:
3-year oncologic and functional analysis. Oral Oncol
J48:560–566.
[3] Hockstein et al (2005) Robot-assisted pharyngeal and
laryngeal microsurgery: results of robotic cadaver
dissections. Laryngoscope J115:1003–1008.
[4] Weinstein G.S., O’Malley B.W. Jr, Hockstein N.G.
(2005). Transoral robotic surgery: supraglottic
laryngectomy in a canine model. Laryngoscope J
115:1315–1319.
[5] Mc Leod I.K., Mair E.A., Melder P.C. (2005)
Potential applications of the Da Vinci minimally
Figure 5. Mechanical principle diagram. invasive surgical robotic system in otolaryngology.
Ear Nose Throat J 84:483–487.
[6] Young-Sik Kwon, Kyung Tae, Byung-Ju Yi,
“Suspension laryngoscopy using a curved-frame
Furthermore, from the mechanical principle
trans-oral robotic system”, International Journal of
diagram shown in Figure 5, we are able to calcu- Computer Assisted Radiology and Surgery, Volume 9,
late the compression force N acting on the wire, Issue 4, pp 535–540, July 2014.
which is,

αk a 30 × 0.1993 47
N= = × ≈ 17.56N
r b 2 8

139

CMEEE_book.indb 139 3/20/2015 4:11:40 PM

This page intentionally left blank
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Calculation and analysis on shunt coefficient of short-circuit current

inside Fuzhou 1000 kV Ultra-High Voltage substation

Bin Zhang
Department of Electrical Engineering, Tsinghua University, Beijing, China

Bin Tang
Fujian Provincial Electric Power Company Limited, State Grid Corporation of China, Fuzhou, China

Wei-Hua Ma
Communication Construction Branch, State Grid Corporation of China, Beijing, China

Jia-Yong Zou
Southwest Electric Power Design Institute, Chengdu, China

ABSTRACT: When short-circuit fault occurs inside the power substation, it is the current diffusing into
ground that really causes safety trouble. The shunt coefficient characterizes the shunt ability of grounding
grid or overhead ground wires to fault current, so it can be used for analyzing the distribution of short-
circuit current. This paper studies the shunt mechanism of short-circuit current inside the power substation,
defines the shunt coefficient suitable for engineering practice and focuses on introducing the numerical com-
putation method of shunt coefficient. The paper calculates the shunt coefficient and the current diffusing
into ground inside Fuzhou 1000 kV substation and analyzes various factors affecting the shunt coefficient.

Keywords: short-circuit fault inside substation; shunt coefficient; grounding resistance; short-circuit
current; ground potential rise

1 INTRODUCTION the basis of the design of the substation grounding

system[4]. The shunt coefficient can be obtained by
Power substation’s good grounding is the fundamen- two methods: an experience equation method and
tal guarantee of safe operation of the power system. a numerical calculation method, wherein the experi-
The power system’s short-circuit fault is generally ence equation method is simpler in model, but lower
divided into two types, i.e. substation inside and in calculation accuracy[5]; the numerical calculation
outside short-circuit fault. Compared with the sub- method is more accurate in calculated results, but
station outside short-circuit fault, the substation relatively complicated in model[6]. The paper focuses
inside short-circuit fault has a greater threat to safe on introducing the numerical calculation method.
operation of the substation and more easily results
in accidents. Therefore, the paper mainly studies the
2 CALCULATION CONDITIONS
short-circuit fault inside the substation[1].
According to the regulations of the international
2.1 Preparing the new file with the correct
standard GB/T50065-2011 “Code for Design of
template
AC Electrical Installations Earthing”[2], before the
substation grounding system is designed, not only The substation studied in the paper is Fuzhou
does the short-circuit current magnitude needs to be Ultra-High Voltage GIS Substation; there are two
checked, but also the short-circuit shunt situation of
the power system needs to be analyzed, so that the
current diffusing into ground is accurately calculated Table 1. Substation.
and a basis is provided for grounding grid design[3].
The shunt coefficient of the substation ground- Quantity of Short-circuit
transformers Capacity/MVA voltage percentage/%
ing system means a ratio of current diffusing into
ground to short-circuit fault current. The reason- 2 1000 18
able selection of the shunt coefficient is taken as

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CMEEE_book.indb 141 3/20/2015 4:11:41 PM

 Table 2. Ground lines.

South Zhejiang No. 1 line Lili No. 1 line Ningde No. 1 line

Line name South Zhejiang No. 2 line Lili No. 2 line Ningde No. 2 line

Models of ground wires JLB20A-240 JLB40-150 OPGW-150

DC resistance/(Ω/km) 0.1444 0.2935 0.3300
External diameters of ground 24.8 15.8 16.6
wires/mm

Table 3. Conductors.

South Zhejiang No. 1 line Lili No. 1 line Ningde No. 1 line

Line name South Zhejiang No. 2 line Lili No. 2 line Ningde No. 2 line

Voltage level/kV 1000 500 500

Conductor model 8 × JL/G1A-500/45 4 × JL/LB20A-720/50 4 × JL/LB20A-720/50
Split spacing/mm 400 400 400
DC resistance/(Ω/km) 0.0578 0.0355 0.0355
Conductor external 32.2 36.2 36.2
diameter/mm
Span/m 400 475 483
Line length/km 26.47 25.76 4.35

inlet lines which are single-loop lines in the same

tower, i.e. a South Zhejiang No. 1 line and a South
Zhejiang No. 2 respectively on 1000 kV side; and
there are four inlet lines which are double-loop
lines in the same tower, i.e. a Lili No. 1 line, a Lili
No. 2 line, a Ningde No. 1 and a Ningde No. 2 line
respectively arranged on 500 kV side. Two main
transformers are three-phase autotransformers.

3 CALCULATION METHOD OF SHUNT Figure 1. Path of fault current inside substation.

COEFFICIENT

3.1 Analysis on short-circuit current inside

the substation
The overhead ground wires of the power transmis-
sion line and the substation grounding grid are con-
nected, when short-circuit fault occurs inside the
substation, the fault current is provided by the phase
conductors of the line, i.e. the phase conductors are
taken as current leads, as shown in Figure 1.
When short-circuit fault occurs inside the substa-
tion, the current distribution is shown in Figure 2.
The short-circuit fault current is I0. Current Ig can
directly flow to the infinitely-remote end power
supplies from the ground through the grounding
system; and a part of current flows out of the Figure  2. Current distribution under the situation of
grounding grid through the transformer neutral short-circuit fault inside substation.

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CMEEE_book.indb 142 3/20/2015 4:11:41 PM

 points and the ground wires of the high and low-
voltage lines, i.e. IN, Iw1 and Iw2. When the current
Iw1 and the current Iw2 flowing back to the power
supplies, a part of them flows to ground through
the tower grounding system, i.e. Iw12 and Iw22, and
the rest current Iw11 and Iw21 continuously flow back
to the power supplies though the ground wires.
3.2 Shunt coefficient of fault current inside
substation
The shunt coefficient can be divided into the shunt
coefficient of the grounding grid and the shunt
coefficient of the ground wires which respectively
characterize the shunt ability of the overhead
ground wires to the short-circuit fault current when
short-circuit fault occurs inside the substation[7].
The shunt coefficient Ksl of the ground wires is
generally given in the IEEE standard[5], which can
be expressed as:
K sl =
Iw
I0 IN
In the equation, Iw is the sum of all short-circuit
current flowing through the ground wires. The
shunt coefficient Ksg of the grounding grid can be
correspondingly expressed as:
Ig
K sg 1 K sl =
I0 IN
In the practical engineering, it is the current Ig
diffusing into ground that really causes the harm
and bring along the safety problem. Thus the paper
mainly pays close attention to the current Ig diffus-
ing into ground and its shunt coefficient Ksg.
The short-circuit fault current I0 is often provided
in the engineering design. The current IN flowing
through the transformer neutral points is complicated
to calculate and not provided generally. Therefore, in
order to facilitate the use by designer, Ig/I0 is defined
as the shunt coefficient of the grounding grid, differ-
ent from that regulated in the standard[8].
3.3 Calculation principle of shunt coefficient
All components in the power system can be stimu-
lated by the generalized admittance matrix[10], it
can be expressed as:
I k YkVk bk (k , , , n)
In the equation, Ik is component terminal’s cur-
rent vector; Vk is component terminal’s voltage
vector; Yk is component’s generalized admittance
CMEEE_book.indb 143
matrix; and bk is independent current source vector.
The node equation form in the equation (3) is:
YV = b (4)
The fault situation can be stimulated through mod-
ifying the above equation. The voltage of all nodes
can be obtained through solving the above equation,
and the current distribution can be obtained through
substituting the equation (3). The node equation
including the fault current is shown as follows:
YNV = bN I (5)
In the equation, YN is admittance matrix of the
fault-free component; bN is independent current
source vector of the fault-free components and
I is current vector at the joint of the system and
the fault component. The above equation can be
decomposed as:
⎡Y11 Y12 ⎤ ⎡V1 ⎤ ⎡ b1 ⎤ ⎡ I1 ⎤
(1) ⎢Y Y ⎥ ⎢V ⎥ = ⎢ b ⎥ + ⎢0 ⎥ (6)
⎣ 21 22 ⎦ ⎣ 2 ⎦ ⎣ 2 ⎦ ⎣ ⎦
In the equation, the subscripts 1 are expressed as
components connected with the fault components;
the subscripts 2 are expressed as other components
of the system; and I1 is current vector at the sys-
tem terminal connected with the fault components.
The above equation can be switched as:
(2)
YeV1 = be I1 (7)
In the equation, Ye is equivalent admittance
matrix of the whole system except for the fault
component; and be is equivalent independent cur-
rent source, i.e.
Ye Y11 − Y12Y22−1Y21 (8)
be b1 − Y12Y2−21b2 (9)
The ground potential rise of the grounding sys-
tem and the current diffusing into ground from the
substation grounding grid can be obtained, and
further, the shunt coefficient can be calculated.
4 CALCULATION ON SHUNT
COEFFICIENT IN FUZHOU
SUBSTATION AND CURRENT
DIFFUSING INTO GROUND
(3)
4.1 Calculation on shunt coefficient inside
Fuzhou substation
As the tower grounding resistance may change, it
respectively takes 10Ω, 15Ω, 25Ω and 35Ω which
143
3/20/2015 4:11:42 PM
 are used for calculating short-circuit current distri- Table 5. Tower grounding resistance is 15Ω.
butions and shunt coefficients on different short-
circuit sides under different substation grounding Ground wire shunt coefficient
Grounding
resistances.
resistance/Ω 500 kV side 1000 kV side
Ground Wire Shunt Coefficient under the Situa-
tion that the Tower Grounding Resistance is 10Ω. 0.5 0.548 0.545
Seen from Figure 3, the ground wire shunt coef- 1 0.582 0.579
ficient on 500 kV side and 1000 kV side linearly 1.5 0.614 0.611
increases basically along with the increase of the 2 0.643 0.640
substation grounding resistance, and the shunt 3 0.694 0.692
coefficient on 1000 kV side is slightly larger than 4 0.735 0.733
that on 500 kV side.
Ground Wire Shunt Coefficient under the Situa-
tion that the Tower Grounding Resistance is 0.5Ω.
Table 6. Tower grounding resistance is 25Ω.
The calculation results show that along with the
increase of the substation grounding resistance, the Ground wire shunt coefficient
ground wire shunt coefficient gradually increases; Grounding
and along with the increase of the tower ground- resistance/Ω 500 kV side 1000 kV side
ing resistance, the ground wire shunt coefficient
gradually and slightly decreases. A tiny difference 0.5 0.546 0.543
exists between the ground wire shunt coefficients 1 0.579 0.576
when the short-circuit fault occurs on 500 kV side 1.5 0.611 0.608
and 1000 kV side. 2 0.640 0.637
3 0.691 0.688
4 0.732 0.729

Table 4. Tower grounding resistance is 10Ω.

Table 7. Tower grounding resistance is 35Ω.
Ground wire shunt coefficient
Grounding
Ground wire shunt coefficient
resistance/Ω 500 kV side 1000 kV side
Grounding
resistance/Ω 500 kV side 1000 kV side
0.5 0.550 0.547
1 0.584 0.581 0.5 0.543 0.540
1.5 0.616 0.614 1 0.576 0.573
2 0.645 0.642 1.5 0.608 0.605
3 0.697 0.695 2 0.637 0.634
4 0.738 0.736 3 0.687 0.685
4 0.728 0.726

Figure 3. Ground wire shunt coefficient under the situ- Figure 4. Ground wire shunt coefficient under the situ-
ation that the tower grounding resistance is 10Ω. ation that the tower grounding resistance is 0.5Ω.

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CMEEE_book.indb 144 3/20/2015 4:11:43 PM

 4.2 Calculation on short-circuit current diffusing
into ground inside Fuzhou substation
The calculation results of short-circuit current
show that under the most common single-phase
short-circuit situation, the single-phase short-
circuit current on 1000 kV side and 500 kV side
is 24.1 kA and 57.19 kA respectively. Due to a
tidy difference between the ground wire shunt
coefficients when the short-circuit fault occurs on
500 kV side and 1000 kV side, the actual maxi-
mum current diffusing into ground is analyzed
by applying the single-phase short-circuit cur-
rent, i.e. 57.19 kA on 500 kV side under the most
dangerous situation, and the ground wire shunt
coefficient is obtained when the tower grounding
resistance is 10Ω.
Seen from Figure 5, along with the increase of
substation grounding resistance, the maximum
current diffusing into ground gradually decreases
and the ground potential rise gradually increases.
Therefore, in the design of the substation ground-
ing system, not only the shunt coefficient (maxi-
mum current diffusing into ground) needs to be
concerned, but also the effect of grounding resist-
Table  8. Relationship between short-circuit current
diffusing into ground in substation and grounding
resistance.
Maximum current
Grounding diffusing into Ground
resistance/Ω ground/kA potential rise/kV
0.5 25.74 12.87
1 23.79 23.79
1.5 21.96 32.94
2 20.30 40.60
3 17.33 51.99
4 14.98 59.94
Figure  5. Relationship between short-circuit current
diffusing into ground and grounding resistance.
145
CMEEE_book.indb 145
ance on ground potential rise must be considered;
and through carrying out reasonable resistance
reduction on the substation, the ground potential
rise is effectively reduced, so that the substation
safety is improved.
5 CONCLUSIONS
The paper systematically studies the distribution
of the short-circuit current and the calculation on
shunt coefficient when fault occurs inside the sub-
station. The results show that:
1. The substation shunt coefficient is decided by
current distribution in the system. The fac-
tors affecting the shunt coefficient include the
grounding resistance of the substation ground-
ing grid, the grounding resistance of the tower
grounding device, the ground wire self imped-
ance, the phase conductor self impedance, the
electrical parameters of the overhead ground
wires and the like.
2. The ground wire shunt coefficient increases
along with the increase of substation grounding
resistance and decreases along with the increase
of the tower grounding resistance. There is a
tiny difference between the ground wire shunt
coefficients when the short-circuit fault occurs
on 500 kV and 1000 kV.
3. Along with the increase of substation grounding
resistance, the maximum current diffusing into
ground obviously decreases, and the ground
potential rise gradually increases. Therefore, it
is necessary to carry out reasonable resistance
reduction design on the substation.
REFERENCES
[1] He Jinliang, Zeng Rong. Power system grounding
techniques [M]. Beijing, China: Science Press, 2007.
[2] China Electricity Council. GB 50065-2011 “Code for
Design of AC Electrical Installations Earthing” [S].
Beijing: China Planning Press, 2011.
[3] Cao Wei, Wang Yongsheng, Zhang Wenqing, et al.
Analysis on DC component in short-circuit current
of power grid and its influence on breaking ability of
circuit breakers [J]. Power System Technology, 2012,
36(3): 283–288.
[4] Li Qian, Jiang Yukuan, Xiao Leishi, et al.
Measurement and analysis on short-circuit current
shunt coefficient inside substation [J]. Power System
Technology, 2013, 37(7): 2060–2065.
[5] Substations Committee of the IEEE Power Engineer-
ing Society. IEEE Guide for Safety of AC Substation
Groundings [S]. New York, USA: IEEE, 2000.
[6] He Jinliang, Zhang Bo, Zeng Rong, et al. Grounding
system design of 1000  kV ultra-high voltage sub-
station [J]. Proceedings of the CSEE, 2009, 29(7):
7–12.
3/20/2015 4:11:45 PM
 [7] Zou Jun, Yuan Jiansheng, Zhou Yukun, et al. Uniform
generalized double-sided elimination method and the
calculation of the fault current distribution for hybrid
overhead-underground power lines [J]. Proceedings
of the CSEE, 2002, 22(10): 112–115.
[8] Sun Xu, Lu Jiayu, Xu Daming, et al. Simulation test
of shunt coefficient of short circuit current [J]. High
Voltage Engineering, 2001, 21(8): 77–79.
146
CMEEE_book.indb 146
[9] Huang Ruifeng, Li Lin. A novel phase-coordinate
transformer model and its application to uniform
generalized double-sided elimination method [J].
Proceedings of the CSEE, 2004, 24(7): 188–193.
[10] Meliopoulos A.P., Webb R.P., Joy E.B., et al.
Computation of maximum earth current in substa-
tion switchyards [J]. IEEE Transactions on Power
Apparatus and Systems, 1983, 102(9): 3131–3139.
3/20/2015 4:11:45 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Mechanical analysis of reliability test device of Head-Up Display’s

retraction and extension

Y.G. Liu & Y.X. Wang

School of Automation Science and Electrical Engineering, Beihang University, Beijing, China

ABSTRACT: This essay designs a kind of unbiased crank rocker mechanism with a certain tilt angle as
the reliability test device of Head-Up Display (HUD)’s retraction and extension. Divide the test motion
into several stages, build the mathematic model of angle relationship between crank and rocker, and cal-
culate the torque of the crank axle by superimposing the moment of inertia and gravity. The simulation
result shows that the whole process of HUD’s retraction and extension is relatively stable.

Keywords: reliability of HUD’s motion; unbiased; certain tilt angle; crank rocker; crank axle torque

1 INTRODUCTION characteristic may cause the inconformity of the

1.1 HUD reliability test
As a military product, Head-Up Display (HUD)
is requested a long service life, even millions of
times of stable folding. For HUD’s motion of
retraction and extension with a certain angle, by
using several driving methods at the present, such
as hydraulic actuator or steel wire rope driven by
motor, the actuating devices would be easy to get
damaged under repeated cyclic loading, and could
not normally complete the tests. What is more, it
is of a great challenge to keep the stable control of
the test drive.
1.2 Crank rocker mechanism
As is shown in Figure 1, crank rocker mechanism
can transmit the reciprocating folding of HUD to
the continual rotating of the crank. It can lower
the degree of the driver device’s fatigue, and can
easily control the swing angle. The quick-return
motion. For keeping the smoothness of the motion,
the unbiased arrangement form to avoid the cyclic
concussive caused by quick-return motion is used,
and then the dynamic performance is improved.
Methods of eliminating the quick-return char-
acteristic and the motion property of unbiased
bar joint have been correlationally researched. A
crank mechanism is widely applied to drive tele-
scoping, and the axle torque is generally derived
from the bar’s directional compression. But the
torque of HUD in the process of retraction and
extension is effective by several factors. This article
builds the mathematic model of angle relationship
between crank and rocker, calculates the torque of
the crank by superimposing the moment of inertia
and gravity, and finally verifies the property of the
mechanism by simulation analysis. That is of great
reference value for structure design of reliability
simulation experiments.
2 THE ANGLES RELATIONSHIP
BETWEEN CRANK AND ROCKER

The movement process of crank rocker is shown

in Figure 2. AB stands for crank, BC is bar, and
CD is rocker. DC0 and DC4 are two extreme posi-
tions of the rocker. B1 and B2 are on line AD,
stand for two cranks’ special positions. When
crank AB revolves around for angle α with a
constant speed, the angle between rocker DC
and AD is β. In the motion, BC and AD may
cross, so it is analyzed by grading different stages:
Figure  1. Crank rocker mechanism used for HUD the crank rotates counterclockwise from AB1 to
motion. AB2 (α ∈ [0,π)), called stage 1; the crank rotates

147

CMEEE_book.indb 147 3/20/2015 4:11:45 PM

 Figure 2. Motion of the crank rocker mechanism.

counterclockwise from AB2 back to AB1 (α ∈ [π,

Figure 3. Motion of crank rocker in stage 1.
2π)), called stage 2.
Stage 1: as is shown in Figure  3. In triangles
ABD and BCD, based on the law of cosines:

h2 R2 − l 2
cos β1 = (1)
2⋅h⋅R
h2 d 2 − r2
cos β 2 = (2)
2⋅h⋅d
d2 r 2 − h2
cos α = (3)
2⋅r⋅d

By β = β1 + β2, then we obtain that

Figure 4. Motion of crank rocker in stage 2.

h r2 + d 2 r ⋅ d ⋅ cos α (4)
⎛ d − r ⋅ cos α ⎞ ⎛ 2 ⎞
β = arccos + arccos ⎜ R − r ⋅ d ⋅ cos α ⎟
⎝ h ⎠ ⎝ h⋅R ⎠
Table 1. The chosen key parameters.
(5)
Stage 2: as is shown in Figure 4. Similarly, based Group Ψ (°) r (mm) Group Ψ (°) r (mm)
on the law of cosines and β = β1 − β2: Gr 1 107 50 Gr 5 107 50
Gr 2 107 100 Gr 6 88 50
⎛ 2 ⎞ ⎛ d − r ⋅ cos α ⎞
β = arccos ⎜ R − d ⋅ cos α ⎟ − arccos Gr 3 107 150 Gr 7 73 50
⎝ h R ⎠ ⎝ h ⎠ Gr 4 107 200 Gr 8 60 50

(6)
The swing angle is constant value ψ, and the
quick return angle is 0. Then the relationship
between the length of crank (r) and rocker (R) is:
r R ⋅ sin(ψ / ) (7)

Here we choose several key parameters shown

in Table  1. Build the simulation curves by Mat-
lab software, and get the results in the graph
(Figs. 5 and 6).
We obtain the following conclusion: (a) the
motion of crank rocker eliminating the quite return
is approximate sinusoidal; (b) the total swing angle
can control in any value, and would not effected by
the length of crank, but it would be unstable in the
case of overlong. Figure 5. Simulation curves of angles (1).

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CMEEE_book.indb 148 3/20/2015 4:11:45 PM

 Figure 6. Simulation curves of angles (2). Figure 7. Dynamics analysis diagram.

3 TORQUE OF CRANK AXLE Obtain torque TF from the gravity of the load:

The dynamics is analyzed as below as shown in Fig- G rr r cos(ψ 0 + β 0 − β )

ure 7: (a) Assuming the load is much heavier than
the crank and the bar, the rocker mainly bears the
load gravity moment; (b) in the swing process, it
continually bears the inertial moment from the mass
center G. So the torque amounting to axle A mainly
comes from gravity and inertial moment of the load.
Due to the change of direction of the gravity
moment and inertial moment following the change
of position and direction of the rocker, we consider
the limit positions of the rocker as the boundaries,
and divide one cycle averagely into four periods to
analyze the bearing torque.
3.1 Gravity moment of the load
The first period is shown in Figure  7. The swing
angle is ψ, the gravity is in negative direction of
Y axis, the limit C0D is the initial position of the
crank, and the distance between central mass G
and axle D is rr. F is load gravity equating to the
force on the bar, and its direction is from C to B
along the bar. According to the moment balance:
F R ⋅ sin γ r ⋅ cos((ψ 0
G rr β0 β )), (8)
where β0 is the angle between C0D and AD, and
TF = ⋅ ⋅ sin( β + α + γ )).
R sin γ (12)
If we consider the facing perpendicular to the
paper as the positive direction, so the direction of
TF is positive;
The other stages are shown in Figure  8. First
we calculate the gravity of the load converting into
force F on the bar, the directions are all from C to
B; the methods of β0, ψ0, γ are similar to stage 1.
Obtain the torque of the other stages:
G rr r cos(ψ 0 + β 0 − β )
TF = ⋅ ⋅ sin( β + α + γ ) (13)
R sin γ
The directions are positive, negative and negative.
3.2 Inertial moment of the load
Similarly, divide into the same four periods.
According to the law of inertial moment, we get
inertial moment in the four stages:
TI m ⋅ rr 2 ⋅ β (14)
Inertial moment directly transfers to the bar.
Considering the law of moment balance, get the
torque in axle A:

β 0 = arccos
d 2 + R 2 − ( + )2 m rr 2 ⋅ β ⋅ r ⋅ β +α +γ )
, (9) TL = . (15)
2⋅d R R ⋅ sin γ
where ψ0 is the initial angle of the crank, and The directions are positive, positive, negative,
and negative.
ψ0 180 ψ ) / 2,
(180° (10) Superimposing the moment of inertia and grav-
ity, get the whole torque in axle A:
γ is the angle between bar and rocker, and
G rr ⋅ cos(ψ 0 + β 0 − β ) + ⋅ 2
⋅ β
l 2 + R 2 − h2 T= ⋅ r ⋅sin( β + α + γ )
γ = arccos . (11) R ⋅sin γ
2⋅l R
(16)

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 Figure 8. Four stages of the torque analysis.
Figure 10. Angle simulation curves (2).
Table 2. The chosen key parameters.
In practice, that can be avoided by adjusting the
Group r (mm) l (mm) Group r (mm) l (mm) structure parameters.
Gr 1 30 550 Gr 5 30 400
Gr 2 30 400 Gr 6 60 400
Gr3 30 250 Gr7 90 400
4 CONCLUSION
Gr 4 30 100 Gr 8 120 400
For the unbiased crank rocker mechanism with
a certain tilt angle as the reliability test device of
HUD, we build the motion model of crank and
rocker’s angles by stages. According to the simula-
tion result we find the angle curve varies nearly as
a sinusoidal wave, and the whole swing angle can
be controlled. Calculate the crank axle torque by
superimposing the moment of inertia and gravity,
and find that in the first half of the swing cycle, the
torque is nearly a sine wave, but in the last half, it
differs based on the case of size matching condition
of crank and bar. In the case of “size mismatching”,
a serious instability can occur in the whole crank
axle torque. That is of great reference value for the
structure design of reliabile simulation experiments.
Figure 9. Angle simulation curves (1).
REFERENCES
Using the relationship of α and β, and choose
parameters as shown in Table 2, and get the results Chongzhen, C. & Chunyu, Z. 2009. Unbiased Crank and
in the graph (Figs. 9 and 10). Rocker Mechanism with 90°Tilt Angle and Its Appli-
We obtain the following conclusion: (1) in the cation. Journal of Shandong University of Science and
first half of the cycle, torque of rocker is nearly Technology. Vol. 28 No. 3, 2009, 45–48.
Hongxian, W. & Caijun, X. 2010. On the Design and
a sine wave, and seldom affects the size of the
Application of a Fatigue Testing System for Landing-
mechanism; (2) in the last half of cycle, if bar is gear Retraction and Extension. Journal of Experimen-
far longer than rocker (5∼7 times), the curves of tal Mechanics. Vol. 25 No. 2, 2010, 173–180.
rocker torque are similar to the first half, but it will Jia, W. & Daohua, L. 2011. Research of Simulation Inte-
first decay and then increase a little, called “size grated Testing System for Boat Davit with Wave Com-
matching”. If the length of the bar and rocker is pensating Function. Ship Engineering. Vol. 33 No. 6,
relatively close (3–4 times), the curves will lag and 2011, 37–39.
sharply increase with appearance of instability, Xiaoyan, Y. & Zhaohui, L. 2007. New Discussion on the
called “size mismatching”. Synthesis of Crank-Rocker Mechanism with Quick
Return Characteristic. Machine Design and Research.
The mechanism is unbiased with a certain tilt
Vol. 23 No. 6, 2007, 43–50.
angle, so the moment rocker swings through the Zhixin, H. & Xuehong, L. 2007. Dynamic Characteristics
limit position, the angle between rocker and bar of IC engines with Offset Crank-Slider Mechanism.
is relatively small and rapidly changes, that is the Small Internal Combustion Engine and Motorcycle.
reason of “size mismatching” causing instability. Vol. 36 No. 1, 2007, 39–40.

150

CMEEE_book.indb 150 3/20/2015 4:11:50 PM

 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Study on electromagnetic loop rejection in Liaoning power grid

Kai Gao
State Grid Liaoning Electric Power Supply Co. Ltd., Shenyang, China

Zhen-Hao Wang
Northeast Dianli University, Jilin, China

ABSTRACT: Electromagnetic loop network is a particular form of network configuration in the devel-
opment of power network, which is of great importance to improving the transmission ability of a power
grid. In recent years, with the power grid expanding, the closed-loop operation problem is becoming
more and more prominent, such as the difficulty to control power flow, short-circuit current superscalar
issue and the destruction of the system thermal stability. First, the basic concepts of electromagnetic loop
network are introduced, then the basic principles and general steps of breaking up electromagnetic loop
are summed up, and finally according to the characteristics of Liaoning power network, the scheme of
electromagnetic loop rejection is designed through a multi-faceted calculation and analysis. The research
results of this paper offer theoretical basis for reasonably determining the location to break up the elec-
tromagnetic loop of the Liaoning power grid.

Keywords: electromagnetic loop network; short-circuit current superscalar; security and stability

1 INTRODUCTION the electromagnetic loops become serious poten-

In recent years, with the power grid expanding,
the closed loop operation problem is becoming
more and more prominent (Chunqing et al. 2005).
The transmission power of urban power networks
grows rapidly with the development of power
systems. Therefore, higher voltage level transmis-
sion lines must be built in urban power networks
accordingly. In this process, China’s power grids
have two typical characteristics (Wei et  al. 2007):
first, the problems of short-circuit current super-
scalar are serious; second, there are many electro-
magnetic loops, which lead to the limitations of
power transmission capacity.
As the improvements of grid structure, it is of
great significance to break up the electromagnetic
loop network and realize the power grid hierarchi-
cal division operation to enhance the economy
and safety operation of power systems. Due to the
complexity and diversity of power grid develop-
ment, how to divide the power grid is a hot topic
deserved to explore and research (Zhao et  al.
2004).
In the early stage of high-voltage power grid
development, the power flow of high-low loop net-
work is little. In this case, the electromagnetic loops
can improve the reliability and flexibility of power
grids. But with the development of high-level volt-
age grid, the transmission load is increasing, and
tial hazards (Xiang et al. 2004). The main hidden
danger of the electromagnetic loop network mode
is that large amounts of power flow pour into the
lower voltage grid when the higher voltage grid is
cut off, it can easily cause serious problems threat-
ening the safe and stable operation of power sys-
tems (Shuyong et  al. 2008). This operation mode
also leads many potential problems on security and
stability for power grids, such as overload, the dif-
ficulty to control power flow, short-circuit current
superscalar issue, complexity of protection setting,
and even the destruction of the system thermal
stability.
A mainstream approach of eliminating the loop
running is electromagnetic loop rejection to achieve
the partitioning operation of power networks
(Canizares et al. 1993). Because of the complexity
of power system operation, multi-faceted calcula-
tion and analysis must be carried out before break-
ing up the electromagnetic loop, comprising power
flow calculation, stability calculation, short-circuit
current calculation, and network loss calculation.
Moreover, other issues affecting the system opera-
tion should also be comprehensively considered
to make reasonable and feasible decisions (Dong
et  al. 2009). Therefore, it has an important theo-
retical significance and application value to study
the scheme of breaking up electromagnetic loop
networks.

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 2 METHODS OF ELECTROMAGNETIC
LOOP REJECTION
2.1 Concept and causes of electromagnetic loop
Electromagnetic loop refers to the lines with dif-
ferent voltage levels connected in parallel loop
through the electromagnetic circuit of the con-
nected transformers (Yihan et al. 2009), as shown
in Figure 1.
In Figure 1, the operating voltage U1 of line L1
is higher than the operating voltage U2 of line L2,
T1 and T2 are transformers, lines L1 and L2 consti-
tute an electromagnetic loop through the magnetic
circuits of T1 and T2.
Electromagnetic ring networks are the products
of the process of power grid construction. When
the high-level grid is not strong, there is rational-
ity of its existence. But when high-level grid devel-
opment is more mature, it should be considered
to break up the electromagnetic ring network to
ensure the hierarchical partitioning operation of
power systems (Haihui et al. 2005).
The main reasons why electromagnetic rings
appear are described as follows:
1. Some planning managers of power grids think
that the use of electromagnetic loop network
operation mode can improve the reliability of
the local power supply, so that the power sup-
ply network can be enhanced, and construction
investment in power networks can also be saved.
They also think that the shortcomings of this
electromagnetic ring are relatively minor.
2. In the planning process, planners fail to conduct
a reasonable forecasting and analysis for supply
networks, which leads to some lines not meet-
ing the requirements for subsequent transmis-
sion capacity. To solve this problem, new higher
levels of transmission lines are often added, and
eventually leading to the formation of electro-
magnetic ring network.
3. In the operation and management of power
grids, management is not concentrated enough
Figure 1. Schematic of an electromagnetic loop.
152
CMEEE_book.indb 152
due to the presence of multiple subsystems
operating independently. Each subsystem makes
construction of power grids in accordance with
their own ideas and habits, which will inevitably
lead to the parallel operation situation of differ-
ent voltage levels grids.
2.2 Basic principles of breaking up
electromagnetic loop networks
The basic principles of breaking up electromag-
netic loop networks are described as follows
(Yangyu et al. 2011).
1. The loop rejection should result in more rea-
sonable flow distribution. Power flows should
have more flexible controllability, and be able
to adapt to the changes in various operating
modes. It should also ensure that no element
overloads.
2. The loop rejection should be able to ensure the
security and stability of power systems. The
stability indexes should be compared before
and after breaking up the loops. If power flow
transferring caused by disconnecting the high
voltage lines seriously affected the stability of
power systems, it is an urgent need to breaking
up the electromagnetic loops.
3. After breaking up the loops, the power networks
should have a larger anti-jamming capability to
meet the N-1 requirements.
4. After breaking up the loops, power supplies
should be reasonably allocated among supply
districts to provide sufficient reactive power
compensation for each partition.
5. After breaking up the loops, each partition
should have sufficient connected aisles with
reasonable distributions to timely transfer
loads and avoid blackouts when an accident
occurs.
6. The short-circuit current usually decreases
after breaking up the loops, and then it needs
to determine that what kind of line operation
mode is most effective in reducing the short-
circuit current.
7. The network loss after breaking up the loops
must be calculated, and be compared with the
network loss before breaking up the loops.
2.3 Steps of breaking up electromagnetic
loop networks
Because of the purpose of electromagnetic loop
rejection is to solve the potential problems in
power grids, the status of power grids after should
be fully taken into account, and must not bring
new problems to the open-loop operation of elec-
tromagnetic loop networks (Qiantu 2005).
3/20/2015 4:11:50 PM
 The decision analysis steps of electromagnetic
loop rejection can be summarized as follows
(Xiang et al. 2004).
1. The present situation of electromagnetic loops
under typical operating modes should be ana-
lyzed, according to the actual situations of the
power grid including supply network structure,
network construction and future planning, and
load forecasting.
2. The weak links that may cause larger-scale
power flow transferring and poor stability of
power networks when an accident occurs are
identified through multi-faceted calculation and
analysis under typical operating modes of elec-
tromagnetic loops.
3. According to the principles of electromagnetic
loop rejection, proper lines are selected to break-
ing up the loops. And then, several schemes of
electromagnetic loop rejection are proposed
through the calculation and argumentation of
the indicators.
4. The optimal scheme for electromagnetic loop
rejection is determined through a comprehen-
sive assessment and economic calculation of the
candidate schemes.
3 NUMERICAL EXAMPLES
3.1 Introduction of examples
The power system considered is Liaoning power
grid, covering an area of 148,000 square kilometers
is a highly interconnected grid with an approxi-
mate installed capacity of 39657.2 MW. The sys-
tem lies in the south of Northeast power grid, and
it is the load center of the Northeast power grid.
According to the power load layout and grid struc-
ture, the grid is divided into three parts: western
power system, north-central power system and
southern power system. By 2015, the north-central
system of Liaoning grid will be from 500 kV loop
network structures and intensive 220 kV power
grid, which leads to serious short-circuit current
superscalar issues.
In this study, the simulation software is PSD-
BPA developed by China Electric Power Research
Institute, mainly comprising the power flow cal-
culation procedure PSD-PFNT, the transient
stability calculation procedure PSD-SWNT, the
drawing procedure of geography wiring diagram
PSD-CLIQUE, and the multi-curve comparison
program PSD-MYCHART.
3.2 Stability criterion
Power system stability can be divided into three
types: angle stability, voltage stability, and
153
CMEEE_book.indb 153
frequency stability. Note that the system is stable
only when all the three stabilities remain stable.
The specific criterions are listed as follows:
Transient stability: when a power system
fails, rocking curve of relative angles in any two
machines is synchronous damped oscillations.
Voltage stability: for a disturbed power system,
the load bus voltage can be restored to 0.80 pu and
0.90 pu above in the transient process and long-
term process, respectively.
Frequency stability: the system frequency can
be quickly restored to near the nominal frequency,
and the frequency crashes does not occur.
3.3 Method of calculating short-circuit current
Short-circuit current levels for the whole network
is scanned by using the transient stability calcula-
tion procedure PSD-SWNT based on the principle
of superposition.
According to the equivalent network and the
normal voltage under normal operating condi-
tions, the normal current of each branch can be
obtained. Then, by using the equivalent network
with identified fault components, each node volt-
age and each branch current caused by a fault can
be also obtained. And finally, by means of adding
them, the actual voltage of each node and each
branch current after a fault can be obtained.
3.4 Scheme of electromagnetic loop rejection
Anshan regional power grid is the focus of this
study, because it is currently the most serious
region of short-circuit current superscalar issue in
Liaoning power gird. A scheme of electromagnetic
loop rejection is designed through multi-faceted
calculation and analysis.
The proposed scheme is the following lines
should be disconnected, comprising QianGang-
CaoHeKou, NiuZhuang-DongChang, and Cheng
Ang-HongQiBao, as shown in Figure 2.
3.5 Scheme checkout
1. Short-circuit current level
According to the partition scheme, the short-
circuit current levels in the area are shown in
Table 1.
From Table 1, it can be seen that the three-
phase short-circuit current of 220 kV bus in
the ChengAng substation (the most serious
substation of short-circuit current superscalar
issue in Liaoning power grid) has been reduced
from 49.38 kV to 39.05 kV, and it s single-phase
short-circuit current has been reduced from
56.39 kV to 45.18 kV. Both of them are control-
led under 50 kA, which meets the requirements
3/20/2015 4:11:50 PM

Figure 2. Schematic of the proposed scheme.
Table 1. Short-circuit current levels in different opera-
tion modes.
Three-phase Single-phase
Operation mode SCC (kA) SCC (kA)
Closed-loop operation 49.38 56.39
Open-loop operation 39.05 45.18
of rated breaking current for beakers and have
a certain margin of safety. Therefore, the pro-
posed scheme can effectively reduce the short-
circuit current level.
2. Other checkouts
In order to properly evaluate the performance of
the presented scheme, multi-faceted calculation
and analysis are carried out in this operating
mode, including power flow calculation, stabil-
ity calculation, and network loss calculation.
The simulation results demonstrate that the
proposed scheme meets the requirements for
power system safe operation, which has no
thermal stability and N-1 problem. Moreover,
the network loss after breaking up the loops has
reduced compared with that of under the mode
of electromagnetic loop.
4 CONCLUSIONS
The basic concepts of the electromagnetic loop
are introduced in this paper. The electromagnetic
loop rejection scheme for Liaoning power grid is
154
CMEEE_book.indb 154
determined through multi-faceted calculation and
analysis, comprising power flow calculation, stabil-
ity calculation, short-circuit current calculation,
and network loss calculation.
The simulation results show that the proposed
scheme can effectively solve the problem of short-
circuit current superscalar for Liaoning power grid.
Furthermore, the methodology of breaking up the
electromagnetic loop network may be applied to
any similar problems in engineering field.
REFERENCES
Canizares C.A, Alvarado F.L 1993. Point of collapse and
continuation methods for large AC/DC systems. IEEE
Trans on Power Systems 8(1): 1–8.
Chunqing Hou, Huiping Zheng 2005. Research on paral-
lel operation of 500 kV and 220 kV power networks in
south and central part of Shanxi power grid in 2005.
Power System Technology 27(10): 80–84 (in Chinese).
Dong Yang, Yutian Liu 2009. Influence of electro-
magnetic loop in early ultra-high voltage grid.
Electric Power Automation Equipment 29(6): 77–84
(in Chinese).
Haihui Cheng 2005. Analysis of breaking the 500/220 kV
electromagnetic circuits. Jiangsu Electrical Engineer-
ing 24(5): 38–40 (in Chinese).
Qiantu Ruan (2005). Present situation of short circuit
current control in Shanghai power grid and coun-
termeasures. Power System Technology, 29(2): 78–83
(in Chinese).
Shuyong Liu, Qiang Gu, Lijuan Zhang, et a1 2008.
Research on power supply scheme based on parti-
tioning of 500/220 kV Tianjin power grid during the
1lth Five-Year plan. Power System Techno1ogy 32(9):
51–55 (in Chinese).
Wei Pan, Wenying Liu, Yihan Yang, et a1 2007. Research
on operating modes of 750 kV Northwest China
power grid electro-magnetically coupled with 330 kV
power grid. Power System Technology 31(15): 33–38
(in Chinese).
Xiang Xia, Jun Xiong, Liexiang Hu 2004. Analysis and
control of loop power flow in regional power network.
Power System Technology 28(22): 76–80 (in Chinese).
Yangyu Hu, Hongjun Fu, Yiming Zhang, et  al (2011).
Analysis on electromagnetically coupled loop opera-
tion of tie line connecting Hubei power grid and
Henan power grid after building up of Nanyang
UHVAC substation. Power System Technology, 35(6):
22–26 (in Chinese).
Yihan Yang, Lin Ai, Tong Jiang, et al 2009. Risk assess-
ment and control of electromagnetically coupled
power loop based on benefit risk function. Power Sys-
tem Technology 33(7): 65–70 (in Chinese).
Zhao He 2004. A discussion on scheme of improving
structure of East China power grid to reduce short
circuit capability. Power System Technology 28(21):
28–31 (in Chinese).
3/20/2015 4:11:50 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Study on effect of evaluating corrosion inhibitor for circulating cooling

water in dynamic simulation method

Yan-Ping Li
Stage Grid of China Technology College, Jinan, Shandong, China

Yong Li
Stage Grid Shandong Electric Power Company, Jinan, Shandong, China

Fang Liu
Stage Grid of China Technology College, Jinan, Shandong, China

ABSTRACT: Based on the quality of recharged circulating cooling water in power generation, the
experiment helps to choose the corrosion inhibitor and the exact relative quantity through preliminary
enrichment ratio test. Evaluating the effect on the basis of surface condition of the tube during dynamic
simulation test, fouling resistance, quality of circulating cooling water and so on, we determine the quan-
tity of corrosion during actual operation, concentration ratio and other operating parameters. The water
quality in actual operation verifies the feasibility and reliability of the evaluation method.

Keywords: circulating cooling water treatment; corrosion inhibitor; dynamic simulation method; fouling
resistance

1 INTRODUCTION Reclaimed water has been conducted advanc-

edly during pre-processing. The process is: sewage
In a coal-fired power plant designed with capacity plant effluent—lime softening—BAF—water
expansion for the 2 × 1000 MW, circulating cooling quality adjustment (adding sulfuric acid aiming at
water is recharged by local sewage treatment plant pH 8.3) -supplement for circulating cooling water.
effluent. Due to the uncertainty quality of the
recharged water, when used as supplement water,
in addition to the regular production of scaling, 2 DYNAMIC SIMULATION EXPERIMENT
corrosion, bacterium and so on, we need to pay
special attention to ammonia nitrogen and phos- 2.1 Apparatus for experiment
phorus which may cause problems. In a circulatory
The WDM-D dynamic device for simulation of cir-
cooling water system when water reaches a certain
culating water is as shown in Figure 1, the system
concentration ratio, scaling and corrosion of metal
process is shown in Figure 2.
materials occur, influencing the safe and stable
operation. Adding corrosion inhibitor is a major
means of controlling water fouling. Corrosion var-
ies with different quality of water and treatment
methods. Therefore, evaluating the practiced effect
of corrosion inhibitor is particularly important.
The purpose of this experiment is to examine
the effect of two kinds of corrosion inhibitors cho-
sen based on the early concentrate rate test when
used to current water and simulation unit opera-
tion so that the best corrosion inhibitor and other
conditions such as additive concentration can be
determined, guiding the design for the circulation
cooling water system, the determination of the
technological process, equipment selection and Figure 1. The WDM-D dynamic device for simulation
controlling operation after the production. of circulating water.

155

CMEEE_book.indb 155 3/20/2015 4:11:50 PM


Figure 2. The system process.
When run for the first time, steps are as fol-
lows, adding enough supplemental water with cor-
rosion inhibitor in the circulating water tank 1,
opening water circulating pump 2, thus making
cooling water flowing through the simulated heat
exchanger 5, transferring heat to the steam from
the generator, steam cooling into condensation and
flowing back, temperature of cooling water raised,
when flowing through the cooling tower, tempera-
ture dropped due to the spray 7, automatic opera-
tion 8 charging supplemental water into the tank
to ensure the water balance. Flow sensor 3 controls
flow velocity. Temperature sensors 4 and 6 monitor
the temperature of water inlet and outlet in simu-
lated heat exchanger. Simulated heat exchanger is
equipped with a condenser tube, by which the tub-
ing corrosion, fouling and fouling resistance can be
measured during the operation. Collected from the
circulating water tank 1, circulating cooling water
is analyzed for pH, conductivity, turbidity, residual
chlorine, phenolphthalein, alkalinity, total alkalin-
ity, hardness, Ca. hardness, and so on.
2.2 Method
Referred to “Method of Cooling Water Dynamic
Simulation Experiment” (HG/T 2160-2008), the
experiment is conducted. Mainly to complete the
experiment on three aspects:
2.2.1 Experiment on water quality
Considering the uncertainty of water quantity in
practice, experiments are separately conducted when
using reclaimed water, mixing water (1 + 1) as sup-
plementary, completely simulating the operation of
cooling water system for power generator. Evaluating
the effect by analyzing the quality of cooling water
and the changing trend of fouling resistance, inspect-
ing, and evaluating the whole process and the ration-
ality of controlling circulating cooling water and
determining the final dosage, stability of water qual-
ity, and concentration ratio during operation.
2.2.2 Experiment on corrosion
and fouling in condenser pipe
Experiment on corrosion of pipe with circulating
cooling water is conducted at the same time with
156
CMEEE_book.indb 156
dynamic simulation. The section is equipped with
the simulated condenser, a condenser pipe section
of Φ 25 × 0.5, and length of 650. The section is also
equipped in the exchanger, the material of which
should be the same as the generator, in another
way, the pipe is made with 317  L stainless steel.
Fouling tendency in the water side during experi-
ment is monitored. The inspection on corrosion
condition is needed after the experiment.
2.2.3 Experiment on corrosion of metal material
in circulating cooling water system
Preparation for all kinds of metal specimens is
related to the cooling water system in the power
plant before experiment. Oil removal and clean-
ing the specimens are done. Then we dry them
to constant weight, weigh and number them
before hanging them into the pool. After the
experiment, we weigh to examine the corrosion
or pitting to the specimens caused by circulating
cooling water.
3 PARAMETERS FOR EXPERIMENT
AND WATER QUALITY
3.1 Parameters for experiment
The material of the power plant condenser pipe in
practice is 317 L stainless steel, Φ 25 mm × 0.5 mm,
in length of 650  mm (effective heat conduction
length is 570 mm);
water volume of system, 240 L;
flow rate of circulating cooling water, 600 l/h;
velocity, 0.4 m/s;
operating duration, 15 days;
corrosion inhibitor, SD2316;
dosage in supplement water, 8 mg/L;
metal specimens for corrosion, 317  L stainless
steel, 316 L stainless steel, 1Cr18 Ni9Ti, C.I., steel
20 # copper B30.
3.2 Quality of reclaimed water
Claimed water quality in experiment is presented
in Table 1.
4 RESULTS
4.1 Curves during experiment
This experiment is aimed at the maximum stable
concentration ratio of circulating cooling water
when added with small quantity of corrosion
inhibitor after the lime treatment—pH adjustment
filter—disinfection and other advanced treatment.
Curves during experiment are as shown in Figure 3,
and fouling resistance curve is shown in Figure 4.
3/20/2015 4:11:51 PM
 Table 1. Analyses on quality of advanced treated reclaimed water.

Residual Phenolphthalein Total Full Calcium

Item pH Conductivity Turbidity chlorine alkalinity alkalinity hardness stiffness

Value 8.21 958 μS/cm 1.2 NTU 0.25 mg/L 0 mmol/L 1.0 mmol/L 3.7 mmol/L 2.1 mmol/L
Item CODCr BOD5 Total P Activity Oil Chloride SO42− NH3-N
SiO2
Value 33.6 mg/L 2 mg/L 0 mg/L 10.8 mg/L 0.18 mg/L 154.1 mg/L 263.0 mg/L 3.3

Figure 3. Curves during experiment.

Figure 4. Fouling resistance curve.

Table 2. (When SD2316 8 mg/L is added to reclaimed water) The condition of attachment in condenser and the stable
quality of circulating cooling water after experiment.

Weight before Weight after Amount of

experiment (g) experiment (g) sediment g/m2 Appearance inspection condition

194.59 195.31 16.76 Inner surface exit with small amount of

hoary attachment which could be easily
erased. The surface of the metal is bright
like a new one, clean and smooth.
(After the operation of the experiment)yearly fouling thermal 0.58
resistance × 10–4 m2 C/W
(Test concentration ratio of stable operation) water quality of circulating cooling water
Basicity mmol/L Hardness mmol/L Calcium stiffness mmol/L Chloride mg/L pH DD μs/cm

3.95–4.2 17–18.8 10.5–11.5 749–792 8.55–8.70 4550–4600

4.2 Discussion
1. When cooling water is concentrated to 5.5 times,
the monitoring analyses on water quality and
fouling in simulated condenser indicated that
it turns to fouling; at that moment, by adjust-
ing the sewage to reduce cooling water con-
centration ratio to 5.1 times lower, the chlorine
concentration ratio and difference between
concentration ratio of hardness are kept less
than 0.2, and two aspects of fouling resistance
value in the condenser without rising meet the
standard. Quality of circulating cooling water
is stable, concluding that during the operation
in five times of concentration rate, there is no
fouling attached to the surface of transfer.
2. During the later period of experiment, con-
centration ratio is controlled at approximately
4.8–5.1. Quality of circulating cooling water and
condenser tube is represented in Table 2. Draft
of supplementing water and circulating cooling
water treatment is as follows. The concentration
ratio can only maintain five times at maximum
when operating, and there will be a risk of foul-
ing when concentration ratio increases again.

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 5 OPERATION IN PRACTICE
Now, the generator has been put into operation for
almost 2 years. Cooling water comes mainly from
reclaimed water. The system is regularly cleaned by
rubber ball. SD2316 is used as the corrosion inhibi-
tor, with a dosage of 8 mg/L, concentration ratio
of 3.5–3.5, Δ B < 0.2. In the routine check, surface
of stainless steel condenser is cleaning, without
fouling and corrosion. The effect of condenser
operation indicates that the inhibitors based on the
experiment are in accordance with water quality,
that parameters such as dosage, concentration rate
firs the situation in practice and that this evalua-
tion method is reliable and feasible.
158
CMEEE_book.indb 158
REFERENCES
[1] L.G. Xu, Selection of Technical Scheme on using
city’s recycled water to Circulating Water of power
plant Shandong Electric Technology, [J] 2004 (4):
10–14.
[2] B.Y. Shen, Study on the Effect of corrosion resist-
ance of Recycled Water Treated by Lime and used
in recirculation cooling water system. [J] Journal of
Neimenggu University, 2011(3): 334–336.
[3] H.M. Li, Evaluation and Application on water from
power plant to handle pharmaceutical lab. [J] Indus-
trial Water Treatment, 2003 (7): 73–75.
[4] L.G. Xu, Water Treatment Technologies in Heat-
engine Plant [M] Beijing: China Electric Power Press,
2007.
3/20/2015 4:11:51 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Research on the impulse current dispersal characteristics

of tower grounding devices

Chang-Cheng Zhu & Tao Wang

State Grid Hubei Electric Power Research Institute, Wuhan, Hubei Province, China

Xue-Fang Tong
China Electric Power Research Institute, Wuhan, Hubei Province, China

Peng-Xiang Xing, Zhi-Qiang Feng, Hai-Liang Lu & Lan Lan

School of Electrical Engineering, Wuhan University, Wuhan, Hubei Province, China

ABSTRACT: The impulse simulation tests of a single horizontal grounding device were carried out
in the laboratory and the impulse current dispersal characteristics of grounding devices with different
lengths are analyzed in this paper. The test results are also verified by the modeling and simulation cal-
culation. Both the impulse tests and simulation calculation indicate that the impulse current dispersal
characteristics of a single horizontal grounding electrode present a U-shaped distribution along with the
grounding electrodes. The end effect, length of the electrodes, and soil resistivity are the key parameters
that affect the impulse current dispersal characteristics of grounding devices.

Keywords: transmission line; tower grounding devices; impulse current dispersal

1 TEST PROCEDURE electrode is embedded in the current measurement

Small-scale experiments were carried out in the
grounding laboratory in the UHV base of China
Electric Power Research Institute in Wuhan. This
laboratory is equipped with an impulse current
generator of 60 kV/10 kA. The test field is a hemi-
spherical grounding pool whose diameter is 8  m.
The excited current and voltage response wave-
form is measured by a Pearson CT and a resistive
voltage divider.
The impulse dispersal experimental arrange-
ment is shown in Figure 1. The test procedure in
detail is shown as follows
Step 1: The single horizontal grounding electrode
is located in the center of the grounding pool. The
CT and the location of CT is shown in Figure 1.
Step 2: Connect the impulse current generator
and measurement system, and ensure the measure-
ment system function properly before the electrode
is buried.
Step 3: Inject the impulse current with differ-
ent current amplitude and record the experimen-
tal data. The impulse test is repeated three times
under the same injected current.
Step 4: Test the single horizontal electrode
with different length and repeat the test following
Step 1–Step 3.
Step 5: Analyze the experimental data and
conclude the impulse dispersal regulation of the
grounding electrode. The dissipating current of
each conductor segment is equal to the difference
value between the adjacent points.

2 TEST RESULTS AND ANALYSIS

The impulse current distribution of a single hori-

Figure 1. The schematic of impulse dispersal experiment.
zontal grounding electrode with length of 0.5  m
and 1.0  m tests was carried out according to the
test principle and method. Experimental data of
the two simulation models are shown in Tables  1
and 2, respectively. It should be noted that the

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 Table 1. Impulse current distribution of 0.5 m ground-
ing electrode.

Amplitude of impulse 0.056 0.163 0.407

current/kA
Axial current
1 0.039 0.096 0.196
2 0.023 0.065 0.141
3 0.014 0.048 0.098
Dissipating current (S1)/kA 0.017 0.067 0.211
Dissipating current (S2)/kA 0.016 0.031 0.055
Dissipating current (S3)/kA 0.009 0.017 0.043
Dissipating current (S4)/kA 0.014 0.048 0.098
Current ratio (S1)/% 30.36 41.10 51.84
Current ratio (S2)/% 28.57 19.02 13.51
Current ratio (S3)/% 16.07 10.43 10.57
Current ratio (S4)/% 25.00 29.45 24.08

Si: conductor segment i.

Table 2. Impulse current distribution of 1.0 m ground-

ing electrode.

Amplitude of impulse 0.132 0.322 0.642

current/kA
Axial current
1 0.095 0.199 0.355
2 0.068 0.152 0.281
3 0.035 0.083 0.155
Dissipating current (S1)/kA 0.037 0.123 0.287
Dissipating current (S2)/kA 0.027 0.047 0.074
Dissipating current (S3)/kA 0.033 0.069 0.126 Figure 2. Impulse current dispersal of single horizontal
Dissipating current (S4)/kA 0.035 0.083 0.155 grounding electrode.
Current ratio (S1)/% 28.03 38.20 44.70
Current ratio (S2)/% 20.45 14.60 11.53
Current ratio (S3)/% 25.00 21.43 19.63 as the current amplitude increases, because
Current ratio (S4)/% 26.52 25.78 24.14 spark discharge at the current injected point is
more intensive than the middle parts, which also
Si: conductor segment i. leads to more current dissipating into the earth
at the injected point.
3. It is generally believed that as the length of elec-
dissipating current in Tables 1 and 2 is the ampli-
trodes increases, the dissipating current ratio of
tude of the impulse current.
the first conductor segment is larger than the
The fitting curves of impulse current dispersal
rest segments due to inductive effect. However,
characteristics of the two grounding electrodes with
test results indicate that the dissipating current
length of 0.5 and 1.0 m are shown in Figure 2.
ratio of the first segment of 1 m grounding elec-
According to the test data and fitted curves,
trode is less than 0.5 m electrode.
impulse current dispersal characteristics can be
concluded as follows:
1. The current distribution characteristics of 0.5 m 3 THE SIMULATION STUDY OF THE
and 1.0 m grounding electrodes along with the IMPULSE CURRENT DISPERSAL
grounding electrodes present a U-shape distri- CHARACTERISTICS
bution. The impulse current flows through the
end parts of electrodes are much higher than its The impulse current dispersal characteristics of a
middle parts. single horizontal grounding electrode are calcu-
2. Dispersal current ratio at the current injection lated by CDEGS. The grounding device to be sim-
point increased more quickly than the end point ulated is a single horizontal electrode whose length

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CMEEE_book.indb 160 3/20/2015 4:11:51 PM

 is 20 m and radius is 0.01 m. Conductor material
is steel. Its embedded depth is 0.8  m. The elec-
trode is divided into 10  segments that are shown
in Figure 3.
The amplitude of injected current is 20 kA and
its front time tf/tail time tt is 2.6/50 μs which is
shown in Figure 4.
Calculation results of impulse current distribu-
tion of each segment of grounding electrode in dif-
ferent soil resistivity are shown in Table 3.
The fitting curves of impulse current distribu-
tion of the grounding electrode in different soil
resistivity are shown in Figure 5.
The fitting curves indicate that the impulse cur-
rent distribution of a single horizontal ground-
ing electrode present a U-shape distribution Figure 5. Current distribution of the single horizontal
along with the grounding electrodes. The impulse grounding electrode in different soil resistivity.

current flows through the end parts of electrodes

Figure 3. Conductor segment number and impulse cur-
rent injection point.
are much higher than its middle parts, which are
demonstrated by the experiments. However, as the
roil resistivity is larger than 1000 Ω ⋅ m, the dissipat-
ing current flows through both end segments are
approximately equal to each other. High-resistivity
soil reduces the impulse current flowing through
the injected point and increases the current flowing
through the rest parts.

4 CONCLUSION

1. The impulse tests and simulation results indi-

cate that impulse current dispersal characteris-
tics of a single horizontal grounding electrode
present a U-shaped distribution along with
the grounding electrodes. The impulse current
flows through the end parts of electrodes are
Figure 4. Injected impulse waveform. much higher than its middle parts. Besides, as
the grounding electrode is excited by the high-
amplitude impulse current, spark discharge at
Table  3. Current distribution of the single horizontal
grounding electrode. the current injected point is more intensive than
the middle parts, which also leads more current
Amplitude of dissipating current/A dissipating into the earth at injected point.
2. End effect is the dominant factor affecting
Segment 100 200 500 1000 2000 impulse current distribution of a short ground-
number Ω⋅m Ω⋅m Ω⋅m Ω⋅m Ω⋅m ing electrode. However, the impulse current
distribution becomes uniform as the length of
1 3829.5 2962.4 2418.8 2372.1 2349.6 grounding electrodes increases, which explains
2 2766.6 2278.2 2056.3 2034.3 2023.9
the resistance reducing principle of extended
3 2310.2 2007.1 1933.5 1927.8 1922.2
conductors.
4 2015.9 1909.1 1879.0 1876.6 1874.3
3. Soil resistivity also affects impulse current dis-
5 1872.7 1863.2 1856.2 1853.5 1852.6
persal characteristics of the grounding electrode.
6 1820.0 1845.4 1853.6 1854.0 1852.7
As the soil resistivity is larger than 1000 Ω ⋅ m,
7 1811.8 1850.4 1870.4 1873.2 1872.1
8 1839.7 1885.1 1912.9 1917.8 1916.9
the dissipating current flows through the two
9 1923.8 1976.0 2008.9 2015.8 2015.1 end segments are approximately equal to each
10 2227.5 2290.0 2330.0 2339.0 2338.4 other. High-resistivity soil reduces the impulse
current flowing through the injected point

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CMEEE_book.indb 161 3/20/2015 4:11:52 PM

 and increases the current flowing through the
remaining parts.
REFERENCES
He, J.L. & Zeng, R. 2007. Grounding technologies for
power system. Beijing, China: Science Press.
Huang, W.W. et  al. 2005. Simulation experiment of
the current distribution along axial direction of the
grounding network. High Voltage Engineering, 3(6):
76–77.
Oettle E.E. 1988. A new general estimation curve for pre-
dicting the impulse impedance of concentrated earth
electrodes. IEEE Transactions on Power Delivery, 3(4):
2020–2029.
Sima, W.X. et  al. 2008. Analysis on shielding effect of
the grounding electrodes under impulse-current.
International Conference on High Voltage Engineering
and Application, Chongqing, China: 309–312.
162
CMEEE_book.indb 162
Sima, W.X. et  al. 2011. Experimental study on ground-
ing resistance reduction based on improved ground-
ing electric field distribution induced by the diffuser
of Impulse current. High Voltage Engineering, 32(9):
2294–2301.
Xia, C.Z. & Chen, C.X. 2001. Impulse experiment for
real extended grounding electrode in unit length. High
Voltage Engineering, 27(3): 34–35.
Xu, H. et al. 2006. Calculation of tower impulse ground-
ing resistance. High Voltage Engineering, 32(3):
93–95.
Yuan, T. et  al. 2008. Experiment study on impulse cur-
rent distribution rules of different structure grounding
devices. Academic Conference of Chongqing Society
for Electrical Engineering. Chongqing, China: Chong-
qing Society for Electrical Engineering, 416–422.
Zhang, B.P. et  al. 2008. Experimental study on impulse
characteristics of frozen soil. Proceedings of the
CSEE, 28(16): 143–147 (in Chinese).
3/20/2015 4:11:52 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Innovative design of centrifugal oil press

C.Q. Zhong & Y.L. Zhang

Wuhan Polytechnic University, Wuhan, China

ABSTRACT: In order to reduce the high energy consumption of traditional screw oil press, improve
the efficiency and press a variety of oils in the same oil machine, a new type of centrifugal oil press is
designed combining the principle of centrifuge and screw oil press. The two-dimensional picture of a new
type of centrifugal oil press has been drawn in AutoCAD. The influence of swivel plate’s rotation rate,
swivel plate’s radius, and swivel plate’s conical bottom angle swivel plate’s friction factor on the delivery
pressure is simulated in MATLAB. After that, the relevant experiments are done. Whose results show that
the new oil press avoids the problem of friction heat dissipation in screw oil press, the new oil press is more
productive than the screw oil press, and it suits a variety of oils in the same oil machine.

Keywords: centrifugal oil press; low energy; innovative design; MATLAB

1 INTRODUCTION plate and a large centrifugal force when it rotates

at a high speed, oil plants are squeezed to the edge
Nowadays, single screw cold press and double screw of swivel plate. After that, oil plants are into mate-
cold press are the traditional way of cold press. rial flow which is solid–liquid coexistence. Then,
Yield efficiency of single screw press is low, and its material is pushed into the solid–liquid separation
energy consumption is high. Yield efficiency of a screw under the action of pressure. Finally, the
double screw press has been greatly improved, but oil is pushed out from oil filter under the mutual
its energy consumption is also high. Transmission extrusion between solid–liquid separation screw
and squeeze of oil plants in both the single screw
press and double screw press are done by friction.
As is well known, friction generates heat, this is
bound to cause large energy waste. More than
60% energy in the working process of the press
machine is wasted because of friction according to
the related experimental data. New centrifugal oil
press is designed based on high efficiency and low
energy consumption.

2 PROFILES OF CENTRIFUGAL OIL

PRESS

The process of centrifugal oil can be divided into

three sections: solid plants conveying section, disk
fusion section, and ingress of oil section. Solid
plants are conveyed by centrifugal force rather
than friction, this is the biggest difference between
centrifugal oil press and screw oil press. The struc-
ture diagram of a centrifugal oil press is shown in
Figure 1. Figure 1. Structure diagram of centrifugal oil.
Oil plants are added into centrifugal oil press 1 represents belt pulley. 2, oil plants. 3, bearing. 4, frame.
through feed inlet, then they flow to the swivel plate 5, swivel plate. 6, material flow. 7, solid–liquid separation
along the inner cavity of the oil press. Because of screw. 8, electromotor. 9, engine base. 10, oil filter. 11,
the large centrifugal force produced by the swivel feed inlet. 12, pie mouth.

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 and oil filter. Material residue is pushed out from 4 STRESS ANALYSIS OF NEW OIL
the pie mouth. CENTRIFUGAL PRESS
Centrifugal oil press almost avoids the friction
between oil plants and swivel plate. Energy con- 4.1 Mathematical model of centrifugal oil press
sumption is greatly reduced and the production
The mathematical model of the centrifugal oil
efficiency of oil is greatly improved in the new cen-
press is obtained based on the comparison of sev-
trifugal oil press.
eral mathematical models of centrifugal press, as
follows:
3 PRESSURIZATION MECHANISM
⎧ rτ ⎡ 2 τ⎛ 1 R 1−τ ⎞ ⎤
OF DISK FUSION SECTION IN ⎪P = τ ⋅ ⎢ P0 ρω r0 ⎜ r0 2 −τ − r0 ⎟ ⎥
CENTRIFUGAL OIL PRESS ⎪ r0 ⎣ ⎝ 2 − τ 1 − τ ⎠⎦
⎪
⎪ ⎛ 1 2 τ R 1−τ ⎞
The theoretical basis of pressurization mechanism × ρωω 2 rτ ⎜ r − r ⎟
is that the object’s inertia force will produce centrif- ⎪ ⎝ 2 −τ 1−τ ⎠
⎨
ugal force when it does curve movement. Oil plants ⎪r R − r
are added into the centrifugal oil press through feed ⎪
inlet, then they flow to the swivel plate along the ⎪r0 R − r0
inner cavity of the oil press. Because of the large ⎪ f f2
centrifugal force produced by the swivel plate when ⎪τ = 1
it rotates at a high speed, oil plants are squeezed to ⎩ tan α
the edge of swivel plate as shown in Figure 2.
Acceleration of solid plants in centrifugal force where P is the pressure of a distance of r, Pa;
field is a = ω 2r ω is angular velocity of cylinder rotation, r/s;
Where ω is revolving speed, rad /s; R is swivel plate radius, m;
R is the rotation radius of the material. r is the radius of the material in any position, m;
The centrifugal acceleration is proportional P0 is initial pressure of entrance, Pa;
to the rotation radius and is proportional to the r0 is feed inlet radius, m;
square of the revolving speed according to the f1 is the friction factor between oil plants and
formula just mentioned. A part of friction power upper surface of swivel plate;
energy made by screw cold press is transformed f2 is the friction factor between oil plants and
into the rise of material temperature, the other part lower surface of swivel plate;
of friction power energy disappears through the α is angle on the conical bottom of swivel
surface. But this part of the energy is not wasted plate;
in the centrifugal oil press. The new centrifugal oil ρ is the density of the material, kg/m 3 ;
press is more efficient and consumes lower energy
than screw cold press based on the above analysis. 4.2 Influence of swivel plate’s radius
So, energy will be saved when the new centrifugal on delivery pressure
oil press is used.
Change the value of R, rotation rate n  =  6000r/
min, f1  =  f2  =  0.1, α  =  60 . The influence of
swivel plate radius on delivery pressure is simu-
lated in MATLAB. Simulation result is shown in
Figure 3.
According to Figure  3, delivery pressure is
increased when radius of swivel plate is increased.

4.3 Influence of swivel plate’s rotation

rate on delivery pressure
When rotation rate is changed from 1000 r/min
to 10,000 r/min uniformly, f1  =  f2  =  0.1, α  =  60°,
R = 0.15 m, influence of swivel plate’s rotation rate
on delivery pressure is obtained in MATLAB, as
shown in Figure 4.
According to Figure  4, delivery pressure is
increased when rotation rate of the swivel plate is
Figure 2. Disk fusion section. increased.

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 Table 1. Influence of conical bottom angle on delivery
pressure.

R (m)
P (MPa) 0.10 0.12 0.14 0.16 0.18 0.20
α
30° 0.45 0.69 1.19 1.21 1.99 1.98
60° 0.52 0.88 1.55 2.13 2.23 2.45
90° 0.59 1.01 1.78 2.50 3.00 3.62

Table  2. Influence of friction factor on

delivery pressure.

f1 0.1 0.15 0.3

Figure 3. Influence of swivel plate’s radius on delivery
pressure. P (MPa) 1.24 0.81 0.66

Influence of angle on the conical bottom and

friction factor on delivery pressure is important.
Right angle of the conical bottom and friction fac-
tor are also key factors to a good centrifugal oil
press.

5 CONCLUSION

1. A new type of centrifugal oil press is designed

Figure  4. Influence of swivel plate’s rotation rate on
delivery pressure.
4.4 Influence of conical bottom angle and friction
factor on delivery pressure
When α is changed from 30° to 60° uniformly
and swivel plate’s radius is changed from 0.1m to
0.2 m uniformly, f1  =  f2  =  0.1, R  =  0.15 m, influ-
ence of conical bottom angle on delivery pressure
is obtained in MATLAB. The delivery pressure is
shown in Table 1.
According to Table  1, delivery pressure is
increased when conical bottom angle of the swivel
plate is increased.
When friction factor is changed from 0.1 to 0.3,
R  =  0.15 m, α  =  60°, influence of friction factor
on delivery pressure is obtained in MATLAB. The
delivery pressure is shown in Table 2.
According to Table  1, delivery pressure is
increased when friction factor of the swivel plate
is decreased.
combining the principle of centrifuge and screw
oil press. The new oil press is more productive
and has lower energy consumption than the
screw oil press, and it suits a variety of oils in
the same oil machine.
2. Delivery pressure will be increased when swivel
plate’s radius is increased. But the overall struc-
ture of the centrifugal oil press will be larger
when swivel plate’s radius is increased, which will
result in a decline of manufacturing precision
and an increase of manufacturing cost. So swivel
plate’s radius needs to be chosen reasonably.
3. Delivery pressure and productivity can be effec-
tively increased when swivel plate’s rotation rate
is increased. But higher precision is needed in
the centrifugal oil press when swivel plate’s rota-
tion rate is increased. So swivel plate’s rotation
rate needs to be chosen reasonably.
4. Delivery pressure will be increased when friction
factor is reduced. But the decrease of friction
factor will result in an increase of manufactur-
ing cost. Delivery pressure will be increased
when angle of the conical bottom is increased.
But productivity will be decreased when angle
of the conical bottom is increased. So angle of
the conical bottom and friction factor need to
be chosen reasonably.

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 REFERENCES
[1] Liu Congcong. Centrifugal extruder solid conveying
and pressurization mechanism research [D]. Master
thesis, Beijing university of chemical industry,
2007:24–38.
[2] Zhao Jing, Wu Daming, Chen Weihong. Mechanism
of centrifugal extruder solid conveying experimental
study[J]. plastics, 2008, 37(3)98–100.
[3] Wang Moran. MATALB and scientific computing
[M]. Beijing: Electronic Industry Press, 2003, 9.
[4] Li Wenlin, Huang Fenghong. As the development and
application of double screw cold pressing machine
[J]. Chinese Society of Agricultural Engineering,
2006, 6.
[5] B.H. Sokolov. Centrifugal separation theory and
equipment [M]. Beijing: China Machine Press, 1986.
[6] Ye Kejiang. Wu Chaohui. The energy consumption
of the virtualization of the cloud computing platform
management [J]. Chinese Journal of Computers,
2012, 6.
166
CMEEE_book.indb 166
[7] Wang Xiaojun, Chen Xiaoshu. A semi-central low-
energy adaptive Wireless Sensor Network (WSN)
into a cluster algorithm [J]. Modern Electronics
Technique, 2007, 24.
[8] Pan Yunhe, Sun Shouqian, Bao Enwei. Computer
aided industrial design technology development sta-
tus and trends [J]. Journal of computer aided design
and graphics, 1999, 03.
[9] Tan Runhua. Product innovation design problems is
reviewed [J]. Chinese Journal of Mechanical Engi-
neering, 2003, 09.
[10] Sun Shouqian, Bao Enwei, Pan Yunhe. On the basis
of the principle of combination of the concept of
innovative [J]. Journal of computer aided design and
graphics, 1999, 03.
3/20/2015 4:11:54 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Analysis of the centrifugal oil press vibration

C.Q. Zhong & Y.L. Zhang

Wuhan Polytechnic University, Wuhan, China

ABSTRACT: Mechanical vibration will greatly shorten life of the new centrifugal oil press because the
press belonged to high-speed rotating machinery. In order to reduce vibration, research and optimization
of centrifugal oil press about vibration have been done. Three-dimensional solid modeling of the new cen-
trifugal oil press is conducted in Pro/e. After that, modal analysis and transient dynamics analysis have been
done in ANSYS. Whose results show that rotation rate has the greatest influence on vibration of centrifugal
oil press. Reasonable rotation rate is very important to reduce the vibration of the centrifugal oil press.

Keywords: centrifugal oil press; vibration analysis; ANSYS; optimal design

1 INTRODUCTION

A great centrifugal force is produced when a new

centrifugal oil press rotates at a high speed.
Then, a part of the centrifugal force is converted
to pressing force which can make oil plants into oil.
Efficiency and centrifugal force will be higher when
rotation rate is increased. But stronger vibration
will be produced when rotation rate is increased.
Therefore, analysis of centrifugal oil press vibra-
tion is very important.

2 PROFILES OF CENTRIFUGAL
OIL PRESS
Figure 1. Structure diagram of centrifugal oil.
The process of centrifugal oil can be divided into 1 represents belt pulley. 2, oil plants. 3, bearing. 4, frame.
three sections: solid plants conveying section, disk 5, swivel plate. 6, material flow. 7, solid–liquid separation
fusion section, and ingress of oil section. Solid screw. 8, electromotor. 9, engine base. 10, oil filter. 11, feed
plants are conveyed by centrifugal force rather inlet. 12, pie mouth.
than friction, this is the biggest difference between
centrifugal oil press and screw oil press. The struc-
ture diagram of centrifugal oil press is shown in
Figure 1.

3 MODELING OF NEW CENTRIFUGAL

OIL PRESS

The size of swivel plate in new centrifugal oil press

is shown in Figure 2.
Three-dimensional model of swivel plate drawn
in Pro/e is shown in Figure 3. A cutaway view of
swivel plate is shown in Figure 4. Figure 2. Size of swivel plate.

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 Figure 6.1. One order vibration mode.
Figure 3. Three-dimensional model of swivel plate.

Figure 6.2. Two order vibration mode.

Figure 4. A cutaway view of swivel plate.

Figure 6.3. Three order vibration mode.

Figure 5. Meshing results.

4 MODAL ANALYSIS OF NEW

CENTRIFUGAL OIL PRESS

Import the three-dimensional model of swivel

plate shown in Figure 3 into ANSYS Workbench.
Then, select the “Model ANSYS” module for anal-
ysis. After that, the model is meshed as shown in
Figure 5. Figure 6.4. Four order vibration mode.
Last, modal analysis about swivel plate is done
in ANSYS Workbench. Six modals are shown in
Figure 6.

5 TRANSIENT DYNAMICS ANALYSIS

OF NEW CENTRIFUGAL OIL PRESS

In order to further investigate the vibration of new

centrifugal oil press when it rotates at high speed,
transient dynamic analysis of new centrifugal oil
press is done in ANSYS Workbench. Figure 6.5. Five order vibration mode.

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 Figure 9.1. Directional deformation.

Figure 6.6. Six order vibration mode.

Figure 9.2. Directional velocity.

Figure 9.3. Directional acceleration.

transient structural (MBD). Results are shown in

Figure 9.
Compare Figure 8 and Figure 9. It is apparent
Figure 7. Apply rotation rate. that when the rotation rate is increased, deforma-
tion and vibration of swivel plate are significantly
enhanced.

6 CONCLUSION

Figure 8.1. Directional deformation. 1. Natural frequency of swivel plate has been

obtained based on the modal analysis made in
ANSYS workbench. According to the modal
analysis, rotation rate should be designed as far
as possible away from its natural frequency.
2. Specific vibration of swivel plate when centrif-
Figure 8.2. Directional velocity. ugal oil press rotates at a high speed has been
obtained from the transient dynamics analy-
sis made in ANSYS workbench. Vibration is
enhanced when rotation rate is increased. So
swivel plate’s rotation rate needs to be chosen
reasonably.

Figure 8.3. Directional acceleration.

Three-dimensional model of swivel plate is
imported into transient structural (MBD) which
is a module of ANSYS workbench. Then, we
apply a speed of 1000  rad/s on swivel plate after
constraints and meshing have been completed, as
shown in Figure 7.
Directional deformation, directional velocity,
and directional acceleration are selected as analy-
sis result. Then click solve, the structure analysis is
shown in Figure 8.
Rotation rate of swivel plate is changed from
1000 rad/s to 6000 rad/s, same analysis is done in
REFERENCES
[1] Liu Yang, Xiong Wang’e. A space optical point-
ing mirror system random vibration analysis based
on ANSYS [J]. Machine Design and Manufacture,
2010, 4.
[2] Bai Lidong, Qin Zhongbao. vibration breaks analy-
sis of the beam slab structure based on ANSYS [J].
Henan Building Materials, 2011, 6.
[3] Zhu Huangang, Zhang Bao. Drill string longitudi-
nal vibration analysis based on ANSYS [J]. Oil Field
Equipment, 2008, 10.
[4] Pu Guangyi. ANSYS Workbench 12 Basic tutorials
and example explanation [M]. Beijing: China Water-
Power Publishing house, 2012.

169

CMEEE_book.indb 169 3/20/2015 4:11:56 PM

 [5] Liu Congcong. Centrifugal extruder solid conveying [9] B.H. Sokolov. Centrifugal separation theory and
and pressurization mechanism research [D]. Master equipment [M]. Beijing: China Machine Press,
thesis, Beijing university of chemical industry, 1986.
2007:24–38. [10] Ye Kejiang. Wu Chaohui. The energy consump-
[6] Zhao Jing, Wu Daming, Chen Weihong. Mechanism tion of the virtualization of the cloud comput-
of centrifugal extruder solid conveying experimental ing platform management [J]. Chinese Journal of
study [J]. Plastics, 2008, 37 (3) 98–100. Computers, 2012, 6.
[7] Wang Moran. MATALB and scientific computing
[M]. Beijing: Electronic Industry Press, 2003, 9.
[8] Li Wenlin, Huang Fenghong. As the development and
application of double screw cold pressing machine [J].
Chinese Society of Agricultural Engineering, 2006, 6.

170

CMEEE_book.indb 170 3/20/2015 4:11:57 PM

 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

HPLC method for determination of concentration of Nifekalant

in human plasma

X. Xie
Henan Polytechnic College, Zhengzhou, Henan, China

ABSTRACT: To establish a HPLC method for determining the concentrations of Nifekalant in human
plasma and to evaluate its pharmacokinetic characteristics. An ODS3 (250  mm  ×  4.6  mm, 5 μm) col-
umn was used to separate Nifekalant in plasma with a mobile phase of a mixture of ammonium acetate
(0.1 mol/L)–methanol–methyl cyanide (440: 180: 180, V/V) at a flow rate of 1 mL/min. Nifekalant was
detected at 270 nm. The linear range of the standard curve of Nifekalant was 5 ∼ 1000 ng/mL, and the
determination limit was 5 ng/mL. The extraction recoveries were more than 80%, intra-day and inter-day
relative standard deviation were less than 6.23%. The Nifekalant plasma concentrations were determined
after intravenous dosing and its pharmacokinetic parameters were calculated. The method is sensitive,
fast, and accurate. It is suitable for therapeutic Nifekalant monitoring and its pharmacokinetic studies.

Keywords: Nifekalant; HPLC; pharmacokinetics

1 MATERIALS AND METHODS 1.3 Method of pretreatment

1.1 Instruments and reagents
The HPLC SIL-20  A system with automatic
sampler (LC-10  AT) was used to separate and
detect Nifekalant in human plasma, METTLER
TOLEDO AX-205 electronic balance, XW-80 A
eddy mixer, PROINO high speed centrifuge,
PK514BP ultrasonic cleaner were supplied by
Japan SHIMADZU Company, Mettler-Toledo
Instrument (Shanghai) Co. Ltd, Shanghai
Jingke Company, American Kendro Laboratory
Products and Germany Bandel Company,
respectively.
Nifekalant hydrochloride injection and refer-
ence substance were offered by Sichuan Baili Phar-
maceutical Factory. Chinese Drug and Biological
Products Quality Control institute provided the
Internal Standards (IS) of Ornidazole. Methanol,
methyl cyanide and ethyl acetate were all chroma-
tographic pure grade.
1.2 Conditions for chromatogram
The separation was carried out with a mobile phase
of a mixture of ammonium acetate (0.1  mol/L)–
methanol–methyl cyanide (440: 180: 180, V/V) at
a flow rate of 1 mL/min and a stable phase of A
INERTSIL ODS3 column (250  mm  ×  4.6  mm,
5  μm), 20 μL of purified sample was injected.
Nifekalant was detected at 270 nm.
The stock solutions of Nifekalant and Ornidazole
at the concentration of 1 mg/mL were all dissolved
under methanol and kept at 4ºC, respectively.
A liquor of 0.5 mL plasma of sample plus 40 μL
of IS (Ornidazole 10 μg/mL) was acidified by add-
ing 50  μL of 0.1  mol/mL hydrochloric acid and
4  mL of ethyl acetate. Then it was vortex-mixed
2  min, centrifuged at 5000 r/min for 5  min. The
water phase was discarded and 4  mL of organic
phase was moved to a clean glass tube and dried
under nitrogen in a 40 ºC water bath. The residue
was reconstituted with 0.1  mL of mobile phase,
centrifuged for 3 min, and 20 μL of it was injected
for analysis.
1.4 Corroboration of methods
Under the above conditions, the retention times
of IS and Nifekalant were 4.689 and 9.764  min,
respectively. The blank plasma, blank plasma
spiked with IS plus Nifekalant, volunteer samples
spiked with IS are shown in Figure 1.
Then 0.5  mL blank plasma was added in each
glass tube which contained Nifekalant at concentra-
tions of 5, 10, 20, 50, 100, 200, 500 and 1000 ng/mL.
After dried with nitrogen, purified, injected, and
analyzed, the regressive equation was as follows:
y  = –0.01378 + 0.00473 x, r = 0.9999, the limit of
quantity is 5  ng/mL. The linear relationship of
Nifekalant from 5 ng/mL to 1000 ng/mL is good.

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CMEEE_book.indb 171 3/20/2015 4:11:57 PM


Figure 1. The chromatograms of Nifekalant plus IS(A).
blank plasma(B). blank plasma spiked with Nifekalant
and IS(C). volunteer plasma spiked with IS(D).
Table 1. Recovery rate, intra-day and inter-day RSD of
Nifekalant (n = 5).
Sixteen healthy volunteers were randomly
divided into two groups, male and female. Under
the condition of continuous electrocardiogram
monitoring and the use of constant speed pump,
hydrochloric acid Nifekalant for injection of
0.3 mg/kg or 0.4 mg/kg were infused into intrave-
nous within 5 min, respectively. And 4 mL venous
blood samples were obtained before and 5, 10, 15,
30, 45 min and 1, 2, 3, 4, 5, 6, 7h after the admin-
istration of hydrochloric acid Nifekalant injection
preparations. The blood samples were centrifuged
and plasma was collected and stored at –80 C for
analysis. After the dosing, volunteers were accepted
for electrocardiogram monitoring for 2 h.
Eight healthy volunteers (male–female), under
the condition of continuous electrocardiogram
monitoring, the use of constant speed pump, hydro-
chloric acid Nifekalant for injection of 0.4 mg/kg
were infused into intravenous within 5  min, then
intravenous drip was administered at 0.4 mg/kg/h
velocity for 6 h. Venous blood samples of 4  mL
were obtained before and at the end of the infusion
intravenous injection, and 5, 15, 30, 45, 60 min, 2,
4, 6 h after the start of intravenous dripping and
5, 10, 15, 30, 45 min, 1, 2, 3, 4, 5, 6 h after the end
of administration of hydrochloric acid Nifekalant
injection. The blood samples were centrifuged and
plasma was collected and stored at –80°C for anal-
ysis. After the dosing, the volunteers were accepted
for electrocardiogram monitoring for 2 h.

Concentration Recovery Intra-day Inter-day 2 RESULTS

(ng/mL) rate (%) RSD (%) RSD (%)
2.1 Plasma concentrations
15 89.465 2.071 6.228
of Nifekalant in each group
200 94.086 2.873 5.116
750 80.375 1.326 4.384 The average plasma concentrations of Nifeka-
lant after intravenous infusion injection of

Then 15, 200, and 750  ng/mL of Nifekalant Table  2. The Nifekalant time–plasma concentrations
were spiked in blank plasma and analyzed at the after intravenous infusion injection of 0.3  mg/kg and
above conditions. The recovery rate, intra-day, and 0.4 mg/kg (x ± SD, n = 16).
inter-day Relative Standard Deviation (RSD) were
Concentration (ng/mL)
calculated (Table 1).
Time (h) 0.3 (mg/kg) 0.4 (mg/kg)
1.5 Subject and design
0.08 230.95 ± 54.02 358.62 ± 73.98
Sixteen healthy volunteers participated in this 0.17 158.02 ± 39.85 213.16 ± 38.35
study after physical examination and laboratory 0.25 112.05 ± 25.41 175.79 ± 29.95
screening. They were asked to avoid all prescrip- 0.5 90.71 ± 26.08 133.83 ± 26.18
tion for at least 10  days before the study. Those 0.75 69.87 ± 24.70 106.81 ± 21.69
who had a history of drug or alcohol abuse or 1 49.54 ± 17.10 78.12 ± 18.20
allergy to the components of Nifekalant and those 2 26.04 ± 7.89 38.28 ± 13.47
who had concomitant drug therapy were excluded. 3 16.94 ± 6.98 22.74 ± 4.86
All subjects gave their written informed consent at 4 11.24 ± 4.11 14.19 ± 1.54
the beginning of the study and were explained the 5 6.94 ± 2.60 8.83 ± 1.41
nature of the drug and purpose of this study.

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CMEEE_book.indb 172 3/20/2015 4:11:57 PM

 Table  3. The Nifekalant time–plasma concentrations 0.3  mg/kg or 0.4  mg/kg within 5  min are shown
after intravenous dripping of 0.4  mg/kg 6 h (x ± SD, in Table 2. The average plasma concentrations of
n = 8). Nifekalant after intravenous infusion injection of
0.4  mg/kg within 5  min, then intravenous drip-
Time (h) Concentration (ng/mL)
ping of 0.4 mg/kg/h for 6 h are shown in Table 3.
During the period 0.08 470.48 ± 104.25 The time–concentrations curves are shown in
of intravenous 0.17 353.64 ± 125.08 Figures 2 and 3.
dripping 0.5 334.97 ± 135.90
0.75 323.24 ± 115.51 2.2 Pharmacokinetic parameters
1 309.42 ± 115.55 of Nifekalant in each group
2 369.80 ± 95.80 The mean pharmacokinetic parameters of
4 423.80 ± 86.40 Nifekalant in each group are shown in Table 4.
6 344.69 ± 96.17
After the end of 6.08 254.28 ± 64.44
intravenous 6.17 237.60 ± 58.31 3 DISCUSSION
dripping 6.25 221.29 ± 68.16
6.5 180.89 ± 53.71 Nifekalant is a nonselective potassium channel
6.75 126.64 ± 27.73 blocker, which can effectively control the rapid
7 98.45 ± 31.73 ventricular arrhythmia caused by turn-back
8 59.15 ± 18.55 and has good curative effect on ischemic cardiac
9 42.23 ± 17.75 arrhythmia. Compared with other anti-arrhythmic
10 24.47 ± 4.67 drugs, Nifekalant is safer and more effective and is
11 15.26 ± 3.78 the first selection medicament for prevention and
12 9.60 ± 2.91 treatment of ventricular arrhythmia for patients
with organic heart disease.

Figure  3. The Nifekalant time–plasma concentration

Figure  2. The Nifekalant time–plasma concentra-
curve after 6 h intravenous dripping of 0.4  mg/kg (x ±
tion curves after intravenous infusion of 0.3 mg/kg and
SD, n = 8).
0.4 mg/kg (x ± SD, n = 16).

Table 4. The Nifekalant pharmacokinetic parameters after 5 min intravenous infusion of

0.3 mg/kg and 0.4 mg/kg and 6 h intravenous dripping of 0.4 mg/kg (x ± SD, n = 16).

A single dose of intravenous infusion Intravenous dripping

Parameters
(unit) 0.3 mg/kg 0.4 mg/kg 0.4 mg/kg

t1/2 (h) 1.54 ± 0.38 1.34 ± 0.19 1.35 ± 0.23

Tmax (h) 0.08 ± 0 0.08 ± 0 3.75 ± 1.28
Cmax (ng/mL) 230.95 ± 54.02 358.62 ± 73.98 444.30 ± 88.12
AUC0-5 (ng/mL/h) 193.53 ± 45.19 285.61 ± 46.57 2609.02 ± 498.20
AUC0-∞ (ng/mL/h) 209.90 ± 48.12 302.44 ± 50.19 2627.33 ± 499.89
MRT (h) 1.18 ± 0.15 1.13 ± 0.08 –
CL (L/Kg/h) 1.50 ± 0.35 1.35 ± 0.22 0.32 ± 0.06
V (L/Kg) 3.40 ± 1.44 2.60 ± 0.35 0.61 ± 0.15

173

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 A HPLC method for determining the blood con-
centration of Nifekalant with Ornidazole as inter-
nal standard was developed and reported. It has
sensitivity, specialty, and precision, and suitable for
Nifekalant therapy drug monitoring and pharma-
cokinetic studies. The whole experiment process
was smooth, no adverse reaction occurred.
REFERENCES
Kondoh, K. Haohimoto, H. Nishiyama, H. et al. 1994.
Effects of MS-551, a new class III antiarrhythmic
drug, on programmed stimulation-induced ventricular
arrhythmias, electrophysiology, and hemodynamics in
a canine myocardial infarction model. J Cardiovasc
Pharmacol. 23(4) 1994. 675–679.
174
CMEEE_book.indb 174
Kamiya, J. Ishii, M. Yoshihara, K. et al. MS-551: Pharma-
cokinetical profile of a novel class III antiarrhythmic
agent. Drug Development Research. 30 1993.37–44.
Donald, K. et al. Inhibition of ATP-sensitive potassium
channels in cardiac myocytes by the novel class III
antiarrhythmic agent MS−551. Pharmacology & Toxi-
cology. 77 1995. 65–70.
Kamiya, J. Ishii, M. Katakami, T. et al. Antiarrhythmic
effects of MS-551, a new class III antiarrhythmic
agent, on canine models of ventricular arrhythmia.
Jpn J Pharmacol. 58(2) 1992. 107–115.
3/20/2015 4:11:59 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Research of over-voltage in air-core reactor using Waveform

Relaxation based on Lanczos

L.M. Bo, B. Bao & Y. Xu

North China Electric Power University, Baoding, China

ABSTRACT: This paper provides a method to using Waveform Relaxation (WR) to solve the circuit
equation based on the model. This model and algorithm could be used in analysis of internal over-volt-
age of air-core reactor winding under lighting. However, as the coupling between the turns of winding
becomes stronger, the WR algorithm either fails to converge or the number of iterations required for con-
vergence increases. In this paper, the Lanczos algorithm is used through analysis of the coupling between
the turns of winding, as the result, the number of iterations reduced significantly. At last an example is
presented which demonstrates the accuracy and efficiency of the proposed model and method.

Keywords: Waveform Relaxation; Lanczos algorithm; winding equipment; reactor

1 INTRODUCTION voltage distribution in the reactor under lightning.

Air-core reactors are commonly used in current
limiting applications, harmonic filters, reactive
power compensators, and so on. Due to its installa-
tion and maintenance simple, linear, and low oper-
ating costs, air-core reactors have been developed
rapidly and used widely in electric power systems
[1]. So the research on the reactor is gradually
coming into view. While during 2010–2011, many
faults, such as insulation aging and fire occurred
on the 35 kV shunt reactors in the Yunnan Power
Grid. Figure  1 shows the burned severity of a
35 kV reactor. So the safe operation of the reac-
tor becomes an important issue and it is helpful
for studying the faults of reactors to analyze the
Figure 1. Burned severity of a 35 kV reactor.
Taking the number of turns in reactor, the calcula-
tion is difficult because of high order matrix. So,
we use the Waveform Relaxation (WR) method
to solve the equation. WR is a decoupling tech-
nique of large systems, which was first applied in
circuit simulation [2]. The WR method consists of
a “divide-and-conquer” approach, i.e., in differen-
tial equation levels WR straightaway decouples a
large system into small transient subsystems. This
approach allows each decoupled subsystem to be
independently solved with its own time-step length
and therefore latency and multi-rate behaviors of
stiff systems can be effectively exploited [3]. The
WR has been first used in the time domain circuit
simulation by the timing simulator MOTIS [4].
This approach has later been modified and imple-
mented in other mixed-mode sim7J.latws such as
SPLICE [5], DIANA [6] and SAMSON [7]. The
particular association of relaxation with the con-
ventional numerical methods used by these simula-
tors has given rise to a new area of time domain
simulation called the timing simulation.
However, the convergence rate of WR algo-
rithms depends on the nature of coupling between
the partitioned lines. Therefore, as the coupling
between the lines increases, the number of itera-
tions required for WR convergence also increases.
To address this problem, a new WR with Lanczos
algorithm for tightly coupled interconnects is pre-
sented in this paper.
This paper is organized as follows. Section  2
describes the WR method and Section 3 describes
the Lanczos algorithm and takes the Lanczos

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CMEEE_book.indb 175 3/20/2015 4:11:59 PM

 algorithm into the WR method during its itera-
tion. In Section 4, a detailed case is introduced to
prove the WR method and when combined with
the Lanczos algorithm it is more better than the
traditional WR.
2 WAVEFORM RELAXATION
The WR method is an iterative method for analyz-
ing nonlinear dynamical systems in the time domain.
The method, at each iteration, decomposes the sys-
tem into several dynamical subsystems each of which
is analyzed for the entire given time interval [8].
We consider dynamical systems which can be
described by a system of mixed implicit algebraic-
differential equations of the form
⎧ F ( y , y, u ) = 0
⎨ (1)
⎩E ( y(0 ) y0 ) = 0
where y(t ) ∈R p is the vector of unknown variables
at time t, y (t ) ∈R p is the time derivative of y at
time t, u(t ) ∈Rr is the vector of input variables
at time t, y0 ∈R p is the given initial value of y,
F : R p R p Rr → R p is a continuous function,
and E ∈ R n × p , n ≤ p is a matrix of rank n such that
Ey(t ) is the state of the system at time t.
The relaxation process is an iterative process. For
simplicity two most commonly used types of relaxa-
tion namely the Gauss-Seidel WR and Gauss-Jacobi
WR. The relaxation process starts with an initial guess
of the waveform solution of the original dynamical
Equations (1) in order to initialize the approximate
waveforms of the decoupling vectors. For the GS
relaxation, the waveform solution obtained by solv-
ing one decomposed subsystem is immediately used
to update the approximate waveforms of the decou-
pling vectors of the other subsystems. In GJ WR, all
waveforms of the decoupling vectors are updated at
the beginning of the next iteration. The relaxation is
carried out repeatedly until satisfactory convergence
is achieved. This process could be expressed by the
following Equations [9–11].
Since Lanczos’s seminal paper [12] in 1950, despite
some early setbacks about the applicability of the
method in computers in finite precision arithme-
tic, the method found its way into many aspects of
science and engineering. This method could trans-
form symmetric matrix into triple diagonal matrix
by the matrix consisting of orthogonal vectors.
So, the storage occupied by the Lanczos method
is tiny and the computing speed is fast. It is very
useful in solving the large sparse symmetric matrix
equation. The following will introduce this method
through solving an equation.
Assume the equation we wish to solve is
Ax = b (3)
where A is symmetric, positive definite and of order
n, x is variables, and b is constant coefficient.
QnT AQQn Tn , where Qn is an orthogonal matrix.
Therefore, we can evaluate the inverse of A as
1 −1
A QnTn QnT (4)
and find the exact solution
x A−1b QnTn 1QnT b (5)
Based on the Lanczos method, the circuit equa-
tion of the reactor could be expressed as follows.
Figure  2 shows the structure of a reactor and
Figure  2 shows the circuit model of one turn of
the reactor. From Figure  3 the controlled volt-
age source um represents the coupling between the
inductances of turns, the controlled current source

F (u, v, t ) = f v1, v2 , ..., vi 1 ui , vi 1 vn , t )

(Gauss-Jacobi WR)
R
F (u, v, t ) = f u1, u2 , ..., ui 1 ui , vi 1 vn , t )
(Gauss-Seidel WR) (2)

3 LANCZOS WAVEFORM RELAXATION

The method of Lanczos is probably one of the

most influential methods of computational math-
ematics in the second half of the 20th century. Figure 2. Structure of reactor.

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CMEEE_book.indb 176 3/20/2015 4:12:00 PM

 ⎧ ⎡ P11 0 ⎤ ⎡ 0 P12 ⎤
⎪P=⎢ ⎥−⎢ T ⎥
⎪ ⎣ 0 P22 ⎦ ⎣ P12 0 ⎦
⎨
⎪ ⎡Q11 0 ⎤ ⎡ 0 Q12 ⎤
⎪Q = ⎢ 0 Q ⎥ − ⎢QT ⎥
⎩ ⎣ 22 ⎦ ⎣ 12 0 ⎦

Putting them into (8), we can get

n +1 n +1
⎡ P11 0 ⎤ ⎡ X1 ⎤ ⎡ 0 P12 ⎤ ⎡ X1 ⎤
Figure 3. Circuit model. ⎢ 0 P ⎥ ⎢ n +1 ⎥ − ⎢ T ⎥ ⎢ n +1 ⎥
⎣ 22 ⎦ ⎢
⎣ X 2 ⎥⎦ ⎣ P12 0 ⎦ ⎢⎣ X 2 ⎥⎦
⎡Q11 0 ⎤ ⎡ X1 ⎤ ⎡ 0 Q12 ⎤ ⎡ X1 ⎤
n n

im represents the coupling between the capacitances =⎢ ⎥ ⎢ n⎥ − ⎢ T ⎥⎢ n⎥ (9)

⎣ 0 Q22 ⎦ ⎢⎣ X 2 ⎥⎦ ⎣Q12 0 ⎦ ⎢⎣ X 2 ⎥⎦
of turns.
Through the circuit model, the KCL and KVL
equations of the reactor are If we take the first subsystem into account, then
we can put X1n +11 1 VmY1n +11,r 1 into Equation (9)
⎧ duu n
⎪⎪ C dt + Ai b = is
n +11 r 1
VmT 11VmY1 VmT ( P12 X 2n +1 r Q11X1n Q1122 X 2n )
⎨ (6)
⎪− L dii b + AT u = 0 If Tm VmT P11Vm , then
⎪⎩ dt
n

TmY1n +11,rr 1
= VmT ( P12 X 2n +1 r + 11
n
1 − 12
n
2 ),
where C is node capacitance matrix, L is branch
inductance matrix, A is incidence matrix, un, ib are
node voltage and branch current, and is is node where Tm is tri-diagonal matrix. Another subsys-
injection current. tem is just like the first subsystem.
Define

⎧ ⎡C 0 ⎤ 4 DISCUSSION AND ANALYSIS OF CASE

⎪M = ⎢
⎪ ⎣0 L ⎥⎦ Figure 4 shows a 35-turn winding and its equiva-
⎨
⎪N = ⎡ 0 A⎤ lent circuit model is shown in Figure  9. Taking
⎪ ⎢ T ⎥
⎩ ⎣A 0⎦

then Equation (6) will become

dX
X
M + NX = 0 . (7)
dt
Equation (7) could be solved by the BDF
method

⎛ M N ⎞ n +1 ⎛ M N ⎞ n
⎜⎝ + ⎟X = − ⎟X (8)
Δt 2 ⎠ ⎝ Δt
Δt 2 ⎠

If

⎧ ⎛M N⎞
⎪⎪P = ⎝ Δt + 2 ⎠
⎨
⎪Q = ⎛ M − N ⎞
⎪⎩ ⎝ Δt 2 ⎠

According to the WR method, the system is par-

titioned into two subsystems, then P and Q would
become Figure 4. 35-turn winding model.

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CMEEE_book.indb 177 3/20/2015 4:12:03 PM

 into account the clarity of the circuit, only mutual
inductances and capacitances between adjacent
turns are marked in Figure  5, but it should be
noted that the mutual inductances and capaci-
tances between each turn and node are existed.
Inject the standard 1.2/50 μs lightning which is
shown in Figure  6 into the head of the winding.
Then the voltage waveforms of first to fifth turns
are shown in Figure 6.
Figure 6 shows the comparison of three meth-
ods and Figure 7 shows the iterations of WR and
Lanczos WR methods.
From the figures, the iteration of the Lanc-
Figure 7. Overvoltage waveform.
zos WR method is less than the traditional WR
method, as the precision is high. That is to say, the

Figure 8. Iterations of two methods.

convergence property of the Lanczos WR method

is better than WR without Lanczos.

5 CONCLUSION

This paper presents a new WR with Lanczos algo-

rithm for tightly coupled interconnects. Based on
the Lanczos WR method, we deduce the equation
of the reactor circuit model and prove the advan-
Figure 5. Equivalent circuit. tage of the Lanczos WR method through a case.
Based on the result of this paper, some further
studies will be implemented, such as over-voltage
calculation and insulation diagnosis method of the
reactor based on the Lanczos WR method.

REFERENCES

[1] Qing Li, Bernard, J.A, Design and evaluation of an

observer for nuclear reactor fault detection, Nuclear
Science, IEEE Transactions on, vol.49, no.3, Jun 2002:
1304–1308.
[2] Lelarasmee, E., Ruehli, Albert E., Sangiovanni-
Vincentelli, AL., The Waveform Relaxation Method
for Time-Domain Analysis of Large Scale Integrated
Circuits, Computer-Aided Design of Integrated Cir-
cuits and Systems, IEEE Transactions on, vol.1, no.3,
Figure 6. Lightning. July 1982:131–145.

178

CMEEE_book.indb 178 3/20/2015 4:12:06 PM

 [3] Yao-Lin Jiang, A general approach to waveform relax-
ation solutions of nonlinear differential-algebraic
equations: the continuous-time and discrete-time
cases, Circuits and Systems I: Regular Papers, IEEE
Transactions on, vol.51, no.9, Sept. 2004: 1770–1780.
[4] B.R Chawla, H.K. Gummel and P. Kozak,
MOTIS—An MOS Timing Simulator, IEEE Trans-
actions on Circuits and Systems, Vol. CAS-22,
December1975: 901–910.
[5] A.R Newton, The Simulation of Large Scale Inte-
grated Circuits, IEEE Trans. on Circuits and Systems,
Vol. CAS-26, September 1979: 741–749.
[6] G. knout and H. De Man. The use of threshold func-
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macromodeling of LSI circuits, IEEE Solid-State
Circuits Society, Vol. SC-13, June 1978: 326–332.
[7] K. Sakallah and S.W. Director, An Activity-Directed
Circuit Simulation Algorithm, IEEE Proceedings
Int. Conference on Circuits and Computer, New York,
October 1980: 1032–1035.
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[8] Lelarasmee, E., Ruehli, Albert E., Sangiovanni-
Vincentelli, AL., The Waveform Relaxation Method
for Time-Domain Analysis of Large Scale Integrated
Circuits, Computer-Aided Design of Integrated Cir-
cuits and Systems, IEEE Transactions on, vol.1, no.3,
July 1982: 131–145.
[9] U, Miekkala, O. Nevanlinna. Convergence of
dynamic iteration methods for initial value problem
[J] SIAM Journal on Scientific and Statistical Com-
puting, 1987, (8).
[10] Olavi Nevanlinna. Remarks on Picard-Lindelöf
iteration [J]. BIT, 1989, (2).
[11] Miekkala U. Dynamic iteration methods applied to
linear DAE systems [J] Journal of Computational
and Applied Mathematics, 1989, (2).
[12] Lanczos C. An interation method for the solution
of the eigenvalue problem of linear differential and
integral operators. Journal of the National Bureau of
Standards, 1950, 45: 255–282.
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

The design of automatic sorting and staking system based

on PLC S7-200

L.Y. Fang & X.Y. Zhou

Guangdong AIB Polytechnic College, Guangzhou, China

F.G. Wu & X. Zhang

Guangdong University of Technology, Guangzhou, China

ABSTRACT: In order to reduce the energy consumption as well as improve production efficiency in
automated production lines, this paper presents an automatic sorting and staking system, with feeding,
transportation, sorting and staking of Three Degrees Manipulator (3DM), based on the technology of
PLC, servo, variable-frequency drive. The experimental implementation has proved that the conveyor
belt driven by PLC could not only improve the working effeciency and reduce the energy consumption,
but also ensures safe and reliable transfer of the products. In sorting–stacking process, the servo motor
used to control 3DM can achieve much more accurate position control. Meanwhile, this kind of system
provides the scalability and flexibility to support different stacking requirements of products, it can be
applied to the logistics center and sorting system of modern production line.

Keywords: PLC; automatic sorting and staking system; three degrees manipulator

1 INTRODUCTION inconvenience for maintenance[3]. The present paper

According to certain principles to achieve vari-
ous products to move orderly is the traditional
sorting. Sorting operation of traditional sorting
is labor-intensive, time-consuming and the high-
est costs process, it accounts for about 40%–60%
of distribution center’s workload[1]. With the rapid
development of modern science and technology,
automated and technical processing mode gradually
replaces manual processing mode, and becomes the
main way of modern sorting. It has become one of
the necessary facilities and a key factor to improve
logistics efficiency in an advanced distribution center
of developed countries[2]. For an enterprise, whether
it is large or small, how to face fierce market com-
petition and to improve the efficiency of production
that is the important task, so it strongly demands
highly automated production line. PLC control
technology, as a kind of highly automated process
control technology, gets more and more widely used
in the production line. However, the PLC industry
in our country still belongs to the developing stage,
many aspects are not perfect enough, cannot be very
good providing technical support for the industrial
development of our country. At present, most of the
domestic automatic identification sorting system is
controlled by relay, but it is poor in precision con-
trol and reliability, so it brings on high failure and
aims at these questions to discuss a new products’
sorting—stacking system based on PLC S7-200,
it contains the process of feeding, transportation,
sorting and stacking. Through many experiments
and debugging, it is confirmed that the system is
economic, reliable and highly flexibe for differ-
ent sorting requirements of the production line.
Simply modified detection sensor can achieve sort-
ing different products, the system can be applied to
logistics center and sorting system of modern pro-
duction line.
2 SCHEMATIC DESIGN[4–10]
Through the comprehensive analysis of various
automatic sorting system, in this paper, the auto-
matic sorting and staking system is divided into
four parts, it contains the process of feeding, trans-
portation, sorting, and stacking of 3DM. Figure 1
illustrates the design scheme.
The description of working process is as fol-
lows: after feeding system sends out the products,
the conveyor belt starts to run to send them to the
end of belt. During the transportation, Sensors on
the conveyor belt distinguish the products of black
metal and white plastic; if they are white plastic
products, the pushing rod will push them away.

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CMEEE_book.indb 181 3/20/2015 4:12:07 PM

 there is product in the hoppers, the feeding cylinder
is controlled by throttle valve. Figure 1 illustrates
the physical map of the fending system.

2.2 Transportation system[14,15]

The main functions for the transportation sys-
tem is to send the products to the end of the belt.
During the transportation, sensors on the conveyor
belt distinguish the products of black metal and
white plastic; if they are white plastic products,

Figure  1. The design scheme of automatic sorting–

staking system.

Figure 4. The physical map of 3DM.

Figure 2. Feeding system.

Figure 3. Functional block diagram of conveyor belt.

Figure 5. Physical map of diagram stacking shelves.

Meanwhile, the black metal products will be trans-
ported to the end of belt and 3DM comes and
grabs the products to stacking shelves, the next
cycle will begin after the completion of this work-
ing process. Each functional block is introduced as
follows.

2.1 Fending system[11–13]

The main functions of the feeding system is to
automatically push the products in hoppers to the
conveyor belt, Then the belt transports them to
other units. Magnetic induction sensor is used to
determine whether the feeding rod to the back stops
unit, fiber optic sensor is used to detect whether Figure 6. Structure of 3D stacking shelves.

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CMEEE_book.indb 182 3/20/2015 4:12:07 PM

 the pushing rod will push them away. According
to the different sorting requirements of production
line, the I1.1, I1.3, I1.4 shown in Figure 1 can be
replaced by other sensors.
The conveyor belt is driven by a three-phase
asynchronous motor (3PAM) whose speed is
adjusted by the Variable-Frequency Drive (VFD).
The PLC connects the input terminal of VFD’S
multi-velocity to realize a variety of speed control
for a conveyor belt. Figure 3 shows the functional
block diagram.
2.3 Sorting and staking system of the 3DM[16–18]
The main functions for the 3DM are to grab the
products and move to stacking shelves. It has the
three axis, X, Y, Z axes. The position of X axis is
controlled by the servo controller whose pulses are
generated by the EM253[19]. Pulse quantity deter-
mines the movement distance of X axis. The posi-
tion of Y axis is controlled by the servo controller
whose pulses are generated by the Q0.0 of PLC
S7-200. The position of Z axis is controlled by the
stepper motor driver whose pulses are generated by
the Q0.1 of PLC S7-200. Figure 4 shows the physi-
cal map.
2.4 Staking system[20]
The main functions of the stacking shelves are
used for stacking black metal products, there
are 3 * 3 stacking position, it is a combined type
and the height of each shelf is different. It can
be adjusted in three directions, if we adjust the pal-
let, the products can be put in different ways.
Table 1. The allocation of I/O points of automatic sorting and staking system.
Input F description
I0.0 Origin of Y axis
I0.1 front stop unit of Y axis
I0.2 back stop unit of Y axis
I0.3 Origin of Z axis
I0.4 up stop unit of Z axis
I0.5 Down stop unit of Z axis
I0.6 Examine product
I0.7 back stop unit of fending rod
I1.0 back stop unit of pushing rod
I1.1 The end of belt
I1.2 identify posture
I1.3 Identify material
I1.4 Identify color
I1.5 fault signal of VFD
I2.0 Sudden button
I2.1 start button
I2.2 stop button
CMEEE_book.indb 183
3 PLC PROGRAM DESIGN
3.1 Selection of PLC and I/O allocation[5]
PLC is the core component of control system,
it plays an important role for technical and eco-
nomic indicators of the whole control system to
select the correct PLC. In the selection, we should
consider on cost-effective performance and multi-
mission adaptability. Siemens S7-200[4,9] has strong
function, advanced program structure, easy-to-use
programming software, rich man–machine inter-
face, etc. It is suitable for all walks of life, all kinds
of detection, monitoring and control automation.
It has a very high price, because it can replace the
simple or more complex relay control, includ-
ing machine tools, mechanical power facili ties,
civilian facilities, and environmental protection
equipment.
This paper selects S7-200, CPU226CN, there
are 24 digital inputs and 16 digital outputs, it can
meet I/O point requirements[8] of the whole system.
Table 1 shows the allocation of I/O points.
3.2 Program design of PLC
3.2.1 The program design of the fending
system[11]
In writing feeding programs, you should pay atten-
tion to three issues: (1) time delay problem of feed-
ing (2) the locking problems of feeding cylinder.
(3) the adjustment of the optical fiber sensor. If the
feeding cylinder pushes over and over again in a
short time. You will have the three ways to deal with
it. (1) adjust the delay time of feeding (2) observe
optical fiber sensor (3) whether the fending valve is
Output Functional description
Q0.0 pulse input of Y axis
Q0.1 pulse input of Z axis
Q0.2 direction of Y axis
Q0.3 direction of Z axis
Q0.4 clamping and loosening of Finger cylinder
Q0.5 scaling of fending cylinder
Q0.6 scaling of pushing cylinder
Q1.0 the red indicator light
Q1.1 the green indicator light
Q1.2 alarm indicator lamp
Q1.3 forward of VFD
Q1.4 backward of VFD
Q1.5 High speed of VFD
Q1.6 Low speed of VFD
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3/20/2015 4:12:08 PM
 pushing too fast. Figure 7 illustrates programs of
the feeding system.

3.2.2 The program design of 3DM[16,17]

The 3DM can move in three different axes, it is the
X, Y and Z axes, respectively. By controlling three
axes of 3DM, the products can be stacked in any
position of 3D stacking shelves. In this paper we
take the Y axis programming for example.
The position of Y axis is controlled by the servo
controller whose pulses are generated by the Q0.0

Figure 9. The flow charts of the whole PLC program.

of PLC S7-200 CPU226CN. Siemens CPU226CN

configures two built-in pulse generators, which are
Figure 7. The program design of feeding system.
PTO-pulse train output and PWM pulse-width
modulation output. The maximum pulse frequency
for both is 100 kHz, they output by Q0.0 and Q0.1,
respectively.
In this paper, we use PTO configuration wizard
in S7-200 step 7 programming software to gener-
ate some subprogram, by calling the subprogram
directly to write the Y axis motion program. Setting
the direction and position in the envelope can con-
trol the movement of the Y axis. Figure 6 shows the
products to be stacked to nine different positions,
so we need to set three envelopes for Y axis, the
products of 147, 258, and 369 should define three
different envelopes, respectively. Figure  8  shows
the program.

3.3 The flow charts design

of the whole PLC program
In order to present the logic control and sequence
of steps clearly, we write a complete program flow
chart of delivery and staking process of a prod-
uct. Figure  9  shows the program flow chart; the
method for other products is identical, just change
the number of envelopes of the XYZ axes to real-
ize the different position.

4 CONCLUSION

The research of this paper is tested on SUKEY-II,

which are assessment devices of the PLC designer.
Figure 8. The program design of Y axis. The result shows that it can achieve a fully

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CMEEE_book.indb 184 3/20/2015 4:12:08 PM

 automated sorting–stacking process. It also proves
that the conveyor belt is driven by Siemens S7-200
PLC, with VFD in the transportation module, can
save electricity and energy, is comfortable, has long
life, safe and reliable, mute, etc. Installing pho-
toelectric encoder in the output of 3PAM may
achieve precise control to remove inferiors. In the
sorting—stacking process, the servo motor used
to control 3DM can achieve much more accurate
position control.
The result further shows that the system has a
high flexibility. In the actual production line, other
sensors can replace the color and metal sensor to
implement the different sorting tasks. The models
of 3DM can be upgraded to robot models to real-
ize spatial localization of any position.
REFERENCES
[1] Yan. Y.Q. 2012. Automatic sorting system based on
PLC. Journal of Mechanical& electrical engineering.
9.1286–1289.
[2] Jia. Z.X, Liu. K. 2004. The planning and design of
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[3] Zhai. S.C. 2013. Shallow theory on the development
trend of PLC of automation control devices. Journal
of shandong industrial technology. 6.90–103.
[4] Automation and drives division of Siemens. 2008.
Siemens PLC S7-200 operating instruction manual.
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[5] Liao. C.C. 2007. programming and applications of
PLC S7-200. China Machine Press. beijing. 23–256.
[6] Wu. Z.M. 2009. Integrated Application Course of
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[8] Haval. K. 2000. Schemes to predigest the number
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[9] Simosi. A. 2002. The method of improving the
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[11] Gao. L.Y. 2011. The research of Automatic
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[12] Yu. H. 2011. Application of PLC in automatic sort-
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[13] Wang. H. 2011. A Design of PLC-based Hydrauli
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[15] Automation and drives division of Siemens. 2007.
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[16] Li. L. 2009. Fetching manipulator on the target
object. Master’s thesis of Xihua university. 1–72.
[17] Zhou. Z.R & Wang. L. 2009. A system design to
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[18] Luo. J.H. 2013. Siemens S7-200 in application of the
manipulator reconstruction. Journal of Coal Mine
Machinery. 34(3): 61–65.
[19] Automation and drives division of Siemens. 2005.
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[20] Lu. Z.Z. 2008. The control system of automatic bag-
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Study of dynamic optimized allocation policy for AGC regulation

power based on fuzzy-Q learning algorithm

H. Qian
Shanghai University of Electric Power, Shanghai, China
Shanghai University, Shanghai, China

L. Zhou, W.X. Jin & J.B. Luo

Shanghai University of Electric Power, Shanghai, China

ABSTRACT: The unit characteristics cannot be fully described in the multi-objective optimized alloca-
tion of Automatic Generation Control (AGC) regulation power; therefore, this paper proposes the optimal
allocation approach based on the reinforcement Q-learning. With the AGC system, the “uncertain sto-
chastic system”, combined with the ACE adjusting dead zone and CPS evaluation standard, the Markov
Decision Process (MDP) model is established for optimized allocation of AGC regulation power; the
Q-learning approach is introduced to the study of MDP’s optimal value function. The simulation results
show that the proposed allocation strategy can adapt to the changing requirement of grid environment.

Keywords: AGC; Q-learning algorithm; dynamic optimized allocation of regulation power

1 INTRODUCTION voltage reactive power control, power market and

Automatic Generation Control (AGC) is an
important technology to balance the power system
generation and load and to ensure the frequency
quality of the power system, security, stability, and
economics of the power grid operation. In recent
years, the CPS standards is used for the assessment
of AGC control performance in many provinces’
interconnected power grid in China. This imple-
mentation means that the needs for stability and
rapidity are put forward to AGC on the premise of
stability of the power grid. Growing expansion of
power grid scale and more renewable intermittent
wind power and large-scale photovoltaic power
connected to the electricity grid increase the uncer-
tainty of power grid and the random volatility of
load. Therefore, the AGC system can be seen as an
“uncertain stochastic system”. At present, a lot of
research has studied periodicity AGC as a discrete-
time Markov Decision Process (MDP). Due to the
control targets and the random sequential decision
characteristics presented in the process of AGC,
MDP theory is put forward to study the dynamic
optimization allocation problem for AGC regula-
tion capacity.
Reinforcement issue is an important branch
of machine learning, and is also an important
method of MDP. At present, the reinforce-
ment learning has a certain application in AGC,
power information network, and other fields [1].
In [2], concerning complex nonlinear constraints
such as generator unit rate of AGC system model
in the process of reinforcement learning algo-
rithm, fully embodies the Q-learning algorithm
does not depend on the characteristic of system
model. Q-learning algorithm is applied to opti-
mal allocation of AGC regulation capacity, and
regulating margin joins into the reward function
in [3]. Furthermore, the requirements for multi-
objective control of allocation of AGC regulation
capacity is considered in [1] and [4], and regulat-
ing cost is introduced into reward function, but
the size of the weight cannot reflect environmen-
tal changing.
In this paper, the MDP model is established for
optimized allocation of AGC regulation power,
and multi-objective reward function based on
rapidity and economics of regulation performance
is represented. The function is divided into dead
zone and regulating zone in principle, and com-
bines CPS standard to gain weight value of multi-
objective reward function by using fuzzy function.
Then optimized allocation policy is found by the
Q-learning algorithm. Finally, dynamic optimized
allocation policy for AGC regulation capacity
based on reinforcement Q-learning and fuzzy mul-
tiple objectives contributes to robustness and eco-
nomics of power systems.

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 2 MDP MODEL FOR OPTIMIZED When am = (am1, am2, …, ami ) (a ∈ A ), regulating
ALLOCATION OF AGC REGULATION capacity allocated to ith unit can be calculated by
POWER Equation (3):

System composition of AGC is shown in Figure 1. ΔPri (t ) ami ΔPr (3)

As is shown in Figure  1, optimized alloca-
tion problem of AGC regulation power can be
described as follows. Since power grid dispatching Due to the limited number of AGC units
center can access the different frequency Δf, trans- involved in regulating, so here the available action
fer capability of tie line ΔPtie in the each period set A is limited to discrete values.
of AGC control, ACE is concluded and sent to
the AGC controller, and then the total regulating 2.3 Reward function
capacity ΔPr is calculated.
Combining the actual running status of each The purpose of AGC is to maintain Area Control
units and grid condition, dispatching center Error (ACE) at zero. At the modern interconnected
obtains distribution factor of each unit by using power grid environment, to meet the requirements
optimization algorithm, such as target regulating of the CPS standard, reward function is ordered to
power ΔPri provided by each unit is obtained. reflect the tracing performance of generator units
AGC is a periodic control system, therefore, it with performance and consider economy of the
is easy to time discrete for allocation algorithm of regulation in conformity with the CPS standard as
AGC regulation power. Assume observing system far as possible.
at time t1 t2 , …tn , … , optimized allocation prob- To improve the frequency quality in optimized
lem of AGC regulation power studied as a finite allocation, dead zone of ACE is necessary to con-
quadruple MDP (called MDP) model. sider when a load disturbance occurs during a
dispatching plan. It is prescribed that maximum
MDP (S , A, R,T ) (1) reward is obtained when ACE in the scope of dead
zone which conforms to the control requirements,
whereas reward value is given by multi-objective
2.1 Possible states S
reward function when ACE in the scope of
Due to regulating capacity of AGC, units are regulating zone. Then reward function is designed
based on total regulating capacity ΔPr gained by as multi-objective piecewise function given as
AGC, and the regulating capacity of AGC unit is Equation (4):
limited, so division scope of ΔPr is limited. Thus
the discretization of ΔPr into limit state values can k
R
be got and limit state space.
⎧ ⎡ ⎛ 2
⎤
k⎞ ⎛n k⎞
n
2.2 Available action sets A ⎪ ⎢ ⎜ΔP
⎪ ⎢
Pr
k −1
k−
∑ PGi⎟ ⎜ ∑ Wi ⎟⎥
ci ΔW
Action sets A consists of distribution factor of = ⎨1 − ⎢ω1 ⎜ i =1
⎟ + ω 2 ⎜ i =1 k ⎟⎥ , ACE ≥ δ
each unit α: ⎪ ⎣ ⎝ Pb
k
⎠ ⎝ Cb ⎠⎥⎦
⎪1, ACE < δ
⎩
A = {(a11, …,, a1i ) (an1, …, ani ) |
(a
(4)
N ⎫
0 ≤ ani ≤ 1, ∑ ani = 1⎬
n =1 ⎭
(2) where ω1 is the rapidity weight of unit tracing;
ω2 is the economics weight of unit cost; ΔPr is
total regulating power; ΔPGi is actual regulat-
ing power of ith unit; ci is unit regulating cost
of each unit, yuan/MW ⋅ h−1; ΔWi is generator
power of ith unit in a control period, MW ⋅ h−1;
Pb is base power of current system, MW; Cb is
generator cost of base power, yuan; δ is thresh-
olds of ACE’s dead zone.
Through building membership function of
weight and fuzzification, weight in the multi-
objective reward function is determined. Combined
with CPS standard, the built membership function
of weight in multi-objective reward function is
Figure 1. System composition of AGC. described as follows.

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CMEEE_book.indb 188 3/20/2015 4:12:09 PM

 When CPS < 100%, CPS1 assessment is unquali-
fied, so quick response of unit is needed to restore
CPS index to normal range. So smaller the CPS1 is,
the better the membership degree is. So falling kind
membership function can be used as fuzzy con-
straints set of rapidity weight ω1, as Equation(5)
shows:
⎧1, C S1 < 100
⎪ 200 − CPS1
ω1 = ⎨ , 100 < CPS1 < 200
⎪ 200 − 100
⎩ 0, C S1 > 200
whereas when the CPS1 > 200%, the ACE is posi-
tive for frequency quality of interconnected power
grid. The magnitude of the ACE need not be con-
sidered, but only the economics is taken into con-
sideration which means reducing relating cost as
far as possible. As a result, the bigger the CPS1 is,
the greater the membership degree becomes. Then
the rising kind membership function can be used
as fuzzy constraints set of economics weight ω2,
demonstrated as Equation(6),
⎧0, C S1 < 100
⎪ CPS1 − 100
ω2 = ⎨ , 100 < CPS1 < 200
⎪ 200 − 100
⎩1, CPS1 > 200
2.4 The state transition probability function
The next state s of AGC system’s dynamic fre-
quency response is due to current state sk and
action ak, and has nothing to do with last state.
Although both the actions and states are limited,
the dynamic system is described by a series of
probability models as Equation (7).
a
Pxy P ob ⎡⎣ xk = y xk = x,aak = a ⎤⎦ x, y X , a A
a
where Pxy is probability of state x transfer to state
by taking action α. Since there is not enough
knowledge to gain state transition probability,
Figure 2. Membership functions of weights.
CMEEE_book.indb 189
Q-learning is proposed to train optimal value func-
tion to avoid calculating transition probability
directly.
3 Q-LEARNING USED IN DYNAMIC
OPTIMIZED ALLOCATION
ALGORITHM FOR AGC REGULATION
CAPACITY
(5)
In this paper, Q-learning is studied for dynamic
optimized allocation policy for AGC regulation
capacity, and AGC regulating capacity optimally
allocated based on measurable information of the
AGC system. ΔPr is regarded as state input and the
state is divided according to actual AGC regula-
tion capacity. The action sets consist of distribu-
tion factor α and depend on the number of units
specifically involved in regulation, as shown in
simulation example. Reward function is defined in
Equation (4).
In Q-learning, the Agent depends on environ-
ment state s to choose an action a at the moment
t, and it observes instantaneous reward R and new
state s’, then updates Q according to (8) (α is learn-
ing factor to maintain convergences)
(6)
)Qt ( s, a ) + α [Rt
Qt (ss a ) (1 Qt s a ]
(8)
When an action can be chosen by the one with
the maximum Q value for the current state in the
Q-learning algorithm, this method is called greedy
policy π#:
π # ( ) argg max Q k ( , a ) (9)
a A
whereas there are risks of using this policy contin-
uously, the Agent may be bound in the action with
(7) maximum Q value in the early training, and ignores
researching for other existing action with more Q
value. Therefore, the approach of probability dis-
tributions is commonly used to choosing action in
Q-learning. This paper adopts pursuit algorithm to
construct the selection strategy. This method first
gives the same probability to any available action
under every state, namely:
1
ps0 (a ) = , ∀a ∈ A ∀s S (10)
A
In the initial phase of learning, the algorithm
chooses the action randomly. During the process
of learning, according to the change of the Q
function form, probability distribution of each
action updates as Equation (11).
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 ⎧ psk +1(ag ) = psk (ag ) + β ⎡1 − psk (ag ) ⎤
⎪ ⎣ ⎦ only if add the constraint set when the simulation
⎪ k +1
⎨ ps (a ) = ps (ag )(1 − β ), ∀a ∈ A, a ≠ ag
k
⎪ k +1
⎪ ps (a ) = psk (ag ), ∀a ∈ A, ∀s ∈ S , s ≠ s (11)
⎩ 4
psk (a ) represents the probability of taking action
a in the kth iteration, that is Pr ob( k ) = psk (a ).
β(0 < β < 1) is a constant. “explored” and “used”
for enough iterations, Qk will converge the prob-
ability of the optimal function Q# to 1. Finally a
matrix Q# presenting the optimal control policy is
concluded. Exploration policy is available for the
Agent in the early stages of learning policy, and
then gradually it transitions to the use type policy.
The algorithm aims to minimize the cumula-
tive variance between actual output of units and
regulating capacity and to minimize the regulat-
ing cost in a control period, yet has nothing to do
with backward state. So we take discount factor γ is
0.0001, β is 0.01, and α is 0.1. To sum up, Q-learn-
ing algorithm based on dynamic optimized alloca-
tion for AGC regulation capacity is described as
in Figure 3.
Q-learning algorithm has the characteristics of
independence on the model, and thus the limit that
included the rate of regulating and capacity of
Figure 3. Q-learning algorithm flow diagram.
190
CMEEE_book.indb 190
unit don’t have to demonstrated in the algorithm,
is built.
EXPERIMENTAL SIMULATION
AND ANALYSIS
4.1 The establishment of double areas’ simulation
model for AGC control system
This paper adopts load frequency’s control model
in the double area interconnected system as the
research object and related parameters shown
in Table  1. Gross rated capacity of the system
is 18,000 MW, load under normal operation is
12,000 MW, and AGC adjustable capacity is
6000 MW.
Instead of only one equivalent unit simulat-
ing the generation process in area 1 in the former
model, three units with different inertia (inertia
constant is Ts), power constrains, climbing con-
strains, and regulating cost are used for this simu-
lation model, and related parameters are shown in
Table 2. Since there is no load disturbance in area
2, one equivalent unit model remains. The simula-
tion is based on MATLAB/simulink.
4.2 Q-learning algorithm module
For simulating the Q-learning algorithm,
MATLAB/S-function module is used. Based
on AGC regulation capacity, the state space S
is divided into 12 discrete states as (−∞, −3000],
(−3000, −2000], (−2000, −1000], (−1000, −500],
(−500, −250], (−250, 0], [0, 250), [250, 500), [500,
1000), [1000, 2000), [2000, 3000), [3000, +∞).
Actions matrix A  =  {(0, 0, 1.0), (0, 0.1, 0.9), (0,
0.2, 0.8), …, (0, 0.9, 0.1), (0, 1.0, 0), (0.1, 0.9, 0),
(1.0,0,0)}, and there are 66 discrete action values.
Therefore, initial Q matrix is a zero matrix con-
taining 12*66 elements, and it is typed from Y0.
Since Q-learning algorithm remain studying in
choice at the initial stage of learning, and brings
about instability to system. The search of envi-
ronment to gain the optimal action policy, there
exists strongly random of action. So before prac-
tical operation, Q-learning algorithm must be
pre-learned for a period of time, it ensures that
the Q matrix is close to the optimal matrix Q#. In
pre-learn-phase, bigger disturbance added is con-
Table  1. Parameters of double area interconnected
system.
Tg/s Tt/s TP/s R/(Hz/MW) Kp/(Hz/MW) T12/s
0.08 0.3 20 1/7200 1/360 0.545
3/20/2015 4:12:12 PM
 Table 2. Related parameters of three units.

max min + −
Unit R PG PG Prate Prate cost Yuan
type TS/s Tg/s Tt/s Hz/MW /MW /MW /MW ⋅ min−1 /MW ⋅ min−1 /MW ⋅ h−1

I 180 0.1 0.3 1800 750 −750 120 −120 100

II 120 0.08 0.3 1800 750 −750 180 −180 150
III 60 0.05 0.2 3600 1500 −1500 450 −450 200

tributed to Q-learning algorithm access to actions

with all states. Based on the above, a continuous
step load disturbance whose period is 1000s and
amplitude is plus or minus 2000 MW is added into
area 1. After pre-learning, we go through enough
iterations (Q matrix is close to the optimal matrix
Q#), Q-learning algorithm could be used in prac-
tical environment. The AGC period is taken as
learning step size, 4 s is taken in this simulation.

4.3 Simulation of multi-objective piecewise Figure 4. Actual active power output.

optimized function based on Q-learning
In this simulation example, besides the simula-
tion study for multi-objective piecewise optimized
function based on Q-learning discussed above,
the average allocation strategy generally adopt
by actual AGC allocation policy is introduced to
compare with, and also multi-objective controlla-
ble AGC regulation power optimization allocation
described in [6] is introduced. Then taking advan-
tage of rapidity weight, allocation factor sought
out is (0.16, 0.24, 0.6) by genetic algorithm. The
simulation is experimented to allocate the AGC
regulation capacity under the same output of
AGC controllers. Figure 5. Δf of area 1.
The curves of actual active power output under
three allocation policies are given in Figure  4.
The simulation demonstrates that all of the three
allocation policies trace the load disturbance well
under small load disturbance, yet when bigger dis-
turbance occurs, the Q-learning algorithm rises
unit output to 2000 MW in 220  s, while genetic
algorithm uses 280 s and average allocation strat-
egy uses about 350 s. Obviously, Q-learning algo-
rithm allocation embodies outstanding advantage
in rapid tracing of load disturbance.
The curves of total regulating power of AGC
under three allocation policies are given in Figure 6.
Combined with changing condition of the fre- Figure 6. Total regulation power of AGC.
quency deviation, it is demonstrated that after
adding +1000 MW load disturbance, system fre-
quency returns to allowed value due to the under- strategy. The favorable tracing performance helps
standing of tracing performance of the Q-learning recover the frequency after larger disturbance. The
algorithm. So the changing amplitude of total reg- largest error of total regulation capacity and unit
ulation power with Q-learning algorithm is smaller output is only 35% of average allocation strategy
than genetic algorithm and average allocation and 20% of genetic algorithm. It is concluded that

191

CMEEE_book.indb 191 3/20/2015 4:12:13 PM

 more stable total regulation power could be gained
by optimized allocation policy based on Q-learn-
ing, rather than the traditional allocation policy.
The curve shows changing condition of system
performance evaluation index CPS1 by using the
three allocation policies under the above distur-
bances shown in Figure 8. It is analysis that policies
can remain value of CPS1 within qualified scope
when smaller disturbance occurs. When it comes
a larger load disturbance at the time 3000s, ACE
is quickly expanded. For recovery ACE to nor-
mal value, optimized policy based on Q-learning
is able to gain the instantaneous reward according
to changes of CPS’ value to choose proper action
and controls CPS1 within qualified assessment
indicators. Both average allocation strategy and
Figure 7. ACE of area 1.
Figure 8. CPS1 curve of area 1.
Figure 9. CPS1 curve of area 2.
192
CMEEE_book.indb 192
genetic algorithm are static optimization algorithms
so that distribution factors cannot adjust accord-
ing to the variation of CPS1. So the value of CPS
by using optimized policy based on Q-learning is
superior than using traditional allocation policies.
When load distribution decreases to zero suddenly,
value of CPS1 by Q-learning algorithm is smaller
than genetic algorithm. It is explained that because
of great output for large disturbance, ACE and fre-
quency deviation are not small, so value of CPS1
which was calculated by this two is small. From
the curves of CPS1 in area 2, it is concluded that
rapid recovery of frequency in area 1 contributes
to reduce the effect to area 2.
After 1000 MW load disturbance added dur-
ing the time of 1000s–2000s, the cost sequence
arranged from high to low is genetic algorithm
with 44,000 Yuan, average allocation strategy
with 38 and Q-learning algorithm with 34. Since
Q-learning response quickly to big disturbance
by increasing the distribution factor of high-reg-
ulating speed-units so that recover the frequency
rapidly. Although it increases cost for the unit with
high regulating speed, it makes units with better
economics involved in regulating soon when the
frequency returns to allowed values. It is evident
that the multi-objective piecewise optimized func-
tion based on Q-learning is able to dynamically
adjust distribution factors in an ever-changing
operation environment of power gird.
4.4 Simulation on changing dispatching plan
As shown in Figure  8, under current dispatch-
ing plan, when disturbance which is 2000 MW
is occurred in the system, value of CPS1  in area
1 greatly reduces, and beyond 100%, the minimum
value is allowed by assessment standard. So dis-
patching plan has to be changed when big distur-
bance emerges, and more units should be involved
in regulation. In practical, variable types of units
to complete different regulation, and undertake
different regulation quantity is taken consideration
into operation of AGC.
Therefore, the simulation is carried out to study
changing dispatching plan of the AGC system.
Add square waves with period is 2000s and ampli-
tude is 2000 MW to area 1. Under the first distur-
bance, Q-learning algorithm allocates power as the
consequence trained before. In the time of 3000s,
the second square wave comes, with the increase
of ACE, AGC system changes its dispatching
plan, increasing more AGC units good at rapidity
to regulation. The regulation speed of these units
increases to ±600 MW/min from ±450 MW/min.
The curves of units output and regulation power
are shown in Figures 10 and 11.
3/20/2015 4:12:14 PM

Figure 10. Actual output power.
Figure 11. Total regulation power of AGC.
From the diagrams (Figs. 10 and 11), Q-learning
algorithm could seek out the change of units’ char-
acteristic which is increasing regulation speed of
rapidity unit, and begins to update action policy
automatically. Changing of units’ characteris-
tic broke up the optimal Q matrix trained under
previous characteristic, and Q-learning algorithm
is carried on a new learning process so that large
fluctuation appeared in both output power of
units and total regulation power Pr. It is demon-
strated that the algorithm converges after training
for about three periods. Then the curve of output
power tends to smooth and the power curves do not
fluctuate as in the training. Obviously, the tracing
performance to load is better than before dispatch-
ing plans changes. But average allocation strategy
and genetic algorithm cannot change units’ char-
acteristic, even provide optimized distribution fac-
tors to adapt to the environmental change.
193
CMEEE_book.indb 193
5 CONCLUSIONS
1. Dynamic optimized allocation policy for
AGC regulation capacity based on Q-learning
and fuzzy multiple objectives could carry on
dynamic demand allocation quickly according
to load disturbances.
2. The simulation results show that multi-objec-
tives optimized policy based on Q-learning
and fuzzy could designe fuzzy multi-objectives
piecewise functions through reward function of
Q-learning, it takes both rapidity of frequency
recovery and economics of regulation into con-
sideration to realize multi-objectives optimiza-
tion. As a result, stability of power grid and
economic effect are improved.
3. Q-learning algorithm is a kind of reinforcement
algorithm with real-time online learning ability.
It is able to adapt to the changes of operation
environment, and provide real-time allocation
action, thus improving the adaptability and
robustness of optimal allocation of the AGC
regulation power to the whole power system.
REFERENCES
[1] Yu, T. & Zhou, B & Zhen W.G. Application and
development of reinforcement learning theory in
power systems. Power system Protection and Control,
2009, 37(14).
[2] Eftekharnejad S, FEliachi A. Stability Enhancement
Through Reinforcement Learning: Load Frequency
Control Case Study. in: 2007 IREP SymposiumBulk
Power System Dynamics and Control. 2007.1–8.
[3] Yu, T. & Wang, Y.M. & Liu, Q.J. Q-learning-based
dynamic optimal allocation algorithm for CPS order
of interconnected power grids [J]. Proceedings of the
CSEE, 2010(7).
[4] Yu, T. & Wang, Y.M. & Zhen, W.G. (eds). Multi-step
backtrack Q-learning based dynamic optimal algo-
rithm for auto generation control order dispatch.
Control Theory & Applications, 2011, 28(1):58–64.
[5] Bertsekas, D.P. & Tsitsikilis, J.N. Neuro Dynamic Pro-
gramming. Belmout, MA: Athena Scientific, 1996.
[6] Qian, H. & Yao, Y.M & Liu, G. Target-controllable
optimal dispatch for AGC regulation capacity. Jour-
nal of Shanghai University of Electric Power, 2013,
29(4):321–324, 329.
3/20/2015 4:12:15 PM
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Fault diagnosis of rolling bearing based on Fisher Discriminant Analysis

Wei-Bing Zhang, Chu-Guang Liang & Gang-Cheng Li

Department of Information Engineering, Hunan College of Information and Engineering, Changsha, China

ABSTRACT: This paper presents a fault diagnosis method of rolling bearing based on Kernel Fisher
Discriminant Analysis (KFDA). The basic idea of KFDA is to map the original space into a high dimen-
sion feature space via nonlinear mapping and then extract the optimal Fisher feature vector and discrimi-
nant vector to achieve the state monitoring and fault diagnosis of rolling bearing. The experiment result
shows that the KFDA method is able to recognize the fault patterns effectively.

Keywords: rolling bearing; fault diagnosis; pattern recognition; Kernel Fisher Discriminant Analysis
(KFDA)

1 INTRODUCTION nuclear learning to FDA. Making great use of the

The faultdiagnosis of machine aims at extracting
its running characteristic parameters to identify or
estimate which state the system is in. By establish-
ing the relationship between characteristic infor-
mation and status information to make an overall
judgment, the fault monitoring or diagnostic pro-
cedure essentially is a fault pattern recognition and
classification process[1].
In this, Fisher Discriminant Analysis (FDA)
is employed as the identification and classifica-
tion method of rolling bearing. However, FDA is
essentially a linear classification method, but the
signals of rolling bearings tend to be non-linear
and non-stationary. In view of this, we propose a
fault diagnosis method of rolling bearing based on
Kernel Fisher Discriminant Analysis (KFDA).
2 KFDA METHOD
2.1 Overview
The paper[2] describes the linear Fisher Discrimi-
nant Analysis (FDA) algorithm, which is a method
designed to reduce the number of feature dimen-
sions and supervise learning algorithm, in order to
set up a subspace (composed by all the projection
axes). All samples meet the minimum within-class
scatter and the maximum inter-class scatter in this
subspace. The projection coefficients of all samples
in these projection axes are used as the feature vec-
tors of samples then making use of these feature
vectors to identify the classification for samples.
KFDA is thought to be a new nonlinear character-
istics extraction method produced by introducing
idea of nuclear learning methods, first by a non-
linear mapping Φ , it maps the data of space R d
into a high dimensional kernel space and then does
the Fisher linear discriminant analysis in the high-
dimensional kernel space. Thus, the sample charac-
teristics obtained in high-dimensional kernel space
is non-linear with respect to the original space,
which is more conducive to classification.
2.2 Kernel Fisher discriminant analysis
and algorithms achievement for two types
of problems
1.2.1 Kernel Fisher discriminant analysis
Let be a nonlinear mapping from an input
space to a certain feature space: Φ : X → F .
By nonlinear mapping, the vector collection
in the input space X1 X 2 , …, X N is mapped to
Φ( 1 ),
), Φ((X
X 2 ), …, Φ(X N ) in the feature space. So
we can define the mean vector miΦ for the two types
of training samples in the feature space as
⎛ 1⎞
miΦ = ⎜ ⎟ ∑ Φ(X ) (1)
⎝ Ni ⎠ X X i
Ni represents the number of samples in class i
and N N1 + N2 , then the inter-class scatter matrix
of samples SbΦ is
SbΦ m1Φ − m2Φ )( m1Φ − m2Φ )T
(m (2)
the total with-class scatter matrix is
2
SwΦ ∑∑ X miΦ )( (X ) − miΦ )T (3)
i =1 X X i

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 Fisher discriminant analysis is done in the fea- α T Mα
ture space, the Fisher discriminant criterion is max (α ) = (11)
defined as: α T Hα

where
W T SbΦW
max F (W ) = (4)
W T SwΦW M (M1 − M 2 )(M1 − M 2 )T (12)

where W is the direction of the projection line. H ∑ Ki ( I Li )K iT (13)

Then optimal projection direction can be obtained i =1,2

from the above equation, namely

Among them, K i is a matrix of N Ni (i = , 2 ),
∗ representing the kernel matrix of type i and it
W (SwΦ )−1(m
( m1Φ m2Φ ) (5)
meets
the projection of Φ( ) on W * is ( ( )
i ) p,q k( p,Xq )
i

y W ∗T
Φ(X ) (6) (p , 2, , N ; q 1, 2, , Ni ) (14)

The formulas (1) to (6) are performed in the fea-
ture space. Due to a high dimension of feature space,
or even an infinite number of dimension, it is not
possible to directly calculate the optimal projection
direction. Reproducing kernel theory[3] of machine
learning shows that the above operation can be car-
ried out by the inner product kernel function defined
by the original space, not relating to a specific non-
linear mapping. So it is necessary for formula (4) to
be transformed so that it contains the inner product
operation of mapped data. Inner product operation
is represented by an appropriate kernel function.
(X i , X j ) (X i ) (X j )
Given that W can be represented by a linear
Φ( 1 ),
), Φ((X
X 2 ), …, Φ(X N ), that is to say
I is a unit matrix of Ni Ni , Li is a matrix of
Ni Ni and all its elements are 1 Ni .
Essentially, in the equation (11), α is the feature
vector of the matrix H 1M corresponding to the
largest eigenvalue. It can be directly obtained by
the following formula
α = H −1(M1 − M 2 ) (15)
To obtain W*, it’s essential to make H a posi-
tive definite matrix. To do this, simply adding a
quantity μ of the matrix H, that is replacing H
with H μ = H + μ I where I is a positive definite
(7) matrix. Finally, in the feature space, the projection
of Φ( ) on W is converted into the projection of
k ( , X ) on α . That is
N

N
y W T ⋅ Φ(X ) ∑ α j k (X j , X ) (16)
j =1
W ∑α i (X i ) (8)
i =1
This indicates that the conversion gets back to
combine formula (1) and (8), then we can get the data space.
For kernel Fisher discriminant analysis method,
N Ni demarcation threshold point y0 can be selected as
1
yi W T miΦ = ∑ ∑ α j k X j , X k(ω ) )
i

Ni j =1 k =1 N1m 1Φ + N2 m 2Φ
y0 = (17)
= α Mi (i = 1, 2 )
T
(9) N1 N2

where Mi is a matrix of N × 1 and ω i stands for the where N1 and N2 represent the number of first
sample of type i . And and second type of training samples respectively,
m iΦ (i , 2 ) is the average value of each type of the
⎛ 1 ⎞ Ni
( i)j (
= ⎜ ⎟ ∑ k X j , X k( i )
⎝ Ni ⎠ k =1
) projected samples and it is a scalar, then
N
1
(i , 2; j 1, 2, , N ) (10) m iΦ =
Ni
∑ ∑α j k X j ,X ) (18)
X ∈ω i j =1
Combining all these kinds of formulas and
through a series of matrix operations and trans- At last, projecting the pending samples in the
formation, formula (4) is equivalent to optimal projection direction to obtain the value

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 of y. Do classification according to the following
decision rule: if y  y0 , then it belongs to ω1, in
contrast, if y ≺ y0 it belongs to ω 2 .
2.2.2 Achievement of two types of Fisher
algorithms based on kernel:
Å Figure out ( i ) j due to formula (9). Take
a Gaussian radial basis function as kernel
function:
⎧⎪ 2 ⎫⎪
X X k( i)
k (X j , X k( i)
) exp ⎨− j
⎩⎪ 2σ 2
Ç Figure out H and H μ = H + μ I due to formula
(12) and (13).
É Solve α = H μ−1(M1 − M 2 ).
Ñ Find projection of various N types of training
samples yi W *T ⋅ Φ(X Xj k (X i , X j ), (j =
i
1, 2, …, N). i =1
Ö Figure out average vector m iΦ 1/Ni yi∑ y.
∈ω i i
Ü Find the threshold point y0 by the formula (17).
á Seek the projection point y for pending samples x.
à Do classification according to decision rule.
3 STEPS OF FAULT DIAGNOSIS OF
ROLLING BEARING USING KFDA
Applying KFDA method to the fault diagnosis of
rolling bearings, firstly we establish AR parameter
model using timing method for the vibration sig-
nals of rolling bearings in all kinds of states[4] in
order to transform the vibration signals into feature
parameters of time series model. Concentrating
all the information of the original time series
signals[5,6], the parameters of timing model can be
done KFDA analysis as feature vectors when the
bearing is running, so as to achieve the purpose of
recognizing all various types of states and diagnos-
ing faults of rolling bearings. Specific steps are as
follows:
Under normal bearing, the inner ring and outer
ring fault state respectively, M samples are per-
formed according to a sampling frequency fs and
3M vibration signals are obtained to be a sam-
ple. Establish AR model of order p for vibration
signals:
p
x ( n ) = − ∑ a p (i )x ( n i ) ε ( n )
i =1
where ε ( ) is the white noise signal whose mean is
zero and variance is σ 2 , p is the order of the AR
model. It is determined by the use of the Final Pre-
diction Error (FPE) guidelines[9]. ai (i , 2, , p )
is the autoregressive parameter of AR model with
CMEEE_book.indb 197
order p, which is estimated using auto-correlation
algorithm[9] and taking P = [a1, a2, … ap] as the fea-
ture vector. Working out ailt (t = 1, 2, 3; i = 1, 2, 3,
…, M; l  =  1, 2, 3, …, p) respectively in the same
state of M samples, where t represents the running
state of bearings (1 stands for normal situation, 2
stands for the inner ring fault and 3 stands for the
outer ring fault), i denotes i-th sample of a certain
state, l denotes the l-th parameters of AR model of
the i-th sample.
⎬.
⎭⎪ 4 EXPERIMENT RESULTS
The experiment is conducted utilizing the data of
the literature[7]. Vibration signals are detected using
piezoelectric acceleration sensor for the 6310 type
of bearing in the three types of state, the normal,
the outer ring and the inner ring faults. Take a total
of 42 test bearings, which include 10 normal bear-
ings, 16 outer ring fault bearings and 16 outer ring
fault bearings. Each bearing samples 5 times, each
time taking 1024 data. There are 6 normal bear-
ings, 9 outer ring fault bearings and 8 inner fault
bearings for training, and the remaining 19 bear-
ings are used for validation sample after training.
The parameter of Gaussian radial basis function σ
takes 2 /22 and μ equals 0.0001 in the algorithm.
As used here, using MATLAB simulation analysis
method, the accuracy of fault diagnosis is more
than 95%. Experiment results demonstrate the
effectiveness of the methods used in this article.
5 CONCLUSION
KFDA is an extended form of linear FDA, main-
taining the advantages of the FDA, but also hav-
ing the ability to handle non-linear problems. It’s
very sensitive to the non-linear characteristics of
machine faults and suitable for nonlinear data
classification process. The different rolling bear-
ing faults can be well separated by this method
that has a good classification performance and
provides a new way for fault diagnosis of rolling
bearings.
REFERENCES
(19) [1] Xiao J.H. The intelligence pattern recognition
methods. South China university of technology press,
2012.8.
[2] Bian Z.Q, Zhang X.G, Pattern recognition (second
edition). Tsinghua university press, 2000.
[3] Lennox B, Hiden H.G, Montague G. Application
of multivariate statistical process control to batch
operations. Computers and Chemical Engineering,
2010, 24: 291–296.
197
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 [4] Product research and development center of FeiSi
Technology. Signal processing technology and appli-
cation using MATLAB 7. Electronic Industry Press,
2005.
[5] Ding Y.L, Shi L.D. Mechanical fault diagnosis tech-
nology [M].Shanghai: Shanghai science and technol-
ogy literature press, 1994: 225–230.
198
CMEEE_book.indb 198
[6] Liu T.X, Zheng M.G, Chen Z.N. Application
research of AR model and fractal geometry in equip-
ment condition monitoring [J]. Journal of Mechani-
cal Strength, 2010, 23(1):61–65.
[7] Lu S. Intelligent diagnosis technology research of roll-
ing bearing based on modern signal analysis and neu-
ral network. Ph.D. Thesis of Jilin university, 2008.
3/20/2015 4:12:28 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

The voltage coordinated control strategy of the power grid

which includes large scale wind power

R. Shi, R. Jiao & Z.J. Chi

Beijing Electric Power Research Institute, Beijing, China

X.N. Kang
School of Electrical Engineering, Huazhong University of Science and Technology, Wuhan, China

ABSTRACT: The power grid, which includes large scale wind power, raised new challenges in reactive
power control. This paper analyses the characteristics of renewable energy, which are—duster develop-
ment, access to weak grids and long distance delivery. The paper also proposesthe strategy of the System
of Wind Power field group net reactive power and voltage control coordination. This control strategy
is based on the ideas of “multi-level coordination and progressive refinement”, and then the strategy is
divided into four control strategies: wind machines strategy, wind farm strategy, wind group strategy and
the network strategy. The highest level control layer is the network Each control station accepts the higher
level control signal and takes it as a control target to perform, which the higher control signals sends to
the lower stations. This control strategy strives to achieve the security and stability of the whole network
voltage and to the maximum extent possible to the output of the wind power. Lastly, the result is com-
binedwith Gansu power grid, to discuss and test the validity and reliability of the strategy.

Keywords: the power grid; large scale wind power; the voltage coordinated control strategy; multi-level
coordination

1 INTRODUCTION source of reactive power compensation; the multi-

This template provides authors with most of the
formatting specifications needed for preparing
electronic versions of their papers. All standard
paper components have been specified for three
reasons: (1) ease of use when formatting individ-
ual papers, (2) automatic compliance to electronic
requirements that facilitate the concurrent or later
production of electronic products, and (3) com-
mon Introduction.
The distributed generation power using renewa-
ble energy has been a hot area of research. In recent
years China’s power grid structure has changed
dramatically; the network structure is compli-
cated and further requests have been advanced in
reactive power and voltage. China’s new energy
development generally has a cluster develop-
ment, weak grid access and long distance delivery
characteristics. New sources of volatility of strong,
weak controllability, centralized access areas often
lack the support of conventional power, reactive
power and voltage problems are likely to cause sys-
tem security incidents[1,2].
Reference 1 was considered from the view point
of the time scale as well as the response time of the
layer static and dynamic voltage coordinated con-
trol strategy of wind farms “program  + online  +
urgent” was proposed. In reference 5, a group of
wind farms are the central focus; the high side volt-
age of the step-up transformer of each wind farms
is the constraint: a proposal for the coordination
of the various wind farm reactive power regulating
devices in operation was put forward. However,
neither of them use a layered model to describe
the System of Wind Power field group net reac-
tive power and voltage control coordination. This
work has played a positive role on reactive voltage
control, but it is necessary to consider the complex
factor of the large scale wind power in the overall
grid voltage and the reactive power optimization
control—from the perspective of the whole grid:
it is important to solve the problem of reactive
power from the local voltage to the power total
system and to put forward an advanced reactive
voltage control strategy.
This paper, embarking from space granularity,
proposed the strategy of System of Wind Power
field group net reactive power and voltage control
coordination under the application background of
the Gansu power grid.

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 2 THE GENERAL IDEA
The fundamental purpose of the strategy of System
of Wind Power field group net reactive power and
voltage control coordination is to solve the complex
Figure  1. A control strategy for the overall frame-
work map.
reactive voltage of the System of Wind Power field
group net, to analyse multi-level problems from
the perspective of space decoupling, to propose
the control strategy of the System of wind turbine,
wind farm, wind group and network, to achieve
the objective of the safe and stable operation of
the entire network voltage and the largest wind
power output. To achieve the above-mentioned
objectives, the paper designs the general framework
of control strategy as shown in Figure 1.
The control strategy mainly consists of four
parts: the grid level control strategy, the group level
control strategy, the field level control strategy and
the wind turbine level control strategy. The basic
idea for strategy of System of Wind Power field
group net reactive power and voltage control coor-
dination is that the grid level is the highest level of
control layer; the grid level control station accord-
ing to the voltage of the weak to choose reactive
power optimization mode or voltage control mode;
the group level is the senior level of control layer;
based on the control command, it carries on the
corresponding model calculation and control tar-
gets to stand at a lower level; the field level is both
control layer and actuating layer; based on the pro-
posed control objectives, it selects the local control

Figure 2. The strategy of System of Wind Power field group net reactive power and voltage control coordination.

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CMEEE_book.indb 200 3/20/2015 4:12:28 PM

 and lower wind turbines or photovoltaic modules; Table 1. Characteristics of reactive power.
the wind turbine level is the execution layer: based
on the superior orders it executes the reactive Reactive Reactive
power regulation. The key to this strategy are the compensation Response power
source speed regulation Control
model calculations of the group level control and
the field level control strategy. Static Var Fast Continuous Imple
Compensator
(SVC)
3 THE CONTROL STRATEGY Reactor Faster Discrete Relatively
simple
This particular embodiment of the control strat- Capacitors Faster Discrete Relatively
egy is shown in Figure 2. The goal of this policy is simple
to improve the voltage control of power network, Transformer Slow Continuous Complicated
which includes large scale wind power from the glo- joint
adjustment
bal and local resources. On the whole, it makes the
Wind turbines Slower Continuous More
wind farm which has the relevant characteristics
complex
and similar location, as a common access point: it
can then be a point centralized coordination and
control. Through this strategy, it can effectively
stabilize the single output of a station’s volatility
and random and intermittent energy. Wind farm/
photovoltaic power plants on the scale and exter-
nal control characteristics are similar to conven-
tional energy supply, with flexible scheduling and
the ability to control the response grid and also to
improve new energy efficiency. On the local, each
control station accepts the higher level control
signal and takes it as a control target to perform,
which the control signals send to the lower stations.
Wind turbines, photovoltaic modules and reactive
power compensation equipment are orderly and
action efficient.

4 CONTROL STRATEGY FUNCTION

4.1 Basic principles of local control

Dynamic reactive power compensation devices
generally include reactors, capacitors and a static
var generator.
According to the reactive power source con-
trol features on the table for analysis, this paper
presents the basic principles of local control:
1. First, make SVC regulation. The SVC control
station is called first SVC, until exhaustion date
SVC;
2. Secondly, the regulation of the capacitive
reactance. If the SVC is exhausted or there is no
static compensator device, then it calls for capac-
itive reactance; when the voltage is too high, we
must direct back the reactors in the sub-station;
when all reactors quit, grouping cast capacitor
until the voltage controller qualified or capaci-
tors all put up. When the voltage ran in low pres-
sure critical conditions, the strategy predicted
the output of wind power. If the forecast of the
wind power output is significantly reduced and
Figure 3. Priority selection method.
the voltage on the rise, to avoid the frequent
movement of the reactive power compensation
device, it should stop regulation; If the forecast
of the wind power output will not register sig-
nificantly, it should reduce the packet back to
sub-station reactors; and when all reactors quit,
it need cast capacitor by group until the voltage
qualified or capacitors all put up.
3. Transformer tap regulation.
4. Wind Turbine regulation. Select the followed
wind turbine by priority regulated.
4.2 Priority selection method
The priority is shown in Figure 3.

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 5 APPLICATION CASE
This research is correlated with the Jiuquan wind
power base as an application platform and PSASP as
a emulated platform. Xinjiang output active power
0 mw to Gansu. Dunhuang area’s active power from
wind power accounted for 15% of its maximum
activity. The Dunhuang area has a light load and
high voltage at the moment. The Dunhuang 750 KV
station voltage is 806.681  KV, in accordance with
the strategy of System of Wind Power field group
net reactive power and voltage control coordina-
tion into a voltage control mode. First determine
the group level control station, the field level control
station and the actuating station. And based on the
priority selection method sort out the actions of the
field level control station. The control strategy for
the specific implementation plan of the Dunhuang
area is shown in Figure  4. All controller layers of
each level control stations are given in detail in
Figure 4; a sequential action was carried out on the
field level control stations of 10 areas of Dunhuang.
Therefore, it controls the voltage hierarchically
according to this strategy. In this paper, the control
voltage is beyond the qualified; after the voltage is
Figure 4. The control strategy of the Dunhuang region.
202
CMEEE_book.indb 202
stable, it can be found that it takes time to settle and
the result is not perfect. The known 330 KV voltage
compliance range of [352,360], in 0 minutes in the
voltage of each site in the Dunhuang area is unqual-
ified as shown in Figure 5. The simulation has been
worked with PSASP software. Based on the control
strategy of this paper, all voltage sites are qualified
in five minutes, and the use of any control method
does not make all voltage qualified after 8 minutes.
6 CONCLUSION
The power grid, which includes large scale wind
power, has lots of complex problems about reac-
tive power and voltage; the strategy, combined
with a variety of reactive power sources and oper-
ating characteristic analysis of multi-level prob-
lems, analyzed this complex problem at different
levels and proposed the reactive power and volt-
age control strategy of System of Wind turbine,
wind farm, wind group and network. This policy is
conducive to the full use of wind energy resources,
with the domestic million kilowatts of wind power
base: the paper control strategy has reference to
this beautiful power based reactive power control.
REFERENCES
[1] Tapia G., Tapia A., Ostolaza J.X. Proportional-integral
regulator-based approach to wind farm reactive power
management for secondary voltage control. IEEE
Trans on, Energy Conversion, 2007, 22(2): 488–498.
[2] Kayikci M., Milanovic J.V. Reactive power control
strategies for DFIG-based plants. IEEE Trans on
Energy Conversion, 2007, 22(2): 389–396.
[3] Qiao Ying, Lu Zongxiang, Xu Fei. Coordinative
strategy for automatic voltage control of wind farms
with doubly-fed induction generators [J]. Automation
of Electric Power Systems, 2009, 33(4): 87–91 (in
Chinese).
[4] Chen Ning, Zhu Lingzhi, Wang Wei. Strategy for
reactive power control of wind farm for improving
voltage stability in wind power integrated region [J].
Proceedings of the CSEE, 2009, 29(10): 102–108 (in
Chinese).
3/20/2015 4:12:29 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Research on predict Direct Capacitor Power Control of voltage source

PWM rectifier, applied to electric vehicle charging and discharging field

Cheng Gong, Long-Fei Ma, Zhong-Jun Chi, Wei Li, Bao-Qun Zhang & Yu-Tong Zhao
State Grid Beijing Power Research Institute, Fengtai District, Beijing, China

ABSTRACT: To improve both the steady and dynamic performance, based on the mathematical model
of the three-phase voltage source rectifier, this paper proposed a new control strategy with outer voltage
square loop and inner capacitor active power and grid reactive power loop; for this 18 non-fixed sec-
tors are divided and a scheme named predict direct capacitor power control is designed and realized by
simulation. This new control strategy achieves the goal that the capacitor active power can be controlled
directly by decoupling of the power of capacitor and load. Results of simulation prove the validity of this
method.

Keywords: PWM rectifier; predict; Direct Capacitor Power Control (DCPC); outer voltage square loop,
non-fixed sectors

1 INTRODUCTION Based on the model of the dual converter, a

The three-phase voltage type PWM rectifier has
good prospects in fields of motor drive and new
energy power generation. Applied in the electric
vehicle, it can resolve the problem of harmonic and
achieve the two-way flow of energy. According to
different plants of the inner controller, the con-
trol strategies are mainly divided into two catego-
ries, which are, the current control and the Direct
Power Control (DPC). Compared to the current
control strategy, DPC has the advantages of the
higher power factor, lower THD, higher efficiency
and simpler structure, which has become the talk-
ing point in recent years.
The Bidirectional DC-DC converter is the out-
put unit of the electric vehicle charging equip-
ment, which is also a kind of PWM converter. At
present, the charging and discharging equipment
of the electric vehicle is mainly composed by dual
PWM converter above. Presently, both convert-
ers of the dual PWM converter work separately.
When load disturbance occurs, the dynamic per-
formance of the dc-link voltage is usually poor.
A large capacitance is usually used to improve
the performance, which causes other problems.
In recent years, research has been conducted on
the problems above. As to current control, current
feed-forward control strategy [2] [3] and direct
capacitor current control strategy [4] have been
proposed—both can improve the dynamic per-
formance. As for the power control, there has been
little relevant research.
new control strategy with two control loops is pro-
posed in this paper—which is named predict direct
capacitor power control (P-DPC). The outer loop
controller adopts the voltage square form to real-
ise the decoupling of grid-side active power, load
power and capacitor power. In the inner loop, two
power controllers are designed, based on index
function, which minimise the error of grid side
reactive power and capacitor power. By designing
a kind of PWM converter power observer of the
bidirectional DC-DC converter, the coordination
control of dual PWM converter is realised. Simula-
tion results show a good performance of the new
control strategy.
2 THE POWER MATHEMATICAL MODEL
OF PWM CONVERTER
Figure 1  shows the circuit topological structure
of the grid-side PWM converter. The mathemati-
cal relationship between the phase current and
voltages in the αβ-reference frame is shown as
following:
diis
us is + L + ur (1)
dt
where us is the supply line voltage vector, is is the
input current vector. L and R denote the induct-
ance and resistance of the inductor; ur denotes the
voltage vector generated by the converter.

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 3 PREDICT DIRECT CAPACITOR POWER
CONTROL

As the formulas show, the DC side capacitor power

Figure 1. Topological structure of PWM converter.
According to instantaneous power theory, the
instantaneous active and reactive powers can be
expressed in the stationary αβ-reference frame
as:
⎧ p = usα isα usβisβ
⎨ (2)
⎩ q usβisα usα isβ
Assuming the three-phase voltage symmetrical
balance, there are
flow will cause the DC voltage fluctuation. The
outer voltage loop, the load power and the capaci-
tance power decoupling can eliminate the distur-
bance of the capacitance power load power. As for
the power ring, if we can control the pc equals to 0
or control the rate of change and there is no energy
flow DC capacitor, then we can use smaller capaci-
tor in DC side to maintain constant DC voltage. In
view of the above ideas, this paper uses capacitor
power as the control target to design the control-
ler based on predict strategy, which is named the
Predict Direct Capacitor Power Control Strategy
(P-DCPC).
Power prediction models are as follows:
⎧ dp − Rp − ω L
Lq − (ur us + urβusβ ) + us2 dpl
⎪ c =
⎪ dt
−
L dt
⎨ (7)
⎪ dq − Rq − ω Lp
L − ( urα usβ − urβusα )
⎪⎩ dt = L

⎧ disa Differentiating (7), we can get formula (8), from

⎪L dt = − Riisα − urα + usα which we can see the available power changes
⎪ caused by different voltage vector:
⎪ di
⎪ L sβ = − Riisβ − urβ + usβ
⎪ dt ⎧ dppc
⎪ ⎪⎪epci = dt | ur ui
⎪ dudc ⎨ (8)
⎨C = sα iα + sβiβ − iL
⎪ dt ⎪ eq = dq | u u
⎪ du ⎪⎩ i dt i

⎪ sα = −ω usβ
⎪ dt For each control cycle Ts, ui combination of dif-
⎪ ferent functions, can obtain Ts time changes in the
⎪ dusβ
⎪⎩ dt = ω usα
(3) amount of power:

⎧ n
Based on (3), differentiating (2) results in instan- ⎪Δpc = pc ( k ) pc ( k ) ∑ eepci ti
taneous active and reactive power variations: ⎪ i =0
⎨ n
(9)
⎪ Δq = q( k ) q( k )
⎧ dp − Rp − ω L
Lq − (urα usα + urβusβ ) + us2 ⎪ ∑ eqi ti
⎪ = ⎩ i =0
⎪ dt L
⎨ (4)
⎪ dq − Rq − ω LLp − (urα usβ − urβusα ) By the direct capacitance power control thought
⎪ = that, with two of the ultimate goal of power con-
⎩ dt L
trol: 1) the power flow through a capacitor is
1 dVdc2 approximately zero, so that the power is delivered
pc C (5) to the load directly by the rectifier; 2) no power
2 dx
is approximately zero to absorb from the network
The formula (6) is rewritten as the form of PI, side, so as to realise the network side unit power
where vD = vdc2 factor control. So the following design index func-
tions are chosen as follows:
* ⎛ k⎞
pc (vD − vD ) kp + i (6) W 2
Epc + Eq2 (10)
⎝ s⎠

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 Voltage vector selection determines the per- Table 1. Table of voltage vectors.
formance of the system. Based on paper [1–3],
the mechanism of power voltage vector is studied Sector 1 2 3 4 5 6 7 8 9
further; 18 non-fixed sectors are divided.
Main vector u1 u1 u2 u2 u2 u3 u3 u3 u3
The voltage vector u1 as an example, assumes Auxiliary u2 u2 u1 u3 u3 u2 u4 u4 u4
that the effect of u1 is none: vector
Zero vector u7 u7 u0 u0 u0 u7 u7 u7 u7
⎧ dp − Rp − ω L
Lq − (u
(urα usα urβusβ ) + us2
⎪ | u1 = =0 Sector 10 11 12 13 14 15 16 17 18
⎪ dt L
⎨
⎪ dq − Rq − ω L
Lp − (ura usβ urβusα ) Main vector u4 u4 u4 u5 u5 u5 u6 u6 u1
⎪⎩ dt | u1 = L
=0 Auxiliary u3 u5 u5 u4 u6 u6 u5 u1 u6
vector
(11) Zero vector u0 u0 u0 u7 u7 u7 u0 u0 u7

Further processing, we can get the effect of

increased or decreased boundary:
lines are divided into 18 different dynamic
⎧ ⎛ 3 3U m ⎞ sectors.
⎪ ωt | dp = ± arccos ⎜ ⎟ The three voltage vectors selection method is
⎪ dt
|u1 = 0 ⎝ 2 2udc ⎠ adopted—themain vector, auxiliary vector and
⎪ zero vector, vector selection, as shown in Table 1.
⎪ ⎛ 3 2ω Lp ⎞
⎨ωt | dq = arcsin ⎜ ⎟
According to the volt second balance principle, to
⎪ dt
|u1 = 0 ⎝ 2 3U m udc ⎠ further reduce power fluctuations, each vector time
⎪ ⎛ 3 2ω Lp ⎞ mean symmetric distribution, which is deduced as
⎪ π + arcsin ⎜ (12) follows:
⎪⎩ ⎟
⎝ 2 3U m udc ⎠
Ts
( eq2 − eq0 )Δpp + ( ep
e c0 eeppc 2 )Δq + ( eq0 epc 2 − eq2 epc 2 )
So the increased or decreased boundary of ui 2
t1 =
can be described as formula (13): eq0 epc 2 − eq1ep
epc − eq2 eeppc 0 + eq1ep
e c0 eq0 ep
eq e c1 eq2 ep
e c1

⎧ π ⎛ 3 3U m ⎞ ( eq0 − eq1 )Δpp + ( eepc1 − q + ( eq1epc 0 − eq0 ep 1 )

Ts
⎪ ωt | dpp (i − 1) arccos ⎜ c0 )
⎟ t2 = 2
⎪ | u i = 0 3 ⎝ 2 2udc ⎠
⎨
dt eq0 epc 2 − eq1epc 2 − eq2 ep 0 + eq1ep
e c 0 − eq0 epc1 − eq2 epc1
⎪ π ⎛ 3 2ω LLp ⎞
⎪ωt | dq |u = 0 3 (i − 1) arcsin ⎜ 2 3U u ⎟ (13) t0 Ts / 2 − t1 t2
⎩ dt
i ⎝ m dc ⎠
(14)
As shown in Figure 2, solid lines are for three- As for the bidirectional DC-DC converter, load
phase static coordinate axis. Dashed and dotted power observer is needed to realizse P-DCPC,
which can be deduced by formula 15.
Pload uo ⋅ io (15)

4 SIMULATION RESULTS

To validate the theory, the simulation model is

built in MATLAB. The sketch map of the system
is shown in Figure 3.
The buck-boost circuit is used in the bidirec-
tional DC-DC converter and PI control strategy is
adopted to control the switch. Simulation param-
eters are shown in Table 2.
From Figure 4, we can see that the new strategy
this paper put forward has a better dynamic per-
formance compared toP-DPC. The fluctuation of
dc-link voltage is smaller and the speed of dynamic
response is faster when the load power changes
Figure 2. The division of switch vector function area. suddenly at P-DCPC.

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CH43_46.indd 205 3/20/2015 5:17:54 PM

 Figure 3. Sketch map of the control system. Figure  6. The wave of current and voltage when
discharging.

Table 2. Parameters for the simulation system. Figure 6 Shows the waves of the grid-side cur-
rent and voltage when discharging.
Input Filter DC DC Switching
From Figure 6, we can get the conclusion that
voltage inductor capacitor voltage frequency
us/V L/mH C/μF Udc/V fs/Hz the power factor of the gird is nearly one when
the motor is running in the state of energy con-
220 4.4 660 500 5k sumption and the power factor of the gird is nega-
tive one when the motor is running in the state of
discharging.

5 CONCLUSION

Based on the predict theory as the foundation, this

paper has proposed a control strategy named Pre-
dict Direct Capacitor Power Control (P-DCPC). In
order to improve both the steady and dynamic per-
formance, 18 non-fixed sectors were divided and
a scheme named Predict Direct Capacitor Power
Control was designed and realised by simula-
tion. Simulation results show that the new control
Figure 4. Voltage waveform of DC bus. method has a better performance compared tthe
traditional P-DPC method. The grid current has
lower THD. The power factor of grid is close to
unit, and the dc-link voltage has a better dynamic
performance.

ACKNOWLEDGEMENT

In this paper, the research was sponsored by the

National High Technology Research and Devel-
opment Program (“863”Program) of China (No.
2011AA05A109).

Figure 5. Pectrums of phase A current.

REFERENCES

Figure 5 gives the spectrum analysis of the phase
A current at traditional P-DPC and P-DCPC above,
which includesthe dynamic process. As is shown,
high order harmonics in both control strategies are
centralised around switching frequency, which is
easy to design suitable filters for the system.
[1] Larrinaga A, Vidal M, Yarbide E. Predictive control
strategy for DC/AC converters based on direct power
control [J]. IEEE Transaction on Power Electronics,
2007, 54(3): 1261–1271.
[2] Yang Xingwu, Jiang Jianguo. Predictive Direct Power
Control for Three-phase Voltage Source PWM Recti-
fiers [J]. 2011, 31(3): 1261–1271.

206

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 [3] Shang Lei, Sun Dan, Hu Jiabing, et  al. Predictive
Direct Power Control of Three-Phase Grid-Connected
Voltage-Sourced Inverters [J]. 2011, 26(7): 216–222.
[4] Wei Ke-xin, DU Ji-fei, Xiao Feng. Feed-forward Con-
trol Strategy of Three-phase PWM Rectifier With No
Load Current Sensor [J]. East China Electric Power,
2010, 38(3): 356–357.
[5] Li Guangye. Research on the Integrated Control of
Dual PWM Converters [D]. Tianjin: Tianjin Univer-
city, 2011.
[6] Li Mingshui, Wan Jianru, Li Guangye. Research on
power feedforward control strategy of PWM recti-
fier [C]. 2011 4th International Conference on Power
Electronics Systems and Applications, PESA 2011,
Hong Kong, China, 2011.
[7] Gong Cheng, Wan Jianru, Li Kunpeng. Direct
Capacitor Power Control of Dual PWM Converter
Based on Sliding Mode Variable Structure [C]. 2012
IEEE Innovative Smart Grid Technologies, ISGT
Asia 2012, Tianjin, China, 2012.
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[8] Ding Qi, Yan Dong-chao, Cao Qi-meng. Research
on design method of control system for three-phase
voltage source PWM rectifier [J]. Power System Pro-
tection and Control, 2009, 37(23):84–87.
[9] Guo Wei-feng, Wu Jian, Xu Dian-guo, et al. Hybrid
Shunt Active Power Filter Based on Novel Sliding
Mode Control [J]. Proceedings of the CSEE, 2009,
29(27), pp. 29–35.
[10] Wang Jiuhe, Yin Hongren, Zhang Jinlong, “Three-
phase voltage type PWM rectifiers with inner power
loop and outer voltage square loop”, Journal of
University of Science and Technology Beijing, Vol.
30, No. 1, 2008, pp. 90–95.
[11] M. Malinowski, M.P. Kazmierkowski, A.M.
Trzynadlowski, “A comparative study of control
techniques for PWM rectifier in AC adjustable
speed drives”, IEEE Trans. Power Electron., Vol. 18,
No. 6, 2003, pp. 1390–1396.
3/20/2015 4:12:35 PM
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Development of 2500V SMB-seagull SiC JBS diodes

G. Chen
Science and Technology on Monolithic Integrated Circuits and Modules Laboratory, Nanjing, China
Nanjing Electronic Devices Institute, Nanjing, China

Q.M. Zhang
Jinan Semiconductor Institute, Jinan, China

S. Bai
Science and Technology on Monolithic Integrated Circuits and Modules Laboratory, Nanjing, China
Nanjing Electronic Devices Institute, Nanjing, China

A. Liu
Science and Technology on Monolithic Integrated Circuits and Modules Laboratory, Nanjing, China

L. Wang & R.H. Huang

Nanjing Electronic Devices Institute, Nanjing, China

D.H. Li & Y.N. Li

Jinan Semiconductor Institute, Jinan, China

ABSTRACT: High voltage 4H-SiC Ti schottky Junction Barrier Schottky (JBS) diode with breakdown
voltage of 2500 V and forward current of 2 A has been fabricated. A low reverse leakage current below
1.13 × 10−4 A/cm2 at the bias voltage of −2.5 kV has been obtained. The forward on-state current was 2 A
at VF = 1.8 V. The chip is 2.3 mm × 2.3 mm and the active-region is 1.5 mm × 1.5 mm. The turn-on volt-
age is about 0.9 V. The on-state resistance is 6.52 mΩ ⋅ cm2. The doping and thickness of the N-type drift
layer and the device structure have been performed by numerical simulations. The SiC JBS devices have
been fabricated and the processes were in detail. The die was packaged with SMB seagull package. The
thickness of the N—epilayer is 24 μm, and the doping concentration is 4.0 × 1015 cm−3. A floating guard
rings edge termination have been used to improve the effectiveness of the edge termination technique. By
using Ti/Ni/Ag multilayer metal structure, the double side Ag process of 4H-SiC JBS diode is formed. We
use the PECVD SizNy/SiO2 as the passivation dielectric and a non photosensitive polyamide with 390 °C
cured temperature as the passivation in the end.

Keywords: 4H-SiC; JBS; Schottky; floating guard rings

1 INTRODUCTION breakdown voltage. Edge termination guarantee-

SiC Schottky-type diodes have the potential to
replace Si PiN diodes in applications such as
traction or medium voltage drives. Planar SiC
JBS diodes offer lower leakage-current levels and
surge current capability when compared to simi-
larly rated Schottky diodes.[1] In order to obtain
the high reverse voltage with the low leakage cur-
rent, the development of 4H-SiC SBDs is Junc-
tion Barrier Schottky (JBS) diodes. In general,
electric field enhancement takes place at the edges
of power devices, which leads to a breakdown
voltage much lower than the ideal plane parallel
ing high breakdown voltage and robustness in
its fabrication are required in SiC power devices.
The newly VLD (Variation of Lateral Doping)
edge termination for 3.3 kV-rated SiC SBDs,
which was formed by Al ion implantation using
a resist mask having a varying thickness.[2] In the
case of high voltage devices, guard ring with edge
termination plays an extremely crucial role in
determining the breakdown voltage. The guard-
ring structure serves to reduce the amount of
field crowding at the main junction by spread-
ing the depletion layer past consecutively lower
potential floating junctions. The JBS structure in

209

CMEEE_book.indb 209 3/20/2015 4:12:35 PM

 Si is mainly used to lower the recovery transient
losses.
We have already reported a high-voltage
(>2 kV) Ti/4H-SiC SBD fabricated on 12  μm
thick 4H-SiC epilayer with B+ implantation edge
termination and field plate technology.[3] In addi-
tion, 4.5 kV 4H-SiC JBS diodes have been fabri-
cated on n+ type conductivity 4H-SiC substrates.
At 7.5  A, the voltage drop is 4.0 V. Breakdown
voltage exceeds 6.5 kV corresponding to a protec-
tion efficiency of 86%.[4]
In this paper, we reported the fabrication and
the measurement on electrical characteristics of
SiC JBS devices. TCAD simulations have been per-
formed to select the doping concentration and the
thickness of the drift layer and the effectiveness of
the guard ring termination technique. The epilayer
properties of the N-type are 24 μm with a doping
of 4.0 × 1015 cm−3. The diodes were fabricated with
a 20 floating guard rings edge termination. The Figure  1. The schematic diagram of JBS diodes with
diodes can block a reverse voltage of at least 2.5 kV, SMB-seagull package.
and the on-state current was 2 A at VF = 1.52 V. The
measured leakage current and breakdown voltage
are close to the calculated value. 3 RESULTS AND DISCUSSIONS

The forward characteristics were tested with a

2 DESIGN AND FABRICATION
The SiC JBS devices have been fabricated at Sci-
ence and Technology on Monolithic Integrated
Circuits and Modules Laboratory, using 4H-SiC
epitaxial wafers. In the device, the n− 4H-SiC epi-
taxial layer is grown on the n+ 4H-SiC substrate.
The active layer doping level and thickness were
the following: Nd = 4.0 × 1015 cm−3, and d = 24 μm,
respectively.
After cleaning the n type low resistance 4H-SiC
wafer, the p+ regions and the p+ guard ring edge
termination by using the multiple energy Al+
implantation at room temperature with maxi-
mum energy 550  Kev and dose 5.4  ×  1013 cm−2.
High temperature ion implantation annealing of
the SiC wafer coated with 8 μm thick photo resist
and carbonized at 700 °C for 2 h to activate the
implanted Al+ dopant was done in an Ar ambi-
ent in a graphite furnace at 1850 °C for 3  min.
Nickel back-side ohmic contact was evaporated
and annealed in N2 atmosphere at 950 °C for
5 min with the SiO2 layer mask on the SiC front-
side. The anode Schottky contacts was formed
by thermal evaporation of Ti with thickness of
about 150  nm, with the subsequent annealing at
400 °C for 10 min. By using Ti/Ni/Ag multilayer
metal structure, the double side Ag process of
4H-SiC JBS diode is formed. A non photosensi-
tive polyamide is as the final passivation. The SiC
JBS devices with SMB-seagull package are shown
in Figure 1.
Tektronix 371 curve tracer and the reverse charac-
teristics were tested with an Tektronix 370 curve
tracer when the devices are packaged with SMB
seagull mode. All tests were performed at room
temperature.
4 REVERSE I–V CHARACTERISTICS
Figure  2  shows typical room temperature reverse
current-voltage (I–V) characteristics of the 4H-SiC
JBS diodes. It can be seen that the guard ring
edge termination effectiveness is good. When the
breakdown voltage of SiC JBS gets to 2.5 kV, the
minimum leakage current is about 6 μA (leakage
current density 1.13 × 10−4 A/cm2). The chip1 shows
the reverse leakage current increases as the reverse
voltage is 1100 V. However, chip2 is better and
chip3 is the best. The breakdown voltage of chip2
and chip3 begin from 1550 V and 1800 V, but they
all can reach 2600 V. The reason is that the SiC epi-
layer doping concentration is non-uniform.
In the future work, we will choose the suitable
distance between the guard rings based on JBS
fabricated to improve the edge termination effec-
tiveness and the forward current.
5 FORWARD I–V CHARACTERISTICS
The points in Figure  3  show the forward I–V
characteristic of SiC JBS devices in the on-state.

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Figure  2. Reverse I–V characteristics of fabricated
4H-SiC JBS diodes. The reverse leakage current of the
chip3 is 6 μA at 2500 V and 37 μA at 2600 V.
Figure 3. Forward I–V characteristics of three chips.
The on-state current is 2 A at VF =  1.8 V, the
turn-on voltage is about 0.9 V. The chip size is
2.3  mm  ×  2.3  mm. The minimum on-state resist-
ance is 6.52 mΩ ⋅ cm2. When the forward current is
2 A, the voltage of chip1 is 1.798 V, chip2 is 1.818 V
and chip3 is 1.804 V. The voltage (forward current
2 A) of chip2 and chip3 is similar to chip1 because
the SiC epilayer doping concentration uniformity
is good.
2 A/600 V switching tests were carried out on
three chips. The measured reverse recovery time
of the three chips are similar 29 ns as shown in
Figure  4. In silicon, the reverse recovery time of
fast recovery schottky diodes is larger than 100 ns.
Faster switching is positive, as it will impact on
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CMEEE_book.indb 211
Figure  4. Reverse recovery time of the fabricated
4H-SiC JBS diode is 29 ns.
Figure 5. Wafer map of blocking voltage and forward
current yields at 2.5 kV and 2 A.
the switching device in the circuit, reducing total
switching losses. However, faster di/dt and dv/dt
can increase current/voltage overshoot.[6]
The wafer map of the blocking-voltage and for-
ward current yields at 2.5 kV and 2 A measured
on the 3-inch SiC wafer under a leakage current
threshold of 100 μA. On-wafer measurements
below 2.5 kV were conducted, for which the wafers
were immersed in Fluorinert to prevent arcing. The
blocking and current yield was in excess of 50%, as
shown in Figure  5. The devices failed because of
killer or process defects. The killer defect may have
originated from the downfall during the epitaxial
growth. Another device failed because of a surface
defect.[5]
3/20/2015 4:12:36 PM

Figure  6. The reverse leakage current of 4H-SiC JBS
diodes when blocking voltage is 2.5 kV.
For the reverse I–V characteristics, a high-
voltage measurement setup was used consisting of
a probe station, a 3 kV high-voltage supply and a
current amplifier. As shown in Figure 6, for almost
all the chips the reverse leakage current observed
were lower than 50 μA.
6 CONCLUSION
In summary, we have fabricated SiC JBS devices
on n+ conductive 4H-SiC substrates. The double
side Ag processes and the SMB-seagull package of
the SiC JBS were developed and high performance
of the SiC JBS device was reported. By employing
a high energy ion implantation and high tempera-
ture annealing technique, excellent characteristics
were obtained. The breakdown voltage improved
to more than 2.5 kV depending on device guard
ring termination structure. A low reverse leakage
current below 1.13  ×  10−4 A/cm2 at the bias volt-
age of −2.5 kV has been obtained. The forward
on-state current was 2  A at VF =  1.8 V at 25 °C
and 38A/cm2. The fabricated diodes can be used in
212
CMEEE_book.indb 212
conducting high-voltage and high-current switch-
ing test systems.
Next step is to optimize the fabrication in order
to get a lower reverse leakage and higher forward
conduction. Further work will focus on more
extensive studies of the reverse recovery waveforms
and reverse capability of the fabricated JBS diodes
at higher temperature.
ACKNOWLEDGMENT
We would like to thank all the members of wide
band department and Science and Technology
on Monolithic Integrated Circuits and Modules
Laboratory. Help received from the silicon devices
department is also acknowledged.
REFERENCES
[1] H. Bartolf, V. Sundaramoorthy, A. Mihaila, et. al.
Study of 4H-SiC Schottky Diode Designs for 3.3 kV
Applications. Materials Science Forum Vols. 778–780
(2014) pp 795–799.
[2] Kohei Ebihara1, Yasuki Yamamoto, Yoshiyuki
Nakaki, et al. Designing and Fabrication of the VLD
Edge Termination for 3.3 kV SiC SBD. Materials Sci-
ence Forum Vols. 778–780 (2014) pp 791–794.
[3] Chen Gang, Li Zhe-yang, Bai Song, Ren Chun-jiang.
Ti/4H-SiC Schottky barrier diodes with field plate
and B+ implantation edge termination technology.
Chinese Journal of Semiconductors, Vo1. 28  No. 9,
Sep., 2007, pp 1333–1336.
[4] Runhua Huang, Gang Chen, Song Bai, et al. Simu-
lation, Fabrication and Characterization of 4500 V
4H-SiC JBS diode. Materials Science Forum Vols.
778–780 (2014) pp 800–803.
[5] Dai Okamoto1, a*, Yasunori Tanaka1, Tomonori
Mizushima, et al. 13-kV, 20-A 4H-SiC PiN Diodes
for Power System Applications. Materials Science
Forum Vols. 778–780 (2014) pp 855–858.
[6] P.M. Gammon1a, C.A. Fisher, V.A. Shah, et. al. The
cryogenic testing and characterisation of SiC diodes.
Materials Science Forum Vols. 778–780 (2014)
pp 863–866.
3/20/2015 4:12:38 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Feature-based intelligent machining method based on NX

X.H. Zhan & X.D. Li

Zhuhai College of Jilin University, Guangdong, China

ABSTRACT: The aim of intelligent machining is identifying the model automatically under a non-
human-computer interaction environment with a machining program software, and completing all or
part of the machining process of the model. NX CAM, the mainstream numerical control programming
software released by Siemens, provides the function of feature-based machining. The operation object of
feature-based machining is not the model geometrical feature itself, but the machining feature recognised
from the model. According to the machining feature, the corresponding operation could be created intel-
ligently. The process of feature-based machining and the method of the machining feature recognized are
described in this paper. At the end, one feature-based machining case is cited.

Keywords: feature; feature-based machining; machining knowledge editor; CAM

1 INTRODUCTION the programmer, it also realises the automation to

CNC programming is one of the main contents
in the NC machining stage, usually including con-
firming processing technology by model analysis;
achieving tool location data after computing tool
path; writing NC programs; production control
medium; proofread program and try to cut of
product. CNC programming is the entire process
from drawing or 3D model to the NC program.
CNC programming consists of a manual pro-
gram and an automatic program. Each phase
in manual programming is entirely operatedby
human hand. This way is relatively simple, suitable
for moderately complex procedures, such as point
processing (drilling, reaming) or simple geometric
shapes (plane face, square groove).
The part with the freeform surface and complex
cavity along with its tool path data is quite tedious,
error-prone, and difficult to proofread. That part-
can only be completed through the NC program-
ming. The CNC automatic program simulated 3D
model machining on a computer, and created the
process operation. In the end, the program cre-
ated the NC code which can be recognized by a
NC machine through postprocess. Currently, the
mainstream CNC machining software includes
NX, Catia, FeatureCAM, MasterCAM, Cimatron
and so on.
With the rapid development of digital technol-
ogy and auxiliary programming techniques, com-
pared to the traditional manual programming,
CNC’s automatic program not only improves the
efficiency of production, reduceshe number of
man-made mistakes, brings in the convenience of
a certain extent. However, the needs of high preci-
sion shape and more complex parts for machining
increasing, it highlights the case for the increase
in intelligent automation programming software
(Zhang et al. 2000; Hang et al. 2009).
This paper discusses the intelligent process
and implementation method with feature-based
machining by Siemens NX software platform. This
study covers the combination of the machining
case and the application of feature-based machin-
ing in intelligent machining field with NX CAM.
2 THE CONCEPT OF INTELLIGENT
MACHINING TECHNOLOGY
From feel to memory, from memory to thought,
from thought to generating behavior and language,
the processes are called intelligence. Intelligence is
a goal that needs to be achieved through computer
software. The more intelligence-aided machining
software is, the greater help it provides to achieve
more repetitive mental labour—even some given
tasks which the human brain cannot complete.
According to the automatic identification of the
machining area, the intelligent machining base has
definite ‘rules’ to specify how to automatically gen-
erate the correct tool path. These ‘rules’ comprise
the right process knowledge accumulation of
years. Based on the rule library, the automatic pro-
gramming system identifies and assesses the model
continually, filters the rule library and chooses the
suitable process, and then completes the machining
task. (Yun & Li 2011; Zhang 2008).

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 3 THE PROCESS OF FEATURE-BASED
MACHINING
Figure  1  shows the process of feature-based
machining. (Siemens PLM Software 2013). First
of all, import 3D model to the NX CAM appli-
cation environment, which may be created by NX
with features, also converted by other software.
Different kinds of data have an impact on subse-
quent machining feature recognition.
In the NX CAM application environment, the
machining feature of the imported model needsto
be recognized. The mentioned features doesn’tt
mean the design features of creating model, but the
machined feature. The design features, for example
blind hole, slot, groove etc., can be recognized by
the NX as the machining feature.
In the inference engine phase, the recognized
machining features were evaluated by the Machin-
ing Knowledge Editor (MKE) rules. The rules can
automatically select the appropriate tool, reason-
able operation mode and parameters, and attained
relative ideal tool path. Machining Knowledge
Library (MKL) consists of the rules that can
decide which features can be recognized, whatt
kind of solution should be taken to the machine,
what type and size tool should be selected and the
parameters to create the operation. MKE provide
the tool to define and create processing technology
base by MKL for users and enterprises. MKL is
the core of FBM which determines the intelligent
degree of the process.
In the end, it goes the through machining opera-
tions, gets the appropriate tool path, and machines
the part after postprocess.
Designers can create feature—based processes
for the following: Milling operation types: Face
Milling, Planar Milling, Cavity Milling, Fixed-axis
Surface Contouring, Variable-axis Surface Con-
touring, Z-Level Milling and Variable-axis Z-Level
Milling.
Figure 1. Process of feature-based machining.
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CMEEE_book.indb 214
4 MACHINING FEATURE RECOGNITION
In NX Manufacturing, a machining feature is any
shape that is recognized by the software as machina-
ble. Machining features you can select include
standard shapes, such as holes, slots, and pockets,
and user-defined features created for irregularly
shaped areas. The features can be identified, recog-
nized, or tagged (Siemens PLM Software 2013).
NX provides users with five kinds of feature
recognition methods: feature identification, para-
metric recognition, legacy hole recognition, legacy
face and pocket recognition and manual recogni-
tion. In the above methods, feature identification
and parametric recognition are more commonly
used, and NX recommends that users use the sec-
ond way of parametric recognition.
In the process of feature recognition, the way
of parametric recognition doesn’t need to make
a decision for specific design feature by users, but
recognises automatically, according to the detail
parameter of the model. The machining feature
similar to the feature in the feature library would
be found.
5 CREATE MACHINING FEATURE
PROCESS
After feature recognition and performing the
‘Create Feature Process’, we can directly obtain the
machining program that we wanted. The process
is very simple and does not require looking at too
many options. It reflects exactly the intelligenence
of FBM technology.
6 ONE FBM CASE
This case shows how FBM realises intelligence in
the machining process. Figure  2  shows the blank
3/20/2015 4:12:39 PM
 Figure 2. Blank and part.

Figure 3. Process of find features.

Figure 4. Create feature process and generate tool path.

and part. Three countersunk holes need to be
machined.
Step1 Open or import the model, and enter NX
Manufacturing.
Step 2 Before manufacturing, the parameters of
the blank, part and MCS etc. need to defined first.
Step 3 Recognized features In machining feature
navigator, right click on model node, execute ‘Find
Features’ command. In ‘Find Features’ dialog box,
set Type ‘parametric recognition’, “Features to
Recognize” default. Click ‘Find Features’, machin-
ing feature were recognized automatically. Only
three STEP 2 HOLE features remained—all other
features were deleted. The process of finding fea-
tures is shown in Figure 3.
Step 4 Create feature process. Choose three
countersunk hole machining features in machining
feature navigator, execute ‘Create Feature Process’.

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 Choose MillDrill node in ‘create feature process’
dialog box.
Step 5 Generate tool path, as shown in Figure 4.
7 CONCLUSIONS
Feature-based machining is an advanced applica-
tion that automates the creation of operations such
as spot drilling, drilling, countersinking, counter
boring, reaming, tapping, deburring, and milling
through the use of intelligent models containing
manufacturing features (User Defined Features,
User Defined Attributes, and NX Based Features)
and embedded machining rules.
Feature-based machining greatly simplifies the
process of making holes, regardless of the type of
application.
ACKNOWLEDGEMENTS
It is highly appreciated that Siemens PLM software
provided the NX software. This work is supported
by a grant from the Teaching Quality Project
216
CMEEE_book.indb 216
(No. 10110208) and the ‘Three Levels’ backbone
teacher training program of Zhuhai College of
Jilin University.
REFERENCES
Zhang Jie. Luo Xin. Du Runsheng & Yang Shuzi. 2000.
The Conception of Feature and Its Generation,
J. Huazhong Univ. of Sci. & Tech 28(1):95–97.
Hang Rui-guo. Zhang Sheng-wen. Jia Wei & Yang
Chang-qi. 2009. The Research of Intelligent NC Pro-
gramming System Based On UG Platform, Group
Technology & Production Modernization 26(2):9–12.
Yun Zhi-dong & Li Hai-biao. 2011. The application of
FBM technology in automatic NC programming,
Modular Machine Tool & Automatic Manufacturing
Technique 1(1):90–93.
Zhang Yingjie. 2008. Modeling technique of machin-
ing feature for automatic numeric control part pro-
gramming, Journal of Xi’An jiaotong university
42(3):281–285.
Siemens PLM Software. 2013, Computer Assisted Self
Teach for NX8.5.
Siemens PLM Software. 2013, NX8.5 Help Library.
Siemens PLM Software. 2013, Machining Knowledge
Editor Training 9.0.
3/20/2015 4:12:42 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

The application of Analyze Formability-One-Step in progressive

die strip design

X.D. Li & X.H. Zhan

Zhuhai College of Jilin University, Guangdong, China

ABSTRACT: In the process of Multi-station progressive die design, firstly, one has to to design the
strip, which is to get intermediate configuration of every processing station and blank, by unfolding
product configuration reversely. Many sheet metal parts have free forrm surfaces, and the traditional
method unfolding those needs complicated hand computing and drawing, and is also very time con-
suming. For these reasons, Analyze Formability-One-Step can be an excellent option for unfolding the
free form surfaces at the stage of strip design itself. In this paper, the basic idea, hypothesis, and work-
flow of Analyze Formability-One-Step are stated and discussed. And in the analysis of cases, Analyze
Formability-One-Step is used to complete ‘Entire Unform’ and ‘Immediate Unform’ in the process of
strip design, with PDW. It is convenient to use Analyze Formability-One-Step to unfold free form surfaces
in progressive die strip design.

Keywords: progressive die; NX PDW; Analyze Formability-One-Step; strip design; sheet metal

1 INTRODUCTION 2 THE BASIC IDEA AND HYPOTHESIS OF

Sheet metals are the thin-wall formed parts with
same thickness and certain geometric dimension-
ing, which are widely used in automobiles, ships,
machinery, chemicals, aerospace and other fields.
Many relatively complicated and small sheet metal
parts are produced by progressive die, which can
complete all processing of the stamping part in a
punching stroke. It is a kind of precise, efficient,
high-speed, high quality and long life stamping die
(Y.S. Chen 2012).
The structure of the Multi-station progressive die
is generally complicated, and seriously considering
every step is necessary to complete the work well. In
Multi-station progressive die designing, confirming
conversion process from blank to product i.e, con-
firming every manufacturing procedure detail of
every station is primary. It needs to get intermedi-
ate configuration of every processing station and
blank by unfolding product configuration reversely
(Y.Q. Li & J.C. Xiao. 2012; C.H. Zhou 2007). The
traditional unfolding method of sheet metal needs
complicated hand computing and drawing, and
has a waste of time, especially for the part with free
form surfaces (X.D. Li & X.H. Zhan 2011).
In this paper, in the stage of strip design,
Analyze Formability-One-Step is used to finish the
reverse unfolding for the free form surface to get
the immediate configuration on the blank.
ANALYZE FORMABILITY-ONE-STEP
Analyze Formability-One-Step is a forming analy-
sis tool based on FEM (Finite Element Method).
It can quickly unfold the sheet metal part to get
plane profile, and it can also unfold part of the
product to get the immediate configuration. It is
mainly used for free form surface unfolding in pro-
gressive die strip designing.
The basic idea of Analyze Formability-One-Step
is that starting from the product configuration C,
which is the end deformation surface of the part,
location P0 in the initial flat blank C 0 correspond-
ing to node P is confirmed when the boundary
conditions are satisfied by using FEM. Comparing
locations of nodes in blank and product, thick-
ness distribution, stress distribution, and strain
distribution can be gotten, as shown in Figure  1
(Y.D. Bao. 2004).
Figure  1. FEM sketch map of Analyze Formability-
One-Step.

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 In Analyze Formability-One-Step, there are the Select sheet metal material from ‘Library Mate-
following assumptions: rials’, which is provided by Analyze Formability-
One-Step. Define the thickness of sheet metal part,
1. Plane stress.
and define ‘Surface Type’, and there are 3 kinds of
2. Elasto plastic large deformation, volume invari-
surface type to choose from, they are ‘Outer Sur-
ability of materials plastic forming.
face’, ‘Inner Surface’, and ‘Middle surface’. In the
3. Proportional loading of forming process, based
end, mesh the surface of sheet metal, and submit
on plastic theory.
data to ‘Solver’. The results of solving are outlines
4. The act of stamping dies shows normal pres-
made by a group of spline curves. Results also
sure of non-uniformity punches, friction under
display ‘Thickness Distribution’, ‘Stress Distribu-
punch and draw bead.
tion’, and ‘Strain Distribution’ etc.

3 THE FLOW OF ANALYZE

FORMABILITY-ONE-STEP 4 ANALYSIS OF CASES

Figure  2  shows the usage procedure. When deal- Figure 3 shows a sheet metal with free form surface,
ing with the sheet metal, firstly choose the unform produced by progressive die. The contour can be
type—its type includes ‘Entire Unform’, ‘Immediate gotten by cutting scraps, and others can be gotten
Unform’, and ‘Advanced Unform’. ‘Entire Unform’ by forming process. It is a non-parametric model.
can make product configuration plate blank once. The assembly structure of strip about forming is
To get the immediate configuration and unfold shown in Figure 4.
local of the part, ‘Immediate Unform’ can finish the
work. In the process of sheet metal unfolding, it can
also add some other advanced constraints accord-
ing the fact with ‘Advanced Unform’, such as holder
force, draw bead, spring back etc.
After confirming unfolding type, choose ‘Face’
or ‘Solid’ as ‘Object Type’ and choose ‘Unform
Region’ and ‘Target Region’ of sheet metal. The
target region is the fixed portion of unfolding. In
Boundary Conditions, there are 3 kinds of con-
straints to be chosen, they are ‘Point to Point’,
‘Curve to Curve’, and ‘Curve along Curve’.

Figure 3. The sheet metal part.

Figure 2. The flow of Analyze Formability-One-Step. Figure 4. The assembly structure of strip about forming.

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 Figure 5. ‘Immediate Unform’ of Analyze Formability-One-step.

Figure 6. ‘Entire Unform’ of Analyze Formability-One-Step.

Figure 7. The formability analysis of sheet metal.

4.1 ‘Immediate Unform’ of Analyze

Formability-One-step
Make ‘Final-2’ work part, extract outside sur-
face of the part and hide the solid body. ‘Analyze
Formability-One-Step’ will be used to unfold the
extracted sheet. The part’s unform type is set to
‘Intermediate Unform’, and ‘Object Type’ is ‘Face’.
Make the surface shown in Figure  5(a) ‘Unform
Region’ and make the surface shown in Figure 5(b)
‘Target Region’. ‘Constraint Type’ is set to ‘Curve
to Curve’, and click the intersecting line of target
region and unform region, as shown in Figure 5(c).
Define the sheet metal’s thickness, and set ‘Surface
Type’ as ‘Out Surface’. Define the surface’s mesh

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 size, mesh the surface, submit the defined data to
the solver, and then get the unform contour line,
as shown in Figure  5(d). Another contour line
can be gotten with the same method, as shown in
Figure 5(e). Figure 5(f) shows the worked immedi-
ate configuration.
4.2 ‘Entire Unform’ of Analyze
Formability-One-Step
Make ‘Final-3’ work part, extract outside sur-
face of the part and hide the solid body. The part’s
unform type is set to ‘Entire Unform’, and ‘Object
Type’ is ‘Face’, make all surfaces ‘Unform Region’.
‘Constraint Type’ is set to ‘Curve to Curve’, and the
line in Figure 6(a) is the constraint line. Define the
sheet metal’s thickness, and set ‘Surface Type’ as ‘Out
Surface’. Define the surface’s mesh size, mesh the sur-
face, submit the defined data to the solver, and then
get the unform contour line, as shown in Figure 6(a).
Extrude the contour line to get the sheet metal blank,
as shown in Figure 6(b). The calculated results can
also predict the sheet metal formability, such as
‘Thickness Distribution’ shown in Figure 7(a), ‘Stress
Distribution’ shown in Figure 7(b), ‘Strain Distribu-
tion’ shown in Figure  7(c). The end result of strip
design about forming is shown in Figure 8.
4.3 Analyze Formability-One-Step—Unform to
designated surface
It can unform form face to designated surface with
Analyze Formability-One-Step. The method is the
same as the above-described, and the unform result
is shown in Figure 9.
Figure 8. The designed strip result about forming.
Figure 9. ‘Entire Unform’ to designated surface.
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CMEEE_book.indb 220
5 CONCLUSIONS
The paper discusses the application of Analyze
Formability-One-Step in strip design at the
beginning of progressive die designing. Analyze
Formability-One-Step is an utility unfolding tool,
which can unfold sheet metal parts, especially
those parts with free form surfaces. It can not only
unfold whole surfaces of sheet metals to get the
blank, but also unfold part of surface to get imme-
diate configuration. The computed results can also
show the formability analysis of sheet metal, such
as thickness distribution, stress distribution, strain
distribution, and spring back etc. In progressive
die designing, Analyze Formability-One-Step is a
valid, timesaving tool to help designer finish strip
design.
ACKNOWLEDGEMENTS
It is highly appreciated that Siemens PLM software
provided the NX software. This work is supported
by a grant from the Teaching Quality Project
(No. 10110208) and the ‘Three Levels’ backbone
teacher training program of Zhuhai College of
Jilin University.
REFERENCES
Chen Y.S. 2012. Multi-station Progressive Die Design
Manual. Chemical Industry Press: China.
Li Y.Q. & J.C. Xiao. 2012. Progressive Die Design Tech-
nology Application and Instances. Publishing House of
Electronics Industry: China.
Bao Y.D. 2004. Research on One Step Inverse Forming
FEM and Crash Simulation of Auto Body Part: 14.
Ph.D. Jilin University: China.
Zhou C.H. 2007. UG NX4 Progressive Die Design
examples-From Novice to Professional. Chemical
Industry Press: China.
Li X.D. & X.H. Zhan. 2011. Study on the rapid progres-
sive die design of sheet metal with free form surface.
Advanced Materials Research. 328–330:828–831.
3/20/2015 4:12:46 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

The research on the signal reconstruction of the angular rate sensor

L.Y. Yuan, W.G. Zhang & X.X. Liu

College of Automation, Northwestern Polytechnical University, Xi’an, China

ABSTRACT: In order to improve the fault tolerance ability of the critical sensor system and avoid
the extra cost, weight and maintenance introduced by hardware redundancy, the signal reconstruction
method was designed for the pitch angular rate sensor. The signal reconstruction was implemented by the
Kalman filter with the adaptive current statistical model. The modified model can approximate the angu-
lar motion of the aircraft accurately and increase the precision of the analytic signal. The design scheme
was verified by simulation under diverse flight conditions and compared with the typical methods. The
simulation results demonstrate the effectiveness and superiority of the proposed method.

Keywords: pitch angular rate sensor; fault-tolerance design; analytic signal; signal reconstruction; cur-
rent statistical model

1 INTRODUCTION The concept borrowed from tracking theory was

The feedback of the angular rate signal consti-
tutes the damper loop in the flight control system
and influences the stability of the aircraft directly.
Especially, the pitch rate signal is the critical factor
to guarantee the flight safety at takeoff and land-
ing. Therefore, it is of great research significance
to employ fault-tolerant design to maintain the
operational function under failure conditions.
Signal reconstruction, analytic signal estimation
namely, is the fundament of the fault tolerance.
The common methods of signal reconstruction
include the observer method, the numerical dif-
ference method and the tracking differentiator
method et al. However, multiple uncertainties exist
in the kinetics equations of the aircraft. The atti-
tude sensor has low the accuracy and high sam-
pling frequency. The above situations limit the
application of the common methods. The small
perturbation equations adopted by the observer
method are not rational in all parts of the flight
envelop. And the aerodynamic derivatives are not
sufficiently accurate. The numerical difference
method will amplify the measurement noise. The
measurement noise will affect the output differ-
ential signal of the tracking differentiator as well,
although the output differential signal is of bet-
ter quality compared to the numerical difference
signal. The introduction of the low-pass filter will
attenuate the noise efficiently, but cause additional
delay, which degrades the primary signal in the
real-time application.
With the discussion above, a signal reconstruc-
tion method was proposed for the pitch rate sensor.
used. The aircraft was treated as a noncooperative
target. And the Kalman filter based on the adap-
tive current statistical model (denoted as ADCSM-
Kalman) was designed to track the angular motion
of the aircraft.
2 SIGNAL RECONSTRUCTION DESIGN
2.1 Frame of signal reconstruction design
The frame of the signal reconstruction design is
depicted in Figure 1.
q (θ r ssiin φ ))/co
/ sφ (1)
The measurement signal of the pitch angle θ is
input into the Kalman filter based on the adap-
tive current statistic model. The signal of the
pitch angular velocity θ is obtained. According
to the relationship between the ground coordi-
nate system and the airframe coordinate, shown
as equation (1), the signal reconstruction is
implemented.
2.2 Typical CSM-Kalman filter design
The current statistic model of the aircraft angular
motion is
X (k ) = Φ( k )X ( k ) U (k
( k )a + W ( k ) (2)
where X ( k ) = [θ θ θ]T consists of pitch angle,
pitch angle velocity and pitch angle acceleration.

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CMEEE_book.indb 221 3/20/2015 4:12:46 PM

 The formula of the angular acceleration vari-
ance is:

⎧ 4 −π
⎪⎪ π (amax − a )
2
a ≥0
Figure 1. Frame of signal reconstruction.
σa = ⎨
2
(13)
⎪ 4 − π (a
− max − a )
2
a <0
⎪⎩ π
Φ(k), U(k) are state transition matrix and input
matrix respectively. a is the mean value of the where amax and a−max are the maximum value of the
current angular acceleration. W(k) is the discrete positive and negative angular acceleration.
noise sequence with 0 as the mean value and Q(k)
as the variance.
2.3 Modified adaptive model
⎡1 1 α T + −α T ) α 2 ⎤
( −1+ In the design of the CSM-Kalman filter, the
⎢ ⎥ parameters α, amax and a−max are pre-defined based
Φ( ) = ⎢0 1 (1 − e −αT ) α ⎥ (3)
⎢⎣0 ⎥⎦ on the experience. The model is not adaptive to
0 e −αT the variation of the aircraft angular motion and
results in the large the estimation error. The online
⎡1 ⎛ α T 2 1 e −α T ⎞ ⎤ adjustment of the maneuvering frequency α will
⎢ ⎜ −T + + ⎟⎥
⎢α ⎝ 2 α ⎠⎥ cause the instability and divergence of the tracking
⎢ 1 − e −α T ⎥ filter. According to the characteristics of the angu-
U (k ) = ⎢ T− ⎥ (4) lar motion of the aircraft, the modified model is
⎢ α ⎥ proposed based on the adaptive adjustment of the
⎢ −α T ⎥
⎣ 1 − e ⎦ angular acceleration.
The effect of the amax and a−max on the filter per-
Q( k ) = 2ασ a2 p (5) formance is analyzed first. When the absolute val-
ues of the amax and a−max take smaller values, the
In the expression of Φ(k), U(k) and Q(k), T is variance of the system noise is small. The track-
the sampling period, α is the maneuvering fre- ing accuracy of the non-maneuvering and weak
quency, p is the constant matrix related to α and maneuvering is high while the response rate of
T. With (2) ∼ (5), the state equation is established. strong maneuvering is relatively slow. When the
The measurement equation is: absolute values of the amax and a−max take larger
values, the variance of the system noise is large.
Y ( k ) = H ( k )X ( k ) + v( k ) (6) The response rate of the filter for strong maneu-
vering is fast while the tracking accuracy of the
where H ( k ) = [1 0 0 ]T is the measurement non-maneuvering or weak maneuvering is low.
matrix; v(k) is the Gaussian white noise with R(k) Therefore, the constant value in the CSM-Kalman
as the variance. When one-step estimation of the design cannot cover the various states of the angu-
angular acceleration θ( + 1 ) is treated as the lar motion.
current value a , the typical CSM-Kalman process The analytical relationship between the pitch
is indicated as follows: rate and the normal overload can be concluded
from the kinematics equations. The variation of
Xˆ ( k + 1 k ) = Φ( k )Xˆ ( k k ) + U ( k + 1)a ( k + 1) (7) the overload reflects the change of the aircraft
angular motion, shown in (14):
T
P(k k) ( k )P ( k k ) ( k ) + Q( k ) (8)
g
Δq ( s Zα* )Δnz (14)
K (k ) = P(k T
k )H (k
(k ) VZα*

[ H ( k + 1)P
)P ( k + 1 k )H T ( k
)P ) R( k + 1)]−1 (9)
The kinematics equation of the overload is:
Xˆ ( k + 1 k + 1) = Xˆ ( k + 1 k ) + K ( k + 1)η ( k + 1) (10) nz w b − g cos θ cos φ + pvb − qub (15)

η ( k + 1) = Z ( k + 1) − H ( k + 1)Xˆ ( k + 1 k ) (11) Under the non-maneuvering condition,

P(k k ) [I K ( k + 1)H
)H ( k + 1)]P ( k k ) (12) nz0 g cos θ cos φ (16)

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CH47_50.indd 222 3/20/2015 6:22:11 PM

 When the angular motion changes from the The RMSE (Root Mean Square Error) and
non-maneuvering state to the maneuvering state, MRMSE (Mean Value of RMSE) were selected as
the evaluation index.
g
Δq ≈ ( s + Zα* )( nz − nz 0 ) (17)
VZα* 1 N
RMSE ( k ) = ∑ [ x j ( k ) − xˆ j ( k )]2
N j =1
(24)
From (14) to (17), the adaptive adjustment equa-
tion of the angular acceleration variance is: M
1
S =
MRMSE
M
∑ RMSE ( k ) (25)
k =1
⎧ 4 −π
⎪⎪ π (amax a ) ⋅ μ
2
a ≥0
σ a2 =⎨ (18) N is the number of the Monte Carlo simulation.
⎪ 4 − π (a a )2 ⋅ μ a <0
xj(k) and xˆ j ( ) are true value and estimation value
− max
⎪⎩ π of the kth step in the jth simulation respectively.
M is the step number of each simulation. RMSE(k)
μ λ − exp( − λ ) (19) is the root mean square error of the kth step sam-
pling value.
λ = k1 ⋅ nz + k2 ⋅ ( nz + g cos θˆ cos φ ) (20) In order to analyze the filter performance
under different maneuvering conditions, the non-
maneuvering condition from 0 to 50 s and maneu-
where k1 > 0, k2 > 0 are constant. When the aircraft
vering condition from 50 to 55 s were selected as
angular motion is under the non-maneuvering
the contrast basis as shown in Figures 2 and 3.
condition,
The accuracy of the signal estimated by the
nz = 0 (21) Filter-TD method is the lowest. The noise level of
the input signal is relative high, which decreases the
filter performance of the Filter-TD method. The
nz + g cos θˆ cos φ ≈ 0 (22)

λ → 0, μ → 0 (23)

The filter tracks the angular motion with relative

small variance in order to improve the estimation
accuracy. When the aircraft enters the maneuver-
ing state, μ λ , the variance of the system
noise becomes larger, so the tracking capacity of
the filter is improved.

3 SIMULATION AND ANALYSIS

The ADCSM-Kalman, CSM-Kalman and the

tracking differentiator combined with two-order Figure  2. RMSE curves of the non-maneuvering
condition.
low-pass filter (noted as Filter-TD) proposed in
[4] were compared and analyzed through Monte
Carlo simulation.
The simulation conditions were set as follows:
the simulation time t  =  100  s; from 0 to 50  s, the
aircraft is under level flight condition; from 50 to
70 s, the aircraft is under maneuvering condition;
the random noise with the maximum magnitude
of 0.2 is added to the measurement signal of the
attitude angle. The sampling period T = 20 ms; the
simulation number is 100.
The parameters of the algorithms were set as
follows: the common parameters of CSM-Kalman
and ADCSM-Kalman amax  =  6°/s2, a−max  =  −6°/s2,
α = 0.01. The parameters of the adaptive angular
acceleration model k1 = −5, k2 = 0.3. Figure 3. RMSE curves of the maneuvering condition.

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CMEEE_book.indb 223 3/20/2015 4:12:50 PM

 Table  1. Comparison of the MRMSE of the recon- 4 CONCLUSIONS
struction methods.
The signal construction method was proposed for
Non- the critical sensor, the angular rate sensor in the
maneuvering Maneuvering
flight control system. The problem of the high
MRMSE °/s °/s noise level in the attitude signal was settled based
on the target tracking concept. The accuracy of the
Filter-TD 0.1510 0.2964 tracking model was improved by the application of
CSM-Kalman 0.0890 0.2093 the analytical relationships between flight param-
ADCSM-Kalman 0.0737 0.1866 eters. The proposed method is easy to implement
and has potential engineering application value.

noise attenuation and tracking delay introduced REFERENCES

by the low-pass filter should be compromised. The
actual effect of accuracy improvement was limited.
The two methods based on the target tracking con-
cept, treat the signal noise as the random process.
The description was relative precise. And the esti-
mation accurate was improved obviously.
The result of the comparison between the
CSM-Kalman and ADCSM-Kalman method were
depicted in Table  1. Estimated signal of higher
precision can be gained by the latter method. The
ADCSM-Kalman method can adaptively adjust
the angular acceleration according to the practi-
cal angular motion, which results in the better
performance under both non-maneuvering and
maneuvering conditions relative to the typical
CSM-Kalman method.
Li, W.Q. & Chen, Z.J. 2004. Signal reconfiguration
method for aircraft’s pitch angular rate. Flight
Dynamics 22(2): 26–29.
Xia, J. & Xu, J.J. 2013. Observer-based sensor fault
detection and signal reconstruction method. Journal
of Beijing University of Aeronautics and Astronautics
39(11): 1529–1535.
Chi, C.Z. et  al. 2012. Application of Analytic Redun-
dancy-based Fault Diagnosis of Sensors to Onboard
Maintenance System. Chinese Journal of Aeronautics,
25(2): 236–242.
Hou, M.M. 2006. A modified nonlinear estimator of
LOS-angle acceleration with LOS-rate measurement
only. Aerospace Shanghai 23(5): 12–15.
Huang, W.P. et al. 2011. A nonlinear maneuver-tracking
algorithm based on modified current statistical model.
Control Theory & Applications 28(12): 1723–1728.

224

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Research on the application of Beidou and GPS dual-mode

timing system in the space flight tracking ship

F. Zhang, Y.B. Ren & Y. Zhou

China Satellite Maritime Tracking and Control Department, Jiangyin, China

ABSTRACT: The tracking ship is the major component of the space instrumentation and command
network, and the time synchronization is very important to the tracking ship. There are some security
risks, because the GPS timing system is mainly used in the tracking ship at present. Specific to the ques-
tion, a timing system based on Beidou (BDS) and GPS was submitted. First, some common time service
methods were introduced briefly. Secondly, the dual-mode timing system was probably designed. After
that, error analysis of the timing precision was discussed. Finally, some experiments were carried out. The
results show that the project submitted in the paper is necessary and feasible.

Keywords: GPS; GNSS; timing system; reliability

1 INTRODUCTION HF wave timing was the earliest to be intro-

Time synchronization is that time in a different
place has the equal value at the same time. It is
very important to our life and national economy,
especially to national defense[1]. With rapid devel-
opment of the social productive forces and sci-
ence technology, the time service is more and more
widely applied. Certainly, the accuracy require-
ment of a timing system is becoming higher and
higher in some specific fields. Especially, the accu-
racy requirement of a reach up to a microsecond,
even a nanosecond in rocket launching, satellite
tracking and other fields.
The GPS timing system with its high accuracy
and good stability is mainly used in the tracking
ship. GPS is the new generation satellite navigation
system, which can provides many serves includ-
ing navigation, fixing position, issuing the official
calendar, and so on. Because it is researched and
produced by the United States Military, there are
some security risks to the timing system under the
influence of ideology and political factors. In order
to meet the needs of the national economy and
defense construction of our country, Beidou (BDS)
with independent intellectual property rights needs
to urgently replace GPS. Keeping this in view a tim-
ing system based on BDS and GPS was submitted.
2 TIMING WAYS INTRO
Up to now, there are five timing ways: HF wave
timing, Long wave timing, Internet timing, SDH
network timing and Satellite timing[2].
duced by by the Americans. It transmits time infor-
mation and standard signals by making use of the
HF wave. The transmission path of the HF wave
is between the grand and the ionized layer, and
then, the transmission quality is influenced by the
ionized layer. When the ionized layer is unstable,
the influence is bigger, and the carrier frequency
needed is higher, the synchronization precision
falls short of the millisecond.
Long wave timing overcomes the shortcomings
of HF wave. It transmits time information and
standard signals by making use of the Long wave.
Compared to the HF wave, the covering power of
the Long wave is stronger, and its synchronization
precision measures to the microsecond.
With the popularisation of the computer and
Internet, people calibrate the time by Internet
timing. This timing way uses the telephone line
or optical fiber for the transmission medium with
modem, and people use client software to calibrate
time in the computer. But the synchronization pre-
cision is low up to the millisecond.
SDH network timing implants the time infor-
mation synchronized with Cs atomic clock to the
SDH net. The precision is more accurate than
satellite timing in some sense. But if the multiplex
section overhead of SDH net is cut off, the time
information would be missed.
Satellite timing is the mainstream way in the
information society. GPS is playing the leading
role, and its precision reaches up to the nanosec-
ond, because every satellite is equipped with an
atomic clock. In recent years, the Beidou naviga-
tion satellite system has developed rapidly, and the

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 stage-one BDS has finished networking, and the
signal has covered the Asian-Pacific region[3]. At
the same time, the time service product based on
BDS is being worked on.
3 GENERAL DESIGN OF DUAL-MODE
TIMING SYSTEM
As shown in Figure  1, the system has a modu-
lar design, composed of antenna element, power
divider, receiving module, data processing module,
human-computer interaction module, time keep-
ing module and interface module[4]-[7].
Every module has its own function.
Antenna element: using dual-mode antenna,
and receiving GPS & BDS satellite signals at the
same time.
Power divider: amplifying signals, and sending
them to the GPS & BDS receiving module.
BDS receiving module: receiving, amplifying,
filtering, down-converting, demodulating BDS
satellite signal, and outputting 1PPS signal and
time information including year, month, day, hour,
minute and second.
GPS receiving module: receiving, amplifying,
filtering, down-converting, demodulating GPS
satellite signal, and outputting 1PPS signal and
time information, as the backup of BDS receiving
module.
Data processing module: coordinating work of the
system, and outputting time information and 1PPS
signal on the basis of mode selection of human-
computer interaction module and system state.
Human-computer interaction module: input-
ting the mode selection, and displaying time
information.
Time keeping module: using local sync source,
and generating 1PPS signal synchronized with
BDS or GPS.
Figure 1. The general structure drawing of the timing
system.
226
CMEEE_book.indb 226
Interface module: converting electrical level, and
outputting 1PPS signal and IRIG-B signal.
In the system, BDS and GPS stand by for each
other. It is BDS-based and is supplemented by
GPS. The BDS timing mode will be started, as
long as the BDS satellite signal is effective, in order
to overcome the negative impact of GPS. When
the BDS signal is lost, the GPS timing mode will
be started if it is effective. If both BDS and GPS
are lost at the same time, the time keeping mode
would be started.
4 ERROR ANALYSIS
4.1 Error sources of satellite navigation
As shown in Figure  2, error sources of satellite
navigation include error of satellite, propagation
error of signal and error of receiver [8].
1. Errors of satellite include error of satellite clock,
relativistic effect and so on.
2. Propagation errors of signal include delay error
of ionized layer, delay error of troposphere, and
multipath effect.
3. Errors of receiver include clock error, electron
error, antenna phase center error, and delay
error of receiver.
In practical work, we can correct error by some
measures, as follows:
1. Weakening clock error of satellite by using dif-
ferential technology or binomial expression.
2. Reducing delay error of ionized layer by the
correcting model of ionized layer in the naviga-
tion message.
Figure 2. The schematic of the satellite navigation errors.
3/20/2015 4:12:53 PM
 3. Reducing delay error of troposphere by using and troposphere, τr is the time delay taken in by
Hopfield and Black mode. receiver antenna, antenna cable and receiver. R/c is
4. Reducing multipath effect by spatial charac- the fake time difference and can be measured. τR, τi
teristic of antenna pattern or setting restrains and τt can be computed with data supplied in the
board under the antenna. navigation message of GNSS. τr can be gained by
5. Avoiding unnecessary man-made operating calibrating the receiver. We can compute Δt.
miss, and equipping redundancy receiver.
4.3 Experimental result
4.2 Error analysis of timing
We designed the system with BD-126 development
High precision locating, velocity measurement and board, which is shown as Figure 4.
navigation can be realized by the satellite naviga- As shown in Figure  5 and Figure  6, we com-
tion system, because it is based on sophisticated pared the 1PPS signal of the dual-mode system
time measurement. In general, after observing with the 1PPS signal of GPS we are using.
four satellites, the navigation system can minutely
ensure the coordinates and speed of the receiver
antenna location and the time [1][8].
As shown in Figure 3, tGNSS is the GNSS time,
tU is the time of user clock, tSV is the time of satel-
lite clock, tU’ is the user time GNSS signal arrived
on receiver, R is the pseudorange, c is the speed of
light. Δt is the real time difference of user time and
the GNSS time as well as (1).

Δt tGNSS − tU (1)

At the same time, we know Δt is as well as (2).

R
Δt ΔtSV − τ Σ (2)
c Figure 4. The picture of BD-126 development board.

Including:

τΣ = τR + τi + τ t + τr (3)

As shown in (2) and (3), ΔtSV is time difference

of the satellite clock time and the GNSS time, τΣ
is the total time delay. τR is time delay of distance,
τi and τt is the time delay taken in by ionized layer

Figure 5. The general diagram of 1PPS signal comparison.

Figure 3. The schematic of the GNSS time measurement. Figure 6. The detail diagram of 1PPS signal comparison.

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 In Figure  5, the 1PPS signal cycle of the two
systems are 1  s, and the leading edges of second
stay the same, but the pulse width is different; the
pulse width of GPS is 1 ms, while the pulse width
of the dual-mode system is 100 ms. Satellite timing
is strict with the leading edge to the second, rather
than the pulse width, so the change of pulse width
doesn’t affect the timing result.
In Figure 6, the rising edge width of 1PPS signal
of GPS is 80 ns, while the width of the dual-mode
system is only 10 ns, which is far and away superior
to GPS. The leading edge of the dual-mode sys-
tem is younger than GPS’s as 1.25 μs. The result is
connected with the precision of system. The timing
precision of the dual-mode system is 15 ns, while
the precision of GPS is 1 μs, because its version
is very old. So that, there is any deviation between
them.
That said, we cannot measure the relative time
delay of the system, because we do not have some
equipment.
5 CONCLUSION
A dual-mode timing system based on BDS and
GPS is molded in the paper, which is designed on
the basis of BD-126. The system can output 1PPS
signal, locating information and time information
in real time. Compared to the GPS we are using,
we find that the dual-mode timing system can be
certainly be used as the time source of the track-
ing ship.
228
CMEEE_book.indb 228
REFERENCES
[1] Bin Guo. A Study of Electric Power System Time
Synchronization Technology Based on Bei-dou and
GPS Dual-mode Timing Service [D]. Changsha:
Hunan University, 2010.
[2] Gui-Jun Chen. Study of Beidou and GPS timing sys-
tem [D]. Shenyang: Shenyang University of Technol-
ogy, 2011.
[3] Shi-Jun Ying, Wang Kun, Liu Wei, et al. Precision
Analysis of BD-2 Marine Receiver [J]. Navigation of
China, 2013, 36(1): 24–27.
[4] Zhen-Peng Xing. Application of Timing System in
Jiaozuo Power Plant Based on Beidou and GPS[J].
Electric Power IT, 2009, 7(7): 103–105.
[5] Jian-Hai Li, Da-Jiang Yi, Hao Wang. Design and
Realization of Integrated Processing Module of
Timing/Passive Location Based on Beidou/GPS. [J].
Computer Knowledge and Technology, 2009, 5(9):
2423–2425.
[6] Meng-Yuan Chen, You-Zhu Ling, Guan-Ling Wang.
Broadcast Television Time service Unit Using Mutu-
ally Backup Synchronization Signals from Beidou
Satellite Navigation and Global Positioning System
[J]. TV center, 2010, 34(6): 60–63.
[7] Yan-Peng Sun, Ying-Shuo Zhang, Er-Shen Wang,
et al. Design and Positioning Algorithm of BD-2/
GPS Combined System [J]. Electronic Design Engi-
neering, 2011, 19(23): 74–77.
[8] Hai-Tao Wu, Xiao-Hui Li, Yu Hua, et al. Time Basis
of Satellite Navigation System [M]. Beijing: Science
Press, 2011.
3/20/2015 4:12:55 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Study of the wind-thermal allocation ratio for wind and thermal

bundled power as a source to participate in power planning

X.M. Cao, T.Q. Liu & X.T. Hu

School of Electric Engineering and Information, Sichuan University, Chengdu, China

Z.H. Chen, F.J. Wang & T.Y. Guan

Gansu Provincial Power Company, Gansu, Lanzhou, Sichuan Province, China

ABSTRACT: Wind power possesses intermittent and fluctuant features, resulting in the fact that the
integration of wind power is not only a power network programming problem, but also needs the enhance-
ment of the peak regulation ability. How to make wind power participate in it is the prime problem in
power planning. We use both wind power and thermal power as a source to participate in the traditional
power planning. By analyzing the 8760 hours’ wind power output data and five typical days load data
of one province, a new wind-thermal model including the restraints of the output and the ramp rate of
the thermal power unit was built. Using the Particle Swarm Optimization (PSO) algorithm, the optimal
correlation coefficient for different wind-thermal power allocation ratios was found, and then the optimal
wind-thermal power allocation ratio was worked out. In addition, the feasibility and practicability of this
method was confirmed by calculating the practical data of a certain province.

Keywords: wind-thermal bundled; power planning; wind-thermal collocate ratio

1 INTRODUCTION processed into a multi-state unit. Reference [5]

In recent years, renewable energy is developing
rapidly in China and wind power, as the cur-
rent generation technology, plays an increasingly
important role in the strategic restructuring of
China’s energy and power development. Since the
output characteristics of wind power is different
from conventional hydropower and thermal power
(which is controlled by an external output of
wind energy), its impact cannot be ignored. This
includes the conventional power scheduler opera-
tion mode and the selection of spare capacity.
Large-scale wind power integration puts forward
new demands on our power supply planning
theory [1]. Some scholars have studied Power Plan-
ning after large-scale wind power was integrated:
Reference [2] studied the optimal expansion plan-
ning problem using the dynamic programming
algorithm for the planning period, for the limited
size of the grid system by wind farms and pho-
tovoltaic cells composed of N years, keeping in
view the meteorological data, the characteristics
of historical load data, wind farms and pho-
tovoltaic cells, energy costs and other factors.
Reference [3,4] assessed the impact of investing in
wind power to power planning by Wind turbines
established the wind power generation system’s
optimal planning model to the objective function
of the largest wind power output in case thewind
power can be fully absorbed by the grid. Reference
[6] re-examined the issue of the wind power gen-
eration system planning from the market point of
view, and proposed two planning methods, includ-
ing the objective function of the largest unit cost
and unit mounting area to contribute the maxi-
mum, and obtain a reliability index such as various
types of power generation units, the entire system
fuel costs, lack of electricity power shortage prob-
ability expectations and reliability. However, these
studies design power schemes by only considering
wind power output characteristics, and give lit-
tle consideration to the complementary charac-
teristics of wind power and conventional power.
The article proposed a method of Wind-thermal
Power ‘bundling’ participation in power balance
(based on the correlation between wind power
and load calculation analysis) and put forward
the power allocation ratio optimization method,
and made its calculations and and analysis on an
actual provincial grid data. The results show that
the method for the actual power supply planning
has certain reference value.

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 2 CORRELATION OF WIND POWER
OUTPUT AND LOAD
Correlation of wind power output and load under
the correlation coefficient concept of mathemati-
cal statistics was studied. Specific expression of the
correlation coefficient is as follows
n
∑( w − w )( L − L)
t =1
l=
n n
∑( w − w)
2
∑( L − L)
2
t =1 t =1
where, pw is wind power output of each period; pw
is the average output of wind turbines in the study
period; pL is the load of each period; pL is the aver-
age load study period. l is at [−1,1], when it is nega-
tive, indicating that the wind power and the load has
a negative correlation; and a positive value indicates
a positive correlation between the load; and the
greater its value indicating the larger correlation.
This article analysed the wind power output his-
torical data of a province 365 days, and the load,
selected from five typical operation modes which
included the early part of the year, a long sum-
mer, a short summer and a long winter as well as
a shortwinter. Relevance indicators of 24 hours a
day by statistical analysis was noted. Figure  1 is
the trend graph of wind power output and typical
daily load variation on the day of the maximum
correlation between wind and load, and Figure 2 is
the trend graph of wind power output and typical
daily load variation on the day of minimum cor-
relation between wind and load.
After calculating correlation between load and
wind power with five typical operating modes
include the early part of the year, short winter, long
summer, short summer and long winter, it shows
that the number of days with positive correlation are
Figure 1. Wind power output and daily load on the day
of maximum correlation between wind and load.
CH49_52.indd 230
(1)
Figure 2. Wind power output and daily load on the day
of minimum correlation between wind and load.
168 days, 160 days, 150 days, 155 days, 152 days—
and inversely related to the number of days was
196  days, 205  days, 215  days, 210  days, 213  days.
These results demonstrated that the number of days
with a positive correlation were less than the number
of days of negative correlation—indicating that the
correlation between wind power contribution and
the load is notgreat. The theoretical support of wind
power participating in power balance is not strong.
This paper proposes the use of wind, thermal, com-
plementary as “playing bundle power” participate
in power supply planning to participate in the plan-
ning for wind power provides a possibility.
3 MATHEMATICAL MODELS
3.1 Objective function
n
∑( n n )(
) L L)
t =1
max l = (2)
n n
∑( n n)
2
∑( L L)
2
t =1 t =1
where, pn is the planning total output power of
wind and thermal bundling mode; pn is the plan-
ning average output power of wind and thermal
bundling mode; pL is the planning load to consume
wind power; pL is the average planning load to con-
sume wind power; n is the time area under study.
3.2 Constraint conditions
System constraints include upper and lower output
constraints of units, minimum time constraint of
turning on and shutting off generators, the ramp
rate constraints of units and so on.
Considering that conventional generators and
the wind turbine output can not exceed the upper
230
3/20/2015 4:50:04 PM
 limit, so the constraint in equation (3), (4) as Particles track individual an optimum solution
follows and global optimum solution within the selected
area to search. The individual optimum solution
P min Pk ≤ P max (3) is recorded as Pi ( Pi1, Pi PiQ ) , i 1, 2, …, m.
Global optimum solution is denoted as
0 ≤ Pwind
i k ≤ Pwind
max
(4)
Pg ( Pg1, Pg Q ), i = 1,
PggQ 1, 2, …, m. (10)
min max
where, Pt , Pt is upper and lower output of
Particles update their positions and velocities
thermal power units; Pk is thermal power output
according to the following general formula
at K time; Pwiind k is wind power output at K time;
Pwimax
ind is Wind power output ceiling. vidk+1 ωvidk + c1ξ ( piidkd xidk ) + c2η ( pggd
k
d xidk )
Taking into account the economics of the plant
operation, the turning on and shutting off con- xidk+1 xidk + rvidk+
k 1
(11)
straints of thermal power units is as in equation
(5), (6): where, ω is the inertia weight; c1 is the optimal
weight coefficients tracking particle individual
T on on
Tmin (5) optimal solution history, usually a value of 2; c2
is the optimum weighting factor tracking global
off
f off
T Tmin (6) optimal solution history, usually a value of 2; , η
is a uniformly distributed random number within
where, T on, Toff expressed the operation and shut- the range 0–1; r is the constraint factor of speed
on off
f update, usually a value of 1.
down time of unit i respectively; Tmin , Tmin expressed
the minimum turning on time and minimum shut- Equation (11) is divided into three parts, the
ting down time of the unit i. first part is the inertial behavior of particles; the
The unit ramp rate constraints are second part reflects the cognitive behavioral par-
ticles; third part represents the social behavior of
− PD ≤ Pk − P( k − ) ≤ PU (7) particles, representing particles in the process of
learning community experience.
where, PU, PD expressed upper limit of the unit Particle swarm optimisation calculation process
ramp rate and lower limit of unit ramp rate is as follows:
respectively. 1. Randomly generate the initial position of each
particle, then calculate the fitness value of each
4 WIND-THERMAL ALLOCATION RATIO particle, which will take the minimum as the
OPTIMISATION METHOD global optimal solution.
2. For each particle, its fitness value is compared
4.1 Particle Swarm Optimisation method with the individual optimal solution. If the fit-
ness is excellent, the location of the particle at
Particle Swarm Optimisation from Complex Adap- this location is taken as the current best.
tive System, which Proposed by Kennedy et  al 3. For each particle, its fitness and global extreme
1995 [7], is carried out in accordance with the laws is compared. If the fitness is excellent, the posi-
of movement and gather birds foraging during the tion of the particle is taken as the global optimal
resulting search algorithm simulation. location of the current population.
In the particle swarm algorithm, solutions 4. Update the position and velocity of the particles.
of the questions are represented by the position 5. Determine whether the end conditions is met
of particles, of which positions fitness good or or not. If satisfied, output the globally optimal
bad is determined by an objective function to solution, if not met, continue iteration.
evaluate. Group consists of particles composed
of n-dimensional space to search for Q under a 4.2 Wind-Thermal optimal allocation ratio
Q-dimensional search area, which the i-th particle calculation based on particle swarm
is represented as optimization algorithm
xi (x
xi1, xi xii ) i = 1, 2, …, m.
xiQ ), (8) The optimal allocation ratio of wind and thermal
based on the particle swarm optimisation algo-
The corresponding particle flight speed can be rithm calculation steps are as follows
expressed as 1. Calculation of 365 days and 24 hours daily cor-
relation of wind power and the typical daily
vi (vvi1, vi vii ) i = 1, 2, …, m
viQ ), (9) load; to sort;

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CMEEE_book.indb 231 3/20/2015 4:12:57 PM

 2. The first 300  days to find out the correlation
of the date of wind power and the typical daily
load; read the corresponding wind power out-
put data and load data;
3. Using the maximum wind power output capac-
ity as wind turbine integrated in wind power
capacity and the capacity of thermal power and
constant change; Wind-Thermal electricity allo-
cation ratio;
4. Particle swarm optimisation of the thermal
power; Wind & Fire, 24 hours under the output
power allocation ratio to optimise the results of
its total output and load the optimal correlation;
5. Changing the proportion of wind, thermal,
electrical configuration; repeat steps 4 to obtain
the optimal relevance; Figure  4. Correlation coefficient and wind-thermal
6. Get the optimal correlation with changes of allocation ratio on the correlation day of 80%.
wind and thermal power allocation ratio; find
the optimal allocation ratio.

5 CALCULATIONS AND ANALYSIS

The wind power output data of a wind farm during

8760 hours and load data, for five typical day of a
province, was used to verify the above-mentioned
method of the wind-thermal ratio configuration
method.
The correlation between wind-thermal bundled
power output and load changed with wind-thermal
power allocation ratio. The results are shown
in Figure  3, 4, 5. Figure  3  shows the correlation
between wind-thermal bundled power output and
load changed with wind-thermal power allocation
ratio on the day of minimum correlation between
wind power and load. From Figure 3, we can see
in the correlation for early winter with typical little
loads, that three times the thermal power in wind
power was needed to make the correlation between
Figure  3. Correlation coefficient and wind-thermal
allocation ratio on the minimum correlation day.
Figure  5. Correlation coefficient and wind-thermal
allocation ratio on the biggest correlation day.
wind-thermal bundled power output and load
reached 1.
The correlation between wind-thermal bundled
power output and load changed with wind-thermal
power allocation ratio under a day with 80% of
correlation between wind and load is as shown in
Figure 4. We can see configured thermal power of
2.1 times the wind energy can make the correlation
between wind-thermal bundled power output and
maximized load. Figure  5  shows the correlation
between wind-thermal bundled power output and
load changed with wind-thermal power allocation
ratio on the day of maximum correlation between
wind power and load. In this case, we can see con-
figured how thermal power of 1.7 times the wind
energy can make the correlation between wind-ther-
mal bundled power output and maximum load.
Because of the wind-thermal power is bun-
dling as a power source for power planning, so the
correlation between wind-thermal bundled power

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CMEEE_book.indb 232 3/20/2015 4:13:01 PM

 output and maximum load is not optimal. We
allowed the correlation to reach 80% to meet the
system’s operation. Figure  4  shows that with the
configured thermal power of 1.8 times the wind
energy meets the system requirements to run. But
this conclusion is only suitable for examples in this
article—the specific allocation ratio must be drawn
after consideringlocal characteristics of wind
power and absorptive wind load.
6 CONCLUSIONS
The wind-thermal allocation ratio optimisation
model was established based on analysis of the
correlation between the wind power and load
analysis, consideringthermal power output con-
straints, ramp rate constraints, etc. The solution
for the optimisation model in specific examples
was explored by using particle swarm optimization
algorithm, reached wind-fire power optimal alloca-
tion ratioand verified applicability of the method.
ACKNOWLEDGEMENT
This article is created with the support of Gansu
Province Electric Power Company funded project
(5227201350PM).
233
CMEEE_book.indb 233
REFERENCES
[1] Zhang Jie-tan, Cheng Hao-zhong, Huang Wei, et al.
Review of Generation Expansion Planning for Power
System with Wind Farms [J]. Proceedings of the
CSU-EPSA, 2009, 21(2):35–41.
[2] Farghal S.A, Abdel Aziz M.R. Generation expansion
planning including the renewable energy sources [J].
IEEE Transactions on Power Systems, 1988, 3(3):
816–822.
[3] Schenk K.F, Chan S. Incorporation and impact of a
wind energy conversion system in generation expan-
sion planning [J]. IEEE Transactions on Power Appa-
ratus and Systems, 1981, PAS-100(12): 4710–4718.
[4] Zhang Jie-tan, Cheng Hao-zhong, Hu Ze-chun1,
et  al. Power System Probabilistic Production Simu-
lation Including Wind Farms[J]. Proceedings of the
CSEE, 2009, 29(28):34–39.
[5] Kabouris J, Contaxis G J. Optimum expansion plan-
ning of an conventional generation system operating
in parallel with a large scale network [J]. IEEE Trans-
actions on Energy Conversion, 1991, 6(3): 394–400.
[6] Roy S. Market constrained optimal planning for wind
energy conversion systems over multiple installation
sites [J]. IEEE Transactions on Energy Conversion,
2002, 22(1): 67.
[7] Kennedy J, Eberhart R. Particle Swarm Optimiz-
ation [C]. IEEE international Conference on Neural
Networks, Perth, Australia, 1995: 1942–1948.
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

A design method of inductance-capacitance filter circuit for reducing

current harmonics of high-speed motor

Y.Q. Mo & P.J. Dong

Harbin Institute of Technology, Harbin, China

ABSTRACT: The low inductance of high-speed motor give its phase currents a high dynamic response
speed, which may also result in some control problems, such as high Total Harmonic Distortion (THD) of
stator current, high copper and core loss, and large torque ripple. This paper proposes a design method of
a three-phase inductance-capacitance (LC) filter connected to the three-phase stator windings to reduce
the stator current THD for the high-speed Permanent Magnet Synchronous Motor (PMSM). First, the
mathematical model of PMSM with LC filter is introduced. Then the design principle of the LC filter
parameters are presented by analyzing the magnitude-frequency characteristic of the PMSM system.
And, the value ranges of the parameters are introduced according to of the maximum output current
and voltage of the Pulse Width Modulation (PWM) inverter. The simulation and experimental results are
finally given to verify the effectiveness of the paper’s design.

Keywords: inductance-capacitance filter circuit; Total Harmonic Distortion; high-speed motor

1 INTRODUCTION Venkataramanan (1993) proposed a method to

High-speed permanent Magnet Synchronous
Motor (PMSM) always has stator inductances
lower than 0.5  mH due to its structural features.
While the low inductance characteristic is ben-
eficial in improving the dynamic response speed
of phase currents, it may exert some adverse
impact on the motor control system. If this kind
of PMSM is driven directly by a traditional two-
level Pulse Width Modulation (PWM) Voltage
Source Inverter (VSI) with a switching frequency
at several kilohertz, it is difficult to regulate the
stator currents effectively since the phase currents
will be mixed with many higher-order harmonic
currents.
Several methods have been proposed in order
to reduce the THD of the three-phase currents
for low inductance motor. The simplest one is
to add three external inductances in series with
the stator windings in order to make the equiv-
alent value of each phase stator inductance
larger (Zwyssig 2008, Venkataramanan 1993,
Mecke 2009, Kosaka 1999, Mellor 1996, Koshio
2009, Kosaka 2001). However, this method will
increase the volume, weight, and cost of the
control system. Another method is to increase
the switching frequency of PWM-VSI in order
to regulate the currents better (De 2012). Yet,
the switching frequency of switching devices
is limited by their maximum input frequency.
add three-phase LC filter circuit between the
PWM-VSI and the motor, which can reduce the
volume and cost of the control system compared
with the adding external inductances method.
Caricchi & Crescimbini (1994), Zwyssig & Kolar
(2009), Minshull & Bingham (2007), Minshull &
Bingham (2010) proposed a method of adjusting
the Direct Current (DC) bus voltage to improve
the stator current waveforms for brushless DC
(BLDC) motors. This method employs a half-
bridge DC chopping circuit whose energy is bidi-
rectional flowing in the front end of the PWM-VSI
to adjust the DC bus voltage. Su & Adams (2001)
adopted multilevel PWM-VSI to subdivide the
output voltage and obtain more output levels,
which will make the output waveform close to
sinusoidal or square waveform. Current Source
Inverter (CSI) was also applied to the low induct-
ance motors. This method is always used to drive
BLDC (Takahashi 1994, Woolaghan 2009) since
the output of CSI is current.
This paper introduces a three-phase LC filter
circuit to improve the stator current waveforms for
the high-speed PMSM. The parameters of the LC
filter are designed based on both the purpose of
minimizing the stator current THD and satisfying
the maximum output current and output voltage
capability of the PWM-VSI. The simulation and
experimental results are presented to verify the
effectiveness of the paper’s design.

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 2 MATHEMATICAL MODEL OF PMSM
WITH LC FILTER

The control system chart of the high-speed PMSM

with three-phase LC filter driven by PWM-VSI is
shown in Figure 1.
According to Figure 1, the mathematical model
of the system expressed by differential equations
are as follows (Taking a-phase for example) Figure  1. Control system chart of high-speed low
inductance PMSM with three-phase LC filter.
dia Where R, L, C, and L′ represent stator resistance, stator
ua L + Riia + ea (1) inductance, external capacitance and external inductance
dt respectively, u and i represent phase stator voltage and
current, i′ and u′ represent PWM-VSI output current and
d 2ia di de voltage.
ia′ = LC + RC a + ia + C a (2)
dt 2 dt dt
d3ia d 2ia di
ua′ = LL ′C 3
+ RL ′C 2
+ (L + L′) + a
dt dt dt
d 2ea
+ Riia + L ′C + ea (3)
dt 2

From (1) and (3), we can see that the control

sysytem of high-speed motor turns from first order
system into third order system after connecting
three-phase LC filter to the stator windings.

3 PARAMETERS DESIGN OF LC FILTER

3.1 Minimizing stator current THD

According to equation (3), the transfer function of
the system is as follows

Ia ( ) 1 Figure 2. Relationship of characteristic curves of Φ(s)

Φ( )= = and Φl(s).
U a′ ( ) LL ′Cs3 + RL ′Cs 2 + ( )s R
(4)
Ignoring the cubic term and quadratic term, the From equation (4), we know that the slope of
Low Frequency (LF) transfer function Φl(s) can be the characteristic curve will turn from −20 dB/dec
approximated as to −60 dB/dec at the break frequency in the High
Frequency (HF) band, so the characteristic in the
1 1 HF band can be approximated to be an integral
Φ l (S ) ≈ 2
≈ unit and a second order oscillation unit in series.
RL ′Cs + (
(LL L ) s R (
L

L )s 
R
  Thus, the constant term in the denominator of
Φl 2 ( s ) Φl 1 ( s )
Φ(s) can be ignored, and the HF transfer function
(5) Φh(s) can be approximated as

The relationship of the characteristic curves

1
representing (4) and (5) are shown in Figure 2. Φh (s) ≈ (7)
It can be seen from Figure 2 that these three char- Cs 2
s( LL C RL C
Cs L L )
acteristic curves coincide with each other in the LF
band. So the cut-off angular frequency ωb of the
system can be derived approximately from (5) The relationship of the characteristic curves of
(4) and (7) are shown in Figure 3.
It can be seen from Figure 3 that these two char-
L L ′ − ( L + L ′ )2 − 4R 2 L ′C R acteristic curves agree well in the HF band. So
ωb ≈ ≈ (6)
2RL ′C L L′ the natural oscillation angular frequency ωn and

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CMEEE_book.indb 236 3/20/2015 4:13:02 PM

 the damping ratio ζ of the system can be derived As a result, the selection of the parameters
from (7). of LC filter should stick to the following two
principles:
L L′ 1. The resonance angular frequency ωr should
ωn = (8)
LL ′C satisfy

R L ′C ω1  ω r  ω s (12)
ζ= (9)
2 L( L + L ′ ) In this way, parallel resonance can be avoided
at the fundamental frequency, and the harmonic
Thus, the resonance angular frequency ωr and currents around the switching frequency can be
the resonance peak Mr of the system can be derived effectively attenuated;
as 2. The resonance peak Mr should be designed
as small as possible to reduce the oscillation
L L′ R2 amplitude at the resonance angular frequency
ωr ω n 1 − 2ζ 2 = − (10) ωr. This can be achieved by increasing the value
LL ′C 2 L2 of the external inductance L′ in series.
4
8L
M r = 10 lg 2
(
L′′ R L ′C
R L R L C − R LL ′C + L L ′ ) 3.2 Considering the output current capability
of PWM-VSI
L
≈ 20 lg
RL ′ In general, the maximum output current of PWM-
VSI is less than 120% of the rated stator current
(11) of the motor, so the amplitudes of ia and i′a in
The harmonic components of the three-phase Figure 1 should satisfy the following inequality
PWM-VSI output voltage also need to be analyzed
In order to facilitate the parameter design of the LC ′ ≤ 1.2 I am
I am (13)
filter. According to W & L (2009), we can obtain
the harmonic frequencies of the output phase volt- Under the motor’s rated working condition, we
age of the three-phase PWM-VSI as nfs ± kf1, where have
fs and f1 refers to switching frequency and funda-
mental frequency respectively. When n is even, k is
a positive odd number not divided by three. Thus, ia* I q sin ωt (14)
we can come to a conclusion that the output phase
( ) ( )
2 2
voltage of the three-phase PWM-VSI contains the ′ = I q2 ω 2 LC − 1 +
I am 2
C2 + (15)
harmonics only around, but not at the integer mul-
tiples of switching frequency.
where Iq is the rated q-axis current. So Iam and I′am
can be expressed as

I am Iq (16)

( ) ( )
2 2
′ = I q2 ω 2 LC − 1 +
I am 2
C2 + (17)

By substituting (17) and (16) to (13), we can

obtain

C≤
Iq ( L Iq R Iq f
RI q f
LI q
L )
(
5ω ω L I + R I
2 2 2
q
2 2
q f
RII q +
R
2 2
f )
(18)
Eq. (18) gives the value range of the capacitance
C, during which the output current of PWM-VSI
Figure 3. Relationship of characteristic curves of Φ(s) will not exceed its permitted maximum output
and Φh(s). current.

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CMEEE_book.indb 237 3/20/2015 4:13:04 PM

 3.3 Considering the output voltage capability Table 1. Parameters of the PMSM and PWM-VSI.
of PWM-VSI
Symbol Meaning Value
The maximum output voltage of PWM-VSI is
related to the DC bus voltage Udc. If the Space Udc DC bus voltage 300 V
Vector PWM (SVPWM) method is adopted to fs Switching frequency 18 kHz
control the PWM-VSI, the amplitude of the output p Number of pole pairs 1
phase voltage U′am satisfies the following equation ψf Amplitude of permanent 0.0184 Vs
magnet flux linkage
3 R Stator resistance 0.332 Ω
′ ≤
U am U dc (19) L Stator inductance 0.429 mH
3 Iq Rated q-axis current 5.13 A
ω* Rated rotor angular velocity 2000 πrad/s
Under the motor’s rated working condition, we
have

u′′a* = ( + ) (ω L′C − 1) i
2
ωt

( )
+ ω I q ω LL ′C − L − L ′ cos ωt
2
(20)

*
The amplitude U ′am can be derived from (20).
*
By substituting U ′am to (19), the value range of
external inductance L′ can be obtained when the
capacitance C is assigned with the maximum value
of (19). The larger the external inductances are,
the lower the stator current THD is, however, the
volume, weight, and cost of the system will also
increase, so the value of the external inductances
should be selected just to satisfy the demand of the
stator current THD.

Figure 4. A-phase current waveform without any filter.

4 SIMULATION AND EXPERIMENTS

This section will present the simulation and experi-

mental results of the high-speed low inductance
PMSM with no filter, three-phase L filter, and
three-phase LC filter respectively, and compare
the stator current THD of these three methods.
The parameters of the PMSM and PWM-VSI are
shown in Table 1.

4.1 Simulation results

If the stator windings of the PMSM are directly
connected to the PWM-VSI without any filter,
a-phase current waveform is shown in Figure 4.
If the stator windings are connected with three-
phase L filter, a-phase current waveform is shown
in Figure 5.
Figure  5. A-phase current waveform with three-phase
The value of the external inductances in Figure 5 L filter (L′ = 0.32 mH).
is selected as 0.32 mH. The stator current THD in
Figure 5 is 12.47%.
From Figure  5, it can be seen that the stator characteristics of the PMSM without filter
current THD of the three-phase L filter method and with three-phase L filter are both shown in
is still high. If it is needed to reduce the stator cur- Figure 6.
rent THD further, the value of the external induct- Figure  6  shows that the cut-off angular fre-
ances should be larger. The magnitude-frequency quency decreases as the value of L′ increases, so

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CMEEE_book.indb 238 3/20/2015 4:13:07 PM

 the larger the external inductances are, the more
powerful attenuation capability to high order har-
monic currents is achieved. In addition, the slope
of both the characteristic curves is −20 dB/dec in
the HF band, which is −60 dB/dec for the LC filter
method. So the L filter method has worse attenu-
ation capability to high order harmonic currents
than the LC filter method.
If the stator windings are connected with three-
phase LC filter to reduce the stator current THD,
the value of the capacitances should be selected
to satisfy (18). According to (18), the value of C
should be less than 5.174 μF, and here we select
C = 5 μF. The value of the external inductances is
still selected as 0.32 mH. A-phase current waveform
of the LC filter method is shown in Figure 7.
Figure  6. Magnitude-frequency characteristic of
PMSM without and with three-phase L filter.
Figure  7. A-phase current waveform with three-phase
LC filter (L′ = 0.32 mH, C = 5 μF).
239
CMEEE_book.indb 239
The stator current THD in Figure  7 is 4.27%.
By comparing Figure 5 and Figure 7, it can be seen
that the LC filter method can reduce the stator cur-
rent THD more largely than the L filter method.
Similarly, increasing the value of inductances in
the LC filter will reduce the stator current THD.
If the L filter wants to achieve the same effect
as the LC filter, the value of the external induct-
ances in the L filter method should be much larger.
The relationship of the stator current THD and
the external inductances of the L filter method is
shown in Figure 8.
From Figure  8, it can be seen that THD is
reduced to 10% if the value of L′ is 0.5 mH, which
is still higher than that of LC filter method. So the
LC filter method is much better than the L filter
method. The relationship of the stator current
THD and the external inductances of the LC filter
method when C = 5 μF is shown in Figure 9.
Figure  8. Relationship of stator current THD and
external inductances of L filter method.
Figure  9. Relationship of stator current THD and
external inductances of LC filter method (C = 5 μF).
3/20/2015 4:13:09 PM
 It can be seen from Figure 9 that the stator cur-
rent THD is much higher at some value of L′. It is
just because at these points, the resonance angular
frequency ωr is at or near the integral multiples of
switching frequency, and the resonance peak Mr is
relatively high. So we need to design the parameters
of LC filter reasonably to obtain better perform-
ance. A ideal design criterion of the parameters of
LC filter is to make it work on the center of the
maximum flat area of the current THD curve.

4.2 Experimental results

Figure  10 is the control board which is based on
TMS320F2808 designed by Texas Instruments. The
MOSFET with the type STB20NM60 designed by

Figure  12. Experimental a-phase current waveform

with three-phase L filter (L′ = 0.32 mH).

Figure  10. The photo of control board for the

experiments.

Figure  13. Experimental a-phase current waveform

with three-phase LC filter (L′ = 0.32 mH, C = 5 μF).

SGS-THOMSON Microelectronics is selected as

the switching tube.
If the stator windings are connected with no fil-
ter, three-phase L filter, and three-phase LC filter
respectively, the corresponding phase current wave-
forms in these three cases are shown in Figure 11,
Figure 12, and Figure 13.

5 CONCLUSION

This paper presents a complete design process

of three-phase LC filter for the high-speed low
Figure  11. Experimental a-phase current waveform inductance PMSM to reduce the stator current
without any filter. THD. The parameters of the LC filter are designed

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CMEEE_book.indb 240 3/20/2015 4:13:11 PM

 in consideration of both the purpose of minimiz-
ing the stator current and satisfying the maximum
output current and output voltage capability of
the PWM-VSI. The simulation and experimental
results are carried out with no filter, three-phase L
filter, and three-phase LC filter respectively. Both
the results show that the LC filter method can
obtain the lowest stator current THD, and is the
best method of these three methods.
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of a bidirectional DC-DC converter for the DC link
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De, S. & Rajne, M. 2012. Low-inductance axial flux
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Kosaka, T. & Hasegawa, H. 2001. Experimental investi-
gations into skin effect influences on current distor-
tion and increase in loss for 20  kHz PWM-VSI-fed
slotless PMSM drives, Industry Applications Confer-
ence, Thirty-Sixth IAS Annual Meeting. Conference
Record of IEEE, vol. 4, pp. 2374–2379.
Kosaka, T. & Matsui, N. 1999. Drive characteristics of
slotless PM motors, Industry Applications Confer-
ence, 1999. Thirty-Fourth IAS Annual Meeting. Con-
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Burr detection algorithm based on machine vision

Zhan Shi, Chuan-Li Xi & Hao-Lin Li

University of Shanghai for Science and Technology, Shanghai, China

Fu-Sheng Tan & Jun-Fan Yan

Shanghai Electric Center Academy, Shanghai, China

ABSTRACT: Burr is usually formed and attached to the edge of surfaces during machine operations;
it poses a severe risk for component life. In this paper, an algorithm of burr detection, by using machine
vision, is proposed. The algorithm includes Gauss smoothing, threshold segmentation, edge detection,
removing pseudo burr used to detect burr in a workpiece. Detection data is transmitted to the deburr-
ing mechanical arm to remove burr. The experimental results show that the algorithm can perform burr
measurement quite efficiently.

Keywords: burr detection; image processing; Halcon; edge detection

1 INTRODUCTION good, but the method is tedious and it may remain

In the modern machinery manufacturing industry,
machinery processing occupies 60–70% of the total
amount of mechanical processing [1]. In the proc-
ess of metal parts, especially precision products,
existing processing methods can produce burrs.
Burrs are mainly distributed in the workpiece edge,
corner and arris. Burr can influence the size accu-
racy, form and position accuracy, precision and
surface roughness of the workpiece. It’s hard to
assemble, difficult to meet tolerance requirements
[2–5]. Modern processing technology doesn’t allow
the occurance of burrs. In recent years, with the
emphasis on the burr removal, deburring methods
have been coming out one after the other. Now
commonly used deburring methods are: cylinder
grinding method, Thermal deburring, and extru-
sion honing, abrasive jet deburring, magnetic
deburring, ultrasonic deburring, electrochemical
deburring, deburring robots and so on.
Although there are many methods, but each
method has its own advantages and disadvantages
[6]. Roller grinding method has the advantages of
a simple operation, high production efficiency—
but the collision between workpieces can lead
to deformation and damage, and this method
can’t remove the hole burr in tiny structures; in
treatment of a thin wall or a lower melting point
material, Thermal deburring easily causes mate-
rial deformation; The extrusion honing method
cannot remove a burr in a blind hole, Grinding
action on the workpiece surface affects the part’s
accuracy; the abrasive jet method performance is
in the workpiece making it hard to clean; the mag-
netic grinding method and ultrasonic method have
difficulty in removingthe burr; the electrochemical
method has an electrolytic effect on equipment and
the workpiece surface making, the surface lose its
luster, and even affect the size and accuracy.
The existing methods basically used adopt a
method of whole process of workpiece. It’s easy
to cause damage to the workpiece itself. Therefore,
we use image processing technology, based on
machine vision, to detect burrs on the work-
piece. This method has fast detection speed and is
strongly accurate. Meanwhile, the algorithm can
be used to detect a deburred workpiece to judge its
deburring effect.
2 MEASUREMENT SYSTEM
Figure 1 shows the flow chart of the burr detection
system. The image acquisition stage uses an indus-
trial camera to acquire the contours of the burrs.
Collected images are transferred to a computer
to detect a burr. The stage of image processing
is divided into three parts: Image pre-processing,
burr detection and pseudo burr removal.
The system hardware includes bracket, a 5 million
pixels grayscale industrial camera and light source.
The grayscale camera has higher accuracy to cap-
ture images of the edges of workpiece [7].
In machine vision, the selection of the light
source is very important. Light shape can be
changed according to the shape of the workpiece

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 3 ALGORITHM RESEARCH

This paper used Halcon to process captured

images. The algorithm is divided into three parts:
image pre-processing, detection and pseudo burr
removal. Image pre-processing is mainly used for
initial detection and to extract the burr area; the
burr detection part uses the edge detection opera-
tor to detect the burr profile; Pseudo burr removal
is used to remove noise.

3.1 Image pre-processing

Image processing mainly includes the following
steps: image smoothing, threshold segmentation,
erosion and dilation, edge extraction, minimum
bounding rectangle to determine the burr area.

3.1.1 Image smoothing

Image smoothing is used to raise low frequency
components and suppress the high frequency com-
ponent of image. It can make the image bright-
ness gentle gradient, reduce mutation gradient and
improve the image quality [8]. The aim is to reduce
the effect of surface impurities. This paper uses the
mean filter. This filter use average gray value of
pixels around the pixel instead of its original gray
Figure 1. Burr detection flow chart. value, such as formula (1).
1
G ( x, y )
M
∑ f x, y ) (1)

f(x,y) is the original image gray value, M is the total

number of pixels contained in the template, g(x,y)
is the smoothed image. Mean filter commonly used
3*3 or 5*5 template. Figures 3 and 4 are original
and filtered images.

3.1.2 Threshold segmentation

First, the algorithm calculates the average gray
Figure 2. Workpiece surface image. value of the filtered image: Gray_mean. Accord-
ing experiments, we selected Gray_mean/2 as the
threshold, Obtained region shown in Figure  5.
contour. The surface of the workpiece we used was Extracted region contains background of image,
smooth, the use of prospect light irradiating the but it still contains a lot of noise. So, we use con-
workpiece can produce serious specular reflection. nection operator in Halcon to separate these
Therefore, we used a low angle ring light source to
irradiate the surface. This light source had the abil-
ity to highlight the tiny fluctuation characteristics
on a smooth surface. Figure 2 shows the different
results of two light sources.
The algorithm is implemented in the machine
vision software, Halcon. This software is an image
processing database. Various image processing
algorithms can find the corresponding function
in this software. Compared with other software, it
saves the cost of products and shortens the soft-
ware development cycle. Figure 3. The original image.

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 Figure 4. Filtered image. Figure 6. Workpiece edge region.

Figure 5. Threshold region. Figure 7. Boundary extraction.

unconnected areas. This operator can divide a

region into separate sub-region collection. The
largest area region is the background image region,
shown in Figure 6.

3.1.3 Contour extraction

As the arc segment of the workpiece uses the
chamfering processing method, this method does
not produce burrs. Therefore, in the image pre-
processing stage, we need to remove the arc seg-
Figure 8. Linear boundaries.
ment areas. Figure 4 shows that specular reflection
caused higher gray value of arc segment. This sys-
tem uses the expansion algorithm to removing the
arc segment.
First, the region in Figure 6 expanded 30 and 60
pixels respectively. Then we subtracted two regions
to get the boundary of the workpiece contour, as
shown in Figure 7. Finally we calculated the aver-
age gray values of the region and took it as the
threshold to extract linear boundaries, as shown in
Figure 8.
According to linear boundaries in Figure  8,
Halcon operator shape_trans can get the external Figure 9. Burr area.
rectangle of the region, as shown in Figure 9.

Robert operator, Sobel operator, canny operator),

3.2 Edge detection
Edge detection is a basic problem in image process-
ing and computer vision; its purpose is to identify
brightness and significant change points in image.
Significant changes in properties of image usually
reflect important events and changes in attributes
[9]. Classical edge detection methods are the first
order of the derivative maxima algorithm (such as
zero crossing of the second derivative algorithm
(such as Laplacian operator, LoG operator) and
so on. The new edge detection methods are the
mathematical morphology method, fuzzy operator
method, wavelet analysis method, genetic algo-
rithm and so on [10].
As is widely used in image processing, the
canny edge detection operator has many excellent

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 properties. The canny operator has characteristics edge information. Image T2 extracted by the smaller
of high positioning accuracy, low error rate and threshold retains more edge information. On this
suppression false edges. The content of the algo- basis, image T2 complements missing information
rithm is as follows. of T1 till the gaps on image T1 are connected.
This system, using the Halcon software, has
3.2.1 Image filtering been integrated with the canny operator. Halcon
Any edge detection algorithms can’t behave well operator edges_sub-pix can extract sub-pixel edges.
in original data. The Gaussian smoothing fil- Extracted sub-pixel edges and partial enlarged
ter was used to remove image noise. The filter is edges are as shown in Figures 10 and 11.
expressed as:
x 2 + y2
x + m y+ m −
G ( x, y ) ∑ ∑e 2σ 2
(2)
x my m

where, m  =  (n−1)/2, n controls the extend of

smoothing image. A single pixel noise has almost
no influence on smoothed image.

3.2.2 Calculating the value and direction

of grads Figure 10. Workpiece edge region.
The canny operator adopts first order limited dif-
ference of 2 × 2 neighbouring area to calculate the
value and direction of grads. X and Y direction
of the first-order partial derivatives Px[i, j] and
Py[i, j] are:

Px [i, j ] = ⎛ ⎞ 2
I [i, j 1] I [i, j ]
⎝ + I [i 1, j 1] I [i 1, j ]⎠ (3)

Py [i, j ] = ⎛ ⎞ 2
I [i, j ] I [i 1, j ] (4)
⎝ + I [i
[i, j 1] I [i 1, j 1]⎠
Figure 11. Partial edges.
The value and direction of grads are:

M [i, j ] Px [i jj]]2 + Py [i
[ i , j ]2 (5)

θ [i, j ] tan −1 (Py [ , j ]//Px [i, j ]) (6)

3.2.3 Non-maximum suppression of gradient

In order to get an accurate position and refinement
edge, we need to refine the amplitude image edge,
keeping only the point which is the largest of the
local changes in amplitude—the process is called
Non-Maxima Suppression (NMS). The canny Figure 12. Burr extraction results.
operator adopts 3 × 3 neighbouring area, includ-
ing the direction of 8 neighbour amplitude of the
gradient array M(i,j). it takes each pixel partial
derivative value compared with the adjacent pixel
value; it also takes the maximum value as the edge
points.

3.2.4 Connecting edges

The canny operator adopts the double-threshold
method to extract two images T1[i,j] and T2[i,j].
Image T1 is extracted by the larger threshold which
removes most of the noise, but also the loss of useful Figure 13. Burr partial results.

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 The canny operator achieved good results of
edge detection. But there are some defects. The
Gaussian filter has poor suppression effect of
impulse noise. It’s easy to detect Pseudo edges;
Thresholds in double-threshold method have
poor adaptive capacity. Therefore, burr detected
by canny operator has some Pseudo burr; there is
need to remove these false edges.
4 CONCLUSION
According to the relevant parameters and cur-
rent measuring methods of burr detection, this
paper presents a measurement algorithm based on
machine vision. The algorithm reduced the detec-
tion range by Gauss smoothing and threshold
method;, the Corrosion expansion method was
used to remove the interference of arc parts. After
edge detection, noise removal, the algorithm finally
gets the precise location of the burr. It can provide
accurate data for the burr removal stage. At the
same time, the system can also be applied to detect
burr on the polished workpiece., judging whether
or not qualified.
ACKNOWLEDGEMENT
This work was supported by Shanghai Science and
Technology Committee (Number: 13DZ1101601).
247
CMEEE_book.indb 247
REFERENCES
[1] Jiyang W. Deburring technology [M]. Science and
Technology Literature Press Chongqing branch,
1986.
[2] Yunming Z, Guicheng W, Shutian F. Research and
application of metal cutting burr expert system
based on Neural Network [J]. Chinese mechanical
engineering, 2005(12).
[3] Yuejun Y. The control and formation of burr milling
in the process of aluminum alloy [D]. Shanghai Jiao
Tong University, 2005.
[4] Sung-Lim Ko, Dornfeld, D.A. Burr formation and
fracture in oblique cutting [J]. Journal of Materials
Processing Technology, 1996, 62:24–36.
[5] Sung-Lim Ko, Dornfeld, D.A. Analysis of fracture
in burr formation at the exit stage of metal cutting
[J]. Journal of Materials Processing Technology,
1996. 58:189–200.
[6] Ziyuan Y. Study on micro hole electrochemical
deburring technology [D]. Dalian University of
Technology, 2012.
[7] Image and machine vision product manual [M].
Beijing Lingyun Optical Technology Co., Ltd.,
2013.
[8] Shi H, Xiaolu P, Yimin L. An optimal algorithm for
the mean filter [J]. Information technology, 2012(3):
133–134.
[9] Lihua L. Improved algorithm of Canny edge based
on hybrid filter [J]. Science Technology and Engi-
neering, 2011(23).
[10] Jinhuan G L Z. Edge detection based on Wavelet
Transform [J]. Journal of Qingdao Technological
University, 2007, 28(2):65–68.
3/20/2015 4:13:19 PM
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Numerical simulation and experimental study on the anti-overload

ability of cylindrical roller bearing in a short time

Y.G. Ni, Y. Li & S.E. Deng

School of Mechatronics Engineering, Henan University of Science and Technology, Luoyang, China

X.F. Li
Beijing Institute of Automation Control Equipment, Beijing, China

ABSTRACT: An elastic-plastic finite element model of cylindrical roller bearing under overload condi-
tion is established, analyzing the influences of different overload coefficiency on stress and strain distri-
bution of cylindrical roller bearing; the study shows: under the overload condition (with the occurrence
of “fringe effect” at the end part of roller) stress concentration increases remarkably with the increase of
load applied; the maximum plastic deformation of the contact area between bearing roller, inner ring, and
outer ring—all present a nonlinear increased trend along with the increase of radial load. The measure-
ment of permanent deformation of the bearing after static pressure test verifies the validity of the result
of the finite element analysis.

Keywords: overload; cylindrical roller bearings; elastic-plastic; permanent deformation

1 INTRODUCTION roller and raceway and have conducted an analysis

Overload conditions—where the working loads is
several times over the rated static load in a short
time, usually happens in spacecraft, such as a rocket
engine and a steering engine drive. Thus, the selected
bearing should not only meet the dimensional
requirements of a small size and light-weight, but
also avoid the occurrence of failure under a high
overload operating condition in a short time.
Under short-time high overload condition,
the contact area between the rolling element and
raceway is going to produce plastic deformation.
The bearing contact force and deformation lie in
an elastic-plastic non-Hertz contact. The recipro-
cal action of rolling elements will result in a dam-
age accumulation of plastic deformation. Hence,
the low-cycle fatigue problem, caused by cycle
elastic—plastic strain, should be taken into con-
sideration when designing this kind of bearing.
Analytical calculation on the elastic-plastic stress-
strain of rolling contact is the foundation of reveal-
ing low-cycle fatigue mechanism of rolling contact.
Palmgren[1] purposed a calculation formula of point
contact permanent deformation, according to the
data of a bearing steel indentation test done in the
1940s, but the permanent deformation calculated
according to such formula is greater than that of the
deformation generated by high-quality steel modern
rolling bearing. Branch N.A. et al[2] have established
an elastic-plastic finite element model of bearing
as well on the contact stress field distribution within
rolling and raceway, providing thus a foundation
for research of bearing fatigue rupture. In recent
years, an exploration on the analysis of rolling bear-
ing elastic-plastic contact under a heavy load envi-
ronment has been carried out by some scholars in
China. Zhou Wei and Zhou Hui[3] have analyzed the
load distribution of angular contact ball bearing
under low velocity overload conditions, the change
of contact angle, and the maximum load of steel
ball based on the semi-empirical Palmgren formula.
Shang Zhenguo[4] et al have established a heavy load
turntable bearing static model considering the influ-
ence of supporting structure flexibility and material
plastic deformation, and analysed the inner load
distribution and contact stress of a large-scale heavy
load turntable bearing. However, the corresponding
experimental verification is not mentioned in the
analysis result of the above literature.
In this paper, an elastic-plastic finite element
model of a cylindrical roller bearing, under over-
load condition, is established using the nonlinear
contact finite element method. The contact stress-
strain field distribution between bearing elements
of different structural parameter and applied load
is analysed and the conclusion on the relation
between bearing overload coefficient and plas-
tic deformation and between overload coefficient
and contact stress, is obtained. The accuracy of
the model was further tested by experiments of

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 permanent deformation measurement. The anti-
overload ability of a cylindrical roller bearing
is studied through comparison of front and rear
bearing rotary precision, before and after static
load. The research results will provide a theoretical
foundation and technical support for the perform-
ance analysis of a cylindrical roller bearing under
short-time heavy load working condition.

2 THEORY ON THE FINITE ELEMENT

ANALYSIS OF ELASTIC-PLASTIC
CONTACT

Elastic-plastic rolling contact belongs to a highly

nonlinear problem. The normal contact between
bearing elements is established using the extended
Lagrangian Multiplier Method and surface-to-
surface contact analytical method. The modified
Newton-Raphson Method, with fast convergence
and little amount of iterative computations each
time, is applied when calculating the system of
nonlinear equations. Usually, the nonlinear alge-
braic equations[5] could be expressed as:
P (a ) = Q (1)
The concrete form of formula (1) usually
depends on the nature of problem and discrete ele-
ment method. P(a) is the vector of a’s nonlinear
function vector, and Q is the known vector inde-
pendent of a.
Figure  1. Finite element model of cylindrical roller
bearing.
Only radial load applied on cylindrical roller
bearing, outer surface of outer ring is fixed; the
axial translational degree of freedom of inner ring
and outer ring is constrained as well as circumfer-
ential movement of roller is restricted.
Overload coefficient k is defined to analyse stress
and strain distribution of bearing. k P0 / Cor , in
the formuia, P0 is bearing radial load, Cor is bear-
ing rated static load. The shaft is a rigid part.
A radial load Fr is applied on coupling nodes on
the inner wall of a shaft hole, Fr 4.6 Po /Z [7], Z is
the number of roller.

3 FINITE ELEMENT MODEL OF

BEARING UNDER OVERLOAD 4 ANALYSIS OF SIMULATION RESULTS
CONDITIONS
4.1 Influence of different overload coefficient k
With the aid of ANSYS, a 3-D model of different to contact stress
kinds of cylindrical roller bearing assembly was
In the cylindrical roller bearing NU210EM, the
established in APDL. A bearing assembly finite
design of roller convexity should be designed
element model on the maximum rolling element
according to load Q Cor . If theoretical convexity
loading location is built only under applied radial
approximate value reaches 0.021, it should estab-
direction load.
lish crowned roller finite element model. Differ-
The finite element model is meshed with the
ent radial loads should be conducted respectively
SOLID 187 tetrahedron element, and the material
on finite element analysis (k = 0.2 ~ 2.5 ), and the
of bearing assembly is GCrl5. The finite element
result compared in the end.
model is shown in Figure 1.
Figures 2–3 are respectively served as the distri-
In order to avoid the occurrence of the “fringe
bution cloud chart and distribution curve of con-
effect” on both ends of the roller, the logarithmic
tact stress of NU210EM cylindrical roller bearing
profile is adopted. Considering the ending cham-
between roller and inner ring raceway, along the
fer, the equation of logarithmic profile lines is[6]:
length direction of roller under different load-
ing coefficient. It can be found that when bearing
1 − v 2 Qmax 1 endures lighter applied load, that is k < 0.5 , the
y=2 In
π E Lwe 1 − (2 x /Lwe )2 maximum contact stress will occur in the contact
(2) center due to roller logarithm generatrix convexity.
( − Lwe /2 x Lwe / 2 ) The contact stress curve of roller and inner ring

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 Figure 2. Contact stress of roller.

contact line slowly increases from the end to the

middle part along the direction of curve. As is
shown in Figure 3a, the “fringe effect” of the end
part does not occur to roller. But when k is greater
than 0.5, with the increase of overload coef-
ficient k, the stress peak occurs around the roller
margin, and is greater than the stress of the middle
part. The greater k is, which the greater radial load
is, the remarkable increased degree of stress con-
centration will be.

4.2 Influence of overload coefficient k to bearing

plastic deformation
If radial load is imposed on different kinds of
cylindrical roller bearings, the influence rule of dif-
ferent overload coefficient k to plastic deformation
of each bearing contact area will be drawn through
changing the overload coefficient k.
Figure 4 shows the influence of different over-
load coefficient k to different models of bear-
ing plastic deformation. It can be found from
Figure 4 that under the dual function of mate-
rial nonlinearity and contact nonlinearity, the
maximum plastic deformation of contact area
between bearing roller, inner ring, and outer ring, Figure  3. Contact stress distribution curve of
all present a nonlinear increased trend along with NU210EM bearing between roller and inner ring race-
the increase of overload coefficient. When the way along the length direction of roller.
value of overload coefficient k is smaller, the con-
tact plastic deformation of inner ring raceway is
greater than that of the outer ring raceway. But as an example, as is shown in Figure 4a, when k
with the increase of k value, which is the enlarge- value is smaller than 2.25, the plastic deformation
ment of radial load, the velocity of plastic defor- of inner ring will be greater than that of contact
mation generated by roller accelerates, and finally area between roller and rollaway; when k value is
the plastic deformation of roller, is greater than greater than 2.25, the plastic deformation on roller
that of the inner and outer ring. Take NU210EM will be greater than that of inner ring raceway.

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 Figure  5. Microcomputer hydraulic universal testing
machine.

Table  1. Contrast of permanent deformation between

the test results and finite element analysis result of
NU210EM bearing.

Test Finite element

results/ analysis Relatively
um result/um error

K = 2 (Q = 138 KN)
Roller 2.64 2.81 6.43%
Inner ring 7.29 7.62 4.53%
K = 2.5 (Q = 173 KN)
Roller 17.73 19.11 7.78%
Inner ring 12.1 13.19 9.01%
K = 3 (Q = 138 KN)
Roller 26.17 28.26 7.99%
Inner ring 18.74 20.12 6.86%
K = 4 (Q = 173 KN)
Roller 45.76 47.12 2.97%
Figure 4. Influence of different overload coefficient to Inner ring 32.3 35.01 8.39%
plastic deformation of bearing.

5.1 Permanent deformation

The plastic deformation between the outer ring
raceway and roller will also be the smallest under
different external loading.
5 EXPERIMENTAL VERIFICATION
First, a microcomputer hydraulic universal testing
machine (Fig. 5) is applied for the static pressure
test of 12  sets of NU210EM bearings. The bear-
ings will be divided into 4 groups with k = 2, 2.5,
3, 4 times of radial load imposed on 4 groups of
bearing in the process. After the static pressure test,
the permanent deformation of each bearing com-
ponents should be tested after loading through the
contourgraph.
After the static test, the permanent deformation
of bearing should be measured with the help of a
contourgraph, and comparison analysis should be
conducted between the test results and finite ele-
ment analysis result, as is shown in Chart 1.
From the comparison above, it can be seen that
the maximum error of the finite element computed
result is less than 10%, which indicates that the
deformation of each bearing component calculated
by finite element method is relatively accurate.
6 CONCLUSION
An elastic-plastic contact finite element model of
cylindrical roller bearing is established by ANSYS,

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 analyzing the influence of different overload coef-
ficient k to bearing stress-strain distribution. The
conclusions drawn are the following:
1. Through the elastic-plastic finite element analy-
sis on cylindrical roller bearing with convex-
ity under overload condition, it finds that the
“fringe effect” will occur at end part of roller.
With the increase of overload coefficient k,
the degree of stress concentration will increase
remarkably.
2. Under overload working condition, the maxi-
mum plastic deformation in contact area
between bearing roller, inner ring and outer
ring will present an increasing trend along with
the increase of overload coefficient. When the
overload coefficient k is relatively small, the max-
imum plastic deformation will occur in the inner
ring raceway contacted with roller. When k is
increased to a certain degree, the maximum plas-
tic deformation will occur on the roller.
3. Compared with the finite element result and
test result, the error is less than 10%, it indicates
that the plastic deformation of each bearing
component calculated by finite element method
is relative accurate.
ACKNOWLEDGMENTS
The authors would like to express their thanks
to the support provided by National Special
253
CMEEE_book.indb 253
Projects of Ministry of Science Technology, JPPT-
ZCGX1-1/5-1
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[5] Zou Wei & Zhou Hui. 2010. Research on the Load
Distribution of Low Speed and Overload Aagulai
Contact Ball Bearings. Mechanical engineer 8: 1–3.
[6] Luoyang Bearing Research institute. 2008. The
design method of reinforced cylindrical roller bear-
ing. Luoyang.
[7] Deng Sier. & Jia Quny. 2008. Design principle of
rollng bearing. Beijing: Standards Press.
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Numerical simulation and analysis of wavefront reconstruction

iterative method in radial shearing interference

Y.F. Wang & Z.S. Da

Xi’an Institute of Optics and Precision Mechanics, Xi’an, China

ABSTRACT: The interference graph collected by the radial shearing interferometer does not directly
reflect the original wavefront information, so one needs the wavefront reconstruction of the original wave-
front. This paper deduced the iterative method for wavefront reconstruction, and conducted the numerical
simulation of the wavefront reconstruction algorithm by using Matlab at different shearing ratio. The sim-
ulation results were analysed and the conclusions were: with radial shearing ratio decreases or telescope
system magnification increases, only a lesser iteration number is needed to reach high precision, so we
can choose proper shearing ratio to simplify the numerical computation of the tedious iterative process,
improving the speed of computation; Then the analysis provides the basis for the design of the telescope
system in the radial shearing interferometer.

Keywords: radial shearing interference; wavefront reconstruction; numerical simulation

1 INTRODUCTION tested in advance to know about PV value) then

Radial shearing interferometry technique is an
effective method for laser wavefront measurements.
Since the radial shearing interferometer, without
setting the reference light, can be measured by a
relatively large diameter range of temperature
lift, air flow, ground vibration and other environ-
mental impacts which are not sensitive to shear,
than simply changing the measurement accuracy
is also changing, as compared to a conventional
interferometer has its own unique advantages; it
is widely used in the fields of the optical element
surface type detector, high-speed measurement of
the pulse wavefront and beam-quality measure-
ments. Foreign scientists have earlier done a lot
of research on the shearing interferometer[1–7] and
have come up with applications in engineering.
Many domestic scientific research institutions in
China have added to the study of radial shearing
interferometer. Chinese Academy of Engineering
Physics, Sichuan University, Zhejiang University,
Harbin Institute of technology, Nanjing Institute
of Technology and so on have done research in
the corresponding[8] field and have achieved much
success.
The difficulty of radial shearing interferometer
is how to obtain the original wavefront informa-
tion from interference fringes, which requires of
wavefront reconstruction. In order to further the
analysis of wavefront reconstruction iterative algo-
rithm accuracy (according to the wavefront to be
one must select the reasonable radial shearing
ratio, get higher accuracy and reduce the calcula-
tion time. In this paper, the iterative algorithm of
wavefront reconstruction is derived, and the wave-
front reconstruction iterative algorithm is simu-
lated using Matlab with different shearing ratio.
Finally the simulation results are analysed. Since
then the radial shearing interferometry telescope
system has been based on the analysis.
2 THE PRINCIPLE OF RADIAL
SHEARING INTERFERENCE
The radial shearing interferometer produces two
interfering wavefronts with identical deforma-
tions, but one of the wavefronts is contracted or
expanded with respect to the other in Figure 1. The
radial shearing interference pattern or the Optical
Path Difference (OPD) of one wavefront expanded
is given by
OPD( ρ , θ ) W ( ρ , θ ) − W ( βρ , θ ) (1)
where W is the wavefront; ρ and θ are the radial
and circular coordinates, respectively; and β
( β ) is the radial shearing ratio, which is the
ratio of the wavefront radius under test and that of
the reference wavefront.
If the figure in the central reference areaW ( βρ , θ )
is well determined, the figure measurement shall

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CMEEE_book.indb 255 3/20/2015 4:13:25 PM

 testing, can be done, not only to know the shape
of the wavefront, but also with the hope of get-
ting the wavefront aberration information at the
same time. Due to the high fitting precision of
the optical wavefront of the Zernike polynomial,
the orthogonality of the Zernike polynomial to
fitting polynomial coefficients are independent of
each other, to avoid the confusion caused by the
coefficient between the coupling; and the Zernike
polynomial itself has rotational symmetry, and
has good convergence for solving problems in the
process of optical design. Zernike polynomials

Figure 1. Fringe of radial shearing interference.

be accurate. However, when the central part has

errors as is usually the case, some corrections are
needed.
Here, two correction methods, the Zernike
polynomial expansion and iterative method are
proposed. Both correction methods have been
applied to fringe analysis and showed their effec-
tiveness for error correction. This research work
has mainly used theiterative method.

3 ITERATIVE CORRECTION METHOD

Multiplying β to radius ρ, the OPD is given as

OPD( βρ , θ ) W ( βρ , θ ) − W ( β 2 ρ , θ ) (2)
OPD( β ρ , θ ) W ( β ρ , θ ) − W ( β ρ , θ )
2 2 3
(3)
OPD( β ρ ,θ ) W ( β ρ ,θ ) − W ( β ρ ,θ )
3 3 4
(4)

Repeating this procedure up to i n and adding

these equations in succession, the accurate wave-
front can be calculated as
n
W ( ρ, θ ) ∑ OPD( β i ρ, θ ) W ( β n ρ, θ ) (5)
i =1

where n is the number of repeats and the term

W ( β n ρ , θ ) is converging to 0 or a small point with
increasing n.

4 NUMERICAL SIMULATION

The iterative method can be used in different Figure 2. The different iteration results under the shear-
exit pupil wavefront reconstructions. Actual ing ratio is 0.5.

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CMEEE_book.indb 256 3/20/2015 4:13:26 PM

 Figure 3. The different iteration results under the shear-
ing ratio is 0.25.
have a certain relationship with the Seidel pri-
mary aberration; the aberration function is easy
with the link to the optical design, thus it is often
used in fitting to solve optical aberration. The
iterative algorithm third parts mentioned above
use the Matlab numerical calculation software for
numerical simulation, for a different number of
iterations, the radial shear of different shearing
ratio situation to carry on the simulation, in order
to calculate the simple selection of Zernike poly-
nomial of the first eight simulation. The first eight
Zernike polynomials in the Cartesian coordinate
system is represented as:
W ( x, y ) z0 + z1x + z2 y + z3 ( 1+ 2 x + 2 y )
2 2
2 2
+ z4 ( x − y ) + z5 2 xy + z6 ( 2 x +3 x +3xy )
2 3
+ z7 ( 2 y + 3 yx + 3 y )
2 2 4 2 2
+ 8 (1 6 x − 6 y + 6 x + 12 x y + 6 y )
CMEEE_book.indb 257
Figure 4. The different iteration results under the shear-
ing ratio is 0.66.
where z0 is constant coefficient, z1 is inclined  x
direction coefficient, z2 is inclined y direction coef-
ficient, z3 is the defocus coefficient, z4 is the astig-
matic coefficient (axis direction of 0  degrees or
90  degrees), z5 is the astigmatic coefficient (axial
direction of 45 degree), z6 and z7 are the third-order
coma coefficients, z8 is the third-order spherical
aberration coefficient.
In order to make comparisons between different
shearing ratio, we construct a distorted wavefront, we
get z0 z1 = z2 z3 = z5 = 0 , z4 = −0.85 , z6 = −0.8,
z7 = 0.5, z8 = 0.069 . Getting different shearing ratio
of the figures are shown in Figures 2–4.
Analysis of the above simulation chart, from
Table 1, 2, 3 we know the initial PV value of the
3 2 distortion wavefront is relatively large and can be
considered as a big wave aberration. When the
shearing ratio is equal to 0.5, the residual wave-
4
front PV value reaches 1/1000 after 6 iterations;
257
3/20/2015 4:13:29 PM
 Table  1. Under different iterations residual wavefront 5 CONCLUSION
and reconstruction wavefront PV value when shearing
ratio is 0.25. In this paper, the iterative algorithm for wavefront
reconstruction is derived. Numerical simulation of
Reconstruction Residual
Shearing Iterations wavefront wavefront
the wavefront reconstruction iterative algorithm
ratio β N PV/(λ) PV/(λ) is done—by using Matlab numerical calculation
software, analysis of the influence on the simula-
0.25 0 14.9978 tion accuracyand the computational complexity
1 14.9518 0.0624 in the impact process numerical simulation with
2 4.1171 0.0156 different shearing ratio. Through the analysis we
6 9.8437 6.1035e-4 can see that, with the radial shearing ratio decreas-
ing or increasing telescope magnification, only
less iteration numbers are needed to reach high
precision. We can choose the appropriate shear-
Table  2. Under different iterations residual wavefront ing ratio so as to simplify the numerical compu-
and reconstruction wavefront PV value when shearing tation’s tedious iterative process and improve the
ratio is 0.5.
operation speed; for wavefront with large complex
Reconstruction Residual wave aberration, the estimation of PV value is very
Shearing Iterations wavefront wavefront important. According to estimates, we can obtain
ratio β N PV/(λ) PV/(λ) higher precision wavefront in finite times iteration,
and also reduce the wavefront reconstruction time
0.5 0 14.9978 needed. This has the practical value for real time
1 14.6041 0.2441 wavefront measurement system. But the algorithm
2 7.5456 0.1243 has ignored the influence of actual interference
6 7.7452 0.0078 error caused by the tilt of the system. Further work
needs to be done on this.

Table  3. Under different iterations residual wavefront REFERENCES

and reconstruction wavefront PV value when shearing
ratio is 0.66. [1] P. Hariharan, D. 1962. Interferometric measurements
of the aberrations of microscope objectives. Opt.
Reconstruction Residual Acta. 9: 159–175.
Shearing Iterations wavefront wavefront [2] P.J. Wegner, M.A. Henesian, and J.T. Salmon, et  al.
ratio β N PV/(λ) PV/(λ) 1999. Wavefront and divergence of the Beamlet proto
type laser. SPIE. 3492: 1019–1030.
0.66 0 14.9978 [3] A.R. Barnes, L.C. Smith, 1999. A combined phase
1 13.5182 0.9625 near and far field diagnostic for large aperture laser
2 23.1392 0.6334 system, SPIE. 3492: 564–672.
6 25.2654 0.0545 [4] Tsuguo Kohno Daiji Matsumoto, Takanori Yazawa,
et  al. 2000. Radial Shearing Interferometer for In-
process Measurement of Diamond Turning. Opt.
Eng. 39(10): 2696–2699.
shearing ratio is equal to 0.25, the residual wave- [5] Waldemar Kowalik, Beata Garncarz, Henryk Kasprzak.
2002. Corneal topography measurement by means of
front PV value can reach 1/1000 after 3 iterations; radial shearing interference: Part I—theoretical con-
shearing ratio equal to 0.66, the maximum number sideration. Optik. 113 (1): 39–45.
of iterative (6 iterations) simulation reached only [6] Waldemar Kowalik, Beata Garncarz, Henryk Kasprzak.
1/100. Illustrating that radial shearing, ratio 2003. Corneal topography measurement by means of
decreasing or increasing telescope magnification, radial shearing interference: Part II—measurement
only less iteration numbers are needed to reach errors. Optik. 114(5): 199–206.
high precision. We can choose the appropriate [7] N.I Toto-Arellano, G. Rodriguez-Zurita, C. Meneses-
shearing ratio, so as to simplify the numerical Fabian, J.F V´azquez-Castillo. 2009. A single-shot
computation tedious iterative process, improving phase-shifting radial-shearing interferometer. Journal
of optics A: pure and applied optics 0457 (045704):
the operation speed. It is worth noting that, with 1–6.
the increase in the number of iterations, the PV [8] H.X, et  al. 2002. Algorithm study of wavefront
value of the reconstruction wavefront with the reconstruction based on the cyclic radial shear
emergence of a local minimum, then becomes interferometer. High Power Laser and Particle Beams,
larger. 14(2): 223–227.

258

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Minimization of stator loss for high speed permanent magnet motor

X.Q. Liu
Beihang University, Beijing, China

ABSTRACT: This paper presents an optimization design for stator loss of high speed permanent mag-
net motor using response surface methodology and finite element method. The current frequency of high
speed permanent magnet motor is much higher than low speed permanent magnet motor, which results
in increasing ac losses. The stator loss of high speed permanent magnet motor which accounts for a large
part of total loss includes core loss and winding loss, which has a great influence on the efficiency. The
calculation methods of core loss and winding loss are presented in this paper. Then, three optimization
variables are selected and the way of influencing the stator loss is analyzed. Finally, response surface
method combined with genetic algorithm and FEM software is adopted to minimize the stator loss. A set
of optimization variables are determined, which corresponds to minimum of stator loss.

Keywords: magnetic field; response surface method; FEM

1 INTRODUCTION of core loss is a key issue in design of permanent

High-speed-motor-driven systems are widely used
in many applications, due to the huge advantages,
such as higher system efficiency, higher system reli-
ability, lower size and lower weight. Due to the high
operating speed, the motor size and weight can also
be reduced greatly. The loss density increases greatly
with the power density, which imposes a great impact
on the temperature rise of the motor. Additionally,
high frequency will impose extra impact on the
winding loss and its distribution, such as eddy cur-
rent effect, proximity effect and circulating current
effect, which may be much less remarkable in low
frequency occasions with the same power level.
The stator loss forms a large part of total loss of
high speed permanent magnet motor, which has a
close relation with motor efficiency and stator tem-
perature rise. The stator loss is mainly composed
of core loss and winding loss, which influences
the efficiency greatly. Because rotor eddy current
loss is fairly small compared with stator loss and
the air friction loss varies to a small extent when
rotor dynamic design is finished, the other losses
except stator loss can be regarded as constant and
neglected in this optimization.
2 COMPONENTS OF STATOR
LOSS AND CALCULATION METHOD
2.1 Core loss
The core loss forms a large part of total losses
of permanent magnet motor and the calculation
magnet motor all along [1]–[3].
The core loss can be expressed as
Pv K h f Bm )2 + K c fB
fBm )2 fBm )1.5
K e ( fB (1)
where, Kh is the hysteresis core loss coefficient, Kc
is the eddy-current core loss coefficient, Ke is the
excess core loss coefficient, Bm is amplitude of the
AC flux component, f is the frequency. The core loss
coefficients are derived from iron loss tester. The core
loss is calculated by FEM software in this paper.
2.2 Winding loss
In high speed permanent magnet motor, the fre-
quency of winding current is much higher than
conventional low speed motors. Compared with
the low speed motor with same power level, skin
effect, proximity effect and circulating effect should
be considered especially in the design of high speed
permanent magnet motor [4], [5].
2.2.1 Eddy current effect
The ratio of ac effective resistance Rac to dc resist-
ance Rdc by skin effect in round conductor is known
to be [6]
4
1 ⎛ a⎞
Rac / Rdc = 1 + (2)
48 ⎝ δ ⎠
where a is radius of round conductor, δ is skin
depth of the conductor in a certain frequency. For
high speed motors, thin wires are usually adopted

259

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 to construct the winding. In this case, only a small On the basis of a single conductor inductance,
increase result from eddy current effect to the issue self and mutual inductances of strands in one
of winding loss [7]. branch path can be calculated [11].
One parallel branch can be equivalent to a cir-
2.2.2 Proximity effect cuit with electromagnetic coupling among the
Proximity effect is the phenomenon that the cur- strands, as shown in Figure 2. If the core loss and
rent distribution in one conductor is influenced core reluctance are neglected, the equations of
by the magnetic field generated by other conduc- voltages and currents are
tors in the vicinity. And the corresponding loss is
called proximity loss. Proximity loss generated in ⎧U rs I jω L I1 + j M I jω M n I n
one conductor depends on the dimension of the ⎪U jω M 21I1 + j L2 I 2 jω M 2 n I n
⎪ rs I 2
conductor and the frequency and amplitude of the ⎨
magnetic field in the region where the conductor is ⎪
located. The proximity loss of the conductor per ⎪⎩U rs I n jω M1n I n + j M n 2 I jω Ln I n (5)
unit length is known to be [8].
where rs is resistance of one strand; Li is self-
π d 4ω 2 Bn2 inductance of one strand in one parallel branch;
Pe = (3) Mik(i ≠ k) is mutual inductance between strand i
128ρc
and k; U, I1, I2, … In are complex numbers expres-
sion of the strand voltage and currents varying
where, d is the diameter of the conductor, ω is fre- sinusoidally; ω is the angular frequency of voltages
quency of magnetic field, Bn is the magnitude of and currents; j is the imaginary unit.
magnetic field, ρc is resistivity of the conductor. When the current in each strand are derived, the
total loss and resistance ratio of the winding can be
2.2.3 Circulating current effect determined [12].
Circulating current effect is the phenomenon of
the uneven distribution of currents among the
strands connected in parallel due to the difference
in the inductance of each strand. Circulating effect
is a different phenomenon from proximity effect,
of which the mechanisms are different. There are
also differences in the methods of reducing circu-
lating current loss and proximity loss. At a fixed
frequency, the proximity loss will be decreased
greatly with the decrease of the diameter of the
conductor and the magnetic field where the con-
ductors locate. The issue of circulating current is
discussed in [9], [10]. Even with thin wire, the cir-
culating current will exist.
At the beginning of calculation of the winding
loss considering circulating current effect, some
assumptions should be made: (a) from the finite
element analysis results, the leakage flux in conduc-
tor region is parallel with the slot opening. Thus, Figure 1. Equivalent magnetic circuit of one conductor.
1-D model is available, and the conductors will be
arranged along the slot center line. And the area
each conductor occupies is same; (b) the stands of
one coil are arranged in succession along the slot
center line, and the sequence of strands remains
unchanged; (c) three-phase windings are strictly
symmetrical.
The inductance of one conductor can be
solved by

Li = ( 1 + 2 + 3 + 4 + 5 / 2)
(4)
where Λ1, Λ2, Λ3, Λ4 and Λ5 are magnetic perme-
ance of each part, which are shown in Figure 1. Figure 2. Equivalent circuit of one parallel branch.

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 3 OPTIMIZATION VARIABLES
The most effective parameters are number of
strands in one parallel branch, stator tooth width
and reserved height of stator slot after the over-
all design of rotor dynamics. The parameter of
reserved height of stator slot is shown in Figure 3.
The influence of the three parameters to stator
loss is introduced as follows.
3.1 Number of strands in one parallel branch
The number of strands in one parallel branch will
influence the dc resistance of stator winding. If this
value is small, the dc resistance will be large, as well
as the average current density. If the number of
strands in one parallel branch is too large, the dc
resistance will be small, and the loss resulting from dc
resistance will be small. However, with the increase
of the number of strands in one parallel branch, the
area that one branch occupies increases and the dif-
ferences of inductance between the strands which
belong to the same branch in one phase increase.
Thus, the winding loss resulting from circulating
current effect will be large. From another point of
view, with the increase of the number of strands
in one parallel branch, the size and the loss of the
stator core will increase, as well as the core loss. In
conclusion, there will be an optimal value for the
number of strands in one parallel branch.
3.2 Stator tooth width
Stator tooth width will influence the core loss and
winding loss simultaneously. When stator tooth
width is large, there is less space for the winding.
When stator tooth width is small, the magnetic
field intensity and the core loss in stator tooth will
be large. Keeping the current density of winding
constant, the height of stator slot will be increased,
which will contribute to winding loss resulting
from circulating current effect.
3.3 Reserved height of stator slot
The parameters of reserved height of stator slot
are shown in Figure  3. When tooth width and
Figure 3. Reserved height of slot.
261
CMEEE_book.indb 261
thickness of stator yoke are kept constant, the
increase of the reserved height of stator slot will
lead to more core loss, due to the fact that the slot
height and tooth length increase with reserved
height of stator slot. However, the increase of the
reserved height of stator slot will lead to less wind-
ing loss, due to the fact that the difference between
the strands decreases.
4 OPTIMIZATION METHOD
In the process of optimization, response surface
method combined with genetic algorithm and the
2-D finite element method is adopted.
The response surface function can be built in
the form of polynomial function [13], [14] or in the
form of base function [15]. In this paper, radical
basis function is adopted to construct response
surface function.
5 DESIGN OPTIMIZATION
FOR STATOR LOSS
5.1 Motor specifications
A high speed permanent magnet motor equipped
with AMB bearings is taken as the optimization
objective, of which the specifications are shown in
Table 1.
5.2 Optimization objective and constraints
The optimization objective is the total loss of the
stator. In this process, the thickness of stator yoke,
stack length, air gap length, coil-filling factor and
rated parameters of motor are kept constant.
5.3 Range of optimization variables
In this paper, the ranges of optimization variables
are shown in Table 2.
5.4 The initial set of sampling points
The initial set of sampling points is composed
of 15 points, which is shown in Table 3. The first
point is the center of the design space. The follow-
ing 6 points locate in the center of surface of the
Table 1. Main design characteristics of the motor.
Parameter Value
Rotor topology Surface-mounted magnets
Rated power 315 kW
Rated speed 20,000 r/min
3/20/2015 4:13:34 PM
 Table 2. Range of optimization variables. FEM software. The response surface function
of the stator loss with the variables of number
Parameter Range of strands in one branch, stator tooth width and
reserved height of slot can be constructed.
Number of strands in one branch (mm) [40,80]
Stator tooth width (mm) [5,13]
Once the response surface function is con-
Reserved height of slot (mm) [0,30]
structed, the minimum point of the current
response surface function can be determined by
genetic algorithm, which is (75, 5, 22.8).
After several iterations, the minimum point
Table 3. Initial set of sampling points.
of the response surface function will converge to
Number of Reserved a small space. There will be less and less differ-
strands in Stator tooth height of ence between the current minimum point and the
Number one branch width (mm) slot (mm) one before. When the difference is small enough,
the last minimum point can be considered as the
1 50 9 20 global optimum, which is (52, 5, 11) in this paper.
2 20 9 20 And the corresponding stator loss is 4.3 kW.
3 80 9 20
4 50 5 20
5 50 13 20 6 CONCLUSION
6 50 9 0
7 50 9 40 In this paper, three variables are selected to mini-
8 20 5 0 mize the stator loss. The influences of three vari-
9 20 13 0 ables are also introduced, which are different
10 80 5 0 compared with low-speed motors.
11 80 13 0
12 20 5 40
13 20 13 40 REFERENCES
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 [10] Jussi Lähteenmäki, Design and Voltage Supply of
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[13] K.Y. Hwang, J.H. Jo and B.I. Kwon “A study on
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Iterative Adaptive Algorithm based on the cross covariance matrix

of acoustic pressure and particle velocity

C.R. Zhang, J.F. Cheng & B.L Ma

Department of Weaponry Engineering, Naval University of Engineering, Wuhan, China

ABSTRACT: A vector hydrophone measures the acoustic pressure and particle velocity at a single point
in space, we propose a novel Iterative Adaptive Algorithm (IAA) to estimate the direction of arrival based
on the cross covariance matrix of acoustic pressure and particle velocity, called PVIAA. Due to the noise
of each channel being independent the cross covariance matrix is not affected by the noise. The algorithm
is able to cope with very low snapshot numbers and deal with the correlated sources. Simulation results
are presented to compare the performance of this method with the original IAA and L1_SVD, and this
method is shown to outperform the existing approaches.

Keywords: DOA; cross covariance matrix; IAA; vector hydrophone; L1_SVD

1 INTRODUCTION Both algorithms are able to deal with coherent

The estimation of Direction Of Arrival (DOA)
is one of the most important topics of the array
signal processing, which playa a fundamental
role in many applications involving radar, sonar
and seismic sensing. The traditional Delay-And-
Sum (DAS) method is the most basic approach
to estimate the DOA of the targets; however the
DAS method is limited by the Rayleigh limit, so it
suffers from the low resolution and high sidelobe
level. In recent decades, many advanced techniques
such as MVDR and MUSIC for localization have
achieved superresolution, but these methods can-
not deal with the related sources, and need a large
number of snapshots. But in a real situation, these
demands always cannot be satisfied; for example,
when the targets are maneuvered, the available
number of snapshots is low; when we need locate
the targets in the shallow sea, because of the multi-
path effect, there will be some coherent acoustic
sources. Many extensions to these algorithms have
been proposed, like the spatial smoothing algo-
rithm and APES, etc.
Recently, the sparsity-based method has been
applied in DOA estimation widely; this method
has a very high resolution, and can deal with a
few snapshots, but there will be a bias of estima-
tions when the sources are spaced closely [1], and it
requires large computation times. Iterative Adap-
tive Algorithm (IAA) is another method which
can deal with a few snapshots, and the estimation
is accurate [2]; its resolution is the same as MVDR
when the number of snapshots is large enough.
sources.
A vector hydrophone measures the acoustic
pressure and all three components of acoustic
particle velocity at a single point in space [3]. Sim-
ilarly, as with the pressure hydrophone, MVDR,
MUSIC, sparsity-based methods can be applied
in a vector hydrophone. Due to the noise of each
channel being independent, the cross covariance
matrix is not affected by the noise, and the vector
algorithms are shown to outperform the original
method.
According to the relation of acoustic pres-
sure and particle velocity, we propose an iterative
adaptive algorithm based on the cross covariance
matrix of acoustic pressure and particle velocity.
This article is organized as follows. In section 2, we
describe the mathematical model for DOA estima-
tion and the measurement of vector hydrophone.
In section 3, we state the original IAA and PVIAA.
In section  4, we give some numerical simulations
and conclude the paper in section 5.
2 MATHEMATICAL MODEL
2.1 Direction of arrival problem
The goal of source localization is the estimation
the DOA of sources based on the data received by
an array consisting of a number of sensors whose
positions are known exactly. Under the farfield
assumption, K narrow band signals at location
{ 1,θ 2 ,...,θ K } impinging on a linear uniform array

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 with M sensors, the number of snapshots is N, the R pv {y p ( n )yvH ( n )} (8)
received data can be represented as:
y( ) As( ) V( ), n = 1, 2, ..., N (1) Using (6), (7) and the independence of noise
and signals, (8) can be written as:
where As(n) are signals of K sources, V(( ) ∈  M ×1
) a( 2 ), ..., a( K )] ∈  M × K is the
is noise, A [a(θ1 ), R pv E{As( n )s H ( n )AvH } {Vp ( n )VvH ( n )} (9)
array manifold matrix; if we treat the first sensor
as reference, the steering vector is: Because the noise from different channel is
independent, so the cross covariance matrix is not
j 2π d j 2π 2 d j 2π Md T affected by the noise:
a( ) = ⎡ − λ
i (θ )
sin(
λ
sin(
i ( ) −
λ
sin(θ )⎤
⎣⎢1, e , e , ..., e ⎦⎥ E{ p ( n ) v ( n )} =
H
0
(10)
(2) H H
R pv E{ (n) ( n) v }

2.2 Measurement model of vector hydrophone

A vector hydrophone has four channels: acous- 3 IAA BASED ON THE CROSS
tic pressure and all three components of acoustic COVARIANCE MATRIX
particle velocity, according to the acoustic theory,
under the far field assumption, the relationship of 3.1 The original Iterative Adaptive Algorithm
acoustic pressure and particle velocity can be rep-
resented as: Iterative Adaptive Algorithm (IAA) is a method—
based Weighted Least Squares (WLS) estimation;
p( r,t ) it estimates the signal from all DOAs, and the esti-
v( r, t ) = − u (3) mated value was updating through the iterative
ρ0 c method.
When the algorithm estimates the signal from
where u = [cos θ cosψ , sinθ cosψ , sinψ ] , v( r, t )
T
θ j , the cost function of WLS is:
and p( t ) are acoustic pressure and particle veloc-
ity, ρ0 is the density of medium, c is the acoustic N
2
velocity, so ρ0c is a constant. θ , ψ are the azimuth ∑ y( ) j( )a(
a( j )
Q−1 ( j )
(11)
and elevation of source respectively, if we only n =1
consider the X-Y plane, u = [cos θ , sin i θ ]T , and
where x Q 1  x H Q−1x , Q−1( j ) is the noise covari-
2
when there are K signals impinging the array, the
receive data of reference sensor is [4]: ance matrix:

⎡ yp ( n) ⎤ K ⎡v p ( n ) ⎤ Q 1( j ) R− j a( j )a
H
( j) (12)
⎢ y ( n)⎥ = ⎡1 ⎤ s ( n ) + ⎢v ( n ) ⎥
⎢ yvx ( n ) ⎥ k∑ ⎢u ⎥ k (4)
=1 ⎣ k ⎦
⎢vvx ( n ) ⎥
⎣ vy ⎦ ⎣ vy
v ⎦ where R is the data covariance matrix, Pj is the signal
power at angle θ j , s j ( n ) is the signal waveform that
can be estimated by solving the cost function (11):
where y p ( n ) , yvx ( n ) , yvy ( n ) are acoustic pressure
and particle velocities of X and Y velocity chan-
nels respectively, if we combine the X and Y chan- a H ( j )Q−1( j )y( n )
s j ( n ) = (13)
nels, we can get the analytical velocity: a H ( j )Q−1( j )a( j )

yvx ( n ) = e − jθ y p ( n ) + nv
yv ( n ) = yvy ( n ) − jy (5)
Using the matrix inversion lemma, (13) can be
written as:
Just as in the subsection A, the pressure and
velocity can be represented as: a H ( j )R −1y( n )
s j ( n ) = (14)
yp( ) As( ) Vp ( n ), n = 1, 2, ..., N (6) a H ( j )R −1a( j )

yv ( ) Av s( ) Vv ( n ), n = 1, 2, ..., N (7)
And then Pj can be calculated as:
jθ jθ − jθ K
where Av [ a(θ1 ), e a( 2 ), , a( K )]. 1 N 2
Then we can define the cross covariance matrix of Pj = ∑ s j ( n ) (15)
acoustic pressure and particle velocity: N n =1

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 After estimating the signals at all angles on the 3.2 IAA Based on the cross covariance matrix
scanning grids, we update the covariance matrix
The IAA, based on the cross covariance matrix
by:
(PVIAA) replaces R by R pv which is calculated by
the product of the estimations of acoustic pressure
P = diag( P ) (16) and particle velocity, the PVIAA algorithm is sum-
R  H
APA (17) marized in Table 2.
Where p j ( n ) , v j ( n ) are the estimations of acous-
where A is different with A, it contains the steer- tic pressure and particle velocity respectively, Pj is
ing vector at each angle on the scanning grid. The the acoustic energy flow at the angle θ j , we calcu-
covariance matrix is fed into the next iterative pro- late R pv by:
cedure; the algorithm is summarized in Table 1.
In the first iteration, the initial R is set to iden- R pv  H = Adiag{[  ,  , ...,  ]T }A H
APA (18)
1 2 NK
tity matrix and the WLS is reduced to LS—this
iteration is the same as DAS. The empirical expe- Because the noises from pressure channels and
rience is that IAA does not provide significant velocity channels are independent, the cross cov-
improvements in performance after about 15 iter- ariance matrix can inhibit the affect of noise.
ations [5].

4 NUMERICAL EXAMPLE
Table 1. The IAA Algorithm.
In this section, we compare the PVIAA with the
Initial: R = I original IAA and L1_SVD algorithm, and analyze
Repeat the affect of the number of snapshots, SNR and
For j 1 2 N
NK correlation of sources.
H −1
a ( j )R y( n )
s j ( n ) = H −1
,n 1, 2, ,N
a ( j )R a ( j)
4.1 Different number of snapshots
1 N We consider a uniform linear array with
Pj = ∑ s j ( n)
2

N
M = 16 sensors and half-wavelength spacing, and
n =1
three uncorrelated sources at 60°, 82° and 90°,
End SNR is set to 10dB, the sparsity parameter p = 2,
P = diag ([ P , P , ..., P  H;
T
1 2 NK ] ); R APA the scanning grid is from 0° to 180°, the scanning
step is set to 1°. Figure 1 shows the estimations of
Until (convergence)
DOA of three algorithms in different number of
snapshots.
Figure  1  shows that IAA and PVIAA have
Table 2. The PVIAA algorithm. similar results when N = 1, but with the increas-
ing of N the resolution of PVIAA is better that
IAA, and the L1_SVD encounters location bias
Initial: R pv = I
problem.
Repeat
For j 1 2 N
NK
H −1 4.2 Coherent sources
a ( j ) R pv y p (n)
p j ( n ) = H −1
,n 1, 2, ,N We compare the estimation of three coherent
a ( j ) R pv a ( j)
sources with three unrelated sources, and N = 100,
− jθ j H −1
SNR = 0 dB.
e a ( j ) R pv yv ( n ) Figure 2 shows that the IAA and L1_SVD both
v j ( n ) = H −1
,n 1, 2, ,N
a ( j) pv ( j)
have the estimation bias problem, PVIAA can get
the accurate results.
N
1
Pj =
N
∑ p j ( n)v*j ( n) 4.3 RMSE approximation
n =1

End To compare the accuracy of estimations and stabil-

P = diag (    ); R pv

APA ; H ity of three algorithms, Figure 3 verifies the RMSE
of different algorithms; the sources are at 82.51°
Until (convergence) and 90.51°; the results are obtained by 100 Monte

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 Figure 1. The results of three algorithm in different number of snapshots.

Figure 2. The results in different correlated conditions.

Carlo simulations in each SNR, RMSE is calcu-

lated by:

Mon 2
1
RMSE = ∑ ∑ ( j −
2 × Mon i =1 j =1
j)
2
(19)

where Mon is the number of Monte Carlo simula-

tions, we can insight from Figure 3 that PVIAA
has a better RMSE in different SNR, so PVIAA is
Figure 3. RMSE of different algorithm. more accurate and more robust.

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 5 CONCLUSION
This paper has presented a novel IAA based on
the cross covariance matrix of acoustic pressure
and particle velocity. The algorithm is able to work
under severe snapshot limitations and for uncor-
related, partially correlated, and coherent sources,
can be applied to locate maneuvering target in
shallow water.
REFERENCES
[1] Malioutov, D., M. Cetin and A. Willsky, A sparse sig-
nal reconstruction perspective for source localization
with sensor arrays. Signal Processing, IEEE Transac-
tions on, 2005. 53(8): p. 3010–3022.
269
CMEEE_book.indb 269
[2] Yardibi, T., et  al., Source Localization and Sensing:
A Nonparametric Iterative Adaptive Approach
Based on Weighted Least Squares. Aerospace and
Electronic Systems, IEEE Transactions on, 2010.
46(1): p. 425–443.
[3] Pannert, W., Spatial smoothing for localized cor-
related sources—Its effect on different localization
methods in the nearfield. Applied Acoustics, 2011.
72(11): p. 873–883.
[4] Hawkes, M. and A. Nehorai, Acoustic vector-sensor
beamforming and Capon direction estimation. Signal
Processing, IEEE Transactions on, 1998. 46(9): p.
2291–2304.
[5] Stoica, P., L. Jian and L. Jun, Missing Data Recovery
Via a Nonparametric Iterative Adaptive Approach.
Signal Processing Letters, IEEE, 2009. 16(4):
p. 241–244.
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

A method to establish a continuous operational reference station

in urban districts

S.B. Wang, X.J. Du, H.J. Li & W.P. Xu

Beijing Institute of Technology, Beijing, China

ABSTRACT: With the development of GPS, CORS (Continuous Operational Reference System) has
played an important role in application areas in cities. Setting good reference stations that can supply
observation data of high quality is very difficult with high buildings and electromagnetic interference
sources standing nearby. To solve the problem, a method to establsihreference stations as well as a way,
based on observation data collected, to monitor the station are proposed in this paper.

Keywords: GPS; CORS; reference station; observation data; urban district

1 INTRODUCTION specification has been published to establish the

basic requirements for setting a reference station:
GPS technology is becoming more and more impor-
a. Observation environment’s requirement
tant in urban surveys with its fast development.
200  meters or more away from the buildings
Setting Continuous Operational Reference System
and objects that can cause a multi-path effect
with the technology of network RTK (Real Time
or electromagnetic interference; satellite visible
Kinematic) in urban districts has become the hot
angle must be more than ten degrees.
topic in GPS application area. The core concept
b. Geological condition
of the CORS is the observation data supplied by
Stations belonging to the National reference
the reference station, for which reason building a
station should be set on the stable ground,
station that can supply data of high quality is very
away from the district that is unstable or easily
important. In urban districts, satellite signals will
drowned by the rainwater. Regional station can
be kept out or refracted by tall buildings. What’s
be set depending on its environment condition.
more, the radio station and cell tower will be
c. Maintenance requirement
electromagnetic interference sources for the satel-
Network supplied for transporting observa-
lite signals, which will make the station unable to
tion data; stable and reliable power to keep the
receive complete and correct information from the
station running continuously; convenient in
satellite, resulting in bad observation data.
transportation.
In this paper, a method to set reference station
The standard above is not specific enough to
in urban districts is proposed and indicators are
guide an engineer to complete the station, for
listed to assess whether the position selected is suit-
which reason, on the basis of the specification,
able for an antenna.
a more specific way is proposed below.
This paper consists of three parts. In the first part
the method is proposed, and then the indicators for
the observation data are listed to test whether the 2.2 Procedures to set a station
point selected is suitable to build an antenna, in
the last segment an example is expressed to verify 1. Selecting proper districts to make the reference
the method proposed useful and practical. net a good geometrical configuration
Reference stations have an effective range of fifty
kilometers, depending on which we can choose
2 SELECTING PROCEDURES
three or four districts. The districts selected
AND ASSESSMENT
must be in good geometry (geographic????)
configuration. Now the main network, RTK
2.1 National specification
Technologies, are VRS (Virtual Reference
The global navigation satellite system continuously Station), MAC (Master-Auxiliary Concept), CBI
operating reference station network construction (Combined Bias Interpolation), when supplying

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CMEEE_book.indb 271 3/20/2015 4:13:49 PM

 observation data for rover receiver, all this three
algorithms need data that comes from more than
one station. So a good geometry configuration
will make it possible for rovers to get data from
more reference stations, and it will enhance the
performance of the rover receiver as well.
2. Select the antenna point
Make a filed research on the districts selected
in the last step to make sure that, there are no
buildings tall enough to shield the GPS signals
and also that there is no radio station and cell
tower that can affect the GPS signal. It is bet-
ter to collect some photos: they may be needed
when analyzing. Make sure also that there is sta-
ble and reliable power supply to keep the station
running continuously.
3. Collect and process observation data
It is the most important step in the entire excer-
cise. This step will decide whether the district
selected will be a good point for a station. In this
step we should collect observation data from the
antenna founded in the last step; this data must
be able to reflect the satellite signals completely.
Consider the situation that the station runs
continuously, the ionosphere error and multi-
path error change with the satellite elevation,
satellite position, ionosphere density periodi-
cally, and the GPS satellites’ period of revolu-
tion is 11 hours and 58 minutes, while the earth’s
rotation is repeated every 24 hours. So the satel-
lite distribution will repeat every 23 hours and
56  minutes. And one day’s observation will be
good enough to evaluate the environment.
After collecting the data, process it and ana-
lyse the result to draw a conclusion.
4. Data analyse
The quality of the station’s observation data is
relevant to the multi-path error, cycle slip, integ-
rity of the data, validity and carrier-to-noise
ratio. TEQC that has been developed by the
UNAVCO Facility is used to analyse the obser-
vation data.
2.3 Criterions to set a station
Multi-path error: Multi-path error is related
to the environment of the station and the height
of the antenna. After analyzing the observation
data, the TEQC software will give out two parame-
ters MP1 and MP2 that are assumed as the compre-
hensive index the multi-path effect on pseudo-range
and phase in L1 and L2 respectively:
⎡ 2 ⎤ ⎡ 2 ⎤
P1 = ρ1 − ⎢1 +
MP ⎥ * Φ1 + ⎢ α − 1 ⎥ * Φ 2 (1)
⎣ α − 1⎦ ⎣ ⎦
⎡ 2α ⎤ ⎡ 2α ⎤ (ICD), GPS signal’s power is said to be −130 dbm,
P2 = ρ2 − ⎢
MP ⎥ * Φ1 + ⎢ α − 1 − 1⎥ * Φ 2 (2)
⎣ α − 1 ⎦ ⎣ ⎦
272
CMEEE_book.indb 272
where ρ1 and ρ2 represent pseudo-range of L1 and
L2 respectively, Φ1 and Φ2 represent carrier-phase
of L1 and L2. In addition
f1 2
α= (3)
f2
IGS’s (International GPS Service) data analysis
shows that, for multi-path error, two third IGS’s ref-
erence stations’ MP1 is lower than 0.5, while MP2
lower than 0.75. We can use this as a criterion.
Cycle slip analysis: Cycle slips only emerge when
the PLL (Phase Locking Loop) failed to track the
signal. The slip is counted according to the iono-
sphere residual error; the calculating formulae is
shown below:
) j −1 ⎤⎦ / (t j − t j )
1 ⎡
IOD
D1
α −1⎣
( 1 ) (
2 j 1
(4)
α ⎡
IOD
D2
α −1⎣
( 1 ) (
2 j ) j −1 ⎤⎦ / (t j − t j 1 )
(5)
tj means an epoch, IOD1 and IOD2 are the flags,
when the flags are higher than the threshold value
the slip number will be added.
The analysis result given by TEQC will intro-
duce a parameter o/slps, called ratio of the obser-
vation and slip to show the cycle slip, while we use
another parameter to describe it.
1000
CSR = (6)
o/slps
More than half of the IGS station’s CSR is no
more than 5, which can be used as a criterion to
evaluate the station selected.
Observation integrity: The actual epochs
received divided by theory epochs makes the integ-
rity, and epochs can be calculated by the satellites
available plus the time they remain. And the integ-
rity value must be higher than 95%.
Observation validity: When an observation
contains the information of C/A code, P code, L1
phase, L2 phase and C/N, the data is said to be
validity, otherwise it is invalid. The value of valid-
ity is expressed by the observation completed and
observation deleted. If the reference station can
run stable continuously, its observation invalidity
rate must be lower than 5%.
C/N: Carrier to Noise Ratio (C/N) is an impor-
tant indicator for the environment evaluation.
According to the Interface Control Document
while the noise power is about −204 dbm. So the
3/20/2015 4:13:49 PM
 ideal C/N is 44, after considering the loss inside
receiver, 40 is good enough for a receiver’s output.

3 THE ANALYSIS OF THE EXAMPLE

After detailed research, the roof of the China

Transportation Telecommunication building is
selected to be the test point. For there are no tall
buildings around the roof area, making it easy to
receive satellite signals. The reference station is
immune to electromagnetic interference as there
are no no cell and radio towers nearby. Besides,
stable power and convenient traffic condition make
the station easy to maintain. Figure 3. Analysis result of the MP2.
After the investigation and survey in this envi-
ronment, one day’s RINEX ephemeris is collected
which is then analysed by the TEQC software; the
result is shown in the picture below.

3.1 Analysis on multi-path error

Figure 1 shows that the MP1 and MP2 are 0.48 and
0.33 respectively, Figure 2 and Figure 3 below are
the multi-path error in some epochs, which show
that the multi-path error is not more than 2 meters
in most time.
After being compared with the IGS results, the
selected point’s multi-path error is good enough.

3.2 Analysis on cycle slip

Figure  4 and Figure  5 are some epochs’ iono- Figure 4. Analysis result of the ionosphere error.
sphere error and its changing ratio; the slips on

Figure 1. Sum analysis result of the RINEX data given

by TEQC.

Figure  5. Analysis result of the ionosphere error’s

changing ratio.

the second figure and the peak on the first figure

mean a cycle slip.
From Figure 2, it can be seen that the o/slps value
is 23583, which will be 0.04 after being changed to
CSR. Compared with the IGS data, o/slps do not
Figure 2. Analysis result of the MP1. happen very often.

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CMEEE_book.indb 273 3/20/2015 4:13:51 PM

 3.3 Analysis on integrity
The Figure 6 shows the analysis results on integrity,
and after calculation the result is 99.97%, which is
perfect for a reference station.
3.4 Analysis on observation validity
From the Figure 7, it can be seen that the validity is
100%, which is perfect!
Figure 6. Result about the integrity by TEQC.
3.5 Analysis on C/N
From the Figure  8, it is easy to find that most
epochs’ C/N is higher than 44, which means that
the point selected for antenna is perfect to set up a
reference station.
4 CONCLUSION
A method to set reference station in urban district
is proposed, and an example is given to verify the
method. In the analysis result of the example, the
multi-path error, cycle slip, observation integrity,
validity and C/N are qualified to be a reference
station. So the conclusion can be drawn that the
method is useful and practical.

REFERENCES
Figure 7. Result about the validity by TEQC. [1] Guan Jian An 2010. Application and Certain Techni-
cal Question Research of Precise Positioning Service
Based on CORS.
[2] Li Jun & Wang Jiye 2006. Quality Checking and
Analysis on GPS Data in Northeast Asia. Geomatics
and Information Science of Wuhan University
2006(3):209–212.
[3] Liu WenJian & Yang Li 2008, Research on CORS
Reference Station Location. Geospatial Information
2008(6):6.
[4] Zhan Fan 2009. Distribution Design and Experi-
ments of FJCORS Reference Station. Geospatial
Information 2009(7):74–76.
[5] Zhao Guo Qiang & Sun HanRong 2009. Quality
checking and Analysis for Crustal Movement Obser-
vation Network of China. Urban Geotechnical Inves-
tigation & Surveying 2009(3):73–75.

Figure 8. C/N of some satellites in some epochs.

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CMEEE_book.indb 274 3/20/2015 4:13:53 PM

 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

The research on the leak repairing method of the recoil mechanism

N. Li, W. Jiang, H.P. Guo, S. Wang & L.M. Chen

Wuhan Mechanical Technology College, Wuhan, Hubei Province, China

ABSTRACT: The recoil mechanism is the “heart”, and it is the vital part, of the artillery. The leak-
age of gas and liquid of the recoil mechanism is researched in the paper. In particular research in
this paper focuses on the liquid leakage of the recoil mechanism wall. The paper also studies the
leak repairing method I which is significant for recovering the fighting force of the equipment
quickly.

Keywords: the recoil mechanism; the leakage of gas and liquid; the leak repairing

1 INTRODUCTION 2.1 The copper obturator ring

The recoil mechanism is the “heart”, and it is the
vital part of the artillery; and the 60%∼70% of the
faults are about the recoil mechanism. The recoil
mechanism consists of the recoil brake, includ-
ing the recoil fluid and the counter recoil, which
also includes the recoil fluid and the high pressure
gas. The main technical requirement of the recoil
mechanism are special liquid and gas. There should
be no leakage whatsoever of either. Also the seal-
ing element should be reliable. However, in the
shooting, the recoil mechanism works under high
pressure in an environment of high temperature.
Leakage of gas and liquid is the most important
and the most common fault. According to statis-
tics, the number of the faults for the entire artillery
is about 50%, and seriously effects combat readi-
ness and mission success. It results in the incon-
venience of the use and support of the equipment
and the personnel training—thus affecting com-
bat effectiveness of the armed forces. Therefore,
the research on the leak repairing method of the
recoil mechanism is of great importance and
significance to the Repair guarantee of the artil-
lery and the effectiveness in combat of the armed
forces.
2 THE FAULT PHENOMENON
AND REASON OF THE LEAKAGE
OF GAS AND LIQUID OF THE RECOIL
MECHANISM
The faults of the leakage of gas and liquid of the
recoil mechanism are mainly due to the following
reasons.
of the thread joints is hardened
2.2 Failure cause: The pressure control mainly
in the maintenance is not in sync and the
copper obturator ring is hardened because of
over-use in high pressure load; this can cause
deformation, making the copper obturator
ring lose its sealant quality, resulting
in leakage. The rubber element loses its
elasticity, and the surface is sticky or hard and
brittle, and the cracks and exfoliation arises
Failure cause: The rubber element—for example
the leather ring, the leather and so on is ageing,
and the recoil mechanism is closed by the rubber
element; if the rubber element is contaminated by
the acid, alkali, oil and other corrosive substances
in the repair process, its swells and hardens, which
reduces its strength and elasticity, reluting in in the
leakage of the recoil mechanism.
2.3 The conical surface and the room of the
opening and closing lever makes it loose
Failure cause: Mainly by the improper operation,
the conical surface and the room of the opening
and closing lever are damaged, and thereby the
conical surface and the room of the opening and
closing lever becomes loose resulting in the leakage
of gas and liquid.
2.4 Acid free welding breaking
Failure cause: Poor protection of the acid-free
weld in the use of the process, and the solder
joints being subjected to the physical impact or the

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CMEEE_book.indb 275 3/20/2015 4:13:53 PM

 chemical corrosion, result in the leakage of gas and
liquid from the thread junction.
2.5 The liquid leakage of the recoil
mechanism wall
Failure cause: The recoil mechanism wall is dam-
aged mainly by shrapnel in the battlefield, resulting
in the occurrence of the leakage of gas and liquid.
3 THE CONVENTIONAL
METHODS OF THE TRAP
The leakage of gas and liquid of the recoil mecha-
nism can be eliminated by replacing the damaged
components such as—the copper obturator ring
which has hardened, the rubber component which
has lost its effectiveness, the damaged conical sur-
face of the opening and closing lever and so on. But
if the recoil mechanism wall is damaged, and there
are no spare parts being used for their replacement,
how does one solve the problem? The several trap-
ping methods of the recoil mechanism wall are.
3.1 The welding mending method
As shown in Figure 1, the welding mending method
entails the welding of the point of leakage with the
electrode or the iron directly to ensure the leaking
stops [1]. This method is suitable for micro seepage
or small quantities of leakage and the pressure is big
or can be decreased: the welding ignition can be put
Figure 1. The welding mending method.
276
CMEEE_book.indb 276
out by fire extinguishers,: it also works well when
the tube wall corrosion of the leakage point is not
serious or the corrosion of the tube wall can be sus-
tained with the strength generated by the welding:
this, of course, does not apply to a flammable
and combustible situation. The welding mending
method is used in the case of direct welding or the
Pasted plate welding to the leak treatment generally.
The method is mainly used in weld inclusions and
abscess or stress crack micro leakage locations.
When being welded the copper hammer beats the
welding meat to make the leak shrink before weld-
ing, and the welding effect is more obvious.
3.2 The capping remedy method
As shown in Figure 2, the capping remedy method
entails the top pressure support or the fixed screw,
being set in the tube wall leakage positions; with
this method t the top pressure sealing gasket seals
the leakage [2]. It is applicable in the case of tube
wall leakage, and when the leakage pressure is not
great, and also when hot welding can not be taken
with pressure. The pressure tool used is based on
the actual shape and the size of the pressure tool
leak. This method is mainly applied to the corro-
sion leak site which is easy to operate. Firstly the
leakage is stopped by using a filler, the wedge, the
lead, the strong magnet plugging and so on, then
the top pressing tool is set, then the sealing pad
section is installed, and lastly the pressing mecha-
nism is used to plug the leak.
3.3 The hoop trap method
As shown in Figure  3, the hoop trap method is
the method in which the leakage is plugged by the
Figure 2. The capping remedy method.
3/20/2015 4:13:53 PM
 Figure 3. The hoop trap method.
pipe hoop mounted to the tube wall. This is appli-
cable in the case of a tube wall leakage, also when
its leakage pressure is big, and hot welding cannot
be taken with pressure. According to the leakage
of the tube wall dimensions, the appropriate seal-
ing hoop has to be made for the leak treatment.
The method is mainly applied in the case of an
inconvenient leakage point or if it has an irregular
shape.
3.4 The fixture note glue trap method
As shown in Figure 4 and Figure 5, the principle
entails that the sealing structure is established in
the dynamic operation of the medium and real-
ised by the fixture and the sealants [3]. The fix-
ture is the important tool of the fixture note glue
traps technique, and must meet the necessary
requirements which are: (1) Sufficient mechanical
strength and stiffness. (2) Certain amount of space
to facilitate the sealant being infused, and the new
sealing structure formed. (3) The number of injec-
tion holes which are appropriate and reasonably
structured. (4) There must be appropriate clear-
ance between both the original leak and the fixture,
and the running glue being used. Application of
the fixture note glue trap method is most widely
used: it is suitable to the medium of raw gas, puri-
fied gas, steam, air, acid gas factory, industrial
water, rich solution and so on. This method is
also the future development direction of the pres-
sure sealing technology, and many enterprises and
research institutions are involved in its research
and development.
3.4.1 The caulking trap method
The caulking trap method is mainly suitable for
defects such as the sand hole and the small hole
and so on. The hammer, the punch and other tools
beat the leak around the body, and the tube wall of
the metal takes the place of the plastic deformation
by the impact force, and the leak is stopped with
the plugging method. The method is suitable when
277
CMEEE_book.indb 277
Figure 4. Automatic strapping note glue trap method.
Figure 5. The structure of note glue nut.
the leakage quantity is not great, or the internal
pressure of the media is not too much, or when the
leakage of the tube wall lacks a certain thickness
and so on. The force of the hammer in use to pre-
vent leaks should not be to hard else it will create
vibrations.
3.4.2 The repair technique of the cold
welding stick
The repair technique of the cold welding stick is
the method by which the leak point is plugged
by the adhesive curing characteristics of the spe-
cial material. The features of this method include:
convenient construction without fire, good plastic-
ity, strong adaptability, high strength after curing,
excellent durability and so on [4].
When repairs are done by welding, it needs at
least two people. Firstly a piece is cut to the size of
the damaged part from the cold welding mud rod,
then the piece is kneaded and extruded repeatedly,
and mixed together to form a kind of rubber mud.
Then it is flapped repeatedly, and shaped like the
damaged part: it has a thickness of 5 mm which is
then finally pressed into the leak hole. The second
person in this method is needed for grinding the
cold welding mud rod with the hacksaw, after which
3/20/2015 4:13:54 PM
 he removes residual impurities on the surface using
a clean cloth. The glass aluminum tape being cut is
stuck on the rubber mud and the excess cut away.
Again two people are needed in the final stages
in which one person presses the rubber mud and
the other daubs sealant in the corresponding edge,
2 minutes later, using the hand along the edge of
the sealant to ensure there is no feeling of mucos-
ity; it is reinforced using the cold sweat reinforcing
agent, before the entire operation is completed.
4 CONCLUSION
This paper introduces several recoil mechanism
trap methods, and through the discussion and the
research, suggests the method that is feasible and
effective for the recoil mechanism repair work; this
278
CMEEE_book.indb 278
saves large numbers of the maintenance resources,
and is significant for recovering the fighting force
of the equipment quickly, and also improves the
fighting capacity of the military.
REFERENCES
[1] Hu Yi-wei. Note the Agent Type Technique with
Pressure Seal [M]. Beijing, China Machine Press,
1998.
[2] Ji Min-hua. The Application of the Pressure Seal
Technique [J]. Shanghai Chemical Industry, 1999,
24(8).
[3] Li Xin, Yang Mei. The Research on the Object-
oriented Design Method of the Pressure Seal Clamp
[J] Lubrication Engineering, 2010, 35(8).
[4] Huang Zhi-ming. The Key Technique of the Pressure
Seal [J]. Fujian Chemical Industry, 2003(3).
3/20/2015 4:13:54 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Image retrieval research based on feature points and affine invariant

moments

B.Q. He & Z.M. Wang

Nanchang Institute of Technology, Nanchang, China

ABSTRACT: Image retrieval is the latest rising technology thanks to the great development of com-
puter and digital information processing technology. But, how to search specific kind of images from the
multitude of resources now available is the key technology. Now, retrieval, based on the multi-data is a hot
and complex research point. In this paper, a new image retrieval algorithm is proposed, which is based on
the study of feature points and affine invariant features. This algorithm uses both local features and global
features, which can effectively overcome image translation, rotation, scaling, and affine change, and also
has higher retrieval precision and efficiency compared to traditional algorithms.

Keywords: image retrieval; affine invariant feature; spatial feature point; retrieval precision

1 INTRODUCTION the matching of Harris-Laplace points, then one

uses the Euclidean distance to complete the MSA’s
The earlier image retrieval algorithm is mainly matching. Finally, one takes the weighted formula
based on text retrieval, and later, on color, texture, to finish image retrieval.
shape and content. Because of the rich image con-
tent, a simple algorithm, without manual interven-
tion and content-based image retrieval technology, 3 ALGORITHM PROCESS
is widely used presently in the image field. It can be
divided into different ways, based on the retrieval Image retrieval process includes pre-treatment, fea-
method, such as text retrieval [1–2], texture feature ture extraction, description and matching.
retrieval [3–4], and shape retrieval [5–6]. But by
only using one kind of feature for image retrieval,
one discovers the precision and efficiency are not
ideal; so the existing algorithms are mostly based
on feature’s fusion.
After researching the existing algorithms at
home and abroad, this paper proposed a new image
retrieval method, which is based on the fusion of
the feature points and invariant moments.

2 ALGORITHM DESIGN

In this paper the algorithm implementation proc-

ess is as shown in Figure 1.
First, the image should be pre-processed—in-
cluding filtering and graying. Then one extracts
the Harris-Laplace corners [8] and MSA moments
[9]. After feature extraction, the next step is fea-
ture matching. Annular histogram [10] is a good
method of describing corners, and the Delaunay
Triangulation net [11] is also a good method to
describe corners. In this paper, through the combi-
nation of annular histogram and DT net to realise Figure 1. Algorithm flowsheet.

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 3.1 Image pre-processing
Due to the fact that a colour image has large
amounts of data and noise, it is not easy to han-
dle, so the first step is graying. This paper has
used the weighted formula in article [12] for gray-
ing, and then used 3 × 3 median filtering template
to denoise. The pre-treatment result is shown in
Figure 2.

3.2 Feature extraction

In this study, the extracted features include Figure 3. Harris-Laplace corners.
Harris-Laplace corners and MSA affine invariant
moments, by adopting the algorithms of reference
literature [8] and [9].
Figure 3 is the extraction result of Harris-Laplace
3.2.1 Harris-Laplace corner extraction corners.
The process of extracting Harris-Laplace corners
is a complex process. Firstly, use the formula (1) to 3.2.2 MSA feature extraction
calculate Gauss scale space construction of differ- The MSA feature has good translation, rotation,
ent scale factors: scale invariance and excellent full affine invariance.
Literature [9] introduced the MSA affine invari-
L ( x, σ n ) I (x ) * G ( n) (1) ant feature extraction algorithm. In the image any
fourth points that can be expressed by three arbi-
Then use formula (2) to calculate Harris second- trary points are not collinear, as formula (4):
order matrix for each layer of scale space.
Uαβ X 0 + α X1 X 2 β (X 2 X0 ) (4)
( μx ,σ I , D ) σ DG (
2
I)
where (α , β ) is coefficients, X 0 is the origin point.
⎡L2x ( ,σ D ) y( ,⎤ D)
×⎢
x
⎥ (2) Define f ′ X ′ ) = f TX
T t ), Uαβ can be
⎢Lx Ly ( ,σ D ) 2 ⎥
y( , D ) ⎦
expressed as formula (5):
⎣
X 0 + α TX
TUαβ = TX X1 TX
X0 β (TX 2 − TX
X 0 ) (5)
where L2x Lx × Lx L2y = Ly Ly , Lx Ly = Lx Ly ,
σD σI.
Next, calculate the Harris corner response in The equation stays the same in spite of random
scale-space image: affine transformation; therefore the coefficient was
defined as MSA affine invariant moments.
R det( μ ( x,σ l D )))) − k ttrace 2 ( μ ( x,σ l , D )) (3)
3.3 Feature description
where k = 0.04 ~ 0.06 . 3.3.1 Circular histogram
In each layer of scale image, if the point corner Circular histogram makes the image divide into a
response value is greater than the other 8 points’ plurality of rings; then count the number of corner
value of the 3*3 window and is greater than a points in each ring to describe the corner feature.
certain threshold, it is a Harris-Laplace corner. Suppose f x, y ) is one digital image expression,
( xi , yi ) is the centroid for all the image pixels in the
ring I, and can be expressed as:

1 1
xi =
Ai
∑ x yi =
Ai
∑ y (6)
( x , y )∈Ai ( x yy)∈Ai

After normalisation, the annular histogram has

translation, rotation and scale invariance. As you
can see in Figure 4, the number of corners in each
Figure 2. Pretreatment. ring will stay the same.

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 distance [16] and others. Euclidean distance is
one most common used algorithm; because of
simple calculation, easy implement, and high effi-
ciency, it is widely used in feature matching. This
paper uses Euclidean distance for matching MSA
feature:
n
Sf ∑ ( M i − M j )2 (8)
i =1

In the formula Mi and M j are the MSA features

extracted from different images.
Figure 4. Delaunay net.
Table 1. Flowers’ retrieval result.

Figure 5. DT net description.

3.3.2 Delaunay triangulation

Harris-Laplace corner’s distribution is complex,
which can not be directly used for information
description, therefore one needs a specific method.
DT network is a collection of triangular series but
with no overlap, and the circumcircle of these tri- Table 2. Elephants’ retrieval result.
angles do not contain any other point of the plane.

3.4 Feature matching

Because this paper has used a variety of matching
methods, it needs to use different similarity meas-
ures [13] for feature matching, including annular
histogram, DT net and MSA feature.
This paper uses the triangular gap evaluation
method presented by literature [11]. Suppose there
are two triangles ABC and A′ B ′C ′, then the simi-
larity of two angles A and A′ is:

⎛π
Sa = cos3
⎝2
( − d a b )⎞⎠ (7)
1
− ( a b )2
(a
, σ = aP / 3 , P = 50%.
2
where d (a, b ) e 2
Common distance methods include Euclid-
ean distance [14], cosine value [15], Mahalanobis

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 Table 3. The contrast of three methods.

Rn (%) Pn (%) T (s)

Images M1 M2 M3 M1 M2 M3 M1 M2 M3

Face 99.52 98.47 79.08 97.26 97.32 65.24 1.0345 0.9417 1.2350
Trademark 99.75 99.27 75.89 98.38 96.32 64.67 1.0417 0.9546 1.6354
Car 97.51 95.45 58.69 86.04 77.84 41.87 0.9673 0.9048 1.4115
Elephant 98.35 96.28 84.46 90.56 85.76 67.21 0.9773 0.9275 1.4375
Landscape 97.72 92.28 75.18 90.69 85.09 69.53 0.9588 1.0602 1.4579
Flower 98.97 95.10 70.39 93.69 86.30 76.32 1.0270 0.9817 1.4863

*M1, M2, M3 is three different methods.

4 EXPERIMENTS AND RESULTS retrieval algorithm, based on the MSA affine

ANALYSIS
In this paper the experimental environment is
Windows XP system under the software of Matlab
R2009a, CPU Intel Core 2 Quad 2.66 GHz, 4 GB
memory’s computer. Image database downloaded
from the Internet, includes the common charac-
ter, animal, vehicle, trademarks and other images;
this paper used Photoshop to process 20 images,
and divided them into two groups. The first group
includes 10 images after translation, rotation
and scale changes after treatment- and 90 images
without processing; the second group includes 10
images after adding noise, distortion and occlu-
sion: the other 80 images are without processing.
Then respectively it use this method for image
retrieval experiments to carry out on the two
groups of images.
In order to prove this algorithm’s advantage,
separately use DT net and the annular histogram
to carry out retrieval experiments on 200 images in
this library. Table 1 is the flowers’ retrieval result;
Table 2 is the elephants’ retrieval result. From the
analysis based on experimental results, although
the images passed a variety of transformations,
including scale, rotation, occlusion, distortion,
and other transformations, the performance of
this algorithm is better than the other two.
The evaluation factors of image retrieval algo-
rithm include recall rate, precision and retrieval
time the three main indicators. Table 3 is the exper-
iment result using three methods on two groups
of image, where M1 is the algorithm in this paper,
M2 is the only one using the annular histogram
method; M3 is only using the DT net method.
5 CONCLUSION
Aiming at the deficiency of the existing image
retrieval algorithms, this paper proposes a new
invariant features and Harris-Laplace corners.
Through the contrast of retrieval experiments,
this algorithm has better comprehensive properties
than the histogram and DT net retrieval method,
making up for the deficiencies of only using annu-
lar histogram and DT net. The experiments’ result
shows that this algorithm has a good retrieval
result on character, animal, trademarks and natu-
ral scenery images.
REFERENCES
[1] J.M. Corridoni, A. Del Bimbo, P. Pala. Image
retrieval by color semantics [J]. Multimedia Sys-
tems, 1999, 7(3): 175–183.
[2] Sangoh Jeonga, Chee Sun Wonb, Robert M. Graya.
Image retrieval using color histograms generated by
Gauss mixture vector quantization [J]. Computer
Vision and Image Understanding, 2004, 94(1–3):
44–46.
[3] Ganar A.N., Nagpur, Jambhulkar S.M.
Enhancement of Image Retrieval by Using Colour,
Texture and Shape Features[C]// International Con-
ference on Electronic Systems, Signal Processing
and Computing Technologies. Nagpur, India: IEEE
Press, 2014: 251–255. [10.1109/ ICESC.2014.48].
[4] X.Y. Wang, B.B. Zhang, H.Y. Yang. Content-based
image retrieval by integrating color and texture fea-
tures [J]. Multimedia Tools and Applications, 2014,
68(3): 545–569.
[5] Torres, R.S., Picado, E.M., Falcao, et al. Effective
image retrieval by shape saliences [C]// XVI Brazilian
Symposium on Computer Graphics and Image
Processing. IEEE Press, 2003: 167–174. [10.1109/
SIBGRA.2003.1241005].
[6] Castellano G., Castiello C., Fanelli A.M. Content-
based image retrieval by shape matching [C]//
Annual meeting of the North American Fuzzy
Information Processing Society. IEEE Press, 2006:
114–119. [10.1109/NAFIPS.2006.365870].
[7] Amin T., Zeytinoglu M., Ling Guan. Application
of Laplacian Mixture Model to Image and Video

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 Retrieval [J]. IEEE Transactions on Multi-media,
2007, 9(7): 1416–1429.[10.1109/TMM.2007. 906587].
[8] Wang W.X., Xu H.L., Luo D.J. Image Autoregistra-
tion on Harris-Laplace Features [C]. Third Inter-
national Symposium on Intelligent Information
Technology Application, 2009: 559−562.
[9] Rahtu E., Salo M., Heikkila J. Affine invariant pat-
tern recognition using multiscale autoconvolution
[J]. IEEE Transactions on Pattern Analysis and
Machine Intelligence, 2005, 27(6): 908–918.
[10] Zhang X.J., Sun J.G., Zhang Z.Y. An improved
algorithm of annular color histgram [J]. Journal of
Ningbo University, 2007, 20(2): 155–159.
[11] Yu Jie, Lu Ping, Zheng Changwen. The method
comparison of Delaunay triangulation construc-
tion [J]. China Journal of image and graphics, 2010,
15(8): 1158–1167.
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[12] Xing Chun. The multi feature fusion of image
retrieval system design and Implementation Based
on [D]. Harbin: Harbin University of Science and
Technology, 2012.
[13] Chen W.B. Several image similarity matching per-
formance’s comparison [J]. Measurement of com-
puter application, 2010, 30(1): 98–110.
[14] Teng Zaixia, Liu Yue, Gao Junjun. Substitution rate
estimation method based on weighted Euclidean dis-
tance [J]. Computer Engineering, 2010, 36(15): 283–285.
[15] Li Junfeng, Dai Wenzhan. Fault diagnosis of oil
immersed transformer based on the cosine of the
angles [J]. Journal of scientific instrument and
meter, 2005, 26(12): 1302–1305.
[16] Li Yurong, Xiang Guobo. An analysis of linear clas-
sification algorithm based on Mahalanobis distance
[J]. Computer Simulation, 2006, 23(8): 86–88.
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Research on Electric Vehicle development in Beijing

L. Zhang, M.Y. Pan, Z.J. Chi & Y.X. Chen

State Grid Beijing Power Research Institute, Beijing, China

X.N. Kang
Huazhong University of Science and Technology, Hubei, China

ABSTRACT: The development of an Electric Vehicle (EV) without exhaust emission is beneficial to
improve serious air pollution in Beijing, as well as meet daily commuting needs of citizens. In order to
rapidly expand personal users, several barriers and countermeasures to EV development are analysed and
proposed. Investigation and survey are implemented to measure customer needs, and recommended EV
and Electric Vehicle Supply Equipment (EVSE) developing models are given. In the end two application
cases about the personal EV promotion project and time-share rent are introduced, and the feasibility of
proposed models is incipiently verified.

Keywords: Electric Vehicle (EV); Electric Vehicle Supply Equipment (EVSE); developing model; barrier
and countermeasure

1 INTRODUCTION hand, few personal EVs are used due to multiple

Beijing, also known as Peking, is the capital of
the People’s Republic of China and is one of the
most populous cities in the world, with a popula-
tion of twenty-one millions and motor vehicles of
over five million (2014). In recent years, serious
air pollution leading to the photochemical smog is
troubling this great capital. Traffic emission con-
tributes 22.2% to its air pollution. Motor vehicle
exhaust emission becomes a major ingredient in
the creation of smog in Beijing [1].
Electric Vehicles (EVs) provide a range of
important benefits—from reducing greenhouse gas
emissions to minimizing dependence on petroleum.
As a result, many municipalities such as Beijing are
working toward creating policies and programs that
encourage EV ownership and usage. The national
and Beijing local governments would subsidize
maximum 60,000 RMB respectively and exempt
the purchase tax to the personal EV buyer [2].
The local government also released the “license-
plate lottery” policy to limit purchasing traditional
gasoline vehicles. Meanwhile, EV is much easier to
apply for a new license-plate registration.
Nowadays, there are 75 charging and battery
swap stations and 2870 Electric Vehicle Supply
Equipment (EVSE) outlets in Beijing. These EV
infrastructures mainly provide services for pub-
lic transportation which include battery electric
buses, taxis and sanitation trucks. On the another
reasons.
This paper focuses on the study of personal EV
and EVSE developments in Beijing. Several barri-
ers and countermeasures to EV development are
analysed and proposed. According to the investi-
gation of EV customer needs, recommended EV
and EVSE developing models are given. At the end
two application cases are introduced and the feasi-
bility of proposed models is incipiently verified.
2 BARRIERS AND COUNTERMEASURES
TO EV DEVELOPMENT
A series of EV purchase subsidies and tax-free pol-
icies have been released in Beijing during the past
years. However, the market for personal EVs suf-
fers from slow market sales growth. The reasons are
varied and complex. The effect factors of personal
EV development contain (are not limited to) the
performance of the electric vehicle and power bat-
tery, charging convenience, purchase and upkeep
costs and business models. A SWOT analysis on
Beijing EV development is shown as Figure 1.
2.1 Barriers identification
Range anxiety and charging convenience are
important factors for the customer to use Battery
Electric Vehicle (BEV). The maximum mileage

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Figure 1. SWOT analysis on Beijing EV development.
for most of the BEVs is between 80 kilometers to
160 kilometers, especially for Tesla Model S, which
is upto 500 kilometers. In order to meet daily com-
muting needs of drivers, it is necessary to develop
a convenient charging network. Customers could
charge at home, at the workplace, a public sta-
tion and etc. According to the national standards
of China, the charging types of EVSEs include
two AC charging interface ratings and two DC
fast charging interface ratings, as shown in
Table 1 [3–4].
Actually, it is troublesome for the individual
customer to install EVSE, because of issues of
charging equipment cost, constant parking bay
and available superior power supply. It is the pre-
ferred choice for customer to use an AC charging
spot at home or at the work place. Incomplete sta-
tistics indicate that 62.5% of EV customers install
EVSE at home, and most of them live in single-
family houses. It is worth noting that the majority
of Beijing residents live in Multi-Unit Dwellings
(MUDs). Compared to single-family homes, it is
more difficult and uncertain for multi-unit build-
ing to install EVSE.
Barriers can involve difficulty and cost for
different EV customers; however, there are two
main complications: Issues stemming from the
involvement of multiple stakeholders (difficult
negotiations), and increased capital costs resulting
from the size of the structure and its electrical sys-
tem (physical limitations). A third complication is
the lack of policies designed to encourage property
management to support home-charging in MUD.
Currently, only EV drivers or EV makers are
allowed to obtain the related subsidies, but build-
ing management could play a key role in providing
EVSE access for residents since they may be able to
achieve economies of scale with multiple installs.
Main barriers that exist for MUD are summa-
rized as follows:
Approval for installation from property manage-
ment of residence.
Pay for charging equipment and installation cost.
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CMEEE_book.indb 286
Table 1. Charging types according to national
standards of China.
Rated Rated
Type voltage (V) current (A)
AC level 1 250/440 16
AC level 2 250/440 32
DC level 1 750 125
DC level 2 750 250
Determining payment system for electricity
usage and billing models.
Insurance coverage for EVSE.
Distance from assigned parking to superior
power supply or panel.
Electrical capacity of superior electric source.
Communication scheme in underground park-
ing area.
Subsidy to EV maker or driver.
The resident requires approval from the land-
lord or property management of the residence
to carry out the installation of EVSE. In most
practical cases, Landlords and Homeowners
Associations (HOAs) usually reject approv-
ing installations and charging at parking places
because of the complicated technical aspects—
such as details regarding the responsibility for
the safety of electrical equipment and electricity
usage. There is still a general lack of knowledge
about costs related to EVSE installation, elec-
trical capacity, and code compliance, which is a
significant hurdle, for parties wishing to install
EVSE in MUDs, to overcome. The statistical data
by a project of EV drive test indicates that 20%
of applicants whose home parking bay meets the
conditions of EVSE installation are rejected by
the property management.
2.2 Proposal countermeasures
The research on the existing barriers and policies
urge us to propose new policies to deal with EV
charging challenges mentioned above.
The existing policies and measures in Beijing
include:
Subsidising both EV purchasers and EVSE
installation cost.
EVSE manufacturer provide services to solve
installation and negotiation with property man-
agement or electric power company.
The electric power company undertakes obliga-
tions to the work and cost of capacity increasing
and improvement to superior power supply.
Determine reasonable billing models and con-
cessional electricity pricing.
3/20/2015 4:14:02 PM
 The latest policy, to be released soon enacts that range and route is regular within 30 kilometers in
Charge Service Operator (CSO) can get electric- the city center area, and less than 100 kilometers.
ity pricings and service charge from EV custom- Analysis results are shown as Figure 3.
ers. Home-charging will execute the cheap resident Most of users charge the vehicle at home, and
electricity pricing. later charge at the work place. Customers who are
The proposed policies and measures include: unable to install EVSE at home have to charge in
the near by public station. The survey about charg-
Subsidising the property management of resi-
ing places to users is shown as Figure 4.
dence, and encourage landlords wanting to add
Majority of potential purchasers prefer charging
charging as an amenity.
in the public stations according to the analysis of
Develop a guide explaining the variety of
accumulated statistical data. And the first choice is
installation/utilization/cost recovery schemes for
absolutely home-charging at a private parking bay.
EVSE installations.
In a word, charging convenience is the critical factor
Employ an informed mediator to assist with dif-
to consider all the time. The survey to potential pur-
ficult negotiations between residents and prop-
chasers about charging place is shown as Figure 5.
erty management.
Consider expanding and adding flexibility to
pertinent Green Building Code requirements of
EVSEs.

3 CUSTOMER NEEDS
AND RECOMMENDED
DEVELOPING MODELS

3.1 Customer needs

An investigation and survey to EV customers
are implemented to help us confirm their needs
and user experience. Respondents include sixteen Figure 3. Daily driving range to BEV users.
BEV users and one hundred potential purchasers.
Nowadays, most of Beijing EV customers are the
middle-income or high-income groups. They are
“license-plate lottery” rigid demand for the car,
since they need to take kids to school and cannot
get a license-plate of a gasoline motor.
Charging convenience is the primary factor for
potential purchasers to decide whether to buy a
BEV. And purchase price, drive safety and license-
plate lottery are later factors to consider. The sur-
vey result on purchase decision factors is shown as
Figure 2.
BEV users usually make detailed route planning Figure 4. Daily charging places to BEV users.
due to the driving range limitation. Daily driving

Figure  2. Purchase decision factors to potential Figure  5. Expectation charging places to potential
purchasers. purchasers.

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 3.2 Recommended developing models
According to the survey results above, some sugges-
tions on the public stations are proposed as follow:
Establish public EVSEs in the supermarkets,
shopping malls, theaters, parks and other public
places.
Establish ancillary EVSE in the government,
state-owned enterprises, institutions and univer-
sity campus opening to personal EVs. Off-peak
parking at night would increase the use ratio of
EVSEs and benefit personal EV customers who
live nearby.
The distribution distance of public charging sta-
tion should be within three kilometers. More
AC or DC fast EVSEs should be built in public
charging stations, and AC slow EVSEs might be
built at home.
In order to fast expand EV to personal cus-
tomers, convenient home-charging is the most
favoured, and public charging is an effective and
important measure—and then EV time-sharing
rent is the promising new business model.
The existing EV development model is shown
in Figure 6. Government gives all the subsidies to
the EV maker to lower the selling price, and a par-
tial subsidy to EV purchaser for the construction
cost of EVSE. Manufacturers install and maintain
EVSEs, and electric power company takes respon-
sibility for the EVSE connection to the grid. In
addition, personal EV purchasers can be exempt
from the purchase tax.
A CSO that provides operation service of
EVSEs is necessary for customers. NRG’s eVgoSM
Figure 6. The existing EV development model.
Figure  7. EV time-share rent in North America and
Europe.
288
CMEEE_book.indb 288
subscription model offers an end-to-end solution
for installation, permitting, maintenance, and
repair of the charging equipment as well as unlim-
ited public charging for a fixed monthly fee [5].
Customers are responsible for home electricity use.
Customers can request charging equipment for
their home parking bay and access to public charge
points. NRG also collaborates with property own-
ers or managers to wire and pre-wire parking spaces
in multi-unit dwellings or workplaces for potential
customers. This subscription model removes the
upfront cost for the customer, in addition to offer-
ing a single point of contact.
Another business development model is EV
time-share rent such as Zipcar or Car2  go in
North America and Europe. Customers no
longer suffer the high purchase price of EV, and
drive and pay conveniently. Compared with the
traditional car rental service, time-share rent has
two remarkable characteristics: one is that the
customer can rent and back the car in any urban
parking place, and second, use fees are counted
by minute. It has been a favoured and fashionably
driving experience for a lot of young people to
rent electric vehicles.
4 APPLICATION CASES IN BEIJING
4.1 EV drive test project for personal customers
In order to further improve the quality and user
experience of the ActiveE, BMW Group cooper-
ated with Beijing Electricity Power Company and
put in place the BMW ActiveE, a purely electri-
cally powered vehicle project in Beijing. Twenty
trial users have been selected from 851 applicants.
The main factors influencing the selection result
include: own a fixed indoor parking place, agree-
ment with property management of residence,
own residential property rights, and are willing to
pay the monthly rent. On the final selection step
for 80 applicants to confirm the EVSE installa-
tion condition, 18.75% of applicants’ parking
places cannot achieve the installation, and 20%
of applicants cannot gain the agreement with
property management of residence. It indicates
that available parking place and agreement with
property management are mainly barriers for the
home-charging installation. The installation proc-
esses of EVSE by all the stakeholders are shown
in Figure 8.
A BEV rent pilot project has been implemented
in Tsinghua Science Park for over a year. The
charging station includes seventeen AC charging
spots and three DC fast charging spots, and six-
teen electrical vehicles for rent. The rent schemes
consist of time-share rent and long time rent, as
shown in Table 2.
3/20/2015 4:14:04 PM
 It shows that a BEV can fully satisfy customers’
daily needs. Because the charging station is built at
the work place, drivers usually use charging spots
in the daytime. Statistical analysis on the use ratio
of charging spots reveals that the annual utiliza-
tion hours of AC spot is 868.7 hours and DC fast
spot is only 138.7  hours. The limited number of
rental EVs result in the low use ratio of charging
equipments. The survey result on requirements of
EV tenants is shown in Table 3.
Figure  8. The installation processes of EVSEEV rent
pilot project.
5 CONCLUSIONS

Table 2. Rent schemes for BEV. Based on investigation and research results, con-
clusions about EV development issues are summa-
Price rised as fellow.
Scheme RMB Beijing is particularly well positioned to be a
leader in fleet transition to EVs. The city has many
Time-share rent
Per two hours 59
densely populated areas and many of the city’s
Per four hours 99 drivers rely on personal vehicles for commutes that
At night hours (18:30–8:30) 99 are within the battery range of EVs currently on
Long time rent
the market. In addition, the region’s poor air qual-
Per one week 999 ity produces a strong incentive to reduce vehicle
Per one month 3999 emissions. More beneficial policies should be pro-
gressively released in future.
EV can meet the demand of daily commute for
office workers or housewives. It is incipiently veri-
Table 3. Requirements of EV tenant.
fied by the user demand investigation and statisti-
Applicants Rental users cal analysis on the practical projects.
Features (N = 150) (N = 20) Available parking place and agreement with
property management are mainly barriers for the
Rental purposes drive to work; home-charging installation. Public charging should
take kid to be rapidly developed, and measures of legislation,
school; financial incentive as well as effective negotiation
interests between stakeholders should be taken.
Daily driving range 20–100 km 20–50 km New and emerging EV business models are
Distance to work 10–50 km 20–30 km worth developing. EV time-share rent is a prom-
Range expectation Above 200 km Above 180 km ising business model that will help primeval EVs
Charging time – 9:30 am–16:00 pm
rapidly promote.
Charging duration – Within one hour
expectation
REFERENCES

[1] Zhang Jize, Liu Jingran, Kong Yibao. The correlation

Figure 9. EV rent pilot project in Beijing.
Analysis on the EVs use data indicates that a car
averagely daily drives 31 kilometers, and charges
0.6 times per day, then consumes 7.8 kWh electric-
ity power which DC fast charging account for 30%.
of vehicle emission and haze phenomenon in Beijing
[J]. Northern Environment, 2013, 11: 115–117.
[2] Gu Ruilan. Study on the Fiscal and Taxation Policies
to Promote the Development of China’s New Energy
Vehicles Industry [D]. Beijing: Research Institute for
Fiscal Science, Ministry of Finance, 2013.
[3] Connection set for conductive charging of elec-
tric vehicles-Part 2: AC charging coupler [S]. GB/T
20234.2-2011.
[4] Connection set for conductive charging of elec-
tric vehicles-Part 3: DC charging coupler [S]. GB/T
20234.3-2011.
[5] Emerging Electric Vehicle Business Models [R]. NPC
Future Transportation Fuels Study, 2012.

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Lubrication performance analysis of three axial-grooved gas-lubricated

journal bearing with micro grooves

Y.J. Lu & F.X. Liu

School of Mechanical and Instrumental Engineering, Xi’an University of Technology, Xi’an, P.R. China
Sate Key Laboratory for Strength and Vibration of Mechanical Structures, Xi’an Jiaotong University,
Xi’an, P.R. China

Y.F. Zhang
School of Printing and Packaging Engineering, Xi’an University of Technology, Xi’an, P.R. China

C. Tian & M. Li
School of Mechanical and Instrumental Engineering, Xi’an University of Technology, Xi’an, P.R. China

ABSTRACT: Lubrication performance of three axial-grooved gas-lubricated hydrodynamic journal

bearing with micro grooves was investigated. Parabolic micro grooves were textured on the surfaces of
the pads of three axial-grooved gas-lubricated hydrodynamic journal bearing and a mathematical model
of the dimensionless gas film thickness of the gas-lubricated bearing was established. The dimension-
less steady Reynolds equation was solved by the finite element method, and then the nonlinear gas film
pressure distribution was obtained. The numerical results showed that the finite element method for solv-
ing the steady Reynolds equation of three axial-grooved gas-lubricated hydrodynamic journal bearing is
effective, and the dimensionless load-carrying capacity can be increased and the friction coefficient can be
reduced when micro grooves are textured on the surfaces of the pads of the gas-lubricated bearing.

Keywords: axial-grooved gas-lubricated bearing; finite element method; surface texturing; load-carrying
capacity; friction coefficient

1 INTRODUCTION the textured surfaces have an important influence

The gas-lubricated journal bearings have been
widely used in the rotating machinery [1–4]. The
gas is dragged into the clearance between the bear-
ing and the rotor, and then a hydrodynamic gas film
is formed when the rotating machine works. The
gas film can provide high stiffness, but is never bro-
ken down during starting, running, and stopping.
More recently, many scholars have paid attention
to surface texturing. Blatter et al. [5] applied a laser
ablation technique to fabricate the surface of sap-
phire plates for studying the effect of the patterns
of grooves on the sliding friction. Experimental
results showed that wear could be reduced by an
appropriate size and form of the micropattern.
Ogawa et al. [6] examined the effect of dimple
and groove textures on the tribological properties
of slideways and has concluded that the friction
coefficient can be reduced by texturing dimples
and grooves on the contacting surface. Tala-ighol
et al. [7] studied the tribological performance of
the contacting surface by optimizing the geometric
parameters of textured surfaces. It was found that
on the lubrication performance of journal bearing.
Fu et al. [8] investigated the hydrodynamic lubri-
cation performance of conformal contacting sur-
faces with parabolic grooves by multigrid method.
The results revealed that the geometric shapes of
parabolic grooves have a significant impact on the
hydrodynamic lubrication. In this paper, the finite
element method is employed to solve the steady
Reynolds equation of three axial-grooved gas-
lubricated journal bearing with parabolic grooves,
and then the effect of the orientation, dimension-
less depth, width and distance of parabolic grooves
on the dimensionless load-carrying capacity and
friction coefficient is investigated.
2 SYSTEM EQUATION
2.1 Steady governing equation
of the gas-lubricated journal bearing
with three axial grooves
Figure  1 shows schematic diagram of the gas-
lubricated journal bearing with three axial grooves.

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 2. Gas pressures at the both ends of the bearing
are equal to the ambient pressure pa.
3. Gas pressure is continuous at λ = 0.

2.2 Dimensionless load-carrying capacity

and friction coefficient
The finite element method is employed to solve
the dimensionless Reynolds equation of the
gas-lubricated journal bearing with three axial
grooves. Equation (1) is written in the following
form:

⎡ ∂ ⎛ ∂P ⎞ ∂ ⎛ 3 ∂P ⎞ ∂( PH ) ⎤
∫∫ ⎢ ∂ϕ ⎜⎝ PH
3
⎟ + ⎜⎝ PH ⎟⎠ − Λ ⎥
Ω ⎣ ∂ϕ ⎠ ∂λ ∂λ ∂ϕ ⎦
×δ ϕdλ = 0 (2)

where δP is the variation of P, Ω is the computa-

Figure  1. Calculation coordinate for axial-grooved tional domain of the gas film.
hydrodynamic gas-lubricated journal bearing. Integration by parts and Green’s theorem are
used to solve equation (2), and then equation (3)
is obtained.

⎡ H 3 ∂P 2 ∂(δ P ) H 3 ∂P 2 ∂(δ P ) ∂(δ P ) ⎤

∫∫ ⎢ 2 ∂ ϕ ∂ ϕ
+
2 ∂ λ ∂ λ
− ΛPH
∂ϕ ⎦
⎥
Ω ⎣
× dϕ d λ = 0
(3)

The pressures of the gas-lubricated journal

Figure 2. Local coordinates for calculation in a rectan-
gular element.
bearing with three axial grooves are equal to posi-
tive values at any instant.
The rectangular element with four nodes is
described in Figure  2. The shape function in the
rectangular element can be written as

The dimensionless steady Reynolds equation of 1 1

N1 (1 ξ )(1 )), N2 = (1 ξ )(
) 1 − η )),
the gas-lubricated journal bearing with three axial 4 4
grooves is described as follows: 1 1 (4)
N3 (1 ξ )(1 )), N 4 = (1 − ξ )( ).
4 4
∂ ⎛ ∂P ⎞ ∂ ⎛ 3 ∂P ⎞ ∂( PH )
PH 3 + ⎜ PH ⎟=Λ (1)
∂ϕ ⎜⎝ ∂ϕ ⎟⎠ ∂λ ⎝ ∂λ ⎠ ∂ϕ where ζ and η are the local coordinates of each
element.
where P = p/pa is the dimensionless pressure dis- By using the coordinate transformation method,
tribution, pa is the ambient pressure, H is the the relationship between (ζ, η) and (ϕ, λ) can be
dimensionless gas gap between the journal and the expressed as:
bushing, ϕ and λ are the coordinates for calculation
which are shown in Figure 2, Λ = ( μ / pa ) (R / )2 2 2
ζ ϕ − ϕ 0 ), η = ( λ λ0 ). (5)
is the bearing number. l1 l2
The boundary conditions of the dimensionless
Reynolds equation are stated as follows:
where l1 and l2 are the length and width of each
1. Gas pressure along the axial grooves is equal to element respectively, (ϕ0, λ0) is the coordinate of
the ambient pressure pa. computational grid center.

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 2.3 Geometric shape of the textured pad ⎧ 2
⎪ 4 H g ⎡ϕ ϕ s ⎤
⎢ ⎛ϕ ϕ s ⎞ 1 ⎥
⎪H 0 H g − W 2 ⎢− fix
A textured pad of three axial-grooved gas-lubricated
⎪ i W Wg⎥
journal bearing with parabolic micro grooves is
H (ϕ , λ ) = ⎨ g
⎣ ⎝ W ⎠ 2 ⎦
shown in Figure 3. ϕ s + n2W ϕ ϕ s n W Ws
⎪
The gas film thickness of any point in the tex- ⎪
tured pad is H(ϕ, λ). ⎪⎩H 0 others
When 0 ≤ γ ≤ 900,
(7)
⎧ ⎧⎡ 1 ⎤⎫
2

where
⎪ 4H g ⎪⎪⎢⎣ttan γ (ϕ − ϕ s ) 2 L2 λ ⎥⎦⎪⎪
⎪H 0 + H g − ⎨ ⎬
⎪ Wg
2
⎪ccos γ − ⎛ n + 1⎞ W 1 Ws ⎪ ⎡ 1 ⎤
⎪ ⎪⎩ ⎝ 1 2⎠ 2 ⎪⎭ ⎢⎣tan γ (ϕ − ϕ s ) − 2 L2 − λ ⎥⎦ cos γ
⎪ n1 ffix ,
⎪ λ1 < λ < λ2 W
⎪ 2
H (ϕ , λ ) = ⎨ ⎧⎡ 1 ⎤⎫
⎪H + H − 4 H g ⎪⎪⎢⎣λ − γ (ϕ − ϕ 0 ) + L2 ⎥⎪
2 ⎦⎪
⎪ 0 g 2 ⎨ ⎬
Wg ⎪cos γ − nW − g W ⎪
⎪
⎪ ⎪⎩ 1
2 ⎪⎭
⎪ λ3 < λ < λ 4
⎪
⎪
⎩H 0 others

(6)

When γ = 90 , 0

Figure  3. Schematic diagram of parabolic micro- Figure 4. (a) Dimensionless load-carrying capacity ver-
grooves textured on the pads of axial-grooved gas- sus different textured pads; (b) friction coefficient versus
lubricated bearing. different textured pads.

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 ϕ − ϕs 115°, the groove width angle of the bearing ς is 5°,
n2 fix
f , the clearance of the bearing c is 3.0 × 10−5 m, the
W
gas viscosity μ is 1.8 × 10−5 Pa⋅s, the radius of the
1 journal R is 0.05 m, the width-to-diameter ratio is
λ1 γ (ϕ ϕ s ) − − ( n1 + 1) sec γ ,
2
2
0.9, the rotating speed ω is 1500 rad/s, the bearing
1 number Λ is 4.44, β is 62.5°, θ is 0°.
λ2 γ (ϕ ϕ s ) − 2 − ( n1W + Ws )sec γ , Figure 4 shows the dimensionless load-carrying
2 capacity and friction coefficient over the textured
1 pad for the case of γ = 60°, Hg = 1, Wg = 0.05 and
λ3 γ (ϕ ϕ ) − 2 + 1 sec γ , Ws  =  0.05. The load-carrying capacity can be
2
increased and the friction can be reduced by textur-
1
λ4 γ (ϕ ϕ s ) − 2 + 1 s γ + Ws
sec γ, ing micro grooves on an appropriate pad. Figure 5
2 shows the load-carrying capacity ratio Fav  =  (Fy−
Fy0)/Fy0 and friction coefficient ratio μav = (μ−μ0)/μ0
fix is rounding a number towards zeros. for the case of Λ = 1, Λ = 4.44, Λ = 10 and Λ = 15,
respectively. Figure  6 shows the load-carrying
capacity ratio Fav = (Fy−Fy0)/Fy0 and friction coef-
3 NUMERICAL EXAMPLES ficient ratio μav = (μ−μ0)/μ0 for the case of bd = 0.5,
AND RESULTS bd = 1, bd = 2, respectively. Fy and μ is the dimen-
sionless load-carrying capacity and friction coef-
The detailed parameters of the bearing are listed ficient respectively when the pad is textured. Fy0
as follows: the bushing arc angle of the bearing α is and μ0 is the dimensionless load-carrying capacity

Figure 5. (a) Load-carrying capacity ratio versus differ- Figure 6. (a) Load-carrying capacity ratio versus differ-
ent bearing number; (b) friction coefficient ratio versus ent width-to-diameter ratio; (b) friction coefficient ratio
different bearing number. versus different width-to-diameter ratio.

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 and friction coefficient respectively when the pad
is untextured. It is found that the load-carrying
capacity of three axial-grooved gas-lubricated
journal bearing can be still increased and the fric-
tion can be also reduced by selecting appropriate
pad and texture parameters with the variation of
the bearing number and the width-to-diameter in
Figure 5 and Figure 6.
4 CONCLUSIONS
Lubrication performance of three axial-grooved
gas-lubricated journal bearing with micro-
grooves is investigated. The mathematic model
of the dimensionless gas film thickness of the
gas-lubricated bearing with micro-grooves is built
and the finite element method is employed to ana-
lyze the dimensionless load-carrying capacity and
friction coefficient versus different textured pads,
and the load-carrying capacity ratio and friction
coefficient ratio versus different bearing numbers
and width-to-diameter ratios. The results show
that the load-carrying capacity can be increased
and the friction coefficient could be reduced when
micro grooves are textured on the surfaces of the
pads of the gas-lubricated bearing.
ACKNOWLEDGEMENT
This work is supported by National Natural Science
Foundation of China (Grant No. 51375380), Open
Project of State Key Laboratory for Strength
and Vibration of Mechanical Structures (Grant
No. SV2014-KF-08), National Natural Science
295
CMEEE_book.indb 295
Foundation of Shaanxi Province of China (Grant
No. 2013JQ7008).
REFERENCES
[1] Wang C.C., 2012, “Bifurcation and nonlinear
dynamic analysis of united gas-lubricted bearing sys-
tem,” Comput. Math. Appl., 64(5): 729–738.
[2] Lu Y.J., Zhang Y.F., Shi X.L., Wang W.M. & Yu L.,
2012, “Nonlinear dynamic analysis of a rotor system
with fixed-tilting-pad self-acting gas-lubricated bear-
ings support,” Nonlinear Dyn., 69(3): 877–890.
[3] Zhang Y.F., Hei D., Lü Y.J., Wang Q.D. & N. Müller,
2014, “Bifurcation and chaos analysis of nonlinear
rotor system with axial-grooved gas-lubricated jour-
nal bearing Support,” Chin. J. Mech. Eng., 127(2):
358–368.
[4] Zhang Y.F., Zhang S., Liu F.X., Zhou C., Lu Y.J. &
N. Müller, 2014, “Motion analysis of a rotor sup-
ported by self-acting axial groove gas bearing system
with double time delays,” Proc IMechE Part C J.
Mech. Eng. Sci., DOI: 10.1177/0954406214523581.
[5] Blatter A., Maillat M., Pimenov S.M., Shafeev G.A.,
Simakin A.V. & Loubnin E.N., 1999, “Lubricted slid-
ing performance of laser-patterned sapphire,” Wear,
232(2): 226–230.
[6] Ogawa H., Sasaki S., Korenaga A., Miyake K.,
Nakano M. & T. Murakami, 2010, “Effects of sur-
face texture size on the tribological properties of
slideways,” Proc IMechE Part J J. Eng. Tribol.,
224(9): 885–890.
[7] Tala-Ighil N., Fillon M., and Maspeyrot P., 2011,
“Effect of textured area on the performances of a
hydrodynamic journal bearing,” Tribol. Int., 44(3):
211–219.
[8] Fu Y.H., Ji J.H. & Q.S., Bi, 2012, “Hydrodynamic
lubrication of conformal contacting surfaces with par-
abolic grooves,” ASME J. Tribol., 134(1): 210–218.
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

A new configuration of current source converter applied in HVDC

J.Y. Zhao, F.M. Zhang & F.G. Liu

School of Electrical Engineering, Hebei University of Technology, Tianjin, China

Y.H. Liu
Faculty of Electric Power, Inner Mongolia University of Technology, Hohhot, China

ABSTRACT: Due to the defect of the slow fault response and higher power loss of the Voltage Source
Converter (VSC), this paper proposed a novel Current Source Converter (CSC) which could solve these
problems. The new topology, with Multi-Level Current Reinjection CSC (MLCR-CSC), is based on the
DC-ripple reinjection concept. It adds an auxiliary control circuit to the traditional 12-pulses converters
which is used in IGBT as extra main switches. MLCR-CSC is a very attractive way of transmission as it
generates lower THD on the AC-side and realises Zero Current Switching technology (ZCS) and runs at
a high power factor. The advantages and disadvantages of VSC and CSC are shown first. Then is intro-
duced the DC-ripple reinjection concept and the new topology; this is followed by a detailed analysis of
the harmonic elimination theory and discusses the control strategy. MLCR CSC can realise ZCS, use thyr-
istors as the power device, ensure the safety and stability of the phase communicating, low THD and high
power factor, which was effective certificated in HVDC transmission by Matlab/-Simulink at the end.

Keywords: DC-ripple reinjection; MLCR-CSC; lower THD; ZCS; high power factor

1 INTRODUCTION bulk reactive power in operation. CSC has been

High Voltage Direct Current (HVDC) power
transmission had developed for many years,
which solves lots of tricky problems that Flex-
ible AC Transmission System (FACTS) is not
able to handle. It is widely accepted that HVDC
transmission system can provide a cost-effective
solution compared to traditional AC transmis-
sion in applications. HVDC also has the follow-
ing advantages: the smaller line active loss, not
restricted by system stability limit, little interfer-
ence between DC connected to grid, the suitablity
for the sea bottom transmission and the involve-
ment of the high-voltage direct current transmis-
sion which will not increase the original power
system short circuit current capacity.
HVDC converters consist of VSC and CSC,
which are classified by the energy storage
component. VSC [1–5] can transmit power trans-
mission in four quadrants. It can realise harmonic
eliminates and is self-commutated and greatly
improves the system stability. High speed charge
and discharge between gate and source presents
produces larger loss. CSC [6–10] has good eco-
nomic benefits in high power and long distance
transmission. The typical CSC can work in two
quadrants and bidirectionally transmit active power
in an HVDC project; its drawback is consumption
widely applied because of its rapid fault response
and lower power loss than VSC.
This paper presents a novel multi-level reinjec-
tion CSC which is constituted of a traditional
12-pulse convertor and an auxiliary injection cir-
cuit based DC-ripple reinjection concept. Due to
the difficulty in generatinga practical reinjection
current from theoretical research; MLCR CSC has
no actual engineering except laboratory studies.
While, the new topology can realize lower THD,
ZCS and high power factor, it will be a very attrac-
tive scheme in HVDC transmission.
2 DC-RIPPLE REINJECTION CONCEPT
Generalised DC-ripple reinjection technology
[11–14] is investigating a DC-ripple current into
the neutral point of the converter transformer,
through a single-phase bridge transformer con-
nected DC side, and the injected current exists as
times harmonic current three in approximate rec-
tangle phase current waveform.
The single bridge three-phase converter pro-
duces a ripple voltage at the DC output, with a
period of (1/6) T, where T is fundamental frequency.
However, each DC pole has a non-sinusoidal rip-
ple voltage of period (1/3) T. The principle of DC

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 ripple reinjection is applicable to the line com-
mutated three-phase current source converter
bridge and the circuit configuration is shown in
Figure 1. The converter transformer constitutes
star-connected on the converter side. It requires
an auxiliary single-phase transformer with two
primary windings connected to the common mode
DC ripple voltage via blocking capacitors. This
transformer provides the commutating voltage for
a single-phase full-wave rectifier connected to the
secondary windings. The output of the reinjection
converter is connected in series with the DCoutput
of the six-pulse converter bridge.
The reinjection transformer secondary current
consists of quasi-rectangular 60  degrees DC cur-
rent pulses, the magnitude of which is determined
by the main converter DC current and their phase
position is always in synchronism with that of the
main converter current. These current pulses, after
being appropriately altered by the injection trans-
former ratio, are added to the otherwise conven-
tional DC current output of the main converter and
channeled to the appropriate phases of the main
converter current by the conducting thyristors.
Figure 1. Bridge rectifier with ripple reinjection.
Figure  2. Current waveforms for the converter of
Figure 1.
298
CMEEE_book.indb 298
When the thyristors of the reinjection converter
are fired. 30 degrees after the firings of the main
converter valves, the waveforms in Figure 2 result.
The triple frequency commutations of the reinjec-
tion bridge also combine with the DC output volt-
age to produce a twelve pulse voltage waveform.
The result is that the original six-pulse converter
configuration has been converted to a 12-pulse
converter system from the point of view of AC and
DC system harmonics.
3 MLCR-CSC TOPOLOGICAL
STRUCTURE AND OPERATING
PRINCIPLE
MLCR-CSC topological structure is shown in
Figure 3. In the pulse multiplication scheme
described above, the magnitude and duration of
the reinjection steps were optimised to achieve
maximum harmonic cancellation, which, as already
explained, for the five-level reinjection configura-
tion provides 60-pulse conversion. However, this
reinjection waveform does not completely cancel
the converter valves currents during the commuta-
tion and, therefore, turn-off devices are still needed
to provide self-commutation.
Next is shown that the use of a non-optimal
reinjection waveform can force a ZCS condition for
an interval of 6 degrees (or 333us at 50 Hz) during
the commutation. This should permit the outgo-
ing thyristors to recover their blocking capability
and thus make the conventional thyristors converter
self-commutating. To achieve the ZCS condition
the quality of the AC and DC voltage waveforms
is somewhat reduced (from the optimum 60 to
48 pulse for the five-level reinjection scheme).
It is therefore possible to achieve self-
commutation, as well as pulse multiplication, using
conventional thyristors for the converters and
IGBTs for the reinjection switches. This alternative
Figure 3. Five-level current reinjection CSC.
3/20/2015 4:14:13 PM
 Table 1. Reinjection switching combinations and 7-level reinjection current.

On-state switches windings ratio Ij1 I1 Ij2 I2

Spj1/Snj1 n0: n1 + n2 + n3 Idc 2Idc −Idc 0

Spj2/Snj2 n0: n2 + n3 0.66Idc 1.66Idc −0.66Idc 0.33Idc
Spj3/Snj3 n0: n3 0.33Idc 1.33Idc −0.33Idc 0.66Idc
Spj0/Snj0 0 0 Idc 0 Idc
Spj4/Snj4 n0: n3 −0.33Idc 0.66Idc 0.33Idc 1.33Idc
Spj5/Snj5 n0: n2 + n3 −0.66Idc 0.33Idc 0.66Idc 1.66Idc
Spj6/Snj6 n0: n1 + n2 + n3 −Idc 0 Idc 2Idc

gives the thyristors converter a similar flexibility as

a forced commutated VSC, i.e. the ability to con-
trol both the DC voltage and current, with a lead-
ing or lagging power factor, as well as reducing the
harmonic content. In other words, it combines the
benefits of the robust and efficient conventional
converter and the controllability of the advanced
self-commutated technology. This is an important
breakthrough that should give greater flexibility to
thyristors-based HVDC transmission [15–18].

4 CONTROL STRATEGIES

The primaries of the two single-phase transform- Figure 4. Simulation dc current on the DC-side.
ers are connected across the DC BUS through
DC blocking capacitors (C). The DC current (Idc)
flows through the reinjection IGBTs, load induct-
ance Ldc, and the load. It is modified into AC
waveforms in the secondary windings of the rein-
jection transformer with the help of reinjection
switches (Sp1/Sn1, etc). These currents are coupled
to the reinjection transformer primary winding to
form multi-level currents Ij1 and Ij2, which com-
bine with Idc to shape DC bus currents I1 and I2
into multi-level waveforms. This reinjection cir-
cuit generates seven current steps in I1 and I2.
Six levels are generated due to reverse connected
switches (Sp1/Sn1 to Sp6/Sn6), and one additional
level is obtained by firing Sp0/Sn0 when Ij1 and Ij2
are both zero. Table  1  shows the corresponding Figure 5. Simulation of SLCR-CSC on the AC-side.
relationship between I1 and I2, Ij1 and Ij2 with the
corresponding reinjection IGBT on-state. The
reinjection transformer is a one-phase four-wind- 10 °, 20 ° and 30 ° AC-side current waveform and
ing transformer with transformer turns ratio n3/ harmonic spectrum analysis.
n0 = 0.33, n2/n0 = 0.33, n1/n0 = 0.33.
5.1 Current zero switching
and eliminating harmonics
5 SIMULATION RESULT
At 0.05  seconds, Ij1 reaches maximum amplitude,
This section mainly verified the topological struc- the dc side current IBΔ is zero which provides Δ
ture, eliminating harmonics and high power factor bridge commutation switch off at Zero Current
operation. It significantly includes MLCR—CSC Switching (ZCS) conditions; At 0.06  seconds, Ij2
current zero switching, eliminating harmonic, and reaches maximum amplitude, the DC side current
7 level current reinjection CSC firing at angle 0 °, IBY is zero which provides Y bridge commutation

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CMEEE_book.indb 299 3/20/2015 4:14:13 PM

 switch off at Zero Current Switching (ZCS)
conditions. Thus the converter can commutate
without the assistance of a turn-off pulse or a line
commutating voltage, i.e. it can be of the conven-
tional thyristors type.
Figure  3 expresses 7 level current reinjection
CSC simulation result, the interface transformer
secondary side Y bridge connection generates
7 level DC current reinjection IBY, the interface
transformer secondary side Δ bridge connection
generates 7 level dc current reinjection IBΔ. On the
secondary side of the transformer Y bridge ac out-
put current IaY conducts 120 °, Δ bridge AC output
current IaΔ conducts 120 ° either. Due to secondary Figure 8. Firing at 20°, a SLCR-CSC current waveform
side Y and Δ coupling the interface transformer, it Spectrum analysis on AC-side.
obtains a phase alternating current at primary side
of transformer which is formed by the multilevel
and infinite similar to sine wave.

5.2 AC-side current waveform

and harmonic spectrum analysis
In order to further verify the convertor AC side har-
monic content and excellent characteristic of high

Figure 9. Firing at 30°, a SLCR-CSC current waveform

Spectrum analysis on AC-side.

power factor operation, 7 level current reinjection

Figure 6. Firing at 0°, a SLCR-CSC current waveform
Spectrum analysis on AC-side.
AC side current harmonic waveform and spectrum
analysis is simulating firing at angle 0 °, 10 °, 20 °
and 30 ° as follows.
Figures  6–9 presented a SLCR-CSC current
waveform Spectrum analysis on AC-side with dif-
ferent triggering angle which is reaching an ideal
sine wave. Among them, firing at 0 °, THD is
3.59% on AC side; firing at 10 °, THD is 3.58% on
AC side; firing at 20 °, THD is 3.63% on AC side;
firing at 30 °, THD is 3.55% on AC side. The main
characteristic harmonic is 3, 5, and 13, 25 times.
It obviously showed that THD is extremely strict
accordance with the harmonic requirements stand-
ards of the state grid.

6 CONCLUSIONS

MLCR CSC has been shown to provide fast

dynamic response. Additionally, it shows no signs
of commutation failure in the main bridge thyris-
Figure 7. Firing at 10°, a SLCR-CSC current waveform tors for the operating conditions with the help of
Spectrum analysis on AC-side. MLCR circuit. It is also known that MLCR-CSC

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CMEEE_book.indb 300 3/20/2015 4:14:14 PM

 can realise ZCS, using thyristors as the power
device, ensure the safety stability of the phase
communicating, low THD and high power factor.
Therefore, MLCR CSC will play an important role
in HVDC.
With the shortcomings of MLCR CSC it is dif-
ficult to find an entirely appropriate reinjection
current waveform which could reduce THD to 0%.
The proposed MLCR CSC also does not permit
completely independent control of the reactive
power at both ends of the link as in present PWM
controlled VSC based HVDC schemes. The inde-
pendent reactive power control of these HVDC
schemes is not discussed in this paper and will be a
subject for further research.
REFERENCES
[1] Solas E, Abad G, Barrena J.A, et  al. Modelling,
simu-lation and control of modular multilevel con-
verter [C]. 14th Inter- national Power Electronics
and Motion Control Conference. Ohrid, Macedonia:
[s.n.] 2010: 90–96.
[2] Xiguo Gong. A 3.3kV IGBT module and application
in Modular Multilevel converter for HVDC. Indus-
trial Electronics (ISIE), 2012 IEEE International
Symposium on, Page(s): 1944–1949.
[3] U Q.R, XU Z. Impact of sampling frequency on har-
monic distortion for modular multilevel converter [J].
IEEE Transactions on Power Delivery, 2011, 26(1):
298–306.
[4] Chang Hsin Chien and R.W.G. Buckoall, “Analysis
of harmonics insubsea power transmission cables
used in VSC-HVDC transmission systemsoperating
under steady-state conditions”, IEEE Trans. Power
Del., vol. 22, no. 4, pp. 2489–2497, Oct. 2007.
[5] N. Flourentzou, V. G. Agelidis, and G. D. Demetria-
des, “VSC-based HVDC power transmission systems:
an overview”, IEEE Trans. Power Electron., vol. 24,
no. 3, pp. 592–602, Mar. 2009.
[6] P. Riedel, “Harmonic voltage and current transfer,
and AC- and DC-side impedances of HVDC con-
verters”, IEEE Trans. Power Del., vol. 20, no.3, pp.
2095–2099, Jul. 2005.
[7] W. Hammer, “Dynamic Modeling of Line and
Capacitor Commutated Converters for HVDC Power
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[8] R. Li, S. Bozhko, and G. Asher, “Frequency control
design for offshore wind farm grid with LCC-HVDC
link connection,” IEEE Trans. Power Electron., vol.
23, no. 3, pp. 1085–1092, May 2008.
[9] R.B. Gimenez, S.A. Villalba, J.R. D’Derlee, S.B.
Perez, and F. Morant, “Diode-based HVDC link for
the connection of large offshore wind farms,” IEEE
Trans. Energy Convers., vol. 26, no. 2, pp. 615–626,
Jun. 2011.
[10] L.O. Barthold, H.K. Clark, and D. Woodford,
“Principles and applications of current-modulated
HVDC transmission systems,” in Proc. IEEE T&D
Conf., Dallas, TX, USA, May 21–26, 2006, pp. 1–7.
[11] B.P. Das, N.R. Watson, and Y.H Liu. m-Level
Thyristor based MLCR CSC: A Comparative
Study. Power System Technology (POWERCON),
2012 IEEE International Conference on, Oct. 30
2012–Nov. 2.
[12] Murray, NJ; Arrillaga, J; Watson, NR; Liu, YH. Two-
quadrant Power Control for Large-current, Low-
voltage Rectification with Reference to Aluminium
Smelters. Australian Journal of Electrical & Electron-
ics Engineering, Vol. 7, No. 3, 2010: 235–246.
[13] Bhaba Das, Neville Watson, and Yonghe Liu. DC
Ripple Reinjection: A Review. International Journal of
Emerging Electric Power Systems, 2011, Vol. 12: Iss. 5,
Article 6.
[14] YH Liu, J Arrillaga, NR Watson. Reinjection concept:
a new option for large power and high-quality
AC–DC conversion. The Institution of Engineering
and Technology Power Electron., 2008, Vol. 1, No.
1, pp. 4–13.
[15] Liu, Y.H. Multi-Level Voltage and Current Reinjec-
tion AC–DC conversion. PhD thesis, University of
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[16] Lasantha Bernard Perera. Multi-Level Reinjection
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[17] Amirnaser Yazdani, Reza Iravani. Voltage-sourced
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Application of high-order grey forecast model in the short-term load

forecasting

X.Y. Huang & L. Yang

College of Electrical Engineering, Zhejiang University, Hangzhou, Zhejiang Province, China

ABSTRACT: Taking into account the characteristics of exponential growth and periodic variation of
power load, a third-order short-term load forecasting model based on grey prediction theory is proposed.
This paper gives the introduction of grey forecast method and expounds on the main steps of the power
system short-term load forecasting. By numerical example, this paper verifies the probability and validity
of this method. Simulation results show that the proposed method is effective and practicable.

Keywords: power system; short-term load forecasting; grey prediction theory; third-order model

1 INTRODUCTION forecasting, especially short-term ones, several

Load forecasting is one of the most important
foundations for the power system planning, power
generation programming and economic operations.
Accurate short-term electrical load forecasting is
usually in favor of the timely and reliable decision
of load supply and is of great significance for the
safe and reliable operation of the power system as
well as the development of the national economy.
However, as the power load cannot be accurately
controlled in nature, the best effective method is
to research historical data and explore suitable
methods combined with the current situation and
information. Grey Theory is one of the practical
theories in load forecasting.
The Grey System Theory is essentially to turn
some known data sequence regularly from a scat-
tered state through accumulating technology, and
then use differential equations to fit, and seek the
future development of the state of research sub-
jects after fitting curves to predict. When the load
is in strict accordance with exponential growth,
this method has advantages such as high predic-
tion accuracy, less sample data, simple calculation,
testability and so on. The ordinary Grey forecast-
ing model has some shortcomings, such as it has
failed to consider the exponential and cyclical
regularity of load data at the same time, while the
second-order discrete sequence of the Grey model
can only represent one of the characters in expo-
nential and periodic.
At present, there are many domestic and inter-
national papers on the use of the Grey model to
solve power system load forecasting problems. As
the traditional Grey model has some flaws in load
numbers of papers have made a certain degree of
improvement. In [1], the least square support vec-
tor regression algorithm is combined with the Grey
model to improve its accuracy. In [2], a criterion
of abrupt change of weather factors is established
to correct local distortion points. In [3], the corre-
sponding relation between the Grey model param-
eters and BP network weights is established to
enhance the forecasting accuracy of medium and
long-term power load forecasting under the condi-
tions of small sample data. Reference [4] sets up an
ant colony Grey model, which is combined with a
neural network model. However, training the neu-
ral network usually takes a long time. Due to the
changes in the input data is not the desired result
most times; it will require multiple training, which
is not applicable for the timeliness requirements of
short-term or ultra-short-term load forecast.
This paper mainly proceeds from the variation
rules of short-term power load, combined with
the characteristics of the high-order of the Grey
prediction model, and proposes a relatively strong
timeliness prediction method. Analysis shows that
the method is in sync with the construction of the
Grey model and has a theoretical basis. Finally the
paper demonstrates the correctness and effective-
ness of the proposed method.
2 THIRD-ORDER GREY FORECASTING
MODEL
Power system load forecasting is a procedure which
firstly establishes relevant models based on histori-
cal data of power load and its influencing factors,

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 and then uses the model to forecast the future According to the definition of the derivative,
power load data scientifically. there is
Short-term load indicates the traits of both
randomness and uncertainty, and the prediction dx x(t + t ) x(t ) Δx
accuracy of load is affected by the history, weather, = lim = lim
dt Δtt → 0 Δt Δt → 0 Δt
(6)
date, forecasting models, and social events, etc. Due
to the impact of various factors, short-term load is If expresses in the form of discrete representa-
manifested as non-stationary random process in tion, the upper equation turns into a differential
time series. But the impact of system load factors equation:
in most of regularity, which provides a method for
load forecasting. Δx x( k + ) − x( k )
This paper, starting from the general, proposes = = x( k + ) − x( k )
a third-order grey forecasting model in short-term Δt k k (7)
load forecasting. Assuming that the original data is
a string of discrete series which is time-varying but According to the above definitions of the deriv-
interrelated, we need to firstly smooth the origi- ative and the discrete form, and combined with Eq.
nal data. The purpose of the original data series (4), there is
smoothing is primarily weakening the impact of
outliers, and substantially strengthening the trend dx ( ) Δx ( )
of the original series. = lim = lim ( x ( ) ( k + 1) x ( ) ( k ))
dt Δtt → 0 Δt Δt → 0
One of the most commonly used smooth-
ing methods is the moving average smoothing ≈ x ( ) ( k + 1) (8)
method. Its arithmetic averages the value of sev-
eral adjacent moments, and then denotes the proc- d 2 x (3) d ⎛ dx (3) ⎞ x(2) (k 2) − x(2 ) ( k )
essed N-dimensional historical electric load data = ⎜ ⎟ = lim
dt dt ⎝ dt ⎠ Δt → 0 Δt
sequence as x ( ), that is
≈ x (1) ( k + 2) (9)
( ) ( )
x {x
{x ( k ), k = 1, 2, …, N } (1)
d 3x (3) d ⎛ d 2 x (3) ⎞ x (1) ( k 3) x (1) ( k 2)
= ⎜ ⎟ = lim
Processing through a cumulative procedure, the dt dt ⎝ dt ⎠ Δt → 0
2 Δt
pre-processing data sequence will generate a new ≈ x( ) ( )
data sequence, that is
(10)
( )
x {x ( k ), k = 1, 2, …, N }
{x ( )
(2) Mark x( k ) as the generated value of the k-th
k ( ) point, there is
In the above equation, x ( k ) = k∑=1 x (i ), define
( )

{ ( ) } as the r-th generation of sequence, then we x( k ) = γ 1x ( ) ( k ) + γ 2 x ( ) ( k ) (11)

can get the relationship after r-th accumulated gen-
erating as follows
When γ 1 γ 2 = 0.5 , the generating happens in
k adjacent values, and the generated value is called as
x(r ) (k ) = ∑ x(r )
(i ) (3) neighbour equal weights generated value. Take the
i =1 neighbour equal weights generated value of x ( ) as
the average value of k and k + 1, that is
Obviously x ( r ) ( k ) can be decomposed as:
1 (3)
k k −1
( ( k + 1) (3)
( k )) (12)
2
x (k ) = ∑ x
(r ) (r )
(i ) = ∑ x (r )
(i ) + x (r )
(k )
i =1 i =1
Use 1/ 2( x (3) ( 1) + x (3) ( )))) instead of x(t),
= x ( k − 1))
(r ) ( )
(k ) (4)
( )
x ( k ) instead of dx /dt d , x( ) (k ) instead of
2 2 ( )
( /dt
/dt ), x ( ) instead of d 3x / dt 3, and then
Assuming the load sequence satisfy three-order substitute into the Eq. (5) and get
differential equation, then
x( ) (k ) ax ( ) ((k
k ) bx ( ) ( k )
3 2
d x d x dx 1
+a 2 +b + cx(
cx(tt ) d (5) + c (x( ) (k ) x ( ) ( k )) d (13)
dt 3 dt dt 2

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 According to the upper equation, when Solving the equation above, B and YN can be
k , , …, N − 3 , we get the following equations obtained. Take B and YN into Eq. (13) and obtain

⎧x ( ) ( ) ax ( ) ( ) bx ( ) ( ) xˆ (0) ( k + 3) = − ax (1) ( k + 2) − bx (2) ( k + 1)

⎪
⎪ 1 1
− c ( x ( ) (2)) x ( ) ( )) d − c x (3) ( k + 1) + x (3) ( k ) + d (21)
⎪ 2 2
⎪ ( )
⎪x ( ) = −ax a ( ) ( ) bxb ( )( ) This equation is the Grey prediction of spe-
⎪
⎪ 1 cific equations of third-order differential equation
⎨ − c ( x ( ) (3)) x ( ) ( )) d (14) form.
⎪ 2
Reuse the regressive reduction equation and Eq.
⎪
⎪ ( ) (4), then get
⎪x ( N ) = − ax ( N − 1) −
( ) (2)
( N − 2)
⎪ 1 x(r ) (k ) = x(r ) (k ) − x(r )
(k ) (22)
⎪ − c ( (3) ( N − 2 ) + (3) ( N − 3)) + d
⎪⎩ 2
Reverse derivation, and find the original data in
each data class in accordance with the difference
Define degree of the price, weather forecast and other fac-
tors, and finally plus the class averages to get the
YN BN A (15) predictive value of power load.

where
3 STEPS OF LOAD FORECASTING
⎡x( ) ( ) ⎤
⎢ ( ) ⎥ Steps of power system load forecasting are shown
YN = ⎢
x ( ) ⎥ in Figure 1.
(16)
⎢ ⎥
⎢ ( ) ⎥
⎢⎣ x ( N ) ⎥⎦
4 EXAMPLE ANALYSIS
⎡a ⎤
⎢b ⎥ According to the above model derivation, use this
A=⎢ ⎥ (17) model to forecast the short-term power load of
c
⎢d ⎥
⎣ ⎦

⎡ 1 () ⎤
⎢ −xx ( ) − ( x ( ) + x (1))
( ) ( ) ( )
x ( ) 1⎥
2
⎢ ⎥
⎢ −xx ( ) ( ) ( )
x ( )
1 (3)
− ( (2)
(3)
(1)) 1⎥
⎢ 2 ⎥
BN = ⎢ ⎥
⎢ ⎥
⎢ 1 (3) ⎥
⎢ (1) − ( (N − 2) ⎥
⎢ −xx (
(2)
1) x ( 2) 2 1⎥
⎢⎣ + x (N
( )
)) ⎥⎦
(18)
Then, use the least squares method to estimate
the sequence A and get the approximate solution
of least squares A. Rewrite Eq. (15) as

YN = BN Aˆ + E (19)

Define E as the error term. Then the approxi-

mate solution of least squares A is

Aˆ = ( BT B )−1 BTYN (20) Figure 1. Flow chart of steps of load forecasting.

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 Table 1. Load forecasting results.

Traditional BP network Third-order grey model

Real value Predictive Relative Predictive Relative

Time (h) (MW) value (MW) error (%) value (MW) error (%)

0 73.5 74.61 1.512 72.30 1.633

1 60.4 61.45 1.744 59.58 1.358
2 57.3 56.52 1.358 56.54 1.326
3 53.7 52.75 1.772 54.27 1.061
4 53.1 54.07 1.818 52.39 1.337
5 52.6 51.22 2.620 53.56 1.825
6 55.3 56.14 1.511 56.00 1.266
7 59.7 60.52 1.374 60.63 1.558
8 65.6 66.46 1.305 66.49 1.357
9 83.5 82.34 1.389 82.53 1.162
10 88.1 89.84 1.978 86.99 1.260
11 95.1 93.10 2.104 93.63 1.546
12 91.0 92.28 1.409 92.83 2.011
13 84.3 81.78 2.988 85.88 1.874
14 84.5 83.33 1.386 83.18 1.562
15 86.8 87.96 1.337 85.67 1.302
16 86.5 88.20 1.971 85.34 1.341
17 87.6 86.03 1.789 89.01 1.610
18 86.7 87.72 1.173 88.70 2.307
19 87.3 88.65 1.548 88.78 1.695
20 87.9 89.09 1.348 89.23 1.513
21 99.6 98.53 1.072 98.59 1.014
22 97.0 100.35 3.455 95.82 1.216
23 83.5 82.33 1.400 84.66 1.389
Average relative 1.723 1.480
error (%)

each point of time in a single day. The original data

comes from the load data of the past three months
from a power supply bureau. In order to reduce the
fluctuation of load sequence and improve the accu-
racy of forecasting, it is necessary to separate the
weekday load data and weekend data. In this paper,
use the weekday load data as the base. Use Matlab
R2010b software programming to complete the
simulation process. The prediction results of third-
order grey model are compared with traditional BP
network model. The prediction results are shown in
Table 1. And the relative error comparison between
the two models is shown in Figure 2.
Compared with the traditional BP network
model, the error of the third-order Grey model is
smaller and more stable. The average error of the
prediction results is about 1.480 percent, reaching
the prediction accuracy. We can conclude that the
third-order discrete series of Grey model method
has higher prediction precision and better predic- Figure 2. Error comparison between two models.
tion effect.

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 5 CONCLUSION
The Grey prediction model has some shortcomings
which cannot consider the exponential and cyclical
regularity of load data. Meanwhile, the second-
order Grey model can only take into account one
characteristic of the load data. Therefore, this
paper proposes a third-order Grey discrete series
model, which can take into account both the char-
acteristics of the load data. Example proves this
model is suitable in power system load forecast-
ing, and is able to improve the accuracy of the
prediction.
REFERENCES
[1] Tang Jieming, et al. 2009. Short-Term Load Combi-
nation Forecasting by Grey Model and Least Square
Support Vector Machine. Power System Technology.
03:63–68.
[2] Jiao Runhai, et al. 2013. Short-Term Forecasting by
Grey Model with Weather Factor-Based Correction.
Power System Technology. 03:720–725.
[3] Zhou Deqiang & W.U. Benling. 2011. Optimization
and power load forecasting of grey BP neural net-
work model. Power System Protection and Control.
21:65–69.
[4] Wang Jie, et al. 2009. Application of ant colony gray
neural network combined forecasting model in load
forecasting. Power System Protection and Control.
02:48–52.
[5] Ge Shaoyun, et  al. 2012. A Gray Neural Net-
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Offshore wind power scale development trends and related

policy research

Y. Zeng
Key Laboratory of Smart Grid of Ministry of Education, Tianjin University, Tianjin, China

J.S. Luo & X.L. Wang

New Institute, Gouda, The Netherlands

P. Song, H.W. Huang & H.L. Bao

State Grid Shanghai Municipal Electrical Power Company, Shanghai, China

ABSTRACT: In this paper, the scale development trends of offshore wind power were predicted and
analysed in terms of the offshore wind power’s scale potential, combined with the history and current
status of all the major countries’ offshore wind power research. On this basis, we studied the related poli-
cies of offshore wind power and summarised the characteristics and experiences of the major countries’
offshore wind power policies in the world. Then we analysed the relevant policies of our country and came
up with relevant recommendations. So it has good reference value.

Keywords: offshore wind power; scale development; policy; power grid

1 INTRODUCTION has accumulated a lot of experience in construc-

As an important form of renewable energy, wind
power has many features such as it has abundant
reserves, is renewable, is widely distributed, has
almost no pollution and so on, making it an impor-
tant direction for renewable energy development [1].
The development pace of wind power in China is
fast. The new wind turbine installed capacity in 2012
were 12960 MW, the cumulative installed capac-
ity of wind turbines was 75324 MW, which were
both ranked first in the world [2–3]. However with
the rapid growth of China’s wind power installed
capacity, onshore wind resources were less and less,
leading to the wind turbine market growth rate
falling sharply. In addition, due to the limitation
of current large-scale wind power grid transmis-
sion capacity, the situation of abandoned wind is
severe; consuming onshore wind power has become
the biggest obstacle to wind power development.
Compared to onshore wind, offshore wind is good
quality, close to the traditional load centers, easy to
be consumed by power grid, which eliminates the
problems of long-distance transmission; so in the
future wind farm construction will be transferred
from land to the ocean [4–6].
So far, China’s wind power is mainly onshore;
offshore wind power is still in its infancy [7]. Over
the years, the development of onshore wind power
tion and operation, formed a complete industrial
chain and has developed a relatively complete set
of relevant laws, regulations and policies on devel-
opment of wind power [8–9]. To promote offshore
wind power technology development, the National
Energy Board announced China’s relevant devel-
opment plan; in 2015 the total offshore wind power
installed capacity should reach 5 million kw and
in 2020 reach 30 million kw; the relevant depart-
ments have organized an offshore wind power con-
cession bidding. The State Grid Corporation has
developed a standard grid connection of offshore
wind power and typical electricity access system
design, for participation in the development of off-
shore wind power projects actively. For instance,
Luneng company is involved in the Jiangsudongtai
offshore wind projects. All of these will help to lay
a very good foundation for the development and
construction of China’s offshore wind power, so
that the next few years will be the golden period of
offshore wind power development [10].
However, compared with onshore, offshore wind
power technology is more difficult and faces more
new challenges [11–12]. For the benefit of offshore
wind power development and construction, we
should explore the offshore wind power develop-
ment mechanism actively, to formulate a suit-
able development and construction management

309

CMEEE_book.indb 309 3/20/2015 4:14:24 PM

 approach and also related policy measures for off-
shore wind power.
2 OFFSHORE WIND POWER
SCALE DEVELOPMENT TRENDS
2.1 Gradual decline in the cost
of offshore wind power
With the increasing offshore wind farm installed
capacity, expanding the size of the fan size and fan
arrangement, maturing technology of development,
transportation and installation of high-power fan,
offshore wind power costs and operating costs are
in gradual decline, so offshore wind power will be
further developed.
2.2 The scale and unit capacity
of wind farm increases constantly
The British offshore wind farm London array first
phase 630 MW project, with the largest installed
capacity in the entire world, was put into operation
in February, 2012.
The demonstration offshore wind farm first
phase project with installed capacity of 150 MW
built by Guodian Longyuan Corporation in
Rudong, Jiangsu province, which was put into use
in December, 2011, is the largest built offshore
wind farm in China.
China Huarui Wind Power Corporation under-
took the central budget investment project of
China National Energy Board, the 10 MW-class
large offshore wind power generators development
and demonstration project. The project will build
the world’s first, largest 10 MW-class large offshore
wind power generators and be installed in the coastal
area of Jiangsu Province for demonstration.
2.3 The trend of world offshore
wind farm scale development
According to the European Wind Energy Asso-
ciation’s calculation, the installed capacity will
reach 180 GW, of which the offshore wind is about
80GW. Table  1 shows the offshore wind power
Table 1. The offshore wind power development
goals of major European countries in 2020.
Country Installed capacity
British 47,000 MW
German 10,000 MW
France 6,000 MW
Holland 6,000 MW
310
CMEEE_book.indb 310
development goals of the major European coun-
tries in 2020.
2.4 The development potential
of offshore wind power of China
According to estimation, the offshore wind energy
resources that can be developed is twice more than
onshore in China, whose wind energy reserves are
much higher than onshore and the space for future
development is huge.
According to China’s Twelfth Five-Year renew-
able energy plan, it is estimated that the installed
capacity of offshore wind farms in China will reach
5 GW in 2015, and it will reach 30 GW in 2020.
The next five years, offshore wind farms of China
will enter the accelerating development period.
Before 2020, several million kW class offshore
wind farms will be built in Jiangsu, Shanghai,
Shandong and other sea areas, and the 10 million
kW class power wind base in Jiangsu and Shandong
coastal areas will be initially formed. In other sea
areas, the main focus will be on building dozens of
100 MW class offshore wind farms.
3 RESEARCH ON POLICY SCHEME
OF OFFSHORE WIND FARM
A favourable policy environment is able to promote
the rapid development of the offshore wind power
industry, and can lead to the decrease in offshore
wind power investment cost, which may further
promote the development of offshore wind power
industry. Now the offshore wind power industry
has entered a good development model.
3.1 Analyses on policies of offshore wind farm
Government policies for offshore wind power
industry involve four aspects, including energy
policy, approval process, financial support and grid
connection.
Many countries, such as Denmark, England,
Germany, China, America and so on, have spe-
cifically made policies for offshore wind power
industry. From the current development status of
offshore wind power industry, and their develop-
ment pace of offshore wind power is much faster,
which also shows the importance of offshore wind
incentive policies.
Policies that may affect the development of off-
shore wind power industry can be divided into two
categories: the direct policies and indirect policies.
Direct policies are those that have a direct impact
on the local wind power industry development;
indirect policy is mainly aimed at promoting
investment in wind farm projects and, providing a
3/20/2015 4:14:24 PM
 good environment and development space for local
wind power industry.
Direct policies mainly include: compulsory
localization rate, preferential policies for local wind
generator manufacturing and localization rate, tax
incentives, certification and inspection system as
well as research, development and demonstration
projects, which could promote the development of
local offshore wind industry, improve the localiza-
tion rate of equipment, reduce the cost of wind gen-
erators, improve the reliability of wind generators,
and promote the development of offshore wind
power technology. Through the involvement of gov-
ernment, more funds will be attracted to be invested
into the offshore wind power construction project.
Indirect policies that can be taken to involve:
fixed price policy, mandatory renewable energy
targets, government tender or concession policy,
fiscal incentives, green power markets and so on.
Using these policies one can provide a long-term
and certain profit electricity price space, reduce
exploitation risk of offshore wind power, encour-
age investors and manufacturers of offshore wind
power industry to provide long-term investment,
inspire electricity suppliers be active in offshore
wind power construction and encourage electricity
users to support offshore wind power development
by purchasing green energy.
3.2 Operational experience of national
offshore wind power policy
1. Implement a fixed price policy, and tender for
the concession
Denmark, Germany and other countries have
a stable, profitable fixed price policy to pro-
mote investment in the country’s offshore wind
farm construction project, while the United
Kingdom implements government-led offshore
wind power concession projects.
2. Simplify service procedures; the use of one-stop
service
Denmark’s one-stop service is big leader
in this. The Danish Energy Agency (DEA) as
the sole competent authority greatly simplifies
the workflow of Denmark; successful bidder
applicants can obtain a license from the DEA’s
office. The British established Offshore Renew-
able Energy Approval Unit (ORCU) for permit
applications.
3. Extends onshore grid; distributes grid costs
reasonably
Denmark and the UK take offshore wind farms
grid as an extension from the onshore area to
the sea. Denmark make the grid cost socializa-
tion, the Transmission System Operator (TSO)
and System Operator (SO) is responsible for
investments of planning and implementation in
311
CMEEE_book.indb 311
the UK offshore wind farm grid: its cost comes
from transmission fees levied by the wind farm
developers. Germany requires grid companies
to bear transmission line construction costs of
offshore wind power and the mainland grid,
while in Netherlands, the developer takes charge
of offshore grid.
For developers in Denmark, the UK and
Germany, upfront costs and financial risks are
reduced, while in the Netherlands, the develop-
ment costs have greatly improved.
4. Establish fan quality certification, and use the
standardized system
The EU has established an offshore wind turbine
technology standardization quality certification
system. This could help consumers build confi-
dence in the offshore wind turbine products and
thus help form a stable demand for wind turbine
products. Usually, attractive local wind power
market is a precondition to promote the develop-
ment of wind turbine manufacturing localization,
and the wind turbine technology standardization
quality certification system is good for promoting
the formation of the local wind power market and
thus for promoting the development of the local
wind turbine manufacturing industry. In addition,
to some extent for emerging countries to develop
wind, power, establish nationally appropriate
wind turbine technology standardization quality
certification system can also protect the domestic
wind turbine manufacturing industry.
3.3 Present policies of offshore wind power
in China and related suggestions
Some laws and regulations which are related to
offshore wind power in our country are published
by the government. Some of them are specifically
for offshore wind power construction. At the same
time, enterprises related to offshore wind power
also introduced some enterprise standards and
enterprise management rules. The laws and regu-
lations including Renewable energy law, develop-
ment guidance catalogue of the renewable energy
industry, The eleventh five-year plan of renewable
energy development, Offshore wind power devel-
opment and construction management interim
measures, Offshore wind power development and
construction management interim measures for
the implementation details, The Twelfth Five-Year
Plan for wind power technology development.
The development of offshore wind power in
China has just begun and the laws and regulations
are not perfect. For example, as for project exami-
nation and approval, the existing laws and regu-
lations are published for oil and gas, or shipping
requirements. These laws and regulations may seri-
ously hinder the development of the offshore wind
3/20/2015 4:14:24 PM
 power, make the examination and approval proce-
dure very complex and full of uncertainty, increas-
ing the cost and time of the project and eventually
increase the risk of failure of the project. Besides,
at present as our country adapts the franchise bid-
ding policy for grid purchase price and the lowest
bidder has higher weight, it will inevitably make
some powerful enterprises depress electricity price
in order to be able to get the offshore wind power
bidding rights and management rights; eventually
it will harm the development of offshore wind.
For the sake of the healthy and orderly devel-
opment of China’s offshore wind power, foreign
advanced experiences are also referenced, the fol-
lowing suggestions are put forward:
1. At the beginning of the offshore wind power
development, the government should publish
some policies to support the offshore wind
power development. Laws and regulations sys-
tems, especially for offshore wind power should
be established.
2. In reference to the Danish experience, a special-
ized management institution for offshore wind
power should be established by the central govern-
ment to improve the efficiency of offshore wind
power project management. The management
institution is responsible for the project examina-
tion and approving and issuing the license.
3. The country should strengthen the unified plan-
ning of construction of offshore wind power
and power grid. The government should give
overall consideration of wind energy resources,
power capacity, the electricity market, power
grid planning and then formulate the national
offshore wind power development planning.
After the completion of offshore wind farms,
power generation enterprises should set up spe-
cialised managements which are responsible for
the operation of the offshore wind farm man-
agement under the unified dispatching of the
power grid and realise the coordinated opera-
tion of the offshore wind farm and power grid.
4. A standard system of offshore wind power
and fan certification system should be estab-
lished; the ability of design and manufacture of
offshore wind turbines and the innovation abil-
ity should be improved, sea wind data collection
should be strengthened and the level of offshore
wind power construction and operational tech-
nology should be raised.
4 SUMMARY
This paper analyses the trend of the offshore wind
development both at home and abroad, as well as pol-
icies and regulations and standard management. The
study analyses the developing situation of offshore
312
CMEEE_book.indb 312
wind and policy system. Foreign experiences are also
referred. The report gives a rational policy system of
offshore wind power in China. These proposals aim
as a guide to national policy to help the state grid
company learn about the the trends of offshore wind
development, to make the rights and obligations of
the parties involved clear, to create good conditions
for offshore wind power industry development and
to promote its healthy development.
ACKNOWLEDGEMENT
This paper is supported by National Nature Science
Foundation of China (51337005) and the project
of State Grid Corporation of China for Key Tech-
nologies of Offshore Wind Farm Development
and Integration.
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

A power response characteristics equivalent model for the hybrid energy

storage system

P. Chen, F. Xiao, X.W. Wang & H. Yang

State Key Laboratory of Advanced Electromagnetic Engineering and Technology, Huazhong University of
Science and Technology, Wuhan, China

Z.L. Yang & L.J. Wang

State Grid Hubei Electric Power Company, Wuhan, China

ABSTRACT: Aiming at the different power response characteristics between the battery and super-
capacitor for the hybrid energy storage system in the distributed generation system, this paper puts
forward a power response characteristics equivalent model for the hybrid energy storage system. In the
model, the transfer function is used to describe the power response characteristics for the battery, super-
capacitor and power converter system. Then, control strategies of the hybrid energy storage system are
used to analysis the model in simulation. The results show that the equivalent model can accurately reflect
the power response characteristics of the hybrid energy storage system.

Keywords: hybrid energy storage system; power response characteristics equivalent model; control
strategies

1 INTRODUCTION In order to make a research on the stabiliz-

The output power of distributed power (such as
photo-voltaic power and wind power) is affected
enormously by the external environment factors,
showing the characteristics of instability and
randomness. After they are accessed to the power
grid distributively in high density, their fluctuating
power might present a tremendous influence on
the main power grid, with the consequence of har-
monic pollution and system’s unstable operation.
For this reason, it can stabilize the power fluctua-
tion of the main power grid by the connection of
energy storage system, so as to improve the power
quality and system stability. The traditional bat-
tery provides the advantages of high energy den-
sity, easy operation and maintenance. But the
disadvantages are its low power density, short
cycle life and slow velocity of charge/discharge
response. As a new type of energy storage ele-
ments, Super-Capacitor (SC) has the virtue of high
power density, long cycle life and high efficiency
of charge/discharge. Nevertheless, because of the
relatively low energy density, it will reach the limit
within a short period of time. As a consequence, if
mixing battery up with SC to constitute a hybrid
energy storage system, it can make full use of the
advantages of both to improve the performance of
energy storage system and stabilize the power fluc-
tuation of system effectively.
ing function of power fluctuation by the storage
energy system, scholars established different kinds
of models for the energy storage system. Generally
speaking, the modeling of energy storage system is
composed of three aspects: battery, SC and power
converter system. The circuit models of both are
established respectively in [3,4], based on the circuit
characteristics of battery and SC, which reflected
the charge/discharge characteristics of theirs pref-
erably. Reference [5] established a circuit model of
power converter system and conduct an in-depth
study on its control algorithm as well. For the single
energy storage system of battery, in [6,7] the battery
was simulated by adopting the general battery simu-
lator, based on which designing a control strategy.
Reference [8,9] set up the DC bus type topology of
hybrid energy storage system, in which battery and
SC were connected by bi-directional DC converter
and fulfilled the grid connection of DC bus by the
use of power converter system, and also designed
the control strategy of bi-directional DC/DC con-
verter and power converter system correspondingly.
A detailed circuit model of hybrid energy storage
system in AC bus type is built in [10], then by the use
of filter, distributed the power commands of hybrid
energy storage system between the battery and SC to
achieve the function of stabilizing the power fluctu-
ation of in hybrid energy storage system effectively.
By means of analyses on control model of power

313

CMEEE_book.indb 313 3/20/2015 4:14:25 PM

 converter system, Reference [12] developed the sim-
plified model of power response characteristic of
power converter system, yet lacking the analyses on
power response characteristic of battery and SC.
To sum up, in the majority of studies on the
energy storage system nowadays, a detailed circuit
model of energy storage system will be built at first
and then the control strategy of it will be tested.
Because of complex circuit models of energy stor-
age system, the circuit models of battery and SC
cannot accurately reflect the response character-
istic on power correspondingly. In addition, the
circuit models of battery, SC and power converter
system used by researchers are usually different,
which has a negative effect to compare the power
tracking effects of hybrid energy storage system
with different control strategies.
Therefore, considering the disadvantages of the
exiting circuit model for energy storage system,
this paper established the equivalent model for
power response characteristic of hybrid energy
storage system based on the response character-
istic of reference power executed by battery, SC
and power converter system, which was aimed at
the hybrid energy storage system in AC bus type.
Then the power equivalent model was tested by dif-
ferent kinds of hybrid energy storage system con-
trol strategies in PSCAD. The simulation results
proved the power equivalent model for the hybrid
energy storage system raised by this paper, with
the advantages of simplicity and reliability, could
be used to check out the effectiveness of hybrid
energy storage system control strategies rapidly.
2 STRUCTURE OF THE HYBRID ENERGY
STORAGE SYSTEM
There are various kinds of topology structures of
hybrid energy storage system [11], in this paper, we
Figure  1. The structure diagram of the hybrid energy
storage system.
314
CMEEE_book.indb 314
will use the structure in common AC bus type, as
shown in Figure 1.
In Figure 1, the battery was connected directly
to the AC bus via PCS. SC and bi-directional DC/
DC converter were linked together, then connected
in parallel to the AC bus via PCS. This kind of
topology structure is conducive to extend and easy
to be joined up by the AC load [5].
3 EQUIVALENT MODEL OF POWER
RESPONSE CHARACTERISTIC OF
HYBRID ENERGY STORAGE SYSTEM
The power response characteristic of energy stor-
age system is not only related to its element but also
closely related to the control strategy of PCS. Ref-
erence [12] takes the control strategy of PCS into
account and derives the power response character-
istic of PCS. When studying the real-time power
tracking process of energy storage system, PCS
power control process can be simplified as 1 order
dynamic model, which is shown in Figure 2.
In Figure  2, Pset–p and Qset–p is the active and
reactive power reference command value of PCS,
Pp and Qp is the actual input and output power, Tp
is the power response time constant of PCS.
Because of the huge difference in response speed
of the reference power between battery and SC, at
the same power reference level, the response speed
of SC is faster, usually it has a power response
time of 10 ms level, while battery of 100 ms level
[6]. In a practical application, the power response
time of power converter system is in 10 ms level.
The power response time of all three is shown in
Figure 3.
Figure 2. Equivalent control diagram of the PCS.
Figure  3. The power response time of SC-PCS and
Battery-PCS.
3/20/2015 4:14:25 PM

Figure 4. The structure diagram of the power response
characteristics.
In Figure 3, the power response time of PCS is
tp which is small, and the power response time of
the battery and SC is tb and tsc respectively. Now
this paper connects battery and PCS together to
be Battery-PCS, whose power response time is tb–p,
and tb–p= tb + tp; Accordingly, the power response
time of SC-PCS is tsc–p, and tsc–p = tsc + tp. Therefore,
the significant difference between battery and SC
on the power response time is the main reason that
causes Battery-PCS and SC-PCS’s differences on
response characteristics of reference power, and
PCS’s access increases the power response time
tp and their delayed response effect of reference
power fixedly.
For the battery and SC and PCS are nonlinear
units, it’s difficult to obtain their precise math-
ematical expression on response characteristics. To
describe the delayed effects and simplify the equiv-
alent process of power response, and test hybrid
energy storage system control strategy quickly and
efficiently, this paper puts forward a power equiva-
lent model for the hybrid energy storage system,
which adopts transfer function to consider the
response characteristics of the complex circuit to
reference power as simple first-order inertia link to
express its power response process. The response
process of energy storage system to reference
power in Figure 3 is equivalent to Figure 4.
For the power response equivalent process of
SC-PCS above, its mathematical expressions in the
complex frequency domain is showed as follows.
Psc − p ( s ) = Psc
sc p _ ref
e ( s ) ⋅ G sc p (s)
1 power tracking.
Gsc − p ( s ) =
1 + sT
Tsc − p
where, Psc − p ref represents reference power of SC-
PCS, and Psc–p expresses its actual input and out-
put power, and Gsc–p(s) is equivalent to its power
response process, and tsc–p is its power response
time constant and indicates its tracking delayed
degree to power. tsc–p values 3tsc–p on account of
the tracking time of first-order inertia link in the
Figure 3.
As shown in Figure 3, the power response char-
acteristics equivalent model of SC-PCS above
also applies to Battery-PCS, the power response
time constant in the model reflects their different
CMEEE_book.indb 315
response characteristics to reference power.
Wherein the power response of Battery-PCS is
slow, and its model’s power response time constant
is large; but SC-PCS responses fast and the time
constant is small. So this paper adopts transfer
function to describe power response process of
hybrid energy storage system and establish a com-
plete hybrid energy storage system power response
characteristics equivalent model.
4 CONTROL STRATEGY
For the response characteristics equivalent model
of hybrid energy storage system, this paper adopts
a low-pass filter on the active power reference
instruction of hybrid energy storage system, con-
siders the low-frequency component of active
power reference instruction as reference power
instruction of Battery-PCS and its high-frequency
component as reference power instruction of SC-
PCS, and takes into account the overcharge and
over-discharge protection and maximum charge/
discharge power limit control of energy storage
elements. And through input and output power
in real-time computing, the state of charge of the
energy storage system is
t
QSOC _ b QSOC _ b
∫ Pb
− 0
p (t )dt
p p0 (3)
Eb p_N
t
QSOC _ sc QSOC _ sc
∫ Psc − p (t )dt
− 0
p p0 (4)
Esc − p N
For hybrid energy storage system of traditional
circuit model, there are Battery-PCS and SC-PCS’
reference power instructions through the same
method. The battery’s terminal voltage changes
little, so we could adopt power control on the
Battery-PCS directly, and considers Battery-PCS
(1) reference power instruction as targets of PCS
(2) The terminal voltage of SC changes a lot in the
charge/discharge process, so connecting bidirec-
tional DC/DC converter between the SC and PCS,
and coordinating and switching control for bidi-
rectional DC/DC and PCS.
1. When the reference power Psc − p ref > 0 (SC
discharges), PCS is in the inverter operation.
The way that DC voltage of PCS is controlled
by bidirectional DC/DC maintains PCS’ stable
DC voltage and ensures that it works properly;
meanwhile, PCS adopts power control to track
the reference power instruction of SC-PCS.
2. When the reference power Psc − p ref < 0 (SC
charges), PCS is in rectification work status.
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3/20/2015 4:14:25 PM
 And PCS control its DC voltage to maintain its
normal work. Meanwhile, the power control on
bidirectional DC/DC converter is used to track
the reference power instruction of SC-PCS.
5 SIMULATION ANALYSIS
5.1 Parameter settings
Test 1: Compare the power response situations
of traditional hybrid energy storage system cir-
cuit model (model ) and response characteristics
equivalent model (model ) of hybrid energy stor-
age system. In simulation, the inherent delay time
of PCS is tp = 60 ms, and the power response time of
battery is 100 ms level, and set the power response
time constant of Battery-PCS as Tb–p = 0.1; the
power response time of SC is 10 ms level, and set
the power response time constant of SC-PCS as
Tsc–p = 0.015 ; low-pass filter values Tf0 = 5.
Test 2: Compare the power tracking effect of
hybrid energy storage system under different con-
trol strategies. Based on the hybrid energy stor-
age system power equivalent model, this paper
uses control strategies (control strategy ) of
Table 1. The main parameters of energy storage element.
Parameters Qsoc min Qsoc max Qsoc low
Battery 0.1 0.99 0.4
SC 0.2 0.95 0.4
Figure  5. The situation of the hybrid energy storage
system power tracking.
316
CH64_67.indd 316
Test 1 and the control method of literature [10]
to test the model partly. Literature [10] takes into
account the charge/discharge state of battery and
SOC values of SC, adjusts filter time constant of
the low-pass filter in real time and coordinates
the overcharge and over-discharge protection and
maximum charge/discharge power limit control for
battery and SC energy storage system to optimize
the regulating capacity of the whole system. In the
trial, set the low-pass filter time constant initial
value Tf0 = 5, and the filter time constant Tf varies
between [2,8]. Set the normal operating voltage of
the battery as [500 V, 550 V], whose initial value of
SOC is 0.7; set normal operating voltage of the SC
as [100 V, 400 V], whose initial value of SOC is 0.8,
and energy storage element parameters of the bat-
tery and SC are shown in Table 1.
Setting the power response characteristics equiv-
alent model of hybrid energy storage system and the
circuit model system of traditional hybrid energy
storage with the control model in PSCAD. Simula-
tion time of the system is 9 s. For convenient, ana-
lyzing the reference active power and actual active
power in simulation time [70 s, 73 s]. The simula-
tion results are obtained as shown in Figure 5.
QSOC high Pmax/W EN/(kW⋅h)
0.8 ±50 10
0.8 ±50 0.4
Figure  6. The situation of the Battery-PCS power
tracking.
3/20/2015 4:44:03 PM
 Figure 5 shows that the tracing results for refer-
ence active power of the power response charac-
teristics equivalent model of hybrid energy storage
system and the circuit model system of traditional
hybrid energy storage are basically uniform. From
Figure 6 and Figure 7 analysis, two kinds of model
of SC-PCS power command tracking the situa-
tion is basically the same, because the power of
SC-PCS traditional circuit model of SC response
time is very short, can be ignored, its response to Figure  9. The filtering time constant for control
the reference power is mainly embodied in the strategy .
power of the PCS response characteristics; While
the two Battery-PCS models’ power tracking is
slightly different mainly because of the Battery-
PCS traditional circuit model can not effectively
reflect the battery power response characteris-
tics of power battery, the PCS response also just
reflects the power of the PCS response character-
istics. The reason of the two Battery-PC models’
power response characteristics different is that
traditional hybrid energy storage system circuit Figure 10. The SOC of the battery and SC.
model’s problem. The simulation results show that
the proposed hybrid storage energy system power
response characteristics model can better reflect the energy storage system response characteristics
of the reference power.
Based on power response characteristics equiva-
lent model for the hybrid energy storage system,
using the control strategy 1 and control strategy 2
to control the system. The simulation results are
obtained as shown in Figuers 9 and 10.
Figure  9  shows that the change progress of
hybrid energy storage power response characteris-
tics model’s low pass filter time constant using the
control strategy 2. While using the control strategy
1, the time constant is a constant.
In the control strategy 1, the energy storage ele-
ment’s variation range is wider. That illustrate the
use of control strategy 2 can effectively reduce the
charge/discharge depth of energy storage element,
which can consistent with the design purpose of
control strategy 2.
The power response characteristics equivalent
model for the hybrid energy storage system is effec-
tive. And the power response characteristics model
can quickly test the validity of the hybrid energy
storage system control strategies.

Figure 7. The situation of the SC-PCS power tracking.

6 CONCLUSION

Aiming at the hybrid energy storage system with

the AC bus, this paper puts forward a power
response characteristics equivalent model for the
hybrid energy storage system. The model accu-
rately reflects the hybrid energy storage system’s
power response characteristic. Based on that, using
different hybrid energy storage system control
Figure 8. The SOC of the battery and SC. strategies to test the model. The results show that

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CH64_67.indd 317 3/20/2015 4:44:04 PM

 power response characteristics equivalent model
for the hybrid storage energy system proposed in
this paper is simple and effective.
In following study, based on the present model,
some better control strategy will be put forward
and used in engineering.
REFERENCES
[1] Lu Zongxiang, Wang Caixia, Min Yong. Review of
Researches in Micro-grid. Automation of Electric
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[3] Olivier Tremblay, Louis-A. Dessaint, Abdel-Illah
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

The research for power allocation strategy of the hybrid energy storage
units in distributed generation system

Z.L. Yang
State Grid Hubei Electric Power Company, Wuhan, China

P. Chen
State Key Laboratory of Advanced Electromagnetic Engineering and Technology,
Huazhong University of Science and Technology, Wuhan, China

L.J. Wang & Y.H. Wang

State Grid Hubei Electric Power Company, Wuhan, China

F. Xiao, X.W. Wang & H. Yang

State Key Laboratory of Advanced Electromagnetic Engineering and Technology,
Huazhong University of Science and Technology, Wuhan, China

ABSTRACT: Aiming at the hybrid energy storage units with AC bus lines in distributed generation sys-
tem, this paper puts forward a power allocation strategy for the hybrid energy storage units. The method
retarded the over-charge/over-discharge phenomena of the energy storage units by adjusting the SOC
values of the energy storage units in a certain range, through the power command of low-pass filter’s
effective distribution between the battery and super-capacitor, according to the SOC value of the battery
and super-capacitor. At the same time, it took the state of charge/discharge into account, adjust the filter
time constant to ensure that the SOC value of the energy storage units is maintained in a certain range.
In PSCAD, the simulation results prove the effectiveness of power allocation strategy in hybrid energy
storage units.

Keywords: hybrid energy storage units; low pass filter; power allocation strategy

1 INTRODUCTION A hybrid energy storage units can make full use of

When the output power in distributed generation
system is connected to the power grid, its fluctu-
ating power might present a tremendous influence
on the grid, with the system’s unstable operation.
For this reason, it can stabilize the power fluctua-
tion of the main power grid by the connection of
energy storage units, so as to improve the power
quality and system stability. There are many types
of energy storage units, usually including two
kinds: energy type storage units, such as the bat-
tery, provides the advantages of high energy den-
sity with easy operation and maintenance. But the
disadvantages of low power density, short cycle
life and slow velocity of charge/discharge response
are also obvious. Power type storage units, such as
Super-Capacitor (SC), flywheel energy storage, has
the virtue of high power density, long cycle life and
high efficiency of charge/discharge. Nevertheless,
because of the relatively low energy density, it
will reach the limit within a short period of time.
the advantages of both to improve the perform-
ance of energy storage system and stabilize the
power system fluctuation effectively.
In order to improve the operation and the control
performance of the energy storage units, Reference
[6] proved that hybrid energy storage units could
improve its ability of power output by taking
advantage of both battery and SC. References [7,8]
build DC bus energy storage units model. In this
model, the battery connected SC through bidirec-
tional DC/DC converter, then connect the DC bus
via Power Converter System (PCS). This model
used the mul-hysteresis control to make energy
storage system flexible, but the DC bus is not con-
ducive to extend. According to the filter of power
signal’s filter processing for power signal and the
measured battery State Of Charge (SOC, State Of
Charge), References [9,10] took the capability of
the energy storage units into account, then adjust
the time constant of the filter to make an adjust-
ment on charge/discharge power regulating of the

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CH65_68.indd 319 3/20/2015 6:24:46 PM

 battery. Because this system only used a structure
of single battery storage unit, it was difficult to
make response of high frequency components of
power signals accurately. By the power command
of low-pass filter’s effective distribution between
the battery and SC, Reference [12] pointed out that,
based on the use of hybrid energy storage units
with AC bus type topological structure, it could
have a realization SOC value of SC optimization
adjustment by adjusting the filter time constant, in
consideration of the SOC value of the battery and
the SC and the state of charge/discharge. However,
the units have a lack of optimal adjustment for the
SOC value of the battery.
On the basis of existing research, aiming at the
AC bus type of the hybrid energy storage units, this
paper made a research of the power allocation strat-
egy of hybrid energy storage units. The first mission
is to identify the determination of equivalent model
of battery, SC and PCS; Then, for the shortcomings
of traditional hybrid energy storage power alloca-
tion strategies in control system, it made a design of
power allocation strategy with variable filter time
constant based on the SOC value of the battery
and the SC and the state of charge/discharge of
the two; Finally, through PSCAD simulation, the
results proved the effectiveness of power allocation
strategy in hybrid energy storage units.
2 STRUCTURE OF THE HYBRID ENERGY
STORAGE UNITS
This paper uses the structure in common AC bus
type, which is conducive to extend. The battery
is connected directly to the AC bus via PCS. SC
and bi-directional DC/DC converter are linked
together, then connected in parallel to the AC bus
via PCS, as shown in Figure 1.
In this paper, the battery used PNGV model
because the battery in wind power need charge/
discharge frequently, and the current fluctuated
Figure  1. The structure diagram of the hybrid energy
storage units.
320
CMEEE_book.indb 320
acutely. SC used first-order RC model to simu-
late its charge/discharge process, while PCS of
three-phase voltage rectifier/converter. Then PCS
designed its control strategy to improve the charge/
discharge process of battery and SC. Bi-directional
DC/DC converter was linked between SC and
PCS, which could transfer power between them
effectively.
3 CONTROL STRATEGIES FOR THE
HYBRID ENERGY STORAGE UNITS
As the voltage of battery and SC changes dif-
ferently when charging/discharging, this paper
designs corresponding control strategies for them
with input/output active instruction given by the
energy storage units, and ignores reactive power
support of the energy storage units for the grid.
The battery’s port voltage changes little in the
charge/discharge process, and the DC voltage of
PCS can maintain the normal operation of the
PCS. So this paper adopts power control on the
Battery-PCS directly, and considers Battery-PCS
reference power instruction as targets of PCS
power tracking whether PCS works in rectifier or
inverter status.
1. When the reference power of SC-PCS Psc* − p > 0,
the SC is in a discharged state that PCS works in
the inverter operation. The bidirectional DC/DC
is controlled to stabilize DC voltage of PCS to
ensure the normal working in the inverter status;
at the same time, the power control of PCS is used
to track the reference power Psc* − p of SC-PCS.
2. When the reference power of SC-PCS Psc* − p < 0,
SC is in a charged state that PCS works in the
rectifier operation. And the DC voltage con-
trolled by PCS maintains its normal work.
Meanwhile, the current control on the bidirec-
tional DC/DC converter is used to track the ref-
erence power Psc* − p of SC-PCS.
4 A POWER DISTRIBUTION STRATEGY
BASED ON THE SOC AND CHARGE/
DISCHARGE STATUS OF ENERGY
STORAGE UNITS
4.1 Power allocation
According to the characteristics of hybrid energy
storage units architecture, the low-pass filter per-
forms filtering on the active reference instruction
of hybrid energy storage units and considers its
low-frequency components as the reference power
Pb* p of Battery-PCS and high frequency compo-
nents as the reference power Psc* − p of SC-PCS. The
expressions in the complex frequency domain are
as follows.
3/20/2015 4:14:29 PM
 1 Due to the limited capacity of energy storage
Pb* p ( s ) = *
PHESS (s)
1 + sT
Tf
sT
Tf
Psc* − p s ) = PHES
HESS ( s ) − Pb − p ( s ) =
* *
PHESS (s)
1 + sT
Tf
where, Tf is the filtering time constant of the low-
pass filter, and its value is determined by fluc-
tuation band active reference instruction and the
energy storage capacity of battery and SC.
Due to the limited capacity, the battery and SC
are easily in over-charge and over-discharge states
in practical work which cause damage of energy
storage units. Therefore, this paper takes into
account the overcharge and over-discharge protec-
tion and maximum charge-discharge power limit
control of energy storage units. And through the
input-output power in real-time computing, the
state of charge of energy storage units is
t
(1) units, the way that tries to minimize the SOC vari-
ation range of energy storage units can relieve the
overcharge and over-discharge phenomenon to
*
some extent. The SOC value of energy storage
units is divided into three zones as shown below,
(2)
and [ SOC low , high ] is the normal working zone
of energy storage units.
To control the SOC value of the lithium battery
and SC to maintain the value at the target zone
C low ,
[ SOC high ] , it is necessary to judge charge-
discharge state of battery and SC, and the region
of SOC value comprehensively.
If Pb* p 0, Psc* − p > 0, which means that Battery-
PCS and SC-PCS are in a discharged state, in
this case the SOC value of energy storage units
becomes smaller, and tends to return to the target
zone [ SOC low ,
C low high ] , so Tf remains unchanged.
If Pb* p 0, Psc* − p < 0, the Battery-PCS is in dis-
charged status and the SC-PCS is in charged status.
At this moment. The control objectives should be

Cb p (t ) = SOC
SOC Cb
∫ Pb
− 0
p (t )dt
(3)
to increase discharge power of the battery, reduce
charge power of the SC, and decrease the filtering
p0
Eb p_N time constant of low-pass filter, so T f T f 0 − ΔT f .
t
If Pb* p 0, Psc* − p > 0 , the Battery-PCS is in

Csc − p (t ) = SOCsc
SOC
∫ Psc − p (t )dt
− 0 (4)
charged status and the SC-PCS is in discharged
sc p0 status. The control objectives should be to increase
Esc − p N discharge power of the SC and reduce charge
power of the battery, so T f T f 0 + ΔT f .
Among them, SOC Cb p (t ) and SOC Csc − p (t ) are If Pb* p 0, Psc* − p < 0 , which means that Battery-
the real-time SOC value of the battery and SC; PCS and SC-PCS get charge instruction and are
SOCCb p 0 and SOC Csc − p 0 are their initial value in a charged state. The way that changes the filter-
respectively; Pb p (t ) and Psc − p (t ) are their real- ing time constant directly can’t make an optimal
time input-output power respectively; Eb p _ N adjustment of the charge/discharge power between
and Esc − p N are their energy storage capacity them. Therefore, the charge power should be both
respectively. reduced in the meantime, and the reference power
adjustment formula are as follows:
4.2 Control criterion
To further alleviate the overcharge and over- ⎧ ⎧⎪ SOC Cb p ⎫⎪
Cb p max SOC
⎪Pb* p( ) Pb* p max ⎨0, ⎬
discharge status of energy storage units, this ⎪⎪ ⎪⎩ SOC
Cb p max SOC
Cb phigh ⎪⎭
paper regulates the filtering time constant of the ⎨
low-pass filter by feedback through the SOC value ⎪ * ⎧⎪ SOC
Csc− p SOCsc− p ⎫⎪
− SOC
and charge/discharge status of battery and SC to ⎪Psc− p = Ps*c− p max ⎨0, ⎬
⎪⎩ Csc− p max − SO
⎩⎪ SOC S Csc− phigh ⎭⎪
adjust the charge/discharge power of battery and
SC in real-time and improve the power allocation (5)
strategy of hybrid energy storage units. The larger
the filtering time constant Tf of the low-pass filter
is, the smaller the cut-off frequency fc Tf
is, the wider spectrum the SC are assigned, there-
fore, the larger power the SC charges/discharges
and the less charge/discharge power the battery
decreases; On the contrary, the smaller the filter-
ing time constant is, the larger power the battery
charges or discharges and the less charge/dis-
charge power the SC decreases. Thus, changing
the value of the filtering time constant can adjust
the charge/discharge power of battery and SC in
real time. Figure 2. Zoning the energy storage units SOC.

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CMEEE_book.indb 321 3/20/2015 4:14:30 PM

 Table 1. The control results of the filtering time constant and power adjustment.

SOC regional judgment State of charge and discharge Tf

SOC b ≥ SOC
Cb phigh ; * * Tf no change
p
Pb p 0, Psc − p > 0
SOC sc − p SOC sc − phigh

Pb
* *
0, Psc − p < 0 Tf Tf 0 − ΔTf
p
*
Pb p 0,
*
Psc − p >0 Tf Tf 0 + ΔTf

Pb
* *
0, Psc − p < 0 Formula (5)
p

SOC b ≥ SOC
Cb phigh ; * Tf Tf 0 − ΔTf
p
Pb p >0
SOC sc − p SOC sc p
< SOC sc phigh

Pb
*
<0 Tf Tf 0 + ΔTf
p

SOC b ≥ SOC
Cb phigh ; * * Tf Tf 0 − ΔTf
p
Pb p 0, Psc − p > 0
SOC sc − p SOC sc − plow

* * Tf no change
Pb p 0, Psc − p < 0

* * Formula (6)
Pb p 0, Psc − p > 0

* * Tf Tf 0 +ΔTf
Pb p 0, Psc − p < 0

SOC
Cb SOC
Cb phigh ; * Tf Tf 0 + ΔTf
plow b p
Pb p >0
SOC sc − p SOC sc − phigh

Pb
*
<0 Tf Tf 0 − ΔTf
p

Target area Any charge and discharge status Tf no change

SOC
Cb SOC
Cb phigh ; * Tf Tf 0 − ΔTf
plow b p
Psc − p > 0
SOC sc − p SOC sc − plow

*
Psc − p < 0 Tf Tf 0 + ΔTf

SOC b < SOC

Cb plow ; * * Tf Tf 0 + ΔTf
p
Pb p 0, Psc − p > 0
SOC sc − p SOC sc − phigh

* * Formula (7)
Pb p 0, Psc − p < 0

* *
Tf no change
Pb p 0, Psc − p > 0

Pb
* *
0, Psc − p < 0 Tf Tf 0 − ΔTf
p

SOCli SOC low _ li ;

Pb
*
>0 Tf Tf 0 + ΔTf
p
SOC sc − p SOC sc p
< SOC sc phigh

Pb
*
p <0 Tf Tf 0 − ΔTf
SOC b < SOC
Cb plow ; * * Formula (8)
p
Pb p 0, Psc − p > 0
SOC sc − p SOC sc − plow

Pb
* *
0, Psc − p < 0 Tf Tf 0 + ΔTf
p

Pb
* *
0, Psc − p > 0 Tf Tf 0 − ΔTf
p

Pb
* *
0, Psc − p < 0 Tf no change
p

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CMEEE_book.indb 322 3/20/2015 4:14:35 PM

 Table 2. The main parameters of energy storage units.

Parameters SOCmin SOCmax SOClow SOChigh Pmax/W EN/(kW ⋅ h)

Battery 0.1 0.99 0.4 0.8 ±50 10

SC 0.2 0.95 0.4 0.8 ±50 0.4

Among them, Pb* p( ) is the reference power of

Battery-PCS after power adjustment, and Psc* − p( )
is the reference power of SC-PCS after power
adjustment.
According to the type, SOC region and charge/
discharge status of energy storage units, there can
be 36 different kinds of working conditions of bat-
tery and SC as shown in Table 1.
In the table, the power adjustment formula (6)
(7) (8) and the power adjustment formula (5) adopt Figure  3. Variable low pass filtering time constant in
the similar way to adjust the charge/discharge ref- Test 1.
erence power of the energy storage units.

⎧ ⎧⎪ by using low pass filter. The over-charge and over-

SOC Cb p ⎫⎪
Cb p max SOC
⎪Pb* p( Pb* p max ⎨0, ⎬ discharge protective control and maximum power
)
⎪⎪ ⎪⎩ SOC
Cb p max SOC
Cb phigh ⎪⎭ limit control of charge/discharge are used respec-
⎨ tively to battery and SC.
⎪ * ⎧⎪ SOC SOCsc− p min ⎫⎪
Csc− p − SOC Test 2 uses the hybrid energy storage units power
⎪Psc− p = Ps*c− p max ⎨0, ⎬ allocation strategy which proposed in this paper.
⎪⎩ Csc− plow − SO
⎩⎪ SOC S Csc− p min ⎭⎪
Considering the battery and SC’s SOC value and
(6) their charge/discharge state. Time constant of low
pass filter is adjusted all the time. In order to opti-
⎧ ⎧⎪ SOC
Cb p SOCCb p min ⎫⎪ mize the storage elements’ regulating ability and
⎪Pb* p( ) Pb* p max ⎨0, ⎬ relief the storage elements’ charge/discharge state.
⎪⎪ ⎩⎪ SOC
Cb plow SOC
Cb p min ⎭⎪
The initial time constant is set to T f 0 = 5 . Filter
⎨ time constant changes between [2,8]. Normal
⎪ * ⎪⎧ SOC
Csc− p SOCsc− p ⎪⎫
− SOC
⎪Psc− p = Ps*c− p max ⎨0, ⎬ working voltage of battery is between [500 V, 550
⎪⎩ ⎩⎪ SOC
C sc− p max − S O
OC
Csc− phigh ⎭⎪ V]. The initial SOC value is 0.7. Normal working
voltage of SC is between [100 V, 400 V]. The ini-
(7) tial SOC value is 0.8. Parameters of battery and SC
energy storage units are shown in Table 2.
⎧ ⎪⎧ SOC
Cb p SOC Cb p min ⎪⎫
⎪Pb* p( ) Pb* p max ⎨0, ⎬
⎪⎪ ⎩⎪ SOC
C b plow SOC
Cb p min ⎭⎪
5.2 Simulation results
⎨
⎪ * ⎧⎪ SOC SOCsc− p min ⎫⎪
Csc− p − SOC The simulation time is 90  s. The simulating step
⎪Psc− p = Ps*c− p max ⎨0, ⎬ Δt = 10us. In order to analyze conveniently, the ref-
⎪⎩ Csc− plow − SOC
⎪⎩ SOC OCsc− p min ⎪⎭
erence power and real input power of simulation
(8) time [80 s, 83 s] is extracted to analyze. The simula-
tion results are obtained as shown in Figure 3.
Figure 3 is the change progress of low pass filter
5 SIMULATION ANALYSIS
in test 2. According to the battery’s SOC value and
SC’s SOC value and their charge/discharge state,
5.1 Parameters setting
we can get the comprehensive judgment.
In order to verify the correctness of the hybrid From the analysis of Figure  4, 5, 6, the power
energy storage units power allocation strategy, this tracking ability of Battery-PCS and SC-PCS are basi-
paper build the hybrid energy storage units model cally the same, with using the two kinds of control
and the modular of hybrid energy storage units strategies. Power allocation strategy of hybrid energy
power allocation strategy in PSCAD. storage units, which is proposed in this paper, is right.
In the simulation, setting two contrast test: test From the analysis of Figure  7, battery’s SOC
1 is basic control strategy. The power is distributed value is working in normal region. In the test 1,

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 6 CONCLUSION

According to hybrid energy storage units with the

AC bus type, this paper proposes the variable filter
time constant power allocation strategy which basic
on battery’s and SC’s SOC value and their charge/
discharge state. The power allocation strategy can
adjust the SOC value of battery and SC compre-
hensively, and reduce the change region of the SOC
value, and reduce the charge/discharge phenome-
non of energy storage units to some extent.

REFERENCES

[1] Consulting Group of State Grid Corporation of China

Figure  4. The situation of the hybrid energy storage
units power tracking.
Figure  5. The situation of the Battery-PCS power
tracking.
Figure 6. The situation of the SC-PCS power tracking.
Figure 7. The SOC of the battery and SC.
the SC’s SOC value changes between [0.325,
0.852]. However, in the test 2, the SC’s SOC value
changes between [0.375, 0.819]. Therefore, in the
test 1 the change range of energy storage units’s
SOC value is greater than that in the test 2. It
shows that using the power allocation strategy in
the test 2 can reduce the depth of over-charge and
over-discharge, which consistent with the design
objective.
to Prospects of New Technologies in Power System. An
Analysis of Prospects for Application of Large-scale
Energy Storage Technology in Power Systems. Auto-
mation of Electric Power Systems, 2013, 37(1):3–8, 30.
[2] Duryea S, Islam S, Lawrance W. A battery manage-
ment system for stand-alone photovoltaic energy
systems. IEEE Trans on Industry Applications,
2001, 7(3):37–41.
[3] Olivier Tremblay, Louis-A. Dessaint, Abdel-Illah
Dekkiche. A Generic Battery Model for the Dynamic
Simulation of Hybrid Electric Vehicles. Vehicle Power
and Propulsion Conference, 2007. VPPC 2007: 284–289.
[4] R.M. Nelms, D.R. Chela, R.L. Newsom. A comparison
of two equivalent circuits for double-layer capacitors.
Applied Power Electronics Conference and Exposi-
tion, 1999. APEC ‘99. Fourteenth Annual:692–698.
[5] Li Zhanying, Hu Yufeng, Wu Junyang. The research
for the large capacity battery energy storage system
PCS topology structure. Southern Power System
Technology. 2010, 4(5):39–42.
[6] Dougal R.A, Liu S, White R.E. Power and life
extension of battery-ultracapacitor hybrids. IEEE
Trans on Components and Packaging Technologies,
2002, 25(1):120–131.
[7] Zhang Guoju, Tang Xisheng, Qi Zhiping. Applica-
tion of hybrid energy storage system of super-capac-
itors and batteries in amicrogrid [J]. Automation of
Electric Power Systems, 2010, 34(12):85–89.
[8] Tang Xisheng, Qi Zhiping. Active hybrid energy
storage solution of super-capacitors and batteries
in independent PVsystem. Advanced technology of
electrical engineering and energy. 2006, 25(3):37–41.
[9] Bingchang Ni, Sourkounis, C. Control strategies for
energy storage to smooth power fluctuations of wind
parks. MELECON 2010–2010 15th IEEE Mediter-
ranean Electrotechnical Conference, Valletta, 2010.
[10] Xie Junwen, Lu Jiming, Mao Chengxiong. Battery
energy storage system optimization control method
based on the variable smoothing filter time con-
stant. Automation of Electric Power Systems. 2013,
37(1): 96–102.
[11] Zhang Kun, Mao Chengxiong, Xie Junwen. Optimal
Design of Hybrid Energy Storage System Capacity
for Wind Farms. Proceedings of the CSEE. 2012,
32(25): 79–87.
[12] Li Fengbing, Xie Kaigui, Zhang Xuesong. The hybrid
energy storage system control method based on the
lithium battery state of charge and discharge. Auto-
mation of Electric Power Systems. 2013, 37(1):70–75.

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Research on the control of temperature of batch reactors

by multi-media in the reactor jacket

H.B. Li, D.Y. Feng & H. Liu

Mechanical Engineering and Automation College, Liaoning University of Technology, Jinzhou, China

ABSTRACT: Addressing the need of temperature control of batch reactors, which makes a great differ-
ence in multi-section reaction temperature, the jacket process with which heating or cooling multi-medium
was designed, and liquid hot-or-cold mediums with similar properties which share the temperature con-
trol valve and to simplify the system structure. The design of the jacket medium auto-identifying, auto-
emptying and auto-switching control system, solved the problems of a complex operation process, low
efficiency and an error-prone factor when a multi-medium switches to manual operation. By using the
memory valve operation to identify the current media of the jacket, it worked out the difficulties of sensor
measuring various medium components. The influencing factors at the time of emptying the jacket was
analysed, the relation of emptying time with the pressure of compressed air was associated, and the emp-
tying end was determined on the basis of the time, to solve the problems of detection of emptying end-
point in multi-medium and complex conditions. The practical application shows that the system has the
advantages of a simple structure, medium high efficiency switching as well as high safety and reliability.

Keywords: batch reactor; auto-switching; medium identification; emptying jacket

1 INTRODUCTION 2 THE DESIGN OF JACKET MULTI

In the production process of the batch reactor,
the reaction temperature conditions were always
changing by the reaction process. Single heating
or cooling medium was difficult to meet the needs
of temperature control when the reaction tem-
perature amplitude in different stages was great,
so the technical needs of the temperature was met
by changing the different heating or cooling medi-
ums in the jacket at different stages of the reaction
temperature.
Due to the complex process of multi medium,
multiple valves, complex operation process and
the low efficiency of manual switching jacket
medium, the swift need of process temperature
control could not be met, and different mediums
confused each other easily because of the false
operation, which lead to production losses. In
this article, addressing the needs of temperature
control of batch reactor of a good chemical com-
pany, the jacket multi medium switching process
was designed, the automatic switching control
was introduced, and the functions of the former
medium in jacket such as automatic identifica-
tion, emptying and switching were embedded in
the DCS control system and applied to a practical
process: as a result production efficiency and reli-
ability were improved.
MEDIUM SWITCHING PROCESS
The temperature response amplitude of the dif-
ferent process steps was different to a great degree
in the batch reactor reaction process of a good
chemical company. According to the analysis of
the process, the jacket needed to switch 4 kinds
of hot-or-cold medium in a production cycle,
for example, steam, hot water, cooling water and
brine ice (calcium chloride). Different medium
pressed the current medium in the jacket back to
its storage tank by using compressed air before
switching: this was named the jacket “empty”
operation, which included air used for emptying
and emergency water. 6 different mediums were
connected by the jacket and these mediums were
strictly prevented from mixing in the switching
process of different mediums. Various mediums
all had supply and return valves (Emergency
water and cooling water shared the backwater
and return circuit to discharge in the circulating
pool). The liquid medium was good for filling
the jacket when entering from low and discharg-
ing from high. The steam and compressed air
entered from the upper part of the jacket and
the steam condensate water discharged from the
bottom of the jacket. In order to simplify the
system, all kinds of liquid mediums went into

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 Figure 1. The flow diagram of reactor jacket medium.
the jacket through the common temperature
control valve to bring out the automatic control
of temperature; because the difference between
the performance parameters of low pressure
steam and fluid state was great, the steam tem-
perature control valve was used independently
to control the temperature. The switching pro-
cess of reaction jacket multi medium is shown in
Figure 1.
It can be seen from Figure  1 that to complete
a switch of different medium it needs operating
many valves accurately. For example, the opera-
tion of switching from cooling water cooling to ice
water cooling it needed 4  steps—such as closing
the supply or loop of cooling water, connecting
the emptying loop, closing the emptying loop and
switching to the ice water circulation loop, Fur-
thermore, it needed to operate 14 times to complete
the switching valve, which had the advantages of
low efficiency in manual operation and were error
prone. So it was necessary to use the automatic
control.
3 THE HARDWARE CONFIGURATION
OF CONTROL SYSTEM
The multi section temperature control system of
batch rector was a part of the production line of
the DCS system: the DCS system consisted of a
Siemens S7-300PLC control station and operation
station based on WinCC.
The automatic emptying program which was
embedded in the DCS system controlled the
pneumatic valve by the S7-300 control station to
consist different medium circulation loops, realis-
ing the identification, emptying and switching of
the jacket medium, and achieved the automatic
temperature control of different processes by
the common control valve entered in the jacket.
The structure of the control system is shown in
Figure 2.
326
CMEEE_book.indb 326
Figure 2. The structure of the control system.
4 THE DESIGN OF CONTROL SYSTEM
4.1 The program structure
S7-300 step procedures use the modular structure
to make the functions of the clamping sleeve cur-
rent media recognition, jacket pressure air opera-
tion, medium switch and emergency management,
etc into different FC logic block. In the produc-
tion process controlling FC function, different
FC functions are called according to temperature
controlling technology in the process, so that the
jacket medium can switch automatically. The mod-
ular structure of the procedure is easy to cooper-
ate each other, convenient debugging. Because the
logical block calls conditionally, and can improve
the utilization rate of CPU. The program structure
medium switch is shown in Figure 3.
4.2 The automatic identification strategy
of the jacket medium
To realise the automatic switching of the jacket
medium, firstly the media in the jacket need to be
identified accurately, so that the current media in the
jacket can be moved back to the storage tank by the
circulation loop without medium confusion. In order
to make the operation of emptying of the jacket
medium safe and reliable, the final pass into the jacket
medium must be accurately identified, no matter if
one is producing normally or stopping producing for
repairing and operating manually or automatically.
The medium of public project in the jacket
includes steam, hot water, cooling water and brine
ice and so on. But substance sensors are difficult to
identify the current medium in the jacket. Through
the research and analysis, the recognition strategy
to judge the current media in the jacket according
3/20/2015 4:14:47 PM

Figure 3. The structure of the program.
to the state of valve open position feedback when
the medium went into the jacket (supply) valve.
Just when the state of the open position of some
medium valve was effective, it could be regarded
that the jacket passed into this medium. The pro-
gram design set identifier of the jacket medium
to identify the medium in the jacket, when the
identifier of different mediums was 1, it could be
determined that it was this medium that in the
jacket. The last operation of the medium supply
valve could be identified rapidly and accurately
with this method, and it was then that the jacket
current medium could be deduced. The identifica-
tion strategy might misjudge in two situations: (1)
When the supply valve of some medium opened
but did not reach the right position. Because PLC
had not received the state feedback signal of the
valve to a right position, the program could not
judge the valve operation and the actual medium
in the jacket would not change, that is why there
was a misjudgment. (2) Opening another valve for
the medium artificially in the field when emptying
was in the process of operation, causing different
mediums to mix, at this time; automatic recogni-
tion program still went on emptying through the
original medium.
Condition (1) belonged to the valve failure, the
program would send the alarm for processing.
When the processing was completed, the normal
recognition would return; Condition (2) belonged
to illegal operation, which was strictly prohibited
in the production. Therefore, the probability of
error was small, and this kind of misjudgment had
not appeared in the practical application.
4.3 Jacket automatic emptying
4.3.1 The terminal judgment of emptying
Called the program of jacket emptying to empty the
current medium in the jacket first when switching
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CMEEE_book.indb 327
the jacket medium was needed. Emptying opera-
tion was the key of medium safety switch. The key
of jacket emptying operation was to determine the
emptying terminal accurately, to prevent mixing of
different medium.
Because the medium included organic and inor-
ganic substances and mixtures and other com-
ponents, the operating parameters included low
temperature, high temperature and different pres-
sure conditions, there were varies of composition
and parameters. And the medium in the reactor
intermittent operation of pipeline flowed unstead-
ily, always causing pipeline vibration, and the
action of the compressed air in the liquid medium
was prone to bubbles; the jacket condition was very
complex and this brought in a lot of uncertain fac-
tors to determine the endpoint of emptying.
The conventional terminal of the emptying was
that the liquid switch detected the jacket, which
was prone to misdescription, causing misjudg-
ment of the jacket emptying. Through the research
and analysis and field test, taking the emptying
operation time as the judgment standard of jacket
emptying terminal was an economical and feasible
scheme.
According to the pipeline energy balance
between jacket entrance and medium storage
entrance, the following formula was derived
P1 1 2 P2 1 2
+ u1 = + u2 ∑ hf
ρ 2 ρ 2 (1)
In the formula, P1 is the pressure of compressed
air for the jacket, Pa; P2 is the medium storage tank
entrance pressure, P2 = 0 (gauge pressure) Pa; u1 is
the flow rate of the liquid in the jacket entrance,
u1 ≈ 0 m/s; u2 is the flow rate of the liquid in the
storage tank entrance, u2 = u, m/s; u is the flow rate
in the pipe; is the total resistance of pipeline.
The flow rate of the system changed little, for
the circulation loop that had a certain structure
(k is constant).
Consolidation formula (1) to get
P1 ⎛ 1 ⎞ 2
= +k u (2)
ρ ⎝2 ⎠
Type (2) can be written as
u P1
emptying time is proportional with the velocity
of the fluid in the circulation loop, then
θ = K P1 (3)
K is a constant.
3/20/2015 4:14:48 PM

Figure 4. The flow chart of the program for emptying
jacket.
To get the emptying time coefficient K of reac-
tor in different structures through field experiment,
and calculate the emptying end time according to
formula (3), then consider a certain safety margin
to be the basis of the judgment for the terminal of
jacket emptying.
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CMEEE_book.indb 328
4.3.2 The logic of jacket emptying
The logic of Jacket emptying was designed into an
independent FC function, to be called for the pro-
duction process when the temperature changed.
The current medium in the jacket needed judging
first to execute the emptying.
Through closing the valve of the current
medium, the opening or closing of the valve on the
corresponding circulation, the pathway for com-
pressed air and the medium storage tank was for-
mulated, followed by the opening of the valve of
compressed air to emptying. Closing of the valve
of compressed air was done when it reached the
terminal time of emptying. The subprogram of
jacket emptying is shown in Figure 4.
4.4 The switching of jacket medium
When the technological needs of the production
process required a medium heating or cooling, the
program would judge whether the sub-program
should be called according to the identifier of the
current medium in the jacket.
The operation condition of medium switching
was that the current medium in the jacket and the
medium needed to switch were common or to be
air in the jacket, once the current medium in the
jacket and the medium needed to switch were dif-
ferent, the program would operate emptying auto-
matically and when it was completed, medium
switching would work automatically.
5 CONCLUSIONS
The jacket of batch reactor is needed to transfer into
multi hot-or-cold medium to meet the requirement
of temperature control in the production process.
1. The liquid mediums share the temperature con-
trol valve in the jacket multi-media switching
processes.
2. By using the memory valve operation to real-
ise intelligent identification of current media,
which does not add any hardware. Its structure
is simple and reliable and it has not seen miscar-
riage of justice in the practical application.
3. The emptying end is determined on the basis of
the time, to solve the problems of the difficul-
ties of sensor measuring components in multi-
medium and the complex conditions, which
simplify the system structure.
3/20/2015 4:14:49 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Three-phase voltage source PWM rectifier based on space-vector

algorithm and one-cycle control

Long-Fei Ma, Cheng Gong, Zhong-Jun Chi & Jia-Mei Cao

State Grid Beijing Power Research Institute, Fengtai District, Beijing, China

Lin Zhu
School of Electrical Engineering and Automation, Tianjin University, Tianjin, China

ABSTRACT: The traditional three-phase voltage source PWM rectifier has a complicated structure and
can easily produce harmonic voltages. Based on the study of PWM rectifier control algorithm in a single
week, the control law of three-phase voltage source PWM rectifier is deduced, and the vector mode of
one-cycle control algorithm is proposed in this paper. According to the grid voltage cycle which is divided
into six power frequency intervals, in each interval a separate one-cycle control model is established. This
strategy can reduce the switch tube cut-off frequency, at the same time it also does not need a multiplier,
and its control law is easy and can work at a constant frequency. On the basis of the analysis, modeling
on the simulation and experimental study, the results show that it has good dynamic response and static
performance, and has a high power factor and low current distortion.

Keywords: one-cycle control; space-vector; PWM rectifier; fixed frequency; without multipliers

1 INTRODUCTION of the amount charged in a switching cycle track

In the electric vehicle charging field, with the
advantages of the grid side current harmonic,
the low unit power factor, energy bidirectional
flow and constant DC voltage, the PWM rectifier
has been gradually getting attention; this is espe-
cially in the research of V2G, V2H, where it has
been used in the research of application. Direct
Current Control with the advantages of fast
dynamic response is widely used in many control
methods  [1]. At present, the methods of direct
current control are: average current, hysteresis
current, forecast current and so on; these control
methods require using of multipliers to produce
the command current signal. The three-phase
PWM rectifier is a system of multi-input multi-
output and time-varying strongly coupled—so
nonlinear distortion generated by the multipliers
will cause system instability and harmonic distor-
tion of input current [2].
So literature [3] proposed a new type of three-
phase voltage-type PWM rectifier control method
that is the one-cycle control. One-cycle control was
a new control method proposed by American pro-
fessor Keyue M Smedley and Cuk in the1990s. It
is a non-linear control technology, Achieve decou-
pling control of three-phase PWM Rectifier use the
control that resettable integrator enables the use
changes in a given reference can be converted into
a linear non-linear switch. And because the tech-
nology of one-cycle control, both in steady-state
and transient charged amount it can keep track
given reference value changes, which can in switch-
ing cycle perturbations can effectively resist the
power supply side, eliminate the steady-state and
transient errors. Literature [3] is used showing these
advantages to build a resettable integrator, RS flip-
flop, a comparator structure, control mode with-
out multipliers, no power supply voltage detector,
and its experimental study to prove the rightness
of the above conclusions. Based on literature [3],
and literature [4] it proved the One-cycle control
and SPWM equivalence relation, and researched
the desigin methods of the controller parameters.
Literature [5] and [6] used the algorithm of space
vector control and one-cycle ontrol method in the
grid inverter. Using the space vector algorithmand
reducing the number of turn-off switches within a
cycle time, reduced losses and improved the effi-
ciency of the system.
Based on the above literature, through studying
the three phase voltage PWM Rectifier of one-
cycle and deriving the control law, derive a space-
vector mode controller of one-cycle, combining the
space vector control method and one-cycle, divid-
ing the grid voltage in six intervals according tothe

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 frequency cycle, establishing a separate one-cycle 1
control model in each interval. One-single mode uNo (uAN + uBN + uCN ) (4)
3
controller of space-vector has the advantage of
no multiplier, simple structure, constant frequency Take formula (2), formula (4) into formula (1):
operation, simple control and its only two switch
groups working in each interval, reducing switch- ⎧ 1
ing losses and improving efficiency. Finally com- ⎪usa uAN − (uAN + uBN + uCN )
3
pleting experimental research of one-single mode ⎪
⎪ 1
controller of space-vector verifies the theoretical ⎨ usb uBN − (uAN + uBN + uCN ) (5)
analysis. ⎪ 3
⎪ 1
⎪ usc uCN − (uAN
A + uBN + uCN )
⎩ 3
2 CONTROL THEORY
The rectifier at the same bridge arm of the two
2.1 Mathematical model with one-cycle control switches are turned on in a complementaryset.
PWM Rectifier switching cycles is Ts; the duty ratio
Figure  1 is the topological structure of PWM
is di(i = a, b, c): the switch Sa2, Sb2, Sc2 the conduction
rectifier.
time in each clock cycle is daTs, dbTs, dcTs; the above
The device is an ideal device; it ignored the phe-
three switches, Sa1, Sb1, Sc1 the conduction time in
nomenon of magnetic saturation etc, the relation-
each clock cycle is da’ = (1 − da)Ts, db′ = (1 − db)Ts,
ship between the voltage in Figure 1.
dc′ = (1 − dc)Ts. So a, b, c with respect to the point
N of the voltage is:
⎧uAo = uAN + uNo
⎪
⎨ uBo = uBN + uNo (1) ⎧uAN ( da )udc
⎪u = u + u ⎪
⎩ Co CN No ⎨ uBN ( db )udc (6)
⎪u ( dc )udc
⎩ CN
The switching frequency is much larger than
the frequency of supply voltage, so the inductance Take the formula (6) into the formula (5), get
value is relatively small; the voltage across can be the result of a matrix form. The equation can be
negligible, there: obtained by the relationship of the duty cycle and
power phase switching voltage:
⎧uAo usa
⎪ ⎡ 2 1 1 ⎤
⎨ uBo ⎢− 3
usb (2)
⎪u 3 3 ⎥ ⎡d ⎤ ⎡usa ⎤
⎩ Co usc ⎢ ⎥ a
⎢ 1 2 1 ⎥⎢ ⎥ 1 ⎢ ⎥
− db = ⎢usb ⎥ (7)
⎢ 3 3 3 ⎥ ⎢ ⎥ udc
usa, usb, usc are the three phase voltage power ⎢ ⎥ ⎢⎣ dc ⎥⎦ d ⎢
⎣ usc ⎥⎦
supply. ⎢ 1 1 2
− ⎥
In Figure  1, Grid voltage three-phase equilib- ⎢⎣ 3 3 3 ⎥⎦
rium, so ua + ub + uc = 0, added the three equations
of the Formula (1), get that: The formula (7) shows that the coefficient
matrix is a singular matrix, without an only solu-
uAo + uBo + uCo = uAN + uBN + uCN + 3uNo = 0 (3) tion of the equation, the general solution can be
expressed as:

⎧ usa
⎪d a k1 + k2
⎪ udc
⎪ usb
⎨d b k1 + k2 (8)
⎪ udc
⎪ usc
⎪ dc k1 + k2
⎩ udc

k1, k2 are the undetermined coefficients, take

formula (8) into formula (7), getting the range of
Figure 1. Topological structure of PWM rectifier. k1, k2:

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 ⎧ k2 = −1 2.2 Model space-vector mode
⎪ of one-cycle control
⎨ usi usi
⎪ u < k1 < 1 + u (i a, b, c ) (9) From literature [6] we know that One-Cycle Con-
⎩ dc dc
trol of the space vector model has divided the grid
voltage frequency voltage into six regions, Within
From the nature of voltage-type PWM Recti- each region, only two of the switches have been in
fier, so usi < udc (i = a, b, c), take the formula (9): working condition, reducing the switching losses
and improving the system’s efficiency.
⎧ k2 = −1 (10) The coefficient matrix in the formula (7) is a sin-
⎨ gular matrix, so the equation is not unique. So set
⎩0 k1 2
the di (i = a, b, c) is 0 or 1; get to determine the value
of the other two.
Achieve unity power factor, the need to satisfy In Figure  2, A frequency cycle of three phase
every phase inductor current to follow the corre- voltage is divided into six regions, setting the di
sponding phase voltage sinusoidal variation, the (i = a, b, c) is 0 or 1 in each regions; get a set of solu-
equation is: tions of the equation; Determine the mathematical
model of one-cycle control in a specific region.
⎧usa isa Re In the 0 ∼ 60°, Set db = 1, db′ = 0, so Sb2 is in a con-
⎪ ducting state in this region, Sb1 is in the off state;
⎨usb isbRe (11)
⎪u isc Re
set db = 1; take formula (11) into formula (7):
⎩ sc
⎧ ⎡1 − da ⎤ ⎡2 1 ⎤ ⎡isa ⎤
Re is the equivalent input resistance of the ⎪U m ⎢
− ⎥ = Rs ⎢1 2 ⎥ ⎢ i ⎥ (14)
circuit, isa, isb, isc is the three-phase inductor ⎨ ⎣ 1 d c⎦ ⎣ ⎦ ⎣ sc ⎦
current. ⎪ d =1
⎩ b
take formula (10), formula (11) into the formula
(8) can be obtained:
Um = Rsudc/Re, By controlling the duty cycle da,
dc to satisfied the formula (14), So that each phase
⎧ da ⎛ d ⎞
⎪Rs isa = U m U m = U m ⎜1 − a ⎟ inductor current isa, isc to follow the corresponding
⎪ k1 ⎝ k1 ⎠ phase voltage usa, usc, so isb follow usb, achieve unity
⎪⎪ db ⎛ d ⎞
power factor.
⎨Rs isb = U m U m = U m ⎜1 − b ⎟ (12) The other five control models can be obtained
⎪ k1 ⎝ k1 ⎠ in the same method; each model is substantially
⎪ d ⎛ d ⎞ similar, so it can be summed up as the same form:
⎪ Rs isc = U m − U m c = U m ⎜1 − c ⎟
⎪⎩ k ⎝ k1 ⎠
1
⎧ ⎡1 − d p ⎤ ⎡ 2 1 ⎤ ⎡i p ⎤
⎪U m ⎢ ⎥ = Rs ⎢ ⎥⎢ ⎥ (15)
Um = Rsk1udc/Re, Rs is the sampling resistor of ⎨ ⎣1 − d n ⎦ ⎣1 2 ⎦ ⎣ in ⎦
the circuit. ⎪
The formula (12) is the one-cycle control ⎩ dt = 1
method’ mathematical model of the three phase
PWM voltage rectifier. It describes the relation-
ship between each phase inductor current and
the DC voltage and the corresponding switch-
ing duty ratio. The frequency Switch-off is much
larger than the frequency of the grid-side power,
so Um can be seen as a constant. In a switching
cycle Ts, the expression form of the integral for-
mula (12) is:

⎧ 1 daTs
⎪Rs isa = U m τ ∫0
U m dt
⎪
⎪ 1 dbTs
τ ∫0
⎨Rs isb = U m U m dt (13)
⎪
⎪ 1 dcTs
⎪ Rs isc = U m τ ∫0
U m dt Figure  2. Power supply voltage power frequency divi-
⎩ sion chart.

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 Dp, dn, dt represent the duty cycle of different
switch, to different areas, ip, in, dp, dn, dt have been
given different assignments. Figure 1 shows the dif-
ferent areas of the inductor current and the switch
to select the operating state:
In Table 1 represents that the switch has always
been in the conduction state, while 0 represents off
state.
In the combination of Table 1 with equation (15),
a one-cycle control circuit based on vector mode
of PWM rectifier could be achieved. Literature [7]
shows that the use of a single reset integrator, com-
pared with each phase current using an individual
reset integrator, can automatically eliminate the
impact of the variable integration time constant
on the line side current, and thus has better adapt-
ability of parameters, so that in this circuit a single
reset integrator is used. As shown in Figure 3, the
circuit structure is divided into four parts: (1) region
determining circuit, which determines the region
of power supply voltage vector; (2) multiplexing
circuit, depending on the regions an appropriate
input supply current is selected; (3) single-cycle
control core circuit, including adders, two compa-
rators, a reducible integrator and two RS triggers,
and the integration time constant is set to switch
cycle; (4) output logic selection circuit; the Sp, Sn
are assigned to correct switch separately.
Table 1. Voltage vectors of space-vector algorithm and
one-cycle control.
3 SIMULATION AND EXPERIMENTAL
ANALYSIS
Through the above theoretical analysis, a system
simulation model is built in Matlab/Simulink, as
shown in Figure 4. The parameters of the system
simulation model are as follows: AC power supply
voltage in the network side us = 220 V, filter induct-
ance L = 3.2 mh, DC capacitor C = 2000 F, the load
in the DC side is 60o, when t = 0.4 s a 120o load is
added suddenly, power frequency is 50 Hz, switch
frequency 10 kHz.
Figure 5 is the waveform of a three-phase cur-
rent in the network side and the waveform of a
phase voltage and a phase current of PWM recti-
fier in the steady state; as shown in the Figure 5,
the waveform of three-phase current is good and
symmetrical. Following with a phase supply volt-
age, a phase current variants is sinusoidal, whose
THD is 2.73%; from literature [8] we can see that
the power factor could be go up to 0.99. As shown
in Figure 6, we can see that the variation of cur-
rent is not obvious when load is added suddenly,
which is still symmetrical and could reach a stable
state in a short time. A phase current could follow
a phase voltage as sinusoidal variation when load
is added suddenly, and a DC voltage could be re-
stabled and reachreference value in a short time.
As shown in Figure 7, we can see that compared
with the traditional control of PWM rectifier, the
state of high frequency switch reduces at the same

Region ip in Sa1 Sa2 Sb1 Sb2 Sc1 Sc2

0∼60° ia ic !Sp Sp 0 1 !Sn Sn

60∼120° −ib −ic 1 0 Sp !Sp Sn !Sn
120∼180° ib ia !Sn Sn !Sp Sp 0 1
180∼240° −ic −ia Sn !Sn 1 0 Sp !Sp
240∼300° ic ib 0 1 !Sn Sn !Sp Sp
300∼360° −ia −ib Sp !Sp Sn !Sn 1 0

Figure 4. System of PWM rectifier.

Figure 3. The control circuit of PWM rectifier. Figure 5. The wave of current and voltage.

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 the wastage of the switch tube and improving the
efficiency of the system. In addition, experiments
verify that the rectifier power factor reaches up
to 0.99, the power factor closes nearly to unit 1,
and low current distortion is achieved; simultane-
ously the DC output voltage is stable and has good
dynamic response when there are load variants.
So this technology has a very good application
prospect.

ACKNOWLEDGEMENT

In this paper, the research was sponsored by the

National High Technology Research and Devel-
opment Program (“863” Program) of China
(No. 2011AA05A109).

REFERENCES

[1] Min Dong Ki, et al. Direct digital current control of

Figure 6. The wave of current and voltage.
Figure 7. The wave of PWM switch.
time, in each 60o interval; only two switch tubes
work in high frequency conditions, which can sig-
nificantly reduce the wastage of the switch tube,
and improve the efficiency of the system.
4 CONCLUSION
In this paper, in the combination of the space vector
algorithm and one-cycle control method together,
and through theoretical derivation, a vector model
one-cycle control of three-phase voltage type recti-
fier is designed. The values of this rectifier are that
it has reliable work performance, constant switch
frequency, simple engineering application, is easy
to control, and a multiplier is not needed to design,
and so on; According to the power frequency, the
grid voltage is divided into 6 intervals at the same
time, which makes only two switches in the high
frequency work state in each interval, reducing
a three-phase PWM converter based on a new con-
trol mode with a delay and SVPWM effects. IEEE
IECON, 1998, 2: 774∼779.
[2] Chen Yang. Three-phase boost-type grid-connected
inverter [J]. IEEE Trans on Power Electronics, 2008,
23(5):2301–2309.
[3] Zhang Chunjiang, Gu Herong, Zhao Qinglin, et al.
Three-phase Voltage Source Type PWM Recti-
fier by One-cycle Control Without Multipliers [J].
Transactions of China Electrotechnical Society,
2003, (6): 28–32.
[4] Yang Xi-jun, Yao Su-yi, Zhang Zhe-min, et al. Three
phase SPWM Rectifier With One Cycle Control [J].
Proceedings of the Chinese Society of Universities
for Electric Power System and its Automation, 2011,
(1): 108–113.
[5] Hou Shi-ying, Tuo Yuan-ke, Fang Yong, Zeng Jian-
xing. Three phase vector model of one cycle control
of dual buck inverter [J]. Power System Technology,
2010, (5): 128–132.
[6] Chong ming Qiao, Keyue M Smedly. Three-phase
Gride-Connected Inverters Interface for Alternative
Energy Sources with Unified Constant-frequency
Integration control. IEEE, 2001, 2675–2682.
[7] Du Xiong, Zhou Luo-wei, Luo Quan-ming. Effect
of integration time constant in one cycle control of
three phase in PFC [J]. Proceedings of the CSEE,
2006, (9): 120–125.
[8] Zhang Hou-sheng. Research on High Power Factor
Rectifier Based on One Cycle Control [D]. Xi’an:
Northwestern Polytechnical University, 2005.
[9] Cheng Qi-ming, Cheng Yin-man, XUE Yang.
A summary of current control methods for three-
phase voltage-source PWM rectifiers [J]. Power Sys-
tem Protection and Control, 2012, 40(3): 145–155.
[10] Ding Qi, YAN Dong-chao, Cao Qi-meng. Research
on design method of control system for three-phase
voltage source PWM rectifier [J]. Power System Pro-
tection and Control, 2009, 37(23): 84–87.

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Joint positioning method with radar based on wavelet entropy

Hui Yu, Jun Liu, Min Wang & Rong Guo

State Key Laboratory of Astronautic Dynamics, Xi’an, China
Xi’an Satellite Control Center, Xi’an, China

Yue Yang
Xi’an Jiaotong University, Xi’an, China

ABSTRACT: In order to obtain full trajectory parameters, multiple-radar tracking and positioning
technologies are often adopted in the exterior trajectory measurement system. Addressing the problem
that visible positioning deviation is, in the local time segment, caused by the restriction of radar station
distribution, a joint positioning method based on wavelet entropy is presented in this paper. Firstly, radar
signal is expanded in multiple frequency bands by using a wavelet multi-scale transformation. Then the
index weight of each single device is determined according to the wavelet entropy discriminance and vari-
ation coefficient method. Finally, the results of fusion positioning are obtained with the use of wavelet
reconstruction. The effectiveness and reliability of the algorithm is verified by processing of real data. The
results show that this method can improve the accuracy of trajectory calculating results.

Keywords: exterior trajectory measurement; wavelet transform; joint positioning; wavelet entropy;
coefficient of variation

1 INTRODUCTION multi-resolution of the wavelet to find the weights

In the spacecraft flight testing task, modern radar
is regarded as the main outer trajectory tracking
measurement equipment, which has target limi-
tations that directly affects the correctness and
accuracy of the flight trajectory calculating. With
the development of China’s space technology, the
precision of exterior trajectory measurement and
orbit determination needs to be higher and higher.
If only a single device is used for target tracking,
it is difficult to get an accurate state estimation.
Therefore, the optimal estimation of the final flight
trajectory parameters is obtained with the full use
of different data sources. Radar joint positioning
means that the target positioning measuring data
from more than one radar and different stations
are fused to form the newer and better target posi-
tioning information.
Wavelet entropy[1–3] is a method with a new
measurement sequence complexity, which is the
combination of wavelet analysis and information
entropy.
In this paper, the wavelet entropy theory is
introduced to the exterior trajectory data process-
ing system in an explorative mode to perform
target positioning solution. Later the characteris-
tics of different equipment positioning resulting
in error at different scales are analysed by using
of the stability and precision of the positioning
characterization. Then the final fusion results are
obtained through using the wavelet reconstruction.
The results show that this method will b on
the basis of the effective absorption of useful
information. It is a kind of effective and feasible
multi-sensor information fusion method, which
has a good practicability in the post-highprecision
data processing.
2 WAVELET ANALYSES AND WAVELET
ENTROPY
2.1 Wavelet analysis
Wavelet analysis is a more flexible method of signal
analysing and processing. Wavelet has the charac-
teristic of good space locality, which can not only
extract the signal from overall characteristics, but
also reflect the instantaneous signal changes in a
local time or frequency domain—especially for
the processing of non-stationary and nonlinear
signals[4].
Give a time series of signal x(t ), for discrete
wavelet decomposition and at the decomposition
scale j, the high frequency detail coefficient dj(t)
and low frequency approximation coefficient aj(t)
are extracted. The signal components are Dj(t) and

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 Aj(t) through a single branch reconstruction, the
original signal can be represented as
J Suppose that E {E1, E2 , , EJ } represents
x(t ) = ∑ D j (t ) + AJ (t ) (1)
j =1
where J is decomposition layer. For convenience,
usually make AJ (t ) = DJ +1(t ) , then get the formula
J +1
x(t ) = ∑ D j (t ).
j =1
2.2 Information entropy
Information entropy[5] means the uncertainty of
the random variables, or random events in the
form of statistics. Assume that the system may
have m different states, and the probability of each
state is respectively p1 p2 , …, pm , which meets the
conditions: m
0 pi 1 i = 1, 2, , m ; ∑ p i = 1.
i =1
The Shannon entropy of the system is defined
as:
m
H ( x ) = − ∑ p i ln pi (2)
i =1
That is the presence of state probability and its
product of logarithm and the opposite.
2.3 Wavelet Entropy
The Wavelet Entropy[1–3,6] (WE) theory was pro-
posed by Blanco in 1998 on the basis of the Wave-
let transform, which is the combination that a
signal is based on multi-scale energy spectrum.
And its basic idea is to process the Wavelet trans-
form coefficient matrix into a probability distribu-
tion sequence, and to reflect the degree of sparse
coefficient matrix with the sequence of Entropy.
That is to analyze the order degree of the distribu-
tion of the signal probability. Because the Wavelet
entropy is a combination of the unique advantages
of an irregular abnormal signal for Wavelet trans-
form and the statistical properties of the signal
complexity for information entropy, it has now
become a very active research field, both at home
and abroad. Its application domain is very wide.
In the traditional statistical analysis method,
the entropy is often directly computed according
to the probability distribution of the signals. But
if the abnormal signals have small amplitude and
short duration, the proportion of the signal statis-
tical distribution is small, then Wavelet transform
can enlarge the local features. Therefore, small and
336
CMEEE_book.indb 336
short abnormal signals can be found in the Wavelet
transform based on the definition of Wavelet
entropy.
energy value in each frequency band after the sig-
nal x(t ) is decomposed according to formula (1),
formula (3) can be obtained as follows[7]:
J
pi ( E ) = Ei ∑ Ei (3)
i =1
where pi ( E ) is the Wavelet variance in the scale i.
J
∑ pi ( E ) = 1 can be obtained clearly.
i =1
Combined with the definition of information
entropy, the Wavelet energy spectrum entropy of
signals can be gotten according to formula (2):
J
HWE ∑ pi ( E ) l pi ( E ) (4)
i =1
3 RADAR DATA JOINT POSITIONING
BASED ON WAVELET ENTROPY
In the task of aerospace measurement and control,
due to the restriction of its own design and the
external environment, the measurement results in
high elevation and overhead paragraphs has clear
deviation[8]; combination weighting must be per-
formed with the use of multi radars to get the opti-
mal estimation for final trajectory parameters. If
the difference between the standard trajectory and
the positioning results of a radar is smaller, the cal-
culated results will have the higher credibility, and
the data will have higher importance. According to
the mentioned above, you can see that the weight
shows that the characteristic plays a significant role
in the judgment and decision. Wavelet entropy can
well reflect the reliability of eachradar positioning
result. Therefore, the Wavelet transform, entropy
and weight are combined in this paper to discuss
the application of Wavelet entropy in a more multi
radar joint positioning.
If there are m radars to measure targets respec-
tively, the positioning data of flight vehicle can be
obtained from the i radar in the period of k, that
is Xi(k) ( i 1, , m; k , …, n ). The standard
trajectory data is X 0 ( k ) , and X 0i ( k ) represents
the difference sequence between X i ( k ) and X 0 ( k ).
The joint positioning from m radars means that the
optimal estimation are determined according to
the contained information from X1( k ), , X m ( k ) .
The steps of this algorithm are described as
follows:
1. The sequence of Xi(k), X0(k), X 0i ( k ) can be
decomposed by using the multi-resolution of
3/20/2015 4:14:56 PM
 wavelet. In engineering applications, a very qj k
yj k = j 12 J (6)
important problem is how to select wavelet n
function. Because the Daubechies wavelet ∑ qj k
(dbN) is orthogonal and tight, as well as being k =1
sensitive to irregular signal, the effective analy- 1 n
sis and comprehensive ability can be provided To calculate the mean value y j = n ∑ y j ,k and
k =1
to the signals. Through the testing and analys- 1 n
ing of different methods, it is considered that standard deviation s j = 2
∑ ( y j ,k y j ) ,
n 1 k =1
the Daubechies wavelet is ideal for the data then to calculate the corresponding coefficient
processing of exterior trajectory. Therefore,
Wavelet transform of the differential signal is of variation[9]:
performed by using db3. Figure  1 stands for sj
differential signal wavelet decomposition of a uj = (7)
radar and standard trajectory. yj
From Figure 1, it can be seen clearly that the
real and different scale fluctuations are decom- The weight coefficient is determined as
posed with wavelet analysis method. And the follows:
characteristic of the signal can be retained uj
effectively. θj = m (8)
2. According to formula (5), the wavelet transform
coefficient D j ( k ) of each measuring device is
∑ ju
j =1
standardised in order to eliminate the influences
of different units and different metric. 3. According to the formula (3), the Wavelet vari-
ance of different radar positioning data is cal-
min D j k )
0
D j ( k)
k)
0
max D j k ) − D j ( k ) culated respectively in various scales, and the
qj k =
j j Wavelet entropy based on the corresponding
0 0
k)) + λ max D j (k
Dj k ) − Dj (k k Dj (k ) energy calculation sequence distribution is cal-
j
culated as follows:
(5)
J
( , , , n)
HWEi ∑ pi ( E ) l pi ( E ) (9)
i =1
where λ is distinguish coefficient. And λ = 0.5 is
usually used in engineering applications. 4. Based on the principle of linear minimum mean
D 0j D 0j (1), D 0j D 0j ( n )} is the wavelet square error, a weighted fusion is performed
transform coefficients of standard trajectory for the entropy at each level for single radar by
data. using weight θj and a group of fusion results are
D j {D j (1),), D j ( ) D j ( n )} is the wavelet obtained. θj can highlight the contribution to
coefficients of the data from each radar. the joint positioning made by good tracking of
As to q j k normalized processing is performed single radar.
as follows: 5. Wavelet entropy of each layer after data fusion
should be calculated, and the Wavelet entropy
weighting should be performed to the coef-
ficient at each layer based on wavelet inverse
transform formula. Meanwhile, the original
frequency positioning results should be recon-
structed as the final joint positioning results.

4 SIMULATION AND ANALYSIS

During the exterior trajectory post-processing, data

is often processed with the use of weight average
algorithm. The comparison and analysis between
the current method and the method adopted in
this paper is performed as follows.
Considering the high precision of differential
Figure 1. The differential radar signal wavelet GPS data positioning, the GPS results are regarded
decomposition. as standard trajectory. The current method and

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 the new method are respectively used in fusion
processing of three radars in a task. The difference
curve between the standard trajectory and the tra-
jectory of the two methods is shown as Figures 2
and 3. From the figures we can see, the trajectory
determined by using weight average algorithm
begins to deviate after 520  seconds. Compared
with the standard trajectory, its deviation is obvi-
ous. With the use of new method, the occurrence of
this situation can be effectively avoided. Through
the reasonable distribution of the weights, the tra-
jectory follows a trend-stationary compared with
the standard trajectory, which greatly reduces the Figure 4. Position accuracy curve in X direction.
influence on calculating trajectory brought about
by the results of the abnormal single device posi-
tioning to ensure the reliability of the trajectory.
The accuracy parameters obtained from two
methods are shown as Figures 4 and 5. The results
have shown that the new method can effectively
improve the precision of trajectory.
In order to get better application effect of evalu-
ation algorithm, Mean Absolute Error (MAE) and
Root Mean Square Error (RMSE) are introduced
to measure the accuracy of the algorithm[10]. The
specific results are presented as Table 1.

1 n
MAE = ∑ ξt − ξˆt
n t =1
(10) Figure 5. Velocity accuracy curve in X direction.

Table  1. Statistical results calculated by different

methods.

Current method New method

MAE RMSE MAE RMSE

Position (m) (m) (m) (m)

X direction 104.87 132.28 63.76 79.65

Y direction 272.12 328.57 78.58 108.43

Figure 2. Difference curve of X direction of coordinate. 1 n

RMSE = ∑ (ξt − ξˆt )2
n t =1
(11)

where ξt is the estimated value, ξˆt is the standard

trajectory data.
From the statistical results we can see, the error
indicators of weight average method is bigger than
the new method, which shows that this method is
superior to the traditional weight average algorithm.

5 CONCLUSION

In the tasks of spacecraft flight control, the dif-

Figure 3. Difference curve of Y direction of coordinate. ference positioning result often appears between

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 different tracking periods and different measure-
ment devices. In order to obtain high precision of
positioning, a joint positioning algorithm based
on Wavelet entropy is studied in explorative mode.
Through the application of the tasks, the results
show that the useful information in the original
signals can be separated by using the wavelet analy-
sis method, which can avoid the loss of valid data.
Wavelet entropy can increase the credibility of the
results and improve the precision of data process-
ing, which provides an effective method to data
processing in the subsequent task.
ACKNOWLEDGEMENTS
This research was supported by the National
Natural Science Foundation of China (61473222,
41274018, 61231018). All authors would like to
express our appreciation for the support and direc-
tion from our colleagues Jiashong Wang, Shaolin
Hu, Shuqiang Zhao and Weibing Du (State Key
Laboratory of Astronautic Dynamics).
REFERENCES
[1] Zhang Hua-rong et al. 2012. Research on the detect-
ing methods of singularity in deformation signal
based on two kinds of wavelet entropy [J]. Journal of
Coal Science & Engineering, 18(2): 213–217.
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[2] Rosson O.A et al. 2001. Wavelet entropy: a new tool
for analysis of short duration brain electrical signals
[J]. J Neurosci Meth, 105(1): 65–75.
[3] Blanco S. et al. 1998. Time-frequency analysis of
electroencephalogram series (III): information
transfer function and wavelets packets [J]. Physical
Review E, 57(1): 932–940.
[4] Yang Lei et al. 2009. Forecasting for non-stationary
errors of ship-measured data based on wavelet [J].
Systems Engineering and Electronics, 31(4):
930–933.
[5] Zhang Xianqi & Liu Huiqing. 2003. The Applica-
tion of Entropy Weight Coefficient Method to
the Evaluation of Enterprise Informatization [J].
Operations Research and Management Sience,
12(3): 76–79.
[6] Ren Yafei & Ke Xizheng. 2010. Research on Noise
of MEMS Gyroscopes Based on Wavelet Entropy
[J]. Journal of Xi’an University of Technology,
26(2): 156–160.
[7] Sun Zengshou & Fan Keju. 2009. Research on
the Wavelet Entropy Index of Structural Damage
Identification [J]. J. Xi an Univ. of Arch. & Teeh.
(Natural Science Edition), 41(1): 18–23.
[8] Yu Hui et al. 2010. The Radar Data Error-correction
Technique Based on Hilbert-Huang Transform
[J]. Chinese Space Science and Technology, 12(6):
57–63.
[9] Fan Hao et  al. 2013. Optimization of Information
Operation Plan Based on CV and T0PSIS Method
[J]. Ship Electronic Engineering, 33(3): 26–28.
[10] Chen H.Y. 2008. Effectiveness of combination
forecasting method theory and its application [M].
Beijing: Science Press, 73–74.
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Optimal design of locking pin for surface AUVs launcher under

uncertainty

S.Q. Yang
Kunming Shipborne Equipment Research and Test Center, Kunming, China

ABSTRACT: Locking pin is one of the most important units in surface AUVs launchers; its reliability
and life impact directly on the reliability of the AUVs launch. In optimisation design of locking pin, a
lot of uncertainties affect its reliability. In this Paper, Reliability-Based Design Optimisation (RBDO) is
proposed to handle the locking pin design under two kinds of uncertainties and the First-Order Reliabil-
ity Method (FORM) is used to calculate reliability of its performance functions. Finally, an engineering
example is used to illustrate the proposed model for the locking pin of the lock mechanism in surface
AUVs launcher.

Keywords: locking pin; surface AUVs launcher; reliability-based design optimization; ROFM

1 INTRODUCTION [1–2]. Aleatory uncertainty is related to inherent

The Surface AUVs (Autonomous Underwater Vehi-
cles) launcher is a device that can launch AUVs for
surface ships. The Locking pin is one of the most
important units in the surface AUVs launcherand
its reliability and life impact directly on the reliabil-
ity of the AUVs launch. The design of the locking
pin is one of the important aspects of the surface
AUVs launcher. But the complex working condi-
tions make its design and modeling very difficult.
Every parameter in the locking pin has significant
influences on the locking pin, stability and tire
service of the lock mechanism. At the same time,
the traditional design method usually causes more
redundancy than that being required to ensure the
reliability. In the design and manufacturing proc-
ess of the locking pin there are many uncertain-
ties which may ultimately impact the reliability and
safety of the product. Uncertainty is ubiquitous
in any stage of the locking pin development, and
they are considerable and cannot be controlled.
Uncertainty impacts the locking pin performance
significantly and the locking pin may suffer great
risk and bring about a catastrophic consequence
without carefully quantifying such uncertainties.
Therefore, it is important to quantify and analyze
the uncertainty during the design procedure of the
locking pin.
Uncertainties may come from many aspects,
such as environment, manufacturing, incomplete
knowledge and so on. They can be classified in
two general types: Aleatory (stochastic or random)
uncertainty and epistemic (subjective) uncertainty
variability and is efficiently modeled using the
probability theory. Epistemic uncertainty describes
subjectivity, ignorance or lack of information and
it can be reduced with an increased state of knowl-
edge or collection of more data. In the determinis-
tic optimisation design, uncertainties are accounted
for through the safety factor to ensure the quality
of the end product. However, there are two disad-
vantages. First, since the safety factor is empirical,
different engineers maybe using different safety
factors. Second, the safety factor cannot provide
a quantitative measure of safety margins in design
and are not quantitatively linked to the influence
of different design variables and their uncertainties
on the product performance. In order to overcome
the disadvantages of deterministic optimisation
design, a new direction for design under uncer-
tainties, Reliability-Based Design Optimisation
(RBDO), is proposed. How to deal with uncertainty
in engineering is one of the big challenges. So far,
RBDO has been studied in many literatures and
applied in engineering design [3–10]. Since there
are many failure modes for a product, system reli-
ability should be calculated. In other words, there
are many reliability constraints in design optimiz-
sation. The same design variables maybe appear
in the different reliability constraint. Therefore,
the relationship among the reliability constraints
is not easy to determine. In addition, the calcu-
lations of the failure modes are known or can be
identified, because of the large number of poten-
tial failure modes for most practical structures;
there ise difficulty in obtaining the sensitivity of

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 the performance function, and the mutual correla- temperature is a random parameter for a gear
tions among failure modes. The search for efficient design problem.
computational procedures for estimating system The typical RBDO model can be formulated as
reliability has resulted in several approaches such follows:
as bounding techniques, the Probabilistic Network
Evaluation Technique (PNET), and direct or adap- min f (d,μ X )
d,μ X
tive Monte Carlo Simulations (MCS) [11]. RBDO
is a nonlinear optimisation problem with probabi- s.t. X P ) } [Ri ] , i = 1, 2, …, ng
Pr{{ i (d,X,P
listic inequality constraints. So far, many RBDO d k d k d ku , k 1, 2, , m
l

methods have been developed to deal with struc- μsl ≤ μs ≤ μsu , s 1, 2, , n (2)
tural component’s design for improving compu-
tational accuracy and efficiency, such First Order
where dlk and duk are lower and upper bounds of
Reliability Method (FORM), Sequential Optimi-
deterministic design variable dk, respectively, and
sation and Reliability Assessment (SORA) [12–13],
μlk and μuk are lower and upper bounds of the
among others.
mean of Xs, respectively.
In this paper, uncertainties in the locking pin
It is difficult or even impossible to obtain the
design are analysed, and then we try to use the
analytical solution to Eq. (1). In this paper, we use
RBDO method to design the locking pin of the
the First Order Reliability Method (FORM) to cal-
lock mechanism in the Surface AUVs launcher. At
culate the reliability. The computation procedure is
the same time, FORM is executed to calculate the
given as follows.
locking pin reliability with multiple failure modes.
The central idea of FORM is to linearise the
The rest of this paper is organized as follows.
constraint function g(d,X,P) at its limit state (inte-
Section 2 provides a brief introduction to RBDO.
gration boundary) g(d,X,P) = 0 at a point that has
The mechanical model of the locking pin for sur-
the highest probability density. Then the probabil-
face AUVs launcher is presented in Section 3. Sec-
ity can be easily calculated. In this paper, we assume
tion 4 presents an engineering example to illustrate
all the random variables in (X,P) are independent.
the proposed optimisation model. Finally, some
With this assumption, the three steps involved in
conclusions are given in Section 5.
FORM are as follows.
Step 1: Transform the original random variables
2 GENERAL KNOWLEDGE ABOUT RBDO
from X-space to U-space (standard normal vari-
ables) by Rosenblatt transformation.
RBDO is a typical probabilistic engineering design
Step 2: Search the MPP (Most Probable Point)
method and has been increasingly used in engi-
in U-space and calculate the reliability index
neering applications. In other words, RBDO can
β. The MPP search algorithm uses a recursive
be considered as a specific optimisation design
formula and is based on the linearization of the
where the minimum cost-type objective is sought
performance function. To reduce the accuracy
while the reliability requirement is maintained.
loss, choose the expansion point which has the
In structural optimisation, reliability is defined
highest contribution to probability integration.
as the probability that the performance function
At the MPP, the performance function has max-
(also called limit state function) is greater than or
imum probability density on g(U) = 0, which is
equal to 0, i.e. g(d,X,P) ≥ 0. RBDO ensures that the
the shortest distance point in u-space form the
reliability of a product satisfies the required reli-
origin to the limit-state surface, and the shortest
ability. Calculation of reliability is given by
distance is β.
Step 3: Calculate reliability R = Φ(β).
Pr{gi ( ) } ∫ fX,P ( p)dxdp (1)
gi ( )≥0
3 THE MECHANICAL MODEL
where fX,P(X,P) is the joint probability density
function of (X,P); d is the vector of deterministic The lock mechanism in surface AUVs launcher
design variables, for example, the number of teeth mainly consists of a lift tumbler (including a half
of a gear; X is the vector of the random design cone hole), a right tumbler (including a half cone
variables; whose mean values μX are to be deter- hole), bearing shaftand locking pin. The structure
mined. For example, the width and diameter of of the locking pin in the lock mechanism is given
a gear could be random design variables. P is the in Figure 1, including a half-moon pin cap and a
vector of random parameters. Random param- cone pin rod. In Figure 1, γ is the half taper angle
eters P are out of designer’s control and sometime of the cone pin rod, d is the minor diameter of the
called noise factors. For example, the random cone pin rod, h is the height of the cone pin rod.

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 Pr{ 2 ( , d , h)) [ bs ] bs } [R2 ] (6)
where [σbs] is the allowable compressive stress
of the locking pin, P is the total pressure of the
compressive plane, Abs is the effective area of
the compressive plane (Abs = (d + h ⋅ tanγ)⋅h/2),
[R2] is the required reliability of the locking
pin compressive strength.
c. Reliability constraint of the locking condi-
tion of self-lock
Figure 1. The structure of the locking pin in the lock
mechanism.
{ 3 ( , d , h)) ta
tan } [R3 ] (7)

where μ is the steel friction coefficient, [R3]

In the surface AUVs launcher, the cone pin rod’s
reliability and life impact directly on the reliability
and life of the locking pin. At the same time, its
volume determines the volume of the whole lock
mechanism. Thus, the locking pin should be less
than a certain size. In order to minimise the vol-
ume of the locking pin and satisfaction of reliabil-
ity, and to better utilise the information available,
the reliability-based design optimisation of the
locking pin should be conducted. Since the vol-
ume of the locking pin is in relation to the half
taper angle of the cone pin rod (γ, continuous var-
iable), the minor diameter of the cone pin rod (d,
continuous variable), and the height of the cone
pin rod (h, continuous variable), respectively, so
the design variables will consist of d = [γ, d, h]. The
volume of pin rod of locking pin is considered as
the objective function to be minimised, and it is
given
min f π (( / )2 (t n γ
(d / ) (tan
γ ,d , h
+ (tan γ 2
/2 ) ) / 3
In this design problem, the inequality con-
straints are as follows:
1. Interval constraint of the design variables
dl d = [ d h] ≤ du
l u
where d and d are lower and upper bounds of
design variables d, respectively.
2 Reliability constraints
a. Reliability constraint of the locking pin shear
strength
Pr{ 1( , d , h)) [ ] } [R1 ](5)
where [τ] is allowable shear stress of the
locking pin, Q is internal forces of the
shear plane, A is area of the shear plane
(A = (d + h ⋅ tanγ)⋅h), [R1] is required reliabil-
ity of the locking pin shear strength.
b. Reliability constraint of the locking pin com-
pressive strength
is the required reliability of the locking pin
self-lock.
The mechanical model of the design of the lock-
ing pin surface AUVs launcher under uncertainty
is formulated in Eq. (8).
min f π (( / )2 (t n γ
(d / ) (tan /2 )
γ ,d , h
+ (tan γ 2
/2 ) ) / 3
st. c1 d h g1(γ , d , h )} − [R1 ] ≥ 0
c2 (γ , d , h ) g2 ( d )} − [R2 ] ≥ 0 (8)
P { 3 (γ , d , h )} − [R3 ] ≥ 0
c3 ( d ) Pr{
dl ≤ d du
4 DESIGN EXAMPLE
In this paper, we design the locking pin that is one
of the most important units in the surface AUVs
/2 ) launcher with least frequency use, design life of 20
years and locking pin material is 40Cr, condition-
(3)
ing and quenching (48∼55HRC), required reliabil-
ity is 0.99.
In the context of model based design, uncer-
tainty is the difference between the model predi-
cation and reality, and in designing the locking
pin in this paper, parameters or variables that are
(4) available to quantify uncertainty using probability
distributions are given in Table 1. A mathematical
optimization model of the locking pin is formu-
lated according to the Eq. (7).
By using the proposed optimisation method,
the optimal results can be pursued, as described in
Table 2 and Figure 2. In this case, the desired reli-
ability is 0.99.
From Table 2, one seesthat the area computed
from the reliability-based design optimisation
reduces by 45.31% compared to that of the origi-
nal design. The smaller area of the locking pin
can reduce the weight of the locking mechanism.
From Figure 2, we can find that all the reliability
of the locking pin performance functions in this
paper meet the design requirement so appropriate;

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 Table  1. Parameters and their corresponding and epistemic uncertainties in designing the lock-
distribution. ing pin of Surface AUVs Launcher. Furthermore,
an engineering example is presented to verify the
γ—half taper angle of cone pin rod (°) γ∼N(γ, 0.2) appropriate of the proposed optimisation model
d—minor diameter of cone pin rod d∼N(d, 0.5) for designing the locking pin.
(mm)
h—height of the cone pin rod (mm) h∼N(h, 1)
Q—internal forces of the shear Q∼N(65000,
plane (N)
REFERENCES
20000)
P—total pressure of the compressive P∼N(65000,
[1] Oberkampf W., Helton J. & Sentz K., 2001. Math-
plan (N) 20000)
ematical Representations of Uncertainty, AIAA
[τ]—allowable shear stress (MPa) [τ]∼N(400, 50) Non-Deterministic Approaches Forum, no. AIAA
[σbs]—allowable compressive [σbs]∼N(650, 80) 2001–1645, Seattle, WA, April 16–19.
stress (MPa) [2] Klir G.J. & Filger T.A., 1998. Fuzzy Sets, Uncer-
μ—the steel friction coefficient μ ∼ N(0.12, 0.03) tainty, and Information, Prentice–Hall, Englewood
Cliffs, NJ.
[3] Pu, P.K. Das & Faulkner D., 1997. A strategy for
reliability-based optimization, Engineering Struc-
Table 2. Optimization results. tures, vol. 19, no. 3, pp. 276–282.
[4] Li H. & Foschi R.O., 1998. An inverse reliability
Safety factor Reliability-based method and its application, Structural Safety, vol.
Parameters method design optimization 20, no. 3, pp. 257–270.
[5] Yu X., Chang K. & Choi K.K., 1998. Probabilistic
γ (°) 4.3 2.9 structural durability prediction, AIAA Journal, vol.
d (mm) 14.5 11.2 36, no. 4, pp. 628–637.
h (mm) 33.2 30.5 [6] Tu J., Choi K.K. & Park Y.H., 1999. A new study on
f (mm3) 5.54 × 103 3.03 × 103 reliability-based design optimization, ASME Jour-
nal of Mechanical Design, vol. 121, pp. 557–564.
[7] Du X. & Chen W., 2001. A most probable point
based method for uncertainty analysis, Journal of
Design and Manufacturing Automation, vol. 4, no. 1,
pp. 47–66.
[8] Du X., Sudjianto A. & Chen W., 2004. An integrated
framework for optimization under uncertainty
using inverse reliability strategy, ASME Journal of
Mechanical Design, vol. 126, no. 4, pp. 562–570.
[9] Wang Z.L., Huang H.Z. & Du X., 2010. Optimal
design accounting for reliability, maintenance, and
warranty, ASME Journal of Mechanical Design, vol.
132(1), pp. 011007.1–011007.8.
[10] Yang, S.Q., Zhou Y.T. & Lu, G.L. 2012. Reliability-
Based Design for Hoop Connection of Unmanned
Undersea Vehicle Under Uncertainty, Informa-
tion-An International Interdisciplinary Journal,
vol.15, no.12(B), pp. 5777–5782.
Figure  2. Reliability of locking pin performance [11] Zhao Y.-G., Alfredo H.-S. & Ang H., 2003. System
functions. reliability assessment by method of moments, Engi-
neering Structures, vol. 10, no. 3, pp. 1341–1342.
[12] Du X. & Chen W., 2004. Sequential optimiza-
but in the original design, some reliability of per- tion and reliability assessment for probabilistic
formance functions don’t meet the design require- design, ASME J. Mech. Design, vol. 126, no. 2, pp.
ment, this may cause pressure shell failure, even 225–233.
[13] Wang, Z.L. Huang H.Z. & Liu Y., 2010. A unified
a catastrophic failure. The reliability of the new
framework for integrated optimization under uncer-
design satisfies the requirement and utilises the tainty, ASME J. Mech. Design, vol. 132, no. 5, pp.
uncertainties information available in designing 051008.1–051008.8.
the locking pin.

5 CONCLUSIONS

In this paper, we used reliability-based design opti-

mization method to deal with aleatory uncertainties

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

A low temperature drift and heavy load bandgap reference voltage

with adjustable output

Xin Xu & Jun Jiang

Sichuan Institute of Solid State Circuits, Chongqing, China

ABSTRACT: The development direction of bandgap voltage in low temperature drift, heavy load and
can be adjusted. This paper presents a novel single-stage reference source; this source has adjustable
output voltage, and reduces the effect of the offset voltageand overcome the non-adjustable of former
references. This reference source can carry heavy load, has the same compensation coefficient with regular
structure and has good Power Supply Rejection Ratio (PSRR).

Keywords: low temperature drift; bandgap reference voltage; adjustable output

1 INTRODUCTION are the input of the amplifier, and drive the upper
of R1 and R2, which can make point X and point
Low temperature coefficient and heavy load with Y stable in approximate equal voltage. The refer-
adjustable output reference is important whether ence voltage can be obtained at the output of the
in ADC, DAC, DC-DC and any other integrated amplifier. According to the analysis of Figure  2,
circuits. VBE1 − VBE2 = VTlnn can be obtained, so the current
The bandgap reference source has performs well flow through the right branch is VTlnn/R3; the out-
in all kinds of reference voltage source circuits at put voltage is
present and it can be low temperature coefficient.
In order to get a low temperature drift and heavy VT ln n
V VBE 2 + (R3 R2 )
load bandgap reference voltage with adjustable R3
output, it is necessary to improve the structure of ⎛ R ⎞
the typical bandgap voltage reference source or put = VBE 2 VT ln n ⎜1 + 2 ⎟ (1)
forward a new bandgap structure. ⎝ R3 ⎠
This paper proceeds according to the stability
of temperature drift and the adjustable of output;
it proposes a new structure based on the typical
bandgap voltage source.

2 BASIC PRINCIPLE

Consider the circuit in Figure 1, the assumption

here is the base current can be neglected, the tran-
sistor Q2 is composed of n parallel transistor units,
and Q1 is one transistor cell. Assuming VO1 and
VO2 are equal, then VBE1 = RI + VBE2, RI = VBE1 −
VBE2  =  VTlnn. So VO2  =  VBE2 + VTlnn, this means:
if lnn  =  17.2, VO2 can be used as a temperature
independent reference.
Figure  1 needs to make two changes to be a
practical circuit. First of all, VO1  =  VO2 must be
ensured. Secondly, lnn  =  17.2 which makes the
value of n too large, so the item of R = VTlnn must
be increased in appropriate proportion. As shown
in Figure  2, the circuit is an actual circuit which
can realise these two functions. Here, VX and VY Figure 1. The principle of voltage generation.

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 Figure 3. The bandgap reference structure.

Figure 2. The actual circuit in Figure 1.

3 IMPROVED BANDGAP
VOLTAGE REFERENCE

The traditional bandgap reference has poor load

ability and the output can’t be adjustable. This
paper presents a bandgap reference with improved
structure which can realise high load and adjust-
able output.
Figure  3 is the bandgap reference structure
block diagram presented in this paper. The circuit
contains an internal start-up branch, constant cur-
rent source, the internal bandgap reference, error
amplifier, power transistors and over-current pro-
tection and so on. The circuit has maximum load Figure 4. The principle diagram of the circuit.
capacity of 60 mA, output 10 V, and 7.5 V, 5 V and
2.5 V voltages through the external program.
The main function of this circuit is to transfer
the input voltage to precision reference voltage. This circuit is a typical bandgap structure; the
The circuit consists of a bandgap reference with area ratio of transistor Q1 and Q2 is 8:1, the value
high temperature stability. Through program- of ΔVBE is in proportional to the temperature, the
ming the external pin to set up the ratio of resis- VBE of transistor Q2 is a negative temperature
tors, this circuit can accurately output 10 V, 7.5 V, coefficient, by setting the ratio of R2∼R4 and R1,
5 V or 2.5 V reference voltage with 0.1% accuracy. the bandgap reference voltage VBG can close to
Different output voltage value can be obtained by zero temperature coefficient. If the temperature
setting different partial pressure ratios. compensation is good, the value of VBG is about
When power supplies from pin 8, the branch of 1.223 V which is determined by the following
J1, Q8, Q9, Q5, Q10 and R13 will be powered on, formula:
J1 is a pinch off resistance, which is equivalent to
a N-JEFT, when J1 is powered on, there is current 2(R2 R3 || R 4 )
VREF VBE + ΔVBE (2)
flow through Q5 and Q14, Q14 and Q15 are current R1
mirror, so Q15 will be conducted, then the circuit will
work. When the output is stable, the emitter voltage The collector of Q1 and Q2 are respectively
of Q5 is lower than Q4, so Q5 will be turned off. connected to the non-invert input and the invert
input of the error amplifier, because of the virtual
ground function of the error amplifier, the col-
3.1 The bandgap reference
lector voltage of Q1 and Q2 are approximately
The function of bandgap reference in this circuit equal.
is to provide a stable reference voltage. The simpli- When R7 = R8, the bias current of Q1 and Q2
fied schematic diagram is shown in Figure 5. are equal to ΔVBE/R1.

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 4 SIMULATION AND LAYOUT

In this paper, the simulation is based on 40 V, 6 inch

technology. The temperature drift of adjustable
voltages are as follows—the Temperature coeffi-
cient is very good at each output.
The bandgap can load about 60  mA current.
Figure 9 presents the layout of the circuit the size

Figure 5. The schematic diagram of the internal band-

gap reference.

3.2 Error amplifier

The input stage of the differential amplifier is
composed of NPN transistors Q3 and Q4; the
Figure 6. 8 V output of the bandgap.
base voltage of Q3 and Q4 is decided by the
current of Q1 and Q2 and the resistances R5
and R6. When the base voltage of Q3 and Q4 is
determined, the work current can be determined
by R12.
The lateral PNP transistor Q14, Q15 and Q16
are current mirror, Q14 and Q15 are the active
loads of Q3 and Q4, Q16 provide drive current
for the output power transistors. The substrate
PNP transistors Q12 and Q13 provide current
amplify as buffer. The pinch-off resistance J2
works as a N-JFET in pinch-off region which
provide drive current for the output transistors,
the output impedance of J2 has great impact on
the current regulation. The open-loop gain of the
error amplifier is determined by the following
formula:
Figure 7. 1.18 V output of the bandgap.
g β β rOUT
AV ≈ m (3)
1 + r10 / r11

The capacitance C1 and resistance R14 are

used for the frequency compensation of the error
amplifier; large capacitance can improve the sta-
bility and reduce the noise of the circuit, but will
increase the start-up time.

3.3 Over-current protection

The over-current protection circuit is composed of
a transistor Q22 and a resistor R18, If the voltage
drop on R18 is larger than the threshold voltage of
Q22, Q22 will turn on to take away the drive cur-
rent of power transistor. Figure 8. Load characteristics of the bandgap.

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 5 CONCLUSION

This paper proposes a new bandgap structure

which can achieve high current load capacity
according to connect power transistor at the out-
put of the error amplifier and at the same time,
by setting different feedback resistance ratio, it can
get different outputs.

REFERENCES

[1] Ma Zhuo, Tan Xiaoqing, Xie Lunguo, et  al.

A Curvature Calibreted Bandgap Reference with
Base-emitter Current Cmopensationg in a 0.13  um
CMOS Process [J]. Journal of Semiconductors, 2010,
31(11).
[2] Xin Ming, Ying-qian Ma, Ze-kun Zhou, et  al.
A High-Presision Compensated CMOS Bandgap
Voltage Reference Without Resistors [J]. IEEE J
Solid-State Circuits, 2010, 57(10):767–771.
[3] Ryan Foreman, Andrew Solitro: A Cmos Precision
Voltage: Reference IC [D]: Worcester Polytechnic
Instutute Bachelor Dissertation; 1999.05.
Figure 9. The layout of the bandgap. [4] G. Dilimot, G. Brezeanu, F. Mitu, et al. Programmable
Low Voltage Bandgap Reference CMOS Compat-
ible [C].
[5] Behzad Razavi. Design of Analog CMOS Integrated
of which is only 1.9*1.3 mm2; according to the test, Circuit [M]. Xi’an: Xian Jiaotong University Press,
the chip can realize the basic functions simulated 2003: 21, 50–57, 310–316.
before.

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Analysis of energy coupling between the computer chassis

and electromagnetic pulse

J. Liu, Y.F. Wang, Z.X. Chen & C.D. Yu

Beijing Institute of Special Electromechanical Technology, Beijing, China

ABSTRACT: In order to study the coupling distribution of interior space for chassis and electromag-
netic pulse energy coupling with key devices, the method of simulation is used to research the electromag-
netic coupling and the results is analysed. The threshold of energy coupling and damage effect of key
devices obtained in the situation of electromagnetic pulse, which provide a theoretical basis for the design
of the internal structure of the chassis layout and key devices.

Keywords: electromagnetic pulse; energy coupling; damage

1 INTRODUCTION is 10000 V/m. The coupled energy to the computer

through the aperture portion of the slit inside the
Electromagnetic pulse has proven to be a seri- center of the chassis and the maximum power
ous threat for the computer. The time-domain density value of power, drive and hard disk can be
of the electromagnetic pulse characteristics has obtained by simulation.
a steep leading edge and narrower pulse width;
frequency-domain features cover a wide frequency
band. Strong electromagnetic pulse is generated
by the electromagnetic pulse weapons aperture to
electronic penetration inside the device through
antennas, cables, and so on. Electromagnetic
pulse is transformed into energy, in the form of
spatial variation of high current or high voltage
transmission to sensitive parts inside the device.
Because the role of high density in a very small
portion of the fragile, the high-density energy
caused damage to electronic components and
integrated circuits. Because electromagnetic pulse
device to an electronic system can be described
as all-pervasive, studying the effect of strong
electromagnetic pulse damage with apertures
chassis designing, not only provides the basis for Figure 1. Schematic diagram of the standard chassis.
information warfare combat and maintenance of
electronic equipment, but also for the theoretical
basis for electromagnetic protection and electro-
magnetic compatibility.

2 SIMULATION AND ANALYSIS

This article focused on the damage effects research

of electromagnetic pulse on the computer. A sche-
matic diagram of the standard chassis is shown in
Figure 1.
Because the Gauss pulse belongs to UWB, it is
used for simulation in this section. The maximum
rise time of UWB is 0.5ns and the field strength Figure 2. Chassis-section of YOZ.

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CMEEE_book.indb 349 3/20/2015 4:15:10 PM

 Figure  4. Energy coupled into the power by hole of
number 1.

Figure  3. Power density distribution of chassis in dif-

ferent times.
Figure  5. Energy coupled into the power by hole of
number 2.
It can be seen from the chassis power density dis-
tribution shown in Figure 3, that with the increas-
ing of time, the energy coupled into the chassis
is dispersed. The main energy density is formed
around the motherboard, power supply, optical
drive and hard disk.

2.1 Energy coupling analysis of the power

Pulse energy is mainly coupled into the power
through holes 1, 2 and 3, so the total energy cou-
pled into the power can be obtained. The energy
coupled to power through hole 1, 2, 3 and the total
energy coupled to power are shown from Figure 4
to Figure 7.
By analysing the energy coupled into power, the
following conclusions can be obtained: Figure  6. Energy coupled into the power by hole of
number 3.
1. The energy coupled into the hole is closely
related to the seam area of supply; the larger the
area, the greater the energy coupled into power; 3. Energy coupling apertures from Figures 4-7
2. From Figures 4-7, the energy coupling apertures can be obtained; the energy coupled into power
can be obtained and the time from the begin- through hole 1 is about 4.9  ×  10−8 J, through
ning of coupling to reach the maximum value is hole 2 is about 1.8 × 10−8 J, through hole 3 is
about 2ns; about 2.0 × 10−7 J and the total coupled energy

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Figure 7. The total energy coupled into the power.
Figure  8. The strength of the magnetic field in the
center of CD-Rom hole.
is 2.7  ×  10−7 J, much larger than the energy
threshold of integrated circuits, logical card
and other computer electronic components.
In this case, the UWB pulse will cause serious
damage to the power electronic components.
2.2 Energy coupling analysis of the CD-Rom
This section describes the discipline that such
electromagnetic pulse energy has coupled into
the CD-Rom of the computer. The magnetic field
that has big value in the center of chassis formed
strong oscillation; the oscillation amplitude of
the reflected is smaller than the incident. It can
be seen from Figure 8; the strength of magnetic
field in the center of CD-Rom hole also formed
strong oscillations, but the amplitude of the oscil-
lation is almost the same as the incident. The
total power density in the center of the CD-Rom
hole and coupling energy diagram are shown in
Figures 9 and 10.
351
CMEEE_book.indb 351
Figure 9. The total power density in the center of the
CD-Rom hole.
Figure 10. The energy coupled into the CD-Rom.
The energy coupled into the CD-Rom can be
obtained by simulation:
1. The energy coupled into the optical drive is
greater than the energy radiated outward; the
total power density is not gradually smaller in
the center of the hole, but the increase—cycle
decreases.
2. By the variation of curve in Figure 10 it shows
that the energy coupled into the CD-Rom
reaching 3.0 × 10−9 J, which is much larger than
the threshold value 4.0 × 10−10 J. Therefore, the
electromagnetic pulse indicates a great distur-
bance and damage effect on integrated circuits
and electronic components of the CD-Rom.
2.3 Energy coupling analysis of the chassis
The energy coupled into chassis by different holes
and the total energy coupled into the chassis is
shown from Figure 11 to Figure 15.
By analysing the simulation results, the follow-
ing conclusions can be obtained:
1. Due to polarisation properties, the energy coupled
into the chassis by holes 9,10 and 11 are relatively
small, which had weak interference on the logic
card and the integrated circuit of computer.
3/20/2015 4:15:11 PM
 Figure 11. The energy coupled into the chassis by hole
of number 9.
Figure 12. The energy coupled into the chassis by hole
of number 10 and 11.
Figure 13. The energy coupled into chassis by hole of
number 12.
2. The energy of electromagnetic pulse coupled
into the chassis is mainly by the cooling hole of
board and hole 9. The value of energy is about
6.0 × 10−7 J, much larger than the energy thresh-
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CMEEE_book.indb 352
Figure 14. The energy coupled into the chassis by cool-
ing holes of board.
Figure 15. The energy coupled into the chassis by holes.
old of the normal work of the computer, which
would cause serious damage to the logic cards,
the integrated circuits and the memory core.
3 CONCLUSIONS
Through the research of this paper, the value of
energy coupled into the chassis and key devices
under the condition of electromagnetic pulse were
obtained. The value of coupled energy in power is
about 2.7 × 10−7 J, in CD-Rom is 3.0 × 10−9 J and in
the chassis is about 6.0 × 10−7 J. Compared to the
normal working value, the value of energy coupled
into the chassis is much larger, which would cause
serious damage to the key devices.
3/20/2015 4:15:12 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Analysis of electromagnetic shielding effectiveness of the chassis

with holes under different polarization directions

Q.B. Deng, C.D. Yu & Z.P. Lian

Beijing Institute of Special Electromechanical Technology, Beijing, China

ABSTRACT: In order to study the shielding effectiveness of the chassis with holes under different
polarization directions of electromagnetic pulse, the discipline of shielding effectiveness with opening
size of the chassis under condition of polarization directions were obtained; the research can provide a
theoretical basis for the design of the chassis structural.

Keywords: electromagnetic pulse; polarization direction; shielding effectiveness

1 INTRODUCTION selected as the excitation source; the polarization

The electromagnetic shielding has proven to be
a useful way to protect electronic equipment
from attacking of the electromagnetic pulse.
Electromagnetic shielding effectiveness is usually
expressed as the shielding effect method. The big-
ger the electromagnetic shielding value, the better
the shielding effectiveness. Electromagnetic shield-
ing is one of the most effective protection methods
to prevent electrical equipments and systems from
the attacking of the electromagnetic pulse.
2 SIMULATION AND ANALYSIS
In this section, after a statement of the basic prob-
lem, various situations involving possibility knowl-
edge are investigated: first, an entire chassis model
is proposed; then the relationship between shield-
ing effectiveness and polarization direction is stud-
ied; lastly, simulation results are analysed.
direction along the positive Z-axis is parallel to the
long side of the chassis. The model of the chassis is
shown in Figure 1.
For the current status of the development of
electromagnetic pulse weapons, such as the fre-
quency generated by electromagnetic pulse bombs
is mainly less than 2 GHZ. Take the electromagnetic
pulse spectrum as the carrier band (step 1 KHZ),
radio frequency section (step 1  MHZ), micro-
wave section (step 0.02 GHZ), in which the fre-
quency of microwave segment is selected between
300  MHZ∼2  GHZ. The frequency of the micro-
wave segment is chosen for simulation, the curve
of shielding effectiveness in center of the chassis is
shown in Figure 2. It can be seen from the figure,
that the electromagnetic shielding is oscillated with
the frequency of the microwave section.

2.1 Model of the chassis

The following situations are defined for
simulation. The size of the chassis is:
485  mm  ×  190  mm  ×  430  mm. Apertures are
located in the rear center of the chassis. Ideal con-
ductor material is selected to make the chassis, so
transmission of electromagnetic waves impact on
shielding effectiveness can be ignored. Only the
energy coupled from the aperture should be con-
sidered impacting on the shielding effectiveness.
Air is selected as material between the chassis
and cabinet; radiation boundary is set in order to
simulate an infinite occupied space. Plane wave is Figure 1. Chassis model and boundary conditions.

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 Figure 4. The relationship between shielding effective-
ness and side length under frequency of 1.22 G.

Figure 2. The curve of shielding effectiveness in center

of chassis.

Figure 3. The relationship between shielding effective- Figure 5. Angle of incident schematic diagram.
ness and radius under frequency of 1.22 G.

2.2 Apertures sizes impact on the shielding

effectiveness of chassis
Firstly, the radius of holes impacting on the chas-
sis shielding effectiveness is studied. The frequency
of 1.22  GHZ is chosen for example to research
the relationship between shielding effectiveness
of chassis and the radius of holes. The minimum
radius value of holes is 1  mm, the maximum
radius value of holes is 40 mm, 0.5 mm is chosen
as the step length. Simulation results are shown in
Figure 3.
Then, the length of square holes impacting on Figure 6. Schematic of different polarization directions.
the chassis shielding effectiveness is studied. The
frequency of 1.22  GHZ is chosen for example to
under a certain frequency, the following conclu-
research the relationship between shielding effec-
sions can be obtained:
tiveness of chassis and the length of holes. The
minimum length value of holes is 1 mm; the maxi- 1. It can be seen from the above curves, under the
mum length value of holes is 10 m, 1 mm is chosen resonant frequency, the radius of holes from 1 mm
as the step length. Simulation results are shown in to 40 mm, the maximum shielding effectiveness of
Figure 4. the chassis is less than 10 dB; the length of holes
By analysing the relationship between shielding from 1 mm to 100 mm, the maximum shielding
effectiveness of the chassis and the size of holes effectiveness of chassis is less than 15 dB.

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Figure 7. The curve of shielding effectiveness in center
of chassis under angle of incidence (0, 0).
Figure 8. The curve of shielding effectiveness in center
of the chassis under angle of incidence (30, 0).
Figure 9. The curve of shielding effectiveness in center
of the chassis under angle of incidence (90, 0).
2. At a fixed frequency, the shielding effective-
ness is not linearly related to the pore size,
shielding effectiveness is poor due to coupling
apertures in the situation where the side length
is small.
355
CMEEE_book.indb 355
Figure 10. The curve of shielding effectiveness in center
of the chassis under angle of incidence (0, 30).
Figure 11. The curve of shielding effectiveness in center
of the chassis under angle of incidence (0, 60).
Figure 12. The curve of shielding effectiveness in center
of the chassis under angle of incidence (0, 90).
2.3 Polarization direction impact on the
shielding effectiveness of chassis
When the angle of incidence (θ, φ) in different com-
binations chassis, the shield effectiveness of different
shielding effectiveness is shown as the following:
The following conclusions can be obtained
through the above simulation analysis:
1. In the situation of θ  =  0, frequency less than
1.25 GHZ, the chassis has a relatively good
3/20/2015 4:15:15 PM
 Figure 13. The curve of shielding effectiveness in center
of the chassis under condition of φ = 0. Figure 16. The curve of shielding effectiveness in center
of the chassis under condition of φ = 90.

2. At different θ, the chassis has the worst shielding

effectiveness when θ = 90; the value of shielding
effectiveness with the increase of the maximum
peak angle becomes larger.
3. At different φ, the chassis has the worst shielding
effectiveness when φ = 0; the value of shielding
effectiveness with the decrease of the maximum
peak angle becomes larger.

3 CONCLUSIONS
Figure 14. The curve of shielding effectiveness in center
of the chassis under condition of φ = 30.
By studying the shielding effectiveness of chassis
openings at different polarization directions, the
shielding effectiveness in the center of the chassis
under different conditions of angle of incidence is
obtained. In the situation of same frequency, the
shielding effectiveness is not linearly related to the
pore size; shielding effectiveness is poor due to cou-
pling apertures when the side length is small. When
θ is changing, the chassis has the worst shielding
effectiveness in the situation of θ  =  90; the value
of shielding effectiveness with the increase of the
maximum peak angle becomes larger. When θ
is changing, the chassis has the worst shielding
effectiveness in the situation of φ  =  0; the value
of shielding effectiveness with the decrease of the
Figure 15. The curve of shielding effectiveness in center
of the chassis under condition of φ = 60.
maximum peak angle becomes larger.

shielding efficiency in situation of any φ of the

pulse; frequency more than 1.25 GHZ, the chas-
sis shielding effectiveness becomes relatively
poor, with overall shielding effectiveness of the
chassis is downward trend.

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Analysis of characteristic parameters of pulse impact

on the electromagnetic coupling of the chassis

C.D. Yu, Z.X. Chen, Y.F. Wang & J. Liu

Beijing Institute of Special Electromechanical Technology, Beijing, China

ABSTRACT: In order to study the different characteristic parameters of the impact of the electro-
magnetic pulse on energy coupling space inside the chassis, the method of simulation is used to research
the discipline of electromagnetic coupling in the condition of different pulse characteristics. The cou-
pling energy variation with time is obtained under different characteristic parameters of electromag-
netic pulse.

Keywords: electromagnetic pulse; energy coupling; characteristic parameter

1 INTRODUCTION 2.1 Strength of magnetic field in the center of

chassis with different pulse width
The electromagnetic pulse can be coupled through Detail on pulse width is discussed in later sections.
a variety of ways to make electronic components The pulse width such as 0.2 ns, 0.5 ns, 1 ns, 2 ns,
and equipment subject to interference and damage. 4 ns are chosen for analysing. The results of simu-
The protection technology of the electromagnetic lation are shown from Figure 2 to Figure 6.
pulse has gradually become a hot issue in today’s
research. The characteristic parameter is the con-
crete manifestation of the electromagnetic pulse,
which can cause varying degrees of damage to
electronic information equipment with different
characteristic parameters. Therefore, the study is
of variation characteristic parameters changed in
different conditions on energy coupling of infor-
mation equipment, not only by the modern infor-
mation technology of electronic warfare equipment
for the assessment, but also for the electromagnetic
protection of electronic information equipment
theory.

2 SIMULATION AND ANALYSIS

By adjusting characteristic parameters such as pulse

width, pulse rise and frequency, the simulation of
different pulses can be done. This paper has taken
pulse width as an example to research the charac-
teristic parameters influencing the magnetic field
of the chassis. The criteria of the chassis chosen
for research are, size of the hole is 20 mm × 30 mm
and polarization direction of pulse parallel to the
short side of the hole. The amplitude of pulse is
10000 v/m, direction is vertical incidence. Chassis
model and boundary conditions are shown in
Figure 1. Figure 1. Chassis model and boundary conditions.

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Figure  2. Relationship between strength of the mag-
netic field and time in the center of chassis with pulse
width is 0.2 ns.
Figure  3. Relationship between the strength of the
magnetic field and time in the center of chassis with pulse
width is 0.5 ns.
Figure  4. Relationship between the strength of the
magnetic field and time in the center of chassis with pulse
width is 1 ns.
Through the mentioned simulation results
above, the following conclusions can be obtained:
1. The wider the pulse width is, the harder the
pulse coupled into the chassis through holes;
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CMEEE_book.indb 358
Figure  5. Relationship between the strength of the
magnetic field and time in the center of chassis with pulse
width is 2 ns.
Figure  6. Relationship between the strength of the
magnetic field and time in the center of chassis with pulse
width is 4 ns.
2. The narrower the pulse width is, the shorter
the time attain the first maximum peak of the
energy coupled into the chassis. If taking the
pulse width 0.2  ns for example, the first great
peak time is about 1.32 ns.
2.2 Strength of the magnetic field in the center
of the holes with different pulse width
In this part, the strength of the magnetic field in
center of the holes with different pulse width is dis-
cussed. The results of simulation are shown from
Figure 7 to Figure 10.
Results of simulation are given and following
conclusions are obtained:
1. The narrower the pulse width, the stronger the
energy coupled into the center of chassis. The
narrower the pulse width is, the more likely to
be caused is the intensity enhancement of the
field. If taking the pulse width 0.2 ns as exam-
ple, the strength of the magnetic field coupled
into the chassis is much larger than the incident;
the stronger the magnetic field coupled into the
center of holes, the greater the intensity of the
field coupled into the chassis.
3/20/2015 4:15:18 PM
 Figure  7. Relationship between the strength of the
magnetic field and time in the center of the hole with
pulse width is 0.2 ns.
Figure  8. Relationship between the strength of the
magnetic field and time in the center of the with pulse
width is 0.5 ns.
Figure  9. Relationship between the strength of the
magnetic field and time in the center of the hole with
pulse width is 1 ns.
2. The narrower the pulse width, the energy cou-
pled into the center of hole between the first
maximum value and the first minimum value
close to half of the width. If taking the pulse
width 0.2 ns as example, the value of first time
to reach maximum is 0.52 ns, the value of first
359
CMEEE_book.indb 359
Figure  10. Relationship between the strength of the
magnetic field and time in the center of the hole with
pulse width is 2 ns.
Figure  11. Schematic diagram of energy coupled into
hole and chassis.
time to reach minimum is 0.62 ns, the interval is
half width 0.1 ns.
If taking the pulse width of 0.2 ns for example,
Schematic diagram of energy coupled into hole
and chassis are shown in Figure 11.
Through the Fast Fourier Transform, Spectro-
gram of energy coupled into the center of the chas-
sis with different pulse width is the following:
Spectrogram in the center of the chassis with
different pulse width is shown from Figure  12 to
Figure 16. Through the mentioned simulation results
above, the following conclusions can be obtained:
1. The narrower the pulse width, the richer the
high-frequency component of the spectrum.
3/20/2015 4:15:19 PM

Figure 12. Spectrogram in the center of the chassis with
pulse width is 0.2 ns.
Figure  13. Spectrogram in the center of chassis with
pulse width is 0.5 ns.
Figure 14. Spectrogram in the center of the chassis with
pulse width is 1 ns.
The pulse width becomes twice as much as
the original; the high-frequency component
becomes about ½ of the original.
2. The wider the pulse width, the lower the fre-
quency of the pulse coupled into the chassis to
360
CMEEE_book.indb 360
Figure 15. Spectrogram in the center of the chassis with
pulse width is 2 ns.
Figure 16. Spectrogram in the center of the chassis with
pulse width is 4 ns.
obtain the maximum value of the strength of
the magnetic field. With a pulse width of 0.2 ns,
the frequency at the maximum strength of mag-
netic field is about 7 GHZ; with a pulse width of
0.5 ns, the frequency of the maximum strength
of magnetic field is about 3.5 GHZ; with a pulse
width of 1 ns, the maximum value of strength
of magnetic field is approximately 1.76 GHZ.
3 CONCLUSIONS
By analysing the variation of different character-
istic parameters such as pulse width of the elec-
tromagnetic pulse, the influence of energy coupled
into chassis is deduced. The narrower the pulse
width, the stronger the energy coupled into the
center of chassis and the richer the high-frequency
component in the spectrum. The wider the pulse
width, the lower frequency of the coupling energy
reaches the maximum value.
3/20/2015 4:15:21 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

A new type of control method for the variable-speed wind turbines

based on the PID neural network

T. Li
School of Electrical Engineering, Southeast University, Nanjing, China
School of Electronics and Information, Jiangsu University of Science and Technology, Zhenjiang, China

X.Y. Hou
School of Electronics and Information, Jiangsu University of Science and Technology, Zhenjiang, China

H.Y. Lin
School of Electrical Engineering, Southeast University, Nanjing, China

Q.Y. Liu
Hulun Buir College, Hulun Buir, Hailar, China

L. Zhao
Shan Dong Water Polytechnic, Rizhao, Shandong, China

H.J. Liu
School of Electronics and Information, Jiangsu University of Science and Technology, Zhenjiang, China

ABSTRACT: An effective maximum power point tracking control method can improve the wind energy
conversion efficiency; however, as the control tasks become more complex, the traditional MPPT control
technology can not satisfy the complex control task of wind turbines. Addressing the shortcomings of the
traditional PID control method, a new kind of PID neural network controller for the maximum power
point tracking control of variable speed wind turbine is designed. Firstly, the model of the wind turbine
is set up, and the structure of the PID neural network controller is given. Secondly, the wind generator
torque of the wind turbine is regulated by the PID neural network controller by training the weights of the
neural network. Finally, the simulation platform for the control system is built up, and results show that
the method can track the maximum wind energy and improve the work efficiency of the wind turbine.

Keywords: NN; PID; PID neural network; MPPT; wind turbine

1 INTRODUCTION the trial method; when the running of the system is

With the increasing amount of wind energy uti-
lisation, maximum power point tracking control
technology has gradually become the focus of
attention[1–3]. Variable-speed wind turbine is one of
the most import wind turbines in which the gen-
erator speed can follow the change of the wind
speed[4–5]. Since the uncertainty of the wind, causes
a strong nonlinear impact on the wind turbine,
it is hard to improve the dynamic characteristics
of the system. In order to solve the problem the
MPPT control method are being studied closely by
the experts at home and abroad, and a series of
effective methods[6–10] have been put forward—one
of which is the PID control. However, tuning the
parameters of the PID controller needs the use of
affected by wind speedor is impacted by the influ-
ence of other interferences, then the PID regulator
loses its control flexibility.
Neural network control technology is widely
used because of its advantages in dealing with
nonlinear systems/conditions and uncertainty:
neural network is now gradually being applied to
the field of wind power control[11–13]. The neural
network control is one of ANN’s common control
method. It is often difficult to establish an accu-
rate plant model in the industry; a unique choice
is provided by the neural network control to deal
with the unknown dynamic of nonlinear systems,
and it has provided an effective solution to solve
maximum power point tracking problems. The
PID neural network and the variable speed wind

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 power generation control system is combined in
this paper; an intelligent torque control method
for variable speed wind power generation system is
designed. Take the rotor speed of the wind power
generator and the speed reference values of PID
neural network as the input values, and use the
output value of the PID neural network to regu-
late the torque of wind power generator, which
make wind turbines runon the optimal power curve
and by which the maximum wind energy capture is
achieved. Finally, the verification test of designed
controller is carried out on the platform of Dspace;
the results show that the method can capture the
maximum wind energy, and the efficiency in the
utilization of the wind is improved.

Figure 1. Power coefficient and tip speed ratio.

2 PID NEURAL NETWORK CONTROL
FOR THE VARIABLE SPEED WIND
TURBINE

The structure of DFIG-based wind turbine includes

wind wheel, gear box, wind generator, AC/DC con-
vertor, grid, etc. The model of DFIG-based wind
turbine can be expressed as equation (1–4):

1
Pwt ρπ R 2v3C p ( ) (1)
2
1
Γ wt = ρπ R3v 2CΓ ( ) (2)
2
C p (λ β ) λCΓ ( λ , β ) (3)
R ⋅ Ωl Figure 2. Structure of PID neural network.
λ= (4)
v

where, Pwt is power of wind wheel, Γwt is torque of
wind wheel, CΓ is torque coefficient, λ is tip speed
ratio, β is blade pitch angle, R is radius of wind
wheel, ρ is density of air, v is wind speed.
As is shown in Figure 1, when the wind speed
is below the rated value, the control goal of wind
energy conversion system is to get the optimal value
of tip velocity ratio λ and the maximum value of
power coefficient Cp.
The structure of PID neural network
controller[14–16] is shown in Figure 2. PID neural
network controller includes input layer, hidden
layer and output layer. The input layer consists of
two neurons. The hidden layer consists of three
neurons. The output layer consists of one neuron,
where,
Input layer: two inputs of neural network x11,
x21, where, x11 is the speed reference value Ωhref of
wind turbines. x21 is the actual rotational speed Ωh
of wind turbines. The output of the input layer is:
y j1 = f 1 nnet1 j ) , j = 1, 2. The state function of neu-
rons is u1 j ( k ) = net1 j .
Hidden layer: hidden layer includes three neu-
rons, proportional element, integral element, differ-
ential element. The sum of input weight which in
2
hidden layer neurons is neti 2 ∑ y j1 ⋅ wiij 2 , i = 1, 2, 3,
j =1
wij2 is the input weights of the i-th neurons which in
the hidden layer. The output function neuron is:
The state of proportional element is:
u 21( k ) = net 21 (5)
The state of integral element is:
u 2 2 ( k ) = u 2 2 ( k 1) + net 2 2 (6)
The state of differential element is:
u 23 ( k ) = net 23 ( k ) − net 23 ( k 1) (7)
Output layer: the output layer includes one
neuron. The sum of neurons input weight is
netl 3 yi 2 ⋅ wli 3 , wli 3 is the input weights of the
i =1

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 Figure  3. Structure of PID neural network controller
for the generator torque.

y and l = 1. The
l-th neurons which in the output layer,
output of the output layer is yl 3 f 3 ( net 3l ), the yl 3
is the torque reference value of wind generator
g ΓGref.
The state function of neurons is u3l k ) = net 3l. The
output functions of input layer and hidden layer are
f1, f2, which are Tansig function. The output func-
tion of output layer is f3, which is purelin function.
The choice of initial weights: the initial
weights
g from input layery to hidden layer are:
2
11 + 1, w12 2 1, w212 + 0.1, w22 2 = − 0.1, w312 =
−1, w32 2 −1. The initial weights from hidden layer
to output layer are: the output ratio of PID con-
troller kP, integration kI, differentiation kD. Figure 4. Dspace platform of PID NN control system
The error back propagation algorithm of sys- for variable-speed wind turbines.
tem: the weight value of PID neural network can
be adjusted by error back propagation algorithm,
the network training target:
m
/ ∑ [ytp
Et (p ) = 1/m yop ]2 (8)
p=1

where, ytp is desired output of neural network,

which is the speed reference value of wind tur-
bines Ωhref. yop is actual output of neural network,
which is the rotating speed of wind turbines Ωh, m
is the number of samples. The weights of the back-
propagation process are adjusted by the negative
gradient algorithm with momentum factors.
As is shown in Figure 3, the structure of PID
neural network controller for the variable speed Figure 5. Wind speed.
wind turbine is given, the inputs of the PID neural
network are reference of wind generator speed Ωhref
and wind generator speed Ωh, output of the PID
neural network is the reference output of the wind
generator torque ΓGref, which is taken as the input
of the variable-speed wind turbine.

3 SIMULATION RESULTS

As is shown in Figure 4, the Dspace platform of PID

neural network control system for variable-speed
wind turbines is given, the platform mainly include
wind turbine module, the Dspace neural network
module, computer monitoring module, etc.
The wind speed output is shown in Figure 5.
From the output results of the experiment, as
shown in Figure 6 and Figure 7, we can see that Figure 6. Generator power (Kw).

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Figure 7. Generator speed (rad/s).
when the wind speed changes, the output power of
wind turbines can track the optimal power curve,
and the generator output speed of wind turbines
can track the optimal speed curve.
4 CONCLUSION
In order to overcome the drawbacks of the conven-
tional control method, this paper introduces a PID
neural network control method for WECS; appli-
cation of PID neural network in WECS mainly
includes three sections in this paper. Firstly, the
model of the wind turbines is set up; secondly, the
PID neural network control method for the wind
turbines is designed; thirdly, the data from the
work farm is collected and the PID neural network
control system is built up, based on the Dspace
platform. The results show that the method pro-
posed can make the power output and torque out-
put of wind turbines track the optimal curve. The
maximum wind energy capture is achieved, and
the method also provides a valuable reference for
the control of wind power system.
ACKNOWLEDGMENT
This work has been supported by A Project
Funded by the Priority Academic Program Devel-
opment of Jiangsu Higher Education Institutions
(PAPD), A Project Funded by the Dr Foundation
of Jiangsu University of Science and Technology
under Grant NO. 635031303 and A Project Funded
by Jiangsu University of Science and Technology
under Grant NO. 633031304, A Project Funded by
the National Natural Science Fund under Grant
NO. 51307074, A Project Funded by the Postdoc-
toral Key Research Fund of Southeast University
under Grant NO. 1116000185, A Project Funded
by the Postdoctoral Science Foundation of Jiangsu
Province under Grant NO. 1301005B.
364
CMEEE_book.indb 364
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3/20/2015 4:15:27 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Research on the control method for the torque of wind generator

based on data-driven

T. Li
School of Electrical Engineering, Southeast University, Nanjing, China
School of Electronics and Information, Jiangsu University of Science and Technology, Zhenjiang, China

X.Y. Hou
School of Electronics and Information, Jiangsu University of Science and Technology, Zhenjiang, China

H.Y. Lin
School of Electrical Engineering, Southeast University, Nanjing, China

L. Zhao
Shan Dong Water Polytechnic, Rizhao, Shandong, China

H.J. Liu
School of Electronics and Information, Jiangsu University of Science and Technology, Zhenjiang, China

Q.Y. Liu
Hulun Buir College, Hulun Buir, Hailar, China

ABSTRACT: Looking at the actual wind turbines in the wind farm, wind turbines are typically time-
varying, strong-coupling and too complex to build a precise mathematical model; a method is proposed
to improve the capture efficiency of wind energy. On the basis of related data for the wind energy conver-
sion system, including power, wind power generator, wind speed, wind generator torque, rotor speed, data
driven control does not need to establish a model of the controlled object, by the advantage of which
the data drive controller for maximum wind energy capture of the wind turbine is designed, tip speed
ratio is regulated by controlling the torque of the generator, and the wind energy utilization coefficient is
improved.

Keywords: torque; data driven; DFIG; generator; MPPT; wind turbine

1 INTRODUCTION The Data driven control theory[9–15] has gradu-

With the increasing amount of the use of wind
energy, wind turbine control technology is becom-
ing a hotspot of attention[1–4]. In recentyears, the
experts at home and abroad have conducted in-
depth research on the wind turbine control system,
and put forward a series of effective methods.
However, when the actual operation of wind tur-
bines in the wind farm are often influenced by
the uncertain factors, the conversion efficiency of
wind energy will be greatly reduced. If offline or
online data generated by the wind turbines in the
wind farm are fully utilized, it will greatly improve
the efficiency of conversion of wind energy, and
bring new challenges to improve the dynamic char-
acteristic of wind turbines[5–8].
ally become a hot subject for of experts at home
and abroad; its advantage is for the complex non-
linear system, whose model is unknown, and the
related control law is taken from the process data
of the controlled object: the method has been suc-
cessfully applied to many fields, such as flight con-
trol, pattern recognition, robot control.
A model of a wind turbine, based on DFIG,
is built in this paper, as is the design of the data
driven controller with the neural network com-
pensation for wind turbines; also designed is the
data drive controller for maximum wind energy
capture of the wind turbine, the tip speed ratio is
regulated by controlling the torque of the genera-
tor, and the wind energy utilization coefficient is
improved.

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 2 MPPT CONTROLLER WITH NEURAL ⎧y (N )T Qy (N ) ⎫
NETWORK ⎪ ⎪
J = ε ⎨ N −1 ⎬ (7)
2.1 Model of DFIG-based wind turbines
⎩ k =0
(
⎪+ ∑ (k )
T
(k ) + (k )T )
(k ) ⎪
⎭
A model of DFIG-based wind turbines is shown
in Figure 1, which includes the wind wheel, driven-
chain, DFIG, grid, etc. 1. The relevant data of wind energy conversion
Model of DFIG-based wind turbines can be system is deduced by the SCADA system:
expressed as: 2. Output and input data of the control system
can be expressed as (8) and (9):
1
Pwt ρπ R 2v3C p ( ) (1)
2 ⎡ u( k ) L u( k L ) ⎤
⎢ ⎥
1 V = ⎢u p k + p ) L u p ( k + p L )⎥ (8)
Γ wt = ρπ R3v 2CΓ ( ) (2) ⎢ ⎥
2
⎢⎣ y k ) L yL ( k L ) ⎥⎦
C p (λ β ) λCΓ ( λ , β ) (3)
Y ⎡⎣ y1 ( k p) L yL ( k p + L ) ⎤⎦ (9)
R ⋅ Ωl
λ= (4)
v 3. According to the equation (10) to get P1, P2 and
the matrix Tp, let p = N + 1, the Markov param-
where, Pwt is power of wind wheel, Γwt is torque of eters Mi, i = 1, 2, …, N of wind energy conver-
wind wheel, CΓ is torque coefficient, λ is tip speed sion system can be obtained from the Tp.
ratio, β is blade pitch angle, R is radius of wind
wheel, ρ is density of air, v is wind speed.
( )
+
⎡ P1 Tp P2 ⎤⎦ YV T VV T (10)
⎣
2.2 Data-driven control based on neural network
The DFIG wind energy conversion system can be where, P1 = Op ((Bp + MTp), P2 = −OpM, M = −Ap
expressed as: Op+, B p ⎡⎣ A p −1B L A B B ⎤⎦ .
4. Substituting Mi into the equation (11) to cal-
y( k ) f ( x( k ), u( )) (5) culate the data-based control gain GW(k), i = 1,
2, …, N.
where, x(k) is the n-dimensional state quan-
tity, u(k) is n-dimensional input quantity, y(k) is
n-dimensional measured output, by solving the (
GW ( k ) = − R θ ( k + )T (k
(k + )
−1
control function u(k): × g ( k + )) θ ( k )T (k + ) (11)

u( k ) = f ⎡{Mi }1 , Q, R, u( k )),, y k 1) ⎤
N
(6)
⎣ ⎦ 5. According the equation (12) to get the xˆ Wc ( k ) ,
taking the column vector from second row to
where, Mi, = CA(t−1) B, i = 1, 2, …, N, A, B, C is the (N − k + 1)l row as the state vector xWc(k) of
the unknown parameters vector, the performance controller.
index function can be expressed as:

Figure 1. Structure of DFIG-based wind turbines. Figure 2. Structure of neural network compensator.

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 ⎡ 0l ⎤
xˆ Wc ( k ) = ⎢⎢ Il (N − k ) ⎥ O x( k )
⎥ p
⎢⎣ 0 l ⎥⎦

⎡ 0l ⎤
= ⎢⎢ Il (N − k ) ⎥ (P u ( k − p)
⎥ 1 p
⎢⎣ 0 l ⎥⎦

+ P2 y p ( k − p )) (12)

6. According the equation (13) to calculate the

control input u:

U( ) W ( k ))xWcc ( k ) (13)
Figure 5. Wind speed.
7. The system output y(k) can be derived from the
control quantity u(k − 1), and the next control
input u(k + 1) can be calculated by using the
control input of the next time u(k) and the sys-
tem output y(k).

Figure 3. Structure of data-driven controller based on

neural network.

Figure 6. Output results.

8. As is shown in Figure 2, by taking e(k), e(k – 1),

y(k − 1) as the input of neural network compen-
sation controller, the control input of next time
Figure 4. Platform of Xilinx System Generator for NN Δunn(k + 1) can be obtained, circulating into the
controller of DFIG-based wind turbine. step (2).

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 3 SIMULATION RESULT
As is shown in Figure 3, structure of data driven
controller based on neural network is given, λr
is the reference input, λ is actual input, the error
between them is e(t), which is the input of the data
driven controller.
As shown in Figure 4, the platform of the Xilinx
System Generator for NN controller of DFIG-
based wind turbine is given; the platform includes
wind turbine module, signal processing module,
Xilinx virtex-5 platform module, Matlab/system
generator module, etc.
The wind speed output is shown in Figure 5. As
is shown in Figure 6, from the output results of
the experiment, from (a)–(b), we can see that tip
speed ratio and wind energy utilisation coefficient
are more stable with the control method proposed
than that with traditional one.
4 CONCLUSION
In order to overcome the shortcomings of the data
drive control method, one can use the data driven
control method based on neural network compen-
sation, to enhance the performance of the MPPT
control system for the WECS, by determining the
Markoff parameter of the wind energy conversion
system. Secondly, the system—, the MPPT control
system for the DFIG-based WECS, whose output
is adjusted by controller gain. Finally, neural net-
works of different training rulers are used to train
the compensator, and thenthe results obtained are
compared. The method is relatively simple; it’s easy
industrial implementation can effectively reduce the
wind energy conversion system speed fluctuation,
increase the security of wind turbine operationand
capture the maximum wind energy. A good guide
in the application of doubly fed wind energy con-
version system is provided.
ACKNOWLEDGMENT
This work has been supported by A Project
Funded by the Priority Academic Program Devel-
opment of Jiangsu Higher Education Institutions
(PAPD), A Project Funded by the Dr Foundation
of Jiangsu University of Science and Technology
under Grant NO. 635031303 and A Project Funded
by Jiangsu University of Science and Technology
under Grant NO. 633031304, A Project Funded by
the National Natural Science Fund under Grant
NO. 51307074, A Project Funded by the Postdoc-
toral Key Research Fund of Southeast University
under Grant NO. 1116000185, A Project Funded
by the Postdoctoral Science Foundation of Jiangsu
Province under Grant NO. 1301005B.
368
CMEEE_book.indb 368
REFERENCES
[1] Li, T. & Shen, Y.X. & Ji, Z.C. 2012. Research on
A Novel MPPT Control Method for Variable-
Speed Wind Power Systems. Research Journal of
Applied Sciences, Engineering and Technology 4(16):
2712–2715.
[2] Nguyen, H.M. & Naidu, D.S. 2010. Advanced con-
trol strategies for wind energy systems: An overview.
Proc. Power Systems Conference and Exposition,
Phoenix, 20–23 March 2011.
[3] Li, T. & Ji, Z.C. 2012. Data Driven Control for Wind
Energy Conversion System Output Power based on
Neural Network Compensator. Journal of Control
Science and Engineering 2012: 1–8.
[4] Li, T. & Ji, Z.C. 2011. Intelligent Inverse Control to
Maximum Power Point Tracking Control Strategy
of Wind Energy Conversion System. Proc. 2011
Control and Decision Conference, Mianyang, 23–25
May 2011.
[5] Andrew, K. & Zhang, Z.J. & Li, M.Y. 2010.
Optimization of Wind Turbine Performance
with Data-Driven Models. IEEE Transactions on
Sustainable Energy 1(2): 66–76.
[6] Andrew, K. & Zhang, Z.J. 2011. Adaptive Control
of a Wind Turbine with Data Mining and Swarm
Intelligence. IEEE Transactions on Sustainable
Energy 2(1): 28–36.
[7] Andrew, K. & Zheng, H.Y. 2010. Optimization of
Wind Turbine Energy and Power Factor with an
Evolutionary Computation Algorithm. Energy
35(3): 1324–1332.
[8] Andrew, K. & Zheng, H.Y. & Zhe, S. 2010. Power
Optimization of Wind Turbines with Data Mining
and Evolutionary Computation. Rnewable Energy
35(3): 695–702.
[9] Tian, X.M. & Chen, G.Q. & Chen, S. 2011. A Data-
Based Approach Formulti Variate Model Predictive
Control Performance Monitoring. Neurocomputing
74(4): 588–597.
[10] Van, H.J, & De, J.B. & Steinbuch, M. 2007. Direct
Data-Driven Recursive Controller Unfalsication with
Analytic Update. Automatica 43(12): 2034–2046.
[11] Guardabassi, G.O. & Savaresi, S.M. 2000. Virtual Ref-
erence Direct Design Method: An off-line Approach
to Data-based Control System Design. IEEE Trans-
actions on Automatic Control 45(5): 954–959.
[12] Hou, Z.S. & Huang, W.H. 1997. The Model-Free
Learning Adaptive Control of a Class of SISO
Nonlinear Systems. Proc. 1997 American Control
Conference, Albuquerque, 4–6 June 1997.
[13] Lee, C.M. & Narayanan, S. 2003. Emotion Recogni-
tion Using a Data-Driven Fuzzy Inference System.
Proc. European Conference on Speech Communica-
tion and Technology, Geneva 31 August 2003.
[14] Spall, J.C. & Cristion, J.A. 1998. Model-Free
Control of Nonlinear Stochastic Systems with Dis-
crete-Time Measurements. IEEE Transactions on
Automatic Control 43(9): 1198–1210.
[15] Hou, Z.S. & Yan, J.W. 2009. Model Free Adap-
tive Control based Freeway Ramp Metering with
Feed Forward Iterative Learning Controller. Acta
Automatica Sinica 35(5): 588–595.
3/20/2015 4:15:31 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Construction of robustly stable interval polynomial

T.A. Ezangina, S.A. Gayvoronskiy & S.V. Efimov

National Research Tomsk Polytechnic University, Tomsk, Russia

ABSTRACT: The paper presents an original algorithm to determine the intervals of characteristic
polynomial coefficients, which ensure its robust stability. This algorithm is built in conditions that pro-
vide linking indexes of stability and oscillation with interval coefficients of the characteristic polynomial.
The paper reviews application of the algorithm for determination of the interval settings in a robust
PID-controller. Performance of the algorithm was tested by construction of localization regions of the
roots of the interval polynomial upon the determined intervals of the controller parameters.

Keywords: interval characteristic polynomial; coefficient parameters of quality; interval-parametric

synthesis, robust controller

1 INTRODUCTION The inverse problem—determining intervals

A great importance to the theory of robust control
presents the Kharitonov’s theorem, which allows to
assess stability of polynomials with coefficients vary-
ing within the known intervals. To analyze the robust
stability, testing an infinite number of polynomials
is not required but, instead, we check the stability
of only four Kharitonov’s polynomials composed
of the extreme values of coefficients, in alternating
pairs (two minimum and two maximum values) [1]:
P1( s ) = p0 + p1s + p2 s 2 + p3s3 + ...,
P2 ( s ) = p0 + p1s + p2 s 2 + p3s3 + ...,
P3 ( s ) = p0 + p1s + p2 s 2 + p3s3 + ...,
P4 ( ) = p0 + p1s + p2 s 2 + p3s3 + ...,
of coefficients of characteristic polynomial—is
also important to the development of automatic
control systems with interval parameters. Here,
we are interested in robustly stable polynomi-
als, i.e., their roots lie in the left half-plane under
any changes in the coefficients of polynomials.
Figure 1 shows mapping of variations in the coef-
ficients of the characteristic polynomial onto
the root plane for the case of a robustly stable
polynomial.
Determination of admissible variation range for
coefficients of the characteristic polynomial can
solve the problem of interval-parametric synthesis
of robust controllers, whose configurable settings
are included linearly in the coefficients of the char-
acteristic polynomial.
The objective of this study is to develop a
method for determining the interval coefficients
of the characteristic polynomial, which provide its
robust stability.

2 ALGEBRAIC CONDITIONS FOR

STABILITY AND OSCILLABILITY
OF THE INTERVAL POLYNOMIAL

Let there be given an interval polynomial:

P ( s ) = [ pn ]s n + [ pn − 1 ]s n −1 + ...[ p0 ], (1)

were pi ≤ pi ≤ pi ( pi is the lower limit, pi —the

Figure 1. Mapping the polyhedron of coefficients. upper limit).
Sufficient conditions for robust stability and
The reported study was partially supported by RFBR, robust oscillability can be obtained on the basis
research project No 14-08-31031. of coefficients pi [2–3]. Let us introduce the

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 coefficient parameters of stability λi [2–3] formed pz2
by the quadruples of the adjacent polynomial δz δd , z 1, n − 1, (3)
coefficients (1): pz 1 pz +1

[ ][ i +2 ]
where δd is an admissible oscillation index deter-
[ λi ] = i
, i 1, n 2. mined from Figure 2.
[ i ][ i +1 ]
Robust stability and robust oscillability of the
interval characteristic polynomial can be estimated
Definition 1. The interval automatic control upon the conditions (2) and (3).
system is stable if the following conditions are
satisfied
3 THE ALGORITHM FOR DETERMINING
pi pi + 2 INTERVALS OF POLYNOMIAL
λi λ * , i 1,nn 2, λ * ≈ 0, 465 (2)
pi pi +1 COEFFICIENTS

Suppose that at least two leading coefficients of the

Stability domains constructed upon these con-
characteristic polynomial (1) are known. By apply-
ditions will be located inside the exact stability
ing conditions (2) and (3), we construct a system of
region found by any necessary and sufficient con-
inequalities to determine the unknown intervals for
dition. Restriction of this field is insignificant and
the characteristic polynomial coefficients
occurs through discarding points, which refer to
systems with a minor stability factor.
Let us consider coefficient parameters δz [2–3] ⎧ pi pi + 2
⎪ λi pi pi +1 λ * , i n 2, n 3, ...1 λ * ≈ 0, 465;
that characterize the tendency of a system to oscil- ⎪
late. Parameters δz are dimensionless and are called ⎨
⎪δ = pz2
oscillation indexes. Same as λi, these parameters
are linked in a very simple way with coefficients of ⎪ z p p ≥ δ d , z n 1, n , ...1.
⎩ z −1 z +1
the transfer function of a linear system. Parameter
δz is determined by coefficients of the characteris- (4)
tic polynomial (1), as follows Through algebraic transformations conducted
on the basis of the system (4), we obtain expres-
[ pz2 ] sions for the limits of coefficients pi
[δ z ] = , z = 1,n
, − 1.
[ z 1 ][ z +1 ]
λ * pi pi + 2
Sufficient condition for a given degree of oscil- pi = ,i g − 1, g 2 0 g=n k (5)
pi + 3
lability is formulated on the basis of oscillation
indexes δz [2–3]. To locate the roots of the interval
characteristic polynomial (1) in a given angular pz +1 2
Pz = ,z g, z g − 1, ...0, g n−k (6)
sector ±ϕ, we must select controller settings, which δ d pz + 2
would enable the following conditions
λ *δ d pi + pi +1
pg = ,i g, g 1 0 g=n k (7)
pi + 2

Relying on the expressions (5)–(7), an algo-

rithm for determining the interval coefficients that
ensure robust stability of the interval polynomial is
generated. The block diagram of this algorithm is
demonstrated in Figure 3.
The algorithm includes the following steps:
1. Setting the constant coefficients of the polyno-
mial and the admissible oscillation index δd.
2. Verification of the fulfilled conditions (2) and
(3) for the known coefficients of the interval
characteristic polynomial.
3. Solutions for (5), (6), finding the maximum
Figure 2. Dependence between the sector of root loca- values of pi and selecting the minimum pi value
tion and δd value. from this set of values.

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 P ( s ) = [ p6 ]s 6 + [ p5 ]s5 + [ p4 ]s 4 + [ p3 ]s3
+ [ p2 k2 )]s 2 + [ p1( k1 )]s1 + [ p0 ( 0 )],

where [p6] = [a5], [p5] = [a4], [p4] = [a3], [p3] = [a2], [p2] =
[a1] + b[k2], [p1] = [a0] + b[k1], [p0] = b[k0].
To solve this task, we elaborate the system in the
form (4):

⎧ p0 k0 ) p3
⎪λ1 = ≤ 0, 465;
⎪ p1 k1 ) p2 k2 )
⎪
⎪ p1 k1 ) p4
⎪λ2 = p k ) p ≤ 0, 465;
⎪ 2 2 3
⎪
⎪λ = p2 k2 ) p5 ≤ 0, 465;
⎪ 3 p3 p4
⎪
⎪
⎪λ = p3 p6 ≤ 0, 465;
⎪ 4 p4 p5
⎪
⎪ p12 ( k1 )
⎪
δ
⎨ 1 = ≥ 1.45;
⎪ p0 ( k0 ) 2 ((k k2 )
⎪
Figure 3. Block diagram of the algorithm for determin- ⎪ p22 ( 2 )
ing the interval coefficients. ⎪δ 2 = ≥ 1.45;
⎪ p1( 1 ) p3
⎪
⎪ p32
δ
⎪ 3 p ( ) p ≥ 1.45;
=
4. Solution for (7) and determination of the mini- ⎪ 2 2 4
mum limit for pi. limit pi. ⎪ 2
⎪δ = p4 ≥ 1.45;
⎪ 4
p3 p5
⎪
4 APPLICATION OF THE ALGORITHM ⎪ 2
IN THE INTERVAL-PARAMETRIC ⎪δ = p5 ≥ 1.45;
SYNTHESIS OF THE ROBUST ⎪ 5
p4 p6
⎩
CONTROLLER

Assume that the automatic control system has a According to the developed algorithm, we
certain controlled object check that conditions (2), (3) for λ4, δ4, δ5 are
fulfilled:
b
Wco = = 0, ⎧ p3 p6
[ a5 ]s5 + [ a4 ]s4 + [ a3 ]s3 + [ a2 ]s2 + [ a1 ]s1 + [ a0 ] ⎪λ4 = = 0.101 ≤ 0, 465;
⎪ p4 p5
were[a5] = [0.5; 1], [a4] = [11.5; 12], [a3] = [46.5; 47], ⎪
[a2] = [107.5; 108], [a1] = [121; 122], [a0] = [25; 90], b = ⎪ p42
3.2 and PID-controller Wc ( ) ( k2 s 2 k1s1 k0 )/ss . ⎨δ 4 = ≥ 1.66;
⎪ p3 p5
We need to determine the setting intervals of ⎪
PID-controller: k0, k1, k2, which provide that the ⎪ p52
automatic control system is robustly stable and ⎪δ 5 = p4 p6
≥ 5.62;
conditions for oscillability and accuracy at given ⎩
δd = 1.45, Dw = 1, where Dw—is quality of the sys-
tem are satisfied. Since these conditions are satisfied, we proceed
We write the interval characteristic polynomial to determining the limits of unknown coefficients
of this system, as follows p2(k2), p1(k1), p0(k0), aided by the conditions (5)–(7).

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 For this purpose, we start with defining the upper
limit of the coefficient p2(k2)

⎧ 0.465 p3 p4
⎪ p2 k2 ) = = 193.7;
⎪ p5
⎨
⎪ p32
⎪ p2 k2 ) = = 169.57
⎩ δ d p4

From the set of obtained values, we select the

minimum value p2(k2) = 169.57.
Then, we calculate the lower limit of p2(k2),
according to the algorithm

0.465δ d p3 p3
p2 k2 ) = = 166.5
p4
Figure 4. Regions of root localization.
Similarly to finding the upper limit of the coeffi-
cient p2(k2), we calculate the maximum limit p1(k1) Thus, the system under discussion will remain
robustly stable at any PID parameter values within
⎧ 0.465 p2 k2 ) p3 the found ranges.
⎪ p1 k1 ) = = 177.41; This result is checked by constructing the locali-
⎪ p4
⎨ 2 zation regions of the roots and the interval poly-
⎪ p k ) = p2 k2 ) = 177.41 nomial (Fig. 4).
⎪ 1 1
δ d p3
⎩

Then we calculate the minimum limit p1(k1) 5 CONCLUSION

0.465δ d p2 k2 ) p2 k2 ) This research paper presents an algorithm for

p1 k1 ) = = 176.3 determining the coefficient intervals of the char-
p3 acteristic polynomial that ensure its robust stabil-
ity, developed on the basis of robust expansion
Further, we determine the maximum limit of the coefficient method. This algorithm can be
p0(k0) applied to determine the interval settings of robust
controllers. The operating performance of this
⎧ 0.465 p1k1 p2 algorithm is verified on the example of interval-
⎪ p0 k0 ) = = 126.441; parametric synthesis of robust PID-controller.
⎪ p3
⎨
⎪ p12 k1
p
⎪ 0 0k ) = = 126.441 REFERENCES
⎩ δ d p3
[1] Polyak B.T. & Scherbakov P.S. Robust stability and
The lower limit of p0(k0) is found from the value control. Moscow: Science, 2002, p. 303.
of quality factor [3] [2] S.A. Gayvoronskiy & T.A Ezangina. Bundled Soft-
ware for the Desing of Interval Dynamic Systems.
Da0 Applied Mechanics and Materials. Vols. 446–447
p0 k0 ) = k0b = 25 k0 = = 7.813. (2013), pp. 1217–1221.
b [3] S.A. Gayvoronskiy & T.A Ezangina. Robust con-
trol of complex dynamic units with interval param-
From the expressions of coefficients p2(k2), eters. Systems and Computer Science (ICSCS), 2013
p1(k1), p0(k0) and by applying the rules of inter- 2nd International Conference on 26–27  Aug. 2013,
val arithmetic we find the setting limits for PID- Villeneuve d’Ascq, France, PP. 201–204.
controller

k0 = [7.813; 39.51];
k1 = [ ];
k2 = [13 92 15 17 ].

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

A MEMS digital seismometer with new structure

J. Guo & S.H. Xu

Institute of Geology and Geophysics, Chinese Academy of Sciences, Beijing, China

ABSTRACT: A MEMS (Micro Electro Mechanical Systems) digital seismometer with a new structure
is designed and developed; this includes the seismic sensor, weak signal detecting and feedback circuit,
digitalized unit, controlling circuit, data communication unit and power supply circuit. As the force feed-
back circuit of MEMS sensor is introduced, the dynamic range and the small signal recognition ability
is significantly improved, which makes such seismometers a substitution for traditional products; it is
especially suitable for single seismometer receiving techniques. With no orientation and limited axial dis-
turbance, MEMS digital seismometers are easy to constitute as a mutually orthogonal three-component
digital seismometer.

Keywords: MEMS; seismometer; ASIC

1 INTRODUCTION been conducted and products have been released

MEMS, the abbreviation of Micro Electro
Mechanical Systems, is a super micro mechanical
component with the ability of electronic induc-
tion or reaction. MEMS can be mass-produced
at a comparatively low cost with a process similar
to semiconductor production. Currently, MEMS
components are widely used in automation equip-
ment (such as airbag sensors and many types of
pressure sensors of engines) and computer compo-
nents (such as the nozzle of ink-jet printers and the
hard disk pickup heads). As the MEMS technique
is developed and is maturing, it is now used in seis-
mometers for seismic exploration.
Out of the inherent mechanical characteristics,
the traditional moving-coil geophones presently
widely used domestically and abroad, have low
sensitivity, limited dynamic range (around 60 dB),
narrow frequency band (10∼200  Hz), poor anti-
interference ability and huge weight and volume.
However, with the dynamic range up to 120 dB,
the latest seismic instruments cannot be fully
utilized. Compared to the regular moving-coil
simulation geophones, MEMS digital seismom-
eters show advantages which include low weight,
broad frequency band, wide dynamic range, little
aberration, strong anti-interference ability and so
on: they will definitely substitute the moving-coil
simulation geophones most widely used currently.
MEMS digital seismometers are especially suit-
able for single seismometer high density sampling
techniques.
In view of the great technical advantages of
MEMS digital seismometers, relative research has
both in China and other countries. For example,
ION, a US company, developed the VectorSeis
three-component digital seismic sensor in 1999,
and Sercel, a French company, introduced the
MEMS digital seismic sensor—DSU unit. In this
article, a new seismometer with MEMS + AD type
will be introduced; it is different from the exist-
ing MEMS seismometer and has certain technical
advantages.
2 THE INTEGRAL STRUCTURE DESIGN
OF THE SEISMOMETER
Figure  1 is the block diagram showing the prin-
ciple of the new MEMS digital seismometer.
There are 6  main units: MEMS seismic sensor
(MEMS), weak signal detecting and feedback cir-
cuit (ASIC), digitalized unit (AtoD), controlling
circuit (CPU), data Communication unit (C) and
Power supply circuit (P). The integral structure
(see Figure  2 for reference) is constituted by the
up cover, the outgoing cable, the circuit board, the
sensor core, the shell and the tail cone, the digital-
ized unit (AtoD), the controlling circuit (CPU),
the data Communication unit (C) and the Power
supply circuit (P) are incorporated onto one circuit
board. The MEMS seismic sensor (MEMS) and
weak signal detecting and feedback circuit (ASIC)
are integrated on one Aluminum alloy core, which
has the same size with and can be interchanged
with the regular moving-coil core. The difference
is that the regular moving-coil core does not need
power supply, but both MEMS seismic sensor and

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 ASIC circuit need power supply. That’s why a pair
of power supply circuit, besides a pair of signal
circuits, is needed between the MEMS seismic sen-
sor core and the circuit board. The circuit board
and MEMS seismic sensor core are encapsulated
in the plastic shell by the up cover, and the sensor
core extraction electrode is connected to the circuit
board. The 48 V power supply is adopted, and the
digital seismometer should work regularly when the
voltage is decreased to 27 V. There are 2 pairs of out-
going cables from the circuit board, one of which is
connected with the outside power source to provide
power for the circuit board, and the other will be the
data line. The tail cone will be installed at the bot-
tom of the shell as the grounding component.

3 THE STRUCTURE AND FUNCTION

OF EACH MODULE

MEMS digital seismometers adopt the sandwich

Figure  1. Principle block diagram of MEMS digital
seismometer.
Figure  2. Integral structure sketch of MEMS digital
seismometer.
structure of 3 layers of silicon wafers with a spe-
cial bonding process. Compared with the sandwich
structure of 4 layers of silicon wafers adopted
internationally, the process is simple and the yield
rate is high. The double-sided beam mass structure
with 8 beam supporting and up-to-bottom symme-
try for monolithic fabrication, as well as the once
forming technology, not only simplified the fabri-
cation process, but also greatly decreased the
thermal noise and the cross axis sensitivity. The
reliability of the MEMS sensors produced with
the said design and process will definitely improve,
and the rate of loss will obviously reduce.
The weak signal detecting and feedback circuit
(ASIC) adopts low noise capacitance signal enlarge-
ment technology, especially the simulated force
feedback circuit to increase the signal noise ratio,
which helps detect the weak signal and enlarges
the dynamic range of the sensor to 110 dB, sat-
isfying the requirement of high-accuracy seismic
exploration. The introduction of a feedback circuit
greatly improves the small signal recognition abil-
ity, the technical indexes of which reach interna-
tional advanced level. MEMS digital seismometers
of both ION and Sercel adopt digital force feed-
back pattern. The advantage is that controlling
and recording is available and flexible. Domestic
MEMS digital seismometers at earlier stage do not
have feedback circuits, which leads to the result of
limited dynamic range (less than 90 dB) and poor
detecting ability of weak signals. The characteris-
tics of the adopted simulated force feedback pat-
tern include quick responding and simple circuit
structure. This is the major difference with other
MEMS digital seismometers in the world.
The MEMS seismic sensor is directly connected
and integrated with the weak signal detecting and

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 feedback circuit (ASIC). Since the output signal of
the MEMS seismic sensor is very weak, the sen-
sor should be closely connected to the weak sig-
nal detecting circuit to avoid loss. So The MEMS
seismic sensor is directly connected with the weak
signal detecting and feedback circuit (ASIC), and
both parts are integrated into one. Such a connec-
tion can avoid the need for transmission via cable of
the simulated signal, keep the effective content of
the weak signal and improve the anti-interference
ability.
The digitalized unit (AtoD) provides pre-
amplification, Δ-Σ modulation, digital filtering
and other functions. It also provides 24 digits A/D
conversion accuracy. Programmatic configuration
of the pre-amplification gain at 0 dB, 6 dB, 12 dB,
18 dB, 24 dB, 30 dB or 36 dB, as well as 4, 2, 1, 0.5
or 0.25  sampling rate can be realized. AtoD can
employ either the A/D conversion suite CS3301 A,
CS5373 A and CS5378 produced by Cirrus Logic
or AD1282 chip by TI. Both products are specified
chips for seismic exploration and widely used in
seismic exploring instruments. MEMS digital seis-
mometers of both ION and Sercel adopt digitalisa-
tion scheme with ASIC circuits. In this invention,
ASIC circuits only complete the low noise capaci-
tance signal enlargement and the simulated force
feedback, which has wider pre-amplification gain
and higher conversion accuracy and is suitable for
the utilisation in different areas.
The controlling circuit (CPU) is embedded
CPU. It controls the digitalised unit to complete
the analogue-digital conversion and controls the
data communication unit to realise the communi-
cation and transmission of data with the seismic
instrument system; it also controls the power sup-
ply circuit (P) to realise the power supply for the
MEMS seismic sensor, the weak signal detecting
and feedback circuit (ASIC), the digitalised unit
(AtoD), the controlling circuit (CPU) and the data
Communication unit (C). The controlling circuit
(CPU) adopts a C51 or ARM series embedded
CPU, the most energy saving chip; provided that
it can fulfill the function of controlling the digi-
talized unit, the data communication unit and the
power supply circuit.
The data communication unit (C) provides the
data communication function with the seismic
375
CMEEE_book.indb 375
instrument mainframe system, receiving the con-
trolling command of the mainframe and conduct-
ing the uploading of sampling data. It should be
consistent with the data communication protocol
of the mainframe system.
4 CONCLUSION
This MEMS seismometer has the dynamic range
of up to 110dB and largely improved small signal
recognition ability; i is especially suitable for sin-
gle seismometer receiving techniques. After mass
production, the cost will be effectively controlled,
and it will surely be the substitution of traditional
seismometers.
With no orientation and limited axial distur-
bance, the digital seismometers described in this
article can easily constitute a mutually orthogo-
nal three-component digital seismometer. It will
be obtained when three MEMS seismic sensors
are orthogonally integrated on one Aluminum
alloy core.
ACKNOWLEDGEMENTS
This work is supported by the Chinese National
863 Program (2012  AA061102) and by R&D of
Key Instruments and Technologies for Deep
Resources Prospecting (the National R&D
Projects for Key Scientific Instruments), Grant
No. ZDYZ2012-1-06-03.
REFERENCES
[1] Llobera A., Plaza J.A., and Salinas I., etc. Charac-
terization and passivation effects of an optical accel-
erometer based on antiresonant waveguides IEEE
Photonics Technology Letters. 2004, 16(1): 233∼235.
[2] J. Dakin and B. Culshaw, Optical fiber sensors II:
Systems and applications, Artech house, Boston and
London, 1996.
[3] J. Guo, G.Q. Ma, etc. MEMS-based digital geophone
and its application. Petroleum Geophysical Explora-
tion, 2005, 44(4): 348∼351.
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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

A type of real-time vibration monitoring system based

on Ethernet and RS-232

S.H. Xu & J. Guo

Institute of Geology and Geophysics, Chinese Academy of Sciences, Beijing, China

P.P. Li
CNOOC Research Institute, Dongcheng, Beijing, China

ABSTRACT: This article describes a method to implement the vibration monitoring system by the
Ethernet and RS-232 serial port communication working together. Through real-time analysis of the first
arrive and energy information from the sensor vibration data, the monitoring system can give us the source
location and energy intensity. The system comprises a central station and a number of monitoring stations
which are spread out in the monitored area and constituted LAN, using Ethernet. In the system, RS-232
will be responsible for the real-time transmitting of the second pulse signal from the GPS module, to each
of the distributed real-time vibration monitoring stations. Then by Ethernet the monitoring stations pro-
vide and send sampling data of the vibration signal and GPS pulse signal to the central station. Then the
central station will synchronise the vibration data from all the monitoring stations, based on pulse signals,
and finally locate the vibration source and calculate the vibration energy. The system uses a simple appa-
ratus to meet the application requirements. The system is reliable and has good applicability.

Keywords: vibration monitoring; RS-232; GPS second pulse

1 INTRODUCTION some areas such as inside a mine or seriously covered

Vibration monitoring system is a kind of widely
used digital system with a combination of digital
communications, sensors and other embedded sys-
tems technology. In some applications, the real-
time calculation of vibration location and energy is
required. The general method is to work within the
monitored area to be dispersed, in a certain number
of laid (at least 4) vibration monitoring stations
(or monitor), with each monitoring station being
responsible for the analog to digital conversion of
the vibration sensor and real-time transmission to
the central station, which is responsible for stor-
ing and processing data. The pre-requisites of data
solver are: vibration data from each distributed col-
lection stations is acquired in strict time synchronisa-
tion, the error should be less than half the sampling
rate, such as when the sampling rate is 4 K and syn-
chronisation accuracy should be more than 125 us.
The cause for data collection not synchronized gen-
erally includes two things: time is not synchronised
between different distributed systems and Ethernet is
not fixed for time delay. A variety of methods can be
used to synchronise data collection, such as the use
of a high-precision clock and time server; in addition
GPS synchronisation is a frequently used synchroni-
sation method. GPS synchronisation is fantastic in
ground. By considering the system cost and it’s flex-
ibility in use, we want to design a new kind of moni-
toring system in which the connection is between the
division vibration monitoring stations and the cen-
tral station is LAN—and the collection data of every
vibration monitoring station is strictly synchronised.
The traditional LAN network synchronisation
method is generally by 1588 agreement, which will
need higher requirements for the system hardware
and software, and the implementation is more com-
plex. Compared with Ethernet, RS-232 is a kind of
low grade serial communication with a small and
fixed delay. In this system a TCP/IP is used for the
communication between the central station and
the distributed monitoring, which completes the
entire control and vibration data backhaul. At the
same time, due to the current embedded systems
which are usually backed with perfect Ethernet
supportability, this system is easy to develop.
2 THE STRUCTURAL DESIGN
OF MONITORING SYSTEM
2.1 The topological structure
The schematic structure diagram of the vibration
monitoring system is shown in Figure1. Part is

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Figure  1. Vibration monitoring system topology
diagram.
a central station which is responsible for control-
ling the entire system, including the recovery and
storage of data, and data demodulation comput-
ing work. Part is a fiber optical Ethernet switch,
responsible for the Ethernet connection between
the central station and the distributed monitoring
stations. Part is the GPS timing module, which
comprise a GPS antenna and a GPS receiver.
The timing module can output second pulse sig-
nals and timing information through a serial port.
When you first start the time module, four or more
satellites signals are needed to receive to complete
positioning and timing; after the positioning is
completed, even if only one GPS satellite signals
can be received, the timing can work properly.
Part is a serial port to fiber conversion module,
which is responsible for translating the GPS sig-
nals from the electrical type to optical type. Part
is a light switch. When the distributed monitoring
station and central station need to be connected in
parallel, part is needed to divide the second pulse
optical signal from part into multiple access for
each monitoring station. Part and part rep-
resent the distributed monitoring stations and
three-component geophone connected which are
connected to the monitoring stations.
The optical cable which is used to connect each
monitoring station should have at least three cores,
one pair for Ethernet, one for RS232 transmission.
It should be noted that, unlike the conventional
optical communication port, in the present system,
RS-232 communication is only responsible for
sending the PPS signal from the GPS module to
each monitoring station. Each monitoring station
is without signal returns, so a one-way transmis-
sion fiber optic cable is sufficient.
Although GPS is used in the monitoring system
described herein, the timing information output
378
CMEEE_book.indb 378
from the GPS module is not present in any network
node in the system. All distributed monitoring sta-
tions and the host system use the original RTC time,
only high-precision GPS module second pulse signal
is used to synchronise vibration signals between the
various distributed monitoring stations. According
to the working principle of the monitoring system,
the exact time of occurrence of the vibration is not
required. For the solution of the vibration position
information calculation, as long as the vibration
data in the data solver using various monitoring sta-
tions are relatively synchronised (synchronisation
accuracy less than the sampling rate) to each other
can be calculated by the exact spatial position of a
vibration point. The time of vibration is defined by
the system time in the central station.
2.2 Design of distributed monitoring station
Figure 2 is a schematic diagram of the structure of
distributed monitoring station; CM is the control
unit of distributed monitoring station, using AM9
as the core control chip, with a high frequency, high
processing speed, low power consumption, and
perfect Ethernet supportability. The AD module
is an analog-digital conversion collection module
with a four-channel data acquisition, each station
using four Cirrus Logic’s CS5373 chip; with high
collecting precision, maximum sampling rate can
be up to 4 K. FPGA is also used to be responsible
logic timing control and data processing functions
of AD conversion. When the monitoring stations
work, the first three AD channels are connected
with three-component sensors responsible for col-
lecting the vibration signals on the Z, X, Y three
directions. The fourth channel is used to connect
the serial port signal output via FOM2  module;
its output signal is a 1PPS pulse signal of seconds.
In every serial-fiber conversion module FOM2 of
each distributed monitoring station the input and
output terminals were short-circuited; the output
Figure 2. Distributed monitoring station structure.
3/20/2015 4:15:38 PM
 distribution of fiber access the next station, used
as an input. The power module supply power man-
agement for other modules provides digital 3.3 V,
5 V, and 2.5 V analog power supply and is with a
12 V DC power input terminal.
During the test, the GPS module pulse signals,
simultaneously, access to two channels in one dis-
tributed monitoring station, a direct input, and
another channel, through two serial photoelectric
conversion modules and cable transmission. Two
pulse rise times of the signal to start at the acqui-
sition beginning have a difference of one sample
point (2.5  K sampling). After being collected for
24  hours, the error will generally accumulate to
three sampling points, but the delay and the cumu-
lative is all consistent for every distribution station.
So, after we complete the data aligning accord-
ing to the PPS signal’s pulse rising edge the col-
lected three components vibration data are time
synchronised.
It should be noted that the delay of Ethernet is
far less than 1 s, that is, it can be controlled within a
second pulse signal. Therefore, the second pulse sig-
nal can be used to time corrected. After powering Figure 3. The actual collection data.
on each distribution station the host system releases
the Ethernet command to detect the connection
status with the distribution stations and after that excited vibration using a hammer around station
determine the connection is normal, and then start one, is shown in Figure 3. A total of 16 channels,
sending commands to start AD and return col- which 4, 8, 12, 16 channels are for GPS pulse sig-
lecting data. This gives an additional advantage of nals. Figure 3 is the data conducted after the syn-
using the methods described herein RS232 assist- chronisation correction according to the second
ant pulse signal synchronised with the vibration pulse. From the three-component vibration sensor
data for all the distributed monitoring station does sampling data of the four distribution stations,
not need to add additional time information. Of the vibration reaches chronological order in line
course, this requires two premises as a guarantee. with the position of the distribution relationship.
First, the sample data of four channels in every dis- The experimental data were repeatedly hammering
tributed monitoring station is strictly synchronized. processed, after system solver, the vibration point
Secondly, each distributed monitoring station will position and measured position have an error less
send sampling data packets to the central station in than 2 meters. This shows that when performed the
the period of the same second pulse. real time vibration data acquisition and synchroni-
zation methods described herein method proved to
be accurate and reliable.
3 PRACTICAL EFFECT ANALYSIS

We did an actual data acquisition experiment using 4 CONCLUSIONS

a central station and four distribution stations.
Four distribution stations are serially connected
using a fiber optic cable which has four cores,
two for Ethernet connections with the central sta-
tion through the fiber optic switch. One fiber core
which is used to receive GPS pulse signal from
RS-232 serial is connected to the GPS timing mod-
ule through the serial-fiber converter. The moni-
toring area is a cement ground with 40 multiplied
by 40 meters. Four monitoring stations are located
in the four corners of the monitored area. Surface
vibration propagation velocity is about 300 meters
per second. The acquired sample data from the
By using low-cost and simple Ethernet equipment
and method we can complete the real-time vibration
data transmission and high-precision time synchro-
nisation. Unlike ordinary GPS timing in distributed
systems, in our system the GPS signal is only given
by the central station. That is as long as the central
station has a normal function of GPS timing, the
entire system can complete time synchronisation.
Compared with other timing synchronisation
method such as the time server and other high-
precision clock, data synchronisation method
described herein has the most simple structure and

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 is the least expensive. It is quicker in some local
area network system, particularly with the use of
fiber-optic connections in a LAN system with a
complete layout of the monitoring system. Optical
cable with more than three cores can be used to
complete the connection of the system.
Next we can try to add the second pulse signal
to the normal vibration acquisition channel, and
then only three channels are necessary in every
monitoring station. Equipment cost and the power
consumption can be further reduced.
ACKNOWLEDGEMENTS
This work is supported by the Chinese National
863 Program (2012AA061102) and by R&D of
Key Instruments and Technologies for Deep
Resources Prospecting (the National R&D
380
CMEEE_book.indb 380
Projects for Key Scientific Instruments), Grant
No. ZDYZ2012-1-06-03.
REFERENCES
[1] B.M. Gurbuz. Upsweep Signals With high Frequency
Attenuation and Their use in the Construction of
Vibroseis Synthetic Seismograms. Geophysical Pros-
pecting 1982, Vol. 30: p432–443.
[2] Lee, Kyung Chang, Lee, Suk. Performance evaluation
of switched Ethernet for real-time industrial commu-
nications. Computer Standards and Interfaces, 2002,
24(5): p411–423.
[3] Decotignie, Jean-Dominique. Ethernet-based real-
time and industrial communications. Proceedings of
the IEEE, Industrial Communication Systems 2005,
93(6): p1102–1117.
[4] Hopler, Robert B. A history of the development of ins-
truments for measuring vibrations of the earth part 4.
Journal of Explosives Engineering, 2006, (1): p38.
3/20/2015 4:15:39 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Study on the transient voltage stability of distribution systems

considering large-scaled dispersed EV charging

Y.X. Chen & Z.J. Chi

Beijing Power Test Research Institute, Beijing, China

P.W. Zheng & X.N. Lin

Huazhong University of Science and Technology, Wuhan, China

ABSTRACT: As an increasing amount of Electric Vehicles (EVs) are connecting to a power distribu-
tion system via charging devices, the load of power system will become heavier and more unpredictable.
This may lead to serious risk for the security and stability of the system’s operation. In this paper, the
quantitative influence that EV charging loads may bring to the transient voltage stability of distribution
system is studied. It also analyses the security and stability status of power system integrated with large-
scaled EV loads. In order to indicate the margin of transient voltage stability of distribution network, an
index is proposed. This index is represented by a relative value of slip, considering the torque-slip property
of induction motor load. Furthermore, simulation analysis and calculations are carried out to study the
transient voltage instability condition, focused on the dispersed charging scenario of large-scaled EVs.
The result shows that the index proposed is capable of reflecting the profound effect of large-scaled EV
loads on the transient voltage security of distribution network.

Keywords: electric vehicle; dispersed charging; transient voltage stability margin; voltage slip

1 INTRODUCTION growth in charging loads and the influence on the

With the reducing of primary energy sources such
as fossil energy, expending the usage scope of a
secondary energy such as electric power will be put
on agenda. Thus, as a significant element of it, the
popularisation of the electric vehicle is attracting
great attention. Using new energy automobiles to
replace the fuel consumption and traditional vehi-
cles, and replacing fossil fuels by electrical energy,
are the only long-term solution to the future traf-
fic situation. Large-scaled charging stations are
needed in order to meet the wide spread of electric
vehicles. However, the result of [1–2] shows that an
EV charging station is a typical power electronic
device of a large power base and high current,
which could bring profound influence to the stabil-
ity of the transient voltage of the power system.
For the distribution network which contains much
induction motor load, the connection of large-
scaled EVs will lead to different degrees of effects
to the transient voltage stability of distribution
network based on the location, the capacity and
the pattern of grid-connecting.
Current studies of the security and stability of
the power system with which electric vehicles are
connected, mainly focus on the influence on the
generating capacity configuration due to massive
voltage, loss, harmonic waves and load unbalance
of power grid. Hotspots also lie in the assistant
services that EVs can offer to the operation of a
power system such as reactive compensation, load
support, spinning reserve and frequency regulation
etc. [3–5] In view of this, considering dynamic loads
represented by different connecting proportions of
induction motors, slip margin of induction motor
load is used to reflect the transient stability mar-
gin. Then transient voltage stability of distribution
network under different scenarios can be studied.
By constructing the typical model of distribution
network and the charging model of EV loads, the
quantitative effect on the transient voltage stability
of distribution network brought by dispersed EV
charging loads of different penetrations, are thor-
oughly examined.
2 ANALYSIS OF ELECTRIC VEHICLE
CHARGING SCENARIO
AND CHARGING MODEL
2.1 Electric vehicle charging scenario analysis
There are three types of electric vehicle charging
modes, i.e. conventional charging mode, quick
charging mode and battery swapping mode.

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 valley time; beneficial for management

achievable; reducing car cost; facilitate

According to their usages and requirements, dif-

Relatively low; charging at valley time is

is achievable; difficult to manage and
ferent modes are adopted for the corresponding

Relatively low; charging at valley time

Relatively high; difficult to charge at

vehicles. For private cars, company and institution
vehicles, conventional charging mode is gener-

unified battery management,

Charging and operating costs

maintenance and recycling

ally adopted. As to buses and taxis, quick charg-
ing mode or battery swapping mode are more
appropriate. The corresponding equipment for the
charging modes mentioned above are a household

and maintenance
DC charging spot, charging stations and battery
swap station respectively. Comparison for the three

maintain
kinds of infrastructures are shown in Table 1.
The focus of this research is on the analysis of
transient voltage instability of distribution net-
work under dispersed charging scenario. In this
scenario, a penetration rate ρ is used to produce

charging pile (5 kw)

EV charging load value for each load bus by multi-

Relatively low; about

determined by the

Very high, about ten

construction scale
plying ρ with the active power of the original load

million RMB for

Construction costs

¥20,000 for one

buses and allocating the product to each bus of the

Relatively high;

one station
distribution network.

2.2 EV charging model analysis

As with the specific battery charging process, the
strategy generally adopted nowadays is the so-

Private cars; company

called constant current-constant voltage two-stage
charging. In the first stage when battery State of

and institution

Buses, taxis and

Buses, taxis and

Charge (SOC) is relatively low, a constant cur-

private cars

private cars
rent charging method is selected. Later on, when
Target user

the battery voltage reaches the maximum allow- vehicles

able value, it changes to constant voltage charg-
Comparison of charging spot, charging station and battery swap station.

ing method to avoid damage to the battery due to

over-current. The charging power and charging
Charging duration

duration required for the first stage was far greater

About 30 minutes

than the second one. Therefore, the constant cur-

5–10 minutes

rent charging stage is the only consideration in this

6–10 hours

paper when analysing the effect of charging facili-

ties on the transient voltage stability of distribu-
tion network.

2.2.1 Battery model

Suitable construction

Research shows that the most commonly adopted

residential areas

City center; along

Traffic-intensive

vehicle battery models are the internal resistance

areas; along

model, Thevenin model, fourth-order model,

Parking lots;

highways

highways

PNGV model, GNL model and so on. The

occasions

Thevenin model concerned both the capacitive and

resistance characteristic of the battery. It’s the most
representative battery model which can describe the
complete transient characteristics [6]. The Thevenin
centralized

centralized
Large-scaled

Large-scaled

model is presented in Figure  1, where the ideal

charging

charging

charging
Dispersed

voltage source Uoc is the open circuit voltage of bat-

Type of
service

tery and RTo is the internal resistance. The parallel

capacitor CTp and resistance RTp externalize the
transient characteristics of battery.
infrastructure

Battery swap

2.2.2 Main circuit structure and control

Charging

Charging

Charging
station

station
Table 1.

strategy of the charger

spot

With the development of PWM rectifier technology,

the bidirectional converter which utilizes IGBT as

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 the Total Harmonic Distortion (THD) of grid-
connected current for charging facility should be
less than 1%, which is fully considered in the simu-
lation afterwards.

3 TRANSIENT VOLTAGE STABILITY

MARGIN INDEX OF DISTRIBUTION
NETWORK CONSIDERING THE
EFFECT OF INDUCTION MOTORS

Existing research [7–10] determines the short-term

Figure 1. Thevenin model of battery. large disturbance voltage stability of power system
by analysing the dynamic stabilisation of induc-
tion motor loads after the disturbance. According
to literature [9] in which an analytical assessment
approach for the transient voltage stability of a
load bus is proposed, the critical clearing time tc
is adopted to reflect the transient voltage stability
degree of the load bus containing induction motors.
The analytical calculation formula is as follows:

Sdec 2 H ( sc − s ) − Sdec
tcm tc − = (1)
Tm Tm Tm

where 2H is the inertia time constant of the induc-

Figure 2. Electrical schematic of the EV charger. tion motor; s0 and sc means the initial slip and the
critical slip respectively; Sdec represents the decel-
eration area after fault is cleared and Tm indicates
the load torque.
Taking into account the indication role of the
critical slip sc, i.e. the unstable slip under small
disturbance, on transient voltage stability degree,
a margin index η for transient voltage stability is
proposed in this paper:

scm − smax
η= (2)
scm

Figure 3. Schematic diagram of charger control.

the main power device can not only achieve conver-

sion under unity power factor but also has excellent
control of the waveform of grid-connected current.
Meanwhile, four-quadrant operating is achievable
as well. So recently it has gradually started taking
the place of traditional phase-control rectifiers.
The electrical schematic of the EV charger adopted
in this paper is shown in Figure 2.
A coordinated control strategy by combining
AC-DC unit control with DC-DC unit control,
which ensures the constant DC bus voltage and
the constant battery current separately, is selected
to achieve a stable recharging process for EV bat-
teries, as shown in Figure 3. According to the code
requirements by national standard GB 19939-2005, Figure 4. Torque-slip curves of the general motor model.

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 where scm is the corresponding critical slip at the
time epoch when terminal voltage reaches its mini-
mum [11] after the fault is removed. smax is the max-
imum slip after the clearance of the fault and it can
be obtained by time-domain simulation.
4 SIMULATION AND ANALYSIS
OF THE IMPACT OF LARGE-SCALED
EV DISPERSED CHARGING
ON TRANSIENT VOLTAGE STABILITY
IN DISTRIBUTION SYSTEM
4.1 Simulation configuration
As is shown in Figure 5, a 14 node distribution net-
work system model [12] is built based on the plat-
form of Simpower system in Matlab/Simulink. For
the full consideration of the potential influences
of different connection penetration of EVs on the
transient voltage stability of distribution network,
a large disturbance of three-phase short circuit
fault is set to occur at point A1 in this paper.
First of all, EV charging penetration ρ is
defined as:
Pev
ρ= (3)
PL
where PL is the active power of each load bus
and Pev is the active power of EV load connected.
So, based on the inherent load of each node PL,
the active and reactive power of EV load Pev and
Qev can be calculated according to the power fac-
tor PF. The charging power of each EV is set as
180  kW, and the power factor of charger is 0.95
for simulation.
Then, based on the aforementioned EV charg-
ing model, an assembly charging model is estab-
lished and connected to the distribution power
system. Meanwhile, by utilizing the transient volt-
age stability margin index η considering induction
motor load, the quantified influence of EV load
connection on transient voltage stability margin of
the distribution system can be calculated.
4.2 Simulation results
When EVs are not connected and the fault is set
to occur at 2.0 s, it is discovered by time domain
simulation that node N8 of the distribution net-
work is the first load bus to lose stability at 2.1035 s.
Therefore, node N8 is the most stability-vulnerable
load bus. In the following discussion, node N8 will
be regarded as the reference node which can meas-
ure the transient voltage stability of the entire dis-
tribution network.
When considering a dispersed charging scenario
where EV load penetration ρ = 10%, the simulation
is carried out with the fault occurring at 2  s and
cleared at 2.08 s. Results are listed in Table 3 where
the maximum slip Smax of each node of the distri-
bution system, the calculated unstable slip greater
value Scm and the transient voltage stability margin
index η are included.
It can be seen that node N8 and N9 are more
likely to lose stability. Comparing it to the situation

Table 2. Load parameters of distribution network.

Branch
number I II III

Commercial Industrial Residential

Load type load load load

Proportion of comprehensive load

Static load 35% 25% 50%
Induction 65% 75% 50%
motor load
Parameters of induction motor loads
H 1.5 3.2 4.7
s0 0.0113 0.0050 0.0076
Rs 0.035 0.029 0.064
Xs 0.094 0.067 0.137
Xm 2.8 3.8 3.0
Rr 0.048 0.009 0.059
Xr 0.163 0.17 0.167
Figure 5. 14 node distribution network.

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 Table  3. Transient voltage stability margin EV charging scenarios, the evolution of transient
index of each node at 2.08  s when EV load voltage stability margin is shown in Figure 7.
penetration ρ = 10%.

Node
number Smax Scm η
5 CONCLUSION

1 – – – As can be seen from the simulation results, with

2 0.0470 0.237 0.802 the increase of EV load capacity connected, the
3 0.0628 0.0893 0.297 change of transient voltage stability margin index
4 0.0236 0.310 0.923 of industrial load branch II which contains node
5 0.0453 0.253 0.821 3, 8, 9, 10 and 11 is the most obvious. The access
6 0.0685 0.293 0.766 of large-scaled EV load will bring challenges to
7 0.0352 0.464 0.924 the transient voltage security of the dynamic load
8 0.0717 0.0797 0.101 which is of high power value and load rate in
9 0.0677 0.0825 0.179 industrial loads. The change of commercial load
10 0.0527 0.103 0.488 branch I which contains node 2, 5, 6 and 7 is rela-
11 0.0335 0.381 0.912 tively insignificant compared to branch II and the
12 0.0233 0.316 0.926 change of residential load branch III which con-
13 0.0235 0.297 0.921 tains node 4, 12, 13 and 14 is the smallest. Further
14 0.0281 0.225 0.875 simulation reveals that when 30% penetration
rate of EV dispersed charging load is connected
to the test distribution system, after the large dis-
turbance of fault occurring in 2  s and cleared at
2.08 s, node N9 will lose its stability.
This paper analyzes different EVs charging sce-
narios and simulates focusing on dispersed charging
mode. According to the transient voltage stabil-
ity margin index considering the effect of induc-
tion motor in distribution network, the impact
of various penetrations large-scaled EV dispersed
charging on transient voltage stability of distribu-
Figure  6. Slip change tendency of node N8 with EV tion system is quantified. Result shows that the
load connected. access of large-scaled EV loads will bring profound
impact and challenge to the transient voltage secu-
rity of the power distribution system, especially to
the feeder with high dynamic load components.

REFERENCES

[1] Schneider K., Gerkensmeyer C., Kintner-Meyer M.,

Figure 7. Comparison of transient voltage stability mar-
gin index under different dispersed charging scenarios.
without EV load, transient voltage stability margin
of node N8 and N9 is calculated to decrease by
49% and 58% respectively. The slip s change of the
induction motor load for node N8 with and with-
out EV load connection are shown in Figure 6.
Moreover, when considering the dispersed charg-
ing scenario where EV load penetration ρ  =  20%,
transient voltage stability margin index of each node
can be calculated similarly. By comparing different
et  al. Impact assessment of plug-in hybrid vehicles
on pacific northwest distribution systems [C]//Power
and Energy Society General Meeting-Conversion
and Delivery of Electrical Energy in the 21st Century,
2008 IEEE. IEEE, 2008:1–6.
[2] H.U. Zechun, Song Yonghua, X.U. Zhiwei, et  al.
Impacts and Utilization of Electric Vehicles Inte-
gration Into Power Systems [J]. Proceedings of the
CSEE. 2012. 32(4):1–10.
[3] Tomić J., Kempton W. Using fleets of electric-drive
vehicles for grid support [J]. Journal of Power Sources.
2007. 168(2): 459–468.
[4] Ota Y., Taniguchi H., Nakajima T., et  al. Autono-
mous distributed V2G (vehicle-to-grid) satisfying
scheduled charging [J]. Smart Grid. IEEE Transac-
tions on. 2012. 3(1):559–564.
[5] Kempton W., Tomić J. Vehicle-to-grid power fun-
damentals: calculating capacity and net revenue [J].
Journal of Power Sources. 2005. 144(1):268–279.

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 [6] Chen M., Rincon-Mora G.A. Accurate electrical
battery model capable of predicting runtime and IV
performance [J]. Energy conversion, IEEE Trans on,
2006. 21(2):504–511.
[7] Sun Huadong, Zhou Xiaoxin, L.I. Ruomei. Influence
of Induction Motor Load Parameters on Power Sys-
tem Transient Voltage Stability [J]. Power System
Technology, 2005. 29(23):1–5.
[8] Zhao Bing, Tang Yong. Dynamic Characteristics
Analysis of Induction Motor Loads [J]. Proceedings
of the CSEE, 2009. 29(7):1–5.
[9] L.I. Lili, L.U. Chao, C.K. Wong. Analytical Assess-
ment of Transient Voltage Stability of Load Bus
Considering Induction Motors. Automation of Elec-
tric Power Systems [J], 2009. 33(7):1–5.
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[10] Xu Taishan, Xue Yusheng, Han Zhenxiang.
Quantitative Analysis for Transient Voltage Insta-
bility Caused by Induction Motors. Automation of
Electric Power Systems [J], 1996. 20(6):12–15.
[11] Yunus K., De La Parra H.Z., Reza M. Distribution
grid impact of Plug-In Electric Vehicles charging
at fast charging stations using stochastic charg-
ing model [C]//Power Electronics and Applications
(EPE 2011), Proceedings of the 2011-14th European
Conference on. IEEE, 2011:1–11.
[12] S. Civanlar, J.J. Grainger, H. Yin, et  al. Distribu-
tion Feeder Reconfiguration for Loss Reduction [J].
IEEE Transactions on Power Delivery. 1988. 3(3):
1217–1223.
3/20/2015 4:15:41 PM
 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Fault diagnosis and failure rate analysis of power transformer based on

cloud relation space model

Li-Juan Guo & Song-Mei Tao

Electric Power Research Institute, Guangxi Power Grid Corporation, Nanning, China

ABSTRACT: In order to solve the problem of randomness and fuzziness in the sample of power trans-
former fault diagnosis and failure rate analysis, a new fault diagnosis and failure rate analysis method
for power transformer, based on a cloud relation space model, is proposed. By using a cloud generator
to analyse total dissolved gas content and percentage of dissolved gas in transformer oil, building cloud
combination, and getting a new cloud fault diagnosis model by establishing the relation space between the
fault type and cloud combination. Failure rate can be deduced by analysis of the relation space. The result
of the research proves the effectiveness and reliability of this method.

Keywords: power transformer; fault diagnosis; failure rate; cloud model; relation space

1 INTRODUCTION done by establishing relation space between the fault

Power transformers are important equipment in
power systems. Any fault in the power transformer
may lead to the interruption of the power supply. So
it is of vital importance to detect the incipient fault
of the transformer as early as possible. Diagnosis
of potential faults concealed inside power trans-
formers is the key of ensuring stable electrical
power supply to consumers. Conditioned monitor-
ing and software-based diagnosis tools are central
to the implementation of efficient maintenance
management strategies for many engineering appli-
cations, including power transformers. Dissolved
Gas Analysis (DGA) has been widely recognized as
an effective diagnostic technique for power trans-
former faults detection. In the past years, various
fault diagnosis techniques have been proposed. But
these methods only consider the fuzziness of date,
ignoring the randomness of date. The traditional
cloud model can be better for taking the fuzzi-
ness and randomness into account, but is lacking
the diagnostic capacity to normal samples and the
study about the relationship among samples.
This paper presents a new transformer fault diag-
nosis method based on the cloud model. The sample
data of dissolved gas in transformer (H2, CH4, C2H6,
C2H4 and C2H2) can be transformed into percentage
of each gas and total dissolved gas content. Then,
the sample was transformed into multiple qualitative
cloud concepts through the cloud model. Simplifying
the database by determining the dissolved gas sample
data belongs to their corresponding cloud concepts.
Building cloud combination, and getting the cloud
fault diagnosis and failure rate analysis model can be
type and cloud combination.
2 DATA ANALYSIS BASED
UPON CLOUD THEORY
2.1 Cloud theory
Cloud theory merges fuzziness and randomness
values expressed by natural language, and consti-
tutes the relationship between the qualitative and
quantitative. The Cloud model is based on two
theories—probability theory and fuzzy set theory.
And it portrays a unified concept of random-
ness, fuzziness and relevance, through a specific
algorithm for constructing. Cloud theory is an
uncertainty transformation model between quali-
tative concepts and quantitative values. The Cloud
model consists of three digital characteristics:
expectations, entropy, super entropy. Expectations
(Ex) indicates the cloud distribution center; Entropy
(En) describes the fuzziness of the concept. Super
entropy (He) reflects the uncertainty of the Cloud.
2.2 Data analysis
At first, pre-process the date of fault transformer
oil dissolved gas.
hi
Hi = (1)
hmax
gij
Gij = (2)
hi

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 where Hi is value of total dissolved gas after nor-
malized, hi is value of total dissolved gas before
normalized, hmax is the maximum value of each gas.
Gij is percentage of gas j in sample i, gij is the exact
value. Then the sample i can be expressed as (Hi,
Gi1, ……Gi5).
Analysis of the frequency distribution of five
kinds of gases and total dissolved gas content.
Figure 1 is frequency distribution of total dissolved
gas, Figure 2 is frequency distribution of C2H4%.
Then, this paper uses the cloud transforma-
tion algorithm based on the peak of the cloud to
processing the frequency curve. The algorithm can
extract the cloud concept distribution form the
sample data.
⎧ n
⎪ f x ) → ∑ (ai * c( Exi , Ennii , H ei ));
⎪ i =1
⎨ n
⎪0 < f x x)) − ∑ (ai * c( Exi , Eni , H eiei )) < ε
⎪
⎩ i =1
where f(x) is frequency distribution function,
ai is amplitude, c(Exi, Eni, Eri) is a cloud after
Figure 1. Frequency distribution of the dissolved gas.
Figure 2. Frequency distribution of C2H4%.
CMEEE_book.indb 388
transformation, n is the number of the cloud, ε is
the maximum error in the transformation process.
The local maximum points of the frequency distri-
bution are center of date, and their position are the
expectations in this paper.
Using this method to analyse C2H4% and total
gas. The specific algorithm is as follows:
1. Find each peak point in Figure 1 and Figure 2,
and define the coordinate values as Exi.
2. Calculate Eni of each cloud model, and calcu-
late probability density function of each cloud
y functi
( Exi )2 / ( Eni )2
model fi x ) = e −(x
(x
. The results are
shown in Figure 3 and Figure 4.
3. Calculate Hei of each cloud model by reverse
cloud algorithm. Then, the cloud model is rep-
resented as C(Exi, Eni, Hei). The cloud model of
H2%, CH4%, C2H2% and C2H6% can bededuce-
din the same way.
(3) According to the Figure  3 and Figure  4, parts
of the cloud model are too close, and some cloud
models are covered by each other. The duplication
and unnecessary of cloud model can cause much
Figure  3. Superposition of gas curves of the cloud
models after cloud transformation.
Figure 4. Superposition of C2H4% curves of the cloud
models after cloud transformation.
388
3/20/2015 4:15:42 PM
 hardship in data partitioning. So, simplifying the μik = {μiCCX μiCX μiCCX μiCX μiCCX μiCX } (5)
state space is necessary.
Considering the peak of cloud model and
where μik is correlation of each elements of train-
human cognitive characteristics, this paper uses
ing sample i and the cloud combination k. For
the cloud merging algorithm to merge some cloud
example, μiCx2 is correlation of H2% in sample i
models when the distance is too close. For C2H4%,
and cloud Cx2.
the number of cloud models becomes 4 from 9 by
using the cloud merging algorithm. ( i1 − ExCx 2 )
2
−
Analysis of the cloud model of H2%, CH4%, 2

C2H2%, C2H6% and total gas by the same algorithm. μiCCX 2 = e 2 EnCx 2
(6)
The final cloud model is show in Table 1.
where gi1 is H2%, ExCx2 is expectation of cloud of
Cx2, EnCx2 is entropy of Cx2.
2.3 Relation space Partial relation space of cloud combination
Use 500 samples (x1, y1), (x2, y2)……(x500, y500) as to fault diagnosis is shown in Table  2. Such as
training samples, and yi = Y = {1,……,6} is diag- the cloud combination k(1,2,2,2,5,3) means
nostic results, Y1—Healthy, Y2—Low energy total gas cloud C1, H2% cloud C2, CH4% cloud
discharge, Y3—High energy discharge, Y4—Low C2, C2H6% cloud C2, C2H4% cloud C5, C2H2%
temperature overheat, Y5—Middle temperature cloud C3.
overheat, Y6—High temperature overheat.
The training samples can be used to construct
a relation space between cloud combination and 3 FAULT DIAGNOSIS AND FAILURE
diagnostic result. RATE ANALYSIS MODEL

μkj ∑ i ( μik ) (4) Get the fault diagnosis and failure rate analysis
model by building the relation space. The correla-
yi j
tion of test sample and diagnostic results can be
where μkj is correlation of the cloud combination k deduced by the relation space from the cloud com-
(CX1, CX2, CX3, CX4, CX5, CX6) and fault type j. bination to fault diagnosis.

Table 1. Ex and En of cloud models.

H H2% CH4% C2H6% C2H4% C2H2%

Ex En Ex En Ex En Ex En Ex En Ex En

0.01316 0.06580 0.05170 0.06400 0.02190 0.043015 0.01360 0.0169 0 0.02105 0 0.004564
0.15000 0.03197 0.28100 0.08180 0.15000 0.054600 0.06365 0.01604 0.08000 0.04881 0.01200 0.002960
0.30535 0.08271 0.53487 0.06814 0.25979 0.035105 0.12648 0.01732 0.26365 0.07854 0.02188 0.003044
0.5000 0.02866 0.93803 0.06525 0.3500 0.03199 0.19480 0.02646 0.52212 0.06510 0.03382 0.005068
0.77091 0.14079 \ \ 0.47229 0.09358 \ \ 0.71798 0.04859 0.04956 0.005754
\ \ \ \ 0.08656 0.007279

Table 2. Partly relation space of cloud combination to fault diagnosis.

Cloud Low energy High energy Low temperature Middle temperature High temperature
combination Healthy discharge discharge overheat overheat overheat

(1,2,2,2,5,3) 5.13E-06 4.13E-12 1.61E-13 9.64E-12 1.19E-13 4.24E-12

(1,2,2,1,3,1) 1.44E-09 9.52E-07 3.86E-10 1.13E-08 4.88E-09 1.20E-09
(2,3,1,2,3,4) 2.58E-08 5.72E-11 2.22E-04 7.83E-09 6.17E-10 1.61E-16
(5,2,1,4,1,3) 4.21E-09 8.08E-09 3.86E-10 2.42E-06 6.10E-07 9.39E-07
(3,3,5,3,3,1) 2.85E-08 4.55E-09 3.83E-10 6.83E-08 2.50E-07 2.58E-10
(5,1,5,2,5,3) 1.36E-09 4.13E-12 1.61E-13 9.64E-12 1.19E-13 1.17E-05
(5,1,3,3,5,4) 1.13E-10 2.73E-10 5.91E-08 1.51E-06 3.85E-06 2.81E-04

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 Table 3. Test samples.

Gas contents Probability

True
H2 CH4 C2H6 C2H4 C2H2 Y1% Y2% Y3% Y4% Y5% Y6% state

80.6 8.9 5.3 4.7 0.3 89.9528 0.32150 8.30375 0.00332 0.00958 1.40899 1
23.7 1.9 0 1.5 0 99.3332 0.00232 0.06833 0.00018 0.00178 0.59414 1
14.67 3.68 10.54 2.71 0.2 94.4253 0.74125 3.55581 0.83350 0.01025 0.43387 1
85 26 17 17 48 0.03157 73.0326 26.6473 0 0.28838 0.00005 2
44.09 13.64 2.64 20.89 20.21 2.06768 68.9153 17.5222 4.95468 1.47632 5.06377 2
57 13 0.1 11 12 0.09754 2.88564 78.5044 0.00577 0.01009 18.4964 3
293 50 13 115 120 1.20438 1.01794 93.0368 0.17571 0.00664 4.55849 3
20.9 10.5 11.5 18.1 1.4 2.73044 0.02466 5.70288 55.0442 32.2722 4.22556 4
150 130 35 95 0 0.45383 0.05263 0.42264 65.9439 19.9351 13.1918 4
49.2 33.2 15 49.9 1.4 0.74336 2.05240 0.04778 25.1438 66.4104 5.60215 5
247.7 148.7 78.7 192.7 0.9 0.32329 0.46642 0.28596 2.46449 65.9537 30.5061 5
147.2 20.7 10.9 76 6 0.00073 0.00036 0.05918 0.64174 1.53037 97.7675 6
45.3 32.4 14.8 97.1 6 0.00099 0.00087 0.08338 0.58703 1.18005 98.1476 6

f( )= ∑ μk μkkj (7) This model have a high accuracy, and intuitive

result representation.
y yj

Then, normalized all the correlation.

fi x )
pi = 6
i = 1, 2, ..., 6
∑ fi x )
i =1
where Pi is the probability to state i (Healthy, Low
energy discharge, High energy discharge, Low tem-
perature overheat, Middle temperature overheat,
High temperature overheat). The possibility of
healthy is P1.
4 EXAMPLE
This paper analysed 500 training samples, and uses
13 samples to test the cloud relation space model.
The test results are shown in Table  3. For most
of samples, diagnostic accuracy rate was close to
100%. Partly results are ambiguous, but the prob-
ability to true state is more than 50%.
5 CONCLUSIONS
The data of dissolved gas in transformer is trans-
formed into multiple qualitative cloud concepts
through the cloud model, which is consistent with
human’s cognition better. And the problem of data
partitioning at the boundary is effectively solved.
Cloud model can keep the multiplicity of data.
REFERENCES
(8) Sun Caixin, Chen Weigen, LI Jian. 2004. The fault diag-
nosis technology and electrical equipment online
monitoring gas in the oil. BEI JING: Science Press.
Zheng Hanbo. 2012. Study on condition assessment
and intelligent fault analysis for power transformers.
Chongqing, China: Chongqing University.
Guo Yinchen, Song Qiong, FAN Xiuling. 2013.
Transformer fault diagnosis based on semi-supervised
classifying method. High Voltage Engineering. 39(5):
1096–1100.
He Zheng, He Biao. 2012. The application of cloud model
in fault diagnosis in power transformers. Journal of
Anhui Electrical Engineering Professional Technique
College, 17(1): 4–9.
Zhang Yiyi, Liao Ruijin, Yang Lijun. 2012. An assess-
ment method for insulation condition of power
transformer based upon cloud mode. Transactions of
China Electrotechnical, 27(5): 13–20.
Zhou Quan, Xu Zhi, Liao Ruijin, et al. 2013. Insulation
condition assessment of power transformer bushing
based on cloud model an kernel vector space model.
High Voltage Engineering, 39(05): 1101–1106.
Li Deyi. 2005. Uncertainty artificial intelligence. BEI
JING: China national defense press.
Zhou Quan, Sun Chao, Liao Ruijin, et  al. 2013.
Multiple Fault Diagnosis and Short-term Forecast of
Transformer Based on Cloud Theory. High Voltage
Engineering, 40(05): 1453–1460.
Li Xingsheng, Li Deyi. 2003. A new method based on
cloud model for discretization of continuous attributes
in rough sets. Pattern Recognition and Artificial
Intelligence, 16(1): 33–37.

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 Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0

Analysis on technical innovation and regional disparities growth

of China

Jun Xiong
Jiangsu Institute of Commerce, Nanjing, China

Wen-Wu Zhang
Nanjing University of Finance, Nanjing, China

ABSTRACT: Optimising distribution of innovative capitals and promoting collaborative innovation

are important ways to achieve regional coordinated development in China. Using panel data of 30 China’s
provinces during the period of 1990∼2010, this paper studies effects of innovation agglomeration on the
industrial agglomeration and economic growth.

Keywords: innovation agglomeration; local knowledge spillovers; Chinese regional disparities; regional
collaborative innovation

1 INTRODUCTION referenced the knowledge production function of

The uneven regional development of China has
increasingly become a prominent contradiction.
How to effectively reduce the development gap
between less-developed areas and developed areas
has become a pressing issue for a coordinated eco-
nomic development for China. The policy mak-
ers of less-developed regions, are more concerned
about how to achieve the regional economic
growth. Economic theorists have offered a lot of
research and many interpretations on “Economic
Growth”. From the neoclassical growth theory,
which focuses on exogenous factors of improve-
ment, to the endogenous growth theory which
emphasises on the technological progress in the
economic system, economic growth has always
been an important topic amongst economic
theorists. With the fourth revolution of monopo-
listic competition and increasing returns, and a
new perspective, spatial economics has provided a
theoretical tool and empirical method for people
to study the differences in economic growth and
spatial economy.
Compared with previous studies, this paper
tries to make some extensions from the follow-
ing aspects: 1) We used Chinese economic statis-
tics and science & technology statistics during the
period of from 1990–2010; the related indicators,
as degrees of innovation agglomeration of China’s
provincial regions and regional knowledge spillo-
ver effects, have been built and measured. Unlike
the previous studies, which chose a single indica-
tor to measure the innovation capacity, we have
Duranton and Puga (2003) and Zvi (1979). We syn-
thetically measured both the degrees of innovation
agglomeration and regional knowledge spillover
effects, from three aspects, including production,
transfer and accumulation of knowledge. Both
existing innovations that were represented by pat-
ents and knowledge diffusion factors like technol-
ogy exchange and patents transfer etc. have been
considered, while the future innovation elements
like human capital etc. have also been introduced;
2) In order to comply with China’s development
reality, this paper has taken into consideration the
cost differences of regional knowledge diffusion
and empirically analysing the impacts that both
innovation agglomeration and regional knowledge
spillover effects, have on regional economic growth;
moreover, evidence of China’s economy has been
provided as an empirical study of the spatial eco-
nomics theory from the perspectives of innovation
agglomeration and its spatial effects.
Based on the above discussion, the structure of
this paper is organised as follows: In the second
part, the econometric model will be set with a data
description. The resulting analysis of the econo-
metric model will be carried out in the third part;
and a conclusion will be given in the final.
2 METHODOLOGY
2.1 Empirical model and variables
The differences between the spatial structure of
industry and regional economic growth are the

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 results of interaction among multiple variables,
including innovation agglomeration, local knowl-
edge spillovers, etc. The result cannot be achieved
by using an ordinary linear model or through veri-
fying the impact of a single variable. Therefore, we
use the ideas and methods of Kesidou and Romijn
(2008) for reference in examining the relations
between local knowledge spillovers and the inno-
vation output of enterprises, and run the empirical
test from the industrial clusters’ aspect as well as
the economic growth aspect.
a. The econometric models of the spatial structure
of industry
We have used the model of Ellison, Glaeser and
Kerr (2008); the dependent variable is the vari-
able that reflects the characteristic of industrial
clusters, and the independent variables are the
factors with influences on industrial space that
have been focused on in this paper, which include
innovation agglomeration and local knowledge
spillovers, etc. The concrete model is:
Aggloi = α + α1kpi + α2lksi + α3iksi + θZj + ε
In the above expression, the explained vari-
able Agglo is the degree of spatial concentration
of the manufacturing industry; the explanatory
variable kp is the degree of innovation agglom-
eration; lks is the effects of local knowledge
spillovers, to measure the relevance of learning
and transfer degree within the region. In order
to observe the impact of effects of knowledge
spillovers more comprehensively, we introduce
the variables of effects of international knowl-
edge spillovers for reference and comparisons,
iks represents international knowledge spillo-
vers, the subscript i stands for regions, and ε is
error item.
b. The extended model of economic growth
The second focus of this paper is observing the
impact that the factors like innovation agglom-
eration, local knowledge spillovers, etc. have on
the regional economy. Based on the economet-
ric model of Barro (2000), which uses cross-
sectional data to study the determinants of
economic growth, our model is as follows:
dgdpi = β + β1kpi + β2lksi + β3geoim + β4lngdpi0
+ β5govi + γZj + ε
The dependent variable dgdp is the annual
growth rate of GDP per capita; the meanings
of independent variable kp and lks are the same
as in the model (a); as the impact of spatial
factors has been taken into consideration, geo
represents the geographic locations of innova-
tion where the area is, which has been presented
by the distance from this area to the nearest
392
CMEEE_book.indb 392
regional innovation central city in this paper.
The logarithm of initial level of GDP per capita
has been introduced into explanatory variable
as it was treated in the traditional literature, i.e.
ln gdp0 in the above expression, for observing
if “conditional convergence” exists in regional
economic growth. For controlling the impact
that the government intervention has on eco-
nomic growth, the government spending as a
share of GDP gov has been introduced. In this
model, the subscript i also stands for regions,
Z is regional dummy variable for innovative
zoning, and ε is error term.
2.2 Data source
In the light of data availability, the time span in
this paper is 1990–2010; the required data for
innovation agglomeration, local knowledge spillo-
vers and economic growth are mainly retrieved
from “China Statistical Yearbook on Science and
Technology” (1991–2011), “China Statistical Year-
book” (1991–2011) and “China Population &
Employment Statistical Yearbook” (1991–2011);
the data of instrumental variables is mainly from
“China Compendium Of Statistics 1949–2008”,
which takes 30 provinces and relevant items as
observation samples; the range of data is 27 prov-
inces and 3  municipalities in total. In order to
ensure the consistency and accuracy of data, we
have adjusted the inconsistent statistical data, and
use the online database of the China Economic
Information Network to supplement the missing
data, for making the data complete and reliable as
possible. Considering the impact of spatial factors,
the data such as geographic distance and areas of
some provinces and cities have been used in this
paper as well; innovation geographical distance
data has been mainly obtained through using the
distance measurement function of Google Earth
7.0  software database, and the areas of provinces
and cities are from the published land areas in the
Central People’s Government website as standards.
3 RESULT ANALYSIS
3.1 Measurement strategy
We have an empirical regression on the relations
among innovation agglomeration, knowledge spill-
overs and regional economic growth. Equation (a)
and (b) have set the basic regression models; now
the regression has been set as follows:
1. According to the data in posession, in order to
examine the robustness of the estimation results,
we use the method gradually and add control
variables into the regression equation. When
3/20/2015 4:15:45 PM
 control variables was added, if the symbol of
regression coefficient stays unchanged, even if
the statistical significance is reduced, it will still
be regarded as there’s no fundamental change in
statistical significance, and the robustness of the
results can be verified.
2. For testing the validity of instrumental vari-
ables, we separately carry out “under-identi-
fication test”, “weak identification test” and
“over-identification test”, and report the cor-
responding statistics of Anderson canonical
correlations LM statistic, Cragg-Donald Wald
F statistic and Sargan statistics with concomi-
tant probabilities, to indicate the effectiveness
of selected instrumental variables.
3.2 Results of estimation and measurement
Table  1  shows the estimation results of equation
(a) and (b) that were obtained by using ordinary
least squares with fixed effects. As can be seen from
the table, the coefficients of impact that innova-
tion agglomeration kp, local knowledge spillovers
lks have on manufacturing industrial agglomera-
tion and regional economic growth of China are
all positive, and at 5% level of significance. As
we gradually introduce control variables, though
the coefficient values vary within a certain range,
there’s no substantial change in impact symbols
and significance, which show a high robustness
of the model. Moreover, after adding the control
variables, the R-squared has increased, which has
further enhanced the explanatory result of the
equation.
In the equation of industrial agglomeration,
the impact coefficients of innovation agglomera-
tion kp and local knowledge spillovers lks are sig-
nificantly positive, which indicate that technology
innovation and knowledge spillovers are the two
important factors for promoting the spatial struc-
tures of China’s industry to agglomerate, and this
also coincided with the general rules of spatial eco-
nomic theories and economies of agglomeration.
In the equation of economic growth, innovation
agglomeration kp and local knowledge spillovers
lks also show positive effects on promoting regional

Table 1. Fixed effects OLS estimation results.

Agglo dgdp

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

** ** ** ** ** ** **
kp 1.063 1.041 0.922 0.917 2.137 1.932 1.761 1.819**
(0.092) (0.086) (0.021) (0.049) (0.106) (0.094) (0.083) (0.152)
lks 0.314** 0.262** 0.247** 0.201** 1.141** 1.066** 0.936** 0.901**
(0.044) (0.036) (0.013) (0.027) (0.031) (0.067) (0.054) (0.038)
iks 0.437** 0.381* 0.322 0.274* −0.536* −0.481 −0.358* −0.377**
(0.056) (0.042) (0.055) (0.012) (0.011) (0.108) (0.050) (0.022)
gov 0.209*** 0.197*** 0.189** 0.186**
(0.017) (0.032) (0.011) (0.014)
geo −0.113** −0.104** −0.097** −0.088**
(0.023) (0.011) (0.007) (0.009)
ln gdp 0.264* 0.203* 0.182* 0.177*
(0.039) (0.041) (0.022) (0.017)
ln FDI 0.146** 0.126*** 0.248** 0.332 0.316 0.348
(0.011) (0.024) (0.044) (0.121) (0214) (0.137)
K 0.213 0.241 0.193** 0.213**
(0.141) (0.096) (0.041) (0.034)
MARK 0.102* 0.259** 0.135** 0.149**
(0.019) (0.046) (0.028) (0.015)
φ 0.214* 0.105*
(0.047) (0.036)
ZD 0.101* −0.137*
(0.018) (0.013)
C −0.164* −0.157** −0.116** −0.093** 0.176* 0.113** 0.0.107** 0.089**
(0.031) (0.029) (0.019) (0.012) (0.062) (0.037) (0.015) (0.021)
R2 0.5163 0.5228 0.5479 0.6022 0.4974 0.5247 0.5369 0.5578
Obs 651 609 609 609 651 609 609 609

Notes: Values in brackets are standard deviations. ***, **, * separately represent that levels of statistical significance are 1%,
5% and 10%. Under the regression coefficients, data in parentheses is the standard deviation of the regression coefficients.

393

CMEEE_book.indb 393 3/20/2015 4:15:45 PM

 economic growth. To some extent, this has proved
that technology innovation and knowledge spill-
overs play important roles in local economic
growth. As local knowledge spillovers involve
inter-regional innovation diffusion and technology
dissemination, which indirectly reflect the neces-
sity that inter-regional technology sharing and
innovation collaborating have for optimising spa-
tial economic structure. It is noteworthy that, as a
comparative variable, the impact that international
knowledge spillovers has on industrial agglomera-
tion and regional economic growth show reverse
effects. The import of international technology
has promoted industrial agglomeration, but also
has divided the speed of inter-regional economic
growth. But the significance of this coefficient is
not stable in the results, and we still need to intro-
duce the instrumental variables in order to con-
firm the significance of results. Besides, the impact
that geographic innovation variable geo has on
regional economic growth is significantly negative,
which shows strong spatial differences. The coef-
ficient of variable ln gdp0 is positive which meas-
ure conditional convergence by introducing initial
GDP per capita has passed the test at 10% level
of significance. This indicates that China’s regional
economic growth had no “conditional conver-
gence” characteristics (at least during the past
years of 1990–2010). The variable of government
spending gov has a significant effect on promoting
the economic growth, which indicates that regional
economic growth largely relies on local government
investment and fiscal expenditures. To be sure, the
above coefficient symbols and significance need to
be carefully re-checked after introducing instru-
mental variables and overcoming the endogeneity.
4 CONCLUSION
While considering the characteristics of geo-
graphical limitations of China’s innovation spa-
tial agglomeration and knowledge spillovers, we
focus on the impact that innovation agglom-
eration and local knowledge spillovers has on
China’s economic space disparities. This paper
has applied cross-year provincial panel data of
China, and investigated the impact of innovation
394
CMEEE_book.indb 394
agglomeration and knowledge spillover effect
from the two aspects of industrial agglomeration
and economic growth. The results can be sum-
marized as: firstly, during the year 1990∼2010,
the significant characteristics of innovation
agglomeration existed in 31 provinces and cit-
ies of China, though agglomeration disparities
between regions are more obvious, and show the
“Matthew Effect” cycle varying in eastern, cen-
tral and western provinces; knowledge spillover
effect show obvious locality characteristics, there
are strong knowledge spillovers between adja-
cent provinces. Secondly, after using instrumental
variables to control the endogeneity, innovation
agglomeration and local knowledge spillovers
have shown a significant and steady effect on
promoting the spatial concentration of industry
and regional economic growth, which means the
higher the degree of innovation agglomeration
is, the stronger the knowledge spillover effect is,
and the higher the degree of regional industrial
agglomeration will be, the faster the speed of
economic development will be. However, the geo-
graphical agglomeration gaps and the distance-
decay of knowledge spillover effect also imply
a tendency of the increase in spatial economic
disparities. In addition, geographic locations of
innovation, government spending, foreign direct
investment, regional trade freedom and market
competition environment are the important influ-
encing factors for spatial economic structure and
regional economic growth too.
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[2] Zvi, G. (1979). Issues in Assessing the Contribu-
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[3] Kesidou, E. & Romijn, H. (2008). Do Local Knowl-
edge Spillovers Matter for Development? An Empiri-
cal Study of Uruguay’s Software Cluster. World
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[4] Barro, R.J. (2000). Inequality and growth in a panel
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5–32. doi: 10.1023/a:1009850119329.
3/20/2015 4:15:45 PM
 Editor
Sheng MECHATRONICS ENGINEERING
AND ELECTRICAL ENGINEERING

Mechatronics Engineering and Electrical Engineering

The 2014 International Conference on Mechatronics Engineering and
Electrical Engineering (CMEEE2014) was held October 18-19, 2014 in
Sanya, Hainan, China. CMEEE2014 provided a valuable opportunity for
researchers, scholars and scientists to exchange their new ideas and
application experiences face to face together, to establish business or
research relations and to find global partners for future collaboration.
The papers in this book are selected from more than 500 papers
submitted to the 2014 International Conference on Mechatronics
Engineering and Electrical Engineering (CMEEE2014). The book is
divided into 4 sections, covering the topics of Mechatronics, Electrical
Engineering, Control and Automation and Other Engineering. The
conference will promote the development of Mechatronics Engineering
and Electrical Engineering, strengthening international academic
cooperation and communications.
Editor
Ai Sheng

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