2019 Book ProceedingsOfThe1stInternation

Lecture Notes in Electrical Engineering 519
Bekkay Hajji · Giuseppe Marco Tina
Kamal Ghoumid · Abdelhamid Rabhi
Adel Mellit
Editors
Proceedings of the
1st International
Conference on
Electronic Engineering
and Renewable Energy
ICEERE 2018, 15–17 April 2018, Saidia,
Morocco
Lecture Notes in Electrical Engineering
Volume 519
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More information about this series at http://www.springer.com/series/7818

Bekkay Hajji Giuseppe Marco Tina
•
Kamal Ghoumid Abdelhamid Rabhi

•
Adel Mellit
Editors
Proceedings of the 1st

International Conference
on Electronic Engineering
and Renewable Energy
ICEERE 2018, 15–17 April 2018,
Saidia, Morocco
123
Editors
Bekkay Hajji Abdelhamid Rabhi
National School of Applied Sciences EEA Department of the Faculty of Sciences
Mohamed Premier University University of Picardie Jules Verne
Oujda, Morocco Amiens, France
Giuseppe Marco Tina Adel Mellit

Electrical Engineering, Electronics Faculty of Sciences and Technology
and Computing University of Jijel
University of Catania Jijel, Algeria
Catania, Italy
Kamal Ghoumid
National School of Applied Sciences
Mohamed Premier University
Oujda, Morocco
ISSN 1876-1100 ISSN 1876-1119 (electronic)

Lecture Notes in Electrical Engineering
ISBN 978-981-13-1404-9 ISBN 978-981-13-1405-6 (eBook)
https://doi.org/10.1007/978-981-13-1405-6
Library of Congress Control Number: 2018948381
© Springer Nature Singapore Pte Ltd. 2019

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Preface
The ICEERE’18 aims to provide an international platform for engineers,

researchers and experts to highlight key issues and essential developments for the
multifaceted field of modern electrical engineering systems. It addresses also
multidisciplinary challenges coming from the rapid and pervasive development of
information and communication technologies.
The conference has a special focus on energy challenges for developing the
Euro-Mediterranean regions by the application of the new technologies for the use
of renewable energy in the agriculture activities and in the rural areas.
Bekkay Hajji
Giuseppe Marco Tina
Kamal Ghoumid
Abdelhamid Rabhi
Adel Mellit
v
Contents
Communication, Networks and Information Technology

Performance Evaluation of DS-CDMA System Based
on Multiple Access Interference Analytical Expression . . . . . . . . . . . . . 3
A. Alami Hassani, M. Zouak, M. Mrabti, and F. Abdi
60 GHZ Millimeter Wave Generation for RoF Systems Based
on the Beat of Narrow-Band Bragg Filters . . . . . . . . . . . . . . . . . . . . . . 10
Amina Ghadban, Moussa El Yahyaoui, Youssra Chatei,
Radouane Kouddane, El miloud Ar reyouchi, and Kamal Ghoumid
Efficient Analysis of Dual-Band Anisotropic Monopole Antennas
for Wireless Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Feriel Guidoum, Mohamed Lamine Tounsi, Noureddine Ababou,
and Mustapha C. E. Yagoub
Horizontal-Shuffled Scheduling for the Low Density Parity
Check Codes Decoding for WiMAX Application . . . . . . . . . . . . . . . . . . 22
Mouhcine Razi, Anas Mansouri, Abdessalam Aït Madi, and Ali Ahaitouf
Estimating Direction of Arrival Using Spatial Smoothing
Improvement Adapted to MUSIC for Indoor
Localization Using RFID . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Adel Zier, Lamya Fergani, and Zineb Belhadi
Analysis of Epstein Distribution Effect on the Plasma Reflectance . . . . . 39
Yasser Ekdiha, Khalid Mounirh, Soufiane El Adraoui,
Mohsine Khalladi, and Mohamed Iben Yaich
Effect of Packet Length on the Resulting Bitrate
in Narrowband Wireless Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Youssra Chatei, Kamal Ghoumid, El Miloud Ar-reyouchi,
Hamza Barboucha, and Omar Sefraoui
vii
viii Contents
Impact of Message Size on the Average Delay

in Narrowband Wireless Links . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
Youssra Chatei, Maria Hammouti, Amina Ghadban,
El Miloud Ar-reyouchi, Slimane Mekaoui, and Kamal Ghoumid
Comparative Study of PageRank Calculation . . . . . . . . . . . . . . . . . . . . 58
Hamza Barboucha, Omar Sefraoui, and Kamal Ghoumid
ANOVA Decision Tool for Determining the Best Estimation of a Large
Scale IP Network Traffic Matrix Using ARIMA/GARCH Algorithm . . . 69
Slimane Mekaoui, Anis Boubekeur, Choukri Benhamed,
and Kamal Ghoumid
An Enhancement for the Autonomic Middleware-Level Scalability
Management Within IoT System Using Cloud Computing . . . . . . . . . . . 80
M. N. Bahiri, A. Zyane, and A. Ghammaz
Highly Efficient UPS Systems for Output Voltage
THD Maximum Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
EL Miloud Ar-reyouchi, Hajar Chadli, Afaf Bouzidi, and Kamal Ghoumid
Textures Classification by Color Multi-space and Evolutionary
Strategy Approaches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
F. Lekhal and M. El Hitmy
Vehicle Trajectory Clustering Using Variable Kernel Estimator . . . . . . 107
Loubna El Fattahi and El Hassan Sbai
Human Activity Recognition in Smart Home Environment
Using OS-WSVM Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
M’hamed Bilal Abidine, Belkacem Fergani, and Shikhar Seth
Performance and Scalability Improvement of GMM Background
Segmentation Algorithm on Multi-core Parallel Platforms . . . . . . . . . . . 120
Lhoussein Mabrouk, Sylvain Huet, Said Belkouch, Dominique Houzet,
Yahya Zennayi, and Abdelkrim Hamzaoui
E-Health Human Activity Recognition Scheme
Using Smartphone’s Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
Ihssene Menhour, Belkacem Fergani, and M’hamed Bilal Abidine
Materials and Devices Applications

Localized States in GaAs/Ga1-XAlxAs Multi-Quantum-Wells . . . . . . . . . 137
F. Z. Elamri, F. Falyouni, Z. Tahri, and D. Bria
Study About a Filter Using a Resonator Defect in a One-Dimensional
Photonic Comb Containing a Left-Hand Material . . . . . . . . . . . . . . . . . 146
Y. Ben-Ali, Z. Tahri, F. Falyouni, and D. Bria
Contents ix
Low Temperature Sensor Based on One-Dimensional

Photonic Crystals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
Afaf Bouzidi and Driss Bria
Thermoacoustic Effect Under the Influence of Resonator Curvature . . . 164
Zahra Bouramdane, Abdellah Bah, Nadia Martaj, and Mohammed Alaoui
Estimation of the Effective Magnetic Permeability of Polycrystals
Using a Self-consistent Scheme . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170
E. Boulhafa, R. Kouddane, H. Ouadfel, and F. Soussi
Effect of Sputtering Area Ratio of Gold/Silica Target and Thermal
Annealing on Structural and Optical Absorption Properties of Au
Nanoparticles Dispersed in Amorphous Silica Dielectric Films . . . . . . . . 181
Ahmed Belahmar, Ali Chouiyakh, Abdallah Bendoumou,
and Mounir Fahoume
Crystallographic, Morphological Analysis on Al Doped
ZnO Nanoparticles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
A. Bendoumou, A. Belahmar, M. Fahoume, and A. Chouiyakh
Electronics
III-V MOSFET Structure (InP/InAs/InGaAs) I-V Characteristics
Using Silvaco TCAD Simulator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207
S. Ammi, A. Aissat, N. Wichmann, and S. Bollaert
Theoretical Study of Intersubband Absorption Coefficient
in GaNAsBi/GaAs Quantum Well Structures . . . . . . . . . . . . . . . . . . . . . 216
L. Chenini, A. Aissat, and Jean Pierre Vilcot
Oscillation Detection Using PMU Technology in the North Africa
Power System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225
Mohammed Tsebia and Hamid Bentarzi
Degradation of Peach Using an Electronic Nose for Food
Quality Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232
Nihad Benabdellah, Khalid Hachami, Mohammed Bourhaleb,
M’barek Nasri, and Naima Benazzi
Electro-Thermal Model of a Silicon Carbide Power MOSFET . . . . . . . . 239
K. Frifita, N. K. M’Sirdi, E. Baghaz, A. Naamane, and M. Boussak
Optimization of the Temperature Effects on Structure
InAs/GaAs QDSC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250
Abdelkader Aissat, Nabila Harchouch, and Jean Pierre Vilcot
x Contents
ASIC Physical Design Flow: Power Saving Opportunities

on Interconnection Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258
Lekbir Cherif, Jalal Benallal, Mohammed Darmi, Mohamed Chentouf,
Rachid Elgouri, and Nabil Hmina
Full-Wave Modal Integral Method for Robust Modeling
of Symmetrical/Asymmetrical Finlines Structures Embedded
in Multilayered Dielectric Substrates . . . . . . . . . . . . . . . . . . . . . . . . . . . 266
A. Khodja, M. C. E. Yagoub, and R. Touhami
An Accurate NPT-IGBT SPICE Model with Simple
Parameter Extraction Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273
Yassine Hadini, Abdelghafour Galadi, and Adil Echchelh
Fractional Behavior of PN Junction Diode Under AC-Small
Signal Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283
F. Boulgamh, M. Remram, and A. Djouambi
Power-Performance Trade-Off in 7 nm Designs . . . . . . . . . . . . . . . . . . . 290
Mohamed Chentouf, Lekbir Cherif, and Zine El Abidine Alaoui Ismaili
State Space Models for Power SiC MOSFET . . . . . . . . . . . . . . . . . . . . . 298
N. K. M’Sirdi, K. Frifita, E. Baghaz, A. Naamane, and M. Boussak
Design and Simulation of an Ion Sensitive Field Effect Transistor
(ISFET) Readout Circuit, with Low Thermal Sensitivity . . . . . . . . . . . . 306
Abdelkhalak Harrak and Salah Eddine Naimi
Electrical and Thermal Modeling and Aging Study
of a C2M0025120D Silicon Carbide-Based Power
MOSFET Transistor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313
E. Baghaz, A. Naamane, and N. K. M’sirdi
Improved Electrical Performance of InP-Based Single Heterojunction
Bipolar Transistor in Terms of the Maximum Frequency
of Oscillation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319
J. Ouchrif, A. Baghdad, A. Sahel, A. Badri, and A. Ballouk
Power Electronics, Systems and Applications

Switched Reluctance Motor Iron Losses Prediction Method . . . . . . . . . . 329
Jamal Bouchnaif, Khalid Grari, Anas Benslimane, and Manal Haloui
Analysis of the Electrical Unbalance Caused by the Moroccan
High-Speed Railway in the High Voltage Power Grid
for the Starting Horizon (2018) and the Horizon (2030) . . . . . . . . . . . . . 336
Anas Benslimane, Mostafa El Ouariachi, Jamal Bouchnaif,
and Khalid Grari
Contents xi
Nonlinear Numerical Study of Mutual Inductances for Switched

Reluctance Machine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344
Kadi Laila and Brouri Adil
Design, Simulation and Implementation of an Isolated
Switched-Mode Power Supply . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350
Driss Yousfi, Hajji Bekkay, Mohamed El Hafyani, Mustapha Kourchi,
Hassan Mohssine, Nasrudin Abd Rahim, and Jeyraj Selvaraj
Control Systems
Robust ADRC Control of a Doubly Fed Induction Generator
Based Wind Energy Conversion System . . . . . . . . . . . . . . . . . . . . . . . . . 359
Mohssine Chakib, Ahmed Essadki, and Tamou Nasser
Adaptive Super Twisting Sliding Mode Controller for DC/DC
Converters in Electric Vehicle Applications . . . . . . . . . . . . . . . . . . . . . . 369
Saïd Boubzizi, Moataz El Sied, Jean Bester, and Augustin Mpanda Mabwe
A New Maximum Power Point Tracking PV_Control for Rapid
Changes in Irradiation Level . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 384
Yamina Khlifi, Bekkay Hajji, and Abdelhafid Messaoudi
Power Flow Control in Autonomous Micro-grid Operation Using Ants
Colony Optimization Under Variable Load Conditions . . . . . . . . . . . . . 392
Hemza Sellamna, Nassir Rouibah, Adel Mellit, Giuseppe Marco Tina,
and Hajji Bekkay
Methylcyclohexane Continuous Distillation Column Fault Detection
Using Stationary Wavelet Transform and K-Means . . . . . . . . . . . . . . . . 399
Hanae Azzaoui, Imad Mansouri, and Bachir Elkihel
Solar Charge Controller with a Data Acquisition System
Based on Arduino . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 412
Byou Abdelilah, Abarkan Mouna, Nacer Kouider M’Sirdi,
and Abarkan El Hossain
Consolidation of FLC and ANN to Track Maximum Power Point
for Stand-Alone PV Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 421
Anas El Filali, El Mehdi Laadissi, and Malika Zazi
Mathematical Modelling and Simulation of a Directly Coupled
Water Pumping System, Using a Photovoltaic-Fed Synchronous
Reluctance Motor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431
K. Kerbouche, A. J. M. Cardoso, K. Yahia, and A. Mellit
A Method for Parameter Extraction of Photovoltaic Modules . . . . . . . . 438
N. Rouibah, H. Sellamna, S. Haddad, A. Mellit, L. Barazane, and A. Rabhi
xii Contents
Design of a Quadratic Boost Converter for a Standalone PV

System Based on INC MPPT Algorithm . . . . . . . . . . . . . . . . . . . . . . . . 447
Salheddine Belhimer, Mourad Haddadi, and Adel Mellit
Comparison Between Artificial Neural Network and Its
Combination with Perturb & Observe as a MPPT Control
Method of Photovoltaic System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454
Fayrouz Dkhichi, Mohamed Tabaa, Karim Alami, and Brahim Chouri
Interleaved Positive Buck-Boost Converter (I.P.B.B) . . . . . . . . . . . . . . . 461
Lagssiyer Brahim, Aziz Abdelhak, and Mohamed El Hafyani
A Reconfigurable PV Architecture Based on New Irradiance
Equalization Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 470
Loubna Bouselham, Bekkay Hajji, Adel Mellit, Abdelhamid Rabhi,
and Abdelfattah Mazari
Optimal Exploitation of the Photovoltaic System and Compensation
of the Energy Deficit by the Electrical Grid . . . . . . . . . . . . . . . . . . . . . . 478
Sanae Dahbi, Mostafa El Ouariachi, Abdelhak Aziz,
Messaoudi Abdelhafid, and Yamina Khlifi
Implementation of a Real-Time MPPT of Hybrid Renewable Energy
System Composed of Wind Turbine and Solar PV Cells . . . . . . . . . . . . 490
Badreddine Lahfaoui, Smail Zouggar, Mohamed Larbi Elhafyani,
and Abdel Hamid Rabhi
Design, Simulation and Performance Analysis of Voltage Regulator
Based on STATCOM for Asynchronous Wind Turbine . . . . . . . . . . . . . 498
Mohammed Mokhtari, Smail Zouggar, M. L. Elhafyani, Taoufik Ouchbel,
Soufyane Benzaouia, and Mhamed Fannakh
A Comparative Investigation and Evaluation of Maximum Power
Point Tracking Algorithms Applied to Wind Electric Water
Pumping System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 510
Benzaouia Soufyane, Zouggar Smail, Rabhi Abdelhamid, M. L. Elhafyani,
Mokhtari Mohammed, and Fannakh Mhamed
Design of a Switch-Mode Power Supply with Soft Switching
and Analog Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 524
E. Baghaz, A. Naamane, and N. K. M’sirdi
Real-Time Control of AC Machine Drives Using RT-LAB Package . . . . 533
Mansour Bechar, Abdeldjebar Hazzab, Mohamed Habbab,
Lahcen Lakhdari, and Mohammed Slimi
Contents xiii
Sliding-Mode Controls Applied to Induction Machine Fed

by Three - Level Inverter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 545
Lahcen Lakhdari, Bousmaha Bouchiba, Mohamed Habbab,
and Bechar Monsour
The Buck/Boost Shunt Converter for the PV Systems . . . . . . . . . . . . . . 555
Seddik Mohammed and Smail Zouggar
A Decoupled Control Study of a Grid-Connected
Photovoltaic Power System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 565
M. Fannakh, M. L. Elhafyani, S. Zouggar, M. Mokhtari, and S. Benzaouia
Comparison of the Different Commands Direct and Indirect
of a Single-Phase Inverter for Photovoltaic . . . . . . . . . . . . . . . . . . . . . . 576
Abdelhak Lamreoua, Anas Benslimane, Abdelhafid Messaoudi,
Abdelhak Aziz, and Mostafa El Ouariachi
Intelligent Methods for the Maximization of the Energy of Wind
Systems with Synchronous Generators Permanent Magnet . . . . . . . . . . 587
Baddou Abdelmjid, El Kari Abdeljalil, Ayad Hassan, and Mjahed Mostafa
Induction Machine Parameter Identification Using LMS Algorithm
Associated with a Nonlinear Adaptive Observer . . . . . . . . . . . . . . . . . . 597
Mohammed Belkheiri, Ahmed Belkheiri, Mourad Boufadene,
Hamou Ait Abbas, and Abdlhamid Rabhi
Renewable Energy
Photovoltaic Discoloration and Cracks: Experimental Impact
on the I-V Curve Degradation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 609
Salima Sarikh, Mustapha Raoufi, Amin Bennouna, Ahmed Benlarabi,
and Badr Ikken
Evaluation of Different PV Prediction Models. Comparison
and Experimental Validation with One-Year Measurements
at Ground Level . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 617
Charaf Hajjaj, Ahmed Alami Merrouni, Abdellatif Bouaichi,
Mohammadi Benhmida, Badr Ikken, Smail Sahnoun,
Abdellatif Ghennioui, Ahmed Benlarabi, and Houssain Zitouni
Experimental Investigation of Potential Induced Degradation (PID)
Impact and Recovery on Crystalline Photovoltaic Systems . . . . . . . . . . 623
Abdellatif Bouaichi, Ahmed Alami Merrouni, Charaf Hajjaj,
Choukri Messaoudi, Badr Ikken, Aumeur El Amrani, Houssain Zitouni,
and Abdellatif Ghennioui
xiv Contents
Mathematical Models Calculating PV Module Temperature

Using Weather Data: Experimental Study . . . . . . . . . . . . . . . . . . . . . . . 630
M. Zouine, M. Akhsassi, N. Erraissi, N. Aarich, A. Bennouna, M. Raoufi,
and A. Outzourhit
Influence of CZTS Layer Parameters on Cell Performance
of Kesterite Thin-Film Solar Cells . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 640
Assiya Haddout, Abderrahim Raidou, Mounir Fahoume, Nadia Elharfaoui,
and Mohamed Lharch
Geometric and Optical Efficiency Study for Solar Parabolic
Trough Concentrator Using the Deflectometry Technique . . . . . . . . . . . 647
Massaab El Ydrissi, Hicham Ghennioui, El Ghali Bennouna,
and Farid Abdi
The Characterization and Modeling Kinetics for Drying
of Taraxacum Officinale Leaves in a Thin Layer
with a Convective Solar Dryer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 656
Haytem Moussaoui, Ali Idlimam, and Abdelkader Lamharrar
Experimental Study of Fouling in Hybrid Cooling Tower Used
in CSP Plants: A Prototype Scale Preliminary Test Feedback . . . . . . . . 664
Afaf Zaza, Nour Eddine Laadel, Hassan Agalit, El Ghali Bennouna,
and Youness El Hammami
Data Visualization and Statistical Analysis of a Solar Parabolic
Trough Collector Possesses of Filled-Type Evacuated Tube
with U Shaped, Under South-Eastern of Morocco . . . . . . . . . . . . . . . . . 672
Mohammed Halimi, Imane Outana, Aumeur El Amrani, Jaouad Diouri,
and Choukri Messaoudi
Absorber Designs Effect on the Performance of PV/T Water
Hybrid Collector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 679
Chaimae El Fouas, Mohamed Hajji, Hicham Bouali, Bekkay Hajji,
Giuseppe Marco Tina, and Yamina Khlifi
Modeling Approach of the Experiment: Waste Reuse
of the Jerada Thermal Power Plant (Morocco) . . . . . . . . . . . . . . . . . . . 690
Youssef Regad, Bachir Elkihel, and Fabienne Delaunois
Load Analysis and Consumption Profiling: An Overview . . . . . . . . . . . 697
Khadija Tazi, Fouad Mohamed Abbou, and Farid Abdi
Modelling and Exergy Analysis of Latent Heat Thermal
Energy Storage System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 706
Zineb Erregueragui and Abdeslam Tizliouine
Contents xv
Parameters Extraction of Photovoltaic Cell Based on Experimental

Current-Voltage Characteristic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 713
Hamza Mokhliss and Khalid Rais
A Comparative Study on Hydrogen Production from Small-Scale
PV and CSP Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 723
Samir Touili, Ahmed Alami Merrouni, Youssef El Hassouani,
El Ghali Bennouna, Abdellatif Ghennioui, and Abdel-Illah Amrani
Optimal Hydrogen Production by Photovoltaic Energy
Using an Electrolyzer with Cylindrical Electrodes . . . . . . . . . . . . . . . . . 731
Abdelhafid Messaoudi, Sanae Dahbi, Yamina Khlifi,
Mostafa El Ouariachi, and Abdelhak Aziz
Modeling Surface Solar Radiation for Cloudy Sky Using MODIS
Atmospheric Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 739
Farah Benharrats, Habib Mahi, and Hamida Samiha Rahli
Turbulent Forced Convection Heat Transfer in a Horizontal
Partitioned Channel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 746
K. Amghar, M. A. Louhibi, H. Bouali, N. Salhi, and M. Salhi
Potential Sensible Filler Materials Thermal Energy Storage
for Medium Range Temperature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 755
Soukaina Hrifech, Hassan Agalit, El Ghali Bennouna,
and Abdelaziz Mimet
Study of Different Latent Heat Storage Technologies Adequate
for Application in the 1 MWe Fresnel CSP Plant Installed
at Green Energy Park in Morocco . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 762
Zakaria Elmaazouzi, Hassan Agalit, El Ghali Bennouna,
and Mustapha El Alami
Electrical Loads of a Smart House and Consumption Analyses . . . . . . . 771
N. K. M’Sirdi, A. Naamane, A. Boukara, and M. Benabdellatif
Author Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 783
Communication, Networks
and Information Technology
Performance Evaluation of DS-CDMA System
Based on Multiple Access Interference
Analytical Expression
A. Alami Hassani1(&), M. Zouak2, M. Mrabti3, and F. Abdi2

1
Systems & Sustainable Environment Laboratory (SED),
Private University of Fez -UPF- Fez, Fez, Morocco
alami.hassani@upf.ac.ma
2
Signal Systems & Components Laboratory (SSC),
Faculty of Sciences & Techniques, USMBA, Fez, Morocco
3
Laboratory of Computing and Interdisciplinary Physics (LIPI),
Ecole Normale Supérieure, USMBA, Fez, Morocco
Abstract. One of the hardest issues in all wireless networks (from 2G to 5G) is
sharing the communication channel and the common resources between large
set of active users in a cell witch is accompanied by dominant impairment; the
interference between users, refers to multiple access interference (MAI) that
drastically degrades system performances. In this work, we use the MAI vari-
ance expression to develop the formula of the Signal to Noise Plus Interference
Ratio (SNIR) in a heavily loaded Code Division Multiple Access (CDMA).
Hence, we present performance analysis of a Conventional Correlation
Receiver CCR by evaluating the instantaneous SNIR and the BER. The impact
on the system performances of relevant parameters such the number of active
users, the spreading sequence length and the SNR is studied for both syn-
chronous and asynchronous cases.
Keywords: DS-CDMA MAI GA Performance SNIR BER

AWGN
1 Introduction
CDMA in which the spread spectrum is achieved by directly multiplying the user’s
baseband signal with a high rate pseudorandom noise (PN) sequence series is referred
to as sequence CDMA (DS-CDMA). Multiple access systems based on DS-CDMA
have achieved increasing significance for mobile communications applications (3G,
4G, LTE, LTE-Advanced and 5G) [1]. In these systems, users are separated from each
other with their unique spreading codes (PN sequences, gold sequences etc.…) gen-
erated by shift registers and periodic in nature. These codes play an important role in
multiple access capacity of DS-CDMA system [2]. However, DS-CDMA systems
suffer, in addition to additive white Gaussian noise (AWGN), from MAI caused by the
non-orthogonality of spreading codes of users transmitting in the cell, especially at high
traffic [3].

B. Hajji et al. (Eds.): ICEERE 2018, LNEE 519, pp. 3–9, 2019.
https://doi.org/10.1007/978-981-13-1405-6_1
4 A. A. Hassani et al.
System performance in AWGN channels considering MAI was addressed in [4, 5],
where the MAI is modeled as a Gaussian random variable (Gaussian Approximation
(GA)). With the GA assumption, the problem was simplified and became tractable with
a simple closed form solution. In multi-user multi-path fading conditions, either the GA
was used in deriving the average BER [4, 6] or the performance evaluation was based
entirely on Monte-Carlo simulations [7].
In previous work [8], we presented an exact, simple and more realistic method to
model the statistics of MAI for a DS-CDMA system and DS-BPSK scheme in AWGN
channel. In this paper, we use this result to estimate the SNIR in DS-CDMA com-
munication using PN sequences over AWGN channel. We also investigate the per-
formance of the system where results are presented in terms of SNIR and BER and
where the impact on the system performances of relevant parameters such the number
of active users, the spreading sequence length and the SNR is studied in synchronous
and asynchronous cases.
2 Receiver Model
The quality of the transmission depends essentially on the receiver’s performance,

which must take into account the expression of the received signal.
2.1 Received Signal

ð1Þ
In the CCR (see Fig. 1), the decision variable for the ith data bit di for user n° 1 can be
expressed as [9]:
Fig. 1. Conventional correlation receiver.
ð1Þ
Zi ¼ V þAþI ð1Þ
V represents noise at the correlator.

Performance Evaluation of DS-CDMA System 5
Z
V¼ Tb
0
nðtÞ:c1 ðtÞ:cosðx0 tÞdt ð2Þ
We have shown [10] that V is a Gaussian additive noise of zero mean and variance:
g0
r2V Tb ð3Þ
4
A is the useful part of the received signal [10].

rffiffiffiffiffi
Z pffiffiffiffiffiffiffiffi ð1Þ P1 ð1Þ
A¼ Tb
2P1 :di ðtÞ:c21 ðtÞ: cos2 ðx0 tÞdt ¼ Tb d ð4Þ
0 2 i
I is the MAI term.

Z
XK pffiffiffiffiffiffiffiffi ðkÞ
I¼ Tb
0 k¼2
2Pk :di ðt sk Þ:ck ðt sk Þ:c1 ðtÞ:cosðx0 tÞcosðx0 t þ hk Þdt ð5Þ
Assuming that all active users have the same average power Pmoy , we showed in
previous work [8] that I is Gaussian of zero mean and variance:
h i NP T 2 Pmoy Tb2
moy c
E ðI Þ2 ¼ ð K 1Þ ¼ ð K 1Þ ð6Þ
6 6N
We note that K is the active users number, Pk is the kth user’s received signal
power, ck ðtÞ and dk ðtÞ are the spreading and data waveforms respectively (we assume
rectangular pulses for both), x0 is the carrier frequency, hk is the random phase of user
k and sk represents the propagation delay for the kth user. sk and hk are assumed to be
independent random variables uniformly distributed respectively over [0, Tb] and [0,
2p]. n(t) is an AWGN channel with zero mean and power spectral density g20 . Each
symbol ci (usually called a chip) has duration Tc = Tb/N, Tb is the bit duration and N is
the spreading gain.
2.2 Signal to Noise Interference Ratio

The SNIR is expressed as:
A2
SNIR ¼ h i ð7Þ
E ðI Þ2 þ r2V
Assuming that P1 ¼ Pmoy , the system’s SNIR can be written:
1
SNIR ¼ K1 ð8Þ
3N þ
1
SNR
Where SNR ¼ 2gEb represents the SNR of the system in the absence of MAI or when
0
only one user is present, with Eb ¼ Tb :Pmoy the energy per bit. The term K3N
1
is the
contribution of MAI to the SNIR in the output of the receiver.
Thus, the error probability of the CCR using phase modulation (BPSK) with
coherent detection is:
rffiffiffiffiffiffiffiffiffiffiffi!
1 SNIR
Peb ¼ erfc ð9Þ
2 2
we note that in a typical mobile radio environment, the powers involved and the
number of active users are relatively high, the SNIR becomes:
3N
SNIR ð10Þ
K1
3 Performance Evaluation
In this section, the performance of the system will be analyzed by simulations, using
MATLAB, according to the code length, the number of active users and the SNR, in
the presence of the MAI.
3.1 CCR Error Probability: Synchronous Case

Figure 2 shows the analytical and simulation results of error probability versus SNR for
60 fully synchronous active users for different values of the spreading sequence length.
It can be seen that the simulation results fit perfectly with the analytical results.
Only the effect of SNR is highlighted. Indeed, in the case where users are synchronous,
the MAI is almost nil. This result is in good agreement with the statistical study
showing that the MAI variance is practically nil [8]. Thus, the length of the spread code
and the number of active users have virtually no effect on the error probability. It can
also be said that the synchronous case makes it possible to evaluate the upper bound of
the CDMA system performances.
Fig. 2. BER versus SNR for K = 60 in perfect synchronism.
3.2 CCR Error Probability: Asynchronous Case

In the case of a CDMA communication, users can transmit completely asynchronously,
this severely limits the performances of the system. The performance analysis of
asynchronous CDMA system is given in the following.
Influence of SNR. Figure 3 shows the analytical and the simulation results of the error
probability versus SNR for different values of N in asynchronous CDMA.
Fig. 3. BER versus SNR for K = 60.
It can be seen that the analytical and simulation curves are in good agreement.
We can see that when the SNR is low, all probabilities are equal to those obtained
in the absence of MAI, regardless of active users number and code length. Indeed,
according to Eq. 8, when the SNR is low SNIR SNR and so the MAI has no effect on
the error probability value. On the other hand, for high SNR values, the reverse occurs
and the SNIR is independent of the SNR. It tends towards a constant value
SNIR K13N
. Thus the error probability also tends towards the constant value:
Fig. 4. Error probability versus users number (SNR = 10 dB).
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi!
1 3N
Peb ¼ erfc ð11Þ
2 2ð K 1 Þ
Influence of Users Number and Code Length. Figure 4 shows the error probability
of the CCR versus users number K for different code lengths.
We see that when the number of users increases, for a given code length, perfor-
mance degrades, due to MAI. Indeed, the more active users in the link, the greater the
MAI term in the received signal. It can also be noted that when the code length
increases, performance improves for a given number of users.
4 Conclusion
Through this work, the performance of DS-CDMA system is studied in different sit-
uations (AWGN, MAI, synchronism and asynchronism between users…). We estab-
lished the analytical error probability expression of the CCR in a noisy environment
using the more realistic expression of the multiple access interference obtained by
statistical study. The validity of the analytical results was confirmed by simulation
results. In order to estimate the impact of each of the key parameters of the DS-CDMA
transmission chain on CCR performance, including SNR, code length, and number of
users, we plotted the evolution of performance versus each parameter.
We can conclude that the performance of the DS-CDMA system can be improved
by increasing the code length N or decreasing the active users number K.
In a future work, we will determine the false alarm probability and the mean
acquisition time and their behavior versus the SNR and the decision threshold.
References
1. Karthikeyan R, Baskar T, Jaiganesh S (2015) An overview of various technologies in mobile
computing. IJETCSE 13(1):694–699
2. Ghareaghaji A (2013) Performance estimation of DS-CDMA receivers using genetic
algorithm. ACSIJ 2(3, 4):1–9
3. Velazquez-Gutierrez JM, Vargas-Rosales C (2017) Sequence sets in wireless communica-
tion systems: a survey. IEEE Commun Surv Tutor 19(2):1225–1248 (2017)
4. Zhang J, Abhayapala TD, Kennedy RA (2003) Performance of ultra- wideband correlator
receiver using Gaussian monocycles. In: Proceedings of the IEEE ICC 2003, pp 2192–2196
5. Win MZ, Scholtz RA (2000) Ultra-wide bandwidth time-hopping spread-spectrum impulse
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602–606
7. Niranjayan S, Nallanathan A, Kannan B (2004) Delay tuning based transmit diversity
scheme for TH-PPM UWB: performance with RAKE reception and comparison with
Multi RX schemes. In: Proceedings of the Joint UWBST and IWUWBS 2004
8. Alami hassani A, Zouak M, Mrabti M, Abdi, F (2017) Statistical modeling and analysis of
multiple access interference in DS-CDMA system. In: IEEE International Conference on
Wireless Technologies, Embedded and Intelligent Systems WITS, Fez
9. Fadhil Ali M, AlSabbagh Haider M (2012) Performance analysis for bit-error-rate of DS-
CDMA SENSOR NETWORK systems with source coding. TELKOMNIKA 10(1):165–170
10. Alami hassani A (2014) Contribution à l’étude des performances, modélisation, conception
VLSI et implémentation sur FPGA d’un système de communications DS-CDMA. Sidi
Mohamed Ben Abdellah University, Fez
60 GHZ Millimeter Wave Generation for RoF
Systems Based on the Beat of Narrow-Band
Bragg Filters
Amina Ghadban1(&), Moussa El Yahyaoui1, Youssra Chatei1,

Radouane Kouddane2, El miloud Ar reyouchi3, and Kamal Ghoumid1
1
Laboratory d’Énergie Renouvelable,
Systèmes Embarqués et Traitement de l’Information (ERSETI), ENSAO,
Mohammed I University Oujda, Oujda, Morocco
ghadbane.amina@gmail.com
2
Laboratory Mathématique, Informatique et Mécanique (MIM), ENSAO,
Mohammed I University Oujda, Oujda, Morocco
3
Department of Telecommunication and Computer Science,
Abdelmalek Essaadi University Tetouan, Tetouan, Morocco
Abstract. In this paper, we propose a new 60 GHz RoF millimeter wave gen-
eration system based on Bragg filters. The signal is obtained by the beat of Bragg
filters which form with the coupler a Y system. The simulation results have
shown that we can have a good quality factor and an optimal bit error ratio
(BER) for a 5 Gbit/s flow rate with a very precise choice of reflected bands of
Bragg filters, in addition the eye diagram of the generated 60 GHz signal remains
open and clear for distances that can reach 50 km and more for a standard single-
mode fiber (SSMF).
Keywords: Bragg filter Radio-over-fiber Beat BER
1 Introduction
The current Wi-Fi technologies exploit the 2.4 or the 5 GHz unlicensed bands, but
because these frequencies know a huge success, they tend to become very saturated. To
preempt this and increase the connection speeds, the industrials are going towards the
unlicensed millimeter-wave band, from 57 to 66 GHz. This band is widely available
around the world, it is not yet massively used, it offers large channels of 2.16 GHz
bandwidth with high authorized emitted powers and it allows advanced integration into
radio terminals thanks to miniaturization at such frequencies. Radio-over-fiber
(RoF) techniques are attracting much attention from manufacturers and radio net-
work operators due to numerous advantages like low loss transmission, wide band-
width and cost effectiveness [1, 2].
A promising solution for the deployment of millimeter waves between multiple
access points is offered by radio over fiber technology. This technology exploits the
advantages of optics for the transmission of radio signals through an optical link, which
offering a higher bit rates thanks to optical fiber performance (low losses, very wide
bandwidth and immunity to electromagnetic interference).
https://doi.org/10.1007/978-981-13-1405-6_2
60 GHZ Millimeter Wave Generation for RoF Systems 11
The growing demand for 60 GHz RoF transmission system is very important
because of its use in several applications such as wireless broadband systems [3, 4],
mobile communication [5], fiber to the home (FTTH) [6]. etc. Many optical mm-wave
signal generation methods have been proposed recently [7, 8]. In this paper, we pro-
pose a new RoF system to generate the 60 GHz millimeter-wave band, based on optical
beat of the wavelengths reflected by a narrow band Bragg filters [9–11]. The frequency
interval of the coupled spectra generates a 60 GHz signal, with a flow rate of 5 Gbit/s
for a BER less than 10−9 and distances up to 50 km.
2 Model Description and Simulation Results
2.1 Model Description

A schematic of the simulation setup is depicted in Fig. 1. A laser source
(f0 = 193.1 THz) passes through the first Fiber Bragg Grating (FBG1) which will
reflect the first frequency band (f1 = 193.07 THz). The band transmitted by the first
Fiber Bragg Grating passes into the second Fiber Bragg Grating (FBG2) which will
reflect the second frequency band (f2 = 193.13 THz), this frequency will be modulated
by an external modulation MZM. The both of reflected bands of FBGs will coupled and
transmitted on a single-mode optical fiber. The generation of 60 GHz mm-wave in this
proposed system is achieved by optical beat detection technique which is based on
photodetection of the mixture of two optical waves whose frequency interval is equal to
the desired frequency [12] (Fig. 2).
Fig. 1. The principle diagram of the proposed system for 60 GHz mm-wave generation.
12 A. Ghadban et al.
Fig. 2. Optical spectrum of beat of wavelength reflected by the FBGs
2.2 Simulation Results

a. Effect of Reflected Band of the FBGs on Quality Factor (Q) for 5 Gbit/s
In this section, we demonstrate that the choice of the width of the reflected bands of the
FBGs influences the quality factor. In the Fig. 3 we have the quality factor curve as a
function of the width of the reflected bands of the FBGs, for a rate of 5 Gbit/s and a
fiber distance of 10 km. As we can see the quality factor is zero for a bandwidth of 10−2
GHz. By decreasing the width of the reflected band of the FBGs, the Q increases. For a
width of 10−6 GHz, the Q has the value of 55.18 with a BER of 2.23.10−23 and a
60 GHz signal of –40 dB.
b. Eye Diagram for 5 Gbit/s Flow Rate for Different SSMF Distances
For a flow rate of 5 Gbit/s and a FBGs reflected band of 10−6 GHz, we simulated the
transmission for different distances of SSMF. As we can see in Fig. 4 the eye diagrams
of 60 GHz signal versus transmission distance are very clear and open for 10 km,
25 km and 35 km. The clarity of the eye diagram decreases with the increasing of
distance. For a distance of 70 km, the eye diagram remains open but less clear.
Figure 5 shows that the quality factor Q decreases by increasing the distance of the
optical fiber, from 10 km to 70 km, the quality factor drops from 85.22 to 9.53 with a
BER of 7.697310−16.
Fig. 3. Q curve versus the width of the reflected bands of the FBGs
Fig. 4. Eye diagram of 60 GHZ millimeter wave generated for different distances of SSMF
14 A. Ghadban et al.
Fig. 5. Q curve versus different distances of SSMF
3 Conclusion
The generation and transmission of a 60 GHz mm-wave signal based on fiber Bragg
grating have been demonstrated in this paper. The optical beat of the coupled bands
generated by the Bragg filters generates the millimeter wave. The simulation results
showed the improvement of the quality factor Q and the BER for 5 Gbit/s flow rates for
50 km fiber link distance. The system proposed in this paper can be used in several
RoF applications: Wireless systems, ADSL, cellular communications, etc.
References
1. Zhou H, Zheng Z, Wan Q (2015) Radio over fiber system carrying OFDM signal based on
optical octuple frequency technique. Opt Commun 349:54–59
2. Capmany J, Novak D (2007) Microwave photonics combines two worlds. Nat Photonics 1
(6):319–330
3. Wake D, Nkansah A, Gomes NJ (2010) Radio over fiber link design for next generation
wireless systems. J Lightwave Technol 28(16):2456–2464
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40 Gb/s W-band (75–110 GHz) 16-QAM radio-over-fiber signal generation and its wireless
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on focused ion beam milled Bragg reflectors. J Lightwave Technol 29(23):3536–3541
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optique. Application à la génération et au transport sur fibre de signaux radiofréquence.
Thèse de doctorat. École nationale supérieure des télécommunications
Efficient Analysis of Dual-Band Anisotropic
Monopole Antennas for Wireless Applications
Feriel Guidoum1, Mohamed Lamine Tounsi1(&),

Noureddine Ababou1, and Mustapha C. E. Yagoub2
1
Instrumentation Laboratory, Faculty of Electronics and Informatics,
USTHB University, P.O. Box 32, El-Alia, Bab-Ezzouar, Algiers, Algeria
mltounsi@ieee.org
2
EECS, University of Ottawa, Ottawa, ON, Canada
Abstract. This paper presents a microstrip dual patch antenna analysis printed
on uniaxial anisotropic substrates suitable for wireless applications in the
WLAN band. The influence of anisotropy on return losses, gain and directivity
were investigated for the two first resonance frequencies but could be extended
for certain values of permittivity tensor to the other superior order resonances.
Simulated results show that the antenna characteristics can be significantly
improved by using an anisotropic substrate with a good impedance bandwidth.
Keywords: Antenna Anisotropic substrate WLAN applications
1 Introduction
Planar patch antennas for wireless communications are among the most powerful
technological trends, with a particular focus on multiband microstrip patch antennas
because they can provide a suitable alternative to wideband planar antennas and avoid
the use of separate antennas. Besides, these antennas have numerous attractive
advantages such as compactness, low cost, ease of fabrication and integration with
other circuits [1, 2]. However, they are limited by their low gain, low directivity and
narrow bandwidth [3]. Therefore, works have been conducted on anisotropic substrates
as a suitable alternative to address these issues. Consequently, the analysis of micro-
wave integrated devices on anisotropic layers, including microstrip antennas, must be
developed to increase their flexibility and secure their design.
Several works have been devoted to the analysis of patch antennas printed on
dielectric anisotropic substrates [4–7]. For example, in [6], authors focused on the
effects of a substrate with uniaxial anisotropy on the resonant frequency and bandwidth
of a microstrip antenna. Whereas in [7], the purpose was to study the resonance
characteristics as well as the radiation patterns of a superconducting microstrip antenna
printed on a uniaxial anisotropic substrate using a cavity model approach. However, in
these studies no mention was reported concerning the effect of anisotropy on gain,
directivity or radiating pattern. Other studies have also been reported to improve the
performance of antennas dedicated to WLAN applications, by using standard form
patches or by introducing EBGs (Electromagnetic Band Gap) materials such as SRRs

https://doi.org/10.1007/978-981-13-1405-6_3
Efficient Analysis of Dual-Band Anisotropic Monopole Antennas 17
(Split Ring Resonators) or other periodic structures [8]. In this paper, the influence of
anisotropy has been operated to improve impedance matching, gain and directivity on a
dual patch antenna for wireless communications.
2 Antenna Structure and Methodology
The proposed patch antenna (Fig. 1), already implemented in isotropic substrates [9],
was designed here on anisotropic substrates and simulated on CST Microwave Stu-
dio EM tool which is a powerful 3D design circuits of high frequency components and
uses finite difference techniques for time derivatives. The physical dimensions are
summarized in Table 1.
The dimensions of the slot introduced in the patch are (L2 WÞ ðL1 2LÞ with
L = 3 mm and W ¼ 8 mm. The ground plane is truncated with a shorter length than
that of the transmission line.
Table 1. Antenna dimensions (from Li et al. [9]).

Symbol Indication Values (mm)
Ls Substrate length 45
Ws Substrate width 40
h Substrate height 1.6
L1 Patch length 24
L2 Patch width 13.5
a Excitation line length 17.5
b Ground plane length 17
Wf Excitation line width 3
Fig. 1. Antenna geometry [9]

18 F. Guidoum et al.
In order to simultaneously achieve good impedance matching, high gain and

directivity, an anisotropic substrate, e.g. sapphire, has been used with its optical axis
aligned with the Oy axis (ex ¼ ez ¼ 11:6; ey ¼ 9:4Þ. We first varied ex (or ez ) (with ey
constant) and then ey while keeping ex fixed. In these two cases, the anisotropy ratio
was set as R ¼ eexy , knowing that if R > 1, we have a positive anisotropy, otherwise it is
negative.
3 Simulation and Results
In this section, we were interested in the first and second resonance frequencies. As
shown in Fig. 2a and b, the variation of permittivity in both x- and y-directions
respectively shows a significant variation of the resonance frequency and its corre-
sponding return losses S11, with a better matching for low permittivity values. The
bandwidth at −10 dB can reach 37% for ex ¼ 3, and 16% for ey ¼ 4. Note also that
increasing the permittivity value in the direction of the optical axis Oy has excited a
third resonant frequency around 7 GHz (Fig. 2b for ey = 4), leading in this case to a
three-band antenna behavior.
Fig. 2. Variation of S11 versus frequency for different values of x- and y- permittivities.
3.1 ex Variation
The simulation results in Fig. 3a indicate that the minimum value of S11 for the first
resonance is reached for ex ¼ ez ¼ 5, which represents a negative anisotropy
R ¼ 0:53 ðwith ey ¼ 9:4Þ. The Fig. 3b gives almost the same result for the second
resonance with R ¼ 0:6.
Fig. 3. S11 variation versus x permittivity for the two first resonances
3.2 ey Variation
When ey vary, the maximum matching for the first resonance is obtained at ey 2;
which corresponds to an anisotropy ratio R ¼ 5:53 (Fig. 4a). According the second
resonance (in Fig. 4b), a better matching is obtained for a positive anisotropy (ey ¼ 5:8,
R ¼ 2).
Fig. 4. S11 Variation with variation of ey permittivity for the two first resonances
3.3 Gain and Directivity

The variations of gain and directivity (Figs. 5 and 6) vs. ex and ey follow a similar
tendency for the two resonance frequencies. A maximum gain and permittivity can be
achieved for minimum values of permittivity, which corresponds to a negative aniso-
tropy in each case.
20 F. Guidoum et al.
Fig. 5. Gain and directivity for the first resonance versus ex and ey , respectively.
Fig. 6. Gain and directivity for the second resonance versus ex and ey respectively.
4 Conclusion
The effects of the substrate anisotropy on the performance of dual monopole antennas
were investigated on uniaxial sapphire substrate but could be easily extended to any
arbitrary biaxial substrate. Increasing the permittivity in the direction of the optical axis
allows exciting more resonances, which can extend the antenna behavior to a multiband
device. Also, a better gain and directivity were reached for low values of permittivity.
The simulated results show a significant enhancement in impedance matching, gain and
directivity which constitutes an important result in the design of such antennas for
WLAN applications as well as other related wireless applications.
References
1. James JR, Hall PS, Wood C (1981) Microstrip antenna: theory and design. IET, UK
2. Gurel C, Yazgan E (2004) Characteristics of a circular patch microstrip antenna on uniaxially
anisotropic substrate. IEEE Trans Antennas Propag 52(10):2532–2537
3. Sharma N, Kaur R, Sharma V (2016) Analysis and design of rectangular microstrip patch
antenna using fractal technique for multiband wireless applications. In: International
conference on micro-electronics and telecommunication engineering ghaziabad, India,
pp 55–60
4. Nelson RM, Rogers DA, D’Assuncao AG (1990) Resonant frequency of a rectangular

microstrip patch on several uniaxial substrates. IEEE Trans Antennas Propag 38(7):973–981
5. Verma A (2003) Analysis of circular microstrip patch antenna as an equivalent rectangular
microstrip patch antenna on iso/anisotropic thick substrate. IEE Proc Microw Antennas
Propag 150(4):223–229
6. Zebiri C, Lashab M, Benabdelaziz F (2011) Rectangular microstrip antenna with uniaxial bi-
anisotropic chiral substrate–superstrate. IET Microw Antennas Propag 5(1):17–29
7. Bedra S, Bedra R, Benkouda S, Fortaki T (2017) Efficient CAD model to analysis of high Tc
superconducting circular microstrip antenna on anisotropic substrates. Adv Electromagn 6
(2):40–45
8. Mittal D, Kaur A, Singh L, Sharma A, Sidhu E (2016) International conference on wireless
communications, signal processing and networking, Chenai, India, pp 2085–2089
9. Li Z, et al (2008) Analysis of dual-frequency monopole antenna using FDTD method. In: 8th
international symposium on antennas, propagation and EM theory, Kunming, China,
pp 286–289
Horizontal-Shuffled Scheduling for the Low
Density Parity Check Codes Decoding
for WiMAX Application
Mouhcine Razi1(&), Anas Mansouri1(&), Abdessalam Aït Madi1,2(&),

and Ali Ahaitouf1(&)
1
Laboratory of Renewable Energies and Intelligent Systems,
USMBA, Fez, Morocco
{mouhcine.razi,anas.mansouri,
ali.ahaitouf}@usmba.ac.ma,
aitmadi_abdessalam@yahoo.fr
2
Electrical and Telecommunication Systems Engineering Laboratory,
UIT, Kenitra, Morocco
Abstract. In this paper we deal with the problem of the implementation of the
simplified iterative decoding algorithms of Low Density Parity Check codes
(LDPC). These algorithms correspond to a simplified version of the belief
propagation algorithm (BP) in the logarithmic domain. Knowing that the Self
Adjustable Offset Min Sum Algorithm (SAOMSA) algorithm allows a calcu-
lation complexity reduction and improve the performance, we suggest the use of
the horizontal-shuffled scheduling instead of the usually used flooding. In the
case of WiMAX standard, results show an increase of the convergence speed,
which approaches the BP algorithm.
Keywords: LDPC codes BP SAOMSA Convergence speed

Horizontal Shuffled scheduling WiMAX
1 Introduction
The demand for decoding LDPC codes for WiFi, WiMAX, DVB-S2 technologies still
growing continuously. The Belief Propagation (BP) algorithm is known for its high
performance in terms of convergence but its major drawback is the difficulty of its
hardware implementation in reprogrammable platforms (DSP, FPGA, etc…). Many
works have been performed in order to find alternate algorithms that approach the
performance of the BP algorithm, and which are at the same time easy to implement in
such platforms. Another way for the convergence improvement can be found in the
choice of scheduling method [1–3] which results in a decrease of the number of
iterations, and an increase in the number of correct messages.
Previously in our team we have performed a comparison between some algorithms
based on the Log-Likelihood Ratio Belief Propagation (LLR-BP) algorithm. We found
that the SAOMSA algorithm gives the better performances and was easy to implement
on a SoPC [4].

https://doi.org/10.1007/978-981-13-1405-6_4
Horizontal-Shuffled Scheduling 23
In this paper, to make this algorithm even more efficient we propose to adopt the
shuffled scheduling. Results show an increase of the convergence speed, making it
nearest of the reference BP algorithm performances. Moreover, this work underlines
the importance of this scheduling for the iterative decoding algorithms of LDPC codes.
2 Decoding Algorithms
An LDPC code can be described by an M N sparse parity-check matrix H and the

associated Tanner graph with N variable nodes and M check nodes. Every edge in
Tanner graph corresponds to a non-zero entry in H, and connects the variable node with
the check node locating that entry [5].
The BP algorithm is recognized by its good error correcting performance but
needed many multiplications to update check and variable nodes which make it difficult
to use for efficient hardware implementation. Several modified versions of the BP
decoding algorithm have been introduced such LLR-BPin which the multiplications are
transformed in additions. In spite of this considerable simplification, the LLR-BP
remains still more difficult for digital circuits implementation [4].
We present in the following the main known methods of simplification of the LLR-
BP algorithm that allow a hardware implementation of the LDPC decoder in the case of
an additive white Gaussian noise (AWGN) channel with binary phase-shift keying
(BPSK) modulation and noise variance r2 .
2.1 LLR-BP Algorithm [6]

The value of the Log-Likelihood Ratio (LLR) of a random binary variable U is defined by:

P U ð u ¼ 0Þ
LU ðuÞ ¼ ln ð1Þ
P U ð u ¼ 1Þ
The sign of the LLR represents the value of the random variable u (0 or 1) and its
modulus represents the degree of likelihood of this value.
The LLR-BP algorithm is based mainly on the calculation of LLRs messages that
are sent to or come from the two types of nodes: control nodes (CNs) and variable
nodes (VNs) of the Tanner graph. The following notations are used to describe the
decoding process throughout the paper:
M(n): the set of check nodes connected to variable node n.
N(m): the set of variable nodes connected to check node m.
M(n)\m: M(n) with check node m excluded.
N(m)\n: N(m) with variable node n excluded.
Lc : the initial message of variable node n from transmission canal with the definition:
Lc ¼ 2yr2
n
Lm : the message sent from check node m to variable node n at iteration i, this
message represents the LLR so that the parity check equation associated with the
node Cm is satisfied taking into account the messages Zn arriving from the nodes
VNs which are adjacent to it.
24 M. Razi et al.
Zn : the message sent from variable node n to check node m at iteration i, this
message presents the LLR so that the bit associated with the node Vn is a 0 or 1,
given the messages coming from the transmission channel: Lc and Lm messages
from the CNs nodes which are adjacent to it.
Z: thea posteriori message of variable node n at iteration i.
Fig. 1. Updating a Vn and Cm nodes.
Thus, the different steps of the algorithm LLR-BP are as follows [6]:
Step0 (Initialization): All LLRs departing from nodes Vn to adjacent nodes Cm ,
(Fig. 1), will be initialized as follows:
2yn
Zn ¼ LC ¼ ð2Þ
r2
Step1 (Update CNs): For each m, and for each n 2 NðmÞ such that Hm;n = 1, we
calculate:
Y X
Lm ¼ n0 2NðmÞnn
signðZn0 Þ; n0 2NðmÞnn
;ðjZn0 jÞ ð3Þ

Where ;ð xÞ ¼ log tanh 2x
Step2 (Update VNs): For each n, and for each m 2 MðnÞ such that Hm;n = 1, we
calculate:
X
Zn ¼ Lc þ L 0
m0 2MðnÞnm m
ð4Þ
X
Z ¼ LC þ m2M ðnÞ
Lm ð5Þ
Step3 (hard decision):

_ _ _ _
Create an estimate X = [x n ] such that x n = 0 if Z 0 and x n = 1 if Z < 0
The decoding algorithm stops if one of the following two criteria is valid:
_ _
– The Syndrome X oH T ¼ 0; and in this case the estimated message X is a valid code
word.
– The maximum number of iterations is reached; and in this case the decoding pro-
cedure fails.
If neither of the two stop criteria is satisfied, the algorithm resumes from step1.
The LLR-BP algorithm uses additions and evaluations of the involution function
;ð xÞ. The calculation of the non-linear function ;ð xÞ in the equation Lm remains a
challenge to raise.
2.2 Min-Sum Algorithm [7, 8]

P
In the Min-Sum Algorithm (MSA) the term ; n0 2NðmÞnn ;ðjZn0 jÞ depends strongly
on the smallest of modules jZn0 j.
Thus, the algorithm proceeds in the same way as the LLR-BP except that the update
of the CNs nodes is performed by the following equation:
Y
Lm ¼ n0 2NðmÞnn
signðZn0 Þminn0 2NðmÞnn ðjZn0 jÞ ð6Þ
This simplification makes it possible to reduce as much as possible the computing

power and the complexity of the hardware implementation of the equation Lm . In return,
it introduces significant degradations of decoding performance in terms of bit error rate
(BER) due essentially to the overestimation of the modules of the messages Lm .
2.3 SAOMSA Decoding

In order to mitigate the effect of overestimation, and approach the performances of the
LLR-BP algorithm, the SAOMSA algorithm takes the approximations of the MSA
algorithm by subtracting from the module minn0 2NðmÞnn ðjZn0 jÞ a correction factor cal-
culated as a function of jZmin2 jetjZmin1 j as follows [8]:
Y
Lm ¼ n0 2NðmÞnn
signðZ Þ max 0 min ðjZn jÞ cf ðjZmin2 j jZmin1 jÞ; 0
n0 0 ð7Þ
n 2NðmÞnn
With c is the optimal normalization factor and f(x) represents the correction factor
f(x) = ln(1 + ejxj ).
This approach makes it possible to recover the performances in term of BER but at
the price of a slight increase of the computation complexity and the hardware imple-
mentation. This is due to the non-linear function f(x) [4].
An approximation of the function f(x) can be implemented either by the Look-Up
Table (LUT) [9], or by interpolation in Piecewise Linear functions (PWL) on 8 regions,
on 5 regions or even 2 regions [4, 9, 10]. Interpolation over 5 regions turns out to be the
most optimal in terms of BER and Hardware resources [4].
26 M. Razi et al.
In the case of WiMAX IEEE 802.16e standard, by using the same five piecewise
linear regions, we carried out a simulation in terms of BER between the LLR-BP, MSA
and the SAOMSA algorithms and as shown on Fig. 2, our results confirm that this
approximation still the best.
Fig. 2. Comparison the performances of LLR-BP, MSA and SAOMSA algorithms in terms of
BER of irregular (576; 288) LDPC code
According to the simulation results we find that the SAOMSA algorithm allows a
slight performance degradation [4]. And to remedy this, we will work on the scheduling
for the update of the nodes of the tanner graph.
3 Scheduling
Scheduling is the order of the exhaustive browsing of the control nodes Cm (update
messages Lm ) and variable nodes Vn (update messages Zn ), which defines a single
iteration. In the literature they are a lot of scheduling types. Our concerns here are the
Flooding scheduling and Horizontal-shuffled scheduling.
3.1 Flooding Scheduling

The flooding scheduling (FS) is the classical sequencing initially associated with the
BP algorithm where the set of control nodes (Cm ) are updated, then follows the update
of all the variable nodes (Vn ). This scheduling is very generic and has the advantage of
being very simple to implement. Because updates are done in two stages of each type
of node, the convergence of the algorithm is relatively slow. The equations of Lm and
Zn are as follows:
Y
ði1Þ ði1Þ
LðiÞ
m ¼ n0 2NðmÞnn
sign Zn0 0
min Z n0 ð8Þ
n 2NðmÞnn
X ðiÞ
ZnðiÞ ¼ Lc þ L 0
m0 2MðnÞnm m
ð9Þ
3.2 Horizontal-Shuffled Scheduling

Horizontal Shuffled (HS) decoding [5] uses a serial schedule for decoding LDPC codes.
It processes the check nodes one by one. After the update of each check node, a
following vertical step is taken to compute the variable-to-check messages sent to the
next updated check node (see Fig. 3). Going from the update of the first check node to
that of the last one is called a single iteration of HS decoding. The serial update
property of the check nodes indicates that before processing checknode m, the updated
check-to-variable messages from the previously processed check nodes in the current
iteration are already available (see Eq. (10)). So the variable-to-check messages sent to
check node m in HS decoding are computed as:
X ðiÞ
X ði1Þ
ZnðiÞ ¼ Lc þ m0 2MðnÞnm
Lm0 þ m0 2MðnÞnm
Lm0 ð10Þ
m0 \m m0 [ m
Fig. 3. Horizontal-Shuffled scheduling steps
3.3 Simulation Results

According to Yang [5] HS is a scheduling that makes convergence faster. We have
applied this kind of scheduling to SAOMSA algorithm, using the five piecewise linear
function.
Figure 4a shows the comparison between the SAOMSA, with the linear five
piecewise function, with and without the HS scheduling, we notice the 0.13 dB
achieved gain for a BER of 10−4 showing the decoding performances improvement by
this kind of scheduling.
Figure 4b presents a comparison of the number of iteration in the case of LLR-BP,
SAOMSA with and without the HS scheduling. It is clear that the number of needed
iteration is highly reduced.
Besides, we also obtain a better performance in terms of the frame error rate (FER),
see Fig. 4c.
28 M. Razi et al.
Fig. 4. Performances of irregular (576; 288) LDPC code using HS scheduling
4 Conclusion
In this paper, we propose to use Horizontal Shuffled scheduling for a hardware

implementation of the SAOMSA algorithm in the case of the WiMAX standard in
order to increase the convergence speed. The simulation results lead to a better BER
(0.13 dB), a better FER and even a highly reduced number of iterations if we use
Horizontal Shuffle scheduling. This allows a gain in term of processing time. This way
makes the decoding process more efficient.
References
1. Liu X, Zhang Y, Cuix R (2015) Variable-node-based dynamic scheduling strategy for belief-
propagation decoding of LDPC codes. IEEE Commun Lett 19(2):147–150
2. Liu X, Zhou Z, Cui R, Liu E (2016) Informed decoding algorithms of LDPC codes based on
dynamic selection strategy. IEEE Trans Commun 64(4):1357–1366
3. Aslam CA, Guan YL, Cai K, Han G (2017) Informed fixed scheduling for faster
convergence of shuffled belief-propagation (BP) decoding. IEEE Commun Lett 21(1):32–35
4. Ait Madi A, Mansouri A, Ahaitouf A (2013) A new PWL approximation for the self-
adjustable offset min-sum decoding with a highly reduced-complexity. Int J Comput Appl 61
(19):1–6
5. Yang Y, Huang JZ, Tong S, Wang XM (2010) Replica horizontal-shuffled iterative decoding
of low-density parity-check codes. J Chin Univ Posts Telecommun 17(6): 32–40
6. Gallager RG (1963) Low density parity check codes. PhD thesis, MIT Press, Cambridge,
MA
7. Chen J, Dholakia A, Imai H, Eleftheriou E, Fossorier MPC, Hu XY (2005) Reduced-
complexity decoding of LDPC codes. IEEE Trans Inf Theor 53(8):1288–1298
8. Ji W, Hamaminato M, Nakyama H, Goto S (2010) Self-adjustable offset min sum algorithm
For ISDB-S2 LDPC decoder. IEICE Electron Express 7(17):1283–1289
9. Hu XY, Eleftheriou E, Arnold DM, Dholakia A (2002) Efficient implementations of the
sum-product algorithm for decoding LDPC codes. In: Chang FR (eds) GLOBECOM 2001:
IEEE 2001 global telecommunications conference, vol 6. IEEE, San Antonio, pp 1036–
1036E (2002)
10. Mansour MM, Shanbhag NR (2003) High-throughput LDPC decoders. IEEE Trans Very
Large Scale Integr Syst 11(6):976–996
Estimating Direction of Arrival Using
Spatial Smoothing Improvement Adapted
to MUSIC for Indoor Localization
Using RFID
Adel Zier(B) , Lamya Fergani, and Zineb Belhadi
LISIC Laboratory, Faculty of Electronics and Computer Sciences,

University of Science and Technology Houari Boumedienne (USTHB),
BP 32, El Alia, 16111 Bab Ezzouar, Algiers, Algeria
adel zier@outlook.fr, lamifer@msn.com, zbelhadi@usthb.dz
Abstract. Due to its cheap price and no line of sight requirement, the
RFID has emerge the field of indoor localization. Many algorithms have
been developed, the classical ones have used the received signal strength
information as a metric, but due to the low degree of accuracy, we pro-
pose in this paper an other algorithm known as MUSIC algorithm which
estimates the direction of arrival to determine the coordinates of the tag,
then we will apply a spatial smoothing to eliminate the problem of inter-
ference. We will show through some simulations on Matlab software the
most improvements like the accuracy that this technique has brought.
Keywords: Indoor localization · RFID · MUSIC algorithm

Spatial smoothing
1 Introduction
Nowadays, with the extension of buildings like museums and hospitals, people
find a lot of difficulties to locate themselves and move in. In that case Intelligent
localization systems are more than a luxury devices, the most promising technol-
ogy in this development field is the RFID due to its no line of sight requirement
and its cheap price, comparing with the other ones.
The RFID system is composed of tags that send their ID to readers, in their
turn they extract some metrics from the incoming signals that can be used to
estimate the coordinate of the user. One of the various method of calculations
is to determine the direction of arrival (DoA) using MUSIC algorithm, that was
created by Evans [3] for ATC systems application, and reinterpreted by Dizon
[6] on the NI PXIe Platform, and also by Kronberger [7] where he combined
angel of activation technique.
As this algorithm is an AoA estimation, results must be very accurate espe-
cially when the tag is so distant from the reader. For this reason we introduce
c Springer Nature Singapore Pte Ltd. 2019
https://doi.org/10.1007/978-981-13-1405-6_5
Estimating Direction of Arrival Using Spatial Smoothing Improvement 31
in this paper a method that improve the results of MUSIC algorithm which is
the spatial smoothing technique, and also we adjust its relevant parameters.
The remainder of this paper is organized as follow: we give a mathemati-
cal representation of the signal incoming from the tag to the array in Sect. 2.
Section 3 describes the Multi signals classification algorithm. Then we adapt the
spatial smoothing to this one in Sect. 4. Section 5 describes some simulations
and experiments with comments about this method, also we compare the basic
MUSIC with the improved one. Finally we give a conclusion in Sect. 6.
2 Incoming Signals Model

In real life electromagnetic waves are diffused and there is no isotropic antenna,
but to simplify the study we consider a finite number of plane waves received by
an array of isotropic antennas, these are separated by a short distance.
In the case of one tag, the signal in reception xi (t) is the same signal emitted
by the tag to the first antenna s(t) delayed by τi , expressed as a phase shift:
xi (t) = s(t)e−j2πf τi + ni (t) (1)
Where f is the frequency of the carrier wave equal to 867 MHz, n is a noise
caused by the propagation channel and the receiver front end components, and
τi is the delay given by τi = id sin θ/c, where c is the celerity of light and i is the
number of antenna, assuming that i = 0 for the first antenna, as shown in the
left of Fig. 1. knowing that fc = λ and submitting in (1) gives:
−j2πid sin θ
xi (t) = s(t)e λ + ni (t) (2)
Fig. 1. Incoming signals
In the case of more than a tag, as illustrated in the right of Fig. 1, the signal
in reception is the sum of all the signals sent by each mobile node:

P
xi (t) = sk (t)e−j2πid sin θk /λ + ni (t) (3)

k=1
The latter equation can be written in its matrix form as follows:

X = A S + N (4)
32 A. Zier et al.

where X is the received signal by each antenna of the array, S is the
transmitted signal from each tag, N is the additive noise vector, and A the
steering matrix, where Ai,k = e−j2πid sin θk /λ .
3 MUSIC Algorithm
This algorithm is based on the orthogonality between the signal space and the
noise space, The first step is to calculate the correlation matrix, considering K
is the number of samples than substitute [X] using (4) gives:
1
K
Rxx = E[X.X ∗ ] = x(t).x(t)∗ (5)
K t=1
= A.E[S.S H ].AH + E[A.S.N H ] + E[N.S H .AH ] + E[N.N H ] (6)
As the signal and the noise are orthogonal, their correlation is null, so the
middle terms of (6) are omitted more of that If we consider that the signals s(t)
are decorrelated, E[Si , SjH ] = 0 if i = j and E[Si , SjH ] = P Wi if i = j, where
P Wi is the power of the signal si (t), so Rss = P W.I so we obtain :
Rxx = A.E[S.S H ].AH + E[N.N H ] = [A].Rss .[A]H + Rnn (7)

H 2
= [A].Rss .[A] + σ .I (8)
Where I is the identity matrix of size M , and σ 2 is the covariance noise

matrix.
As we can observe Rss is a diagonal matrix where its diagonal elements
represent the power of the signal which has been sent by the tag, so for the case
of uncorrelated signals this matrix is non-singular.
In the other side assuming that the signals x(t) are totally decorrelated, as
a consequence Rxx is hermitian, thus as the spectral theorem, it can be written
as: Rxx = [V ].[DD].[V ]H , where [DD] is the eigenvalue diagonal matrix, and [V ]
is the eigenvector matrix. As a result:
Rxx = [A].Rss .[A]H + σ 2 .I = [V ].[DD].[V ]H (9)
Resolving this latter equation conducts us to define the eigenvalue as the

power matrix (PW) seen before, and the eigenvector matrix as a matrix that
contains two subspaces: The signal one that contains vectors related to the P
big eigenvalues, when the other M − P vectors related to the small eigenvalues
form an orthogonal basis for noise space.
can be easily found using the resulting
Finally, the direction of arrival (θ)
noise vectors (VN ), by testing all angels from −90◦ to 90◦ , the ones that minimize
the inner product: S H (φ).VN .VNH .S(φ). With other manner, θ = φ where Pmusic
is maximized:
1
P music = (10)
abs(S H (φ).VN .VNH .S(φ))
4 Spatial Smoothing
In real life it is impossible to have decorrelated signals due to multipath problem
explained in [2], this issue is caused by reflections of the electromagnetic wave on
the walls of a room as example as illustrated in Fig. 2, in such case every signal
has some copies mitigated in power and delayed in time:
sk (t) = αk s1 (t) (11)
Fig. 2. Multipath problem.
where αk is the factor of mitigation and s1 (t) is the original signal incoming
from the tag. As a result, If we assume that ||s1 (t)||2 = 1 the source covariance
matrix Rss given in (12), is singular and not of full rank so some eigenvalues are
null, thus it is impossible to extract the noise subspace as done in the previous
section.
⎡ ⎤
1 α1 α2 . . . αk
⎢α1 α12 α1 α2 . . . α1αk ⎥
⎢ ⎥
Rss = ⎢ . .. .. .. ⎥ (12)
⎣ .. . . . ⎦
αk αk α1 αk α2 . . . αk2
That kind of barrier is similar to the one encountered in the ATC navigation
and surveillance systems exposed and solved by Evans in [3] and reinterpreted
by Chen in [4], where he separate the ghost signals and the original ones, by
dividing the whole sensors array into L = M − m + 1 overlapping sub-arrays,
each one includes m sensors as illustrated in Fig. 3.
Fig. 3. Sub-arrays of the spatial smoothing scheme.
The received signals at the lth sub-array can be expressed as:

xl (t) = Am ψ l−1 s(t) + nl (t) (13)
34 A. Zier et al.
Where Am is the same one in (4) but including just the m-first antennas so
it is a m × P Vandermonde matrix, and ψ is the shifting matrix given by:
⎡ 2πd sin θ1
⎤
−j
⎢e 0 ... 0
λ
⎥
⎢ 2πd sin θ2 . .. ⎥
⎢ 0 e−j λ . . . ⎥
ψ=⎢ ⎢ ⎥ (14)
. . . ⎥
⎢ .. .. .. 0 ⎥
⎣ ⎦
2πd sin θP
0 ... 0 e−j λ
Also it is possible to obtain the received signals covariance matrix of the l−th
sub-array by replacing A in (9) by its equivalent from (13):
Rl = Am ψ l−1 Rss (ψ l−1 )H AH 2

m+σ I (15)
Then the global received signals covariance matrix is given by means of the
L covariance matrix of every sub-array:
1
L
L H
Rxx = Rl = Am Rss Am + σ 2 I (16)
L
l=1
L
Where Rss is the smoothed source covariance matrix defined as:
1 l−1
L
L
Rss = ψ Rss (ψ l−1 )H (17)
L
l=1
And by decomposing Rss into its square root and the hermitian square root
matrix, it is possible to write:
L
Rss = GGH (18)
Where:
G = [α, ψα, ψ 2 α, ..., ψ L−1 α]
⎡ ⎤⎡ (L−1)
⎤
α1 0 . . . 0 1 D1 D12 . . . D1
⎢ 0 α2 . . . 0 ⎥ ⎢ (L−1) ⎥
⎢ ⎥⎢ ⎢
1 D2 D22 . . . D2 ⎥
⎥
(19)
=⎢ . . .. ⎥ ⎢ . .
⎣ . .
. . . ⎦ ⎣ .. .. .. ⎥
.
⎦
0 0 . . . αk 2 (L−1)
1 DK DK . . . DK
2πdk sin θ1
Where Dk = e−j λ .
From (19) two things are observed: The first is that the left matrix containing
mitigation coefficients reflect the energy of every signal so each row has at least
one non zero element. The second is about the right matrix which represent the
direction vector matrix, as this last one is a Vandermonde one it is non-singular
for L ≤ K thus the vectors are linearly independents.
The two observations above conduct us to conclude that the matrix G is of
L
rank K, consequently from (18) Rss is too of full rank, the thing that allows us
to extract the noise subspace then to estimate the directions of arrival.
5 Simulation, Experiment and Results

In this section, we show all the simulations and give their results to hight-light
the improvements brought by the technique of spatial smoothing in conjunction
with the MUSIC algorithm and also to chose the best configuration as number
of sub-arrays, number of tags. In addition we present an experiment to be more
realistic.
To do that we take two situations, the first one is about one planar wave front
at 30◦ as direction of arrival, accompanied by two interfering signals, one of them
at 35◦ attenuated to 1/5 of the original one, the other one at 50◦ mitigated to
1/2 of the expected signal.
In the second we take 2 Tags at 1◦ and 10◦ from the array sensors, the first
signal has two interfering signals (θ1 = 7◦ , P ow1 = 0.3 and θ1 = 5◦ , P ow1 =
0.6) and the second signal is accompanied by one interfering signal (θ2 = 17◦ ,
P ow2 = 0.7).
In both of the above situations the signal that have been sent is an amplitude
modulated one containing the Id of the tag, transmitted at a carrier frequency of
867 MHz. To be closer from the reality we take 5000 samples for each signal. To
simulate the propagation problems due to the environment, −10 dB was taken
as signal to noise ratio.
The reception side consist of 10 antennas separated by 0.17 m which is equal
to λ/2. Differently to many simulations done by other researchers, we have not
neglected the undesirable effects of the different blocks of a transmission chain,
by simulating the filtering and the demodulation of the received signal following
the RFID reader diagram in [5].
Fig. 4. Results of simulation.
As a first step we present the graph of the pseudo-spectrum of both the

root music and the one where we applied the spatial smoothing technique as
illustrated in the left graph in Fig. 4, and as a clear observation for one pretended
Direction of arrival the original MUSIC algorithm detect two DoA (at 34◦ and at
52◦ ) which means that the reflected signal has been also taken in consideration
as a useful signal.
In the second example shown in the right graph in Fig. 4, The old version
of the algorithm neglects a whole direction of arrival, since the spectrum shows
36 A. Zier et al.
there is only one peak. So in this situation and the previous one the spatial
smoothing preprocessing method gives MUSIC more accuracy in results, by
smoothing the spectrum for the minimum power angles representing ghost sig-
nals and focusing on the maximum power angles that represent a direct reception.
To have a good interval confidence, each experiment has been repeated 200
times, then all the mean squared errors defined by (20) Have been averaged.

P 2
1
RM SE = θi − θî (20)
P i=1
Where θî is the estimated DoA, θi is the real DoA and P is the number of
TAG in the environment of the array-sensors.
The spatial smoothing can be more precise by choosing the right number of
sub-arrays, To see the impact of this criteria, we change every time the number of
antenna of each sub-array, in other words we changed the number of sub-arrays
then we calculate the mean error, at the end we plot the graph shown in Fig. 5.
Fig. 5. Impact of the number of sub-arrays on the accuracy.
As the number of the largest coherent sources group is 2 in both cases, so

the spatial smoothing technique gives more accurate results when the number of
sub-arrays is greater than 2, in our case the minimum RMSE is resulted when
the sensor array is divided into 3 groups as shown in Fig. 5. This observation can
be demonstrated theoretically that for L > P , the averaged covariance matrix
is of full rank, considering that P is the number of the largest coherent sources
group.
However it is good to increase the number of sub-arrays, it is important to
keep in mind that going up over some number will deteriorate the results due to
the reduction in the aperture, something we notice significantly in Fig. 5 (L > 5
and L > 6 respectively for the 1st and the 2nd example of this simulation).
As any scientific research, the simulation is an essential step but not a suffi-
cient one. So we tried a real experiment in an anechoic chamber where we put
the tag at 5 m from the array antenna and in direction of 0◦ which is the most
difficult AoA to estimate. We divide the whole antenna’s array into 3 sub-arrays,
respecting the rules resulted in the previous simulation works.
After taking the recorded signals from the reception antennas we transfer
them to Matlab software then we extract the part containing the Identification
code of the tag, shown by red color in Fig. 6.
Fig. 6. Signals recorded at the receiving antennas.
A spatial smoothing preprocessing combined with MUSIC algorithm was

applied on those signals, The results are shown in Fig. 7, and as it is clear the
DoA was estimated successfully, represented by a sharp peak at 0◦ .
Fig. 7. Results of the experiment work.
In their works, Dizon et al. in [6] use a root music algorithm, also Kronberger
et al. in [7] develop A Transmitter Beam-forming System, in both experiences
the aim was to estimate the AoA of a tag at 5 m, this allowed us to compare and
to prove the robustness of the spatial smoothing technique versus other methods
used for estimating the direction of arrival. Table 1 shows the results of the three
methods.
Table 1. Results of different methods
Method Root music Angle of activation MUSIC with spatial smoothing

Theoretical DoA (◦ ) 14 0 0
Measured DoA (◦ ) 9.17 2 0
Error (◦ ) 4.83 2 0
38 A. Zier et al.
6 Conclusion and Future Works

In this paper, we present the spatial smoothing scheme and we observe its contri-
bution in the field of indoor localization based on RFID technology. We proposed
some simulation that have allow us to see the improvement brought to MUSIC
algorithm using this preprocessing method proposed by Evans.
Also we adjust some parameters like the number of sub-arrays, However this
parameter is important, there is some other parameters that must be studied in
the future to get more accuracy and less latency.
References
1. Guo Z, Wang X, Heng W (2017) Millimetre-wave channel estimation based on
two-dimensional beam-space MUSIC method. IEEE Trans Wirel Commun ASSP–
16(8):5384–5394
2. The Institution of Engineering and Technology (2013) Introduction to multipath
propagation. In: Barclay L (ed) Propagation of radiowaves, 3rd edn. pp 121–130,
London
3. Evans JE, Johnson JR, Sun D (1982) Application of advanced signal processing
techniques to angle of arrival estimation in ATC navigation and surveillance systems.
Technical report, Lincoln Laboratory
4. Chen Q, Liu R (2011) On the explanation of spatial smoothing in MUSIC algo-
rithm for coherent sources. In: International conference on information science and
technology, Nanjing, Jiangsu, China, pp 699–702
5. Dobkin DM (2008) UHF RFID readers. In: The RF in RFID passive UHF RFID in
practice, Burlington, pp 126–155
6. Dizon CA, Mendoza CFU, Lorenzo RU (2012) Direction of Arrival (DoA) estimation
using root-MUSIC algorithm on the NI PXIe platform. In: TENCON 2012 IEEE
region 10 conference, pp 1–4, November 2012
7. Kronberger R, Dettmar U, Hudasch C, Lerche R (2016) A transmitter beamforming
system for the localization of passive RFID tags. In: Radio and wireless symposium
(RWS), pp 252–255. IEEE, January 2016
Analysis of Epstein Distribution Effect
on the Plasma Reflectance
Yasser Ekdiha(B) , Khalid Mounirh, Soufiane El Adraoui, Mohsine Khalladi,

and Mohamed Iben Yaich
Telecommunication and Information Systems Laboratory (Lasit),

Department of Physics, Faculty of Sciences, Abdelmaled Essaadi,
P.O 2121, 93000 Tetouan, Morocco
Yasser.ekdiha@gmail.com
Abstract. To analyze the interaction between electromagnetic waves

and plasma, the behaviour of electrons contained in this medium must be
understood and modeled. In this paper, the interaction with cold plasma
is analyzed using the (PLCDRC-TLM) method. As the electron density
in plasma can be moduled using Epstein formula, and its distribution is
a function of the grad coefficient σ, the effect of this parameter and the
electron collision frequency υc on the reflection coefficient is calculated.
The results show that with different σ and υc , the reflection coefficient
is affected.
Keywords: Plasma · Electromagnetic waves

Transmission Line Matrix (TLM) method · Epstein distribution
1 Introduction
The Transmission Line Matrix (TLM) method is one of the well-known time
domain method based on the discrete model of Huygens’s principle. Over the
last decade, several techniques have been reported to incorporate the treatment
of frequency-dependent media into conventional John’s algorithm [1], one of
these techniques is the PLCDRC-TLM [2,3]. In this paper, a quick introduc-
tion of PLCDRC-TLM method in the dispersive time-domain is presented, then
this method is used to calculate the reflection coefficient with a plasma distri-
bution of Epstein formula. This kind of analysis has been discussed using the
FDTD method [4]. The figures presented below show: the relationship between
the reflectance and distribution grads coefficient σ, and the relationship between
the reflectance and the electron collision frequency υc . The reasons for the rela-
tionships are discussed.
2 PLCDRC-TLM Method
The PLCDRC-TLM technique is used to analyze the effect of Epstein distri-
bution on the reflectance. The algorithm is based on the recursive calculation
https://doi.org/10.1007/978-981-13-1405-6_6
40 Y. Ekdiha et al.
of the current density J. For isotropic cold plasma, the well knowing Maxwell
equations and the constitutive equations are given by:
∂E
∇ × H = ε0 +J (1)
∂t
∂H
∇ × E = −μ0 (2)
∂t
dJ
= ε0 ω p E − υ c J
2
(3)
dt
where: E is the Electric field, H the Magnetic intensity, J the Polarisation
current density, ε0 the Permittivity of free space, μ0 the Permeability of free
space, υc the Electron collision frequency and ωp is the Plasma frequency.
After calculations, as explained in [2], with the use of analogies between the
field and circuit parameters, the update equations are obtained as follow:
1
ψun = [(Δσ 0 − Δξ 0 )Vun + Δξ 0 Vun−1 ] + exp(−υΔt)ψun−1 (4)
Δl
Δl 1 2ε0 n+ 12
Vun+1 = [ ( − ξ 0
)V n
u + 2(∇ × H)u − 2Jun + ψun ] (5)
2ε0
Δt + σ 0 − ξ 0 Δl Δt
1 2ε0 n+ 1 2ε0 0 n 2ε0 n

Jun+1 = [( −σ 0 +ξ 0 )Jun +2(σ 0 −ξ 0 )(∇×H)u 2 + σ Vu − ψ ] (6)
2ε0
Δt
+σ −ξ 0 0 Δt ΔtΔl Δt u
The validity and the accuracy of the PLCDRC-TLM method have been ver-
ified through a comparison between the obtained numerical solutions and the
analytical ones in [2].
3 Epstein Distribution
The Epstein distribution is used to model a variety of mediums that contains
electrons of high density. It is particularly useful in modeling the plasmas [5].
The Epstein distribution of the plasma electron density in the slab geometry
utilized is:
n0
η(z) = (7)
1 + exp(− z−0.5z
σ
0
)
Where: n0 is the peak value of the electron density at z = +∞, z0 is the plasma
thickness, and σ represents the grads coefficient.
The plasma slab is of Epstein distribution with a thickness of 1.5 cm, and
the peak value of the electron density: n0 = 3.11 × 1019 m3 . The reflectance
is calculated for six cases, two different values of the plasma collision frequency
30 GHz and 60 GHz, and for each collision frequency, the reflexion is calculated
for σ values of 0.5 cm, 1.0 cm and 5.0 cm. So the effect of the two parameters
(υc , σ) on the plasma reflectance is compared.
Analysis of Epstein Distribution Effect on the Plasma Reflectance 41
The incident wave used is a differential Gaussian pulsed plane wave of

expression:
t − 10T0 2
Ei (t) = exp(− ) (8)
τ2
Δl
Where: Δt = 2C , T0 = 2F1 0 , τ = 4 × T0 and F0 = 100 × 109 Hz
And the computational domain is subdivided into 800 cells, cells from 301 to
500 are occupied by cold plasma, and the rest is occupied by the free space.
Fig. 1. Effect of sigma in Epstein distribution on plasma reflectance at υc = 30 GHz
Fig. 2. Effect of sigma in Epstein distribution on plasma reflectance at υc = 60 GHz
In Fig. 1, for υc = 30 GHz, as in the others figures, the grads coefficient

is 0.5 cm, 1.0 cm and 5.0 cm. For the the grads coefficient σ = 0.5 cm, the
reflectance is not affected a lot, the curve swings smoothly. With σ = 1.0
cm a sharp decrease is remarkable between the frequency range from 35 GHz
42 Y. Ekdiha et al.
to 65 GHz. As for σ = 5.0 cm the reflectance swings smoothly from 0 GHz to

70 GHz, and decreases sharply from 70 GHz to 98 GHz.
In Fig. 2, there exists an optimal region. As υc = 60 GHz with σ
of 0.5 cm, 1.0 cm and 5.0 cm, the optimal regions obtained are as follows:
33−62 GHz, 60−88 GHz and 71−98 GHz correspondingly. Within these regions,
the reflectance can be reduced effectively. For different collision frequencies, the
optimal regions change.
As a result of the comparison between the two figures, the electron collision
frequency and the grads coefficient, are two parameters that play an important
role in reducing the reflectance.
4 Conclusion
In this paper, the PLCDRC-TLM method is used to analyze the interaction

between electromagnetic waves and cold plasma. As the electron density of the
plasma is distributed as the Epstein formula, and the distribution depends on
the grads coefficient, the effect of this parameter and electron collision frequency
on the reflection coefficient are also studied.
References
1. Johns PB (1987) A symmetrical condensed node for the TLM method microwave
theory and techniques. IEEE Trans Microw Theor Tech 35:370–377
2. Mounirh K, El Adraoui S, Charif M, Khalladi M, Iben Yaich M (2013) A new TLM
formulation for dispersive media. Int J Res Comput Appl Robot 1(4):7–13
3. Mounirh K, El Adraoui S, Charif M, Khalladi M, Iben Yaich M (2015) Modeling
of anisotropic magnetized plasma media using PLCDRC-TLM method. Optik Int J
Light Electron Opt 126(1):1479–1482
4. Yang J, Zhon Y, Zan Y, Chen R (2006) SO-FDTD analysis of the plasma reflectance
of Epstein distribution. Plasma Sci Technol 8(6):708
5. Becker KH, Kogelschatz U, Schoenbach KH, Barker RJ (2004) Non-Equilibrium
Air Plasmas at Atmospheric Pressure. Series in Plasma Physics. CRC Press, Boca
Raton
Effect of Packet Length on the Resulting
Bitrate in Narrowband Wireless Networks
Youssra Chatei1(&), Kamal Ghoumid1, El Miloud Ar-reyouchi2,

Hamza Barboucha1, and Omar Sefraoui1
1
Laboratory Renewable Energies, Embedded Systems and Information
Processing, ENSAO, Mohammed I University, Oujda, Morocco
youssrachatei@yahoo.fr, k.ghoumid@ump.ac,
barbouchahamza@hotmail.com, osefraoui@gmail.com
2
Department of Telecommunications and Computer Science,
Abdelmalek Essaadi University Tetouan and SNRT, Tetouan, Morocco
arreyouchi@hotmail.com
Abstract. In this paper, we study the effect of packet size on resulting bitrate
characteristics in a wireless real-time application. We derive an analytical model
for the dependency between message payload length and payload bitrate char-
acteristics. We validate our practical analysis through experiments in a wireless
network using Narrowband RF mesh technology. We show that careful design
of packetization schemes according the modulation type in the application layer
may significantly improve radio link resource utilization.
Keywords: Wireless network Narrowband

Packet-switched wireless networking Digital wireless channel
1 Introduction
A wireless mesh network (WMN) is an essential part of modern telecommunications, it

is a communications network made up of radio nodes organized in a mesh topology. In
wireless network, the average message size [1] and payload bitrate are considered
among the most important measures in determining the accomplishment of a
connection.
The narrowband RF Mesh technology uses lower bandwidth radio frequencies
which are less crowded and more reliable. Narrowband applications use considerably
less power and are less spectrum intensive than those using higher frequencies. Thus,
with narrower bandwidth of the transmitted signal, the channel spacing can be
decreased and thus the number of channels that can fit into a given radio spectrum
block will important. These are usually characterized by simpler hardware and oper-
ating systems [2]. Narrowband Router transceivers transmit and receive data over a
very narrow bandwidth (a few kHz) in the licensed privy radio frequency (RF) spec-
trums [3]. It uses Forward Error Correction (FEC) algorithms in order to furnish
protection against noise errors as in the case of a DTT (Digital Terrestrial Television)
broadcasting system.

https://doi.org/10.1007/978-981-13-1405-6_7
44 Y. Chatei et al.
FEC is a very effective method to minimize radio channel impairments. Basically,

the sender inserts some redundant data into its messages, this redundancy allows the
receiver to detect and correct errors. The improvement comes at the expense of the user
data rate. So, we can see the effect of the modulation and FEC on bitrate versus packet
length. The User data rate = Modulation rate FEC ratio.
The industrial narrowband land mobile radio devices, as treated in this paper, have
been the subject to European standard ETSI EN 300 113 [3, 4]. The system functions
on frequencies between 30 MHz and 1 GHz, with channel separations of up to 50 kHz,
and is designed for private, fixed, or mobile, radio packet switching networks [5].
Packet switching has emerged to be the most appropriate switching and multiplexing
methodology. The reasons are that it is not only very flexible in supporting applications
with different bandwidth (delay, error, etc.) requirements, but also very efficient in
simultaneously supporting many applications with diverse characteristics. To design a
wireless packet switched network to support multimedia applications with diverse
communications requirements, it is necessary to understand the networking resources
available in a packet switched network; these resources depend on whether the packet
switched network is a shared medium type or point-to-point type network [6].
In the shared medium type, the only networking resource is the shared spectrum or
networking bandwidth. The allocation of such resource to individual user is according
to a medium access control (MAC) protocol, for which the design of a MAC protocol is
essential to guarantee the performance of multimedia applications [7]. For a point-to-
point type network, the networking resources include not only switching and trans-
mission bandwidth, but also buffers at the switching nodes and network access points
[7]. When the wireless MAC layer employs retransmissions, it is reasonable to reduce
the MAC layer retransmissions by decreasing the packet size [8]. Another motivation is
to improve the efficiency in radio link utilization. Retransmissions waste the channel
capacity and decrease the overall performance of the network.
So, it is necessary according which above to study the relationship between
modulation, packets size and payload bitrate on the one hand and how these factors
vary depending on the channel spacing on the other hand.
In this paper, we study the impact of message size on the payload bit rate in a
wireless real-time application based on packet switching. We show that realized
experimental measures prove that there is a relationship between the modulation types,
the channel spacing, the payload bit rate and the packet length. We approve that the
resulting bitrate versus average message size, offers a remarkable flexibility results and
gives a simple and quick idea of the possible bitrate.
This paper is organized into five sections including introduction. Section 2 gives
the analysis of a Wireless Channel and explains the system model. The experimental
setups will be described in Sect. 3. The Sect. 4 evinces the experimental results.
Finally, conclusions are given in Sect. 5.
2 Analysis of a Wireless Channel
The network model is based on packet switching with direct wireless transmission
using two Radio routers for forwarding messages (see Fig. 1).
Effect of Packet Length on the Resulting Bitrate 45
Fig. 1. Network model
Router mode is suitable for Multipoint networks [9]. Two different Radio protocols
(Flexible and Base driven) are available to offer best performance dependent on type of
application. These protocols can transmit both unicast and broadcast frames. They have
collision avoidance capability, use frame acknowledgement and retransmissions, a
cyclic redundancy check (CRC) to guarantee data delivery and integrity, even under
harsh interference conditions on the Radio channel [10].
In this work, there is only a link between the two nodes where transmitters using
two types of digital modulation QAM and FSK modulation. These types have been
chosen because they are adapted to be coupled to this application (according to need) to
know:
• FSK is suitable for difficult propagation conditions, extended hops, non-line of
sight, noise/interferences on Radio channel. Also, we can send higher RF output
power. Compared to QAM, FSK is characterized by narrower bandwidth, a lower
symbol rate and higher sensitivity.
• QAM also has great significance, it is suitable for normal conditions offering higher
data throughput. QAM is characterized by wider bandwidth. RF output power is
limited. The spectral efficiency is higher, power efficiency is lower and system gain
is typically lower.
In this scenario, such as presented in Fig. 1, we have put some assumptions:
– The message length L (in bits) is divided into p packets transmitted on the various
transmission medium at the same rate of Dbit/s.
– The transmission time of the packets on the medium intervenes to determine the
performances.
– That the transfer time on the medium and the processing time are zero.
Suppose Host A begins to transmit the packet P1 at time t = 0 over the link L1 . This
packet is received by node 1, R1 , at t0 þ T where T is the transmission time of a packet.
The packet is retransmitted immediately on node 2, R2 , while the second packet is
transmitted on link L1 .
46 Y. Chatei et al.
In a network based on packet switching, the delay caused by the data-rate to

transmit a message between two router units, is proportional to the packet’s length in
bits, as giving by the following formula:
tD ¼ L=pD ð1Þ
Where p and D are the number of packets and data rate respectively.
The spectrum efficiency g given by (2), it expresses how effectively the radio router
uses its assigned bandwidth Rb
Rb
g ½bit=s=Hz ¼ ð2Þ
B
Where Rb is the raw bit rate given in [bits/s] and B is the frequency bandwidth
assigned to the radio system, 25 kHz in particular.
3 Practical Experiments
The system consists of two parts, related hardware and management software. The
system hardware is divided into on-site data monitoring unit, wireless transmission unit
and monitoring center. The software adopts decentralized collection and centralized
control management model, providing users basic information management, real-time
monitoring, fault alarm, fault records, maintenance reminder, maintenance records,
failure statistics, bulletin boards, industry news and so on. The equipment, including
computer software used, are:
– Two Radio routers (using the frequency band 160 MHz) which are characterized by
the SNMP (Simple Network Management Protocol) that will support the base MIB
(Management Information Base).
– We can use the omnidirectional antenna KA160.3 which is designed for base radio
stations working in bands of 158–174 MHz. The antenna, used in our application,
has an omnidirectional radiation pattern with the gain of 3 dB and is adapted for the
top-mounting. The values received at the level of each site vary between 38 and
70 dBlV.
– The output power of each radio router varies between 0.1 and 2 W.
We will disable the ACK setting, that it requires additional bandwidth to repeat
corrupted frames. Therefore, it is no requirement to receive ACK from the receiving
Radio router, it is mean that the packet is transmitted only once and it is not repeated.
The following Table 1 lists technical parameters selected.
Table 1. Other settings Status/Mode/Type have to be taken into account.

Settings Status/Mode/Type
ACK Off
FEC Off
Modulation QAM/FSK
Channel spacing [kHz] 50/12.5
Operating Router
4 Results
This section describes the experiments results. The presented measurements show how
Payload bitrate varies depending on the several Message sizes for fixed values of
channel spacing 50 kHz and 12.5 kHz and according to the modulation type.
According to the results shown in Fig. 2, it can be observed that the Payload bit rate
increases considerably for the Message size values increase until 500 bytes, then
increases slowly from 500 bytes to 1500 bytes. Additionally, one can see that the
modulation type can also promote a significant increase in payload bitrate.
Fig. 2. Payload bitrate vs Message size for spacing channel 50 kHz with modulation type QAM
and FSK.
The Fig. 3 shows the results of payload rate versus message size for channel
spacing 12.5 kHz with modulation type QAM and FSK.
The results illustrated in Fig. 3 show that the payload bitrate is increased when the
message size increases. For the QAM modulation type, we notice that the payload bit
rate increases significantly from 10 to 36.21 kbps, and then increases slowly from
36.21 to 40 kbps for a message size ranging from 500 to 1500 bytes. For the FSK
modulation type, the Payload bit rate increases for the Message size values increase
until 500 bytes.
48 Y. Chatei et al.
Fig. 3. Payload bitrate vs Message size for spacing channel 12.5 kHz with modulation type
QAM and FSK.
The Fig. 4 shows the comparison of results obtained for the two types of modu-
lation QAM and FSK, with the channel spacings of 12.5 and 50 kHz by considering
different fixed message sizes.
Fig. 4. The comparison of results obtained for the two types of modulation QAM and FSK, with
the channel spacings of 12.5 and 50 kHz.
The results in Fig. 4 show that the use of channel spacing as well as the type of
modulation in wireless networks has a significant effect on the payload bitrate. Addi-
tionally, our results reveal that the channel spacing promotes a further increase of
payload bitrate. The following Table 2 gives a summary of a comparative overview of
the results.
Table 2. Comparison of experimental values

Message size (bytes) Payload bitrate (kbps)
Modulation type QAM Modulation type FSK
CS = 50 kHz CS = 12.5 kHz CS = 50 kHz CS = 12.5 kHz
100 89 25.68 30.07 7.81
500 137.57 36.21 38.11 9.84
1000 150.3 38.67 39.76 10
1500 155.32 39.6 40.37 10.14
The table above illustrates that for fixed message size of 1000 bytes, the Payload
bitrate (kbps) of a QAM (CS = 50 kHz) increases by 26.45% and QAM (CS = 12.5
kHz) increases by 25.85 Vs FSK respectively. It can be observed that the QAM has a
remarkable improvement on bitrate versus message size. It offers a high bit rate
compared to FSK modulation.
5 Conclusion
In this paper, we have observed packet delay patterns in the application layer of a
wireless packet-switched renewable energy management and Control System, which
we have studied via practical measurements. The measurement results show that the
Modulation type and the Channel spacing although MAC layer mechanisms of speed
Narrowband RF mesh generally perform very well bitrate for packets with different
lengths. Our analysis shows that there is a straightforward connection between bit rate
characteristics and observed packet size FEC and ACK.
References
1. Ar Reyouchi EM, Ghoumid K, Ameziane K, El Mrabet O, Mekaoui S (2013) Performance
analysis of round trip delay time in practical wireless network for telemanagement. Int J
Electr Comput Energ Electron Commun Eng Waset 7(11):1413–1419
2. ETSI EN 302 561 V1.2.1 (2009) Electromagnetic compatibility and Radio spectrum Matters
(ERM), Land Mobile Service; Radio Equipment using constant or non-constant envelope
modulation operating in a channel bandwidth of 25 kHz, 50 kHz, 100 kHz or 150 kHz;
Harmonized EN covering essential requirements of article 3.2 of the R&TTE Directive.
European Standard. ETSI
3. ETSI EN 300 113-1 V1.6.2 (2009) Electromagnetic compatibility and Radio spectrum
Matters (ERM), Part 1: Technical characteristics and methods of measurement. European
Standard. ETSI
4. Ar Reyouchi EM, Chatei Y, Ghoumid K, Lichioui A (2015) The powerful combined effect
of forward error correction and automatic repeat request to improve the reliability in the
wireless communications. In: International conference on computational science and
computational intelligence (CSCI), pp 691–696
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5. Chatei Y, Hammouti M, Reyouchi EMA, Ghoumid K (2017) Downlink and uplink message
size impact on round trip time metric in multi-hop wireless mesh networks. Int J Adv
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cation and electronics systems (ICCES), Coimbatore, India, October 2017
Impact of Message Size on the Average Delay
in Narrowband Wireless Links
Youssra Chatei1(&), Maria Hammouti1, Amina Ghadban1,

El Miloud Ar-reyouchi2, Slimane Mekaoui3, and Kamal Ghoumid1
1
Laboratory Renewable Energies, Embedded Systems and Information
Processing, ENSAO, Mohammed I University, Oujda, Morocco
youssrachatei@yahoo.fr, maria.hammouti@gmail.com,
ghadbane.amina@gmail.com, k.ghoumid@ump.ac
2
Department of Telecommunications and Computer Science,
Abdelmalek Essaadi University Tetouan and SNRT, Tetouan, Morocco
arreyouchi@hotmail.com
3
University of Science and Technology Houari Boumediene,
Bab Ezzouar, Algérie
smekaoui@yahoo.fr
Abstract. In this paper, the authors propose a metric of radio parameters to

transmit each packet on real operational wireless networks with two fixed nodes
exploring various narrowband channel spacing values. They study the impact of
message size on the average delay in a wireless real-time application based on
packet switching, thereafter, they show experimentally the existence of a rela-
tionship between modulation type, channel spacing, forwarding time and packet
length. The practical results prove that forwarding time versus average message
size offers a remarkable flexibility with efficiency in the transmission and gives a
quick and easy idea of the possible time in the wireless bridge network
performance.
Keywords: Wireless network Narrowband Average delay

Packet switching wireless networking Digital wireless channel
1 Introduction
In radio communications, the term narrowband refers to the situation where the
bandwidth of a radio message does not exceed its channel’s approximate maximum
bandwidth in a significant way. Many data and technologies usually associated with the
narrowband radio can be adapted for transmission over the broadband and wide-band
frequencies
A narrowband radio meets all the requirements set by the United States Federal
Communications Commission (FCC) in terms of usable bandwidth that has mandated
the separation between radio transmission frequencies in the 154–174 MHz. VHF
commercial radio frequency band must be reduced from 25 kHz to 12.5 kHz effective
January 1, 2013 [1], the reduced separation between the transmission frequencies is
called narrow-band channel spacing [2]. The change to narrow-band channel spacing
[3, 4] is dictated by the increasing demand for radio communications frequencies.

https://doi.org/10.1007/978-981-13-1405-6_8
52 Y. Chatei et al.
Wireless networks are being increasingly employed to provide mobile access to

network services. In Wireless networks, among the most important measures to
determine the accomplishment of a connection are the average message size [5] and the
forwarding time [6, 7]. The forwarding time is the average time in milliseconds to
transmit a single packet between two Router units, it required for packets to be pro-
cessed, switched, and queued.
The mission of forwarding time measurements are the collection and preprocessing
of the information from all Router nodes in the network operating.
In this work, the authors used the router mode knowing that in this operating mode,
the node works as a standard IP Router with two interfaces (Radio and Ethernet) and
two COM port devices without any compromise [8]. The IP address of either the Radio
or Ethernet interface in the remote unit can be used for such remote management. Two
different Radio protocols that can transmit both unicast and broadcast frames [9]. These
protocols are available in the Router mode: Flexible and Base driven. They have
collision avoidance capability, use frame acknowledgement and retransmissions, a
Cyclic Redundancy Check (CRC) to guarantee data delivery and integrity, even under
harsh interference conditions on the Radio channel [10, 11].
In this paper, we focus on real operational wireless networks with two fixed nodes
such as in industry remote control applications. We use different parameters such us
forwarding time and message size for a simplistic overview of Router radio network
performance.
As for the rest of the paper, it will be organized into five sections including
introduction. The analysis of a Wireless Channel is introduced in Sect. 2. The exper-
imental setups will be described in Sect. 3. The Sect. 4 evinces the experimental
results. Conclusions are given in Sect. 5.
2 Analysis of a Wireless Channel
We considered a scenario with direct wireless transmission using two radio routers
(router mode) for sending messages that can be transmitted in both directions on a
signal carrier at the same time, as presented in Fig. 1.
Fig. 1. Network model
In this work, we assume all packets P of the same message L (in bits) take the same
route, transmitted on the various transmission medium. Each packet travels from the
node R1 to the node R2 using two types of digital modulation QAM and FSK
modulation.
Impact of Message Size on the Average Delay 53
The FSK modulation belongs to nonlinear modulations, it is characterized by

narrower bandwidth, a lower symbol rate and higher sensitivity. As a result, the power
efficiency is higher, RF output power is varied between 0.1 and 10 W, but spectral
efficiency is lower. Compared to the QAM (linear modulations), it is characterized by
wider bandwidth. RF output power is limited to max. 2 W. The spectral efficiency is
higher, power efficiency is lower.
Suppose we have a Host that starts transmitting the first packet at time t = 0 to the
router R1.
The node 1, R1 will receive the packet at t0 þ tp , where tp . is the transmission time
of a packet. Assuming that the transfer time on the medium and the processing time are
zero, the packet is retransmitted immediately on node 2, R2, while the second packet is
forwarded to router R1.
Most packet switched networks use store-and-forward transmission at the input of
the link. The store-and-forward delay or forwarding time is the average time in mil-
liseconds to transmit a single packet between two Router units. This delay is given by
the following formula:
tp ¼ L=D ð1Þ
For p packets, the transmission time between two Router units is:
tp ¼ L=pD ð2Þ
Either again, the crossing time of the network (T) taking into account the protocol
data (H), which must be added to each package hence [6]:

L þ pH N
T¼ 1þ ð3Þ
D p
Where L is the packet length in bits, D is the data rate in bits per second and N is
the number of nodes.
There is a sophisticated anti-collision protocol on Radio channel, where every
single packet is acknowledged. Moreover, each unit can simultaneously work as a
store-and-forward repeater.
3 Practical Experiments
The system consists of two parts, related hardware and management software. The
equipment, including computer software used, are:
– Two Radio routers using the frequency band 160 MHz which are characterized by
the Simple Network Management Protocol (SNMP) that will support the base MIB
(Management Information Base).
– We can use the omnidirectional antenna KA160.3 which is designed for base radio
stations working in bands of 158–174 MHz. The antenna, used in our application,
54 Y. Chatei et al.
has an omnidirectional radiation pattern with the gain of 3 dB and is adapted for the
top-mounting. The values received at the level of each site vary between 38 and
70 dBlV.
– The output power of each radio router varies between 0.1 and 2 W.
The Processing time is a time for the R1/R2 devices to process queries. We assume
that all nodes have the same processing time which is negligible in this measurement.
We operate the Ethernet interface speed for the serial (COM) interface using TCP/IP.
As the forwarding time measurement is affected by different parameters of the
wireless network the various conditions have to be required on the selection of wireless
network. These conditions are mentioned in Table 1.
Table 1. Other settings Status/Mode/Type have to be taken into account.

Settings Status/Mode/Type
ACK Off
FEC Off
Modulation QAM/FSK
Channel spacing [kHz] 50/12.5
Operating Router
4 Results
In this section, we present measurements that show how Average time in milliseconds
varies in terms of different messages size (0 up to 1500 bytes) using different types of
modulation and channel spacing.
The Fig. 2 gives results of Average time versus message size for two types of
modulation with channel spacing 50 kHz.
In light of these results, it is easy to see that the Average time is increased when the
message size increases.
Fig. 2. Average time versus message size for channel spacing 50 kHz with FSK and QAM
modulation types.
The Fig. 3 shows the results of Average time versus message size for channel
spacing 12.5 kHz with two modulation types FSK and QAM.
Fig. 3. Average time vs message size for channel spacing 12.5 kHz with FSK and QAM
modulations.
The results illustrated in Fig. 3 show that the average time increases linearly with
respect to the message size.
The Fig. 4 shows the comparison between measurement results of Average time for
two modulation types QAM and FSK with Channel spacing 12.5 kHz and 50 kHz.
The comparison measurements in Fig. 4 show that the modulation QAM with
channel spacing 50 kHz has a remarkable improvement on Average time versus
message size. Additionally, our results reveal that channel spacing 50 kHz have a
positive effect on reducing Average time (msec) compared to channel spacing
12.5 kHz. The following Table 2 gives a summary of a comparative overview of the
results.
Fig. 4. Comparison between measurement results of average time for two modulation types
with channel spacing 12.5 kHz and 50 kHz.
56 Y. Chatei et al.
Table 2. Comparison of experimental values

Message size (bytes) Average time (msec)
Modulation QAM Modulation FSK
CS = 50 kHz CS = 12.5 kHz CS = 50 kHz CS = 12.5 kHz
100 12 40 34 131
500 31 117 111 438
1000 55 213 207 822
1500 99 309 303 1206
The table above illustrates that for fixed message size of 1000 bytes, the Average
Time (msec) of a QAM (CS = 50 kHz) increases by 26.57% and QAM (CS = 12.5
kHz) increases by 25.91 Vs FSK respectively. It can be observed that the QAM has a
remarkable improvement on Average Time (msec) versus message size. It offers a low
time in milliseconds to transmit a single packet between two wireless radio routers
compared to FSK modulation type.
5 Conclusion
The present paper aims to give a more accurate overview of performance improve-
ments based on several basic parameters. The purpose of our work is to show what
effect the packet length has on the resulting Average time. To show this effect, we
realized experimental measurements to prove that the modulation type has an influence
on Average time versus message size. It should be noted that the QAM modulation has
a remarkable improvement on Average Time compared to FSK modulation.
In addition, the channel spacing has also a significant influence on Average time.
When the channel spacing increases the Average time decreases with different values
that may take message size.
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2. ETSI EN 302 561 V1.2.1 (2009) Electromagnetic compatibility and Radio spectrum Matters
(ERM), Land Mobile Service; Radio Equipment using constant or non-constant envelope
modulation operating in a channel bandwidth of 25 kHz, 50 kHz, 100 kHz or 150 kHz;
Harmonized EN covering essential requirements of article 3.2 of the R&TTE Directive.
European Standard. ETSI
3. ETSI TR 102 335–1 V1.1.2 (2004) Electromagnetic compatibility and Radio Spectrum
Matters (ERM). System reference document for harmonized use of Digital Mobile Radio
(DMR), Part 1: Tier 1 DMR, expected to be for general authorization with no individual
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Comparative Study of PageRank Calculation
Hamza Barboucha(&), Omar Sefraoui, and Kamal Ghoumid
Department of Electronics, Informatics and Telecommunications, ENSAO,

Mohammed I University, Oujda, Morocco
barbouchahamza@hotmail.com
Abstract. In this paper we have analyzed, while varying the damping factor,
convergence in time and iterations of three web site structures solving the
PageRank problem. Every day, more than three billion queries are performed on
Google [1]. To take advantage of opportunities that you’re offered by the search
engines, it is important for your website to achieve high rankings in search results,
in order to reach a larger customer base, increasing its business in other regions
(or countries). One goal of any business is to convert a maximum of Internet users
into potential customers. ALGORITHM [2] links that allowed Google to be so
successful and become what it is today! But how algorithm functions to rank sites
in terms of importance? What formulas is the basis for website ranking? The
developers carry out tests and then draw conclusions. The purpose of this paper is
to find a method (algorithm) which calculates the relevance of each page; we
unveil parts of the code of the largest search engine in the world.
Keywords: Google matrix PageRank Directed networks Ranking

Centrality community Structure Googlebot SEO Social networks
1 Introduction
On the web, links are synonymous with quality. If a site A has a link to a site B, it is
because site B offers relevant content … and if site B itself establishes a link to a site C,
it is because site C is quite enough interesting to site B, which is already recognized as
relevant by Site A and thus make a link to it. And the same applies to site D. GOOGLE
has translated this idea in a page indexing algorithm that it still uses today, and which
has allowed it to emerge as the search engine reference. The web is nothing but a huge
pile of websites that exist next to each other. Sometimes these sites are partners, some
other times they are competitors. Nevertheless, all these sites want the one same thing:
to be visited.
Web links that are so performing have allowed Google to become so powerful! But
how do such links that help rank sites in order of importance function? To answer this
question, we conducted tests on three different websites.
The first part is an introduction to web links and their functioning. The second part
of this work is devoted to the different structures of a site and the methods of calcu-
lating links. The third part describes the link calculation iterations. In conclusion, we
are making recommendations as to the good structure and the appropriate practices that
should satisfy all webmasters and marketing managers who wish to update their
knowledge on SEO.

https://doi.org/10.1007/978-981-13-1405-6_9
Comparative Study of PageRank Calculation 59
2 Calculation of the Importance of Links
In the real world web sites have a large number of pages with multiple links and
different structures (Fig. 1).
Fig. 1. Structure of links between pages of a website
The links [3] on the internet are not random but have been carefully edited. What
in-formation could this graph give us? To analyze the structure of a website we will
neglect the content of pages and only consider the links between them (Fig. 2).
Fig. 2. Site 1: A site has four pages each of which sends links to all other pages
In this study we selected three different structures, simplified for the sake of sim-
plification of the calculations (Fig. 3).
To calculate the relevance [4] or importance of the pages of each website it is
necessary to calculate the importance of the incoming links to each page. Links on a
web page that allowed Google to be so successful and become what it is today! But
how do these links that classifies sites by importance work?
60 H. Barboucha et al.
Fig. 3. Site 2: In this site, the home page (Pa) sends a link to the site map (P1).The latter, in
addition to the return to the home page link sends a link to each page of the site (p2, p3, p4),these
pages emit a link back to the homepage
The basic idea, yet to formalize, is that a link j -> i is a recommendation of page Pj
to go read the page Pi. This is thus a Pj vote in favor of the authority of the page Pi, just
like the principle of elections. Comparison with the election stops there because all the
pages do not have the same power to “vote” (Fig. 4).
Fig. 4. Site 3: Here the homepage (Pa) sends a link to each of the category pages (P1 P2 P3), the
categories send back links to the home page in addition to sending links to other pages on the site
According to the tests we carried out on three different websites (diagram 1, 2, 3), we
noted that the ranking of websites is based on the application of the following formulas:
2.1 Calculation of Incoming Links (in-Page)

The first thing to notice is that an important page receives many links. With a little
naivety, we would assume the reciprocal affirmation: if a page gets a lot of links, so it is
important. Thus we could define the importance f(x) of page x as the number of page
links yi toward page x. As a formula, it is written as follows:
X
f ð xÞ yi ! x ð1Þ
2.2 Outgoing Links (off-Page)

Some pages emit a lot of links: they seem less specific and their weight will be lower.
We therefore agree with the vote of the page yi as L(yi) equally, where L(yi) denotes
the number of connections issued by page yi. Thus we could define a more accurate
measurement:
X 1
f ð xÞ ¼ yi!x
ð2Þ
LðyiÞ
2.3 Relevance of Source Pages

A Page x looks important if many important pages is mentioning it. This leads us to
define the importance f (x) in a recursive way, as follows:
X f ðyiÞ
f ð xÞ ¼ yi!x
ð3Þ
LðyiÞ
Here the weight of the vote yi for x is proportional to the weight f(yi) of the issuing
page. It is easy to state but less obvious to calculate.
2.4 The Damping Factor

The idea of browsing the web is that a user (imaginary) who is randomly clicking on
links will continue to click and come across a specific page, this probability is the
damping factor [5] noted (d) (Fig. 5).
Fig. 5. The first two steps of the user start in the page P2
The damping factor is subtracted from 1 and the result is divided by the number of
pages (N) and this term is then added to the product of the damping factor and the sum
score of the incoming pertinences.
1d X f ðyiÞ
f ð xÞ ¼ þd ð4Þ
N N LðyiÞ
So the importance of any page comes largely from the relevance of other pages.
The damping factor adjusts the derived value downward to limit the weight of votes.
Page X receives links transmitted by pages y1 … yn, the parameter d is adjusted be-
tween 0 and 1 (We usually give d the value 0.85). Similarly, L(y) is defined as the
number of links issued by page y (outgoing links) (Fig. 6).
Example:
Fig. 6. Diagram 1: a website structure
In this diagram, each page (P1 … P11) is a web page. An arrow represents a link
from one page to another one. The page size is proportional to the importance of the
web page in the eyes of googlebot [6]. We note then that page 9, which has the most in-
coming links, has the largest size.
3 Calculation by Iteration
The importance of a page link A depends on the importance of the pages that emit a
link to A, and therefore cannot be determined without knowing the importance of the
latter, and all those that emit a link to them, and so on … moreover, inter pages links
can loop (Fig. 7).
Fig. 7. Diagram 2: a website loop
In this example, the home page (A) sends a link to the site map (B). The latter, in
addition to returning the link to the home page, sends a link to each page of the site
(C, D and E). To avoid “leakage” of Page Rank [7], they emit a link back to the
homepage. The sum of the PR of our pages being 5, we have then no loss due to
incorrect chaining.
d = 0.85
N: number of incoming links
Yi: the source links pages
L(y): number of outgoing links
Example: f(c) = (1 − 0,85)/1 + (0,85)*(1,68)/4 ! 0,51

The importance of a link can be calculated using a simple iterative algorithm. This
means that the calculation of the importance of a page can be done without knowing the
importance of the final pages emitting a link to it. This may seem paradoxical; nev-
ertheless each iteration makes results converge to a more and more precise value. The
only thing to do is to retain the value obtained in order to start the next iteration with
the latter (Fig. 8).
Fig. 8. 2 pages A and B pointing towards each other, P(A) = 0, P(B) = 0.
Let’s reinvent the Web [8] in its simplest form: 2 pages A and B pages pointing
towards one another. Each page has an outgoing link, so L(A) = L(B) = 1.
Fig. 9. First iteration P(A) = 0,15, P(B) = 27
We do not know the relevance of the two pages, so we need a starting value; here
the relevance of each page equals 0 (Fig. 9).
( P f ðBiÞ
f ð AÞ ¼ 1d
N þd N LðBiÞ
ð5Þ
N ¼ 1; d ¼ 0:85
First iteration
f ð AÞ ¼ 0:15 þ 0:85 0 ¼ 0:15

ð6Þ
f ðBÞ ¼ 0:15 þ 0:85 0:15 ¼ 0:2775
Second iteration
f ð AÞ ¼ 0:15 þ 0:85 0:2775 ¼ 0:385875

ð7Þ
f ðBÞ ¼ 0:15 þ 0:85 0:385875 ¼ 0:47799375
We note that the values increase at each iteration.

Another example with 3 pages:
( P f ðBiÞ
f ð AÞ ¼ 1d
N þd N LðBiÞ
ð8Þ
N ¼ 2; d ¼ 0:85
First iteration
See Fig. 10
Fig. 10. First iteration with 3 web pages
Second iteration
The mere fact of sending a link to an external page, from the beginning, makes the
importance of the pages fall down significantly on all pages of the site. The sole cause
of the fall of the importance of the pages comes from the fact that page C returns no
importance to Page A anymore. So if a part of importance is redistributed to an internal
or external page, it makes no difference if there is no back link to other pages (Fig. 11).
Fig. 11. Second iteration with 3 web pages.
After calculating [8] (n iterations) the importance for each one of our sites, we
found the following results (Fig. 12):
Site. 1. According to the structure [9] of the site, all pages are linked to each other,
which mean that no page is predominant. We get the same relevance for all pages,
while increasing ease of navigation for visitors. This type of chaining quickly becomes
difficult to achieve as the number of pages on the site increases [10, 11] (Fig. 13).
Fig. 12. Link to an external web page.
Fig. 13. Website with 4 pages
Site. 2. The home page is the most important in this site; more over we have no loss of
relevance because of a bad chaining [12] (Fig. 14).
Site. 3. The mere fact of sending a link to a page that returns no link drops the
relevance consistently on all pages of the site (Fig. 15).
4 Conclusion
Based on the results obtained in the experiments, we conclude that the site structure 2 is
the most feasible and performing for sites with a large number of pages; moreover, it
presents a very effective method to get a high relevance in order to have a good SEO.
Links are very important for SEO, but it is not all that matters; in reality the content and
manner in which the site is coded infects its position considerably during a search, so it
is necessary to take a good time to consider the best way to work so as to achieve the site.
Also, be careful if you create links in large numbers, Google does not like it at all!
This can have a negative impact on your SEO. So create smarter web links if you want
to reference a website. SEO is a long term work.
A good link should come from a page of the same content as that of the destination
page. The opposite is true: make links to pages on the same theme. It is advisable to
include in the pages with duplicate content Canonical tag pointing to a page to
keep. Here is the syntax: <link rel=“canonical” href=“http://votresite/pagefinale”/>.
References
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engine rankings. Princeton University Press, Princeton
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Comput Netw ISDN Syst 30(1–7):107–117
ANOVA Decision Tool for Determining
the Best Estimation of a Large Scale IP
Network Traffic Matrix
Using ARIMA/GARCH Algorithm
Slimane Mekaoui1(&), Anis Boubekeur1, Choukri Benhamed1,

and Kamal Ghoumid2
1
Telecommunications Department,
Faculty of Electronics and Computer Science, USTHB, Algiers, Algeria
smekaoui@yahoo.fr, boubekeuranis92@gmail.com,
dhia95@hotmail.com
2
Department of Electronics, Informatics and Telecommunications. ENSAO,
Mohamed I University, Oujda, Morocco
ghoumid_kamal@yahoo.fr
Abstract. This paper deals with the Estimation of the Traffic Matrix (TM) of the
well-known American ABILENE IP Network also called Internet 2. This work
which has been processed on real collected data, aims to select the most precise
ARIMA/GARCH (Auto Regressive Integrated Moving Average/Generalized
Auto Regressive Conditional Heteroskedasticity) model for estimating the T.M.
of such a Big Data Network by using the analysis of variance (ANOVA). The
results have shown among many models that: ARIMA(1,1,1)/GARCH(1,1);
ARIMA (0,2,1)/GARCH(1,1);ARIMA(1,2,1)/GARCH(1,1) have earned the
challenge by yielding the most satisfactory results in terms of accuracy and
precision. This fact has also been confirmed by implementing several validation
methods like: Linear Regression; Normalized Mean Square Error (N.M.S.E);
Root Mean Square Error (R.M.S.E).
Keywords: Estimation Traffic matrix ARIMA/GARCH ANOVA

Linear regression NMSE RMSE
1 Introduction
The ARIMA/GARCH hybrid model combines the linear time series of the ARIMA
model that has been popularized by Box and Jenkins and the non-linear GARCH model
that has been proposed by Bollerslev and reported in 1994 by Box and Jenkins [1]. The
ARIMA/GARCH model has been applied for Network traffic as a new forecasting
technique for Network management. The use of hybrid model was justified by the fact
that each model taken separately was unable to identify all the characteristics of the
data. In 2009, Khashei et al. [2], proved that ARIMA models are the most important
time series used in financial market forecasting. It was demonstrated in 2010 by
Christodoulos et al., that this model can be applied to any time series in the domain of

https://doi.org/10.1007/978-981-13-1405-6_10
70 S. Mekaoui et al.
forecasting based on short term prediction methodology, [3]. In spite of the robustness
and the high calculation capacity of the ARIMA model, it cannot manage the variance
and the non-stationary components present in the data series. It is also known that the
GARCH model is used in these series to precisely contain and manage the variances
and hence overcomes the limits of the ARIMA algorithm, [1]. Therefore, by combining
these two models we obtain an efficient hybrid ARIMA-GARCH model. Wang in 2005
[4] proposed the ARIMA to handle the series of daily flows in a Network. The next
year, Zhou [5] proposed the ARIMA/GARCH model for Internet traffic forecasting. In
2010, Chen [6] suggested an ARIMA/GARCH model for short-term prediction of
internet traffic. In April 2015, Than and Ma, reported the possibility of predicting the
traffic of a mobile network with the ARIMA/GARCH model. In 2013, Yaziz et al. [8],
have shown that ARIMA(1,1,1)/GARCH(0,2) was the best suited estimation hybrid
model for gold price modeling and forecasting. Analysis of variance (ANOVA) is a
statistical method used to deduce whether there is a significant difference in mean
within a group of a given population. In 2004, Hilton and Armstrong [9], both from
Aston University, described the application of analysis of variance (ANOVA) to var-
ious experimental designs in Microbiology. They concluded that a precise detailed
treatment on the means differences should be processed if the analyzed data thanks to
ANOVA have a significant F-value (Fisher ratio value). In 2011 using one-way
analysis of variance (ANOVA), Sow [10], examined the relationship between security
index and human development due to the important drivers of employee motivation
which is a driver of business turnover intention. In 2013, Mekaoui et al. [11], have
developed two types of Levenberg-Marquardt based neural networks to estimate the
Traffic Matrix (T.M.) of a large scale IP Network. They concluded that the dynamic
model was the best in terms of complexity and time convergence. In 2014, Mekaoui
et al. have done a comparison between tomography based methods and the HMM-
KALMAN, [12], model for the same above cited study. The HMM-KALMAN was
found to be the best estimator of T.M. in terms of error optimization and accuracy.
2 Background
2.1 Network Topology and Datasets
We have used the data provided by the well-known American ABILENE Network
(also called Internet 2). The topology of such a Network is illustrated in Fig. 1
The TM is then representative of the traffic flows between pairs of OD. If we denote
by L the total number of links and by N the global number of nodes then the total
number of possible OD pairs is N2. We denote by Y = [yl] the loads vector and by
X = [xi] the traffic vector. We assume that A = ai,j; is the routing matrix of the Net-
work so that the Y vector can be written as:
Y ¼ A:X þ e ð1Þ
ANOVA Decision Tool for Determining the Best Estimation 71
Fig. 1. Topology of the Network (ABILENE) under study
Where: e; is the measurement error. As we can observe in Fig. 1 above, the Net-
work comprises twelve (12) main nodes which subsequently imply 144 Origin-
Destination (OD) pairs and 54 physical links between the nodes. The real data are
collected every five minutes and correspond to the period from 01-03-2004 to 07-09-
2004 (24 weeks), in the format of 24 Traffic Matrices. So, this allowed us 288 samples
a day and 2016 samples a week. These datasets are provided in format of Traffic
Matrices (TM) measured by a specific protocol called Simple Network Management
Protocol (SNMP). Each TM out of 24 represents the traffic measurement for one
specific week in the above cited period of measurements.
2.2 ARIMA/GARCH Hybrid Model

The ARIMA/GARCH hybrid model results from the hybridization between ARIMA
(p, d, q) general formalism and that of GARCH (m, s) above and denoted ARIMA
(p, d, q)/GARCH (m, s). Henceforth, the general formalism of the hybrid ARIMA (p, d,
q)/GARCH (m, s) is then given by, [1]:
pP
þd P
q
xt ¼ ui xti þ hj etj þ et ; ui : are the AR coefficients
i¼1 j¼1
pffiffiffiffiffiffi
and hj : are the MA coefficients and et ¼ gt Mt
where Mt is the conditional variance
X
m X
s X
m X
s
r2t ¼ a0 þ ak e2tk þ bl r2tl ak þ bl \1 ð2Þ
k¼1 l¼1 k¼1 l¼1
This last inequality is a condition to be strictly satisfied

2.3 Analysis of Variance (ANOVA)

2.3.1 ANOVA Principles
Analysis of variance (ANOVA) also called factorial analysis is a technique which
allows to know if one or several dependent variables are bounded to several other
independent variables (explained variables). Then, the general formalism of ANOVA
can be simply expressed by the following equation, [13]:
yijk... ¼ l þ f ði; j; k; . . .Þ þ ð3Þ
Where: yi;j;k... ; are the variables to explain; µ; is a constant; and f; is a function

between the explained variables and the measurement error follows a normal law.
Now, consider I samples yi chosen from the I populations that follow themselves a
normal law with the same variance, then, each individual is written in fact yij (i 2
½1; I and j 2 ½1; ni Þ and the total number of sizes is then equal to:
XI
N¼ i¼1
ni ð4Þ
The mean by sample is then given by:

1 Xni r2
yi;... ¼ y
j¼1 ij
; Follows: N li ; ð5Þ
ni ni
Whereas the global mean is obtained by:

1 XI Xni r2
y ¼ y
j¼1 ij
; Follows: N l; ð6Þ
N i¼1 N
the sum of squared differences and hence the variance can easily be calculated by the
following, [12]:
SST ¼ SSBfactor þ SSWResidue ð7Þ
Where:
Xp
SSBfactor ¼ i¼1
ni ðyi yÞ2 ; ð8Þ
Xp Xni 2
SSWresidue ¼ i¼1 j¼1
ðyij yi Þ ð9Þ
By hypothesis, the yi variable follows a normal law. Since the v2 (Chi-square) law
P
of k degrees of freedom results from the sum pi¼1 ni ðyi yÞ2 of k normal variables,
then the sum of the squared differences of SCT follow the v2 with p levels of factors
and with n number of individuals, so we get, [12]:
Xp
SSBfactor ¼ i¼1
n i ð
y i
y Þ 2
; v 2
ddlfactor ; ð10Þ
Xp Xni 2
SSWresidue ¼ i¼1 j¼1
ðyij yi Þ ; v2 ðddlresidue Þ; ð11Þ
P P
Where: ddlfactor ¼ p1 i¼1 1 ¼ p 1 and ddlresidue ¼ pi¼1 ðni 1Þ ¼ n p;
ddlfactor and ddlresidue are respectively the numbers of freedom degrees for the factorial
sum of the squared differences and the residual one (SSB and SSW). The variances are
consequently obtained by, [13]:
SSBfactor 1 Xp
S2factor ¼ ¼ n ðy yÞ2 ;
i¼1 i i
ð12Þ
p1 p1
SSWresidue 1 Xp Xni
S2residue ¼ ¼ ðy yi Þ2 ;
j¼1 ij
ð13Þ
np np i¼1
Since the Fisher Law is defined by the ratio of two v2 (Chi-square) then the ratio
S2factor =S2residue
follows a Fisher law with a factor F defined by:
SSBfactor
S2factor p1
F¼ ¼ ; F ðp 1; n pÞ ð14Þ
S2residue SSWresidue
np
2.3.2 ANOVA Interpretation Criterion

The ANOVA technique returns an F-statistic value calculated with the use of the
previous relations. In the same way we can calculate the critical value fa by using the
well known Fisher table law knowing the previous degrees of freedom and the toler-
ance a of the Fisher law ða\0:05Þ.
The ANOVA criterion is then based on the Fisher test of Hypotheses as
follows, [13]:
• If F [ fa , we reject the Null Hypothesis H0 where the variances are considered to be
equal
• If F\fa , H0 is then not rejected as there is nothing that can prove that the variances
of the estimated vectors are not equal.
3 Results and Discussion
The obtained results encounter all the possibilities of parameters (p, d, q) combinations
yielding for each a specific ARIMA/GARCH estimation hybrid model which has been
applied itself for several OD pair’s traffic matrices. Then, ANOVA process is applied to
determine the best ARIMA/GARCH estimate of the TM that optimizes the Network.
As an example among numerous results we will focus on those obtained on the OD21.
The real measured data are organized in 24 TM in Excel format and collected in the
previous cited period. Then prior to apply the ARIMA estimation technique, we have
used the Excel source software integrated test which consists in determining the critical
Fisher value of the OD data entered and compares it to the Fisher threshold value. If
FThreshold [ FCritical , then, seasonality is detected. For OD21, the results are illustrated
in Figs. 2 and 3, given below.
Fig. 2. Fisher-Test for seasonality detection of OD21 Flow in (Mbit/s)
Fig. 3. Traffic versus time (5 min) for OD21
Then, GARCH algorithm condition cited above is being verified and strictly sat-
isfied on the data collected on the OD21 using the instruction “Garchfit” under Matlab
source software. We have tested the hybrid model with several different values of the
ARIMA parameters. The well-known linear regression process has been implemented
on the estimated data as a first results validation method. The results obtained on 0D21
are presented in the following Figures (Figs. 4, 5, 6, 7, 8 and 9).
These figures show that the different hybrid model yields very close results with a
value of the coefficient of regression varying from 94% to 98%. So, we proceed then to
the ANOVA treatment to select the best model. Prior to process to the ANOVA, we
confirmed that the samples of data provide by OD21 were following a normal
Fig. 4. Regression on ARIMA (0, 1, 1)/ Fig. 5. Regression on ARIMA (1, 1, 1)/
GARCH (1, 1) results for 0D21. GARCH (1, 1) results for 0D21
Fig. 6. Regression on ARIMA (1, 1, 0)/ Fig. 7. Regression on ARIMA (1, 2, 0)/
GARCH (1, 1) results for OD21. GARCH (1, 1) results for OD21
Fig. 8. Regression on ARIMA (0, 2, 1)/

Fig. 9. Regression on ARIMA (1, 2, 1)/
GARCH (1, 1) results for OD21
GARCH (1, 1) results for OD21.
distribution with the help of the DFT graphic interface under Matlab. After Applying
the ANOVA on the six estimated vectors coming this time from six hybrid model
applied to OD21 data, we obtain a table called the ANOVA table that summarizes the
calculus of the F-Stat. factor (Fig. 10) and yields a Box-Diagram called Box and
Whiskers plots which corresponds to the dispersion of the data for each estimated
vector and also for the real vector. The dispersion can be geometrically measured by
distances of the dispersion of the points around the mean located on the center of
gravity of the box for an estimated vector and a considered hybrid model. Figure 11
illustrates such dispersion for 0D21.
Fig. 10. ANOVA Table giving the F-Stat parameter.
Fig. 11. Box-diagram of the estimating ARIMA/GARCH Hybrid models using ANOVA
The ANOVA table provides with the parameters (Fig. 10) displayed and the help of
the previous relations cited in Sect. 3, the value of the F-Stat., for OD21. The same
work is done with each OD corresponding to its specific ANOVA table. In the
caseOD21, we get F (6, 2009). This value is then compared to the critical one fa that
has been determined using the well-known Fisher table. In case of OD21, this value is
fa ¼ 2:10. From the Fisher Hypotheses test, it can then be noticed that F = 3.11
(readable on the ANOVA table) is greater than fa ¼ 2:10 that means that there are
significant differences between the estimated vectors by the different hybrid models and
the real vector. The Box-diagram (Fig. 11) illustrates the dispersion of the estimated
values for each hybrid model and the dispersion of the real values in the original real
vector. We can see that the dispersion between the minimum value and the maximum
value represents 90% of the vectors samples (estimated or real), whereas 10% are
distributed in the aberration area. These values do not follow the behavior of the major
number of the data points. The salient fact that can be observed is concerned by the
estimated values which belong to ARIMA(1,1,1)/GARCH(1,1); ARIMA(0,2,1)/
GARCH(1,1) and ARIMA(0,2,1)/GARCH and which fit exactly the dispersion of the
original real data vector. This fact was also noticed on several OD by doing the same
analysis. We can conclude so far that ANOVA is a more precise tool for determining
the best ARIMA/GARH hybrid model of estimation. However, it remains that the Box-
diagram shows only the dispersion of the estimated values compared to dispersion of
the original values in the real vector. Hence, they do not involve the means and the
variances. Henceforth, to validate our findings, we proceeded to a validation technique
which is based on other criteria such as: Root mean square error (R.M.S.E) and
Normalized Mean Square Error (N.M.S.E.).
Table 1. Errors for ARIMA (p, d, q) for OD-21

ARIMA (p, d, q) RMSE MSE NMSE MAE R2
ARIMA (0, 1, 1) 2.416942e–03 5.841609e–06 1.149593e–01 1.971739e–03 0.983959
ARIMA (1, 1, 1) 8.440623e–04 7.124412e–07 1.402041e–02 5.829469e–04 0.964125
ARIMA (1, 1, 0) 2.651669e–03 7.031348e–06 1.383726e–01 2.165701e–03 0.982590
ARIMA (1, 2, 0) 3.070085e–03 9.425423e–06 1.854866e–01 2.436700e–03 0.955320
ARIMA (0, 2, 1) 1.013315e–03 1.026807e–06 2.020694e–02 6.877279e–04 0.942331
ARIMA (1, 2, 1) 1.028209e–03 1.057215e–06 2.080534e–02 6.944874e–04 0.940670
Taking advantage of both error criteria, we proceeded to a comparison between the

ANOVA results and the other validation techniques like linear regression, RMSE, MSE,
NMSE, and MAE. We have calculated all of these errors and presented the results in
form of a table. Table 1, hereafter, summarizes these results. It can be observed from
Table 1 that RMSE, MSE, NMSE, MSE have an exponentiation of 10−2; 10−4 and 10−7
respectively to the parameters (p, d, q) that have been chosen in the hybrid model and
correspond to respectively (1,1,1); (0,2,1); (1,2,1). These exponents are lower than those
of the other sets of parameters. So, this validation technique confirms also the ANOVA
results.
4 Conclusion
The work that we have carried out aims to determine with accuracy the best estimates
of the traffic matrix using the hybrid ARIMA (p, d, q)/GARCH (m, s). This estimation
has a direct impact on the optimization of the resources management of the ABILENE
Network. To achieve the best selection of the best estimating model, we have chosen
the Analysis of variance (ANOVA) a statistical tool. The decision making was based
upon its Box-diagram which gives the dispersion of the estimated values within their
estimated vectors and the dispersion of the real values within the original real vector
was revealed. It was shown that ARIMA(1,1,1)/GARCH(1,1); ARIMA(0,2,1)/GARCH
(1,1) and ARIMA(1,2,1)/GARCH(1,1) were the best models. The robustness of
ANOVA was also tested by calculating errors metrics which confirm the ANOVA
results. So, ANOVA reveals to be more efficient method than linear regression
technique.
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An Enhancement for the Autonomic
Middleware-Level Scalability Management
Within IoT System Using Cloud Computing
M. N. Bahiri1,2(&), A. Zyane2, and A. Ghammaz1

1
L.E.S.T, FST-G, Cadi Ayyad University, Marrakech, Morocco
bahirimn@gmail.com
2
S.A.R.S. Team - ENSA Safi, Cadi Ayyad University, Safi, Morocco
a.zyane@uca.ma
Abstract. The integration of Clouds with IoT will help dealing with the
incapability to scale automatically according to the overload caused by the
massive growth of the connected devices number in the IoT networks. In this
paper we aim to promote the scalability management, by improving the archi-
tectural design of the monitoring components using autonomic middleware for
IoT systems based on Cloud Computing hybrid oriented scalability solution, in
order to satisfy a maximum number of requests, while maintaining the system
performances at an acceptable level. Experiments have been done so as to
evaluate our solution performances, for different scenarios testbed. Generally,
our results are better than existing cloud-based solution that tackles the scala-
bility issue in IoT networks.
Keywords: Internet of Things Machine to machine Scalability

IoT management Autonomic computing Cloud computing Monitoring
MAPE-K cycle Middleware
1 Introduction
The Internet of Things (IoT) paradigm concept is to interconnect the surrounding

variety of things or objects [1] - Radio-Frequency IDentification (RFID) tags [2],
sensors, actuators, and other connected objects with the logical world in order to make
smart decision dynamically [3]. Driven by the industrial, standardization and research
bodies intentions and needs, IoT have so many definitions. IoT connects anything,
anywhere anytime, and by reducing or eliminating the human intervention [4], another
new paradigm showed up named machine to machine (M2M) defined by the ETSI
Technical Committee on Machine-to-Machine Communications (ETSI TC M2M) [5],
and it is considered as the smart autonomic part of IoT and gives several benefits to the
industry and companies [6–8]. Interconnection logical and physical worlds in IoT
networks, will cause several challenging issues, most importantly the issue of scala-
bility. The objective of our proposed approach is to maximize the number of satisfied
requests from different applications towards IoT networks while maintaining the
platform performances in terms of QoS metrics, without over using the middleware

https://doi.org/10.1007/978-981-13-1405-6_11
An Enhancement for the Autonomic Middleware-Level Scalability Management 81
resources insuring scalability. To do that; our middleware will make automatic deci-
sions based on dynamic adaptation using symptoms detection triggered by the OM2M
platform and the middleware stats, which help the scalability component to take dif-
ferent autonomic and dynamic decisions on incoming requests.
The paper is organized as follow, Sect. 2 describes the IoT Application domains
and normalized architectures, our analysis for the IoT networks Scalability problem and
states, the existing solving approaches is given in Sect. 3. The Sect. 3.2 details the
solving proposed approach, though in Sect. 4, we present and analyze numerical
results. Finally, Sect. 5 concludes the paper.
2 Problem Statement
The IoT/M2M networks are only limited by the humans needs and imagination,
offering huge opportunities for smarting-up different domains. This will encourage
huge number of objects to produce, store, request and exchange different data forms
and sizes in every possible field all over the world. After several bibliographic searches
in the literature of IoT, we spotted that the scalability problem is mostly mentioned, but
not satisfactorily analyzed or treated. In this section, we will present our vision of the
scalability issue in IoT networks.
In our vision, the scalability problem can be classified in terms of users/applications
loads and/or data loads [9–11], projected at the IoT architecture. For our paper we focus
on user/application overload [3, 10, 12]: At (i) the sensing layer, handling an immense
number of objects requested names and addresses will be difficult; At (ii) the network
layer, waiting queue will be oversized, which will cause packets delay and/or loss. At
(iii) the application layer, the processing power will be affected by the huge number of
consumers requesting different services.
According to our vision, the scalability is the ability to automatically maintain
acceptable level of system-production in case of overload [12, 13]. Elastic resources in
both processing power and storage capacity are one of the major features of Cloud
Computing, that will offer scalability to IoT networks. Furthermore, researches have
been made to tackle the scalability problematic in IoT networks merged with Cloud
Computing capabilities [3, 11, 14–17]. Correspondingly, middleware is software
positioned between users, applications, services, and their elemental distributed
architecture and platforms [18].
In a normal stat, when a user/application overload occurs, The OM2M platform
starts rejecting incoming traffic, largely decreasing the number of satisfied requests,
preventing it from scaling, otherwise, satisfied request will no longer respect the ITU-T
G.1010 Recommendation for response time RTT of 4000 ms. Our main challenging
problem defeating these issues, is making our system scalable in case of overload, by
maximizing the number of satisfied requests, all by respecting the QoS metrics in the
OM2M platform (RTT) and the middleware (CPU and RAM).
82 M. N. Bahiri et al.
3 Proposed Solving Approach

3.1 Proposed Architecture
In this paper, we discuss our vision to enhance an ETSI compliant specification of the
Middleware level for IoT networks, and improving our recent published work [18], we
are aiming to provide it with dynamic and autonomic scalability-oriented capabilities,
without deteriorating performances metrics (RTT), considering resources consumption
(RAM, CPU) of our proposed middleware. In order to provide dynamic and autonomic
scalability-oriented capabilities, we used autonomic computing paradigm based on the
MAPE-K cycle (Monitor, Analyze, Plan, Execute and Knowledgebase) [19].
Our new approach spotlights the monitoring component and the scalability issue,
consideration QoS metric (RTT, RAM and CPU metrics), using of both a middleware
monitoring capabilities and cloud computing processing power providing elasticity and
others features [14–16].
Our architecture is composed of Fig. 1
Fig. 1. Our proposed architecture
Traffic HTTP which simulate the real-world sensors, actioners, applications and
users. This component generates two types of traffics: (i) an IoT and (ii) an invalid
traffic, depending on the type of request based on the frame headers.
The middleware, hosted in a physical machine, is composed of 2 main
components
• Autonomic manager will be assuring the following tasks:
(i) Monitor: collects RTT evolutions from the OM2M and VOM2M platforms,
RAM and CPU usage of the Controller component because of its high resources
consumption, sends theses collected metrics to the Complex Event Processing (CEP) to
generate the adequate symptoms. (ii) Analyser/Plan: generates the executed plan
relaying on the symptoms sent from the monitoring. (iii) Executer: sends the politique
that will be executed by the Scalability component, the Controller and the VController.
• Scalability component will be hosting the following components
(i) Traffic receiver: handles received requests from the traffic generators. (ii) Fil-
ter: that filters request based on the authorization or the type of traffic. (iii) Load
balancer: underloading the Controller in case of over resources consumption.
(v) Controller: that will take decision by forwarding or delaying requests to the
OM2M, redirecting requests to the VOM2M or dropping requests.
– VController is a virtualized controller in the cloud.
– OM2M representing the platform, the destination for forwarded requests.
– VOM2M is a virtualized OM2M platform, the destination for redirected requests.
The HTTPTraffic (applications) generates requests defined by the targeted service,
their numbers, type and periodicity. Those generated requests are sent to the middle-
ware, requests will be filtered based on its authorization and type of content validity,
then load balancer will be activated in case of non-acceptable stat of CPU and RAM
consumption of the controller, the controller and the VController, at first the Executer
policy will forward all the requests automatically to the targeted service. This platform
hosts various services satisfying Post or Get requests incoming from the Applications.
Then based on collected events by the autonomic manager, policies will be activated on
the Scalability component components. Henceforth, every request generated by the
Applications will be Filtered, then the Load balanced will either Forward the request to
the Controller or the VController based on the CPU and RAM consumption of the
Controller, then the controller/VController will either forwarded or Delay to OM2M,
redirected to the VOM2M, or Dropped depending on the stat of the OM2M platform
decided by the middleware Monitor as will be explained in the next section.
3.2 Proposed Mechanisms

Our approach objective is to maximize the number of satisfied requests by the IoT
networks, which is scaling depending on the current load, bearing in mind of QoS
metrics (CPU, RAM, RTT).
In the Monitor (Fig. 2), after receiving a window of 3 consecutive RTT, if all 3
RTTs are under 2 s, a preferable symptom is generated, if all the 3 RTTs are between 2
and 4 s, an acceptable symptom will be generated, else a critical symptom is generated.
In the Filter, after receiving the request, the filter checks if the request is valid by
verifying the authorization header and checks if the request is an IoT traffic by veri-
fying the content type header. The Filter will drop any non-valid or non-IoT request.
The Load balancer will underload the Controller depending on its resources con-
sumptions by load balancing incoming requests, in case of preferable stat, all requests
will be sent to the controller, in case of acceptable stat, the load will be equilibrated
between the controller and the VController, in case of critical stat, all requests will be
sent to the VController.
Fig. 2. Our proposed monitoring mechanism
In the Controller/VController, after receiving LooseRate and RTTState, the

Controller/VController mechanism takes dynamically decision in order to maximize
the number of satisfied request while respecting the QoS metrics in terms of RTT (ITU-
T G.1010 Recommendation for RTT of 4000 ms). The next paragraph will explain
how this mechanism works:
• In case of loose rate under 10%
(i) if we have a preferable RTT, the mechanism will forward all valid request to the
OM2M platform. (ii) If we have an acceptable RTT, 75% of valid request will be
forwarded to the OM2M, 25% will be delayed with 1 s the forwarded to the OM2M, as
to respect RTT rate. (iii) If we have a critical RTT, only 50% of valid traffic will be
forwarded to the OM2M, 25% redirected to the VOM2M, and 25% will be dropped.
• In case of loose rate over 10%, we can’t drop any valid request in order to
respect Scalability;
(i) If we have a preferable RTT, 75% of valid request will be forwarded to the
OM2M, 25% will be delayed with 2 s the forwarded to the OM2M. (ii) If we have an
acceptable RTT, 50% of valid request will be forwarded to the OM2M, 25% will be
delayed with 1 s then forwarded to the OM2M and the other 25% will be redirected to
the VOM2M. (iii) If we have a critical RTT, only 50% of valid traffic will be forwarded
to the OM2M, 25% redirected to the VOM2M, and 25% will be dropped.
Our proposed Hybrid solution is the combination of (i) the autonomic computing
that collects event, generate symptoms in order to take dynamic smart decisions, (ii) the
filter that drop invalid requests, the load balancer which underload the controllers
resources consumption, both Controller and VController that take decision based on
policies made by the executer and the VOM2M that provides us with storage capacity
and processing power.
4 Numerical Results
Aiming to evaluate our proposed solution, we compared the number of satisfied request
Fig. 3, QoS metrics in terms of RTT evolution of the OM2M platform in Fig. 4, RAM
and CPU usage of the Controller, without and with our proposed hybrid mechanism
(resource and traffic-oriented mechanism).
Table 1. Scenarios testbed.

Injector Injected requests number Periodicity (ms) Start time (s)
Observed IoT 500 150 0
Non-observed IoT 200 150 10
Non-Valid/Non IoT 300 100 15
Fig. 3. Satisfied requests with and without mechanism
In the scenario testbed described in Table 1, we consider flows (http requests

towards the OM2M platform) coming from for different traffic source, called injectors
(Ob_IoT, N_Ob_IoT, and NV_NIoT_injector).Each injector is characterized by: type of
traffic (App/IoT/Health, App/IoT/industry), number of http requests (requests number),
request method (e.g. POST, GET), destination, period between 2 successive requests
(periodicity in milliseconds) and finally starting time in seconds. In Fig. 3, column
indicates the number of injected requests. We use different colors to distinguish the
number of satisfied and lost requests.
We stat that our hybrid mechanism satisfies more traffic requests of the following
reasons: the filter only allow valid request to make way to the Load Balancer avoiding
any lost or delayed request caused by insufficient resources, then both Controller and/or
VController will take the decisions based on loose rate and the RTT evolution of the
system. As shown above, our hybrid mechanism improved the number of IoT satisfied
requests from 68% to 96%. Our IoT system scalability have been improved. We
mention that using our hybrid mechanism, only 21% are satisfied in the VOM2M
platform, while 79% are satisfied inside the OM2M platform, reducing the cost of
allocated services in the cloud.
The use of mechanisms will affect the QoS in terms of RTT of the OM2M platform,
CPU and RAM of the middleware depending on overload made by the traffic.
Our hybrid mechanism, rapidly stabilized (Acceptable symptom) the OM2M
platform state, using dynamic decision based on symptoms generated from collected
events from the system.
In Fig. 4 (below), we mention that after activating the second injector (after 10 s),
RTT is up to 12000 ms, without mechanism, the platform starts dropping incoming
requests, with mechanism, our adaptive decisions will be taken to stabilize the platform
state. After 15 s, non-valid and/or non-IoT traffic will be injected, causing in case of
absence of mechanism the RTT is go up to over 16000 ms, and the platform drops
more requests including the useful IoT traffic, but using our mechanism, the last traffic
will be filtered in order to only satisfy useful traffic. All these decisions made our
system Scalable and improves RTT (ITU-T G.1010 Recommendation) QoS metric.
Fig. 4. RTT evolution with and without mechanism
Using the load balancing component inside the middleware, we can note an
improvement of the RAM consumption of the controller from 81% down to 62% and
CPU consumption from 78% down to 67%, all by only redirecting - using the load
balancer - 31% of traffic to the VController. The proposed mechanism helps under-
loading the QoS metrics, especially RAM consumption in the middleware.
Our approach made the OM2M platform scalable, stabilized it rapidly, improved
average RTT and underloaded resources consumption of our middleware.
5 Conclusion
In this paper, we have presented our new vision of scalability in IoT systems. Then, we
proposed an improvement of the architectural design of the monitoring components, by
implementing components and testing a platform intended to stress the ETSI-compliant
OM2M open source platform. For the first time an autonomic hybrid scalability
mechanism-oriented traffic and resources mechanism is proposed make our IoT system
more scalable without any QoS symptom degradation in terms of RTT, RAM and
CPU. Simulation results show that our hybrid mechanism helps to stabilize the IoT
system faster, improving satisfaction rate, respecting QoS metrics in terms of RTT
evolution and resources consumption of the middleware. Our hybrid mechanism out-
performs other recently proposed mechanisms in IoT system. More complex scenarios,
types of injectors, SLA traffic requirements and mechanism decisions will be per-
formed in our future experiments. We are now focused on studying new way to
improve the scalability of our IoT system by taking into account, using multiple types
of IoT traffic, dynamically virtualizing other overloaded components, making new
decisions while maintaining the system performances at an acceptable level.
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19. Horn P (2005) An Architectural Blueprint for Autonomic Computing, Ed. 3. IBM White
Paper
Highly Efficient UPS Systems for Output
Voltage THD Maximum Protection
EL Miloud Ar-reyouchi1(&), Hajar Chadli2, Afaf Bouzidi3,

and Kamal Ghoumid4
1
E.T.S, UNE, Madrid, Spain
e.arreyouchi@snrt.ma
2
Lab. Electronique et Systèmes,
Université Mohammed I University, Oujda, Morocco
3
Dept. Electronique Informatique & Systèmes, ENSAO,
Mohammed I University, Oujda, Morocco
4
ENSAO, Mohammed I University, Oujda, Morocco
k.ghoumid@ump.ac
Abstract. In the event of a power failure, one of the main challenges for the
future of information and communication technologies is to provide emergency
instantaneous power. The urgency of this task is for the critical devices with
optimum power quality as computers, data centers, and telecommunications
equipment in telecommunication networks. In order to solve the problem,
Uninterruptible Power Supply (UPS) units are commonly used. Total harmonic
distortion (THD) is the level of harmonic distortion which is often used to define
the degree of harmonic content in an alternating signal. This paper studies the
impact of capacitor banks on the network and a solution of passive filtering on
UPS for improving THD. We define the reactive power of capacitor bank to
achieve the cos(phi) target and we reduce the voltage THD in UPSs to as low as
2–3% on low voltage
Keywords: UPS THD Capacitor bank Power system harmonics

Power transformers
1 Introduction
The High-power Radio and Television Broadcasting Stations, which can be found on
mountains with difficult access, suffer from power cuts and extreme voltage fluctua-
tions. High-Power UPS Systems is an electrical apparatus designed to furnish emer-
gency power even when other sources of input power fail or when the primary power
source is lost, it also provides protection from power surges.
Different research efforts analyze the power consumption of telecommunication
equipment [1, 2]. Next to the characterization of the power consumption, we also give
an overview of the optimization strategies. In [3] the authors suggest the introduction of
sleep modes, and [4] suggests component optimization and power management as
power saving strategies.

https://doi.org/10.1007/978-981-13-1405-6_12
90 E. M. Ar-reyouchi et al.
However, when it comes to high energy consumption, the UPSs [5] are the right
solution for the problem that provide vital backup power supply for mission critical
applications. They can ensure the continuity of system and data center operation.
Furthermore, they are indispensable tools within a huge number of unrelated industries.
Shunt capacitor banks are primarily used to improve the power factor in the net-
work [6, 7]. They also improve the voltage stability and reduce network losses.
Improving the power factor also means a higher power transmission capability and
increased control of the power flow. But the detuned filter used in this paper allows to
give Power quality [8] which is the ability of the supplied electricity on the distribution
grid to adhere to root mean square (RMS) voltages systems.
The efficient UPS presented in this paper will provide near-instantaneous protection
for mission critical applications in the form of energy stored in batteries. They are
designed to ensure that companies can protect their mission critical applications by
maintaining a steady flow of energy under adverse circumstances.
THD is Sinusoidal voltage or current with a frequency equal to an enter multiple of
the fundamental frequency caused mainly by no lineal loads. HD is an important aspect
in audio, communications, and power systems and should typically, but not always, be
as low as possible.
The remainder of this paper is structured as follows: Sect. 2 analyses the THD and
describes the system model, Sect. 3 presents the Theoretical results of THD(U) on
Low-Voltage and High-Voltage busbars, and conclusions are presented in Sect. 4.
2 THD Analysis and System Model

2.1 THD Analysis
Harmonics or harmonic frequencies of a periodic voltage or current are frequency
components in the signal that are at integer multiples of the frequency of the main
signal. This is the basic outcome that Fourier analysis of a periodic signal shows.
Harmonic distortion is the distortion of the signal due to these harmonics.
A voltage or current that is purely sinusoidal has no harmonic distortion because it
is a signal consisting of a single frequency. A voltage or current that is periodic but not
purely sinusoidal will have higher frequency components in it contributing to the
harmonic distortion of the signal. In general, the less that a periodic signal looks like a
sine wave, the stronger the harmonic components are and the more harmonic distortion
it will have.
It is easy to see the harmonic distortion when examining the time domain and
frequency domain representations of a square wave, but it is also important to be able to
quantify harmonic distortion
THD measurements are used in many applications by different industries. This
paper concentrates on the use of THD on TV broadcast station power. The results
(taken with Supply Network Analyzer AR5-L) for a THD test are showed in Fig. 1
The next figure shows how to do that with the metric of total harmonic distortion.
The results for a THD test values are illustrate in Fig. 2
Highly Efficient UPS Systems for Output Voltage THD Maximum Protection 91
Fig. 1. Total Harmonic Distortion plotted as function of frequency for a system.
Fig. 2. THD analysis.
The corresponding THD measurement showed (Fig. 2) how much of the distortion
of a voltage or current is due to harmonics in the signal. The output circuit is designed
to have a low impedance at the fundamental frequency. At frequencies other than the
fundamental the impedance will vary, as the nonlinear content of the load will draw
current at the harmonic frequencies. This in turn will result in harmonic voltages being
developed across the output impedance, and the value of the individual harmonic [9]
voltages and THD will be:
– Individual harmonic
bn
U bI n
Un % ¼ 100 : ; I % ¼ 100 : ð1Þ
b1 n
U bI 1
– Total Harmonic Distortion (THD): ¼ fundamental

Harmonics
sffiffiffiffiffiffiffiffiffiffiffiffi
P40
Un2
2
Voltage THD ¼ THDðUÞ% ¼ ð2Þ
U1
sffiffiffiffiffiffiffiffiffiffi
P40
In2
2
Current THD ¼ THDðIÞ% ¼ ð3Þ
I1
Regardless of the type of UPS, the harmonic voltage will appear across the output
circuit
For the system as a whole, after having calculated all the relative impedances, the
short-circuit [10] power may be expressed as:
SSC ¼ P1 Z from which it is possible to deduce the fault current ISC at a point with a
R
voltage U:
SSC
ISC ¼ pffiffiffi ð4Þ
3U
P
where, ZR is the composed vector sum of all the relative upstream impedances. It is
therefore the relative impedance of the upstream network as seen from a point at U
voltage.
2.2 System Model

We present the system model of UPS as shown in Fig. 3 which is used in this paper.
Fig. 3. Type of UPS combines the inverter and charger in the power supply.
The Output Power Capacity is 600 kva (400 V, 50 Hz) and the model are based on
a specific value for a certain parameter used in theoretical and simulation results:
– HV Network: SSC ¼ 150 MVA(Power short-circuit of the upstream network),
– Transformer: 20 000 V/400 V; SN = 1250 kVA (rated power of transformer);
USC ¼ 6%(short-circuit impedance voltage of the transformer in %); Ztr ¼ 7:68 mX
(the impedance of transformer); L = 23 m; XðmXÞ ¼ 0:12 L (reactance of the line);
UBT ¼ U ¼ 400 V
Let us take these hypothesis:
– Load level of transformer: 70% of SN
– Initial displacement factor (DPF): 0.8
– A capacitor bank is installed on LV busbar to increase tan(phi) to 0.4.
The impedance [10] of a HV line must be multiplied by the square of the reciprocal
of the transformation ratio, when calculating a fault on the LV side of the transformer:
2
UBT
ZBT ¼ ZHT ð5Þ
UHT
The short-circuit power, in VA, at a point where voltage is U.
1
SSC ¼ ð6Þ
ZT
2
UHV
þ ZL
2
ULV
Hence,
2
UBT
ZHT ¼ ð7Þ
SSC
After the search process has ended, we need to install 300 kvar on the secondary of
transformer. This represents approximately 25% of the power transformer.
In order to facilitate calculation, we will ignore the resistive aspect of the circuit
ZHT XHT and Ztr Xtr .
3 Results
3.1 Theoretical Results of THD(U) on LV and HV Busbars

In this subsection, we search the theoretical values of voltage distortion rates s1 ,s2 and
s3 where:
– s1 = voltage THD in upstream of UPS
– s2 = voltage THD on Low-Voltage (LV) busbar
– s3 = voltage THD on High-Voltage (HV)
For symmetrical waveforms, only “odd” harmonics may appear (multiples 3rd, 5th,
7th, etc., of the fundamental frequency). Main harmonics considered here are: 5th, 7th
and 11th, hence,
qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
UH5 2 þ U2 þ U2
H7 H11
s¼ ð8Þ
UH1
Effective current and Distortion rate (%) according to the harmonics will be taken
into account are illustrate in the Table 1.
Table 1. Effective current and distortion rate (%) according to the main harmonics. With
Effective current RMS = IH1 = 866
Order harmonic Distortion rate (%)
1 100
5 25
7 14
11 7
So, the theoretical results of harmonic currents, line impedances (50 Hz) and THD(U)
on LV and HV busbars are summarized in the Tables 2, 3 and 4 respectively.
Table 2. Theoretical values of harmonic currents.

THD(U) on UPS THD(U) on LV busbar THD(U) on HV busbar
(LV side)
IH5 = 216 A IH7 = 121A IH11 = 60 A
In order to facilitate calculations in this exercise we take into account resistive parts
of the circuit.
Table 3. Theoretical values of system impedances (50 Hz).

Network upstream impedance Transformer impedance Line impedance Total impedance
ZHT ¼ 1:06 mX Ztr ¼ 7:68 mX ZL ¼ 2:76 mX ZT ¼ 11:5 mX
Table 4. Theoretical values of THD(U) on LV and HV busbars.

THD(U) on ASI THD(U) on LV busbar THD(U) on HV busbar (LV side)
s1 = 7.61% s2 = 5.79% s3 = 0.7%
The theoretical results illustrate that the THD(U) on HV busbar (LV side) has the
lowest percentage of voltage distortion rates.
3.2 Comparison of Total Harmonic Distortion

The system model in Fig. 3 and remains highly-respected in regard to evaluating the
simulation results. The results for a THD simulation are plotted in Figs. 4 and 5. The
Harena 2 simulation software is used during this process in order to compare the THD
simulation result of Compensation units, while the individual measures are taken with
Supply Network Analyzer AR5-L. The detuned reactors (DR) are designed to protect
the capacitors and prevent amplification of the harmonics present on the network. and
H designates the procurement cost of capacitors including installation (Table 5).
Table 5. Comparison of total harmonic distortion

THD(U) Compensation units
LV Without Automatic Automatic DR H5 Passive filtering
any standard or H capacitor bank 200 kvar + automatic
solution capacitor 300 Kva capacitor bank100 kvar DR
bank Tuning4.3 4.3.
300 Kva
Theory 5.79% – – –
Harena 5.94% 18.28% 3.59% 2.81%
2
Fig. 4. THD without any solution
The Capacitor banks provide a high level of reliability and security. The LV
Capacitor Banks is the Most Comprehensive Solution for Automatic Power Factor
Correction, but the results show that the detuned filter can better improve UPS effi-
ciency as illustrate in comparison figures (Figs. 4 and 5).
Further, the efficient proposed UPS are able to protect against power surges, voltage
drops, suppression of Harmonics and THD and frequency distortions.
The proposed solution is compared against technique using Three-Level Inverter
with C-Type Filter at the Output of the USP according to [11]. It outperforms this
existing technique by suppressing (five times more) the Harmonics and THD(U).
Fig. 5. THD with solution.
4 Conclusion
In this paper, the results obtained with and without capacitor bank have been calcu-
lated, simulated and compared. The using of standard or H capacitor banks is not the
right choice. There is a resonance on 7th harmonic order. The using of detuned filter
allows to improve the power factor and also can significantly reduce the THD(U).
There is no risk of harmonic resonance. If the customer wants to reduce more THD(U),
it is possible to put a tuned filter to the 5th harmonic with automatic capacitor bank to
improve the power factor to the target.
References
1. Deruyck M et al (2010) Power consumption in wireless access networks. In: European
Wireless Conference, Lucca, Italy, pp 924–931
2. Baliga J et al (2009) Energy consumption in optical IP networks. J Lightwave Technol 27
(13):2391–2403
3. Gupta M, Singh S (2003) Greening of the internet. In: Proceedings of the 2003 Conference
on Applications, Technologies, Architectures, and Protocols for Computer Communications,
SIG-COMM 2003, pp 19–26. ACM, New York
4. Christensen K, Nordman B (2005) Reducing the Energy Consumption of Networked
Devices. IEEE 802.3 Tutorial
5. Aamir M, Kalwar KA, Mekhilef S (2016) Review: uninterruptible power supply
(UPS) system. Renew Sustain Energy Rev 58:1395–1410
6. Zeinalzadeha A, Mohammadia Y, Moradi MH (2015) Optimal multi objective placement
and sizing of multiple DGs and shunt capacitor banks simultaneously considering load
uncertainty via MOPSO approach. Int J Electr Power Energy Syst 67:336–349
7. Witte JF, DeCesaro FP, Mendis SR (1994) Damaging long-term over voltages on industrial
capacitor banks due to transformer energization inrush currents. IEEE Trans Ind Appl 30
(4):1107–1115
8. Hammouti M, Ar-reyouchi EM, Ghoumid K (2016) Power quality command and control
systems in wireless renewable energy networks. In: IEEE Explored Renewable and
Sustainable Energy Conference (IRSEC). International IEEE Xplore Digital Library
9. Kusko A, Thompson MT (2007) Power Quality in Electrical Systems. McGraw-Hill,

New York
10. Fuchs E, Masoum MS (2015) Power Quality in Power Systems and Electrical Machines, 2nd
edn. Elsevier B.V., Philadelphia
11. Manjesh, Rajesh B (2018) Suppression of harmonics and THD using three-level inverter
with c-type filter at the output of the inverter using Simulink/MATLAB. In: Konkani, A.,
Bera, R., Paul, S. (eds) Advances in Systems, Control and Automation. Lecture Notes in
Electrical Engineering, Springer, Singapore, vol 442, pp 85–92
Textures Classification by Color Multi-space
and Evolutionary Strategy Approaches
F. Lekhal(&) and M. El Hitmy
LABO LETSER, FS, University of Mohammed I, Oujda, Morocco

lekhal_f@yahoo.com
Abstract. In this paper we propose a new method of classification of color

texture images based on a multi-space for representing the colors. We use in this
work twenty eight different spaces. The method is based on the strategy evo-
lution algorithm. It selects the pertinent attributes to represent the color texture
images in an optimal and reduced way. These attributes take into consideration
the spatial intra and inter components of the color images. The images that we
used for the experiment are taken from the data base Outex. The approach shows
the highly better results obtained when multi-space color is used than if the
experiment is carried out with one unique color space. This technique has also
been applied to the quality control of color paving images.
Keywords: Color texture Color space Supervised classification

Evolution strategy Attribute vector Selection of attributes
1 Introduction
Data classification consists of regrouping the data into different classes. The data of a
same class are all similar according to some criterion. The data of two different classes
are dissimilar according to the same criterion. There are two stages for applying the
method, learning and classification [1, 2]. In the learning phase, the data are described
by some initial attributes. The initial attribute vector however, does contain some non-
pertinent attributes and the attributes may be strongly correlated between then two by
two. To obtain a good quality classification in a reduced computation time, we must be
able to eliminate the non-pertinent attributes and to reduce to a maximum the corre-
lation between the attributes [2, 6]. In this work, we have proposed a process of
selecting the pertinent attributes based on the evolution strategies. This method obtains
automatically the number of attributes to be selected qopt and the most pertinent
attribute vector Vopt. The quality of the classification is improved and the time required
for classifying the images during the test phase is reduced. The method that we have
developed has allowed to satisfy the constraints imposed by an industrial application in
terms of classification results and processing time.
The proposed method uses the multi-space for representing the colors of the color
texture images for a more complete description of the classes. The method also uses the
spatial relation between intra and inter components of the images. The attributes are
extracted from the run length and the co-occurrence matrices of reduced size due to a
quantization of the color components. The method is applied to images extracted from
https://doi.org/10.1007/978-981-13-1405-6_13
Textures Classification by Color Multi-space 99
the data base of images Outex. A comparison is made when the images are described
by only one space of colors or if the images are described by grey level representation.
The method proposed is at the end applied to color paving images.
2 Description of Texture Image
2.1 Grey Level Texture Attribute

Haralick [2, 9] has proposed fourteen parameters which were extracted from a co-
occurrence matrix. Most commonly used parameters are: Homogeneity (Hom), Local
Homogeneity (HomL), Uniformity (Uni), Directivity (Dir), Entropy (Ent) and Contrast
(Cont). Galloway [2, 6] has proposed five parameters which were extracted from a run
length matrix: Short Run Emphasis (SRE), Long Run Emphasis (LRE), Gray Level
Nonuniformity (GLN), Run Length Nonuniformity (RLN) and Run percentage (RP).
We have in total N = 11 initial grey level texture attributes which are:
Vinit ¼ ðDir; Uni; Hom; Cont; HomL; Ent; SRE; LRE; GLN; RLN; RPÞ:
2.2 Color Texture Attributes

Several authors [4] have shown that color texture attributes analysis based on intra and
inter components has obtained better classification results than if the attributes are
based only on the luminance or if they are based on color images but only intra
components. The color texture image is coded in the space (C1, C2, C3) where the
ðC ;C Þ
image attributes are computed. We compute six co-occurrence matrices Mca k k0
where a is the translation vector. Six most common Haralick attributes are extracted
from each of these matrices; hence we have 36 Haralick attributes [4, 5, 7]. We
compute the three run length matrices of Galloway MlCa k and for each of them we
compute the five most common Galloway attributes, hence 15 more attributes [5, 6].
We have in total N = 51 initial color texture image attributes which are:
Vinit ¼ðDir1 ; Uni1 ; Hom1 ; Cont1 ; HomL1 ; Ent1 ; Dir2 ; Uni2 ; Hom2 ; Cont2 ; HomL2 ; Ent2 . . .
Dir6 ; Uni6 ; Hom6 ; Cont6 ; HomL6 ; Ent6 ; SRE1 ; LRE1 ; GLN1 ; RLN1 ; RP1 . . .SRE3 ; LRE3 ;
GLN3 ; RLN3 ; RP3 Þ
2.3 Multi-space Color Approach

The color spaces which are the most used in the literature may be regrouped into four
groups [4, 5]: primary spaces, luminance chrominance spaces, perceptual spaces and
spaces of independents lines. From the set of these spaces, we have chosen 28 from
among them. Figure 1 shows the distribution of these spaces into sets and subsets. Each
of these spaces, taken individually, may be obtained from the usual (R, G, B) space
through a transformation described by a linear or nonlinear equation [4, 5].
100 F. Lekhal and M. El Hitmy
Spaces of independants Perceptual spaces

lines
(I1, CI1I2, HI1I2)
(I1, I2, I3) Polar coordinates space
P.C.S defined by (I1, I2, I3)
Space of Ohta
(A, CC1C2, HC1C2)
(A, C1, C2) P.C.S defined by (A,C1,C2)
(R, G, B) Antagonist space defined
Image acquisition by Fauregas and Garbay
(bw, Crgby, Hrgby)
space P.C.S defined by (bw,rg,by)
(bw, rg, by)
A.S defined by Ballard
(X, Y, Z) (Y’, CY’I’Q’, HY’I’Q’)
Colorimetric reference P.C.S defined by (Y’,I’,Q’)
space of CIE (Y’, I’, Q’)
Television space T.S sat- (Y’, CY’U’V’, HY’U’V’)
isfying the standard NTSC P.C.S defined by (Y’,U’,V’)
(x, y, z)
Normalized Colorimet-
ric reference space of (Y’, U’, V’) (L*, Ca*b*, Ha*b*)
CIE T.S satisfying the stan- P.C.S defined by (L*,a*,b*)
dard PAL
(Y, Cch1ch2, Hc h1ch2)
(L*, a*, b*) P.C.S defined by (Y,ch1,ch2)
(r, g, b) Uniforme perceptuel U.P
Normalized prima- space CIELAB
ry space (L*, Cu*v*, Hu*v*)
P.C.S defined by (L*,u*,v*)
(Y, ch1, ch2)
Luminance-chrominance
Primary spaces L-C space defined by carron
(L*, Su*v*, Hu*v*)
P.C.S defined by (L*,u*,v*)
(L*, u*,v*) (I1, S1, T1)

U.P space CIELUV Perceptual coordinates
space Pe.C.S defined from
(Y, x, y) the triangle model T.M
L-C space defined from
systems (x,y,z) and (X,Y,Z) (I1, S1’, T1)
Pe.C.S defined from the
T.M with minimum
(I1, r, g)
L-C defined from sys-
tems (r,g,b) and (R,G,B) (I1, S1’’, T1)
Pe.C.S defined by liang
Luminance chromi- (I2, S2, T2)

Pe.C.S defined from the
nance spaces hexagonal cone H.C
(I2, S’2, T2)

Pe.C.S from the double H.C
Fig. 1. The 28 color spaces considered to characterize the texture image

3 Evolutionary Strategies
Evolutionary strategies E.S. are techniques for optimizing functions. ES are based on
the evolution of a population of solutions which under the action of some precise rules
optimize a given behaviour, which initially has been formulated by a given specified
fitness function [2]. A SE manipulates a population of constant size. This population is
formed by chromosomes. Each chromosome represents the coding of a potential
solution to the problem to be solved; it is formed by a set of genes belonging to an
alphabet. At each iteration is created a new population by applying the genetic oper-
ators: selection and mutation. These operators are stochastics. The algorithm chooses in
selection the most pertinent candidates. The mutation operator modifies the chromo-
somes selected by gaussian perturbation to produce the new chromosomes. This pro-
cedure allows the algorithm to avoid the local optimum and explores the search space
in order to find the global optimum [2].
4 Optimal Choice of the Number of Attributes

and the Attribute Vector by Evolutionary Strategies
For each image coded in one of the 28 color spaces chosen, we define 51 initial attributes.
For the 28 spaces, we start with an initial attribute vector of size N = 28 51 = 1428.
However, we found in the literature several papers showing that if the initial attribute
space is of dimension greater than 100 [4], the evolutionary method for selecting the
attribute will give poor results and may not be used to select the pertinent attribute vector.
The procedure we are developing in this work is to reduce the initial attribute vector to a
size lower to 100. For each color space Ea, a = 1 to 28, we start with N = 51 initial
attributes, the strategy of evolution algorithm is used to determine the optimal attribute
vector Vopta
, of optimal dimension qaopt ðqaopt NÞ. The optimal attribute vectors
a
obtained Vopt (with 1 < a < 28) are later regrouped in a new vector considered to be the
P28
0
initial attribute vector Vinit of dimension N0 ¼ a
a ¼ 1 Vopt . The evolution strategy
algorithm proposed is used to select from among the N 0 initial attributes the Qopt most
pertinent attributes which best discriminate between the classes (Fig. 2).
Fig. 2. Proposed scheme for selecting attributes.

4.1 Proposed Coding

Let P be an initial population consisting of maxpop chromosomes. Each chromosome
chrk (k = 1 to maxpop) is characterized by a vector Vk composed of q + 1 genes:

chrk ¼ Gk gk1 . . .gkj . . . gkq ð1Þ
Gene Gk is an integer number representing the number of attributes to be selected

q. Genes (gkj)1 j q are integer numbers defined by the condition if i < j then gki < gkj.
gkj represents the position of aj attribute to select
from the initial vector Vinit, they form
the chromosome chrk ¼ gk1 . . .gkj . . .gkq associated with the vector Vk ¼
ðagk1 ; agk2 ; . . .; agkq Þ : gkj ¼ n if an attribute number n is present.
Cocquerez et al. [2] recommended a value of q to be comparable to the number of
classes. Postaire [2, 8] indicates that the selection of the most pertinent parameters in
the sense of classification performances depends on the data to classify and the speed of
execution to be sought. After these recommendations, The vector Vk ðk 2 N Þ encoded
by the chrk chromosome, can only be a possible solution to the problem if:
1. Gk 2 2 C], if 2 C > N, we take 2 C = N, C number of classes
[2,
2. dim Vk ¼ Gk
In the algorithm, we need to eliminate all chromosomes coding the vector Vk which
do not comply with these two constraints. To this end, we propose to change the Gk
gene, to verify the first condition, then we propose to randomly modify the Gk genes
(gkj)1 j q of this chromosome until the second constraint is verified
As an example, let consider the chromosome extracted from the initial attribute
vector of size 19: chr = (4 2 4 7 12). For this example, the attribute space dimension is
equal to q = 4, and only the attributes a2, a4, a7 and a12 will be considered.
The optimal chromosome will simultaneously obtain the optimal number qopt of
attributes to be selected and the qopt best attributes.
4.2 Selection Criterion of Pertinent Attributes

Let Vk (k 2 N*) be an arbitrary attribute vector of q dimension, extracted from Vinit and
let TVk the total variance matrix, WVk a compacity matrix and BVk a separability matrix
of dimension q q. The used criterion is based on the Wilks criterion together with a
measure of correlation coefficient r(aj, al) between the attributes [2]:
jWvk j X

JWilks ðq; Vk Þ ¼ 2 r aj ; a l ð2Þ
jTvk j aj ; al 2 EVk
j\l
This criterion J is to be minimized: an attribute vector Vk, extracted from Vinit, of

dimension q (q N) is optimal in the sense of the classification performances if its
components maximize the inter-class distances, minimize the intra-class distances and
are less correlated between them.
5 Application
We have considered 120 Outex images of size 128 128 distributed over five classes
(Fig. 3):
Fig. 3. Five samples of Outex texture images used for this experiment
For each space, in few generations, the algorithm converges toward the optimal
solution and determines the most pertinent texture parameters. A supervised classifi-
cation is carried out by the Fuzzy C-Means algorithm in the Vopt attribute space of
dimension qopt. The test images classification results are shown in Table 1 below.
Table 1. Classification results obtained by grey level and 28 spaces

Space chropt Vopt qopt Rate
%
Luminance space (3 2 6 9) (Uni, Ent, GLN) 3 61
E1 = (R, G, B) (5 1 22 26 28 (Dir1, Cont4, Uni5, Cont5, 5 92
37) SRE1)
E2 = (r, g, b) (5 1 6 16 37 51) (Dir1, Ent1, Cont3, SRE1, RP3) 5 80
E3 = (X, Y, Z) (2 21 33) (Hom4, Hom6) 2 29
E4 = (x, y, z) (4 3 36 37 41) (Hom1, Ent6, SRE1, RP1) 4 42
E5 = (A, C1, C2) (4 7 10 21 45) (Dir2, Cont2, Hom4, RLN2) 4 87
E6 = (bw, rg, by) (2 23 34) (HomL4, Cont6) 2 39
E7 = (Y′, I′, Q′) (5 1 33 35 38 (Dir1, Uni6, HomL6, LRE1, 5 84
40) RLN1)
E8 = (Y′, U′, V′) (3 8 20 34) (Uni2, Uni4, Cont6) 3 23
E9 = (L*, a*, b*) (5 9 30 37 38 (Hom2, Ent6, SRE1, LRE1, 5 91
50) RLN3)
E10 = (L*, u*, v*) (5 4 6 11 37) (Cont1, Ent1, HomL2, SRE1) 4 71
E11 = (Y, x, y) (4 5 15 39 41) (HomL1, Hom3, LRE1, RP1) 4 19
E12 = (I1, r, g) (3 14 22 32) (Uni3, Cont4, Uni6) 3 89
E13 = (Y, ch1, ch2) (2 29 34) (HomL5, Cont6) 2 60
E14 = (I1, I2, I3) (2 25 29) (Dir5, HomL5) 2 78
E15 = (I1, CI2I3, HI2I3) (5 17 22 27 32) (HomL3, Cont4, Hom5, Uni6) 4 94
E16 = (A, CC1C2, (4 3 16 26 35) (Hom1, Cont3, Uni5, HomL6) 4 76
HC1C2)
E17 = (bw,Crgby, (3 9 15 30) (Hom2, Hom3, Ent5) 3 28
Hrgby)
(continued)
Table 1. (continued)
Space chropt Vopt qopt Rate
%
E18 = (Y′, CY′I′Q′, (6 1 14 34 37 (Dir1, Uni3,Cont6, SRE1, 6 75
HY′I′Q′) 44 46) GLN2, RP2)
E19 = (Y′, CY′U′V′, (4 8 23 33 49) (Uni2, HomL4, Hom6, GLN3) 4 22
HY′U′V′)
E20 = (L*, Ca*b*, (3 14 18 27) (Uni3, Ent3, Hom4) 3 59
Ha*b*)
E21 = (L*, Cu*v*, (3 16 34 36) (Cont3, Cont6, Ent6) 3 44
Hu*v*)
E22 = (Y, Cch1ch2, Hc (2 25 33) (Dir6, Uni6) 2 68
h1ch2)
E23 = (L*, Su*v*, (6 8 10 15 22 (Uni2, Cont2, Hom3, Cont4, 6 17
Hu*v*) 28 32) Cont5, Uni6)
E24 = (I1, S1, T1) (3 9 14 27) (Hom2, Uni3, Hom5) 3 31
E25 = (I1, S01 , T1) (5 8 17 29 35 (Uni2, HomL3, HomL5, 5 38
48) HomL6, LRE3)
E26 = (I1, S001 , T1) (3 1 15 21) (Dir1, Hom3, Hom4) 3 36
E27 = (I2, S2, T2) (4 14 20 27 35) (Uni3, Uni4, Hom4, HomL6) 4 63
E28 = (I2, S02 , T2) (4 15 17 33 48) (Hom3, HomL3, Hom6, LRE3) 4 59
Comparison of classification results between images using the sole luminance

information and the (R, G, B) space shows the highly better results obtained when the
color parameter is taken into consideration. Comparison of the classification results
when made between images coded in the (R, G, B) space and when these images are
coded in the remaining other 27 spaces, shows that E15 space gives a high performance
and improves significantly the results. Once establishing the classification results, we
have proposed to discard those color spaces which have obtained very low rate of
recognition. In this work we have estimated that a threshold rate to be considered is
40%. A classification rate greater than 40% indicates that the associated space is to be
0
preserved. The evolution strategy algorithm is used with an initial vector Vinit of
dimension N′ = 69. Table 2 shows the results obtained. The results obtained by E15
and those obtained by considering the whole of the 28 spaces show that the multi-space
approach exploits the properties of each space taken individually and thus improves
significantly the classification results obtained.
Table 2. Classification results obtained by color multi-space

chropt and Vopt Qopt Rate %
Color multi-space (6 2 15 16 42 43 60) 6 97
ðCont4E1 ; Dir2E5 ; Cont2E5 ; HomE15
5 ; Uni E15
6 ; Dir6
E22
Þ
6 Application to Quality Control of the Paving Decoration
The approach that we have developed in this work has been applied to a set of paving
decoration images. The images considered are divided into three classes. The first class
CL1 is formed by images which does not contain any defect. The CL2 and CL3 are
images containing defects but of different types. The defects of images in the CL2 are of
the form of spots. The defects of images in the CL3 are represented by a shift of the
colors in some part of the image. We have considered 120 color paving images
(Fig. 4):
Fig. 4. A sample of paving decoration image with and without defect
Table 3 shows the classification results obtained by using luminance space, (R, G,
B) space and three spaces having the highest classification rate results:
Table 3. Classification results

chropt Vopt qopt %
Luminance (6 3 4 6 7 9 11) (Hom, Cont, Ent, SRE, GLN, RP) 6 86.66
E1 = (R, G, (2 11 21) (HomL3, Uni4) 2 94.16
B)
E9 = (L*, (4 8 19 22 35) (Uni2, Cont4, Cont5, HomL6) 4 92.5
a*, b*)
E14 = (I1, I2, (5 15 16 24 38 (Hom3, Cont3, Ent4, LRE1, GLN3) 5 91.66
I3) 49)
Color multi- (6 22 24 34 40 4 ; Cont4 ; HomL6 ; Cont3 ; Dir6 ; Dir2 ; Cont2 Þ
ðUniE1 E9 E9 E14 E15 E27 E27 6 90.83
space 60 61)
Table 3 shows the results obtained. We have indeed obtained 3 images which were
wrongly classified. 2 images of class CL3 were attributed to CL1 and 1 image of CL3
attributed to CL2. The images of CL2 were entirely recognized to be belonging to CL2,
it is 100% identification.
7 Conclusion
In this paper, we have proposed a method of classification based on the evolution

strategy algorithm. The method consists of selecting the most pertinent attributes which
are the most discriminate from the chosen initial ones. We have used the color multi-
space approach for discriminating between the classes. This approach represents the
pixel colors in several color spaces; each space has some intrinsic properties which may
discriminate between the color textures. However, the analysis of texture zones
imposes to characterize not only the distribution of color within the same space but also
the spatial distribution intra and inter components. The color multi-space approach used
with the classification method of color texture images that we developed exploits the
properties of each space taken individually and improves significantly the classification
results obtained than if use one color space only or if we only use the luminance
information. We have given the experimental results obtained by applying the proposed
approach on some reference images taken from the Outex data base. We have at the end
measured the pertinence of our method by applying it to the quality control of some
color pavings. We have obtained good results.
References
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visual attention model. Int J Innov Comput Inf Control 5:12
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804
Vehicle Trajectory Clustering Using Variable
Kernel Estimator
Loubna El Fattahi1(&) and El Hassan Sbai2

1
Faculty of Sciences, Department of Physics, Moulay Ismail University,
Meknes, Morocco
elfattahi.loubna@gmail.com
2
High School of Technology, Moulay Ismail University, Meknes, Morocco
sbaielhassan@yahoo.fr
Abstract. Wrestling against road unsafety is a mandatory issue that has very
serious effect on human health. Therefore, many researches were tackled the
vehicle trajectory modeling and measurement to examine the interaction
between the driver, the vehicle and the infrastructure in order to identify the safe
and unsafe zones of the trajectories. The aim of this study is to determine the
different driving behaviors through a real trajectories analysis using unsuper-
vised clustering based on density estimation through the variable kernel esti-
mator. Also, we introduce a new method of data transformation for trajectory
data before considering any clustering algorithm.
Keywords: Trajectory Clustering Variable kernel

Kernel Entropy Principal Component Analysis
1 Introduction
Big attention has given to the road safety by the authorities throughout the world
because of the increasing number of the road accidents caused by the loss control,
which has serious effect on the human health for both drivers and passengers [1],
especially in bend zones, because of the curvature of trajectory. Many works were done
on trajectories analysis, to tackle with the vehicle trajectory modeling as well as
measurement evaluation for the interaction between the driver, vehicle and infras-
tructure [2, 3] in order to identify either the inappropriate driving behaviors or the
infrastructure’s dangerous zones. The trajectory consists of the vehicle location, speed,
and acceleration as a time function and could be other variables depending on the
technology used to measure the trajectory [4]. However, it is a challenging task because
of the vehicle’s move, which is conditioning by the driver behavior, vehicle dynamic
and infrastructure conditions. The two objectives of this paper are first, to introduce
new approach for data extraction and reduction. Second, to group the trajectories into
clusters which reflects the driver’s behavior using an unsupervised clustering
algorithm.
The present work is organized as follows. Section 2 presents our proposed method
for data reduction as well as our algorithm of clustering for the vehicle trajectories data
set. Section 3, deals with the experiment study, on the trajectories data set.

https://doi.org/10.1007/978-981-13-1405-6_14
108 L. El Fattahi and E. H. Sbai
2 Materials and Methods
One of the problems that confront clustering algorithm is the high dimensionality of the
datasets, where the clustering algorithms become inefficient in some cases. As a
solution, dimensionality reduction is considered as an efficient preprocessing. Many
researches have been done to settle this complication [5–8]. In the same sense, we
develop a nonlinear method named Kernel Entropy Principal Component Analysis
(KEPCA) that enhances the existing linear Entropy Principal Component Analysis
(EPCA) method [9]. Therefore, to get rid of the irrelevant and redundant information
and preserve only the valuable information in trajectory dataset. The reduced dimen-
sion of the trajectory dataset in kernel space is determined using the maximum entropy
principle which was introduced by Jaynes in [10].
2.1 Vehicle Trajectory Definition

The experimental trajectories database is given by the LCPC (Laboratoire Central des
Ponts et Chanssées) who makes it possible to measure the parameters of trajectory at a
discrete intervals of time in the bend during the vehicle passage. To achieve the goal,
they used a data acquisition system integrated to a test vehicle that can register the
positions, speeds and accelerations. Reader who wants more details has to see [3]. The
survey was carried out with voluntary drivers through different trajectories per driver,
which makes a set of physical trajectories [1].
2.2 Proposed Method for Feature Extraction and Selection

Taking into consideration the kernel method, the input space could be implicitly
mapped into a high-dimensional feature space where then on linear patterns become
linear. The key element of the kernel method is the Gaussian Radial Basic Function for
the fact that it is regularly used to reproduce the Kernel Hilbert Space (RKHS). For the
sake of maximizing the variance of the output variables in the feature space [11]. Then
the mapped data were reduced through the EPCA, which is a linear method for data
reduction [9]. Thus, a simple algorithm of clustering reached significantly better results,
using the variable kernel estimator (VKE) [12, 13] for Probability Density Function
(PDF) for the fast search of cluster centroids [14, 15]. The VMEP index [16] and the
Elbow method [17] are investigated to validate our results of clustering. The use of
density-distance method defined in [14] has two goals: Firstly, to compute the pairs
(density, distance) values of data points in order to detect the centroids, secondly to
represent them on a two-dimension plan that performs the high-dimensional dataset.
2.3 Algorithm of Clustering

Our algorithm of clustering including the proposed KEPCA data transformation
method for trajectories data is summarized in the following steps:
1. Normalize the input data;
2. Map the input data using the kernel function;
Vehicle Trajectory Clustering Using Variable Kernel Estimator 109
3. Perform the EPCA;

4. Extract the features in the non-linear output space;
5. Compute the pair density-distance of reduced data using VKE;
6. For C ¼ 1; . . .; Cmax
• Select the cluster centroids and assign each element into its cluster;
• Compute the cluster validity index VMEP ;
7. The correct number of clusters and the best grouping for the input data corresponds
to the one that have maximum value of VMEP :
3 Experiment Results
The objective of the present section is to evaluate the performance query of our approach
for data reduction using the KEPCA. The key element is to extract only the valuable
features and to model the trajectories data with unsupervised algorithm based on the fast
search of the cluster centroids using the VKE. To this end, we consider the data set,
which consists of 232 trajectories with 6 variables (longitudinal position, lateral posi-
tion, longitudinal speed, lateral speed, longitudinal acceleration and lateral acceleration).
Therefore, trajectories data will be mapped into a high-dimensional space then it will be
reduced to few features using EPCA as a preprocessing step. The Fig. 1 reveals the 3
extracted features in the high-dimensional space, which represent the maximum infor-
mation contained in data set. We limit our plot to 20 features on the Fig. 1 for the sake of
clarity since the entropy evolves in decreasing order. Hence, the three maintained
nonlinear features represent the more relevant ones for our clustering algorithm.
Fig. 1. The optimal number of features.
Relying on the same quantities, the density and the distance, the Fig. 2 pops up the
obtained result. For the first plot Fig. 2(a), it shows the sorted quantity of the product of
the density and the distance, which is by definition large and increases between cluster
centroids anomalously, then it remains narrow between the other points. Whereas, the
second plot in Fig. 2(b) is a density-distance plot where centroids are separated from
data and located in the upper right corner of the density-distance plot. Thus, both
techniques give the same result. It is clear that four centroids have been selected from
trajectories data, which confirms the existence of four clusters; each cluster has its own
centroid. The obtained results could be explained by the fact that each center is
characterized by higher local density and relatively large distance apart from the other
data points with higher density. Thus, our algorithm is able to differentiate between
centers and other data points.
Fig. 2. (a) The values of the product of the density and distance plotted in decreasing order,
(b) Decision graph for centers selection of the density distance plot for the trajectories data.
To check the validity of our clustering result, we apply both VMEP criterion and the
Elbow method [16]. The results are given in Fig. 3. We can see in Fig. 3(a) the evolution
of the VMEP index where the optimal value of cluster numbers is determined as 3 using
the maximum entropy principle. Likewise, by investigating the Elbow method, Fig. 3
(b), which relies on the minimization of the sum of the squared errors within each
cluster. The same result was given by both criterions, four clusters were selected as a
best grouping of samples, which confirms our clustering algorithm assumptions.
Fig. 3. (a) Number of clusters validation given by VMEP index and (b) The Elbow method for
the trajectories data.
Vehicle Trajectory Clustering Using Variable Kernel Estimator 111
Figure 4 shows the samples (trajectories) assignation to their appropriate clusters

(behaviors) relying on the centroids selection result where each single point is assigned
to the closest center based on the calculation of the Euclidean distance. The result is
given on three-dimensional plot because the reduced dimension after performing
KEPCA was three features (Fig. 1), where the four clusters are discovered and clearly
differentiated from one to another and represented by different colors and shapes. Each
cluster represent a driver’s behavior. The first class corresponds to the family of the
slowest trajectories of calmed driving. The second class corresponds to the family of
the slowest trajectories of sporting driving. The third class, represents the family of the
fastest trajectories of calmed driving. The fourth class corresponds to the family of the
fastest trajectories of sporting driving. As a comparison to other works related to same
trajectories data as in [1], same number of clusters and of driver’s behavior were
detected using our unsupervised algorithm.
Fig. 4. Three-dimensional plot performed on mapped trajectories data, samples are colored
according to the cluster to which they are assigned with different color and shape.
4 Conclusion
The core objective of the present work is to assign each trajectory to its corresponding
class of trajectories. Each trajectory reflects a driver’s behavior, provided by experi-
mental data acquisition. Hence, we use our unsupervised clustering algorithm that
integrates the proposed Kernel EPCA method as preprocessing for data extraction and
selection. The main idea of the kernel is to map indirectly the input data into a high-
dimensional feature space where then on linear patterns become linear. Thus, the
separation of the elements in linear space becomes easy. As a result, our proposed
technique has given good result in assigning trajectories to their clusters. Furthermore,
the use of variable kernel estimator has proven its efficiency in density estimation,
which is critical issue in density estimation and so as for clustering algorithm. The
VMEP index and the Elbow method were investigated and have revealed good validation
to our result of clustering algorithm.
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Human Activity Recognition in Smart Home
Environment Using OS-WSVM Model
M’hamed Bilal Abidine1(&), Belkacem Fergani1, and Shikhar Seth2

1
Laboratoire d’Ingénierie des Systèmes Intelligents et Communicants (LISIC),
Faculty of Electronics and Computer Sciences, USTHB, Algiers, Algeria
abidineb@hotmail.com
2
School of Computing & Information Technology (SCIT),
Manipal University Jaipur, Jaipur, India
Abstract. Accurately recognizing the rare activities from sensor network based
smart homes for monitoring the elderly person is a challenging task. Activity
recognition datasets are generally imbalanced, meaning certain activities occur
more frequently than others. Not incorporating this class imbalance results in an
evaluation that may lead to disastrous consequences for elderly persons. To deal
with this problem, we evaluate a new model OS-WSVM combining Over-
Sampling (OS) with Weighted SVM (WSVM). Our experiments are carried out
on real world datasets, demonstrating that OS-WSVM is able to surpass SVM,
OS-SVM and WSVM in Human Activity Recognition tasks.
Keywords: Smart home Activity recognition Imbalanced data

SVM Assisted healthcare
1 Introduction
In recent years, the classification problem with imbalanced data has received consid-
erable attention in areas such as Machine Learning and Pattern Recognition. A two-
class data set is said to be imbalanced when one of the class (the minority class) is
heavily under-represented in comparison to the other class (the majority one) in the
training dataset. In such situations, it is costly to misclassify activities from the minority
class but the learning system may have difficulties to learn the concepts related to such
activities, and therefore, results in the classifier’s suboptimal performance.
This paper deals with the problem of imbalanced data to assist sick or elderly
people in performing daily life activities [1] such as cooking, brushing, dressing, and so
on. Activity recognition datasets are generally imbalanced, meaning certain activities
occur more frequently than others. These differences may correspond to how often an
activity is performed, e.g. leaving is generally done once a day, while toileting is done
several times a day, or to the number of time slices an activity takes up, e.g. of leaving
activity generally takes up considerably more time slices than a toileting activity.
In recent years, there have been several attempts to deal with the class imbalance
problem [2, 3]. Traditionally, research on this topic has mainly focused on a number of
solutions both at the data and algorithmic levels. At the data level [4], solutions include
many different forms of re-sampling such as Over-Sampling (OS), Under-Sampling

https://doi.org/10.1007/978-981-13-1405-6_15
114 M. B. Abidine et al.
(US). At the algorithmic level, solutions include adjusting the costs associated with
misclassification so as to improve performance [5]. In [6], we proposed a new version
of Weighted Support Vector Machines (WSVM) setting different cost parameters for
each activity employed to handle the imbalanced human activity datasets. In this paper,
we propose a new classification model named OS-WSVM that combines the over-
sampling method with WSVM method to deal the class imbalance problem. The
experiments were implemented on multiple annotated real world datasets from sensor
readings in different houses [7, 8].
2 Proposed Approach
2.1 System Overview

The main idea proposed in this paper is to entirely determine the boundary of datasets
by the support vectors. Therefore Over sampling (OS) is only applied in the support
vectors obtained by WSVM learning. Through this process, the performance of
Weighted SVM can be enhanced in the imbalanced datasets. Moreover, the approach
can reduce the processing time because the number vectors are bounded and become
small. According to the proposed idea, the new algorithm can be expressed as follows
(Fig. 1):
Fig. 1. Block diagram of the proposed activity recognition approach.
Step1: Use the Weighted SVM to deal with the imbalanced training datasets, and
record the support vectors.
Step2: Sample the support vectors to improve the balanced degree between the
majority class and the minority class by using Over Sampling technique.
Step3: Use the SVM to deal with balanced datasets, and get the ultimate classifier.
Human Activity Recognition in Smart Home Environment 115
The outcome of the trained SVM will then be used to process a new observation
during the testing phase where the associated activities of daily living class will be
predicted.
2.2 Over-Sampling (OS)

This approach increases the number of minority class samples. The simplest approach
is Random oversampling, in which examples from the minority class are chosen ran-
domly. Chosen examples are then duplicated from the minority class to the original set
and added to the training data, which implies that no information is lost.
2.3 Support Vector Machines (SVM) [9]

For a two class problem, we assume that we have a training set fðxi ; yi Þgm i¼1 where
x 2 Rn and yi are class labels either 1 or –1. The primal formulation of SVM maximizes
margin 2/K(w, w) and minimizes the training error ni simultaneously by solving
P
m
min 1=2:Kðw,wÞ þ C ni
w;b;n i¼1 ð1Þ
subject to yi ðw /ðxi Þ þ bÞ 1 ni ; ni 0;
T
i = 1,. . .; m
where w is normal to the hyperplane, b is the translation factor of the hyperplane and
uð:Þ is a non-linear function which maps the input space into a feature space defined by
Kðxi ; xj Þ ¼ uðxi ÞT uðxj Þ. Solving dual formulation of Eq. (1) for the Lagrange multi-
pliers a gives a decision function for classifying a test point x 2 Rn
!
X
msv
fðxÞ ¼ sgn ai yi Kðx; xi Þ þ b ð2Þ
i¼1
with msv is the number of support vectors xi 2 Rn .
2.4 Weighted Support Vector Machines (WSVM) [10]

WSVM was presented to deal with the imbalanced problem by introducing two dif-
ferent cost parameters C þ and C in the SVM optimization primal problem [9] for the
majority classes (yi = +1) and minority ones (yi = –1), as given in Eq. (1) below:
P P
min 1=2:Kðw,wÞ þ C þ ni þ C ni
w;b;n yi ¼1 yi¼1 ð3Þ
subject to yi ðwT /ðxi Þ þ bÞ 1 ni ; ni 0; i ¼ 1; . . .; m
C þ and C are cost parameters for positive and negative classes, respectively.
Some authors [10, 11] have proposed adjusting different cost parameters to solve
the imbalanced problem. Veropoulos et al. in [11] proposed to increase the cost of the
minority class (i.e. C [ C þ ) to obtain a larger margin on the side of the smaller class.
In [6], we proposed a new criterion to choose the cost parameters for WSVM algo-
rithm. The coefficients are adapted for each class of activity and typically chosen as:
Ci ¼ C ½m þ =mi ; i ¼ 1; . . .; N ð4Þ
where m þ is the number of samples of majority class and mi is the number of samples
of the other class. C is the common ratio misclassification cost factor of the WSVM.
This parameter is determined with the cross validation method.
3 Simulation Results and Assessment
3.1 Datasets
We used fully labeled datasets [7, 8] gathered by a single occupant from three houses
having different layouts and different non-intrusive sensor networks. Each network is
composed of a different number of state-change sensors nodes such as reed switches to
determine open-close states of doors and cupboards; pressure mats to identify sitting on
a couch or lying in bed. The data was labelled using different ways for annotation.
Time slices for which no annotation is available are collected in a separate activity
labelled ‘Idle’. Table 1 shows the number of data per activity in each dataset.
Table 1. Annotated list of activities and the number of instances of each one.
Dataset Annotation Activities
TK26M Bluetooth Idle(4627); Leaving(22617); Toileting(380); Showering(265);
Headset Sleeping(11601); Breakfast(109); Dinner(348); Drink(59)
TK57M Bluetooth Idle(2732); Leaving(11993); Eating(376); Toileting(243);
Headset Showering(191); Brush teeth(102); Shaving(67); Sleeping(7738);
Dressing(112); Medication(16); Breakfast(73); Lunch(62);
Dinner(291); Snack(24), Drink(34); Relax(2435)
OrdonezA Handwritten Idle(1307); Sleeping(7886); Toileting(173); Showering(121);
Diary Breakfast (132); Grooming(154); Spare_Time/TV(8646);
Leaving(1692); Lunch(331); Snack(14)
3.2 Results
In this study, a software package LIBSVM [12] was used to implement the SVM
multiclass classifier algorithm. First we optimized the hyper-parameters (r, C) for all
training sets in the range (0.1–2) and [0.1, 1, 10, 100] respectively to minimize the error
rate of leave-one day-out cross-validation technique. Then locally, we optimized the
cost parameter Ci adapted for each activity class by using WSVM [6] classifier with the
common cost fixed parameter C = 1. The overall performance of our approach is
compared with SVM, OS-SVM and WSVM and is summarized in Table 2. The results
demonstrate that our approach outperforms other methods.
We show in Fig. 2 for the TK26M dataset, that OS-WSVM outperforms the other
approaches for ‘Toileting’, ‘Showering’, ‘Breakfast’, ‘Dinner’ and ‘Drink’ activities
Table 2. Recall, Precision, F-Measure and Accuracy results for all approaches.
Dataset Approach Recall Precision F-Measure Accuracy
TK26M SVM [6] 61.8 73.3 67.0 95.5
OS-SVM 72.3 73.9 73.1 91.4
WSVM [6] 72.8 74.6 73.7 92.5
Our proposal 77.4 78.3 77.8 96.0
TK57M SVM [6] 35.6 34.9 35.2 80.8
OS-SVM 37.4 34.1 35.7 77.0
WSVM [6] 40.8 37.8 39.2 77.1
Our proposal 43.1 41.8 42.4 82.9
OrdonezA SVM [6] 60.0 58.2 59.1 85.2
OS-SVM 59.4 63.7 61.4 84.1
WSVM [6] 63.7 64.2 63.9 84.4
Our proposal 69.2 66.5 67.8 88.4
and similar results with other methods for ‘Leaving’, and ‘Sleeping’ activities. The
majority activities ‘Leaving’ and Sleeping’ are better for all methods while the ‘Idle’
activity is less accurate for the proposed method compared to other methods. Addi-
tionally, the kitchen-related activities as ‘Breakfast’, ‘Dinner’ and ‘Drink’ are in
general harder to recognize than other activities.
Fig. 2. Accuracy recognition rate for each activity on TK26M dataset.
In order to quantify the extent to which one class is harder to recognize than another
one, we analyzed the confusion matrix of OS-WSVM for TK26M dataset in Table 3.
We noticed that the activities ‘Leaving’, ‘Toileting’, ‘Showering’, ‘Sleeping’, ‘Dinner’
and ‘Drink’ are better recognized comparatively with ‘Idle’ and ‘Breakfast’.
The kitchen activities seem to be more recognized using the proposed method. In
the TK26M house, there is a separate room for almost every activity. The kitchen
activities are food-related tasks, they are worst recognized because most of the
instances of these activities were performed in the same location (kitchen) using the
Table 3. Confusion Matrix (values in %) for OS-WSVM for the TK26M dataset.
Activity Idle Leaving Toileting Showering Sleeping Breakfast Dinner Drink
Idle 48.9 8.2 3.3 8.4 3.4 11.8 9.9 6.1
Leaving 0.8 99.0 0.1 0.1 0.0 0.0 0.0 0.0
Toileting 8.9 1.9 87.4 0.7 0.8 0.1 0.2 0.0
Showering 4.4 0.0 2.8 88.6 0.0 3.2 1.0 0.0
Sleeping 0.0 0.0 0.0 0.0 100 0.0 0.0 0.0
Breakfast 15.6 0.0 0.9 0.0 0.9 53.2 14.4 15.0
Dinner 11.8 0.6 2.5 0.0 0.0 8.4 67.0 9.7
Drink 10.6 0.4 1.6 0.0 0.0 2.0 10.3 75.1
same set of sensors. Therefore the location of sensors strongly influences the recog-
nition performance.
4 Conclusion
Our experiments on real-world datasets from smart home environment showed that OS-
WSVM strategy dealing with the class imbalance at the data and algorithmic levels can
significantly increase the recognition performance to classify multiclass sensory data,
and can improve the prediction of the minority activities.
In the future, it will be interesting to use the temporal features when the activity is
performed to improve the activity classification performance. Also, the scalability of
our approach will be further tested by considering datasets containing increased classes
and various amounts of sensors.
References
1. Abidine MB, Fergani L, Fergani B, Fleury A (2015) Improving human activity recognition
in smart homes. Int J E-Health Med Commun (IJEHMC) 6(3):19–37
2. Chawla N (2010) Data mining for imbalanced datasets: an overview. In: Data mining and
knowledge discovery handbook, pp 875–886
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imbalanced human activity datasets in multiple homes. In: 4th international conference on
multimedia computing and systems (ICMCS 2014). IEEE, Marrakesh, pp 421–426
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Syst Technol 2:1–27 http://www.csie.ntu.edu.tw/*cjlin/libsvm/
Performance and Scalability Improvement
of GMM Background Segmentation
Algorithm on Multi-core Parallel
Platforms
Lhoussein Mabrouk1(B) , Sylvain Huet1 , Said Belkouch2 , Dominique Houzet1 ,

Yahya Zennayi3 , and Abdelkrim Hamzaoui2
1
CNRS, Grenoble-INP, GIPSA-Lab, Univ. Grenoble Alpes, 38000 Grenoble, France
lhoussein.mabrouk@gipsa-lab.grenoble-inp.fr
2
LGECOS Lab, ENSA Marrakech, Cadi Ayyad University,
40000 Marrakesh, Morocco
3
Embedded systems Lab, Mascir Foundation, 10000 Rabat, Morocco
Abstract. With the great evolution of multi-core platforms, the paral-

lelization of many algorithms is the most efficient way for their real-time
acceleration. Gaussian Mixture Model background subtraction (GMM)
method is nowadays used in many moving object detection applications.
This common approach is performed statistically on each single pixel in
the captured frames. Thus, it is well suitable for parallel processing. In
this paper, we propose some efficient tips to improve the performance
and the scalability of GMM using the OpenMP framework. This is done
by choosing a suitable structure to represent the background model as
well as by merging computational loops to ensure contiguous memory
access. The performance evaluation on a 16-cores Intel node showed that
high performance and scalability are achieved even when high image
resolutions are used.
Keywords: GMM background subtraction · Parallel implementation

Multi-core architectures · OpenMP · Scalability improvement
High performance
1 Introduction
Several applications such as road traffic monitoring and public security use object
detection by background subtraction technique [8,9]. It relies on the separation
of image pixels belonging to moving objects from those representing a pseudo-
static background. During the few last years, many methods for background
estimation have been developed [7]. The most commonly used is the Gaussian
This work has been partially supported by the LabEx PERSYVAL-Lab (ANR-11-
LABX-0025-01), and partially supported by the National Center for Scientific and
Technical Research in Morocco (CNRST), through the MOVITS project.
https://doi.org/10.1007/978-981-13-1405-6_16
GMM Scalability and Performance Improvement 121
Mixture Models (GMM). It is a statistical approach proposed by Friedman and

Russell [5] and extended by Stauffer and Grimson [6] to represent every single
pixel in the background model as a set of weighted Gaussian distributions. This
involves high-precision processing of a large amount of data in short periods,
which requires high-performance computing systems. In order to speed up this
algorithm, Shen et al. [4] proposes an implementation of GMM on embedded
systems which is both accurate and 6 times faster than its original version. It
uses random projections to reduce the dimensionality of data. However, each
pixel in the image became more dependent to its neighbors, which has a neg-
ative effect on the parallelization prospects. Despite the significant evolution
of multicore platforms, the researches carried out previously to parallelize this
method have shown that its scalability cannot reach a linear speedup. Szwoch
et al. [1] for example have carried out an important parallel implementation
of this algorithm on a supercomputer platform. The goal of their work was to
choose a task scheduling method and thread management systems that provide
satisfactory accuracy and efficiency in the real-time processing of high-resolution
images. According to this study, the rate of frames processed cannot reach the
source speed fps despite the increase in the number of processing threads run-
ning simultaneously; thus the scalability of the obtained results remains under
the factor of 3,5 when 12 physical cores are used. The work done in [2] represents
a more important improvement in the scalability of GMM, by removing data
dependencies between threads. However, for high resolution images the speedup
could not exceed a factor of 8.3 when 16 cores are used. In this work, we pro-
pose a more efficient parallel implementation of GMM algorithm on a multi-core
Intel platform. This is carried out by choosing a suitable structure to represent
the background model and merging computational loops to ensure contiguous
memory access. Our strategy is validated using the multithreading through the
OpenMP framework [12]. The overall results show that we achieve high speedup
even when 16 cores are used. This paper is organized as follows. A presentation
of the GMM is given in Sect. 2. Section 3 presents a general description of our
improvements. The experimental results showing the performance enhancements
are given in Sect. 4. Finally, conclusion is presented along with our perspectives
in Sect. 5.
2 GMM Background Segmentation Algorithm
Also known as foreground detection, the background subtraction is a common

technique in the field of image processing and computer vision. In general, the
regions of interest of an image are objects (human, cars, text, etc.) in the fore-
ground. After the preprocessing phase of the image (like image quality enhance-
ment, post-processing, morphology, etc.), background subtraction is a widely
used method to detect moving objects in static cameras. The term “background
image” or “background model” is used to describe the similarity between the
current frame and the reference frame. The background subtraction methods
differ by the type of background model adopted and the procedure followed to
122 L. Mabrouk et al.
update this model. This update must take into account lighting changes, repeti-
tive space movements and scene changes in real time. This combination of quality
and speed makes from the GMM [5], the most efficient process for this task. This
statistic method is based on a simple heuristic that determines which intensities
are most present in the background. Pixels that do not match these are called
foreground pixels. Each pixel in the background model is represented by a Mix-
ture of K Gaussian clusters (chosen between 3 and 5) [6]. Each of these clusters
is modeled by three parameters: an average μ, a variance σ and a weight ω that
represents the hegemony of this component. Thus the probability that a pixel X
belongs to this component is described by the Eq. (1).
1 T −1
η(X, μ, )= e−0.5[(X−µ) (X−µ)]
(1)
(2π)D | |

Where is the covariance matrix of the color channels and D its dimension
(equal to 3 in the RGB color space). On the real level, each of these Gaussian
clusters represents a repetitive or permanent phenomenon on this pixel such as
ground, vibration of trees etc. The GMM process goes through two stages for
each frame pixel, the matching and the update. In the first stage each pixel is
compared with the components of the model until finding a match. This com-
ponents are sorted from the most consistent one based on the factor ω/σ, so by
this way we make few comparisons. A pixel then is considered as background
candidate if its value is within 2.5 standard deviation of any one of the K Gaus-
sian distributions making up the GMM. Otherwise a new cluster is initialized
with the current pixel value and the weakest one is replaced. Another condition
to verify for this pixel candidate is if the corresponding cluster is a part of back-
ground or if it represents a temporal object. The number of background clusters
in these K distributions is computed as indicated in Eq. (2).
n

Nb = min(n{1 . . . K}/( ωk ) > Thb ) (2)
k=1
Where Thb is the background minimum consistency portion (fixed around

0,7). This equation means that the first Nb distributions are chosen as the current
background model. Therefore, the current pixel value that is located within 2.5 σ
of these Nb distributions will be marked as background. With the multi-modal
distributions, GMM can efficiently accommodate multiple background scenarios.
In the update process, the cluster parameters corresponding to the current Xt
pixel are updated according to the following recursive equations:
ωk,t = (1 − α).ωk,t−1 + α (3)
μk,t = (1 − ρ).μk,t−1 + ρ.Xt (4)

T
σk,t
2
= (1 − ρ).σk,t−1
2
+ ρ.(Xt − μk,t ) (Xt − μk,t ) (5)
Where α and ρ are respectively the update and the learning factor; the mean
and the variance of the inactive clusters remain intact, and their weight is slightly
reduced according to Eq. (6):
ωk,t = (1 − α).ωk,t−1 (6)
This update allows this algorithm to deal with noise and illumination changes
which fixed thresholds cannot handle.
3 Performance and Scalability Improvements
The performance improvement of CPUs has reached a frequency wall since 2001.
This has given rise to other technological solutions such as the increase of the
number of cores [10]. Therefore, applications must be parallelized to take advan-
tage of these multiple processing units [11]. Many programming models have
been proposed to ease the parallelization of applications. In this work, we have
chosen the Open Multi-Processing (OpenMP) programming interface [12], which
is actually the most common multithreading framework. It offers several ways
for thread management and task sharing in the case of non-pipelined (concur-
rent) processing. Parallelizing a sequential program is not obvious. It consists
on sharing computations between high numbers of processing units. Therefore,
a small anomaly in the parallel region can influence the precision of the output
results. On the other hand, the acceleration due to parallelization should ideally
be linear, but unfortunately, very few programs can reach such performance as
described in Amdahl’s Law [14]. This can be due to several raisons. In the Case
of GMM, the scalability is influenced by the following elements:
– The non-balancing of workloads between threads.

– The cost of the runtime performing multithreading.
– The presence of shared critical regions in the code.
– The inadequate compile environment and options.
– The presence of multiple nested or scattered loops containing several divergent
branches.
– The use of suboptimal background model structures.
The first two elements were handled in [1] by choosing an optimal scheduling
method, that guarantees a workload balancing between the threads with a min-
imum runtime cost. After that, the scalability has been widely improved in [2]
by avoiding shared memory regions, and evaluating the performance in suit-
able compile environment. However the negative effect of the last two elements
is always present, especially during the processing of high resolution images.
Dealing with this deficiency is the substance of our work. More precisely, GMM
contains four loops that respectively brush lines, columns, Gaussian components
and colors. Our first contribution consists on merging these loops, and using
less incrementing variable with unit steps. This aspect allows simple memory
addressing with contiguous access. Thus, it reduces the Read/Write time and
also let the different threads benefit from cache memory. After this, we have
improved the GMM structure by reducing the number of conditional statements
(if, else). This reduces the divergence and improves the load balancing between
concurrent threads. Our second contribution is the choice of an optimal structure
for the representation of the background model. It is carried out by using Struc-
ture of Tables (SoT) Fig. 1(b) instead of Table of Structures (ToS) Fig. 1(a). The
use of SoT allows each thread to make contiguous memory access when reading
or updating the model parameters.
Fig. 1. Using SoT instead of ToS to improve GMM performance
By combining all the mentioned elements above, the results presented in the
next section show that we could achieve high performance and scalability. This
will allow this algorithm to be used in real time applications to process even
high resolution frames.
4 Results
Our working environment is a Bullx Linux server (version 6.3) running on an
Intel multi-core node. This node contains two 8-core Intel (E) Xeon R E5-2670
2.60 GHz processors sharing 64 GB of RAM. Our code is developed using the
C language with OpenMP directives, and it is compiled using Intel ICC 15.0.3
with the parameters adapted to the used platform. To test the performance and
scalability of our approach, two datasets are used. The first one is a day time
street scene from [13]. The second is a video recording that represents a maxi-
mum of dynamicity within a night crowded highway scene. Each one is used with
three resolution scales. For a precise evaluation of the results, a series of tests
is carried out on 650 color images. The estimated time is averaged after remov-
ing the minimum and the maximum aberrant values. The first evaluation car-
ried out concerns the improvement of the performance of the sequential version.
This is done by using three image resolutions from the two datasets. Figure 2
represents a comparison of GMM’s execution speed before and after integrating
our improvements.
Fig. 2. Obtained performance gain using two different datasets.
Although the used datasets represent two extreme cases concerning the
dynamicity of the scene (which largely influences the execution of the algorithm),
we notice that the obtained gain in both cases remains around 20%. It has also
been found that this gain is not influenced by the size of images ranging from
320 × 240 to 1280 × 720. This allows us to conclude that our approach is valid
independently of input data type and its resolution scale. The second evaluation
concerns the scalability of the GMM parallel implementation. It is evaluated by
changing the number of processing cores and choosing the maximum image res-
olution that is available in both datasets. Figure 3 shows a comparison in terms
of GMM’s scalability between the original [2] and our improved version.
Fig. 3. Obtained scalability gain using two different datasets.

For a small number of threads (below 6), the obtained speedup is almost
linear independently of the data. However, for a higher number of threads, we
notice a remarkable inclination of speedup due to the cost of OpenMP runtime
which becomes more important. Despite this, our improved version represents
two main advantages. The first one is that the speedup factor arrives until 11.6
when 16 cores are used, while it does not exceed a factor of 8.3 in the results
given in [2] and 3.5 for the results presented by [1]. The second advantage is that
this speedup is not influenced by data nature, which is not the case of [2] where
this factor varies from 8.3 for dataset1 to 7.1 for dataset2.
5 Conclusion
In this paper, we have presented the elements that limit the performance and
scalability of GMM background subtraction algorithm. We have then proposed
some tips to improve it such as choosing a suitable structure to represent the
background model, and merging computational loops to ensure contiguous mem-
ory access. By this way, we have reached a speedup factor of 11.6, when 16 cores
are used, for high resolution images. The next step in our work will be the com-
bination of these results with the single core data parallelization through the
vectorization technique. We also aim to make a co-processing between CPU and
GPU for the acceleration of this method which is widely used in several image
processing applications.
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38
E-Health Human Activity Recognition
Scheme Using Smartphone’s Data
Ihssene Menhour(&), Belkacem Fergani, and M’hamed Bilal Abidine
Laboratoire d’Ingénierie des Systèmes Intelligents et Communicants (LISIC),

Faculty of Electronics and Computer Sciences, USTHB, Algiers, Algeria
menhour.ihssene@hotmail.com
Abstract. In this paper, we proposed a new classification model to perform

automatic recognition of activities using Smartphones data from a gyroscope
and accelerometer sensors. We target assisted living applications such as remote
patient activity monitoring for the disabled and the elderly. The proposed
method LDA-KNN-SVM combine the Linear Discriminant Analysis (LDA) for
dimension reduction and K-Nearest Neighbors (KNN) with Support Vector
Machines (SVM) allowing to better discrimination between the classes of
activities. Several experiments performed with real datasets show a significant
improvement of our proposed approach in terms of recognition performance.
Keywords: Smartphone Activity recognition Assisted healthcare

Machine learning SVM
1 Introduction
Recently, increasingly more sensors have been embedded into smartphones to track
and collect various information about users and their environments. Smartphones are
equipped with many powerful features including multitasking and a variety of sensors
as GPS, accelerometer, gyroscope, and magnetometer.
It is envisaged that Automatic Activity Recognition Systems (AARS) can monitor
and keep track of our activities (such as standing, sitting, walking upstairs, walking
downstairs, and running), learn from them and assist us in making decisions. Such
assistive technologies can be helpful for patient monitoring systems [1], for elderly
people, the disabled and those with special needs.
Appropriate machine learning and data mining methods [2] need to be developed
for processing these multiple sensor signals from smartphones. The most commonly-
used classifiers are decision tree [3], Support Vector Machine (SVM) [4], K-Nearest
Neighbor (KNN) [5] and Naive Bayes [6]. Though there have been several machine
learning methods available [3, 4, 7], it is not clear, which algorithm can performs better
for activity recognition with smartphone’s data. Therefore, our work focuses on
developing an efficient classifier that operates on accelerometer and gyroscope data
from cellular’s. Feature extraction and supervised classification are two key steps for
activity recognition for activity recognition systems.
In this paper, we present a novel data analytic scheme for activity recognition
system using smartphone inertial sensors which use Linear Discriminant Analysis
https://doi.org/10.1007/978-981-13-1405-6_17
E-Health Human Activity Recognition Scheme Using Smartphone’s Data 129
(LDA) [8] based feature reduction and hybrid classifier KNN-SVM. The entire Human
Activity Recognition (HAR) processing system is as shown in Fig. 1.
Fig. 1. Block scheme for activity recognition processing [4]
2 Proposed Approach
2.1 System Overview

As pointed out in the introduction part of this paper, the core of our proposal strategy
relies on the use of KNN-SVM fusion. The predicted vector from using KNN learning
machine is required as shown in Fig. 2. The first step is to reduce the sensor data by
using LDA to obtain features that are discriminating for the activities. The second step
is to encode the predicted results from KNN algorithm as a numeric vector. The
obtained estimated labels are added as an attribute to the data and original labels, so we
can perform the SVM with the optimal hyper-parameters (r, C).
Fig. 2. Block diagram of the proposed activity recognition approach LDA-KNN-SVM
Linear Discriminant Analysis (LDA): It is one of the successful methods used for
dimensionality reduction for many classification problems. The goal of LDA is to
maximize the between-class measure while minimizing the within-class measure. Let
Ci be the class containing the state binary vectors ~
x corresponding to the ith activity
130 I. Menhour et al.
class. Then the linear discriminant features are performed in the following way. It
consists to solve the generalized eigenvalue problem for the matrix S1
W SB :

L ¼ Eig S1
W SB ð1Þ
With the between-class scatter matrix SB and within-class scatter matrix SW are
calculated. It was shown [8] that there will be at most N−1 eigenvectors with non-zero
real corresponding eigenvalues because there only N points to estimate SB .
K-Nearest Neighbor (KNN): The m training instances x 2 Rn are vectors in an n-
dimensional feature space, each with a class label. In the KNN method, the result of a
new query is classified based on the majority of the KNN category. They work based
on the minimum distance from an unlabelled vector (a test point) to the training
instances to determine the K-nearest neighbors. K (positive integer) is a user-defined
constant. Usually Euclidean distance is used as the distance metric represented by:
X
n
1
Lðxi ; xj Þ ¼ ð ðjxi xj jÞ2 Þ2 ð2Þ
i;j¼1
Support Vector Machines (SVM): For a two class problem, we assume that we have a
training set fðxi ; yi Þgm
i¼1 where x 2 R and yi are class labels either 1 or −1. The primal
n
formulation of SVM maximizes margin 2/K(w, w) and minimizes the training error ni
simultaneously by solving
P
m
min 1=2: Kðw; wÞ þ C ni
w;b;n i¼1 ð3Þ
subject to yi ðw /ðxi Þ þ bÞ 1 ni ; ni 0; i ¼ 1; . . .; m
T
where w is normal to the hyperplane, b is the translation factor of the hyperplane to the
origin and uð:Þ is a non-linear function which maps the input space into a feature space
defined by Kðxi ; xj Þ ¼ uðxi ÞT uðxj Þ.
Solving dual formulation of Eq. (3) for the Lagrange multipliers a gives a decision
function for classifying a test point x 2 Rn [2]
!
X
msv
f ðxÞ ¼ sgn ai yi Kðx; xi Þ þ b ð4Þ
i¼1
Whose decision boundary is a hyperplane and translates to nonlinear boundaries in

the original space and msv is the number of support vectors xi 2 Rn .
3 Simulation Results and Assessment

3.1 Datasets
We validate our method on two public datasets [9, 10] whose information is sum-
marized in Table 1. For the Human Activity Recognition Dataset (HAR), each person
performed six activities (see the table below) using a smartphone (Samsung Galaxy S
II) on the waist. They captured 3-axial linear acceleration and 3-axial angular velocity
at a constant rate of 50 Hz using the embedded inertial sensors (accelerometers and
gyroscopes). The second dataset (HAPT) with Postural Transitions is similar to pre-
vious dataset, further, It includes postural transitions in addition of the previous version
of the dataset Records. For the annotation of the activities, the video-recorded is used to
label the data manually.
Table 1. Annotated list of activities and the number of instances of each one.
HAR Walking1722, Laying1944, Sitting1777, Standing1906, Walking Upstairs1544, Walking
Downstairs1406
HAPT Walking1722, Laying1958, Sitting1801, Standing1979, Walking Up1544, Walking
Down1407, Stand To Sit70, Sit To Stand33, Sit To Lie107, Lie To Sit85, Stand to
Lie139, Lie To Stand84
3.2 Results
Feature Extraction Stage: In this study, an approach based on LDA algorithm is used
to select the best features among the extracted ones. This algorithm reorders the fea-
tures by selecting the number of extracted features directly equal to N-1-Dimensional
feature space, with N is the number of class activities; see Fig. 3 for the feature process.
Fig. 3. Feature extraction by linear discriminant analysis (LDA)
Classification: In this study, the LibSVM toolbox [11] was used in RStudio to
implement a nonlinear One-vs-One-SVM model with a radial basis function kernel.
The hyper-parameters C and Ɣ are estimated using a grid search method with
Ɣ = (1/2r2). In the case of KNN method, as the only parameter to tune is K, varying K
from 1 to 20. In this study, a 10-fold cross validation is used for evaluation (Table 2).
Table 2. Optimal values using cross validation for our proposal

Dataset HAR HAPT
Ɣ 0.003 0.0029
C 1 1
K (for KNN) 5 7
In this section, the overall performances of our approach are compared with KNN,
SVM and the hybrid methods are summarized in Table 3. One-vs-All-SVM is con-
sidered as baseline method [4] for the HAR dataset. The results demonstrate that our
approach outperforms other methods for all measures with HAR and HAPT datasets.
LDA-kNN-SVM characterizes well the different human activities. This can be
explained by the fact that the fusion based on optimal attribute obtained by the output
of KNN which will be inserted in input space of SVM.
Table 3. Accuracy, Precision, Recall and F-measure results for all approaches
Dataset Classifier Accuracy Precision Recall F. measure
HAR SVM(One-vs-All) [4] 89.0 89.2 89.3 89.2
SVM 90.8 90.8 90.6 90.7
KNN 95.0 95.1 95.2 95.1
LDA-KNN 98.6 98.7 98.1 98.4
LDA-SVM 98.5 98.6 98.6 98.6
Proposed 99.2 98.8 99.3 99.0
HAPT SVM 98.6 97.7 98.0 97.8
KNN 98.0 94.4 93.8 94.1
LDA-KNN 98.1 94.6 95.9 95.2
LDA-SVM 99.4 97.7 98.8 98.2
Proposed 99.5 99.8 99.7 99.7
Figure 4 shows the comparative performance for each classifier, in terms of clas-
sification accuracy for each class. In this dataset, the proposed method outperforms the
other approaches for ‘Laying’, ‘Sitting’, ‘Standing’, ‘Walking’, ‘Walking downstairs’
and ‘walking upstairs’ activities. Additionally, KNN outperforms SVM in the activity
recognition for all classes.
In order to quantify the extent to which one class is harder to recognize than another
one, we analyzed the confusion matrices of LDA-KNN-SVM for the Smartphone
Galaxy SII dataset in Table 4 as below. One notices that the activity recognition finds
more difficulty to classify the static activities ‘Sitting’ and ‘Standing’ activities than
other activities which are easier to recognize as in dynamic activities instead perform
better. This is mainly due to the fact that these two activities are similar when collected
from the sensors so the classifier confused them when training.
Fig. 4. Accuracy recognition rate for each activity on HAR dataset
Table 4. Confusion matrix of activities for our proposal

Activity LA SIT ST WAL W-D W-UP
LA 100 0.0 0.0 0.0 0.0 0.0
SIT 0.0 98.0 1.97 0.0 0.0 0.0
ST 0.0 2.41 97.7 0.0 0.0 0.0
WAL 0.0 0.0 0.0 100 0.0 0.0
WA-D 0.0 0.0 0.0 0.0 100 0.0
WA-UP 0.0 0.0 0.0 0.0 0.0 100
4 Conclusion
In this paper, we proposed a novel automatic activity recognition scheme based LDA-
KNN-SVM using data from Smartphone placed on the chest. Several experiments
using different publicly available database of human activity show the effectiveness of
the strategy. This can be explained by the fact that the fusion KNN attribute with LDA
reduced data gave more chance to the SVM to improve the results.
In the future, it will be interesting to test the scalability of our approach by dealing
the imbalance datasets containing increased classes and various amounts of sensors.
References
1. Abidine MB, Fergani L, Fergani B, Fleury A (2015) Improving human activity recognition
in smart homes. Int J E-Health Med Commun (IJEHMC) 6(3):19–37
2. Bishop C (2006) Pattern Recognition and Machine Learning. Springer. New York, ISBN
978-0-387-31073-2
3. Anjum A, Ilyas M (2013) Activity recognition using smartphone sensors. In: Proceedings of
the 2013 IEEE Consumer Communications and Networking Conference, Las Vegas, NV,
USA, pp 914–919, 11–14 January 2013
4. Anguita D, et al (2012) Human activity recognition on smartphones using a multiclass

hardware-friendly support vector machine. In: International Workshop of Ambient Assisted
Living (IWAAL 2012), Vitoria-Gasteiz, Spain, December 2012
5. Siirtola P (2012) Recognizing human activities user-independently on smartphones based on
accelerometer data. Int J Interact Multimed Artif Intell 1:38–45
6. Martin H, Bernardos AM, Iglesias J, Casar JR (2013) Activity logging using lightweight
classification techniques in mobile devices. Pers Ubiquitous Comput 17:675–695
7. Mannini A, Sabatini AM (2010) Machine learning methods for classifying human physical
activity from on-body accelerometers. Sensors 10(2):1154–1175
8. Fisher RA (1938) The statistical utilization of multiple measurements. Annal Eugen 8:
376–386
9. https://archive.ics.uci.edu/ml/datasets/Smartphone+Dataset+for+Human+Activity+Recogni-
tion+%28HAR%29+in+Ambient+Assisted+Living+%28AAL%29. Accessed Mar 2016
10. https://archive.ics.uci.edu/ml/datasets/SmartphoneBased+Recognition+of+Human+Activit-
ies+and+Postural+Transitions. Accessed 10 Mar 2016
11. Chang CC, Lin CJ (2017) LIBSVM: a library for support vectormachines. ACM Trans Intell
Syst Technol 2:1–27. http://www.csie.ntu.edu.tw/*cjlin/libsvm/
Materials and Devices Applications
Localized States in GaAs/Ga1-XAlxAs
Multi-Quantum-Wells
F. Z. Elamri1, F. Falyouni1,2, Z. Tahri1,3, and D. Bria1(&)

1
Laboratoire de dynamique et d’optique des matériaux, Faculté des sciences,
université Mohammed premier, Oujda, Maroc
Drissbria@gmail.com
2
Faculté des sciences et techniques, Alhociema, Maroc
3
Ecole Nationale des sciences appliquées, Alhociema, Maroc
Abstract. In this study, we investigate localized modes associated with a

Multi-Quantum-Well (MQW) sandwiched between two substrates with a defect
layer deposited in the middle of the system. Due to the defect layer, different
kinds of localized modes are found and their properties examined. The localized
modes induced by the cavity layer strongly depend on the thickness of defect
layer, the well layer as well as on the Al concentration of defect layer. For
simultaneously variation the thickness of defect layer or thickness of well layer
and the Al concentration, the localized modes show significant variations inside
the gap bands. These structures can be used to realize highly sensitive detection
devices.
Keywords: Transmission Cavity Band structure Al concentration

Localized states
1 Introduction
Researchers have always seen the Al concentration in GaAs/GaAlAs MQW structure

as an important parameter in their studies. As reported by Reynolds [1], who has used a
concentration of Al equal to x = 0.25 for the determination of interfacial quality of
GaAs-GaAlAs multi-quantum well. Meynadiera [2] has developed model of impurity
trapping at the GaAlAs/GaAs interface caused by increasing solubility of the involved
impurity with decreasing Al percentage. Pavesi [3] shows for different Al values varies
from 10% to 40% the luminescence intensity increase. Lambert [4] has determined the
variation of the AlGaAs energy gap (Eg) versus the aluminum concentration x. Solovev
[5] has demonstrated that lowering Al concentration in barriers to 3% decrease the
bleaching effect. The contents of Al are affected on the potential barrier height and in
the effective mass of electrons in the barrier layer [6, 7]. Alause [8] investigated using a
narrow quantum well with high Al concentration up to 100% in the barriers inter-
subband the absorption in square symmetric GaAs/AlGaAs quantum wells. Moreover,
Shokri [9] and Yu [10] have calculated the band structure of GaAs/Ga1-xAlxAs
superlattice for different values in the quantum barrier layer. Abarna [11] has studied
the ground state binding energy of the hydrogenic donor in a structure formed by
Vacuum/GaAs/Ga1-xAlxAs as a function of the well width and Al concentration, the

https://doi.org/10.1007/978-981-13-1405-6_18
138 F. Z. Elamri et al.
results show that for an increased Al concentration, the peak value of binding energy
shifts to lower width. Suchomel [12] demonstrates that adjusting the Al concentration
of the GaAlAs QWs, opens the way to a wide variation of the polarition emission
energy, using a polariton lasing in a GaAs/AlGaAs based in a micro cavity structure.
On the other hand, Quantum well semiconductor structures are used in optoelec-
tronic applications including solar cells [13], Q-switched quantum well lasers [14],
Quantum Well Infrared Photo detector (QWIP) [15], phototransistors [16]. Multi
Quantum Wells (MQW) is used in photovoltaic to allow tailoring the optical absorp-
tion. This is particularly interesting in multijunction solar cells [17] but it also permits
to improve the efficiency of a single junction solar cell [18].
AlGaAs, at low aluminum concentration, 0 < x < 0.40 has attracted much attention
due to properties which make it useful for many types of heterojunction structures used
in micro electric and optoelectronic devices [19–21]. Nutku [22] has studied also a
GaAs/Ga1-xAlxAs quantum well infrared photo detector structure, which consists of
three different well thicknesses with three different barrier composites with different
concentrations. Cerskus [23] has developed a novel device model based on GaAs and
GaAlAs structures for the detection of radiation in the broadband region from
Microwave to THZ. Shen [24] showed that it is possible to produce high-Q electron
energy filters with narrow peaks of transmission coefficient using quantum well/barrier
Superlattices. In the following, the work is divided into two sections. The first section
gives a brief overview about the GaAs/GaAlAs superlattice, and its application on
different areas. The second section presents and discus the results. We end the work
with a conclusion and perspectives.
2 Results and Discussions
In the following we used a Multi-Quantum Well (with 10 wells of GaAs and 10 barriers
of Ga0.6Al0.4As) containing an embedded cavity located in the middle of the system.
The whole system is bounded by two substrates (GaAs); this is illustrated in Fig. 1:
Fig. 1. GaAs/Ga1-xAlxAs Multi-Quantum Well sandwiched between two substrates, containing

a cavity in the middle of the structure. d1, d2, and d0 are, respectively, the thickness of the well,
the barrier and the cavity layers.
The paper presents, the study of the creation of localized states in a cavity placed in
a semiconductor superlattice. We know that the introduction of a cavity inside perfect
structure, leads to localized modes, whose energies depends on the Al concentration.
Therefore, we will show that the electronic states in the transmission spectrum can
occur only due to the Al concentration constituting the cavity with an adjustment of the
Localized States in GaAs/Ga1-XAlxAs Multi-Quantum-Wells 139
thickness of the wells (GaAs). Starting by checking the presence of localized modes in
the transmission spectrum as a function of the Al concentration of the cavity and for a
d1 = d0 in order to investigate the effect of cavity layer on the band gap of perfect
MQW structure.
Figure 2 illustrate that the insertion of defect layer with different Al concentration
in the interior of MQW structure induce qualitative changes in the gap band of the
transmission spectrum. Figure 2 a, b show the variation of transmission as a function of
the energy levels for Al concentration of defect layer equal to x = 0.3 and x = 0.4,
successively. Two peaks appear in the 2nd and 3rd gapsat energies E = 496 meV and
E = 804 meV, successively. These two peaks can therefore be qualified as a cavity
defect mode. Additional evidence of these defect modes is its dependence on the Al
concentration.
Fig. 2. Transmission spectrum of MQW structure for different Al concentration of cavity layer
for x = 0.3 (a), x = 0.4 (b), x = 0.5 (c) and x = 0.6 (d).
In order to examine the theoretical predictions for this dependence, we illustrate, in

analogy to Fig. 2a, b, the transmission spectra (Fig. 2c, d). To address this predicted
behavior, the Al concentration of the cavity layer located in the middle of the system
was stepwise increased (from 0.4 to 0.5 and 0.6) while keeping the thickness of the
defect layer roughly constant. However, we show that if the Al concentration is sig-
nificantly high than its precursor layer (inside the MQW) the defect layer can again
support a new supplement localized mode with energy around E = 500 meV. In
Fig. 2d, two separated modes appear inside the large gap for x = 0.6.
The results presented in Fig. 3 showing the evolution of the energy levels as a
function of the thickness of the well d1, in the perfect structure and in the structure
containing a material defect, the gray areas and the black dot areas represent permis-
sible bands associated with maximums of transmission. On the other hand, the white
areas correspond to the gapsat, all the branches represent localized modes induced by
the cavity with its continuum in the bulk bands and situated for E 500 meV.
We can see in Fig. 3 that isolated branches can systematically appear inside the gap
bands after having changed the concentration of the cavity.
Fig. 3. Variation of the energy levels versus the thickness of well layer d1 for x = 0.6. The gray
areas indicate the bulk bands of the infinite MQW and the black dotted curves indicate localized
modes.
In our case the concentration is equal to x = 0.6, and the thickness d1 = d0 = 40 A°,
we found the same results as the transmission spectrum. The energy levels of the
localized states are considerably affected by the variation of the thickness d1 namely,
either the energy levels of these states decrease when the thickness wells layers
decreases. Additionally, we can see the appearance of two localized modes around
E = 500 meV (low energies). While the energy increases, we observe the existence of
only one mode in each band gap.
Localized modes induced by defect layer seem to be deeply sensitive to the
thickness d1 when the Al concentration is changed. This is shown in Fig. 4 where we
presented the energy of defect modes versus d1. If we focused our attention on two
zones; the 1st one (Fig. 4(a)) we can clearly see two localized modes appear in the 3th
band gap. This is clear evidence of the existence of two concurrent modes than may
interact and move closer to each other inside the band gap at low energy, simultane-
ously increasing of Al concentration and the thickness d1. Further, when the energy
increases, the 2nd zone (Fig. 4(b)) shows the existence of one mode for different
concentration which shift to a higher energy with increasing of Al concentration and
the thickness d1.
As mentioned above, Figs. 4(a)–(b) show that the localized modes are very
dependent on the Al concentration. In the following, we shall discuss the transmission
spectrum in the case of fixed thickness of well layer d1 and fixed defect layer thickness
d0 for three values of Al concentration, namely, x = 0.4, x = 0.5 and x = 0.6.
Fig. 4. Variation of the energy levels versus the thickness d1 for x = 0.4 (pink), x = 0.5 (red),
and x = 0.6 (black).the gray and the white areas represent the bulk and the gap band,
successively, of MQW structure. (a) and (b) zoom around the two indicted in the main figure.
Figure 5 gives the transmission spectrum as a function of energy levels for

d1 = 50 A° and d0 = 40 A° for three values of concentration. All the localized modes
in Fig. 4(a) (six branches inside the gap band) appear as well defined peaks in the
transmission spectrum.
In order to show the case when d1 = 40 A° and d0 = 40 A°, we have plotted in
Fig. 6 the transmission versus the energy levels. One can notice the appearance of three
peaks that each one correspond to its concentration value of Al in defect layer, namely,
x = 0.4 (pink), x = 0.5 (red) and x = 0.6 (black). These three peaks corresponding to
the three branches illustrated in Fig. 4(b).
In addition, we have studied the effect of the thickness of the defect layer on the
localized modes. Figure 7 shows the variation of the energy levels of localized modes
versus the defect layer thickness d0 for d1 = 40 A°. When d0 increases, the energy
levels of the defect modes decrease until the corresponding branches merge into the
bulk bands (gray areas) as resonant modes, at the same time new localized modes are
extracted from the bulk bands.
Fig. 5. Transmission spectrum as a function of for d1 = 50 A° and d0 = 40 A° for three

different of Al concentrations, namely, x = 0.4, x = 0.5 and x = 0.6.
Fig. 6. Transmission spectrum as a function of for d1 = 40 A° and d0 = 40 A° for three

different of Al concentrations, namely, x = 0.4, x = 0.5 and x = 0.6.
Fig. 7. Variation of the energy levels of states as a function of the thickness of the cavity barrier
for x = 0.4 (a), x = 0.45 (b), x = 0.50 (c), x = 0.55 (d) and x = 0.6 (e).
Also, when Al concentration x increase (x > 0.5), one can notice the existence of
two surface branches inside the third gap. When d0 increases (d0 > 80 A°), the two
branches move closer to each other inside the gap and tend to one branches for large
values of d0.
3 Conclusion
The effect of defect layers on localized states in a Multi-Quantum-Well (MQW)

sandwiched between two substrates is investigated here theoretically. The defect layer
is made out of GaAlAs. Due to the defect layer, different kinds of localized states are
found and their properties are investigated. The effect of the Al concentration and the
thickness of the defect layer as well as the well layer are investigated. We show in
particular that the localized modes induced by defect layer are strongly independent on
simultaneous variation of Al concentration in defect mode with the thickness of well
layer in MQW. This variation induces the appearance of two branches inside the band
gap for low energy levels. Further, the existence of these two modes is influenced by
the choice of the Al concentration of defect layer.
In the case where a thickness of defect layer is changing, we have shown that the
defect modes are found to be very dependent on the thickness of the defect layer.
However, when the concentration is changing, we have shown that in addition to the
small variation appearing for low concentration, there exist two modes that are
localized in the third band gap for high concentration and large thickness of defect
layer. These modes tend asymptotically toward one mode induced by the interface
between the defect layer and the MQW structure for very large thickness.
As a final remark, let us mention that the different results presented in this work can
make the property of these structures very useful for realizing highly sensitive detection
devices.
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s0921-5107(03)00159-4
Study About a Filter Using a Resonator Defect
in a One-Dimensional Photonic Comb
Containing a Left-Hand Material
Y. Ben-Ali1(&), Z. Tahri1,2, F. Falyouni1,3, and D. Bria1

1
Laboratory of Dynamics and Optics Materials, Faculty of Science,
Mohamed First University, 60000 Oujda, Morocco
youssefplanck@gmail.com, drissbria@gmail.com
2
National School of Applied Sciences, Al Hoceima, Morocco
3
Faculty of Sciences and Techniques, Al Hoceima, Morocco
Abstract. This article describes a theoretical study of new filters using a cavity
in a one-dimensional photonic comb containing left handed materials. This
photonic comb is constituted by infinity of segments grafted in each site by a
finite number of lateral branches (play the role of the resonators), which consists
of a left hand material (LHM). Numerical results exhibit the existence of discrete
modes (structure modes) in transmission spectrum. These discrete modes are
corresponding to transmission bands which separated by large gaps (forbidden
bands). These gaps originate not only from the periodicity of the system but also
from the resonance states of the grafted lateral branches. The presence of defect
lateral branches in the structure can give rise to localized states (defect modes)
inside the gaps. We show that these states are very sensitive to the defect length,
the number of sites, the position of defect, and the number of defective grafted
lateral branches. The maximum transmission shows that there is an interaction
between the defect modes and the discrete modes giving rise to a lifting of
degeneration.
Keywords: Photonic combs Defect modes Filter
1 Introduction
Meta-materials called also left-handed materials (LHM’s) are the structure possesses a
negative permittivity electric ɛ and permeability magnetic µ [1–4]. This unique prop-
erty makes it possible to design omni-directionnel reflector of light [4, 5], to design
novel devices [6], antenna design [7], filters and sensors [8–10]. Several modern
telecommunications systems, such as embedded systems, mobile phone systems and
wireless communications systems use the filters. Filters are particularly used in
telecommunication systems and their role is fundamental since it involves eliminating
all the parasitic components of the useful signal, which can be likened to noise [11].
The filter is a vital element in many situations for maximizing the signal-to-noise ratio
[12], for the detection [13] and for other situation [14]. Several types of filters are
available. Among these types, Bloom filters and their variants that are heavily used in
various distributed systems, in particular for caching, peer-to-peer systems, routing and

https://doi.org/10.1007/978-981-13-1405-6_19
Study About a Filter Using a Resonator Defect 147
forwarding, and measurement data summarization [15]. Other types, differential band
pass filter (BPF) based on a mode dielectric resonator (DR), which showcasing good
performance such as low insertion loss and high common-mode suppression in the
differential pass band [16]. The quasi-1D photonic waveguide in the form of a comb in
which dangling side branches are grafted by a number N’ along an infinite one-
dimensional waveguide was proposed by Vasseur et al. [17, 18] (see Fig. 1), this
photonic waveguide is described by two structural and two compositional parameters,
namely the periodicity of structure d1, the length d2 of each side branch, the relative
dielectric permittivity ɛi and the magnetic permeability µi of each medium with i = 1
for the segment and i = 2 for the lateral branches (resonators). The one-dimensional
nature of the model requires that the lengths d1 and d2 must be very much greater than
the diameter of the resonator and the side branches. This type of structure present very
narrow photonic bands separated by large forbidden bands in which electromagnetic
waves cannot propagate inside the comb for any direction of the incident waves [19],
these forbidden bands originate from the period of the system and the states of reso-
nance of the lateral branches [20]. Recently, the left-handed materials (LHM’s) are
introduced into the comb structure and give discrete modes in the transmission band
[21], the quality factor Q (the ratio of the central frequency and the full width at half-
maximum of the transmittance modes) of this discrete modes is increased with the
increase of N’ [22]. It is now well known that the disturbance of the periodicity of
structure, create localized states in the forbidden band for photonic combs containing
right hand materials [19, 20] as in periodic multilayer structures [23–28]. In this work,
we show that a one-dimensional photonic comb LHM containing a finite number N’02
of a resonator defect can be used as a band pass filter (BPF) based on defect modes of
resonator for application in communication when illuminated by plane electromagnetic
waves. The introduction of the defect leads to one or more resonance peaks in the
transmission spectrum. The theoretical calculations are based on the formalism of the
Green function for electromagnetic waves propagating in periodic media [29].
Fig. 1. Schematic representation of a one-dimensional photonic comb. The mediums are

indicated by the index i. i = 1 (medium 1) represents the segment of length d1 and i = 2 (medium
2) represents the resonator of length d2. The resonators are grafted onto the guide in a periodic
manner. The period of the structure is equal to d1. In this example, the number of resonators
grafted in each site is N’ = 4.
148 Y. Ben-Ali et al.
2 Model and Formalism
In this paper, we developed the efficient model called the interface response theory to
study the optical waves in lamellar periodic structures. The object of this theory is to
calculate the Green’s Function of a composite system containing a large number of
interfaces that separate different homogenous media. The knowledge of this Green’s
function enables us to obtain different physical properties of the system such as the
reflection and transmission coefficients of the waves. In this theory the Green’s function
of a composite system can be written:
n o
gðD DÞ ¼ GðD DÞ þ GðD MÞ ½ GðM MÞ1 gðM MÞ ½GðM MÞ1 ½GðM MÞ1 GðM DÞ ð1Þ
Where D and M are respectively the whole space and the space of the interfaces in
the lamellar system. G is a block-diagonal matrix which each sub-block Gi correspond
to the bulk Green’s function of the subsystem i. One can notice that all the matrix
elements g(DD) of the composite material can be obtained from the knowledge of the
matrix elements g(MM) of the g in the interface space M. The latter are obtained by
writing the matrix g1 ðMM Þ as a sum of the submatrices g1
i ðMM Þ in each sub-block
i considered separately. Within this theory the reflected and transmitted waves u(D)
resulting when a uniform plane wave incident U(D) upon a plane boundary between
two different media are given by:
n o
uðDÞ ¼ UðDÞ þ GðD MÞ ½GðM MÞ1 gðM MÞ ½GðM M Þ1 ½GðM MÞ1 UðMÞ ð2Þ
In our case, we illustrate the band structure and the transmission coefficient for a comb-
like structure containing a defect at the level resonator. We have chosen the constant of
the dielectric ɛ2 and magnetic l2 of resonator as negative; the respective values are −4
and −1. The constant of the dielectric ɛ1 and magnetic l1 of waveguides is positive,
respectively 4 and 1. The length of the segment is d1 and the length of the resonator is
d2 equal d1 = 1 m. The length of defect is denoted d02, which is different from d2, the
dielectric characteristic is ɛ2 and the magnetic characteristic is l2. The defect is located
in the site J. We study and discuss the effect of the presence of a defect on the
transmission bands and the band gaps with different values of d02, the number of sites
N, the position of defect J, and the number of grafted resonator defect N’02.We end up
with a detailed study on the dispersion relation. The boundary p conditions H = 0
(transverse magnetic (TM)) and the reduced frequency is Ω ¼ w ðe1 lÞ d1 =ðC pÞ
which is a dimensionless quantity.
With C is the velocity of light in a vacuum for the electromagnetic waves and w is
the angular frequency (in s−1).
3.1 Transmission Coefficient as a Function of the Parameter d02

First, we investigate the behavior of the TM modes in the transmission spectrum by
choosing different values of the parameter d02. The other parameters are taken to be
N’ = N’02 = 1, J = 3 and N = 5. An electromagnetic mode or modes that are intro-
duced by the geometrical defect is called geometric defect modes. These modes whose
frequencies can be in the band gap and be located around the defect site. Figure 2
shows the transmission curves versus reduced frequency Ω for different values of d02,
namely d02 = d2 (a), 2.5*d2 (b), 4*d2 (c), and 6*d2 (d). In the case (a), where the
structure is perfect, it is obvious that there are peaks (modes) in the transmission band
at the reduced frequency Ω = n (n = 1, 2, 3, 4, 5). At other reduced frequencies Ω
which correspond to the band gap, the transmission is forbidden. In the case (b), it is
found that there are two discrete modes in the reduced frequencies X = [1, 3, 5], this
shows that the transmission peaks in these frequency ranges appearing in (a), are
decomposed into two modes very close to one another. Other modes in the reduced
frequencies X = [2, 4] become wider with respect to the first case (a). Similarly we
notice the appearance of a very narrow mode of defect in each gap with a difference
transmission (the smallest transmission is t = 0.4778 located in the sixth gap while the
highest transmission is t = 0.96 located in the third gap). In the case (c), we notice very
clearly that there exist two wide modes of defect in each gap of high transmission t = 1.
Similarly, we observe that there exists a discrete mode in the reduced frequency
X = [1, 2, 3, 4, 5], these modes are narrow compared to the previous cases (a, b). In
case (d), we note that there are four defect modes in each gap with a high transmission
(two broad modes with t = 1, and two narrow modes with different transmission), then
for X = [1, 2, 3, 4, 5], there is a discrete modes.
Fig. 2. Transmission spectrum as a function of reduced frequency Ω, in the case where there is
no defect (a) and in the case where a defect of length d02 is introduced into the comb structure
(b)–(d) with N’ = N’02 = 1, J = 3, and N = 5.
We have shown that the creation of a geometrical defect at the resonator level
inside a perfect photonic comb LHM creates peaks (modes) within the different for-
bidden bands of the transmission curve. Therefore, the choice of parameter d02 appears
as a key parameter for the wave detection, the photonic comb must be carefully defined
to obtain an isolated peak of defect inside a forbidden band. This means that for the
purpose of waves detecting, the photonic crystal must be carefully defined to obtain an
isolated peak of defect within a band gap. This point is closely correlated with the
optimization of a new efficient filter with high sensitivity and wide range of mea-
surement. The width of these defect modes is due to the absorption inside the filter.
3.2 Transmission Coefficient as a Function of the Parameter J

In this paragraph, we study the effect of position defect J of the defect modes and
discrete modes. The other parameters are taken to be N’ = N’02 = 1, N = 5, and
d02 = 6*d2. Figure 3 shows the variation of the transmission as a function of the reduced
frequency X for different values of J. One can notice the same behavior when the defect
is located in the first or in the fifth site, and in the second or in the fourth site, respec-
tively, because of the perfect symmetry of the comb. These behaviors may be explained
qualitatively as follows: when the defect is inserted in the middle of the comb, the comb
behaves as two identical segments with N/2 resonators connected with a defect. Because
of the symmetry of the system, constructive interferences occur that lead to the
enhancement of the amplitude of the transmission. However, when the defect branch lies
far from the middle of the comb, the comb behaves as two linked segments with different
number of resonators. Each of the linked segments contributes in its own way to the
transmission of the comb. Thus, destructive effects are responsible for the decrease in
amplitude when the defect is moved away from the middle of the comb.
Fig. 3. Transmission spectrum as a function of reduced frequency X for different values of J,

namely J = 1 (a), J = 2 (b), J = 3 (c), J = 4 (d), and J = 5 (e).
3.3 Transmission Coefficient as a Function of the Parameter N’02

In this section, we study the effect of number of defective grafted lateral branches N’02
of the modes located in the band gap and in transmission band. The other parameters
are taken to be N’ = 1, J = 3, N = 5, and d02 = 6*d2. Figure 4 shows the variation of
the transmission as a function of the reduced frequency X for different values N’02. We
note very well that the transmission amplitude of defect modes is decreased with the
increase of N’02. Similarly, we observe that the discrete modes and the defect modes
become narrower with the increase of N’02. Therefore, it can be deduced that the
quality factor Q of these modes (defects modes and discrete modes) increases sub-
stantially with the increase of N’02 (For discrete modes located around X = 1,
Q = 10.44 when N’02 = 1 and Q = 50.509 when N’02 = 10, and for defects modes
located around X = 2.33, Q = 217.59 when N’02 = 1 and Q = 2287.30 when
N’02 = 10). The results also show that the degree of localization of defect modes author
of defect is increased with N’02, even for the discrete modes author of structure (LHM
material). We conclude that the reflected intensity of defect modes increases with the
increase of N’02. This result shows that there is dissipation inside the filter.
Fig. 4. Transmission spectrum as a function of reduced frequency X for different values of N’02,
namely N’02 = 1 (a), N’02 = 4 (b), N’02 = 7 (c), and N’02 = 10 (d).
3.4 Transmission Coefficient as a Function of the Parameter N

Now, we are interested in the possible behaviors of TM modes transmission curves by
choosing different values of the number of sites N. The other parameters are taken to be
N’ = N02’ = 1, d1 = d2 = 1 m, and d02 = 6*d2. We note after Fig. 5, that the trans-
mission of the defect modes decreases when the number N increases; we note also that
the modes of structure and defect become narrower with the increase of N.
The frequency of the defect modes and the modes of the structure are independently of
N. This behavior comes from the conjugate effect of the location of the defect modes
and the attenuation of the structure. This phenomenon is more important for the case
where N = 14 (the two narrow modes are totally separated and the two broad modes
having a very weak transmission). We can conclude that the degree of localization of
the discrete modes around the LHM and the degree of localization of the defect modes
around defect increases with the increase of N. The quality factor Q of defects modes
and discrete modes increases with the increase of N (For discrete modes located around
X = 1, Q = 10.44 when N = 5 and Q = 16.836 when N = 8, and for defects modes
located around X = 0.33, Q = 31.769 when N = 5 and Q = 12.457 when N = 8), and
the decrease in transmission of the defect modes is due to the improvement of the
reflected intensity (many obstacles).
Fig. 5. Transmission spectrum as a function of reduced frequency X for different values of N,

with N = 5(a: J = 3), N = 8 (b: J = 4), N = 12 (c: J = 6) and N = 14 (d: J = 7).
The result shows that there is dissipation inside filter.
3.5 Maximum Transmission as a Function of the Parameter d02/d1

In this section, we study the effect of the presence of defect on the behavior of defect
modes and discrete modes. Figure 6 gives the reduced frequency Ω of the localized
modes as functions of the ratio d02/d1 for N’ = N’02 = 1, J = 1 and N = 5. In the curve
(5.a), the pink areas show the band structure, and the black lines show the variation of
the maximum transmission for the structure containing the defect. The lines in the
bands structure show the discrete modes of the structure and the lines between these
bands are present the defect branches. The results show that there is an interaction
between the branches of defect and structure, after this interaction we notice a change
of behavior of these branches with the increase of d02/d1 whenever the two modes
interact (the branches of the structure becomes a branches of defect and vice versa).
Also, we observe when d02/d1 = 1 m, there are no defect modes since the structure is
perfect (curve 5.b). We present on the curve (5.c) an area of interaction between these
modes for X = [1.7–2.2] and d02/d1 = [1.42–1.9]. When d02/d1 varies between d02/
d1 = 1.42 to d02/d1 = 1.75, we observe the reduced frequency X of discrete branches is
decreased progressively from X = 2.2 to X = 2.05 and the frequency of defect modes
is decreased from X = 2 to X = 1.915. The defect branches and the structure branches
interact by giving rise to a degeneracy emergence around d02/d1 = 1.75. After this ratio
length (d02/d1 = 1.75), the frequency of discrete branches decreased very weakly from
Ω = 2.086 up Ω = 2.03 and the frequency of defect branches is decreased progres-
sively from X = 1.913 to X = 1.79. The phenomenon of interaction (when d02/d1
approach to 1.75) between the branches associated with the defect and the LHM
structure is accompanied by a degeneracy lifting and a transfer of character from one
branches to another.
In summary, we can say that we can introduce resonant branches inside a forbidden
band by introducing a geometric defect. We can also define the order of the band gap
where we are looking for the defect branches. From a general point of view, to achieve
a photonic band pass filter, it is necessary to design a structure in which the trans-
mission coefficient has well-defined characteristics, very sensitive to electromagnetic
waves and relatively isolated to allow detection over a sufficiently wide frequency
range.
In the previous section, we examined the existence and the evolution of the defect
modes and discrete modes as a function of the defect length d02/d1. In this section, we
study the interaction between these defect modes and the discrete modes that can exist
in the structure.
The curve (6.d) is the same as the curve (6.c) except d02/d1 = [1.57–1.9]. The curve
(6.e) represents the transmission variation of the two branches which appear in the
curve (6.d) for the case d02/d1 = 1.9. The transmission of defect branches is
(t = 0.0349), whereas transmission of discrete branches is significant (t = 1). The curve
(6.f) represents the transmission coefficient as a function of d02/d1. For d02/d1 varies
between 1.57 and 1.74, the transmission of discrete branches (upper left branch)
decreased from 1 to t = 0.441, while the transmission of defect branches (lower left
branch) increase from t = 0 to t = 0.3341. For d02/d1 = 1.75, we note very well that
there is a superposition between the transmission of defect branches and the structure
branches with t = 0.4004. For d02/d1 greater than 1.75, the transmission of discrete
branches (upper right branch) increases by t = 0.457 to t = 1 (upper right branch) and
the transmission for defect branches (lower left branch) is increased from t = t =
0.3398 to t = 0.0349. This result shows that we can find a filter of high transmission
t = 0.4004 at a length of d02/d1 = 1.75.
Fig. 6. The curve (a) represents the variation of the reduced frequency Ω as a function of the
length d02/d1. The curve (b) is same as curve (a) except d02/d1 = [0.98–1.02]. The curve (c) is
same as curve (a) except Ω = [1.65-2.2] and d02/d1 = [1.57–1.9]. Curve (d) is same as curve
(c) except d02/d1 = [1.57–1.9]. The curve (e) represents the transmission of the two modes in
curve (d) for d02/d1 = 1.9. The curve (f) represents the transmission coefficient as a function of
d02/d1 = [1.57–1.9].
4 Conclusions
In summary, we have studied the application of a 1D photonic comb defect formed by

alternating medium of segment with length d1 and a meta-material resonator with
length d2. We have show that this structure can be used as a highly sensitive filter for
the electromagnetic wave when it is illuminated by electromagnetic waves. We have
shown that resonant modes appear inside the band gap by introducing a geometrical
defect. Also, we define the order of the gap and then the frequency, where we would
like to see the appearance of the defect modes depending on the choice of d02 and, thus,
d02/d1. The length of the resonator defect can be tuned to design a structure in which
the modes inside the transmission spectra are well defined and sufficiently isolated. The
results of this article can be applied to achieve a filter with a high performance and a
high transmission with an important quality factor Q.
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Low Temperature Sensor Based
on One-Dimensional Photonic Crystals
Afaf Bouzidi(&) and Driss Bria
Laboratory of Dynamics and Optics of Materials, Department of Physics,

Faculty of Sciences, Mohammed I University, Oujda, Morocco
afaf.bouzidi9@gmail.com
Abstract. Based on the Green function method and by taking account of the
thermal expansion effect and thermo optical effects, we theoretically investigates
the transmittance spectra of a one dimensional photonic crystal (PC) with two
defects layers designed as (AB)6CBC(BA)6 made of Silicon dioxide (SiO2),
Titanium dioxide (TiO2), and Bi4Ge3O12 (BGO). Numerical results show that
the defect mode shifts toward the low frequencies region as the temperature of
the structure increases and the central wavelength of defect modes changes
linearly with temperature. The proposed structure may be used as a low tem-
perature sensor.
Keywords: Photonic crystal Low temperature sensor Defect mode

Green function
1 Introduction
A one-dimensional photonic crystal (1DPC) is an artificial microstructure consisting of

media with different indices of refraction that are periodically arranged in the same
dimension.
The most important feature of a photonic crystal is the photonic band gap
(PBG) which consists of a range of frequencies where the photon can be controlled and
manipulated effectively, this feature has led to the development of a wide range of
optical devices for different applications.
When the periodicity of a PC is interrupted, by changing the thickness of a layer, or
by adding a different medium in the perfect photonic crystal, some defective modes
could be generated within the PBGs. The defect mode is a highly localized defect mode
witch, in general, can be seen in the transmission spectrum with a narrow resonant
peak. With the presence of a resonance peak in the transmission spectrum, the structure
can be used to function as a sensor [1–3].
In this article we propose a very sensitive photonic structure that can be used as a
thermal sensor. The photonic structure is composed of an alternation of two layers, with
low refractive index layer (Silicon dioxide SiO2), and high refractive index layer
(Titanium dioxide TiO2), and with two defects layers of different thicknesses and
different material.

https://doi.org/10.1007/978-981-13-1405-6_20
158 A. Bouzidi and D. Bria
2 Model and Method of Calculation
The proposed photonic structure is schematically shown in Fig. 1. It is made of stacked

layers containing two defects layers [4, 5] with a different thicknesses, and different
material. The light coming from the source goes through the photonic crystal and is
transmitted in the outgoing medium. The one-dimensional photonic structure consid-
ered in this work can be expressed as (AB)6CBC(BA)6, where A and B stand for the
different layers with high and low refractive index nA and nB, respectively, C is the
defect layer. The defect layer consists of the Bi4Ge3O12 (BGO) of the thickness dC. In
our calculation, the material parameters of the dielectric material are taken from Ref.
[6]. We assume the layers A of the thickness dA to be Titanium dioxide (TiO2). The
layers B of the thickness dB are Silicon dioxide (SiO2). The period of the structure is
D = dA + dB. The medium surrounding the PC is a vacuum. The materials constituting
the layers A, B, and C of the structure are assumed homogeneous, and nonmagnetic.
Fig. 1. Schematic of PC (AB)6CBC(BA)6 with the double defect layer
Serval researches have studied the propagation of optical waves through these
composite systems using theoretical methods such as the transfer matrix, the plane-
wave method, and so on. However, the plane-wave method is well suited to the study
of the band diagram of an infinite superlattice, but it is not adapted to the study of
periodicity defects.
In this work, to investigate the temperature dependent defect mode, we shall use the
transmission spectrum which can be calculated by the Green function method. This
method makes it possible to obtain the transmission coefficients in any type of com-
posite system. The Green function is calculated by using the theory of interface
response in composite materials. In this theory, the Green function g of a composite
system can be written as
gðDDÞ ¼ GðDDÞ þ GðDM Þ½G 1ðMM ÞgðMM Þ G 1ðMM Þ G 1ðMM ÞGðMDÞ ð1Þ
where D and M are, respectively, the whole space and the space of the interfaces in the
composite material. G is a block-diagonal matrix in which each block Gi corresponds to
the bulk Green function of the subsystem i. In our case, the composite material is
composed of a SL built out of alternating slabs of materials i (i = A, B) with thickness
Low Temperature Sensor Based on One-Dimensional Photonic Crystals 159
di. In Eq. (1) the calculation of g(DD) requires, besides Gi, knowledge of g(M M). In
practice, the latter is obtained by inverting the matrix g−1(M M), which can be simply
built from a juxtaposition of the matrices g−1 −1
si (M M), where gsi (M M) is the interface
Green’s function of the slabs i (i = A, B) and of the substrate alone.
Within this theory, the reflected and transmitted waves u(D), resulting from a
uniform plane wave U(D) incident upon a plane boundary between two different media,
are given by
uðDÞ ¼ U ðDÞ þ GðDM Þf½GðMM Þ 1gðMM Þ½GðMM Þ 1 ½GðMM Þ 1gU ðM Þ ð2Þ
3 Discussion and Numerical Results
It can be seen from Fig. 2 that there is a PBG in the range of reduced frequency 0.81–
0.89. Our aim is to engineer this PBG to producing a defect mode, which can be tuned
by the temperature.
Fig. 2. The transmittance for an ideal PC
In order to see the effect of the defect layers, we now replace the central layers of
TiO2 by Bi4Ge3O12. The defective PC has a structure of (AB)6CBC(BA)6 embedded in
the air, as shown in Fig. 1. The calculated transmittance of this structure at a fixed
temperature of 20 °C is shown in Fig. 3. It can be seen that a transmittance peak is
produced within the PBG. This transmittance peak is referred as a defect mode. With
the appearance of this peak, the structure is used to function as a sensor. In what
follows, we shall investigate how this defect mode can be shifted by the temperature
change.
Fig. 3. The defect mode in the PBG of (AB)6CBC(BA)6
The temperature dependence of defect mode arises from two factors. One factor is
due to the thermal expansion which will cause the thicknesses of the constituent layers
to be a function of the temperature. The other one is the so-called thermal–optical
effect, that is, the index of refraction of the layer can be varied as the temperature
changes. Both factors will be simultaneously considered in the following study. For the
thermal expansion, the thickness d of each layer changes in the following manner,
d ðT Þ ¼ d0 ð1 þ aDTÞ ð3Þ
In Eq. (3), a is the thermal expansion coefficient, and DT is the temperature

variation. The thermal expansion coefficients of TiO2 and SiO2 are 8 10−6/°C and
5.5 10−7/°C [7], respectively. As for thermal-optical effect, the temperature depen-
dence of index of refraction n of each layer is written by,
nðT Þ ¼ n0 ð1 þ bDTÞ ð4Þ
In Eq. (4), b is the thermo-optic coefficient. The thermal-optic coefficients of TiO2

and SiO2 are 2.31 10−5/°C [8], and 1 10−5/°C [9], respectively.
The index of refraction of BGO is nBGO = 2.13; the thermal expansion coefficient is
aBGO = 6.3 10−6/°C; and its thermo-optic coefficient is bBGO = 3.9 10−5/°C. We
chose the BGO as a defect layer because our photonic structure with this material
allowed to reach a high sensitivity.
With the inclusion of Eqs. (3) and (4), the calculated transmittance spectra at four
different temperatures 45, 125, 225, and 325 °C are plotted in Fig. 4 and the variation
of the corresponding transmittance peaks with temperature is shown in Fig. 5. It is seen
that as the temperature of the structure increases, the defect mode shifts toward the low
frequencies region. The dependence of defect modes on temperature is due to two
factors. First one is the thermal expansion effect and the second one due to the
dependence of refractive index on temperature. The shifting behavior can be explained
as well. When the thickness d and index of refraction n of each layer increase, the
325°C 45°C
225°C 125°C
Fig. 4. The defect state of (AB)6CBC(BA)6 at different temperatures.
y= -2.3142 x + 584.0164
Fig. 5. The variation of the central frequency of defect mode with temperature for PC structure
(AB)6CBC(BA)6.
wavelength k must increase accordingly to keep the phase / unchanged. It is also

found (Fig. 5.) that the central wavelength of defect modes changes linearly with
temperature.
The frequency of transmittance peak at low temperature variations are shown in
Fig. 6. for 327 °C the peak is at the reduced frequency 0.85646, and for 330 °C the
peak is at the reduced frequency 0.85632. A temperature variation of 3 °C induces a
shift of 0.00014. Therefore the limit of detection of the temperature is 3 °C.
Fig. 6. The defect state of (AB)6CBC(BA)6 for very small temperature variation.
4 Conclusion
The phenomenon of the transmission optical waveguide through a photonic crystal

structure having a defect mode can be advantageously used for temperature detection.
The effect of the temperature on the defect mode in a one-dimensional dielectric PC
with two defects layers has been investigated by simultaneously considering thermal
expansion effect and thermal–optical effect. It is found that the defect mode shifts
toward the low frequencies region as the temperature of the structure increases.
We have shown also that the proposed structure is very sensitive to temperature
variation. A variation of 3 °C is clearly visible.
References
1. Bouzidi A, Bria D, Akjouj A, Yann P, Braham DR (2015) A tiny gas-sensor system based on
1D photonic crystal. J Phys D Appl Phys 48:495102
2. Bouzidi A, Bria D, Akjouj, A, Berkhli H (2016) Optical liquid sensor based on periodic
multilayers structure. IEEE, pp 245–249
3. Bouzidi A, Bria B, Falyouni F, Akjouj A, Lévêque G, Azizi M, Berkhli H (2017) A biosensor
based on one-dimensional photonic crystal for monitoring blood glycemia. J Mater Environ
Sci 8:3892–3896
4. Ben-Ali1 Y, Tahri1 Z, Bouzidi A, Jeffali F, Bria D, Azizi M, Khettabi A, Nougaoui A.

(2017) Propagation of electromagnetic waves in a one-dimensional photonic crystal
containing two defects. J Mater Environ Sci 8:870–876
5. Ghadban A, Ghoumid K, Bouzidi A, Bria D (2016) Coupled selective electromagnetic waves
in 1D photonic crystal with two planar cavities. In: International conference on multimedia
computing and systems
6. Chang YH, Jhu YY, Wu CJ (2012) Temperature dependence of defect mode in a defective
photonic crystal. Opt. Commun. 285:1501–1504
7. Singh SP, Pal K, Tarafder A, Das M, Annapurna K, Karmakar B (2010) Effects of SiO2 and
TiO2 fillers on thermal and dielectric properties of eco-friendly bismuth glass microcom-
posites of plasma display panels. Bull Mater Sci 33:33–41
8. Wiechmann S, Müller J (2009) Thermo-optic properties of TiO2, Ta2O5 and Al2O3 thin films
for integrated optics on silicon. Thin Solid Films 517:6847
9. Baraket Z, Zaghdoudi J, Kanzari M (2017) Investigation of the 1D symmetrical linear graded
superconductor dielectric photonic crystals and its potential applications as an optimized low
temperature sensors. Opt Mater 64:147–151
Thermoacoustic Effect Under the Influence
of Resonator Curvature
Zahra Bouramdane1(&), Abdellah Bah1, Nadia Martaj2,3,

and Mohammed Alaoui1
1
Equipe de Recherche en Thermique et Energie (ERTE) - Centre de Recherche
Energie ENSET, Mohammed V University in Rabat, Rabat, Morocco
zahra.bouramdane@gmail.com
2
EPF-Ecole d’Ingénieur-e-s,
2, rue Fernand Sastre, 10430 Rosières-près-Troyes, France
3
GRESPI EA 4694, University of Reims Champagne-Ardenne Reims,
Reims, France
Abstract. The present work deals with a CFD simulation of thermoacoustic

engine composed of two heat exchangers, stack and resonator. The simulation is
based on a numerical model based on coupled compressible Navier-Stokes and
heat transfer equations that govern the working gas using COMSOL Multi-
physics. The objective of this work is to investigate the effect of different bent
resonators (30°, 60°, 90°) and the effect of varying the length over which a
constant curvature angle (90°) on acoustic pressure and the operating frequency
of thermoacoustic engine.
Keywords: Thermoacoustic engine CFD simulation Resonator curvature
1 Introduction
Thermoacoustics is a research theme that aims to exploit the interaction between an

oscillating fluid and a wall in order to generate work or a heat flow. The process of
thermoacoustic amplification aroused the interest of the scientific community at the end
of the 18th century. In the 1868s, the theory of thermoacoustic interaction was gen-
erally described by Kirschhoff, who introduced the conduction of heat into the theory
of sound propagation. It is on the basis of these works that a first qualitative inter-
pretation of the Sondhaus tube was given by Lord Rayleigh in 1896 [1], which
emphasizes in particular that the temperature oscillations undergone during a sound
cycle by a particle of fluid must necessarily lag behind the acoustic particle displace-
ment for the thermoacoustic amplification process to occur. In the 1960s, an important
step was taken when Carter et al. [2] developed an “optimized” Sondhaus tube by
adding a stack of plates in the resonator, thus significantly increasing the efficiency of
the machine, and giving birth to the modern “thermoacoustic machines” whose basic
elements are a waveguide, a stack, as well as heat exchangers. In parallel, Rott (from
1970 to 1990) [3] establishes the theoretical bases of the discipline and proposes an
analytical modeling of the instability generated by the thermoacoustic interaction in the
tubes of Taconis and Sondhaus. The experimental work of Yazaki et al. [4, 5] in 1980

https://doi.org/10.1007/978-981-13-1405-6_21
Thermoacoustic Effect Under the Influence of Resonator Curvature 165
qualitatively confirm the validity of Rott’s theory. Since the beginning of the 1980s at
the Los Alamos National Laboratory, when the team of Swift [6] is involved in the
field, research in thermoacoustics intensified.
The process “thermoacoustic engine” can be considered at first sight as a scientific
curiosity, its use as a source of mechanical work (acoustic) to transfer a heat flow of a
cold source towards a hot source by thermoacoustic effect [7] is nonetheless a real stake
alone justifying the appearance of this new discipline that is thermoacoustics. Indeed,
the potential applications of this new type of machines combining simplicity (thus low
production cost), robustness (no moving parts) and reasonable efficiency are multiple
[8]. It remains to this day that an important effort must be made to optimize these
machines, an effort which must include an understanding of the non-linear processes
involved in high levels in these machines.
The main objective of this paper is focused on studying the effect of resonator
curvature and the effect of varying the length over which a constant curvature angle
was applied to explore the effect of curvature on the acoustic pressure.
2 Model Design and Boundary Conditions
The device of our study is the model used in [9, 10]. The model dimensions are
150 mm long and 12 mm wide. The stack, of length 10 mm, formed by parallel
rectangular plates of 0.5 mm wide and spaced 0.5 mm between them, is placed
110 mm from the closed end. The heat transfer coefficient between the stack walls and
the working gas is set to be 50 W/m2K [11] and the temperature distribution on the
surface of the horizontal walls of the stack along was determined as following [12]:
x
T ð xÞ ¼ 1000 ð500 þ 200 cosð ÞÞ ð1Þ
Lst
Where Lst is the stack length.

Table 1 presents the basic data adopted for the analysis of the thermoacoustic
engine.
Table 1. Parameters adopted for the numerical analysis.

Parameters Values
Initial temperature 300 K
Ambient pressure 101325 Pa
Heat transfer coefficient 50 W/m2K
Initial pressure disturbance 10 Pa
Pressure outlet 0 Pa gauge (ambient)
Working gas Air (ideal gas)
Mesh 30,000 triangular cells
166 Z. Bouramdane et al.

3.1 Model Validation
We plot the evolution of the acoustic pressure at the entrance of the stack. Figure 1
shows the process of the acoustic wave excitation. The acoustic vibration amplitude
increases slowly, reach the steady state and stabilizes at the level of 103650 Pa. The
final amplitude is approximately 2325 Pa, which corresponds to a sound pressure level
of 161 dB.The highest sound pressure level reported in the literature is 190 dB [13],
which was achieved in an advanced traveling wave engine.
Fig. 1. Evolution of the acoustic pressure at the entrance of the stack.
Figure 2 presents the FFT (Fast Fourier transform) analysis of the acoustic oscil-
lations. It shows that the main frequency component is about 580 Hz, which corre-
sponds well with the theoretical operation frequency of an engine with a “quarter-
wave” resonator with a total length of 150 mm. This confirms that the results obtained
with the software Comsol Multiphysics are equal with the numerical model of [9], in
which the same frequency is obtained.
3,40x107
Magnitude [Pa]
1,70x107
0,00
500 600 700 800
Frequency [Hz]
Fig. 2. FFT analysis of the acoustic pressure.

Fig. 3. Acoustic pressure for different bent geometries (30°, 60° and 90°).
168 Z. Bouramdane et al.
3.2 Consideration of Resonator Curvature

In this following investigation, we applied a modified grid that was curved 90°, 60° and
30° over a distance of 80 mm, measured from the open end. The initial and the
boundary conditions remained constant to ensure the same resonance conditions. As a
result, the variation of the pressure amplitude is a result of the bent geometries. Fig-
ure 3 shows that the total amplitude of the acoustic pressure is decreased Pmax
(30°) = 1385 Pa, Pmax (60°) = 1315 Pa, and Pmax (90°) = 1225 Pa). A possible
explanation is that the effective resonator length is decreased by the curved resonator;
the tube behaves as if the resonator was shorted.
In this subsequent study, we investigate the effect of varying the length over which
a constant curvature angle (90°) was applied over a distance of 80 mm and 40 mm. The
objective of this investigation is to determine how sharper bends affect the oscillations
inside a resonance tube with constant length. Figure 4 shows the effect of changing
severity of resonator bending on acoustic oscillations. The variation of the severity of
curvature affect the frequency of the oscillations. Table 2 summaries the results of this
investigation.
80mm
101625 40mm
101500
pressure [Pa]
101375
101250
101125
0,040 0,044 0,048

time [s]
Fig. 4. Effect of severity of resonator bending on acoustic oscillations (90° bend applied to
80 mm and 40 mm).
Table 2. Illustration of the effect of both the degree of curvature and the length of the curved
section compared with the results found by Zink et al. [9, 10].
Pmax [Pa] DP [Pa] SPL [dB] Freq
[HZ]
Curvature [9] [10] [10] [9]
0° 103650 106550 2325 5225 161.3 165 .33 580 590
90° 102550 106350 1225 5025 155.7 164.99 580 590
Length
80 mm 102550 109020 1225 – 155.7 – 580 590
40 mm 102244 108950 919 – 153.24 – 640 620
4 Conclusion
In this work, we have developed a 2D model of thermoacoustic engine in Comsol

Multiphysics to explore the effect of resonator curvature on the thermoacoustic effect.
As a conclusion, this investigations shows that the resonator curvature influences the
frequency and the level of the acoustic pressure. Both effects have to be considered
when thermoacoustic engines are designed, because a small change in operating
conditions can result a strong changes in performance of thermoacoustic machines. The
numerical simulation in COMSOLMultiphysics can be a first step for other researches
to enhance the performance of thermoacoustic devices; a thermal model can be pre-
dicted with different parameters like the nature of the working gas and the stack
materiel.
References
1. Rayleigh S (1945) The theory of sound, 2nd edn. Dover, New York, p 231 322i
2. Carter RL, White M, Steele AM (1962) Document interne de l’Atomics International
Division of North American Aviation
3. Rott N (1980) Thermoacoustics. Adv Appl Mech 20:135–175
4. Yazaki T, Tominaga A, Narahara Y (1980) Experiments on thermally driven acoustic
oscillations of gaseous Helium. J Low Temp Phys 41(1):45–60
5. Yazaki T, Tominaga A, Narahara Y (1980) Thermally driven acoustic oscillations: second
harmonic. Phys Lett A 79(5–6):407–409
6. Swift GW (1988) Thermoacoustic engines. J Acoust Soc Am 84(4):1145–1179
7. Merkli P, Thomann H (1975) Thermoacoustic effects in a resonance tube. J Fluid Mech
70:161–177
8. Garrett SL (2004) Resource letter: TA1: thermoacoustic engines and refrigerators. Am J
Phys 72:11
9. Zink F, Vipperman JS, Schaefer LA (2008) Advancing thermoacoustic technology through
CFD simulation using FLUENT In: proceedings of the international mechanical engineering
congress and exhibition
10. Zink F, Vipperman JS, Schaefer LA (2009) Heat transfer analysis in thermoacoustic
regenerators using CFD simulation. In: proceedings of the ASME summer heat transfer
conference
11. Liu J, Garrett SL (2006) Relationship between Nusselt number and the thermoviscous (Rott)
functions. J Acoust Soc Am 119(3):1457–1462
12. Zink F, Vipperman J, Schaefer L (2010) CFD simulation of thermoacoustic cooling. Int.
J. Heat Mass Transf. 53(2010):3940–3946
13. Garrett SL (1999) Reinventing the engine. Nature 339:303
Estimation of the Effective Magnetic
Permeability of Polycrystals Using
a Self-consistent Scheme
E. Boulhafa(B) , R. Kouddane, H. Ouadfel, and F. Soussi
Mathematics, Computer Science and Mechanics Team, National School of Applied

Sciences - Oujda, Oujda, Morocco
boulhafa.elmahdi@gmail.com, redkouddane@gmail.com, houadfel@gmail.com,
fh.soussi@gmail.com
Abstract. In this work, we propose to determine the effective magnetic

permeability of a heterogeneous medium by the self-consistent method.
To do this, we are looking for an equation system based only on the mag-
netic field by a micro-mechanical approach based on the Green function
techniques. The 1-site self-consistent scheme consists in replacing the
interactions between a particular heterogeneity and the surrounding real
environment by those existing between an inclusion and a homogeneous
medium having the effective properties of the polycrystal. Finally, to
solve the integral equation; we have to evaluate the interaction tensor.
Once the interaction tensor is calculated, the system of equations can be
solved and the effective magnetic permeability is determined by framing
the self-consistence conditions. Another approach consists in consider-
ing the interaction of each grain with its close neighbors and replacing
the rest with the Homogeneous Equivalent Medium whose behavior is
identical to the macroscopic behavior of the polycrystal: this is the self-
consistent N-Site scheme which takes into account the topological effects
and therefore allows to take into account anisotropy.
Keywords: Polycrystal · Self-consistent · 1-site · N-site

Magnetic permeability · REV · Cluster
1 Introduction
The study of the physical properties of polycrystals is of great importance in
several fields of research. The determination of effective properties is a typical
problem. For reviews on this subject see [1–6]. In the following, we propose
to determine the effective magnetic permeability of a polycrystal by the self-
consistent method.
2 Self-consistent 1-Site Scheme

2.1 Integral Equation of Problem
The calculation of the effective magnetic permeability μ∗ is obtained
from the local relations of proportionality between magnetic induction and
https://doi.org/10.1007/978-981-13-1405-6_22
Estimation of the Effective Magnetic Permeability 171
magnetic fields:
B = μH (1)
This equation is immediately transposed to many problems where there exists
a similar linear relationship between flux and force. Locally, the law of behavior
of the medium is given by the following equation:
Bi = μij Hj (2)
The main approach is as follows: a homogeneous macroscopic magnetic field H̄ is

imposed on the polycrystal, which results in a magnetic induction satisfying the
following relationship (3). We are looking for an equation system based on the
local magnetic field H(r). We are then led to the system of partial differential
equations:
div(B) = 0 =⇒ (μij Hj ),i = 0 (3)
We represent the macroscopic constitutive law by the following behavior:
B̄i = μ∗ij H̄j (4)
H̄j : Macroscopic magnetic field applied

μ∗ij : Macroscopic magnetic permeability
B̄i : Macroscopic magnetic induction
Then, we decompose the local magnetic permeability tensor μij (r) into a sum
of a uniform part μ∗ij and a spatial fluctuation δμij (r).
μij (r) = μ∗ij + δμij (r)
Using this decomposition, Eq. (3) becomes:
μ∗ij Hj,i + (δμij (r) Hj ),i = 0 (5)
The term (δμij (r) Hj ),i can be considered as a fictive magnetic induction. So we
obtain the following integral equation [7]:

Hi (r) = H̄i + Gik (r, r ) Fk (r ) d3 r (6)
Vr
With Gik is the Green’s function and
Fk (r ) = δμkl (r ) Hl (r )
2.2 Self-consistent Scheme

We make an approximation that consists in taking the uniform magnetic field
in each grain. This means:
g
Hk (r) = Hk Δg(r) (7)
g
172 E. Boulhafa et al.
Δg(r) is the characteristic function of the grain g defined by:

Δg (r) = 1 if r ∈ Vg else 0
Hkg is the uniform magnetic field in the grain g of volume Vg . Similarly, we write
for Fk : g
Fk (r ) = Fk Δg (r ) (8)
g

F g is also supposed to be uniform in the grain g’. Replacing Fk (r ) by the right
hand side of Eq. (8) into the integral Eq. (6), and denoting Vg the volume of
grain g , we obtain:
g
Hi (r) = H̄i + Fk Gik (r − r ) d3 r (9)
g Vg
Hi (r) is generally non-uniform. To be consistent with the approximation of uni-

formity, the uniform magnetic field Hig is defined as the volume average of Hi (r)
in the grain g. Averaging over the volume Vg of grain g we obtain:

1
Hi (r) d3 r = H̄i +
Vg Vg
g g 1
δμkl Hl { ( Gik (r − r ) d3 r ) d3 r } (10)

V g Vg Vg
g

gg
A coupling tensor Γik between the grains g and g’ is introduced as:

gg 1
Γik = ( Gik (r − r ) d3 r ) d3 r (11)
Vg Vg Vg
The integral equation becomes:

Hig = H̄i + gg
Γik δμgkl Hlg (12)
g
Assuming that μ∗ is known, the system of equations obtained for an infinite poly-
crystal has an infinity of unknowns Hig . The 1-site self-consistent scheme consists
in replacing the interactions between a particular heterogeneity (inclusion) and
the surrounding real environment by those existing between an inclusion and
a homogeneous medium having the effective properties of the polycrystal (see
Fig. 1).
The equation can be written as follows:
gg g g
Hig = H̄i + Γijgg δμgjk Hkg + Γij δμjk Hk (13)
g =g
By neglecting the third term in the right hand side of the preceding equation:
gg g g
Γij δμjk Hk = 0i
g =g
Fig. 1. Self-consistent scheme: polycrystal and equivalent homogeneous medium
with 0i the zero vector of n dimensions. The system of equations is then written:
Hig = H̄i + Γijgg δμgjk Hkg (14)
By substitution of Eqs. (2) and (4) into (14) we obtain an interaction equation
between microscopique and macroscopique magnetic inductions and fields
−1

Big − B̄i = Γijgg + μ∗ij (Hjg − H̄j ) (15)
To solve the system of Eq. (14), we first have to evaluate the interaction tensor
Γgg . Once the interaction tensor Γgg is calculated [7], the system of equations
can be solved. The magnetic permeability is determined by framing the self-
consistence condition: Hig = H̄i and Big = B̄i . In this paragraph we will
calculate the effective magnetic permeability μ∗ of a material formed by a mix-
ture of two grains of different materials and spherical shape whose behavior is
isotropic. The distribution is assumed to be random to guarantee the overall
isotropy of the material. Let us first recall the self-consistent conditions men-
tioned above:
Hig = H̄i and Big = B̄i
Where
n

Hig = f g Hig = H̄i (16)
g=1
After the calculation is done, the interaction tensor in the case of an isotropic
spherical inclusion is given by the following equation [8,9]:
− δij
Γijgg = (17)
3 μ∗
with:
μgij = μg δij , μ∗ij = μ∗ δij and δμgij = (μg − μ∗ ) δij
Further manipulations yield:

n
3 μ∗
fg = 1 (18)
g=1
2 μ∗ + μg
where f g is the volume fraction of the phase g.

For application, we consider a two-phase material with isotropic spheroidal
inclusion and magnetic permeability μ1 and μ2 . Equation (18) gives:
3 μ∗ 3 μ∗
f1 + (1 − f 1
) = 1
2 μ∗ + μ1 2 μ∗ + μ2
Fig. 2. Normalized effective magnetic permeability of a biphasic material as a function

of volume fraction: Hashin & Shtrikman, Voigt & Reuss bounds and self-consistent
estimate.
where f 1 is the volume fraction of phase 1.

For numerical computation, we take these ratios:
μ1 μ2
= 18 and = 180
μo μo
Where μo is the vacuum magnetic permeability (Fig. 2).
Where the bounds of Voigt-Reuss [10,11] are defined by:
n
n
1 fg
μ∗V RU = f g μg and =
g=1
μ∗V RL g=1
μg
3 Self-consistent N-Site Scheme

The already established Eq. (12):

Hig = H̄i + gg
Γik δμgkl Hlg
g
Then this relation constitues a set of equations with an infinite number of

unknowns. It is possible to approximate the solutions of this system of equa-
tions by considering the interaction of each grain with the layers of the neigh-
bors (ngr) that are closest to the grain, and replacing the rest of the medium by
the Homogeneous Equivalent Medium whose behavior is identical to the macro-
scopic behavior of the polycrystal [12–15]. In the above system of equations, the
contribution R of grains g that are far away from the grain g is given by the
equation: gg
Ri = Γik δμgkl Hlg (19)
g = ngr + 1

Because the interaction tensors Γgg tend to become zero as the distance between
g and g increases (condition known as the ‘condition of Green’). We can then

consider that for an infinite medium, where the average of δμgkl vanishes, the
following approximation is reasonable.
ngr

Hig = H̄i + gg
Γik δμgkl Hlg (20)
g = 1

The evaluation of the tensor Γgg is very complex in general. This tensor is
dependent on the grain shape of g and g as well as on their relative position.

In the following, we will try to compute the interaction tensor Γgg in the
case of an isotropic spherical inclusion.
Now, we will approach the solution with a self-consistent solution of cluster
type by not limiting the sum to the grain itself only, but by including its first
neighbors also.
Taking account of the fact that the representative volume (REV) consists
of n grains, and that the cluster consists of nc grains, the set of grains g that
interact with grain g is characterized by Cgc , such that:
Cgc = { g such that Vg ∈ Cluster attached to Vg }.
The entire space is covered by reproducing the representative volume periodi-
cally. In our case, the situation will be simpler, since we will work with spheric
cells all identical (polycrystal isotropic locally).
Fig. 3. Computation scheme for a 9−grain cluster in an elementary volume represen-

tative which contains 16−grains of spherical forms.
For the cluster 1 associated with grain 1, all elements are included in the
representative elementary volume (REV). However, some of the elements of the
cluster 2 are external to the representative elementary volume (Fig. 3). The con-
dition of periodicity makes it possible to define the elements external to the rep-
resentative volume by internal elements. The same approach has been developed
in the case of electrical conductivity (Two-phase, Symetric Topologies) [16], for
elastic coated inclusion [17] and Elasto-visco-plasticity of Heterogeneous Mate-
rials [5] (Three and Two-phase, All topologies).
Let
gg g
Lgg
ij = Γik δμkj (21)
The system of Eq. (20) is then written as
gg g
Hig = H̄i + Lij Hj (22)
g =Cgc
By substituting Eqs. (2) and (4) into (22), we get a global equation of interaction
−1
nc
−1
g
Big − B̄i = Γijgg + μ∗ij (Hjg − H̄j ) − Γijgg Lgg
jk Hk (23)
g =g
The Eq. (22) is valid for all grains g whose associated cluster is included in the
representative elementary volume (REV). The indices g may concern grains
obtained periodically from those of the representative volume. The relationships
(16) and (22) constitute a set of 3(n + 1) equations with 3(n + 1) unknowns.
As a test for the proposed approach, we have compared the different results
corresponding to the self-consistent 1-Site and N-Site approachs to validate the
topological effects. We propose to study some borderline cases. We introduce
a topological anisotropy. For this, we considered a medium of four topologies
(a), (b), (c) and (d) of different isotropic magnetic permeabilities (μgij = μg δij )
(Fig. 4). We were able to identify the topological aspect in the N-Site approach,
comparing it with the 1-Site approach.
Fig. 4. Three and two-phase composite topology. (a) 6 µ1 , 3 µ2 and 18 µ3 ; (b) 12 µ1 ,

12 µ2 and 3 µ3 ; (c) 352 µ1 and 160 µ2 ; (d) 288 µ1 and 224 µ2
4.1 Low Heterogeneities
In this case, we are interested in a weakly heterogeneous material. We consider

four topologies:
Topologies (a) and (b): REV = 27 grains and Cluster = 27 grains
Topologies (c) and (d): REV = 512 grains and Cluster = 125 grains
With
μ1 /μo = 10, μ2 /μo = 40 and μ3 /μo = 20
After Calculation, we obtain the following results for the four topologies (a), (b),
(c) and (d) as shown in the Table 1.
Table 1. Normalized effective magnetic permeability, comparison between 1-site and

N-site schemes in case of low heterogeneities
4.2 High Heterogeneities
In this case, we are working with a highly heterogeneous material where we

consider
μ1 /μo = 1000, μ2 /μo = 10 and μ3 /μo = 100
After Calculation, we obtain the following results for the four topologies (a), (b),
(c) and (d) as shown in the Table 2.
Table 2. Normalized effective magnetic permeability, comparison between 1-site and

N-site schemes in case of hight heterogeneities
In view of the obtained results, the modeling takes into account the topolog-
ical anisotropy induced in the N-Site case, contrary to the 1-Site case. In the
case where this topology is non-symmetrical, all the components of the tensor
are different (case of the topology c and d).
5 Conclusion
In this article, we illustrated the application of the self-consistent method on

a polycrystal to estimate the magnetic permeability. At first, we applied the
1-Site approach which considers the interaction of a given grain with the equiva-
lent homogeneous medium. We have plotted the effective magnetic permeability
normalized to the vacuum permeability for a two-phase medium, the upper and
lower limits given by the Hashin-Shtrikman and Voigt and Reuss models versus
the volume fraction. The obtained estimate is well within these limits which
shows that the self-consistent model is consistent with the limits obtained by
variational methods. The application of the self-consistent N-Site scheme on
a three and two-phase medium has been established. Then the N-site scheme
has been applied to different topologies and compared with the 1-Site scheme.
We have shown that the self-consistent N-site approach takes into account the
topological effects (Symetric and non symetric) and therefore allows to take into
account anisotropy. This contrasts with the 1-site self-consistent approach that
did not allow the anisotropy to be taken into consideration since the topological
effects are dismissed all together. It has been observed that the self-consistent
model using the N-Site approach is valid regardless of the heterogeneity coeffi-
cient of the heterogeneous medium.
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Effect of Sputtering Area Ratio
of Gold/Silica Target and Thermal
Annealing on Structural and Optical
Absorption Properties of Au
Nanoparticles Dispersed in Amorphous
Silica Dielectric Films
Ahmed Belahmar, Ali Chouiyakh(B) , Abdallah Bendoumou,

and Mounir Fahoume
Faculty of Science, Department of Physics, Laboratory of Condensed Matter Physics,

Ibn Tofail University, B.P. 133, 14000 Kenitra, Morocco
ali chouiyakh@hotmail.com
Abstract. Gold-containing silica films were prepared by magnetron

radio frequency (rf) co-sputtering technique, by varying the area ratio
of gold/silica target (rAu/SiO2 ) and subsequent thermal annealing. The
effect of deposition conditions on the formation of Au nanoparticles were
studied by X-ray diffractometry (XRD) and optical absorption measure-
ments. From the observation of measured spectra of the as-grown com-
posite films, the presence of broad Au diffraction peaks in the XRD
spectrum in addition to the amorphous silica pattern and absence of
surface plasmon resonance band in the optical absorption spectra, sug-
gests that the size of Au nanoparticles dispersed in silica films is less than
2 nm. After annealing at different tempertures up to 500 ◦ C, no signifi-
cant changes in structural and optical absorption spectra was observed
in the case of the samples deposited at (rAu/SiO2 = 1.3%), while for
samples synthesized at (rAu/SiO2 = 2.6%), a weak but relatively broad
absorption band in the absorption spectra starts appearing revealing
that Au nanoparticles with size larger than 2 nm exists in SiO2 matrix.
With increase of annealing temperature, the intensity of absorbance peak
increases and showed a red shift on the SPR position. Experimental
optical absorption spectra were theoretically simulated by modified Mie
theory.
Keywords: AuNPs · Silica films · Surface plasmon resonance

Sputtering
1 Introduction
In recent years, an increasing understanding of nanocomposite material’s behav-
iors has driven scientific and technological interest toward the fabrication of
https://doi.org/10.1007/978-981-13-1405-6_23
182 A. Belahmar et al.
nanocomposite films containing noble metal nanoparticles (NPs) embedded in

dielectric materials [1–4]. One of the most important aspects at the nanoscale
is that the noble metals like silver and gold exhibit strong absorption in visible
range. This absorption is known as the surface plasmon resonance (SPR). The
origin of this absorption is attributed to their collective oscillation of conduction
band electron in response to the electrical field of the electromagnetic radia-
tion of light [5,6]. The SPR is a unique physical phenomenon only for nano-size
particles, it is absent at scales of atoms or bulk [5,7].
Recently, one of the main challenges in the study of noble metal dielectric
system is the proper selection of the size (<4 nm) of the noble metal particles
in the dielectric matrix, which can lead to the control (SPR) peaks. Due to
this, noble metal nanoparticles find a wide range of broad potential applications
[8–10]. For their applications in nanotechnology, it is very important to control-
lably tune the (SPR) wavelength of metal nanoparticles, which depends on the
size and shape of nanoparticles, volume fraction of the metal in the nanocom-
posite, dielectric properties of the metal and the embedding matrix [11–15].
Manipulation of the position and intensity of the SPR peaks can be applied
in industrial applications such as solar cell technology [16] and optical fiber
sensor [17].
The SPR was first quantitatively described by Mie [18] by solving Maxwell’s
equation with the appropriate boundary conditions for spherical particles. The
solution was obtained with the assumption that all the spheres are of the same
diameter and the relative separation distances are large such that no interaction
between the different scatters needs to be taken into account.
For nanoparticles much smaller than the wavelength of the absorbing light,
only the dipole oscillation contributes significantly to the extinction cross section
and thus Mie’s theory is reduced to the following equation [18]:
3/2
18πm V0 2 (λ)
σabs = (1)
λ 2
[1 (λ) + 2m ] + 22 (λ)
with λ the wavelength, V0 is the volume of the spherical particle, m and

(λ) = 1 (λ) + i2 (λ) are the dielectric functions of the surrounding medium and
of the particle material, respectively. While the first is assumed to be frequency
independent, the latter is complex and is a function of energy. The resonance
condition is fulfilled when 1 (λR ) = −2m , if 2 is small or weakly dependent
on λ. From Eq. (1), one can see that the spectral features are size independent
and the particle dimension acts only as a volumetric scaling factor. However,
experimentally a size dependence of the surface plasmon absorption was early
observed with decreasing of particle size. Contradicted with experimental obser-
vations, Mie’s theory has evolved to include the fundamental assumption, that
the dielectric function of the nanoparticle material is size dependent, when par-
ticle size becomes of the order of the mean free path of the conduction electrons,
or even smaller. Size dependence for the quasi-static regime is introduced in
Effect of Sputtering Area Ratio of Gold/SilicaTarget and Thermal Annealing 183
Eq. (1) by assuming a size-dependent material dielectric constant (λ, D) [19]:

wP2 wP2
(λ, D) = bulk + − 2 (2)
w2 + iωΓbulk ω + iω(Γbulk + 2AvF /D)
where bulk is the bulk gold dielectric constant, ωP , vF and Γbulk , being the
metal plasma frequency, the Fermi velocity and the electron scattering rates in
the bulk respectively. A is an empirical constant that includes details of the
scattering process.
A large number of methods have been used to obtain AuNPs embedded in
SiO2 films, such ion implantation [20,21], sol-gel [22] and RF magnetron sputter-
ing [23,24]. Among these techniques, RF-Sputtering is chosen due to its relative
simplicity, growth of large area films and flexibility concerning choice of material
combinations. The flexibility and easy fabrication of diverse composite films are
the advantages of sputtering method. The important factors influence the for-
mation of AuNPs are the working distance between the target and the substrate,
rf-power, sputtering time, the substrate temperature [25], applied voltage and
working pressure [24].
The purpose of this work is an attempt to synthesize gold nanoparticles
with size less than 4 nm. For that, two sets of Au/SiO2 composite films were
synthesized by RF-magnetron sputtering technique by variation of area ratio
of gold/silica target and subsequent thermal annealing at different tempera-
tures. Formation of gold nanoparticles in silica films were characterised by X-ray
diffraction and optical absorption spectroscopy.
2 Experimental Methods
The samples, consisting of gold/silica composite thin films, were prepared by
conventional radio-frequency magnetron co-sputtering method using an Alcatel
SCM 650 apparatus. The target is constituted by two materials: a silica disc
with a diameter of 50 mm, over which chips of gold covering a fraction of the
target area (rAu/SiO2 ), were placed on top of silica disc. The deposition was
accomplished on clean glass substrates at room temperature. The chamber was
evacuated to a pressure better than 10−6 mbar before the argon gas for the
sputtering was introduced. Deposition was carried out at fixed argon pressure
2·10−3 mbar and two different gold/silica ratio: 1.3% and 2.6%. All the deposition
of the samples was performed at a fixed substrate to target distance of 60 mm.
The deposition time and applied power were kept constant at 4 h 30 min and
50 W, respectively. The prepared samples were annealed at temperatures up to
500 ◦ C for 1 h each.
The structural characterization of the composite films was performed in
a Philips P W 1710 spectrometer using Cukα radiation (λ = 1.54056 Å). The
diffraction patterns were collected over the range 2θ = 10◦ to 80◦ at room
temperature.
Optical absorption spectra, of Au/SiO2 composite films, were registered by a
Shimadzu U V 30101P C spectrometer, in near ultra-violet-visible-near infra-red
range (NIV-VIS-NIR) from 300 to 2000 nm.

3.1 Structural Characterization
Figure 1 shows the XRD patterns of the Au/SiO2 nanocomposite films deposited
at fixed rAu/SiO2 = 1, 3% as-deposited and after annealing at different temper-
atures. X-ray diffractogram of gold thin film with a cubic structure, presented
as a reference, is also reported in Fig. 1. It is evident that there are no Bragg
reflections that are clearly visible in the spectra, due to the small AuNPs. It can
be seen that the spectra of all the samples had a peak centered on 2θ = 26◦
corresponds to the amorphous silica. After thermal annealing, the XRD spectra
did not exhibit a significant change, indicating that the average size of AuNPs
does not vary considerably under this deposition conditions. To determine the
phase structure, size and lattice constant of AuNPs embedded in silica films,
deconvolution procedure was used where details are reported elsewhere [23,24].
Fig. 1. X-ray diffractograms of Au/SiO2 nanocomposite thin films deposited at

rAu/SiO2 = 1, 3%, as-grown, heated at 300 ◦ C, 400 ◦ C, 500 ◦ C and JCPDS of gold
thin films.
The curve fitting of the XRD spectrum of the sample deposited at room
temperature and at rAu/SiO2 = 1, 3% is reported in Fig. 2. Outside the peak
assigned to amorphous silica matrix, the diffraction peaks resulting from the
fitting are attributed to the crystal planes of Au (111), Au (200) and Au (220).
From the values of the Bragg angle position and the full width at half maximum
(FWHM) of the dominant peak Au (111) reflection, we estimated the particle
size (D) using the Debye-Scherrer’s equation:
0.9λ
D= (3)
(F W HM ) cos ΘB
where λ is the wavelength of X-ray (1.54056 Å) and ΘB the Bragg diffrac-
tion angle. The average size was found to be in the range 0.470–0.543 nm.
Table 1 summarizes the fitting parameters determined from the Au (111) ori-
entation plane for all the samples. We concluded that the heat treatment did
not exhibit a significant change on the average size of AuNPs. For that, another
series of samples was deposited with the same preceding conditions but at fixed
rAu/SiO2 = 2, 6%. Figure 3 shows the XRD patterns of the as-deposited and heat-
treated samples of this series. The deconvolution procedure of the XRD spectra
was undertaking and the obtained values were reported in Table 1. We can note
that with increasing the annealing temperature from 25 ◦ C to 500 ◦ C, the size
varied from 0.96 to 1.36 nm and the lattice constant parameter increased in the
case of the both series. Then, by varying the annealing temperature, we can
control the size of Au nanoparticles. So, lattice contraction, depends implicitly
on the particle size is observed.
Fig. 2. Experimental diffractogram of the sample deposited at room temperature and

their curve fitting where different pseudo-Voigt functions were taken into account.
Table 1. Results of the curve fitting of the experimental diffractograms of the samples
deposited with two gold-to silica surface ratio and various annealing temperatures.
rAu/Si O2 Temperature (C) FWHM (degree) 2θ (degree) Lattice parameter (Å) Size (Å)
1.3% 25 18.72 38.88 4.008 4.50
300 17.60 38.75 4.021 4.78
400 17.11 38.60 4.036 4.92
500 16.17 38.20 4.077 5.20
2.6% 25 8.72 38.68 4.028 9.65
300 7.60 38.61 4.035 11.07
400 7.11 38.40 4.056 11.83
500 6.17 38.29 4.068 13.63
Fig. 3. X-ray diffractograms of Au/SiO2 nanocomposite thin films deposited at

rAu/SiO2 = 2, 6%, as-grown, heated at 300 ◦ C, 400 ◦ C, 500 ◦ C and JCPDS of gold
thin films.
3.2 Optical Absorption

Optical absorption spectra of the Au/SiO2 composite samples after thermal
annealing at different temperatures, for the samples prepared at rAu/SiO2 =
1, 3% are reported in (Fig. 4), and at rAu/SiO2 = 2, 6% are reported in (Fig. 5).
Comparing these results, remarkable differences in the spectra are observed. For
the as deposited two series samples, there is no SPR band absorption character-
istic of gold nanoparticles, indicating the presence of AuNPs with sizes are less
than 2 nm [13,26]. However, the as deposited series samples submitted to a post-
deposition thermal annealing shows in the first case (Fig. 4), that the resulting
optical spectra were identical, which leads to the conclusion that there is no sig-
nificant effect of thermal annealing. In contrast, in other spectra of AuNPs pre-
pared at rAu/SiO2 = 2, 6% (Fig. 5), with the increase of annealing temperature,
we observe the noticeable SPR band absorption. From these results, it is impor-
tant to note that the area ratio of gold/silica target that allows the formation
of a nanocomposite material with clear SPR bands after annealing is between
1.3% and 2.6% of gold. However, it has been reported in our previous work [25]
that at the concentration of gold (2.6%), no surface plasmon was observed for
the films deposited at ambient substrate temperature, whereas a broad band
absorption characteristic of gold nanoparticles appears at 400 ◦ C substrate tem-
perature. The optical absorption spectra of all samples are very broads and it is
very difficult to assign a definite value of a wavelength of maximum absorption.
So, the measured optical absorption curves were modeled based on Mie theory
taking into account the mean free path of gold bulk conduction electrons. The
size effect was considered applying Eqs. (1 and 2). We use for gold nanoparticles,
the values of wP = 1.39 · 1016 Hz, vF = 1.4 · 106 m/s, Γbulk = 1.1 · 1011 s−1 and
a value for A = 2 [27] is required to extract the correct fitting parameters.
These fittings allowed us to evaluate the Au particle size (D) and the SPR
wavelength λmax and the dielectric function of the surrounding medium (m )
of each sample in the case of the samples deposited at rAu/SiO2 = 2, 6%. The
simulation and the experimental plots are shown in Fig. 6.
Fig. 4. Optical absorption spectra of Au/SiO2 thin films deposited at rAu/SiO2 = 1.3%:
as-deposited and heated at different annealing temperatures.
Fig. 5. Optical absorption spectra of Au/SiO2 thin films deposited at rAu/SiO2 = 2.6%:
as-deposited and heated at different annealing temperatures.
The parameter values deduced from this simulation are summarized in

Table 2. It can be seen that the size of gold nanoparticles increases slightly
from 2.1 nm to 2.5 nm when heating temperature varied from 300 to 500 ◦ C.
This increase in size causes a redshift towards the long wavelengths of the SPR
Fig. 6. Experimental and Mie simulated optical absorption spectra for the films
annealed at: 300 ◦ C, 400 ◦ C and 500 ◦ C.
Table 2. Plasmon peak position, size and dielectric functions of the surrounding
medium of the sample as-deposited and heating at different temperatures.
Temperature (C) SPR (nm) Size (nm) m

25 None <2 –
300 500 2.1 2.6
400 506 2.3 2.6
500 510 2.5 2.6
peak position, from 500 nm to 510 nm. This absorption band is consistent with
the reported value for gold nanoparticles, where SPR appears around 500 nm
[23,28–32]. Similar observations have been reported for other gold-dispersed
dielectric materials: Alvarez et al. [33] prepared passivated gold particles with
sizes in the range 1.4–3.2 nm, found that with decreasing size, the SPR band
broadened until it became unidentifiable for sizes less than 2 nm. Palpant et al.
[28] found also, that the plasmon absorption is damped and blueshifted with
decreasing particle size, in the case of gold clusters in the size range 2–4 nm,
embedded in alumina matrix grown by co-deposition technique using pulsed laser
ablation.
4 Conclusion
In this work, at some appropriate fixed deposition parameters, effect of variation
of the sputtering area ratio of gold/silica target rAu/SiO2 and subsequent thermal
annealing on the structural and optical properties of the Au/SiO2 nanocompos-
ite films were studied. In as deposited samples, presence of small gold nanoclus-
ters with size below 2 nm inside the silica matrix was confirmed by XRD and opti-
cal absorption measurements, where X-ray diffraction shows that these particles
are FCC nanocrystals and the optical spectrum shows a decaying curve without
the surface plasmon peak. After thermal annealing up to 500 ◦ C, no significant
structural and optical change for the samples sputtered at rAu/SiO2 = 1, 3%
was observed. In contrast, for the samples sputtered at rAu/SiO2 = 2, 6%, opti-
cal absorption spectra shows the plasmon absorption peak of gold nanoclusters.
Indeed, annealing at 500 ◦ C produced the maximum intensity of the plasmon
absorption peak at about 510 nm and a size of 2.5 nm. Thus, from these results,
it is clear that the content and size of Au particles in Au/SiO2 nanocomposite
films depend on the area ratio of gold/silica target. By adjusting the deposition
conditions and annealing, we were able to control and produce gold nanoparticles
with size in the range 2–3 nm.
Acknowledgments. We are grateful to Professor M.J.M. Gomes from the Centre of

Physics, University of Minho, Portugal, for the experimental support.
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Crystallographic, Morphological Analysis
on Al Doped ZnO Nanoparticles
A. Bendoumou(&), A. Belahmar, M. Fahoume, and A. Chouiyakh
Department of Physics, Laboratory of Condensed Matter Physics,

Faculty of Science, Ibn Tofail University, B.P.133, 14000 Kenitra, Morocco
bendoumouabdallah@gmail.com
Abstract. Undoped and Al-doped ZnO (AZO) nanoparticles (NPs) have been
successfully synthesized by the simple sol-gel method. The NPs have been
characterized by x-ray diffraction (XRD) and scanning electron microscopy
(SEM) coupled with energy dispersive X-ray spectroscopy (EDX). XRD pat-
terns show that pure and AZO samples have a hexagonal wurtzite structure. X-
ray peak broadening analysis was used to evaluate the crystallite sizes, lattice
strain and Young’s modulus. The average crystallite size decreases with increase
in Al concentration. Further appropriate physical parameters such as strain,
stress, and energy density values were also calculated using Williamson-Hall
(W-H) methods with different models. The surface morphology of the pellets
samples was examined by (SEM) approve the nanostructure nature of the AZO
powders. EDX confirms the presence of Al in the AZO nanoparticles.
Keywords: Sol-gel growth Zn1-xAlxO nanoparticules XRD

MEB
1 Introduction
Zinc oxide (ZnO) is a semiconductor with a wide band-gap in the near UV at 3.36 eV
and large exciton binding energy. These characteristics make this material interesting
for many applications, such as solar cells [1], optical coating [2], and gas sensors [3].
The role of the particle size, doping, impurities, and morphology is very important to
these applications, which has driven researchers to focus on the synthesis of doped and
pure nanocrystalline ZnO in recentyears. Doping semiconductor nanostructures in
order to control their physical properties is an active field of research related to the
development of nanotechnology applications. However, ZnO can be doped by many
elements, such as S [4], N [5], Cu [6], Al [7], Ag [8], Eu [9] and Mg [10], to meet the
demands of different applications. Among various dopants, Al can be easily doped in
the lattice of ZnO for its similar radius and electronic shell to Zn atom.
Various methods have been used for the preparation of ZnO nanoparticles, such
precipitation method [11], sol gel processing [12] and mechanical milling [13]. The sol-
gel has some advantages such low temperature synthesis, high purity, homogeneity,
repeatability and particularly its cheapness and simplicity. In this work, a simple sol gel
method was used to prepare ZnO nanoparticles. The effects of Al content on structural
and morphological properties of the obtained nanopowders were investigated.

https://doi.org/10.1007/978-981-13-1405-6_24
Crystallographic, Morphological Analysis on Al Doped ZnO Nanoparticles 193
2 Experimental Methods
ZnO particles were prepared by sol-gel method using zinc acetate as the precursor.
A 4.4g zinc acetate (Zn (CH3COO)2, 2H2O) in 100 ml (70 ml of distilled water+30 ml
of ethanol), this solution will be noted (A). 2 g sodium hydroxide was dissolved in
100 ml (80 ml of distilled water+20 ml ethanol) (solution B). After heating the solu-
tion A to 50 °C, solution (B) was added drop wise with constant warm stirring. This
would result in the appearance of turbidity in the obtained solution leading to the
formation of ZnO in the form of gel. After the complete addition, the resulting solution
was stirred overnight which was then filtered, washed with water and dried at 100 °C
for 2 h, manually ground and calcined at 200 °C for 3 h in order to obtain pure ZnO. In
order to obtain Znx1 Alx Ox nanoparticles, an adequate amount of ððAl2 SO4 Þ3 ; 18H2 OÞ
with Al/Zn proportions of (0.00, 0.01, 0.02 and 0.05) are dissolved in required amount
of ethanol, were added to the solution A along with solution B simultaneously. After
stirring the solution overnight (ZnO-doped) was formed, which was filtered, washed
with distilled water to remove the excessions and insoluble materials remaining in the
product and dried at 100 °C for 2 h. The powdered material obtained was manually
ground and calcined at 200 °C for 3 h.
The structure and crystallite size of pure ZnO and (AZO) were determined by X-ray
diffraction (XRD) using Cu-Ka radiations ðk ¼ 0:15406 nmÞ in 2h range from 10° to
80°. SEM technique coupled with EDX was employed to determine the size and the
chemical composition of the samples.
3.1 Structural Parameters

Figure 1 shows the XRD patterns of Zn1x Alx Oðx% ¼ 0; 1; 2; 3; 5Þ, in the range of
2h ¼ 10 80 . They indicate the single phase formation with a hexagonal wurtzite
structure for all samples. The three pronounced diffraction peaks at about 2h ¼
31:8 ; 34:5 and 36:3 are identified, respectively, as the ð100Þ; ð002Þ and ð101Þ peaks
of ZnO [14, 15]. The hexagonal structure is not changed during the doping, but it can
be seen from this Figure that the incorporation of Al3 þ ions affects the intensity of all
peak, so it enhances the crystalline quality. For evaluating de preferred orientation of de
samples, a texture coefficient will be used.
The quantitative information concerning the preferential crystal orientation can be
obtained from the texture coefficient, TC, which can be defined as [16]:
X
IðhlkÞ 1 IðhklÞ
TCðhklÞ ¼ ð1Þ
I0ðhklÞ N nI
0ðhklÞ
Where TCðhklÞ is the texture coefficient, IðhklÞ is the intensity of the XRD of the
sample and n is the number of diffraction peaks considered. I0ðhklÞ is the intensity of the
XRD reference of the randomly oriented grains. If TCðhklÞ 1 for all the ðhklÞ planes
are considered, then the nanoparticles are with a randomly oriented crystallite similar to
194 A. Bendoumou et al.
Fig. 1. XRD spectra of the undoped and Al doped ZnO nanoparticles for different doping
contents
the JCPDS reference, while values higher than1 indicate the abundance of grains in a
given ðhklÞ direction. Values 0\TCðhklÞ \1 indicate the lack of grains oriented in that
direction. As TCðhklÞ increases, the preferential growth of the crystallites in the direction
perpendicular to the hhkli plane is greater. In this analysis, three reflections are con-
sidered. From the Table 1, the ð002Þ orientation is the preferred growth direction for all
Al content. This direction will be considered for the calculation of all physical
parameters.
Fig. 2. Evolution of the preferred orientation peak (002) with various Al contents.
Indeed, the intensity of the preferred orientation ð002Þ decreases gradually with
increasing of Al content from 0% to 5%, as it is shown in Fig. 2, the width of this peak
is also affected. Here, the Al3 þ ions (ion radius 0:53 Å) is smaller than Zn2 þ ions (ion
radius 0.74 Å), so the increasing Al concentration will reduce the lattice constant of
Table 1. Texture coefficient TCðhklÞ of as deposited Zn1x Alx O samples

Compound 2h valueð Þ hhkli TCðhklÞ
ZnO 31.76 (100) 1.06
34.39 (002) 1.39
36.24 (101) 0.94
Zn0:99 Al0:01 O 31.79 (100) 1.02
34.43 (002) 1.36
36.27 (101) 0.93
Zn0:98 Al0:02 O 31.77 (100) 1.01
34.41 (002) 1.33
36.25 (101) 1.92
Zn0:97 Al0:03 O 31.78 (100) 1.11
34.43 (002) 1.12
36.27 (101) 0.96
Zn0:95 Al0:05 O 31.82 (100) 1.08
34.32 (002) 0.84
36.30 (101) 1.00
samples by substitution of Zn2 þ ions with Al3 þ . The average crystallite size was
estimated using Scherer’s formula.
D ¼ Kk=bhkl Cosh ð2Þ
Where D is the average crystallite size, K is a constant or shape factor and equal to
0.9, k is the wavelength of the radiation (1.54056 Å with CuKa radiation), bhkl is the
peak with at half maximum intensity and h is the peak position. The average crystalline
size was in the range of 15–37 nm. It decreases with increasing Al content
in Zn1X AlX O nanoparticles. It may be due to the small grain growth of
(AZO) nanoparticles as comprised with pure ZnO nanoparticles. The values of average
crystallite size are listed in Table 3.
Owing to crystal imperfection and distortion, the strain induced in the samples was
calculated by the formula [17]:
b
e¼ ð4Þ
4tanh
The calculated values are listedin Table 3 and plotted in Fig. 4. It clearly shows that
the un-doped sample shows low lattice strain values than as the doped samples. Fig-
ure 4 clearly explains the influence of Al doping on lattice strain with respect to the
crystal orientation of un-doped and Al doped samples. We note that the increase of
strain leads to the reduction in the nanoparticles size.
To understand the effect of Al doping on lattice parameters of ZnO, the lattice
parameters should be calculated for undoped and Al doped ZnO nanoparticles. Since
Table 2. Structural parameters of Zn1x Alx O

Compound 2h valueð Þ Particle size Particle size Strain

c Å
a Å Dhkl ðnmÞ ðe103 Þ
ZnO 34:40 3:25 5:21 37.69 3:11

Zn0:99 AL0:01 O 34:43 3:25 5.21 35:31 3.32
Zn0:98 Al0:02 O 34:41 3:25 5 .21 30:88 3.79
Zn0:97 Al0:03 O 34:43 3:25 5.20 30:63 3.82
Zn0:95 Al0:05 O 34:32 3:24 5.22 15.68 7.46
ZnO lattice is wurzite structure with hexagonal shape, there are two latticeparameters
a and c are exist and can be calculated from the following relations ½18:
2 1=2
4 h þ kl þ k2 l2
dðhklÞ ¼ þ ð5Þ
3 a2 c2
The lattice constant a for h100i lane is calculated by [18]:

pffiffiffi
a ¼ k= 3Sinh ð6Þ
For the h002i plane, the lattice constant c is calculated by [18]:
c ¼ k=Sinh ð7Þ
Where k is the X-ray wavelength and dðhklÞ is the spacing between planes of given
Miller indices h, k and l. Using the relation given in Eq. (4) and (5), the latticepa-
rameters of un-doped and Al doped ZnO nanoparticles were calculated and are sum-
marized in Table 2. Thus, Al doping does not cause any remarkable change in the
wurtzite structure of ZnO. This may be due to the comparable ionic radii of Zn2+and
Al3 þ which made the substitution of Zn2+easy with Al3 þ [19, 20] (Fig. 3).
Fig. 3. Variation of crystallite ðDÞ and strain ðeÞ of Zn1x Alx O with different conent
Residual stress is possible at the time of crystal growth. Moreover, the doping
process may influence the residual stress of bare materials. So it has to be addressed for
clear understanding the influence of doping on the change in residual stress of ZnO in
this study. In this paragraph, only the effect of the doping is studied. eY ¼ r
Where Y is the Young’s modulus. For a hexagonal crystal, Young’s modulus is
given by the following relation [21]:
h 2
2 i 2
h2 þ ðh þ32kÞ þ alc
Y¼
2 2
4
ð8Þ
ðh þ 2kÞ2
s11 h2 þ ðh þ32kÞ þ s33 alc þ ð2s13 þ s44 Þ h2 þ 3
al 2
c
Where S11 ¼ 7:858:1012 ; S13 ¼ 2:206:1012 ; S33 ¼ 6:940:1012 ,

S44 ¼ 23:57:1012 m2 =N respectively [22] are the elastic compliances of ZnO with
values. Young’s modulus for Zn1x Alx O was calculated and reported in Table 3.
Table 3. Crystallite size, strain, dislocation density and stress of as deposited Zn1-XMgxO
samples
Samples Scherer’s Strain Dislocation Young’s Stress r
method D ðe 103 Þ Density Modulu 106 N:m2
(nm) d:1015 m2 Y ðGPaÞ
ZnO 37.69 3.11 0.7038 127.26 395.82
Zn0:99 AL0:01 O 35.31 3.32 0.8020 127.26 422.12
Zn0:98 Al0:02 O 30.88 3.79 1.0484 127.26 482.88
Zn0:97 Al0:03 O 30.63 3.82 1.0656 127.26 486.49
Zn0:95 Al0:05 O 15.68 7.46 4.0699 127.26 949.78
In the W-H method, the peak width from crystallite size does not follow a 1= cos h
dependency as in the Scherer’s equation but instead varies with tan h. This fundamental
difference allows for a separation of reflection broadening when both micro structural
causes – small crystallite size and micro strain- occur together. The different approa-
ches presented in the following assume that size and strain broadening are additive
components of the total integral breadth of a Bragg peak [23]. Addition of the Scherer
equation and e ¼ b=4 tan h results in following equations:

kk
bcosh ¼ þ 4esinh ð10Þ
D
Equation (10) represents the uniform deformation model (UDM), where the strain
was assumed to be uniform in all crystallographic directions, thus considering the
isotropic nature of the crystal, where the material properties are independent of the
direction along which they are measured.
In the Uniform Stress Deformation Model, USDM, the generalized Hook’s law
referred to the strain, keeping only the linear proportionality between the stress and strain,
i.e., r = Y. Here, the stress is proportional to the strain, with the constant of propor-
tionality being Young’s modulus, denoted by Y. In this approach, the Williamson-Hall
equation is modified by substituting the value of e in Eq. (11), we get r

kk 4rsinh
bcosh ¼ þ ð11Þ
D Y
The strain can be calculated in the same way as e.

For an elastic system that follows Hooke’s law, the energy density (u ¼ ðe2 YÞ=2)
can be calculated using another model called the Uniform Deformation Energy
Density Model, UDEDM:
1=2 !
kk 2u
bcosh ¼ þ 4Sinh ð12Þ
D Y
For UDM model, the plot of bcosh along the y-axis, 4sinh along the x-axis and
with a linear fit to the data, the crystalline size D was estimated from the y-intercept,
and the strain e, from the slope of the fit. In order to determine r and u, the same
method will be used for the UDSM AND UDEM models by keeping bcosh on the y-
axis and ð4sinh=YÞ, 4sinhð2=YÞ1=2 along the x-axis respectively. The corresponding
plots of the three models are shown in Fig. 4:
Table 4 Summarizes the geometric parameters of ZnO nanoparticles obtained from
Scherer’s formula, various modified forms of W-H analysis. By comparing the values
of average crystallite size obtained from UDM, UDSM, and UDEDM, it was found that
the values are similar, implying that the inclusion of strain in various forms has a very
small effect on the average crystallite size of ZnO nanoparticles. However, the average
crystallite size obtained from Scherer’s formula and W-H analysis shows a small
variation; this is because of the difference in averaging the particle size distribution.
The values of strain from each model are calculated by considering Young’s modulus Y
is equal 127 GPa.
3.2 Quantitative Results of al Doped ZnO from EDX Analysis

The SEM photographs of the samples reported in Fig. 5 revealed that the crystallites
are of the nanometer size.
The chemical compositions were analyzed by energy dispersive spectroscopy
(EDX). Figure 6 shows the EDX spectrum obtained from pure ZnO powders, where
only Zn and O are detected, while the presence of Al in the dopedZnO. From Table 5,
the Atom% for Al increases with the increase of Al doping.
SEM results showed that the particle size was decreased with the doping of
Aluminum.
Fig. 4. UDM, USDM and UDEDM plots of Zn0:99 Al0:01 O sample
Table 4. The geometric parameters of Zn1-XAlxO samples

Samples UDM USDM
D(nm) e 103 D(nm) rðMPaÞ e 103
ZnO 50.21 1.8 50.21 230 1.80
Zn0:99 Al0:01 O 39.56 1.7 39.56 210 1.65
Zn0:98 Al0:02 O 40.79 1.6 40.79 210 1.65
Zn0:97 Al0:03 O 40.79 1.3 40.79 160 1.25
Zn0:95 Al0:05 O 22.12 1.5 22.12 190 1.49
Samples UDEDM
D(nm) lðkJm1 Þ rðMPaÞ e 103
ZnO 50.21 202.5 227 1.8
Zn0:99 Al0:01 O 39.56 176.4 211.9 1.7
Zn0:98 Al0:02 O 40.79 168.1 206.8 1.6
Zn0:97 Al0:03 O 40.79 102.4 161.4 1.3
Zn0:95 Al0:05 O 22.12 136.9 186.7 1.5
Table 5. Quantitative results of Al doped ZnO from EDX analysis

Sample pure 1% 2% 3% 5%
compositions
Element W% A% W% A% W% A% W% A% W% A%
O 29.42 63.01 32.82 65.87 30.02 62.45 36.39 68.00 9.17 28.24
Al 0.0 0.0 1.63 1.94 2.65 3.27 4.46 4.94 3.02 5.52
Zn 70.58 36.99 65.55 32.20 67.33 34.28 59.15 27.06 87.82 66.23
Fig. 5. SEM images of Al-doped ZnO powders with different doping amount. (a) x = 0,
(b) x = 0.01, (c) x = 0.02 (d) x = 0.03 (e) x = 0.05
Fig. 6. EDX Spectra of Zn1-xAlxOsamples (a) x = 0, (b) x = 0.01, (c) x = 0.02 (d) x = 0.03
(e) x = 0.05
4 Conclusion
Un-doped and Al doped ZnO nanoparticles were synthesized by a simple sol-gel

method. The results of the XRD showed that the average particle size varies with the Al
contents. The average values of crystallite size obtained from UDM, UDSM, and
UDEDM are almost similar, which indicate the inclusion of strain in various forms of
W–H analysis has a very small effect on the average crystallite size. The SEM confirms
the nanostructure of the powders synthesized by sol gel, the EDX measurement indi-
cates the incorporation of Al in the doped samples.
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Electronics
III-V MOSFET Structure (InP/InAs/InGaAs)
I-V Characteristics Using Silvaco TCAD
Simulator
S. Ammi1(&), A. Aissat1,2, N. Wichmann2, and S. Bollaert2

1
Faculty of Technology, University Blida 1, Blida, Algeria
sakre23@yahoo.fr
2
Institut d’Electronique, de Microélectronique et de Nanotechnologie (IEMN),
UMR 8520, Université des Sciences et Technologies de Lille 1,
Avenue Poincaré, CS60069, 59652 Villeneuve d’Ascq, France
Abstract. Our work is used to investigate the electrical proprieties of III-V

MOSFET (Metal Oxide Semiconductor Field Effect Transistor) from an
InP/InAs/InGaAs structure. This simulation is done using Silvaco TCAD tools.
We solve the coupled Poisson-Schrödinger equation that gives the carriers
concentration and their eigen state energies at each level. The fundamental
equations are based on the conventional drift-diffusion model of charge transport
with Fermi-Dirac statistics and electric field-dependent mobility model. We
present the charge control in channel and the complete I-V characteristics of
InP/InAs/InGaAs MOSFET. The results obtained show the output Id-Vds and
the transfer Id-Vgs characteristic with Lg = 50 nm and To x = 4 nm. Ion of
330 mA/mm and maximum transconductance Gm of 405 mS/mm were calcu-
lated at Vd = 0.05 V. The transfer and Gm characteristics of this structure are
shown with Lg of 150 nm and 100 nm respectively. Ion and Gm;max reach to
(270–280) mA/mm and (328–346) mS/mm respectively. It is found that the
threshold voltage decreases as the channel length is reduced.
Keywords: III-V semiconductor InAs-MOSFET

Poissson-Shrödinger equation Silvaco-TCAD
1 Introduction
The rapid development in the microelectronics domain is due to the ideal properties of
silicon dioxide and its interface with silicon. Continually thinner gate oxides have been
a critical feature of the overall scaling of transistor dimensions for three decades,
enabling continued speed improvement even as operating voltages decrease [1]. This
era of scaling in thickness of a silicon dioxide insulator will soon come to an end, as
gate tunneling current, reduced reliability, and diminishing returns in speed make
further reductions impossible or unrewarding [2]. New materials systems may provide
some relief, but they have yet to show their ability to replace silicon dioxide. Truly
novel approaches, such as the Vertical Replacement Gate process, which provides more
current in the same area by increasing the device perimeter, can address the same issues
[2–4].

https://doi.org/10.1007/978-981-13-1405-6_25
208 S. Ammi et al.
Recently, new channel materials such as III-V compound semiconductors have

drawn great attention because of their superior transport properties [5, 6]. III-V
InGaAs/InAs materials are considered as promising candidates to replace Si n-channel
MOSFETs [7, 8]. These types of materials have low electron effective mass and high
electron velocity, allowing higher on-state current at lower VDD and reducing the
switching power consumption. However, III-V InGaAs materials have a narrower band
gap and higher permittivity, leading to large band-to-band tunneling leakage or gate-
induced drain leakage (GIDL) at the drain end of the channel, and large subthreshold
leakage due to worse electrostatic integrity [9].
Today much of the development of semiconductor devices and processes is done
by computer modeling. Uses of TCAD (Technology-Computer Aided Design) tools
reduce cost and shorten the development time. Three of the main Silvaco TCAD tools
are used. The first is “Deckbuild”, which is the software that run the code, and provide
the interface for changing and altering the code. Another is “TONYPLOT”, necessary
for graphing the data extracted from the simulation. The main program used in the
simulation is “ATLAS”, used to simulate the device structure and to extract the data.
In this work, we will report InGaAs/InAs ultra-thin-body MOSFETs [10]. We will
try to find the optimum fabrication parameters of InP/InAs/InGaAs MOSFET through
simulation using a Silvaco TCAD tools device simulator [11].
2 Theory
The physical description of electrostatics of the MOSFETs device requires solving the
coupled Poisson equation with the Schrödinger equation.
The conduction in this model is governed by Poisson’s equation (1) which couples
the electrostatic potential V to the charge density as:
q
r2 V ¼ n p NDþ þ NA ð1Þ
e
q is the elementary charge (A.s), e is the material dependent permittivity (A.s/V.m), n
and p are the electron and hole density (cm−3), NDþ and NA are correspondingly ionized
donor and acceptor density concentration (cm−3).
The general independent of the time Schrödinger equation, expressed in terms of
effective mass, is given by:
h2 2
r w þ qUw ¼ Ew ð2Þ
2m
Where ℏ is the reduced Planck constant, w is the wave function and E the energy of
the particle, m is the particle effective mass and U is the potential energy. The
potential energy U is related to the electrostatic potential V, via the relation:
U ¼ qV þ DEc ð3Þ

III-V MOSFET Structure (InP/InAs/InGaAs) I-V Characteristics 209
Where, DEc represents the band offset at the interface between two materials (the
band offset between the conduction band of the semiconductor and the conduction band
of the oxide).
These two equations will be solved self-consistently and the solution of this system
of equations will be coupled with the carrier’s continuity equations (index n for
electrons and index p for holes) which are given by [9]:
@n 1 !
¼ div J þ Gn Rn ð4Þ
@t q n
@p 1 !
¼ div J þ Gp Rp ð5Þ
@t q p
Where, ~Jn and ~

Jp are current densities (A/cm2), Rn;p and Gn;p are recombination and
generation rate (cm3 :s1 ). The transport equations used to express electrons and holes
current densities due to drift and diffusion are given by Eqs. (6) and (7), respectively.
!
~
Jn ¼ q:n:ln :~
En þ q:Dn : r n ð6Þ
!
~
Jp ¼ q:p:lp :~
Ep q:Dp : r p ð7Þ
Dn and Dp are diffusion coefficients (cm2 :s1 ), ln and lp are respectively electrons and
holes mobilities (cm2 =V:s) which depends on the parallel electric field ~ E.
The fundamental equations are based on the conventional drift-diffusion model of
charge transport with Fermi-Dirac statistics. So, the expression of Dn for electrons
becomes:
n o
q ln F1=2 kTL ½eFn eC
kTL 1
Dn ¼ n o ð8Þ
F1=2 kT1L ½eFn eC
The mobility model that takes account of velocity saturation is defined according to:
2 31=bn
6 1 7
ln ðEÞ ¼ ln0 4 bn 5 ð9Þ
ln0 E
1 þ vsat
n
2 31=bp
6 1 7
lp ðEÞ ¼ lp0 4 bp 5 ð10Þ
lp0 E
1 þ vsat
p
Where vsatn and vsatp are the saturation velocities for electrons and holes [11], bn and
bp are constants equals to 2 and 1, respectively, and ln 0; lp 0 are the electron and hole
low field mobility’s. With the help of these physical models as well as a good mesh, we
will be able to precisely simulate our structure. In areas where physical quantities
210 S. Ammi et al.
change rapidly (Interfaces), a small time step is defined, unlike areas where the
quantities move slowly, a significant time step is allowed. The discretizations imple-
mented by Atlas use the Integration Method (DFM, EFM…) to approximate differential
operators on a triangular grid enclosing each node. The non-linear algebraic system that
results from discretization on a mesh is solved iteratively with the “Newton” method.
This method is useful when the system of equations is strongly coupled and has
quadratic convergence. At the end, different I-V characteristics and internal quantities
will be calculated by the TCAD-Atlas simulator.
In this work, an InP/InAs/InGaAs structure was used as shown in Fig. 1. The layer
structure was grown on an InP substrate, and consisted of a 300 nm In0.52AlAs0.48 as a
buffer layer, a channel composed of a 3 nm U.I.D In0.53Ga0.47As/3 nm U.I.D InAs for
higher mobility, a 3 nm U.I.D InP layer acting as an insulating layer (InP is a wide
band gap semiconductor material). After 4 nm thickness of high-k gate oxide Al2O3
layer is deposed; Ohmic contacts were then formed. InAs has one of the best mobilities
of III-V materials. The difference of lattice parameter with InP is about 3.2%. It must be
pseudomorphic and therefore strained; its thickness is limited to about 3 nm in order to
avoid the relaxation of the material and the appearance of dislocations. However, a too
fine thickness is not favorable to obtain a high density of electrons. The goal is to reach
an ultra-thin body structure to minimize leakage currents, obtain a good charge control
in the channel and thus to limit the effects of short channel [12].
Fig. 1. Schematic cross-sectional view of the MOSFET InP/InAs/InGaAs structure

Figure 2 shows the variation of the electron surface density under the gate to the
various layers as a function of the gate voltage. It is clear that the electron surface
density in InAs is being greater than the others layers and the difference between them
get bigger rapidly with increasing the gate voltage. The electron surface density in InAs
layer reached 2.1012 cm−2 at Vg = 0.
5.0E+12
n s _InAs
4.0E+12 n s _InGaAs
n s _InP
n s _InAlAs
3.0E+12
2.0E+12
1.0E+12
0.0E+00
-1 . 5 -1 .0 -0.5 0.0 0.5 1.0
Fig. 2. The electron surface density versus gate voltage for InP/InAs/InGaAs MOSFETs
The resulting drains current Id versus drain-source voltage Vds at different gate
voltages ranging from −1 V to 1 V with a step of 0.5 V at room temperature as
sketched in Fig. 3.
1400 Vgs = -1 V
Vgs = -0.5 V
Vgs = 0 V
1200
Vgs = 0.5 V
Drain Current [mA/mm]
Vgs = 1 V
1000
800
600
400
200
0
0 .0 0 .1 0 .2 0 .3 0 .4 0 .5 0 .6
Drain Voltage [V]
Fig. 3. Drain current (Id ) versus drain voltage-source (Vds ) with the gate length of 50 nm at
different gate voltage Vg
The corresponding Id-Vgs and Gm characteristics of InP/InAs/InGaAs MOSFET

with the gate length of 50 nm at Vds of 0.05 V are shown in Fig. 4. The drain current
Id and Gm(max) reach to 330 mA/mm and 405 mS/mm, respectively.
212 S. Ammi et al.
350 450
400
300 Vds = 0.05 V
Transconductance [mS/mm]
Drain Current [mA/mm] Lg = 50 nm 350
250
300
200 250
150 200
150
100
100
50
50
0 0
-1 . 5 -1 .0 -0 . 5 0 .0 0 .5 1 .0
Gate Voltage [V]
Fig. 4. Id-Vgs characteristics (black curve) and Transconductance (blue curve) versus Vgs
variation with the gate length of 50 nm at drain-source voltage (Vds ¼ 0:05V)
The Drain current (Id ) versus gate- source voltage (Vgs ) characteristic for different
gate lengths at drain-source voltage (Vds ¼ 0:05 V), are shown in Fig. 5. The drain
current shows remarkable improvement due to the length reduction.
350
Vds = 0.05 V
300
250
Lg = 50 nm
Lg = 100 nm
200
Lg = 150 nm
150
100
50
0
-1 .5 -1 .0 - 0. 5 0. 0 0 .5 1 .0
Gate Voltage [V]
Fig. 5. Drain current (Id ) versus gate- source voltage (Vgs ) for different gate lengths at
drainsource voltage (Vds ¼ 0:05V)
Figure 6 shows the transfer characteristic of transconductance versus gate to source

voltage for different gate lengths (Lg ¼ 50 nm, 100 nm and 150 nm) at drain to source
voltage of 0.05 V. It is found that the present devices show high G m,max values of
about 405 mS/mm and good scalability down to 50 nm. The obtained value is rela-
tively low compared to InAs’s high bulk mobility.
450
400 Vds = 0.05 V
Transconductance [mA/mm]
350
300 Lg = 50 nm
Lg = 100 nm
250 Lg = 150 nm
200
150
100
50
0
-1. 5 -1. 0 -0 .5 0. 0 0 .5 1. 0
Gate Voltage [V]
Fig. 6. Transconductance as a function of the gate to source voltage (Vgs ) for three different gate
It is important to test the current characteristics for several Vds . Figure 7 shows
such a verification of characteristics plotted in linear scale (for a better view on the
regime above the threshold). In addition, the short-channel effects are considerably
enhanced when the drain voltage is high.
1400
Lg = 50 nm
1200
1000
Vds =0.05 V
Vds = 1 V
800
600
400
200
0
-1 . 5 -1 . 0 -0 .5 0 .0 0 .5 1. 0
Gate Voltage [V]
Fig. 7. Drain current (Id ) versus gate voltage (Vgs ) for a short-channel InP/InAS/InGaAs MOSFET
Lg = 50 nm at Vds = 0.05 V and Vds = 1 V
Figure 8 represents the transconductance as a function of the gate voltage Vgs for
two different values of drain voltage Vds (0.05 V and 1 V). In this figure, at Vds =
0.05 V, the peak transconductance is Gmmax = 405 mS/mm while it equals to
Gmmax = 1125 mS/mm at Vds = 1 V. It’s clear that the transconductance increases
with increasing the drain voltage.
214 S. Ammi et al.
1200
Lg = 50 nm
1000
Transconductance [mS/mm]
800 Vds =0.05 V

Vds = 1 V
600
400
200
0
-1 .5 -1 .0 -0 .5 0 .0 0 .5 1 .0
Gate Voltage [V]
Fig. 8. Variation in transconductance as a function of gate-source voltage at different

drainsource voltages for an InP/InAS/InGaAs MOSFET Lg ¼ 50nm.
4 Conclusion
We have presented a two-dimensional simulation of an InP/InAs/InGaAs MOSFETs

with using a Silvaco TCAD simulator. Solving the Poisson-Schrödinger system cou-
pled with the drift-diffusion equation by means of this tool allowed us to construct a
compact model and a complete set of I-V characteristics for such a device. Impacts of
gate length variation on device parameters such as threshold voltage, high and low
voltage transconductance, are investigated at room temperature. The InP/InAs/InGaAs
MOSFETs devices with Lg = 50 nm shows a high drain current of 330 mA/mm and
extrinsic peak transconductance of 405 mS/mm are obtained at Vds = 0.05 V.
References
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Electr Electron Mater 11(3):93–105
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vertical replacement-gate MOSFET. AIP Conf Proc 550(1):97–104
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complementary metal-oxide-semiconductor devices. J Appl Phy 117(11):112806.1–
112806.10
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replacement gate (VRG) MOSFET. AIP Conf Proc 1250(1):113–116
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performance of III-V ultrathin-body SOI MOSFETs. IEEE Trans Electron Devices 55
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frequency applications. Superlattices Microstruct 86:1–19
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ultrathin-Body InGaAs-on-Insulator MOSFETs using physics based modeling. IEEE Trans
Electron Devices 59(6):1636–1643
11. SILVACO (2016) ATLAS User’s Manual Device simulation software, Version February
(2016)
12. Fossum JG, Trivedi VP (2013) Fundamentals of ultra-thin-body MOSFETs and Fin-FETs,
1st edn. Cambridge University Press, Cambridge
Theoretical Study of Intersubband Absorption
Coefficient in GaNAsBi/GaAs Quantum
Well Structures
L. Chenini1, A. Aissat1,2(&), and Jean Pierre Vilcot3

1
LASICOM Laboratory, Faculty of Sciences,
University of Blida 1, Blida, Algeria
Chenini_lynda@yahoo.fr, sakre23@yahoo.fr
2
LATSI Laboratory, Faculty of Technology, University Blida 1, Blida, Algeria
3
UMR 8520, Université des Sciences et Technologies de Lille 1,
Avenue Poincaré, CS60069, 59652 Villeneuve d’Ascq, France
Abstract. This work focuses on the study and simulation of a based inter-
subband GaNAsBi/GaAs quantum well structure. The effect of different physical
and optical parameters has been explored. The band gap of GaNAsBi is cal-
culated using the band anti-crossing model. The influence of the composition
and the quantum well width on the intersubband transition within the conduction
band has been examined and discussed. We will discuss in detail the influence of
these structural parameters on the intersubband absorption coefficient. So, two
features have been observed: the evolution of characteristics and the shift of the
corresponding emission wavelength. Our simulation contributes to designing
and fabricating based GaNAsBi/GaAs optoelectronic intersubband devices in
the mid infrared region.
Keywords: Intersubband transition BAC model Absorption coefficient

GaNAsBi/GaAs
1 Introduction
Recently, GaNAsBi-based III-V structures have attracted increasing interest for the
design of optoelectronic devices. Various research works have focused on the inves-
tigation of the electrical and optical properties of the GaNAsBi structures [1–5]. This is
owing to their interesting physical properties such as high temperature-insensitive
bandgaps [6], large fundamental band gap reduction [7] and the strong spin-orbit
splitting [8]. The incorporation of both contents bismuth Bi and nitrogen N into GaAs
resulted in a redshift of bandgap allowing to reach wavelengths suitable for optical fiber
communications. The optical absorption coefficient is one of the important physical
parameters characterizing the spectral range of the optoelectronic devices. There are
few attempts about theoretical and experimental investigations on the absorption
coefficient of GaNAsBi/GaAs quantum well structures [9–11].
To our knowledge, insufficient literature about numerical simulations for studying
the GaNAsBi/GaAs intersubband absorption properties has been found so far.
https://doi.org/10.1007/978-981-13-1405-6_26
Theoretical Study of Intersubband Absorption Coefficient 217
In this work, we theoretically investigated the structural dependence of intersub-

band absorption of GaNAsBi/GaAs quantum Well structures grown on GaAs. With this
aim, it is very important to determine the Bi and N effects on the electronic properties
of strained GaNxAs1−x−yBiy/GaAs, such as band gap energy, conduction band dis-
continuity and the CB offset ratio.
Secondly, the one-dimensional Schrodinger equation is solved in the growth
direction z, we determine the quantified levels energy in GaNxAs1−x−yBiy/GaAs QWs
as well as the intersubband transitions within the conduction band for various Bi, N
amounts and wells widths (Lw) at room temperature. Our calculations have been
concentrated on the fundamental transition e1 − e2, from the first electron subband to
the second one. Finally, we will discuss the influence of these structural parameters on
the intersubband absorption coefficient.
2 Theory
The subband structure of the GaNAsBi/GaAs quantum will be given here by solving
the one dimensional Schrodinger equation following the envelope function approxi-
mation [12]:

h2 @ 2
2 þ V ðzÞ wi ðzÞ ¼ Ei wi ðzÞ ð1Þ
2m @z
Where w is the envelope function, h the Planck’s constant divided by 2p, m* is the
electron effective mass in the conduction band, V ðzÞ is the conduction band potential,
i is the subband index and Ei is the confined energy along the z-direction.
The envelope wave function wi ðzÞ satisfy the boundary conditions at the interfaces
present the continuities of the wave functions wi
(z = 0) and (z = Lw). These conditions
1 dwi
and the currant of probability mi dz .
Knowing the transition rate between two subbands n and m, the absorption coef-
ficient can be calculated and is given by [13]:
pe2 2 X h i
2 2
anm ðhxÞ ¼ j M nm j 2
ð f n f m Þ ðC=2pÞ= ðE n Em
h xÞ þ ð C=2 Þ
nce0 m20 x V
ð2Þ
Where e is the electron charge, n is the refractive index, c is the speed of light, e0 is
the free-space dielectric constant, x is the photon frequency, V is the space volume,
Mnm is the momentum matrix element between subbands n and m, fn and fm are the
Fermi-Dirac distributions of electrons in respective subbands and C is the Lorentzian
linewidth for the scattering relaxation.
By the well-known Vegard’s law, most parameters for the quaternary
GaNxAs1−x−yBiy alloy can be expressed as:
218 L. Chenini et al.
CGaNx As1xy Biy ¼ ð1 x yÞCGaAs þ xCGaN þ yCGaBi ð3Þ
Except for the band gap energy, more calculation details are reported by reference [1].
The parameters used in this work are taken from literature and all the calculations
are done at room temperature [9, 14].
In Fig. 1, we have illustrated the room temperature evolution of the band gap energy
for GaNxAs1−x−yBiy/GaAs versus the alloy compositions x(N) and y(Bi). The band gap
energy decreases as the nitrogen and the bismuth content increases. The band gap
reduction is mainly due to the decrease of the conduction band minimum due to the
conduction band anti-crossing interaction and to the increase of valence band maxi-
mum due to the valence band anti-crossing interaction [1, 15].
Fig. 1. Variation of the band gap energy of GaNAsBi/GaAs at room temperature as a function
of N and Bi compositions.
Figure 2, presents the variation at room temperature of the conduction band offset
DEC in minimum C of GaNAsBi/GaAs as a function of N and Bi compositions. As
shown in this figure, with increasing the N and Bi mole fractions a still larger DEC may
be achieved for the GaNAsBi/GaAs quantum well structures.
The corresponding variation of the conduction band offset ratio Qc of the
GaNAsBi/GaAs at room temperature versus nitrogen and bismuth concentration is
presented in Fig. 3. The introduction of nitrogen in the host material increases the Qc
while the increasing of bismuth mole fraction has an effect to decrease the Qc.
Fig. 2. Conduction band offset DEC in minimum C of GaNAsBi/GaAs at room temperature as a

function of N and Bi compositions.
Fig. 3. Variation of the conduction band offset ratio of GaNAsBi/GaAs at room temperature as a
function of N and Bi compositions.
In Figs. 4a, b and c, we plotted the electron confinement-energies in the C valley

for the GaNAsBi/GaAs quantum well structure as a function of well width for different
fractions of nitrogen and bismuth. It is clear that the quantum confinement energies
increase with reducing the well width. Also, we can see that the level number increases
with increasing the well width. These results show that the energy quantization
increases with increasing both nitrogen and bismuth concentrations in the well.
Fig. 4. Electron confinement-energies levels in a C valley for the: (a) GaN0.01As0.98Bi0.01/GaAs,

(b) GaN0.03As0.96Bi0.01/GaAs and (c) GaN0.03As0.92Bi0.05/GaAs quantum well structure as a
function of well width at T = 300 K.
Figure 4 also reveals that increasing the nitrogen concentration increase the level
number, this can be explained by the fact that the incorporation of a few percent of
nitrogen induces a large down-ward shift of the conduction band edge which means
that the nitrogen influences mainly the conduction band while the bismuth has no effect
on the level number.
Figure 5, depicts the variation of the absorption coefficient as a function of the
wavelength and several nitrogen mole fractions for the 70 Å GaNxAs0.97−xBi0.03/GaAs
quantum wells at room temperature. The stronger peak is related to the transitions
between confined states from the first electron subband to second one. It can be found
that the intersubbands absorption coefficient decreases when nitrogen concentration
increases. Figure 5 clearly shows that the range wavelength of emission shifts to longer
wavelengths.
Fig. 5. Variation of the absorption coefficient of the GaNxAs0.97−xBi0.03/GaAs structure as a

function of wavelength for various nitrogen concentrations.
In Fig. 6 we show the variation of the absorption coefficient as a function of

wavelength and several bismuth mole fractions for the GaN0.01As0.99−yBiy/GaAs
structure with Lw= 60 Å at room temperature. The absorption peaks increases when the
values of the Bi increases and the range wavelength of emission shifts to longer
wavelengths.
In the Fig. 7, we investigate the effect of well width on the intersubband absorption
coefficient. The absorption spectra for the GaN0.025As0.945Bi0.03//GaAs for well widths
from 40 to 80 Å at room temperature are plotted. It is noted that the intersubband
absorption spectrum is shifted upward as the quantum well increases. It is also noticed
that the corresponding wavelength is shifted towards high values and the spectral
linewidth became wider.
Fig. 6. Variation of the absorption coefficient of the GaN0.01As0.99−yBiy/GaAs structure as a

function of wavelength for various bismuth concentrations.
Fig. 7. Variation of the absorption coefficient of the GaN0.025As0.945Bi0.03/GaAs structure as a

function of wavelength for various well width values.
To our knowledge, there are no experimental results of a similar study, which leads
us to compare our theoretical results with other materials taken from literatures
[16–19]. This comparison is illustrated in Fig. 8 and it shows that the GaNAsBi/GaAs
can be a good candidate as a novel material system for mid wavelength infrared
optoelectronic intersubband devices.
Fig. 8. Comparison of the experimental results for different materials taken from literature
[16–19] with our theoretical results of the intersubband GaN0.025As0.945Bi0.03/GaAs structure.
4 Conclusion
In conclusion, we first studied the subband structure of the GaNAsBi/GaAs quantum

well structure. The electronic structure of such a system has been calculated by solving
the one dimensional Schrödinger equation. We have discussed the influence of the
nitrogen N, the bismuth Bi contents and the well width on the confinement properties
of this structure. Next, we studied the effect of these parameters on the intersubband
absorption coefficient at room temperature. As a result, it was found that, an increasing
of both nitrogen and bismuth mole fractions leads to a decrease of the band gap energy,
an increase of the conduction band offset and the energy quantization. Another feature
which is also shown in this study is that the intersubband absorption coefficient is
extremely sensitive to the quantum well width and the contents. It is found that the
intersubbands optical absorption decreases when N concentration increases and the
range wavelength of emission shifts to longer wavelengths while it increases with
increasing the Bi concentration leading to a shift of the emission to longer wavelengths.
The absorption peak increases with increasing the well width and the range wavelength
of emission shifts to longer wavelengths. The spectral linewidth became wider.
Overall, we conclude that GaNAsBi/GaAs quaternary alloys based on the inter-
subband transitions open up new opportunities for applications in many fields of
optoelectronics in the mid-infrared spectral region as an important mid IR photode-
tectors, high-efficiency multijunction solar cells, and so on. However, the intersubband
properties of multiple GaNAsBi/GaAs quantum wells are yet to be studied. We are
actually working for this purpose.
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Oscillation Detection Using PMU Technology
in the North Africa Power System
Mohammed Tsebia(&) and Hamid Bentarzi
Signals and Systems Laboratory, Institute of Electrical and Electronic

Engineering (IGEE), University M’hamed Bougara of Boumerdes,
Boumerdès, Algeria
mohtsebia@gmail.com, lss@univ-boumerdes.dz
Abstract. Monitoring of the electrical power system has an importance in its

reliability. In order to ensure the best monitoring, the system of measure and
communication must be precise and in real time. The integration of PMU
technology in the electrical power system improves reliability monitoring for the
local and large area power system. In this paper, we have used PMU technology
in the North African electric power system.
Keywords: PMU Power system Oscillation
1 North Africa Power System
The interconnected network 400 kV in North African power system connects between
Algeria (Chefia)/Tunisia (Jendouba), Algeria (HassiAmeur)/Morocco (Bourdim) and
also Morocco (Melloussa)/Spain (Puerto of the Cruz).
The blackout of 2003 in Algeria and the blackout of 2014 in Tunisia cause eco-
nomic losses, and also general disturbances on the power system. And the extension of
the interconnected networks leads to a difficulty to monitor and control the oscillations
produced in various parts of the power system, which have an anxious effect on the
system stability and the security operation [8].
The development of advanced Wide Area Monitoring Systems (WAMS) based on
synchro-phasor technology, the using of phasor measurement units (PMUs) provides
key technologies for monitoring, state estimation, system protection. Phasor data are
also essential for forensic analysis of disturbances and blackouts on the grid. Those
data can be compiled quickly and analyzed to determine the sequence of events and
what caused the disturbance [4, 12].
The basic element of the measurement system is the PMU; this technology provides
a precision in the measure of the phase and the frequency. In this work we used the
PMU for the detection of weak oscillations in the inter-area power system.

https://doi.org/10.1007/978-981-13-1405-6_27
226 M. Tsebia and H. Bentarzi
2 PMU Technology
PMU technology provides phasor information (both magnitude and phase angle) about
current and voltage in real time [6, 10]. Phasor Measurement Units (PMUs) are the
most accurate and advanced synchronized phasor measurement instrument Fig. 1
shows a functional block diagram of a typical PMU. The GPS receiver provides the 1
Pulse-Per-Second (PPS) signals, and a time tag consisting of the year, day, hour,
minute, and second [1].
Fig. 1. Functional block diagram of the PMU
Effective utilization of this technology is very useful for mitigating blackouts and
monitoring the real time behavior of the power system. With the advancement of the
technology, the microprocessor based instruments such as protective Relays and Dis-
turbance Fault Recorders (DFRs) may incorporate the PMU module along with other
existing functionalities as an extended feature.
The synchronized phasor measurement technology is relatively new, and conse-
quently several research groups around the world are actively developing applications
using this technology. It seems clearly that many of these applications can be conve-
niently grouped as follows [9, 10]:
Power System Real Time Monitoring, advanced network protection and advanced
control schemes.
3 Principe of PMU
A pure sinusoidal waveform can be represented by a unique complex number known as

a phasor. Consider a sinusoidal signal [1, 2, 5].
xðtÞ ¼ Xm cosðxt þ uÞ ð1Þ
Xm : the peak value of the sinusoidal voltage, x ¼ 2pf: the frequency of the voltage
in radians per second, f: the frequency in Hz, u: Phase angle in radians with respect to
the reference.
Oscillation Detection Using PMU Technology in the North Africa Power System 227
The phasor representation of this sinusoidal signal is given by:
Xm Xm
xðtÞ ¼ pffiffiffi eju ¼ pffiffiffi ðcos u þ j sin uÞ ð2Þ
2 2
The sinusoidal signal and its phasor representation given by Eqs. (1) and (2) are
illustrated in Fig. 2.
Fig. 2. Sinusoidal signal phasor representation
The determination of the phasor representation of an input signal is to use data

samples taken from the waveform, and apply the Discrete Fourier Transform (DFT) to
compute the phasor. Since sampled data are used to represent the input signal, it is
essential that antialiasing filters be applied to the signal before data samples are taken
pffiffi P
jk2p
[13]. The phasor representation is given by: X ¼ N2 N1 k¼0 Xk e
N.
4 Oscillation in the Interconnected Power System
Inter-Area oscillations result in from system events coupled with a poorly damped
electric power system. The oscillations are observed in the large system with groups of
generators, or generating plants connected by relatively weak tie lines. The low fre-
quency modes (0.1 to 0.8 Hz) are found to involve groups of generators, or generating
plants, on one side of the tie oscillating against groups of generators on the other side of
the tie. These oscillations are undesirable as they result in suboptimal power flows and
inefficient operation of the grid. The stability of these oscillations is of vital concern.
Although Power System Stabilizers exist on many generators, there effect is only
on the local area and do not effectively damp out inter-area oscillations. It can be shown
that the inter-area oscillations can be detected through the analysis of phasor mea-
surement units (PMU) located around the system [3].
Oscillations in power systems are classified by the system components that they
will be affected [1, 11]:
Intra plant mode oscillations: Machines on the same power generation site oscillate
against each other at 2.0 to 3.0 Hz.
Local plant mode oscillations: In local mode, one generator swings against the rest of
the system at 1.0 to 2.0 Hz.
Inter area mode oscillations: It’s observed over a large part of the network. It involves
two coherent groups of generators swinging against each other at 1 Hz or less.
In this paper, we have implanted this advanced technology (PMUs) with the help of
MATLAB simulation. We design this PMU SIMULINK model and then we have
tested this model in the 04 areas power system. Such application can be used for the
protection, monitoring and control of wide power system.
5 Simulation of North African Power System
The system to simulate has five areas and 06 PMUs, each interconnection line we have
two PMUs, in order to detect the oscillation and exploit the data for the monitoring [7].
We studied 02 cases, the first case is to simulate a fault on the line between Algeria area
and morocco area, the 2nd case is to simulate a disconnection and connection between
Algeria area and morocco area (Figs. 3, 4, 5, 6 and 7).
Fig. 3. North African power system
5.1 First Case

In this case, the fault simulated at the interval time 3 s to3 + 5/60 s.
5.2 Second Case

The disconnection simulated between Algeria area and Morocco area at the time 2.5 s
and the connection at the time 5 s.
Fig. 4. Frequency result in fault case between 3 s to 3 + 5/60 s
Fig. 5. Phase result in fault case between 3 s to 3 + 5/60 s (–180° to 180°)
Fig. 6. Frequency result in case of disconnection and connection line inter-area

Fig. 7. Phase result in case of disconnection and connection line inter-area
6 Discussion
The simulation results for the two cases show the advantage of using the PMU tech-
nology for oscillation detection and also for monitoring. The values measured by PMU
will be used for the decision of which type of control to apply, either primary control of
the frequency, or secondary control of the frequency or it’s the load shedding in the
case of a major derivation. The integration of the PMU in the Africa power system
allowed the widening of the network towards the African and European power system.
7 Conclusion
Installing PMUs in the interconnection power system contributes in the monitoring grid
reliability and oscillation detection.
The data provides by PMU improve the monitoring and help the control and
protection. The interconnections in the North African and to Europe require using the
PMU technology to ensure the synchronization and measures in real time.
The results obtained in the simulations show the importance of using PMU tech-
nology in the North African power system.
References
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system. Ph. D thesis, The University of Manchester
2. Hu F (2016) Real-time voltage stability monitoring and control for load areas: a hybrid
approach. Thesis, University of Tennessee, Knoxville
3. Basso T (2014) IEEE 1547 and 2030 standards for distributed energy resources
interconnection and interoperability with the electricity grid, NRE Laboratory
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requirements for power system protection, control, and monitoring, IEEE Std C37.244
5. Upadhyaya V, Mathur S, Kumar P, Saxena S (2015) Synchro-phasor technology: PMU
applications in smart grids (IARJSET) (NCREE-2015), vol. 2, Special Issue 1 May 2015
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stability. In: The international conference on advanced power system automation and
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of Engineering and Technology
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Wiley, New York
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power system networks incorporated with FACTS controllers. Int J Eng Sci Technol 3
(3):64–82
Degradation of Peach Using an Electronic Nose
for Food Quality Control
Nihad Benabdellah1(&), Khalid Hachami2, Mohammed Bourhaleb2,

M’barek Nasri1, and Naima Benazzi1
1
Laboratory of Electrical Engineering and Maintenance,
Higher School of Technology, Oujda, Morocco
Benabdellah.nihad@gmail.com
2
Laboratory of Electronic Systems, Information and Images, National School
of Applied Sciences, Oujda, Morocco
Abstract. Microorganisms are contained in all foods. These foods will be

degraded when the number of microorganisms became very large which pro-
duce the bad odor. The focus in this paper will be on the detection of bad odor in
rotten peach using an electronic nose for food quality control. Duration and
gazes emitted by rotten peach are determined by the pattern recognition methods
PCA (Principal Components Analysis) for classification and DFA (Discriminate
factorial analysis) for dating.
Keywords: Electronic nose Rotten peach PCA DFA
1 Introduction
Peaches are sought by consumers around the world for their good taste and high
nutritional value [1]. This fruit are climacteric and have a short shelf life especially at
ambient temperature and represents a serious constraint for efficient handling and
transportation [2]. The storage temperature of peaches is susceptible at 5 °C [3].
However, degradation of peaches is because of bad storage conditions. The aim of this
paper is to detect spoiled peach and provide information about its degradation level
using an electronic nose. An electronic nose system undertakes its task in two steps:
collecting and processing signals issued from an array of gas sensors, to output a
footprint of the odor, and then pattern recognition, when this footprint is analyzed
[4, 5]. We have different application domain of electronic nose particular, in medicine,
agriculture, Environment, perfumes, drinks and the food quality control which is our
work topic. Recently a lot of researchers use an electronic nose for fruits: Either to
monitor their ripening stage during shelf-life, to recognize and perceive the fruits odor,
to detect rotten fruits [6, 7]. In this paper an electronic nose is used to detect rotten
peach. In second part, the methodology of the work is presented. Finally, degradation
of peach is studied during 13 days using PCA method and DFA method.

https://doi.org/10.1007/978-981-13-1405-6_28
Degradation of Peach Using an Electronic Nose for Food Quality Control 233
2 The Proposed Electronic Nose for Rotten Food
The proposed electronic nose system consists in two parts: hardware development
where the electronic nose is designed and tested. In the second part we focus on
software development where the pattern recognition system is tested [8, 9] (see Fig. 1).
Fig. 1. Electronic circuit diagram for the electronic nose.
3 Methodology
Metal oxide based gas sensors TGS and MQ types are used. Humidity and temperature
are measured by DHT11 digital sensor for system ambience control. All these sensors
provide output signals which are processed by an ARDUINO card. Each sensor is fed
at the input by Vc = 5 V in order to measure the variation of conductance. These
sensors are heated by integrated resistor under a VH = 5 V voltage. In the presence of
detectable gas, sensor conductivity increases. These changes in conductivity are con-
verted to a voltage signal by the measuring circuits [10] (see Fig. 2).
Fig. 2. Diagram of detector circuit.

234 N. Benabdellah et al.
The different samples are treated sequentially by the odor detection system and the
results are memorized by the recording system. The collected data are processed by
software in the pattern recognition system.
4 The Degradation of Peach
In this experiment, peach is cut in several identical pieces of 20 g each and stored at 5 °
C. Before every experiment, samples of peach are taken in the fridge and placed in odor
handling system. When equilibrium is reached, the volatile compounds are collected
and conveyed to the detection system by nitrogen gas (see Fig. 3). At the output of
detection system we have the response of each gas sensor as a function of time,
temperature and humidity.
Fig. 3. Odor handling system diagram
4.1 Classification by PCA Method

The variables extracted from a typical temporal response of the used gas sensors (see
Fig. 4): V0 (0 ! 10 min) relates the mean value of the output voltage of each sensor in
the first 10 min. P (10 min ! 20 min) is the dynamic slope of the response voltage
curve in the time interval [10 min ! 20 min]. Vs (55 min ! 60 min) is the average
stabilized output voltage measured during the last 5 min. A represents the area of the
surface (calculated by the trapezoidal method).
Fig. 4. Representation of the parameters extracted from the sensor temporal response.
The four variables are used by PCA method giving a graphical representation of the
separation into classes (groups). The choice of the previous four variables, showing a
correlation between the measures corresponding to a different peach storage periods
(see Fig. 5).
Fig. 5. Correlation circle between variables and factors for peach.
An overlap between the corresponding measurements (see Fig. 6) is observed in

day 1(D1) (group 1 fresh peach), also for 3 day (D3) (group 2 starting to rot) and 5
(D5), 7(D7), 9(D9), 11(D11) and 13 (D13) days (group 3 rotten peach).
Fig. 6. Results of PCA method for peach degradation during 13 days.

The Principal Component Analysis gives a graphical representation of the data in

classes but doesn’t give a decision rule to identify unknown samples, which is what
DFA allows us to do.
4.2 Identification Using DFA Method

The DFA method can be used to identify unknown samples of peach (Duration of
degradation) not belonging to the database but near to the measurements acquired in
the learning phase. The three groups are well separated, and the observations within the
same class are quite grouped together. Indeed, the grouping of classes is actually quite
distinct around their centers of gravity with 100% success of classification (see Fig. 7).
C1 (D1), C2 (D3) and C3 (D5, D7, D9, D11 and D13).
Fig. 7. Results of AFD method for peach degradation during 13 days.
Figure 8 compares the unknown samples with the data base. Degradation durations
of the samples marked test1…test3 are unknown. Class1…class3 are results of known
samples from the data base.
Fig. 8. Results of AFD method for unknown samples.

Distance between unknown samples and class of degradation are determined by the
DFA method. Test1 (Degradation duration: Day 7) Class 3 “Rotten”, Test2 (Day 1)
Class 1 “Fresh” and Test3 (Day 3) Class 2 “Begins to rot”.
5 Conclusion
In this project, our objective is to determinate degradation of peach using an electronic

nose. The proposed design of electronic nose is a simple system with gas sensor and a
digital sensor used to control humidity and temperature. A thorough database is built
for better results. Classification and identification of these odors are realized by PCA
and DFA methods. PCA it used to obtain a sufficient summary of the information
contained in the initial table (database) and also gives a graphical representation of the
data in classes but doesn’t give a decision rule allowing to identify unknown samples.
DFA is used to identify odor by calculating the distance between the unknown samples
and class.
References
1. Yu L, Shao X, Wei Y, Xu F, Wang H (2017) Sucrose degradation is regulated by 1-
methycyclopropene treatment and is related to chilling tolerance in two peach cultivars.
Postharvest Biol Technol 124:25–34
2. Cantín CM, Crisosto CH, Ogundiwin EA, Gradziel T, Torrents J, Moreno MA, Gogorcena Y
(2010) Chilling injury susceptibility in an intra-specific peach [Prunus persica (L.) Batsch]
progeny. Postharvest Biol Technol 58:79–87
3. Wang Z, Cao J, Jiang W (2016) Changes in sugar metabolism caused by exogenous oxalic
acid related to chilling tolerance of apricot fruit. Postharvest Biol Technol 114:10–16
4. Che Soh A, Chow KK, Mohammad Yusuf UK, Ishak AJ, Hassan MK, Khamis S (2014)
Development of neural network-based electronic nose for herbs recognition. Int J Smart Sens
Intell Syst 7(2)
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gas sensor array as applied to classification of black tea. Int J Smart Sens Intell Syst 2(1):1–
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destructive tool to characterise peach cultivars and to monitor their ripening stage during
shelf-life. Postharvest Biol Technol 47(2):181–188
7. Jesús B, Eduard L (2016) Electronic noses for monitoring the quality of fruit. In: Electronic
noses and tongues in food science. Elsevier, Spain
8. Benabdellah N, Bourhaleb M, M’barak N, Benazzi N, Dahbi S (2017) The detection of smell
in spoiled meat by TGS822 gas sensor for an electronic nose used in rotten food. In: Europe
Middle East and North Africa conference on technology and security to support learning
2017, EMENA-TSSL, Saïdia, vol 520. Springer, Cham, pp 279–286. https://doi.org/10.
1007/978-3-319-46568-5_29
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and humidity sensors for an electronic nose used in rotten food. In: Proceedings of
international conference on electrical and information technologies, ICEIT, Tangiers,
Morocco. IEEE. https://doi.org/10.1109/EITech.2016.7519652
10. Benabdellah N, Hachami K, Bourhaleb M, Benazzi N (2017) Identification of two types of
rotten meat using an electronic nose for food quality control. Int J Smart Sens Intell Syst 10
(3):673–695
Electro-Thermal Model of a Silicon
Carbide Power MOSFET
K. Frifita1,2 , N. K. M’Sirdi1,2(B) , E. Baghaz1,2 , A. Naamane1,2 ,

and M. Boussak1,2
1
Aix Marseille Univ, Universite de Toulon, CNRS, LIS, Marseille, France
2
SASV group of LIS UMR CNRS 7020, Marseille, France
nacer.msirdi@univ-amu.fr
Abstract. This paper proposes an electro thermal model for power sili-
con carbide (SiC) MOSFET based on the EKV MOSFET structure. The
thermal dissipation is modeled as an RC Network. The model is devel-
oped for the SiC MOSFET C2M0025120D CREE (1200 V, 90 A) and
integrated in the Psim, Saber and Pspice simulation software libraries
for prototyping. The simulation curves are compared with the manufac-
turers’ data-sheet.
Keywords: SiC MOSFET · Electro-thermal model · Psim · Saber

Pspice model
1 Introduction
The use of a silicon carbide (SiC) for industrial manufacturing power compo-
nents such as the MOSFET makes it possible to have high performance which
satisfy advanced application problems (time response, environmental stresses,
heating, power loss reduced). These constraints affect the electrical behavior of
the electronic components by the coupling between the electrical and the ther-
mal behaviors. In high power applications, Silicon (Si) circuits are more and
more replaced by SiC MOSFET devices [4]. A first serie of such devices has
been proposed by CREE, like the SiC MOSFET C2M0025120D (1200 V, 90 A)
[1]. Simulations are very important in electric systems design. Therefore a good
suitable simulation models is required in order to show the faisability of the
complex systems [8,11].
In this paper, we propose an electro-thermal model based on the EKV MOS-
FET scheme [9,10] for a SiC MOSFET C2M0025120D (1200 V, 90 A) proposed
by CREE. The model is implemented in Psim, Saber and Pspice softwares to
allow easy development of applications. For validation, the simulation curves are
compared to the manufacturers’ experimental data (curves of data sheets). The
results show that the proposed model is more precise compared to the literature
existing models.

https://doi.org/10.1007/978-981-13-1405-6_29
240 K. Frifita et al.
2 SiC MOSFET Electrothermal Model

2.1 Nomenclature
VS , VG and VD Source, Gate and Drain Voltages

LD Drain inductance
LG Gate inductance
LS Source inductance
RG Gate Resistance
CGS Gate-Source Capacitor
CDS Drain-Source Capacitor
CGD Gate-Drain Capacitor
RDSon On state MOSFET resistance
Vp Pinch voltage
UT Thermodynamic voltage
gm MOSFET Transconductance
Ks Slope Factor of drain source current variation
λ Parameter for channel length modulation
α and n Parameters of the triode region
Vth Transistor gate Threshold Voltage
Tc Case temperature
PP Power loss dissipated
Tj MOSFET Jonction temperature
F The MOSFET commutation frequency
Δt MOSFET commutation period
2.2 Electric Model

The electrical model of a SiC MOSFET (25 mΩ, 1200 V and 90 A) proposed
here is based on the EKV’s one. The power losses are analysed to estimate
and take into account their effect as shown in the equivalent scheme of Fig. 1.
VS , VG et VD are respectively the Source, Gate and Drain voltages. It includes
3 parasitic inductances (connected in series with the transistor electrodes LG ,
LD , LS ) to describe the behaviour at high frequencies and the commutation
losses. The resistance RG estimates the gate losses. These inductances and the
resistances are used to estimate the power losses during the switching [2,3,5].
The different variables and parameters (VDS , IDS , Rdson , . . .) of the model vary
also in function of the junction temperature [7].
In this model, we used parameters from the datasheet and the others from
an optimization (comparison) that was performed by Saber, Psim and PSpice.
Electro-Thermal Model of a Silicon Carbide Power MOSFET 241
Fig. 1. Electric model of the SiC MOSFET (C2M0080120D) in Saber Software
Figure 1 shows the EKV deduced scheme for a SiC MOFET developed under
the softwares. The EKV model is based on mathematical expressions which
accounts for a MOSFET operation in three regions. It is composed of two current
sources G1 and G2. For interpolation between these regions of operation, a linear
combination of logarithmic functions is used by EKV.
The specific current is Is0 = 2.Uth
2
.Ks .gm . The Drain-Source current (IDS ),
in the EKV MOSFET model [2,5], is defined by Eq. 4, as the difference between
the direct IG1 (2) and the reverse one IG2 (3) [6].
IM = IG1 (Vp − VS ) − IG2 (Vp − VD ) (1)

2
Vp − Vs
IG1 = Is .gm . Ln(1 + exp ) (2)
2VDS
2
Vp − VD
IG2 = Is .f t. Ln(1 − exp ) (3)
2
Vp −Vs Vp −VD
IM =2λUth
2
Ks gm ((Ln (1 + e 2VDS ))2 − f t(Ln (1 − e 2 ))) (4)
−Uth )
where gm is the transconductance, Ks is the slope factor, Vp = (VGK s
the
pinch voltage with Uth the thermodynamic reference voltage and f t the internal
thermal voltage. This model of Fig. 1 can then be used for simulation and pro-
totyping of any application using this SiC MOSFET into softwares like Saber,
Pspice, Psim (see Sect. 3) or Matlab/Simulink (see [6]). The electric equivalent
scheme can be completed by electric equations to allow any kind of its numerical
simulation.
In a second step, we can consider and include, to this model, the parameters
temperature dependance. The accuracy of the proposed model will be enhanced
by modeling of the influence of temperature on electrical parameters.
The variation of the junction temperature, leads to parameters variation
which can be described as follows, where ϑ =-8.5 mV /◦ K. The variations included
in the previous model show that the model is Non Linear and Time Varying
(NLTV).
VGS(th) (TJ ) = VGS(th) (300 ◦ C) + ϑ.(Tj − 300 ◦ C)

Tj −1.5
gm (Tj ) = gm(300 ◦ C) ( 300 ) (5)
α (Tj−300 )
RDSON (Tj ) = RDSON (300 ◦ C) (1 + 100 )
It remains now to describe the temperature variations by a dynamic model
which takes into account the MOSFET operation and convert the power losses
in heating the component. Thermal dynamic behaviour is obtained using the
heat equation and the finite element method.
2.3 Thermal Model
The electro- thermal coupling between the electrical parts and the thermal parts
is produced by the power losses PP dissipated during normal operation. This
power can be estimated by the following equations [2,3]:
PP = RDSon (T ).i2DS + (0.25.Δt.F.VDS .iDS ) (6)
We have used the Finite Element Method (FEM) based on an RC Cauer

network. As also used in Pspice simulation, we have considered 14 cells of (R, C)
equivalent components (Fig. 2 [3]. It gives a very good global approximation of
the thermal behaviour going from the MOSFET junction temperature Tj to the
ambiant air temperature Ta (assumed to 25 °C), through the case (Tc ) (package
and the thermal dissipation radiator, Tr ) (see Fig. 2).
Fig. 2. Thermal model of SiC MOSFET
The RC layers describing the heat flow has as input power loss to be dissi-
pated as an equivalent current source and as second output the ambiant tem-
perature Ta represented by voltage source (see Fig. 2). The output of interest is
of course the junction temperature Tj . A Va = 25 V continuous voltage source
correspond to the ambiant air temperature Ta = 25 ◦ C. The flow of the dissi-
pated power losses is represented by an input current source (PP ). The junction
temperature Tj is imposed trough the thermal impedance ZT H between the
MOSFET junction and the ambiant air and the dissipated power losses (PP ) by

14
the heat transfer equation ZT H = Ri ∗ (1 − exp R−t
i Ci
)
i=1
Tj = Ta + PP ∗ ZT H (7)
The thermal MOSFET behaviour, if we consider the thermal state vetor

T
XT = [Tj , T1 , ..., T14 , Tr ] can be expressed as
⎧
⎪
⎪ T1 = Tj − R1 PP − C1 dT J
⎪
⎪ dt

⎪
⎪
⎪
⎪ T2 = T1 − R2 PP − C1 dT J
− C dT1
⎪
⎪ dt 2 dt

⎪
⎪
⎪
⎪ T3 = T2 − R3 PP − C1 dT J
− C dT1
− C dT2
⎪
⎪ dt 2 dt 3 dt

⎪
⎨
T4 = T3 − R4 PP − C1 dT J
dt
− C 2
dT1
dt
− C 3
dT2
dt
− C 4
dT3
dt (8)
⎪
⎪ : : : : : : : : : : : : : : : : :
⎪
⎪
⎪
⎪ dT −1
⎪
⎪ TN = TN −1 − RN PP − C1 dT J
− C2 dT 1
− ... − CN N
⎪
⎪ dt dt dt

⎪
⎪ dTJ dTN
⎪
⎪ Tr = TN +1 = TN − RR P P − C1 − ... − CN
⎪
⎪ dt dt

⎪
⎩ Ta = Tr − R PP − C1 dTJ − ... − CN +1 dTN +1 − C dTr
dt dt dt
3 Simulations Tests and Model Validation

The developed model has been implemented in Saber, Pspice and Psim softwares
and compared to the experimental curves presented by the SiC MOSFET data
sheet for its validation.
3.1 Saber Simulation Model

The proposed model is then implemented under Saber software (see Fig. 1). The
use of Power MOSFET Tool and the Diode Tool proposed in Saber allow us to
extract the SiC MOSFET parameters and get curves using fitting to optimize
the estimation errors. The verification of the output characteristic IDS = f (VGS )
Fig. 3. ID current versus Vds

with the Saber optimized simulation model, for Tj = 25 ◦ C and Tj = 150 ◦ C as

proposed and developed in this work, is shown in Fig. 3.
The Fig. 3 compares the variation of the current IDS as a function of the
voltage VGS for a voltage VDS = 20 V and a junction temperature of 25 °C (left
curve) and 150 °C (right) to the curves got from the datasheet (dotted line).
Fig. 4. Id current in function of VDS for different VGS values
The Fig. 4 compares the variations of the current IDS versus VDS for different
VGS values and the same junction temperature of 25 °C (left curve) and 150 °C
(right) to the curves got from the datasheet (dotted line). Among this experiment
we got respectively for 25 °C and 150 °C, a threshold voltage Vth = 3.808 V
and Vth = 2.313 V, Drain resistance Rd = 0.1 Ω and Rd = 0.0942 Ω, Source
resistance Rs = 0.01033 Ω and Rs = 0.0173 Ω and Gate resistance Rg = 4.6 Ω
and Rg = 4.6 Ω (respectively).
Fig. 5. I-V Charasteristic for Tj = 25 ◦ C and Tj = 150 ◦ C
The current versus output voltage (I-V) characteristics of the integrated

diode has also been compared, using Diode Tools of Saber software. Results
are represented in Fig. 5. The capacitance curves of datasheet have also been
fitted to get the MOSFET model parameters. For two VDS values V1 and V2
we got the parameters values summarized in Fig. 1.
Table 1. MOSFET estimated Parameters
Parameters Significance Values

Crrs0 Max Reverse transfert Capacitance 780pF
COSS0 Maximal output capacitance 1350pF
Ciss0 Maximal input capacitance 1775pF
V1 VD S = V1 1V
V2 VD S = V2 16,3 V
Crss1 Reverse capacitance at VDS =V1 247pF
COss1 Output capcitance at VDS = V1 767,5pF
Crss2 Reverse capacitance at VDS =V2 25,2pF
COSS2 Output capacitance at VDS = V2 363,1pF
A comparison of the Gate charge, Gate threshold voltage, ON-state resistance

and transconductance are given in Fig. 6. We then got:
– A very good agreement between the simulations represented by continuous
lines and those of datasheet represented by a points,
– For gate voltages VGS lower than 3.8 V, the MOSFET is switched OFF
because the condition VGS is not greater than or equal to that transistor
threshold Vth . Beyond 3.8 V, the MOSFET starts to operate and the current
IDS gradually increases.
Fig. 6. Comparative results and the Psim model
3.2 PSpice simulation Model Validation

Several simulation results obtained, using the model implemented under the
Pspice software, were compared with those of the datasheet of the CREE’s
MOSFET [3]. The model scheme is given in Fig. 7 with the parameters esti-
mated (under Pspice tests) from datasheet. We can note that the resistances Rd
and Rs are small and have been neglected.
Fig. 7. Pspice Sic MOSFET C2M0080120D and Parameters
The Fig. 8 below show good behaviour of the electrothermal model proposed
in this work. Figure 8 represents the variation of the Drain-Source current (IDS )
as a function of the voltage at the output of the SiCMOSFET (VDS ) for different
Grid-Source voltage values (VGS ) and a temperature of 25 °C. It appears that
there is a very good agreement between the simulation results, represented by
lines, and those of datasheet, represented by poinctual bars.
Fig. 8. Variation of IDS current versus VDS for different values of VGS and
Drain-Source current Ids versus VGS
Figure 8 the variation of the current IDS as a function of the voltage VGS
for a voltage VDS = 20 V and a temperature of 25 °C. We can note a very
good agreement between the simulation results represented by continuous lines
and those of detasheet represented by dotted bars. For voltages VGS < 4 V ,
the MOSFET is not controlled because the condition VGS < Vth , the tresh-
old condition is not verified. Beyond 4 V, the transistor start to operate and
the current IDS gradually increases. Figure 9 show the thermal effect on the
Drain-Source resistance (RDSon ) compared to the datasheet characteristic, for
IDS = 50 A and VGS = 20 V. It appears that the electro thermal model devel-
oped in this work has a high accuracy and is close to actual operating (datasheet)
up to very high temperatures (150 °C).
Fig. 9. RDSon Variations in function of the junction temperature
In summary, the electric model developed, under Pspice, during this work
has considerable precision. This allows us subsequently to use this simulation
model in the power electronics to clearly show these performance and advantages
over silicon transistors. Although the CREE model fairly accurately represents
the evolution of RDSon in function of the junction temperature, it has some
discrepancy with the datasheet. However, with our simulation model, it is easy
to see a better superposition between the two curves by adjusting the coefficients
mentioned in Table 1.
3.3 Psim Simulation Model Validation

The proposed model is implemented in Psim software as described by the Fig. 6.
The improvements in the simulation model need additional adjustments of the
device characteristics and computation parameters such as variable simulation
step size which is used for the convergence rapidity. For our SiC MOSFET, we
use the parameters that have been extracted from the data sheet (see Table 7).
The Drain and Source resistances have been neglected. The Fig. 10 shows the
variation of IDS in function of the drain-source voltage VDS . It compares the
Drain-Source current (IDS ) versus the MOSFET output voltage (VDS ) for sev-
eral Gate-Source voltages (VGS ) under a temperature of 25 °C. The simulated
characteristics are then compared to the data sheet values and curves. Simula-
tion results (continuous lines) are in good agreement with the data sheet values
(dots).
The Fig. 10 shows the variation of IDS in function of the Gate-Source voltage
VGS for the junction temperatures of 25 °C and 150 °V. We can note that for
VGS values less than 4 V, the MOSFET is not controlled because the threshold
voltage Vth is not reached. When the MOSFET start operation VGS > Vth > 4 V ,
Fig. 10. IDS versus VDS for different VGS values and IDS versus VGS for Tj 25 °C and
150 °C
and then the current IDS increases gradually with VGS . The results are in good
agreement.
Fig. 11. Variation of RDSon versus the temperature Tj
The Fig. 11 shows the simulated and the actual Drain-Source resistance
(RDSon ) in function of the temperature variation Tj , for a current equal to
IDS = 50 A and voltage VGS =20 V. The obtained curves are very close in a
wide temperature range (up to T=150 °C). We observe that the result obtained
is similar to the datasheet, particularly in the interval [0 ◦ C, 150 ◦ C].
4 Conclusion
A new model of SiC Power MOSFET is proposed in this paper. This model
is implemented successfully under Psim, Pspice and Saber softwares and then
have been tested and optimized for numerical circuit design and simulation. The
Characteristics of the MOSFET simulation models (on-state resistance, thresh-
old voltage, and transconductance, etc.) has been compared to actual character-
istics given by manufacturer’s data sheet in Psim, PSpice and Saber.
The proposed electrothermal model is very accurate and able to describe the
dynamic behavior of the SiC MOSFET with a very good precision. Owing to our
last results, it is shown that the electrothermal model developed on Psim, Pspice
an Saber has a high accuracy and is close to the optimum operating conditions
presented in the datasheet. This simulation model of SiC power MOSFET is easy
to use in numerical design and prototyping of electric circuits and simulations.
The future work of our staff will be on nonlinear and robust control of a power
circuit including the SiC MOSFETs.
Acknowlegment. This research is activity is held by the SASV group of the LSIS-
UMR CNRS 7296 and co funded by the BPI in an FUI project. Special aknowledge-
ments are addressed to all the PFC Ranger project partners. The authors (member
R22190) would like to thanks also Europractice (http://www.europractice.stfc.ac.uk/).
References
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and accurate electro-thermal behavioral model of a commercial SiC 1200v, 80 m
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Optimization of the Temperature Effects
on Structure InAs/GaAs QDSC
Abdelkader Aissat1,2(&), Nabila Harchouch1, and Jean Pierre Vilcot2

1
Faculty of Technology, University Blida 1, Blida, Algeria
sakre23@yahoo.fr
2
UMR 8520, Université des Sciences et Technologies de Lille 1, Avenue
Poincaré, CS60069, 59652 Villeneuve d’Ascq, France
Abstract. In this work, we are interested in modeling and simulation of

InAs/GaAs quantum dots solar cell, two parameters were investigated the
number of quantum dots embedded in the solar cell and the thermal effect on their
parameter characteristics. First we have studied the effect of number of quantum
dot layers inserted; the insertion of 40 quantum dot layers gives better results. To
validate our results we have made a comparison with experimental works, and
then we have studied the effect of temperature on the parameter characteristics of
InAs/GaAs solar cell with 40 quantum dot layers. Like all other semiconductor
devices solar cells are sensitive to temperature the most parameter affected by the
temperature rising is the open circuit voltage. The increase of temperature from
250 K to 400 K leads to the decrease of Voc from 1.3 to 0.72 V and, in turn, the
conversion efficiency from 24.78% to 16.18%, however the Jsc increases slightly
from 24.44 Am/cm2 for 250 K to 34.57 Am/cm2 for 400 K.
Keywords: Quantum dot Solar cell Temperature Thermal effect
1 Introduction
The quantum dots is one of the indispensable technology for realizing photovoltaic
devices with high efficiency, they allow the tuning of the effective band gap which lead
to the tuning of the optical properties to correspond to the desired wavelength. For
photovoltaic applications, such as quantum dot solar cells (QDSCs) which are known as
third generation solar cells, the quantum dot structure have been demonstrated an
improvement in the solar cells characteristics such as short circuit current, open circuit
voltage and conversion efficiency [1, 2], this due to the absorption of sub-band gap
photons. III-V QDs solar cells are one of the most active research fields, among them the
InAs/GaAs QDs solar cells; their physical and optical properties have enhanced the solar
cell’s efficiency [3–6]. There exist external factors that degrade the solar cell’s efficiency
the most important factor is the temperature. Temperature rising is a negative factor in
almost all systems, high operating temperatures tend to cause performance degradation
or even malfunctioning of circuits and components, thus reducing the reliability of all
system. In solar photovoltaic cells this temperature rising affects on the behavior of cells
and therefore the electrical properties of solar cells such as short circuit current, open

https://doi.org/10.1007/978-981-13-1405-6_30
Optimization of the Temperature Effects on Structure InAs/GaAs QDSC 251
circuit voltage, the fill factor and conversion efficiency [7, 8]. In the present paper we are
interested in modeling and simulation of InAs/GaAs quantum dot solar cells to show the
effect of the insertion of quantum dot layers and the temperature on the characteristic
parameters of the studied solar cell. The schematic diagram of the present InAs/GaAs
Quantum Dot Solar Cell is shown in Fig. 1 [9]. All the quantum dot solar cells have a p-
i-n structure consisting of 300 nm GaAs buffer layer with Si doping density of
1 1019 cm−3, 200 nm GaAs with Si doping density of 1 1017 cm−3, 15 nm i–
GaAs, intrinsic region which contains a different number of quantum dot layers, the
quantum dots are capped by 15 nm i-GaAs which separates the quantum dot layers,
200 nm GaAs emitter with Be doping density of 1 1018 cm−3, 30 nm Al0.75Ga0.25 As
window layer with Be doping of 1 1019 cm−3 and 50 nm GaAs contact layer with be
doping density of 1 1019 cm−3. The structure is deposited on GaAs substrate.
+
p GaAs 50nm
p Al0.75Ga0.25As 30nm
p GaAs 200nm
i-GaAs 15nm
InAs/GaAs QDs
i-GaAs 15nm
n GaAs 200nm
+
n GaAs 300nm
+
n GaAs substrat
Fig. 1. Structure of InAs/GaAs quantum dots solar cell [9].
2 Theoretical Model
In this section we will see the equations used in the modeling and simulation of this
structure and the relation between the main parameters of solar cells and the temper-
ature of an idealized single-junction PV cell. Poisson’s Equation relates the electrostatic
potential w to the space charge density [10]. The current densities in the continuity
252 A. Aissat et al.
equations may be approximated by a drift-diffusion model [11]. To calculate the

quantum electrons and holes density, in the presence of quantum mechanical confining
potential variations, we need to solve the Schrodinger equation [12]. The continuity
equations for carriers in well states are used to model the change in the well carrier
densities with time which is given by the follow equations for electrons and holes. We
add the Capture-Escape Model to treat the dynamics of bound carriers by breaking
carriers into bulk and bound subsystems [13]. Temperature affects the properties of
electronic systems in a number of fundamental ways:
• The most fundamental of properties is the band gap energy, Eg, which is affected by
temperature according to the Varshni equation, where Eg(0) is the band gap energy
at absolute zero on the Kelvin scale in the given material [14].
• The open circuit voltage: The open-circuit voltage is the maximum voltage avail-
able from a solar cell; Voc is strongly dependent on temperature. For an ideal p-n
junction, Voc can be given as [7].
• The short circuit current (Isc) increases slightly with temperature, for an ideal p-n
junction, Isc can be given as [15].
• Fill factor is defined as the ratio of the maximum power output (Pmax) at the max-
imum power point to the product of Isc and Voc. The fill factor can be given as [8].
In this work, we are interested in modeling and simulation of InAs/GaAs quantum dot
solar cells in goal to enhance the standard solar cell performances. All simulations were
performed at room temperature using AM1.5 of one sun. We have started the simu-
lation of InAs/GaAs quantum dots solar cells for different number of quantum dots
layers 10, 20, 30, 40, 50 and 60 respectively to indicate the influence of the quantum
dots on the spectral response and current-voltage characteristic. In the second part, we
have studied the effect of the temperature on the characteristics parameters of the
studied solar cell.
80
Ref Solar cell
70 10 QDs
20 QDs
60 30 QDs
40 QDs
EQE (%)
50 50 QDs
60 QDs
40
30
20
10
0
400 500 600 700 800 900 1000 1100
Wavelength (nm)
Fig. 2. External Quantum Efficiency versus the wavelength for InAs/GaAs QDSCs.
The External Quantum Efficiency EQE is the ratio of the number of photogenerated
electron-hole pairs collected at the electrodes to the number of incident photons. The
Fig. 2 presents the simulated EQE values as a function of wavelength. As we can see
the EQE gradually increases with inserting the quantum dot layers, there is a clear
enhancement of EQE in the wide range of 500–800 nm for all the solar cell devices.
The EQE of a reference GaAs cell turn to zero around the wavelength of 800 nm this
wavelength is extending to 900 nm by adding the InAs quantum dot layers, this
enhancement is related to the increase of number of quantum dots. The increase of
quantum dot layers improves the absorption of light, it leads to have more and more
sub-band photons, which enhance the creation of electron-hole pairs therefore, con-
tribute to the additional photocurrent. In the range of 900–1020 nm there is an
enhancement of EQE for devices with 30 and 40 QDSC the solar cell with 40 QDs
gives better results in comparison with the other QDSC. Fore solar cells with QD more
of 40 QDs the EQE starts to decrease slightly this can be explained by saturation due to
the increase of recombination of carriers which leads to have an accumulation of strain.
Now we will indicate the effect of increasing the number of quantum dot layers on the
characteristics parameters of the studied solar cell comparing with a reference GaAs
cell. The current density–voltage characteristics for these devices structure for different
number of quantum dots are presented in Fig. 3 and summarized in Table 1.
35
30
Current Density (mA/cm2)
25
20
Ref solar cell
15 10 QDs
20 QDs
10 30 QDs
40 QDs
5 50 QDs
60 QDs
0
0,0 0,2 0,4 0,6 0,8 1,0
Voltage (V)
Fig. 3. J(V) of InAs/GaAs for different number of quantum dot layers.
As we can see there is a clear enhancement of the both short circuit current density
and open circuit voltage their values increase with increasing number of quantum dot
layers, the short circuit current density increases by 29% from 23.7 mA/cm2 to
30.78 mA/cm2 for 40 QDs and so the open circuit voltage from 0.77 V to 0.91 V for
40 QDs this enhancement is due to the additional sub-band gap absorption from QDs.
Also it was found that the short circuit current and open circuit voltage reached the
maximum value for 40 QDs 30.78 mA/cm2 and 0.90 V respectively, these results are
consistent with other works [16, 17]. After these values both short circuit current and
Table 1. The important parameters of InAs/GaAs quantum dot solar cell for different number of
QDs layers
QDs Jsc (mA/cm2) Voc (V) FF η (%)
Ref SC 23.7 0.775 0.67 12.30
10 26.68 0.793 0.71 15.021
20 27.71 0.837 0.72 16.7
30 28.47 0.907 0.73 18.85
40 30.78 0.908 0.75 20.96
50 29.55 0.9 0.73 19.63
60 26.14 0.795 0.7 14.54
open circuit voltage start to decrease slightly for 50 QDs and 60 QDs this saturation
may have resulted by the thickness of the active region; when the number of quantum
dots inserted in the intrinsic region becomes very high this lead to have a large lattice
mismatch so the strain induced defects act as a non radiative recombination.
Comparing our results with experimental works, there is some similarity and dif-
ferences in the values of short circuit current, open circuit voltage, fill factor and
conversion efficiency; the differences might be referred essentially to the difference in
structures, The photovoltaic device parameters extracted from these works are sum-
marized in Table 2.
Table 2. The important parameters of InAs/GaAs quantum dot solar cell compared with other
works
Work’s reference Structure Jsc (mA/cm2) Voc (V) FF (%) η (%)
Presented work 20 QDs 27.71 0.837 72 16.7
40 QDs 30.78 0.908 75 20.96
[16] 40 QDs 29.2 0.78 78 17.8
[17] 40 QDs 30.40 0.656 70.5 14.1
[18] 20 QDs 17.2 0.777 67.8 9.1
[19] 20 QDS 10.41 0.785 68.49 5.60
We have studied the effect of the temperature on the InAs/GaAs 40 QDSC to show
the effect of the temperature on the characteristics parameters of the studied solar cell.
The temperature dependences of the short circuit current, open circuit voltage and
conversion efficiency of InAs/GaAs QDSC structure are calculated and shown in
Table 3 and the simulation is shown in Figs. 4 and 5. As we can see in the Fig. 4 short
circuit current increases with increasing temperature this increasing is due to the
decreasing of the band gap with temperature for most semiconductors, as the tem-
perature increases the band gap decreases, the solar cell responds to longer wavelength
in the solar spectrum so more photons have enough energy to create electrons holes
pairs and Jsc increases, also it can be seen from Fig. 4 that the open circuit voltage
decreases with increasing temperature due to the decreasing in the band gap. Figure 5
1,00
24,75
0,95
24,70 0,90
24,65 0,85
Jsc (mA/cm2)
Voc (V)
24,60 0,80
0,75
24,55
0,70
24,50
0,65
24,45 0,60
24,40 0,55
240 260 280 300 320 340 360 380 400 420 440
Temperature (K)
Fig. 4. Short-circuit density current (Jsc) and open circuit voltage (Voc) versus Temperature for
InAs/GaAs 40 QDSC.
80 26
78
24
76
74
Fill Factor (%)
Efficiency (%)
22
72
20
70
68 18
66
16
64
240 260 280 300 320 340 360 380 400 420
Temperature (K)
Fig. 5. Fill Factor (FF) and Conversion Efficiency (η) versus Temperature for InAs/GaAs 40
QDSC.
show the change in fill factor and conversion efficiency with temperature respectively,
the decrease in fill factor and in the conversion efficiency is mainly due to the decrease
in the open circuit voltage whereas the increase in the short circuit current with tem-
perature it will not significantly affect the fill factor and the conversion efficiency.
Table 3. The important parameters of InAs/GaAs - 40 quantum dots solar cell with different
temperature.
Temperature (K) Jsc (mA/cm2) Voc (V) FF (%) η (%)
250 24.44 1.3 78 24.78
270 26.12 1.2 78 24.45
290 29.04 0.94 77 21.02
300 30.78 0.908 75 20.96
320 31.78 0.864 74 19.85
350 32.26 0.82 71 18.78
400 34.57 0.72 65 16.18
4 Conclusion
In this work, the InAs/GaAs solar cell with quantum dot structure presents an
enhancement of conversion efficiency compared with reference GaAs solar cell. The
maximum value of conversion efficiency 21% is obtained under 1 Sun AM1.5G with
40QDs. The values of the short circuit current and open circuit voltage have been
improved with increasing number of quantum dot layers from 10 to 40 QDs. Electrical
properties as a function of temperature showed a slight enhancement of the short circuit
current and degradation in the open circuit voltage with increasing temperature leading
to degradation in fill factor and conversion efficiency.
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ASIC Physical Design Flow: Power Saving
Opportunities on Interconnection Components
Lekbir Cherif1,2(&), Jalal Benallal1,2, Mohammed Darmi1,

Mohamed Chentouf2, Rachid Elgouri3, and Nabil Hmina1
1
Laboratory of Systems Engineering, National School of Applied Sciences,
Ibn Tofail University, 14000 Kenitra, Morocco
lekbir.cherif@gmail.com, jalal.benallal@gmail.com,
mohammed.darmi@gmail.com, hmina@univ-ibntofail.ac.ma
2
ICDS Department, Mentor Graphics, Rabat, Morocco
mohamed_chentouf@mentor.com
3
Laboratory of Electrical Engineering and Telecommunication Systems,
National School of Applied Sciences,
Ibn Tofail University, 14000 Kenitra, Morocco
elgouri.rachid@yahoo.fr
Abstract. The ever-increasing density of SoC (System on Chip) has made their
power consumption an issue in their own right. We present a specific power
reduction technique at physical design stage of the digital design SoC concep-
tion flow: Capacitance-Toggle rate weighting which aims at reducing the
switching power of the interconnection inside the Integrated Circuit. We
implemented the technique and obtained experimental results on designs done
on 28 nm technology node. The new placement power aware performs an
improvement on average 12% in interconnection power and a 4% average in the
total power. This method has been inducting into a Place and Route EDA
(Electronic Design Automation) tool.
Keywords: Physical design Power reduction EDA Low power

Integrated circuit
1 Introduction
For nearly half a century, the evolution of nanotechnologies described by the famous
law of Moore, allowed to increase the performances and the functionalities of the
integrated circuits (IC) by reducing the geometry of the design, which provides a high
integration, allowing their increase in the functional complexity. The ever-increasing
complexity of IC has made their power consumption an issue in their own right. It is
necessary to take them in charge as early as the architecture phase in the circuit
conception and to implement all the adapted techniques to gain control.
There are multiple effects in the power optimization such as the increase in device
density, the rising clock frequency, the increasing battery life, and reduce the pack-
aging cost; a higher consumed energy involves greater dissipated heat, which requires a
more efficient cooling system.

https://doi.org/10.1007/978-981-13-1405-6_31
ASIC Physical Design Flow 259
To control the power consumption, it is necessary to act at each level of the design
hierarchy, every gained % is interesting. More power is the overall aim of most modern
system-on-chips (SoCs), designers tends to search for new methods to lower the design
power. So as to understand the low power flow, it is important to start by assimilating
the power analysis and some of the optimizations methods that happens during all the
three major design steps: Transaction Modeling Level (TLM) [1], Register Transfer
Level (RTL) [2, 3] and Design Implementation.
Low power RTL synthesis [4], perform a dynamic and static RTL power analysis,
optimization by: inserting VCD file or switching activity information - Adding clock
gating to reduce the dynamic power- detection of hot spots and report power.
Power Optimization that happens during TLM, RTL and RTL synthesis for this
paper are the inputs, the interest goes to the last and critical stage before manufacturing
the IC; the design implementation also called Place and Route (P&R).
At Physical Design stage, power optimization can target both Leakage power and
dynamic power, on the two components of the design: cells and interconnection.
[5] Gives some technics to reduce power on cells elements, [6] focus more on the
technology ways to decrease total consumed power in the design.
Our work aims at reducing 10% of the switching power of signal nets at the
placement stage in the Physical design flow without changing the netlist or supply
voltages in any way.
The remainder of the paper is organized as follows. In Sect. 2, we will present the
power consumption profiling at the physical design level on 28 nm technology node
designs and the used technics to optimize the power at that stage, we then try to
describe in Sect. 3 our solution as a new placement power-aware method; finally, we
present in Sect. 4 experimental results and concluding remarks.
2 Power Consumption Calculation and Trend at Physical

Design Stage
2.1 Power Consumption Calculation

The consumption of an IC at the transistor level can be broken down into two terms:
“static consumption” due mainly to parasitic currents, and “dynamic consumption”
resulting from the switching activity of circuits.
The previous study on power consumption related to the hardware aspect of
electronic systems in CMOS technology leads us to the expression:
Ptotal ¼ Pdyn þ Pleak ð1Þ
The Static Power Pleak consumption is the transistor leakage current that flows
whenever power applied on the device, independent of the clock frequency or
switching activity.
The dynamic power “Pdyn” consumption happens during the switching of tran-
sistors depends mostly of the clock frequency and the total capacitance of the inter-
connection. It consists of switching power and internal power.
260 L. Cherif et al.
In this study, we are interested by the dynamic power reduction, we detailed more
the repartition of this power on cells and interconnections.
For the interconnections, the dynamic power model is as follow:
Pdyn = Pint + Pswitch ð2Þ
Pint = 1/2 (Erise + Efall) TR

With: Erise/Efall: Rise and fall energy ð3Þ
TR: Toggle rate, is the number of toggles per time-unit
Pswitch = 1/2 C V2 TR
ð4Þ
C is the total wire capacitance and V is the power supply voltage
For the interconnections, the dynamic power model is as follow:
Pdyn ¼ 1=2 C V2 TR ð5Þ
2.2 Power Consumption Trend and Reparation in a Design on 28 nm

Technology Node
Most previous work in [7, 8] show that in the advanced nodes, 28 nm and below, the
consumption due to static power represents on average 10% of the overall consumption
of a circuit.
Furthermore, it is mentioned that the internal circuit power represents 20% to 30%
of the dynamic consumption and that the switching power represents 70% to 80% of
the overall consumption of a circuit under good conditions.
The (Fig. 1) shows, as an example, the repartition of the power on a design on
28 nm technology node, this design is a 2.2 M instances and 2.9 mm2.
2.3 Power Reduction Technics Used in Physical Design Flow

The power consumption control is necessary in each level of the IC flow conception. In
Physical design stage also, several studies and experiments demonstrate that there is
still a potential to optimize the power at this late stage of the full flow.
[9] Gives the most used algorithms to reduce power on cells, EDA tools give also
their own flow to reduce leakage and dynamic power at the final stage of physical
design.
As most used technics used at this stage of the flow, we find mainly the register
clumping to reduce power on interconnection, an aggressive multi-bit register swap, at
the route stage a smart utilization of less capacitive metals for high-activity nets, and
last but not least during post-route stage the cells swap to less consuming cells on the
no critical paths in tem of timing.
Our contribution as introduced earlier is on power reduction on the interconnection,
at an earlier stage of the physical flow: The placement stage.
Fig. 1. Power repartition in a digital design block made with 28 nm: (a) Total power repartition;
(b) Static and dynamic Power reparation.
As we saw in the Fig. 1, the interconnections consume until 40% of the total power
in an IC. With less focus to reduce this power. Our proposed algorithm can drop this
consumed power by 12% in average. The next section will detail more this solution, we
will also compare the results with to the default flow.
3 Placement Power-Aware Algorithms
3.1 Placement Algorithms

The placement involves assigning the standard cells of the circuit. Almost every place-
and-route tool uses two-step approach (global and detail placement) to place standard
cells instances.
Moreover, there are several placement techniques have been described in the lit-
erature; Mincut placement [10] and terminal propagation [11], Gordian placement [12],
and TimberWolf algorithm [13], the first two are global placers, while the third does
both. The first work is based on utilizing partitioning to perform placement. The second
work is based on quadratic placement. The third work is based on Simulated Annealing
[14].
These works are targeting to optimize the total wire-lengths (TWL) used to route
the circuit by Making some targeted nets shorter during placement may sacrifice the
wire-lengths of other nets that are connected through common cells. It consists of
several iterations to find the best placement of standard cell based on a cost function
that includes the constraints of placement.
The placement objective is to determine the locations and orientations of all cir-
cuits’ elements within a layout, given solution constraints (no overlapping cells) and
optimization goals (minimizing timing and total wire length). Since the delay of a net
directly correlates with the net’s length, placers often minimize total wire length.
3.2 Power-Aware Placement Algorithms

As we analyze the power consumed cells and nets, we have noticed that the switching
power represents 30% to 70% of the overall consumption of a circuit under good
conditions. According to the Eq. (5), to minimize the wire-length, we used these two
important factors – TR the rate at which net switches compared to its input(s) and C the
net capacity factor.
To optimize the nets using the net weighting technique, we’ve developed an
algorithm: Switching activity, and Capacitance-Toggle rate weighting (C-TR weight-
ing). The aims of this algorithm is to select and weight the nets with a higher product
C*TR; so that the nets with higher TR after the placement will have a short wire length.
4 Results and Interpretations
4.1 List of Designs for Validation (LDV)

We started our research on six different designs (Table 1), so we can have a clear vision
on the power consumption in cells and nets and also to validate our optimizations
methods.
Table 1. List of Designs for validation – LDV

Design Technology node Macro Count Cells count (million) Area ðmm2 Þ
DESIGN1 28 279 0,13 0,14
DESIGN2 28 74 0,64 1,8
DESIGN3 28 174 4,96 6,32
DESIGN4 28 72 2,74 4,59
DESIGN5 28 89 2,31 3,08
DESIGN6 28 407 3,85 6,19
4.2 Tools and Flow for Validation

To run our LDV, we used the P&R tool Mentor Graphics Nitro-SoCTM with a low-
power capabilities that enables dynamic and leakage power optimization throughout
the power-aware flow. It delivers 10% additional power reduction and makes trade-offs
between timing, power and area.
LDV uses three types of nitro reference flow, the default full flow with no power
reduction (NONE), the power driven flow with cells optimization (LOW POWER) and
the Low Power flow plus our solution to optimize the nets.
4.3 Results
The Table 2 summarizes the LOW POWER results compare to the LOW POWER +
Net Weighting in placement stage, for the six industrial test cases. Note that the
improvements in all nets power.
Table 2. Results of the LOW Power Flow and LOW POWER flow plus Algorithm
According to the Table 3, the low power with weighting flow achieves an average
improvement of 10% (ranging from 5.67% to 12.10%) in all nets power, and an
average improvement of 3.96% (ranging from 0.54% to 8.06%) in total power. Global
route wire-length has increased due to more timing optimization after power-aware
placement. The average increase in utilization is 2.34%, and wire-length is 5.16%.
Table 3. Difference between Low Power and “Low Power + Algorithm”

5 Conclusion
Our paper demonstrates a significant power optimization for all test-case designs made
with the 28 nm technology node. We have introduced a new technique based on net
switching weighting used in early design phases to develop efficient placement power-
aware. Our study shows that the weighting flow achieves an average improvement of
10% of Nets power, and an average improvement of 4% of total power.
In the past 10 years, the semiconductors companies have focused primarily on
increasing the chip performance. Moreover, in various applications like mobile,
automotive, aerospace and IoT, the focus is more and more on reduction both dynamic
power and leakage. Multiple tape outs have proved that after using all the known power
techniques such as rtl-level power optimization, multi-bit registers or automated clock
gating, it is still possible to further reduce the total power by 5% to 10% just by re-
thinking the way to place the multi-million cells inside the chip.
Finally this work explores how we can achieve around −5% total power reduction
just by working at placement stage on high switching interconnection.
References
1. Dhanwada N, Davis R, Frenkil J (2014) Towards a Standard Flow for System Level Power
Modeling. IEEE. ISBN 978-1-4799-6278-5/14
2. Salah K, Khalifa K (2016) An RTL Power Optimization Technique Based on System
Verilog Assertions. IEEE. ISBN 978-1-5090-1496-5/16
3. Wang Q, Roy S (2003) RTL Power Optimization with Gate-level Accuracy. IEEE/ACM.
ISBN 1-581 13-762-11031001
4. http://www.ee.virginia.edu/*mrs8n/soc/SynthesisTutorials/lowpowerCadence.pdf
5. Rahman M, Afonso R, Tennakoon H, Sechen C (2010) Design automation tools and libraries
for low power digital design. In: 2010 IEEE Dallas Circuits and Systems Workshop,
Richardson, TX, pp 1–4 (2010)
6. Lin GJY, Hsu CB, Kuo JB (2014) Critical-path aware power consumption optimization
methodology (CAPCOM) using mixed-VTH cells for low-power SOC designs. In: IEEE
International Symposium on Circuits and Systems (ISCAS), Melbourne VIC, pp 1740–1743
7. Cousin J-G, Chillet D, Sentieys O (August 1997) Power estimation and optimisation for
ASIPs. In: International Symposium on Low-Power Design, Mont, CA (Submitted)
8. Macii E (August 1996) High level design and optimization for low power. NATO Advance
Study: Low Power in Deep Submicron Electronics
9. Benini L, De Micheli G, Macii E (2001) Designing low-power circuits: practical recipes.
IEEE Circ Syst Mag 1(1):6–25 First Quarter
10. Breuer MA (1977) A class of min-cut placement algorithms. In: Proceedings of the ACM
Design Automation Conference, pp 284–290
11. Dunlop A, Kernighan B (1985) A procedure for placement of standard-cell VLSI circuits.
IEEE Trans Comput-Aided Des Integr Circ Syst 4(1):92–98
12. Kleinhans J, Sigl G, Johannes F, Antreich K (1991) GORDIAN: VLSI placement by

quadratic programming and slicing optimization. IEEE Trans Comput-Aided Des Integr Circ
Syst 10(3):356–365
13. Sun W-J, Sechen C (1995) Efficient and effective placement for very large circuits. IEEE
Trans Comput-Aided Des Integr Circ Syst 14(3):349–359
14. Kirkpatrick S, Gelatt C, Vecchi M (1983) Optimization by simulated annealing. Science 220
(4598):671–680
Full-Wave Modal Integral Method for Robust
Modeling of Symmetrical/Asymmetrical
Finlines Structures Embedded in Multilayered
Dielectric Substrates
A. Khodja1(&), M. C. E. Yagoub2, and R. Touhami1

1
Instrumentation Laboratory, Faculty of Electronics and Informatics,
USTHB, Algiers, Algeria
hkhodja@yahoo.fr
2
EECS, University of Ottawa,
800 King Edward, Ottawa, ON KIN 6N5, Canada
Abstract. Coupled with adequate choice of trial functions, a simple recursive

approach was developed to efficiently model symmetrical/asymmetrical multi-
layered finline structures constituted of arbitrary isotropic and lossless dielectric
layers. The proposed technique is based on an adequate extension of full-wave
modal domain approach using the Galerkin’s procedure where the mathematical
concept of operators is used to more conveniently formulate the boundary
conditions. The obtained numerical solutions achieved successful results
through a close agreement with published data.
Keywords: Admittance operator Dispersion Mode Multilayer

Trial function
1 Introduction
In recent years, several planar structures have been realized on multilayer substrates,
mainly to improve Microwave Integrated Circuit and Monolithic Microwave Integrated
Circuit performance, including filters, power dividers and directional couplers [1].
Finline structures are extensively used in millimeter-wave circuits [2]. Their multilayer
configuration offers more flexibility in the design of millimeter-wave filters and tran-
sitions from finline to microstrip-variant transmission lines [2]. Finline structure is
basically a slotline inserted in the E-plane of a rectangular metal waveguide. The
dominant mode is of quasi-TE type since the electromagnetic (EM) propagation medium
is inhomogeneous. The layered dielectrics are assumed to be isotropic, homogeneous
and lossless. In addition, metallization is assumed to be of infinite conductivity and
negligible thickness. In this work, we used an integral method involving the Galerkin’s
procedure in the modal domain. Based on the mathematical concept of operators, it
consists in a more convenient formulation of boundary conditions. This method can be
described by an equivalent electrical circuit that highlights the current-voltage rela-
tionship according to the continuity relations of the EM fields. We then, extended it to
characterize finline structures on multilayer composite substrates. To this aim, we

https://doi.org/10.1007/978-981-13-1405-6_32
Full-Wave Modal Integral Method for Robust Modeling 267
established a recursive algorithm to determine the admittance operator which constitutes

a key parameter in the proposed approach. We also used sinusoidal trial functions with
metallic edge effects to favor a faster convergence [3].
2 Mathematical Approach
The evaluation of the admittance operator Ŷ, to which the Galerkin’s technique should
be applied, requires considering the structure displayed in Fig. 1, which represents a
finline structure in multilayer configuration. Here, the two metallic strips should not
necessarily have the same width. Also, the number of isotropic and non-magnetic
layers above and below the interface can be arbitrary set.
Fig. 1. Asymmetric finline structure in multilayer configuration
Let us consider a fictitious propagation in the oy-transverse direction of the finline

instead of the real oz-longitudinal direction. The transverse section of the structure can
be considered as a set of cascaded transmission lines terminated by short-circuited
loads, noted “sc” (Fig. 1). Also, the equivalent circuit of the structure includes a virtual
!
source “ E ” with trial functions defined in the slot of the proposed planar circuit.
By applying the Galerkin’s method to the admittance operator Y ^ and trial functions,
a homogeneous system of equations can be obtained and then solved to ensure the
existence of non-trivial propagation solutions.
Here, the admittance operators Y ^ I and Y^ II for the upper and lower regions,
respectively, are viewed by the interface. The Kirchoff’s law allows writing:
! !I !II
J ¼ J þ J ð1Þ
268 A. Khodja et al.
with
!I b I! !II b II !
J ¼ Y E and J ¼ Y E ð2Þ
leading to:
! b II Þ !
bI þ Y b!
J ¼ ðY E ¼ Y E ð3Þ
with
The matrix representation of the Y ^ operator should be determined to obtain the

dispersion matrix via the Galerkin’s technique. This requires the involvement of a
complete set of orthogonal basis functions (fjf n ign¼0;N ) which expressions are given in
[4] as well as the calculation of the mode admittances YIn and YIIn at the interface.
Here N states for the number of modes. The expression of the admittance operator can
be expressed as:
X
N ðe þ hÞ XN
b
Y¼ jf n i (YIn + YIIn Þhf n j ¼ ½jf n i Yn hf n jðe þ hÞ ð6Þ
n¼0 n¼0
where “e + h” states for the TMn and TEn modes along the transverse direction (oy).
In the above equation, jf n i hf n j represents the projection operator on the basis
vectors fjf n ign¼0;N while “h j” and “j i” represent the “bra” and “ket” operators,
respectively. Note that the product of vector “bra” (hf n j) with vector “ket” (jf m i) rep-
resents the inner product of these two quantities deducted from the integral calculation:
Z
~ t !
hf n ; f m i ¼ f n ðr) f m ðr) dr ð7Þ
ID
The unknown electric field is expressed on the base of trial functions (Upx and Uqz)
defined in the slot and pondered by weighting coefficients epx and eqz such as:
X
K X
K
Ex ¼ epx Upx and Ez ¼ eqz Uqz ð8Þ
p¼1 q¼1
with K the number of trial functions per component along the ox and oz directions. The
application of the Galerkin’s procedure to the admittance operator requires the pro-
jection of the terms of (5) with trial functions, leading to a homogeneous system of
algebraic equations. This system constitutes the 2K 2K dispersion matrix, which
elements are composed of mode admittances and inner products of basis functions with
trial functions [4]. By setting its determinant to zero, this allows evaluating the prop-
agation characteristics of dominant and higher order modes of the finline.
3 Recursive Approach
The analyzed structure with M layers consists of two regions containing each of them
M1 layers above the partially metallized interface and M2 layers below the interface
(M = M1 + M2). From (6), the Y ^ operator requires the determination of upper and
lower mode admittances expressed on the interface by considering that each insulating
layer can be assimilated to a transmission line of length bi, characterized by its fictitious
1ðh;eÞ
propagation constant (Hh; e
n ðiÞ ) and characteristic admittance (YnðiÞ ) such as:
1ðhÞ jHhnðiÞ 1ðeÞ j xeo eri

YnðiÞ ¼ and YnðiÞ ð9Þ
xl0 HenðiÞ
With
np 2
ðHhnðiÞ Þ2 ¼ ðHenðiÞ Þ2 ¼ ð Þ þ b2 b20 eri and b20 ¼ x2 l0 e0 ð10Þ
a
Hh;e
nðiÞ and b represent the fictitious propagation constant along the oy direction of
TEn or TMn mode and the real phase constant along the oz direction, respectively.
So, in the upper region of this structure, the mode admittances can be expressed as:
" #h;e
ynþ ði 1Þ + y1n ði) th(HnðiÞ bi Þ
Ynþ ði)h;e ¼ y1
n ði) 1 for 2 i M1 ð11Þ
yn ði) + ynþ ði 1Þ th(HnðiÞ bi Þ
h ih;e
Ynþ ði)h;e ¼ y1
n ði) coth(HnðiÞ bi Þ for i ¼ 1 ð12Þ
while in the lower region, the mode admittances can be expressed as:
" 1
#h;e
y
n ðj + 1) + yn ðj + 1) th(Hnðj þ 1Þ bj þ 1 Þ
Y
n ðj)
h;e
¼ y1
n ðj + 1) 1 for M1 j M 2 ð13Þ
yn ðj + 1) + y
n ðj + 1) th(Hnðj þ 1Þ bj þ 1 Þ
h ih;e
Y
n ðj)h;e
¼ y 1
n ðj + 1) coth(Hnðj þ 1Þ b j þ 1 Þ for j ¼ M 1 ð14Þ
Solving (11) and (13) can be achieved through a recursive process while incre-
menting the variable “i” from 2 and decrementing the variable “j” from M-2 until
h ih;e h ih;e
þ
reaching the mode admittances YnðM1Þ and Y nðM1Þ on the interface,
b I and Y
respectively, on which the electrical source is located (at i = j = M1). Thus, Y b II
can be expressed on this interface in terms of basic functions and mode admittances as:
N h
X iðe þ hÞ N h
X iðe þ hÞ
b I¼
Y b þ hf n j
jf n i ð Y b II ¼
and Y b hf n j
jf n i ð Y ð15Þ
nðM1Þ nðM1Þ
n¼0 n¼0
b Y
The total admittance operator can be determined by writing Y¼ bI þ Y
b II , where:
N h
X iðe þ hÞ X
N ðe þ hÞ
b
Y¼ bþ þY
jf n ið Y b Þhf n j ¼ jf n i YnðM1Þ hf n j ð16Þ
nðM1Þ nðM1Þ
n¼0 n¼0
þ
Knowing that Yh;e
nðM1Þ ¼ ðYnðM1Þ þ YnðM1Þ Þ
h;e
indicates the total mode admittance at
this interface for finline type structure. By comparing to (6), we obtain YIn ¼
b þ ; YII ¼ Y b
Y nðM1Þ n nðM1Þ and Yn ¼ YnðM1Þ .
4 Choice of Trial Function
A suitable choice of trial functions leads to accurate results and fast convergence. For
this purpose, trial functions must respect several criteria as detailed in [3] such as parity
condition for only the symmetrical case, boundary and proportionality conditions and
as well as metallic edge effect condition. To simultaneously satisfy a maximum of the
above conditions, sinusoidal type trial functions taking into account the metallic edge
effects are usually chosen [4]. The resolution of the homogeneous system of algebraic
equations obtained through the Galerkin’s procedure requires the calculation of
transverse inner products of basis functions with trial functions [3, 4].
5 Numerical Results and Validation
To demonstrate the efficiency of our computed recursive process, we successfully

compared our results with those reported in the literature using other methods (with a
number of layers between 4 and 5). Note that the convergence of our results does not
exceed four trial functions by component (K 4) and three thousand modes (N
3000) according to the widths of both conductor strips and slot.
Figure 2 shows the dispersion ratio due to the decrease of the normalized wave-
length versus frequency of this structure (including metallic strips inserted in the center
of the isotropic substrate when several widths of the slot are selected). Our results were
obtained with an average relative error not exceeding 0.31% with those in [2].
Figure 3 describes, the decrease in the normalized wavelength (k/k0) with respect
to the width of the lateral metal strip (S1) of the asymmetrical finline including two
layers of air and two dielectric layers with a same dielectric constant (er). Note that this
structure becomes symmetric for S1 = 1.678 mm.
Fig. 2. Normalized wavelength versus frequency for the symmetrical four-layered finline
Fig. 3. Normalized wavelength versus frequency for the asymmetrical four-layered finline
Moreover, with a relative error less than 0.60%, our results agree well with those
reported in [2].
Figure 4 is about a five-layered symmetrical finline including three layers of air and
two isotropic insulating layers of er2 = 2.22 and er4 = 3. This figure shows a decrease
of the normalized phase constant (b/b0) versus b3 for three values of er4 of the 4th layer.
Our results converge well with [5] with an average error less than 0.65%.
Fig. 4. Evolution of the dispersion parameters of the symmetric five-layered finline
6 Conclusion
The modal integral method used with the mathematical operators and extended to study
multilayered finline structure has been successfully employed to solve several propa-
gation problems. The obtained results have been validated with a good accuracy in full-
wave mode due to the adequate choice of trial functions used in this method.
References
1. Matsunaga M, Katayama M, Yasumoto K (1999) Coupled mode analysis of line parameters
of coupled microstrip lines. Prog Electromagnet Res 24:1–17
2. Bhat B, Koul SK (1987) Analysis Design and application of finlines. Artech House, Norwood
3. Khodja A, Yagoub MCE, Touhami R, Baudrand H (2014) Advanced full-wave integral
method for accurate analysis of transmission planar circuits: application to finline structures.
IEEE International Conference on Ultra-Wideband (ICUWB14), Paris, France, pp 345–350
4. Khodja A (2017) Contribution à la modélisation des circuits planaires multicouches
symétriques/asymétriques par une méthode intégrale dans le domaine modal. Ph.D. Thesis,
USTHB, Algiers, Algeria
5. Simons RN (1980) Fin-line with a variable characteristic. IEEE Proc Lett 68:170–171
An Accurate NPT-IGBT SPICE Model
with Simple Parameter Extraction Method
Yassine Hadini1(&), Abdelghafour Galadi2, and Adil Echchelh1

1
Laboratory of Electrical Engineering and Energy System, Department of
Physics Faculty of Sciences, Ibn Tofail University, Kenitra, Morocco
Yassine.hadini@uit.ac.ma
2
Team: Electronic, Electrical Engineering, Instrumentation and Imaging,
National School of Applied Sciences, Cadi Ayyad University, Safi, Morocco
Abstract. In this paper, an accurate IGBT model is presented. This model is

based on the IGBT physic structure. It uses an equivalent circuit which com-
bines an MOSFET in series with a diode. All its parameters can be extracted
easily from the experimental results. The proposed model presents a good
agreement with the measurements. It gives an average error less than 12% for
the output characteristics and less than 7% for the transfer characteristic.
Moreover, the model is simple and can be implemented in any SPICE-based
circuit simulator. A description of the model and the parameter extraction
procedure will be provided along.
Keywords: IGBT SPICE Model
1 Introduction
In power switching applications, the ideal semiconductor device used should present
two main principles: low forward voltage drop for keeping a smaller forward con-
duction losses and a high turn-on and turn-off speed in order to conserve a small
switching losses [1]. Up to now, no semiconductor device can satisfy these conditions
but, with the advent of the Insulated Gate Bipolar Transistor (IGBT), a good com-
promise between switching and conduction losses has been found. The IGBT device
structure associates the bipolar transistor (BJT) conduction advantages and the
MOSFET transistor switching advantages [2]. Thereby, it has become the elected
transistor used in medium and high-power applications.
The IGBT structure, as shown in Fig. 1, is analogous to that of the Vertical Double
diffused MOSFET (VDMOSFET). The difference between the two structures is that the
IGBT has a heavily doped p-type substrate that replaces the n-type drain contact of the
VDMOSFET [3]. The main role of this extra p-type layer is to inject minority carriers
(holes) into the main conducting region of the device, modulating its conductivity and
decreasing the on-state voltage drop of the device [4].
Due to the conductivity modulation of the drift zone, the conduction losses of the
bipolar transistor IGBT are very low compared to those of the power unipolar tran-
sistors (DMOSFET, JFET, etc.…). Another advantage of the IGBT is its simple control
circuit compared to the bipolar junction transistors, because its input signal is a voltage

https://doi.org/10.1007/978-981-13-1405-6_33
274 Y. Hadini et al.
applied to the MOS-gate like in the power MOSFET. Thanks to the evolution of its
physical structure, the IGBT will be a serious competitor to the GTO in some appli-
cations of strong powers. Unfortunately, the IGBT cannot operates in very high fre-
quencies, because the lifetime minority carrier injected in the epitaxial layer must be
high enough to ensure good conductivity modulation [5].
The Non-Punch Through (NPT) structure and the Punch Through (PT) structure are
the first IGBT structures which have been developed. The first one is appeared in 1982
and the second in 1985 [6]. From this date and until today, several technologies were
developed for these two structures to improve their electric characteristics and facilitate
their uses. The NPT IGBT structure, also called the symmetric structure, is represented
in Fig. 1. It contains a thick and weakly doped N− region that permits supporting high
voltages in the forward and reverse directions [7]. The PT IGBT structure is depicted
on Fig. 2. This structure has also been referred to as the asymmetric structure, it
contains, in addition to the N− epitaxial drift region, a thin N+ buffer layer, which
enables it to present a lower drop voltage than that of NPT structure for the same
maintaining voltage [8].
Soon after the development of the first planar IGBT structures, it was recognized
that significant improvements in the ON-state voltage drop could be achieved by
utilizing the trench-gate structure. This technology provides a stronger drive current to
the wide N- layer in IGBT, resulting in superior high-level injection of carriers [5].
Fig. 1. Cross-sectional view of NPT IGBT Fig. 2. Cross-sectional view of PT IGBT

structure structure
An Accurate NPT-IGBT SPICE Model 275
A big issue in Power Electronics design is to predict the total power losses, in order
to achieve a realistic prediction of whether the power devices in the systems can sustain
the power losses determined by the given operating conditions, and to maximize the
system efficiency total power losses of the power devices [9].
In order to understand, predict the IGBT behaviour, and optimize the circuit design,
several IGBT models have been developed and published since its invention in 1982.
Roughly speaking, the IGBT models cited in literature can be splitted in different
categories. Sheng et al. [10] have grouped the IGBT models in 4 categories:
• Mathematical model [3, 11, 12]: is an analytical model based on semiconductor
physics equations.
• Semi numerical Model [13, 14]: In this category, to model the wide IGBT base,
finite element methods are used. Regarding other devices parts, they are modelled
by analytical methods.
• Behavioural model [15, 16]: It simulate the IGBT behaviour apart from considering
their physical mechanism.
• Semi mathematical model [2, 17, 18]: in one hand this model is based on physics
while in the other hand it uses the existing components models in the simulators
library.
A numerous IGBT models have presented the IGBT as a N-channel MOSFET
driving a PNP bipolar transistor in a Darlington configuration [2, 17, 19, 20]. The BJT
is used to present the conductivity modulation of the Epitaxial layer, while the
MOSFET is used for presenting the MOS-gate part of the IGBT. However, This kind of
models cannot describe the IGBT behaviour accurately, because the bipolar transistor
of the IGBT has a low current gain, as a result of its wide base, and is operated in the
high-level injection condition for the practical current density range of the IGBT, which
is different from all type of the existed discrete BJT model [21, 22]. Also, they cannot
determine in a precise way the BJT current gain BF.
In the purpose to overcome the objections cited above. We propose in this paper, a
new NPT IGBT model, based on a different IGBT equivalent circuit that consists on a
MOSFET in series with a diode. This model is based on IGBT physical structure.
Moreover, all required parameters of the model can be extracted from the datasheet
manufacturers by using simple methods. The validity of this model has been confirmed
by comparison between simulation and manufacturer’s datasheet. The IGBT chosen to
be modelled is the CM600HA-24H [23]. It will be shown that the proposed model
gives an average error less than 12% for the output characteristics and less than 7% for
the transfer characteristics. The DC model description will be given in Sect. 2. The
parameters extraction procedure will be explained in Sect. 3. The model will be vali-
dated by comparing the measurements results given by manufacturer with the simu-
lation results in Sect. 4. The conclusion of this paper is given in the end.
2 Model Description
Based on the physical structure, the proposed model uses a channel intrinsic MOSFET
in series with a diode as shown in Fig. 3, to model the IGBT behaviour in its different
states (cut-off, linear and saturation). The MOSFET model used is the SPICE model
level 1. The MOSFET channel controls the IGBT behaviour in saturation region and
also contributes significantly in the linear region [10]. Therefore, the current in these
regions has the following equation:
8
< ¼ 0 h if VGE \Vth or VCE \VD i
>
ðVCE VD Þ
I ¼ KP ðVGE Vth ÞðVCE VD Þ if VGE Vth and VCE \VGE þ VD Vth
>
: Kp 2
2
¼ 2 ðVGE Vth Þ if VCE VGE þ VD Vth
ð1Þ
Where VD is the drop voltage across N− drift/P+ substrate region.

The channel transconductance (KP) and the threshold voltage (VTH) are the
essentials parameters that should be determined to model accurately the IGBT beha-
viour in these regions.
The diode is used to model the IGBT behaviour in the cut off region and in the
beginning of the linear region. In these regions, the current can be given by the
following equation:

VD
I ¼ IS exp 1 ð2Þ
NVT
The saturation current Is and the emission coefficient N are the required parameters
for the diode model. VT is the thermal voltage.
Our proposed model uses the sub-circuit approach based on the physical structure
to describe the IGBT behaviour. The proposed IGBT model can be implemented in all
circuit simulation by using its model equations or as a macromodel form. Also, all
required parameters of the model are simply extracted from the experimental results
given in the manufacturer datasheet.
3 Parameter Extraction
The parameters extraction procedure for a model remains a crucial phase, which affects
in a direct way its accuracy to describe the device behaviour. In this model, all the
parameters will be extracted from the component datasheet.
3.1 MOSFET Parameters

The basic parameters of this model are the transconductance KP and the threshold
voltage VTH. The two parameters are extracted from the transfer characteristic in high
VCE.
The MOSFET channel controls the IGBT behaviour in saturation region [10]. The
saturation region of the MOSFET and the IGBT can be assumed to be the same,
therefore they have the same transfer characteristic in high VCE.
The MOSFET drain current in the saturation region is given by the following
equation:
Kp
IC ¼ ðVGE VTH Þ2 ð3Þ
2
From the linear portion of the transfer characteristic, we trace a straight line whose
equation has the following form:
rffiffiffiffiffiffi rffiffiffiffiffiffi
pffiffiffiffiffi KP KP
IC ¼ VGE VTH ð4Þ
2 2
pffiffiffiffiffi
KP can be determined from the slope factor of the IC –VGE curve while VTH is the
intersection between the extension of the linear portion and the VGE axis as shown in
Fig. 4.
Fig. 3. Schematic of the proposed model for the IGBT
3.2 Diode Model

The saturation current IS and the ideality factor N are considered as the essential
parameters required to model the diode. They are extracted from the output charac-
teristics in low collector voltage and high gate voltage.
The diode current is given by the Eq. (5):

VCE
IC ¼ IS ½exp ð5Þ
NVT
When VT is the thermal voltage.

For VCE >> VT the Eq. (4) may be simplified in the following equation:
VCE
ln IC ¼ ln IS þ ð6Þ
NVT
Therefore, IS can be obtained from the intersection of the Ln(IC)-VCE curve and the
Ln(IC) axis while N is related to the slop factor of the curve, as shown in Fig. 5.
All the proposed methods in this section are verified by comparison with the
measurement results given in datasheet. The comparison between simulated results and
measurements given in datasheet will be shown and discussed in the following section.
Fig. 4. Square root of collector current vs gate voltage defines VTH and KP
Fig. 5. Natural logarithm of collector current vs collector voltage defines IS and N
After having determined the parameters model components (the MOSFET and diode)
by using the methods described above, the sub-circuit is simulated using PSPICE in
order to compare the simulation results of the dc analysis with the dc characteristics
given in the datasheet.
Figure 6 shows the measured output characteristics in comparison between the
result of the proposed model applied to the IGBT CM600HA-24H and the experi-
mental result given in the datasheet by the manufacturers. Figure 7 shows the measured
transfer characteristic in comparison to the proposed model applied to the IGBT
CM600HA-24H for VCE = 10 V. The model reproduces accurately the dc electrical
behaviour in all regions of operations of the power IGBT devices. The proposed model
presents a good agreement with the experimental results with an average error less than
12% for the output characteristics and less than 7% for the transfer characteristics.
The displacement of the results of our model from the dataheet informations is due,
on the one hand to that our model is two-dimensional that is why it cannot represent all
the electrical phenomena existing in the device, which requires complicated three-
dimensional equations. On the other hand, the model parameters are extracted manually
from the datasheet curves, which could affect the model results and leads to a mismatch
Fig. 6. Measured output characteristics in comparison to the proposed model applied to the
IGBT CM600HA-24H
Fig. 7. Measured transfer characteristic in comparison to the proposed model applied to the
IGBT CM600HA-24H for VCE = 10 V
between model results and datasheet informations. Therefore, to overcome these

problems our future research would have as objective the unification of this model, also
setting up a parameter extraction optimization system to reduce the impact of
parametrization procedure.
5 Conclusion
In this paper, an IGBT SPICE model has been described. It is based on an IGBT
equivalent circuit which is composed of an N channel MOSFET in series with a diode.
This model is proposed as a contribution to overcome the problems found in the usual
models of IGBT, using a MOSFET drive a BJT. The static I-V characteristics offered
by the model are shown. The model efficiency is demonstrated by the comparison
between the simulated and the experimental results and the model has presented a good
agreement with the datasheet characteristics. The parameters extraction method is
represented and all parameters such as VTH, KP, Is and N are successfully obtained
from the datasheet characteristics. Our model is simple and easy to implement in any
SPICE-based circuit simulator.
References
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a new three-terminal MOS-controlled bipolar power device. IEEE Trans Electron Devices
31:821–828
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Accessed 18 Dec 2017
Fractional Behavior of PN Junction Diode
Under AC-Small Signal Conditions
F. Boulgamh1(&), M. Remram2, and A. Djouambi3

1
Département de Génie Electrique, Université Larbi Ben M’Hidi, 04000 Oum
El Bouaghi, Algeria
Fel_boulgamh@yahoo.fr
2
Département d’Electronique, Université Constantine 1, Route Ain El Bey,
25011 Constantine, Algeria
moh_remram@yahoo.fr
3
Laboratoire de Génie Electrique et Automatique (LGEA), Département de
Génie Electrique, Université Larbi Ben M’Hidi, 04000 Oum El Bouaghi, Algeria
djouambi_abdelbaki@yahoo.fr
Abstract. In this paper, small signal fractional order models of PN junction

diode, around the operation point, are proposed. Using the measurement made
based magnitude and phase frequency response, various small signal PN junc-
tion equivalent circuit models based fractional calculus are considered and
compared to the conventional models. The results show that the proposed
fractional models exhibit more pn-junction dynamics than the classical models.
Keywords: Fractional order models PN junction Diffusive systems

Small signal equivalent circuit
1 Introduction
The PN junction diode is one of the most important elements used in modern electronic
systems. It is used as a device in many applications such as rectifiers, variable
capacitors, detectors, etc [1].
In analog applications, the device is biased at some DC value. There are many cases
where diodes are operated with small AC signals around a DC offset voltage. In such a
case, conventional linear small-signal diode models are usually used. However, due to
the non linear nature of these devices, conventional models may not be appropriate to
represent its frequency behavior in medium and high frequencies.
PN junction exhibit two diffusion processes [2]. The first one is that the device is
generally fabricated by thermally diffusion of p-type doping atoms into an n-type
substrate, or vice versa. The second one is the diffusive transport for the minority
carriers in the quasi-neutral region. Indeed, this non conducting layer called the
depletion layer, occurs because the electrically charged carriers (electrons in p-type and
holes in n-type semiconductor) diffuse into the other type of material and eliminate
each other in a process called recombination. Therefore, in forward bias, the amount of
minority diffusion in the near- neutral zones determines the amount of current that may
flow through the diode.

https://doi.org/10.1007/978-981-13-1405-6_34
284 F. Boulgamh et al.
Many researchers started building more or less complicated models in order to

explain the small signal PN junction diode behavior. Some authors focused on small
signal PN junction diode modeling using half-order model [3]. This model comports
only two parameters, it can be considered as a partial case of fractional models.
Nevertheless, the interest of this model is its ability to approximate the dynamical
behavior of pn-junction using a restricted number of parameters [4, 5]. However, this
model cannot give the best approximation of the system dynamics for medium
frequencies.
In a previous paper [6], a more generalized small signal fractional order models of
PN junction diode was proposed. The PN junction is represented by a fractional
equivalent electric scheme whose components are identified using experimental data
based impedance frequency response [7, 8]. This identification process is applied to a
commercially available PN diode and its relevance is checked by comparing models
simulations and laboratory experiments.
In this paper, both magnitude and phase ac-small signal measurements are used to
confirm and enhance the previous results.
2 Experimental Setup
AC small signal frequency response is usually used to analyzing and modeling the p-n
junction diodes [9]. Figure 1 presents the experimental setup usually used to frequency
response measurements made. A commercially BY402 diode is biased with a DC
voltage Vdc ¼ 15V superposed with a small AC signal vin ðtÞ ¼ 0:4sinxtðVÞ. The
magnitude and phase of The Output signals vs and is , shown in Fig. 2, will be then
measured for different frequencies, in the band [104 … 105 Hz], across the diode and
the resistor R respectively. The obtained measurements are then used to fit elements of
the considered admittance Gs given by:
Fig. 1. AC-small signal experiment circuit.
Is ð f Þ 1
¼ ¼ Gs ð1Þ
Vs ð f Þ Zs
Fractional Behavior of PN Junction Diode 285
Fig. 2. I-V diode characteristic with AC-small signal input
Figure 3 presents experimental results. From Fig. 3a it can be seen that at high
frequencies, the impedance magnitude Bode diagram have a slope of −10 dB/dec
corresponding to a half order comportment, which reveal that the pn junction diode has
a fractional order behavior. Remember that the phase shift between output and input
signals is between 45° and 67° (Figs. 3b and c).
Fig. 3. Frequency response (impedance magnitude (a) and phase (c)) of the pn-junction diode
for AC-small signal input – experimental results
3 Conventional Models of PN Junction
In forward biased case, as shown in Fig. 1, the DC voltage Vdc is superposed to an AC

small signal Vin . The behavior of PN junction can be described by two models: The
analytical model and the ac-small equivalent circuit one.
The first one is described by the equivalent circuit shown in Fig. 4 [3], where Rs is
the diode resistance, Cj is the junction capacitance and Cdiff is the diffusion capacitance.
Fig. 4. Equivalent circuit of a forward biased pn junction diode.
The AC small signal impedance in this case is found to be [10]:
is 1
Zs ¼ ¼ Ks 1=2 ð2Þ
vs 1 þ jxsp
where Ks ¼ ðkB T=qI Þ and sp the hole lifetime. q is the electron charge, kB the Boltz-
mann constant, T the temperature in Kelvin, sp the hole lifetime, and I is the dc current.
The transfer function (2) represents analytical half order model of pn junction with
two parameters sp and Ks . The identification objective consists of finding a set of
parameters ðsp ; Ks Þ which minimize the error between the real frequency response
(Magnitude and phase) of the pn junction and the model output (2). Since this is a
nonlinear optimization problem, it is a question of applying the genetic algorithms to
determine the optimal parameters which give an estimated model whose frequency
characteristics (magnitude response) are nearest possible to those of the measured data.
The optimal values of these parameters giving the best fitted model are
Ks ¼ 50; 6 103 ; sp ¼ 1; 085 105 s
Figure 5 presents the frequency response of the fitted model compared to the
experimental data. It can be seen that the model gives satisfactory results in high and
low frequency. However, the behavior of the pn junction corresponding to the medium,
frequency around 5.105 rd/s, is not covered by this model.
Figure 6 presents the classical small ac equivalent circuit model of the PN junction
diode [10]. The circuit consists of a series resistance Rs that incorporates the contact
resistance and the resistance of the quasi-neutral region. A second resistor Rp is used to
represent the transition band resistance. In parallel with Rp , the model take into account
the diode capacitance C which arises from the junction capacitance Cj related to the
depletion region and the diffusion capacitance Cdiff due to injected carriers outside the
Fig. 5. Frequency response of small signal pn junction diode using analytical and conventional
equivalent circuit models compared to the experimental response.
Fig. 6. Equivalent circuit of a pn diode under ac-small signal conditions.
depletion region. We note that under forward bias conditions, the diffusion capacitance
dominates.
From the equivalent circuit given in Fig. 6, the equivalent impedance Zc is given by:
Rp
Zc ¼ þ Rs ð3Þ
1 þ CRp jx
This expression can be written as:
v 1 þ s1 ðjxÞ
Zc ¼ ¼ Kc ð4Þ
i 1 þ s2 ðjxÞ
CR R
with K1 ¼ Rp þ Rs , s1 ¼ Rp þp Rss and s2 ¼ CRp .
The transfer function (4) represents conventional small ac signal model based
equivalent circuit with two time constants s1 and s2 , and a static gain Kc . The optimal
values of these parameters giving the best fitted model to the measured data are
K ¼ 51; 6:103 ; s2 ¼ 1; 01:105 s; s1 ¼ 6:05 106 . Figure 5 shows the frequency
response of such model compared to the analytical model (Eq. 2) and experimental
data (Fig. 3). From these results, it can be clearly seen that both the analytical model
and the conventional small ac signal model based equivalent circuit doesn’t fit
experimental data at medium frequencies in the range ½30; 80KHz. However, at low
and high frequency the curves are superposed and well fit the experimental data. The
responses reveal that both models have an asymptotic slop of 10dB/dec in high
frequency.
4 Generalized Fractional Order Model of PN Junction Diode
In this section, the conventional small ac signal model based equivalent circuit of
Eq. (4) will be, generalized to fractional order form. The conventional pole and zero are
replaced by fractional order pole and fractional zero of real order m2 and m1 respec-
tively. The resulting model can be given by:
1 þ ðjxs1 Þm1
Zcf ¼ Kcf ð5Þ
1 þ ðjxs2 Þm2
where m1 and m2 are real numbers.

The best fitting of experimental data using this model is obtained for: Kcf ¼
51:5 103 ; m1 ¼ 0:6678; m2 ¼ 0:787; s1 ¼ 4:35 107 s; s2 ¼ 51:6 107 s:
Figure 7 shows the frequency response of such model compared to the measured
data. It can be seen that the small signal behavior of the pn junction in medium
frequency is marginally approximated by the proposed model. However, the results
reveal that additional fractional pole of real order m3 is needed to enhance this
approximation. Hence, a new model structure can be proposed as:
1 þ ðjxs1 Þm1
Zf ¼ Kcf ð6Þ
ð1 þ ðjxs2 Þm2 Þð1 þ ðjxs3 Þm3 Þ
Using GA (Genetic Algorithm) optimization technique, the best fitted model is

obtained for: Kcf ¼ 49:05 103 ; m1 ¼ 1:328; m2 ¼ 1:3445; m3 ¼ 1:36;
s1 ¼ 2:7160 10 s; s2 ¼ 3:2798 105 s; s3 ¼ 8:91 105 s
5
Fig. 7. Frequency response of small signal pn junction diode using proposed fractional models
compared to the experimental response
Figure 7 also presents the frequency response of the generalized fractional model
with two poles and one zero compared to experimental results. It can be seen clearly
that the experimental data are well fitted by the proposed structure in all frequency band
of interest.
5 Conclusion
In this paper, a small signal fractional order models of PN junction diode has been
proposed. Using experimental frequency response, several models were proposed and
their equivalent electrical circuits were presented. Firstly, conventional analytical
model obtained from physical study of conduction phenomena in diodes has been
considered. This yields to a 0.5 order model with one pole. Secondly, a classical model
based small signal equivalent circuit with one pole and one zero was used. These
models gave the same results and fit the experimental data only at low and high
frequencies. The proposed solution in this paper consists to improve the previous
conventional models using generalized small signal equivalent circuit. The conven-
tional small ac signal model based equivalent circuit has been generalized to fractional
order form; the conventional pole and zero are replaced by fractional order pole and
fractional zero of real order. The results revealed that this model is perfectly able to
approach the frequency response in all frequency band of interest.
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Power-Performance Trade-Off in 7 nm Designs
Mohamed Chentouf1,3(&), Lekbir Cherif1,2,

and Zine El Abidine Alaoui Ismaili3
1
Mentor Graphics a Siemens Business/ICDS Division, 10010 Rabat, Morocco
{mohamed_chentouf,lekbir_cherif}@mentor.com
2
Laboratory of Systems Engineering, National School of Applied Sciences,
Ibn Tofail University, BP 242 Av. de L’Université, 14000 Kénitra, Morocco
3
Information, Communication and Embedded Systems (ICES) Team,
University Mohammed V, 10010 Rabat, Morocco
z.alaoui@um5s.net.ma
Abstract. The need for long life battery powered devices has grown drastically
in the last decade, and the power consumption has become a factor of equal
importance as speed in measuring a circuit performance. To satisfy the demand
of such increasing market, many technologies have emerged. And new Elec-
tronic Design Automation tools are developed to help the Integrated Circuits
(IC) developers building devices with those new technologies in a reasonable
time to reduce time to market of the product. But since the design complexity,
size and density continue to increase, new power saving techniques need to be
developed to compete in such challenging market. The 7 nm technological node
which is currently the most advanced node has presented many difficulties,
especially in physical design and verification phases. But also it gives a very
good opportunity for power optimization due to the big electrical differences
between its metal layers and the reduction of the overall parasitic capacitances.
This paper presents the new implementation challenges faced after scaling to the
7 nm node and treats the Power-Performance relation chip in such advanced
node to extract the best trade-off or the best Figure of Merit that define or
describe the overall performance and efficiency of 7 nm SoCs. Characterization
experiments were run on a 7 nm SoC and the results show that the best Power-
Performance trade-off is achieved when the operating frequency is between
400 MHz and 1.5 GHz. Going for frequency greater than the optimal one scale
the power consumption exponentially. And scale the frequency lesser than the
optimal frequency impacts the circuit speed without benefiting that much the
power consumption of the design.
Keywords: Power consumption Electro-Migration Thermal dissipation

Energy Efficiency Performance Tradeoff
1 Introduction
The race for power-efficient devices become more and more accentuated from gener-
ation to generation [1]. New emerging markets such as IoT, Data Centers, Mobile, and
Automotive are the main drivers of this trend. In the IoT side [2], the End Devices or
Nodes are active sensing devices and actuators that collects the data and perform
https://doi.org/10.1007/978-981-13-1405-6_35
Power-Performance Trade-Off in 7 nm Designs 291
ground-level processing. Most of these devices are battery power and should be
optimized for power consumption as much as possible. For Data Centers [3] which are
storage and processing farms distributed all over the world, and which are used also in
the IoT chain to run Cloud-based application and storage and to compute the collected
data, analyze it, and make inferences and prediction. Powering and cooling this Data
Center farms is a big issue and it is estimated to consume 8% of the total electrical
power consumed in some US stats. A red flag is raised to look for solutions to reduce
the power bill and to reverse this trend. Automotive market also tends to integrate many
electronic connected devices and sensors and requires very high reliability, which is in
some way an inverse function of the device consumption. For Mobile Phone market
[4], customers expect the smartphones to do almost all the tasks a laptop can do and
don’t run off of a battery. A major issue that arises with this market trend is that the
advancement made in battery technologies doesn’t follow power increase engendered
by embedding too many components (CPUs, GPUs, DSPs, memories, storage ele-
ments, and I/O controllers) into a single piece of silicon.
In order to reply back to all these markets demands for low power devices, many
technological advancements were made at all levels (Applications, OSs, Architecture,
Design, and fabrication) to leverage between power and performance. For example,
many mid-range and higher-end SOCs use the ARM architecture [5], which runs a
smaller and simpler instruction set to make processing easier though perhaps less
versatile. Also, many OSs were developed and optimized for specific devices, like iOS
and Android, which are written for mobile CPUs.
Power consumption in SoCs, which is our main concern in this paper could be
reduced to a CMOS Power Problem, The CMOS circuits are very power efficient
compared to other circuit families (Ex: TTL), but because of the number of transistors
and the clock frequencies have increased, the power dissipation has become the pri-
mary design constraint. It comes from two components, first is the static power dis-
sipation due to sub-threshold conduction through the off transistors, the tunneling
current through the gate oxide, and the leakage current through the reverse bias diode.
The second component is dynamic power dissipation due to the charging and dis-
charging of the load capacitor, and the short-circuit current while both NMOS and
PMOS are partially ON. So the total power dissipation is the summation of the static
power dissipation and dynamic power dissipation [6].
One of the most effective power reduction techniques is technology scaling, which
in general reduces the circuit geometries, which reduces the overall design capacitance
and by consequence the overall power consumption. One of the reasons for not having
that much power improvement - when shrinking the technology - is the parallel
increase of the operating frequency, and the design size and complexity [7].
In this paper, we will examine the frequency/power relationship in the 7 nm design
node and we will extract the best Power-Performance trade-off to get the best benefits
in term of power and performance in this new enabled technological node. This
information will be communicated back to architects and designers to be taken into
consideration in the early stages of design development for power sensitive markets.
The remainder of this work is organized as follows. Section 2 presents some
technological challenges faced in 7 nm node and how it impacts the power con-
sumption of digital designs. Section 3 provides a case study which is an industrial
292 M. Chentouf et al.
7 nm SoC that we will use to generate the timing/power relationship and to extract the
best trade-off. Finally, Sect. 4 draws the conclusion and perspective.
2 7 nm Design Challenges and Power Characteristics
2.1 7 nm Design Challenges

Next generation SOCs that going to automotive, mobile and high-performance com-
puting applications require the use of advanced technology nodes like 7 nm, because it
provides greater functionality, higher performance, and much more integration. But the
challenges that come along with it are many more, such as very tight design margins,
big voltage drop (sub 500 mV range), very tight EM limits, and also ESD design rules
are getting very tighter. Add to these difficulties the time to market, which is short-
ening, and the cost of design which is exploding when compared to older nanometer
technology [7].
The problem of 7 nm is actually multi-physics, due to the interdependency of
various multi-physics attributes, like the interdependencies of power with thermal.
Power directly impacts the thermal profile of the chip, and the thermal profile directly
affects the EM reliability, with increasing temperatures the EM limits are going to be
reducing a lot more, and with low power comes low operating voltages which directly
impacts the voltage drop and the sensitivity of the power-grid to voltage noise is
increasing meaningful, and which can render a device non-functional and can also
cause timing and clock failures.
These challenges vary from one market to the next. For example, for an automotive
application the reliability is more critical compared to mobile or other consumer
devices, because chip that’s going to be in an automotive application needs to be
reliable to be much longer (ex: 50 years) in a much harder environment (the temper-
ature of the car under the hood is around 150 C0). Thermal also becomes a very key
consideration in these advanced technology nodes, self-heating which arises because of
two different structure, self-heating of the devices and the Joule heating of the wires.
To enhance the design’s reliability, we need to reduce Electro-Migration, which leads
to thermal and heat reduction and which resume into power dissipation reduction [8].
2.2 CMOS Power Estimation and Scaling Impact on Power

and Performance
Power dissipation is a major obstacle and a differentiating factor of success of
Application Specific Integrated Circuits (SICs). It can be divided into two main
branches, static and dynamic. The dynamic power dissipation is mainly due to the
switching current from charging and discharging parasitic capacitances, to short-circuit
current induced when both n-channel and p-channel transistors are momentarily on at
the same time, while static power dissipation is due to leakage and sub-threshold
currents. In this section, we will cover the basic IC power consumption concepts used
in the Physical Design field.
Static Consumption
The static power consumption Pleak is the transistor leakage current that flows whenever
power is applied to the device, independent of the clock frequency or switching
activity. Static power due to reverse-biased junction current, sub-threshold leakage,
gate leakage and analog current sources can limit the operating lifetime of battery-
powered systems. Decreasing the standby power (leakage power) of the IC increases
shelf-life as well as overall energy efficiency (1) [9].
PS ¼ VDD Ioff ð1Þ
Dynamic Consumption
Dynamic power is the power consumed when the device is active, that is when the
signals of the design are changing values. It is generally categorized into three types:
switching power, short-circuit power, and glitching power, each of which will be
discussed in details below [9].
Switching Power:
The first and primary source of dynamic power dissipation is the switching power.
In CMOS circuits, switching power is dissipated while charging and discharging
various capacitances. Sometimes, capacitors are intentionally fabricated to achieve
certain non-digital operations. However, most digital CMOS circuits do not require
capacitors for their intended operations. The capacitance forms due to the parasitic
effects of interconnection wires and transistors, such parasitic capacitance cannot be
avoided and it has a significant impact on power dissipation [9].
As demonstrated in [9] from the simplified inverter RC network, the dynamic
power due to switching current of a CMOS gate (Psw) can be estimated by Eq. 2.
Psw ¼ 1=2Sw fCL VDD

2
ð2Þ
Where Sw is the Switching activity of the input,

f is the frequency of operation,
CL is the load parasitic capacitance,
VDD is the voltage swing across the capacitor.
Short-circuit current:
In addition to the switching power, short-circuit power also contributes to the
dynamic power. Figure 6 illustrates short-circuit currents. Short-circuit currents occur
when both the negative metal–oxide–semiconductor (NMOS) and positive metal–ox-
ide–semiconductor (PMOS) transistors are on. Let Vtn be the threshold voltage of the
NMOS transistor and Vtp is the threshold voltage of the PMOS transistor. Then, in the
period when the voltage value is between Vtn and Vdd–Vtp, while the input is
switching either from 1 to 0 or vice versa, both the PMOS and the NMOS transistors
remain ON, Which creates a direct path between power and ground, and the short-
circuit current flows from Vdd to ground (GND). The dynamic power due to short
circuit current (Psc) is estimated by Eq. 3: [9].
Psc ¼ b=12sðVDD 2Vth Þ3 ð3Þ
Where b is the size of the transistors,

s is the duration of the input signal (transition time),
Vth is the threshold voltage of the PMOS and NMOS transistors.
Glitching Power Dissipation:

The third type of dynamic power dissipation is the glitching power which arises due
to a finite delay of the gates. Since the dynamic power is directly proportional to the
number of output transitions of a logic gate, glitching can be a significant source of
signal activity and deserves mention here. Glitches often occur when paths with
unequal propagation delays converge at the same point in the circuit. Glitches occur
because the input signals to a particular logic block arrive at different times, causing a
number of intermediate transitions to occur before the output of the logic block sta-
bilizes. These additional transitions result in power dissipation, which is categorized as
the glitching power [9].
Scaling Impact on Power and Performance
In 1965 an observation was made By Moore that the number of transistors we can place
on integrated circuits doubles approximately every two years. This technology
shrinking has several impacts on different design characteristics such as speed and
power consumption. From (1) we can deduce that if we reduce the device size by a
factor of a, the parasitic capacitance will be reduced by the same factor, which gives a
switching power reduction of a, and a short circuit power reduction of a as well.
Technology scaling has also an impact on the signal propagation time (tp), as shown in
(4) [10], by reducing the device size by a, the propagation delay tp could be reduced by
the same factor.
As the power becomes a dominant factor, and due to the linearity between power
and frequency parameters, the designers stopped the frequency, but continue with the
geometry scaling, even if the design can work with higher frequencies, instead
designers fix the frequency at a lower range to reduce the power dissipation per unit
area. As a remedy to the frequency stagnation, the designers went for parallel archi-
tectures to increase the total computational power of the devices.
CVDD
tp ¼ ð4Þ
2Vsat ðVDD Vth Þ
As we could see in this chapter, in order to reduce power consumption, we should

go for smaller technology nodes, but we should stop or decrease the frequency scaling.
But at which point we should stop the frequency to have the optimum Power-
Performance trade-off? In the next chapter, we will study the Power-Performance
characteristics of a 7 nm SoC and we will try to extract operational area for low power,
high performance or balanced architectures.
3 Power-Performance Trade-Off in 7 nm SoCs (A Case

Study)
Power-Performance trade-off is a term used to define or describe the overall perfor-

mance of a system or the efficiency of that system. Therefore the term Power-
Performance product (unit is Jouls) is very important to understand the operation of a
technological node. It is desirable for any logic gate of any technological node to
reduce the propagation delay while keeping to the minimum the amount of power
required to propagate the signal or to perform the logical operation. Therefore, smaller
the value of this speed-power product indicates a greater overall performance of SoC
design or technology.
Starting from an existing “Nitro-SoC” [11–13] implementation of a 7 nm low-cost
platform, for a broad range of devices, including microcontrollers, automotive body
systems, industrial control systems and wireless networking and sensors (Fig. 1). Our
SoC is designed especially for wearables, IoT, Motor Control, Appliance, Connec-
tivity, and Smart home/building/enterprise/planet.
Fig. 1. Case study testcase physical view a. Power/Ground network b. Cells placement c. Detail
routing
We took the post-route database that already includes the best physical design
receipt to have an optimized placed and routed design. We have varied the operating
frequency and we have measured the power impact on the design. The main physical
characteristics of the design are summarized in Table 1.
Table 1. Characteristics of the used CPU Designs

# Modes # Corners # clocks Max f # Cells # Macros Total area Node
1 5 5 1.0 GHz 50040 0 7285.640 µm 7 nm
2
After tracing the Power-Performance characteristics as shown in Fig. 2, we have

generated three clusters. The first cluster is the power cluster where the power con-
sumption is very low, but the design speed is also very low, this cluster is for all
frequencies lesser than 400 MHz, this cluster is the best fit for a design that seeks the
very low power regardless the performances. The second cluster is performance cluster
where the speed is the focus and the power consumption is not a blocking constraint,
this cluster is true for all frequencies bigger than 1.5 GHz. The last and most important
cluster is the Power-Performance balance clusters where the best power-performance
trade-off exists, it is a cluster that balances between the power consumption and the
speed of the design, this cluster ranges from 400 MHz to 1.5 GHz.
Fig. 2. Power-performance relationship
4 Conclusion
As a case study, our paper demonstrates a detailed power-performance trade-off for

7 nm designs. The power-performance clustering could be used in early design phases
to develop efficient energy-aware devices. Because designers don’t have a full picture
of all the physical constraints, this information could be very useful to allocate the right
power budget for each specific performance and to prevent the back and forth between
architects, logical designers, and PnR engineers. In this paper, we have shown that the
best operating range in term of power and frequency for 7 nm designs is the range
between 400 MHz to 1.5 GHz. The same work can be done for older technology nodes
to have a map that raises the ambiguity related to the best operating frequency of each
design and to facilitate the migration process from a node to another node.
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State Space Models for Power SiC
MOSFET
N. K. M’Sirdi(B) , K. Frifita, E. Baghaz, A. Naamane, and M. Boussak
Aix Marseille Univ, Universite de Toulon, CNRS, LIS,

SASV group of LIS UMR CNRS 7020, 13397 Marseille, France
Abstract. This paper proposes a State Space Model for a power a

Silicon Carbide (SiC) MOSFET. The model uses the electrical EKV
MOSFET structure. The model is developed for the SiC MOSFET
C2M0025120D CREE (1200V, 90A) and uses the parameters extracted
from datasheet.
Keywords: SiC MOSFET state space model

State space simulation model
1 Introduction
In high power applications, Silicon (Si) circuits are more and more replaced by
SiC MOSFET devices. The wide range of operation lead to parameter variations,
inherent perturbations and constraints which affect behavior of the components.
Then disposal of good simulation models are necessary to get realistic simulations
and accurate results.
The increasing use of switching devices in converters in power systems give
more abilities but results in complex control problems related to nonlinearities
involved and distortion in the electric network. Non robust controls result in a
degradation of the power factor and generate voltage and current disturbances
which have a different frequency than the fundamental. The state space models
are helpful for systems analysis advanced controllers design. Up to now and to
the best of our knowledge, the only author talking about state space represen-
tation for a MOSFET is Karvonen [4,5]. The model used, is based on SPICE R
equations of discrete elements whose values are extracted from datasheet. But
only the state vector is presented in the paper and in the thesis. The author
uses the Modified Nodal Analysis (MNA) [1,10]. The state space equation have
never been developed for MOSFETs and proposed in literature.
In this paper, we propose state space representations, for a SiC MOSFET,
deduced from a circuit model we have recently proposed [3,7], based on the well
known EKV MOSFET model [9]. The model is developed for the SiC MOSFET
transistor C2M0025120D CREE (1200V, 90A) [2] and is implemented in Mat-
lab/Simulink simulation softwares to allow easy control design for SiC MOSFET
based applications. The results show that the proposed model is the most interest-
ing to develop advanced controllers, compared to all the literature existing models.
https://doi.org/10.1007/978-981-13-1405-6_36
State Space Models for Power SiC MOSFET 299
2 SiC MOSFET Model

2.1 The Modelling Context
The MOSFET Models. Several simulators have been proposed to describe

the device conception and its behaviour. In [6], we find for an electro ther-
mal simulator integrated into the environment. This is based on the use of the
Verilog-A description language and the SKILL script language. The VERILOG-
A language is used for modeling electrical components and for thermal modeling.
Circuit design does not require all details which make such models very slow to
run. The EKV model is an accurate mathematical MOSFET model developed
by C. C. Enz, F. Krummenacher and E. A. Vittoz based in the 1980s, which
takes into account physical properties [9].
The manufacturers propose as much as possibles models for their new circuits.
Recently CREE proposed an LTspice simplified models for SiC MOSFETs like
the one we are interested in [2]. The models proposed in Psim, Pspice, LMS
AMESIM, Saber simulation softwares are often redundant, need solvers and
complex. Linearized models are valid only in a restricted area. In order to get
credible results based on simulations, we need to have accurate models, with
acceptable precision.
In [4] the proposed MOSFET model is base on combined nodal and voltage
loops analysis to get the equivalent circuit equations (by applying Kirchhoff’s
laws) to evaluate the states and their derivatives [8]. The main contribution of
[5] is the Gate-Drain capacitance characterization and its dependance on the
current flow.
2.2 The Nominal Electric Model
The electrical model of a SiC MOSFET proposed in [7] is based on the EKV’s
one. The electric equivalent circuit of Fig. 1 summarizes the model description
like it has been used in physical modeling based simulation softwares like Saber,
Pspice and Psim. The Source, Gate and Drain voltages are respectively VS , VG
et VD . The resistance RG estimates the gate losses as well as RD and RS are used
to account for losses at the Source and Drain electrodes. The circuit includes also
3 inductors in series with the electrodes (LG , LD , LS ) to describe the behavior
at high frequencies.
In this model, we used parameters extracted from the data-sheet [3,7]. The
model accounts for a MOSFET operation in 3 regions. It is composed by two
current sources IG1 and IG2 . For interpolation between these 3 regions of opera-
tion, a linear combination of logarithmic functions is used by EKV. The specific
2
current is Is0 = 2.Vth .Ks .gm . The Drain-Source current (IDS ), in the EKV MOS-
FET model, is defined by equation (??), as the difference between the direct IG1
(2) and the reverse one IG2 (3) [6].
IM = IG1 (Vp − VS ) − IG2 (Vp − VD ) (1)

300 N. K. M’Sirdi et al.
Fig. 1. Electric model of the SiC MOSFET (C2M0080120D)
2
Vp − Vs
IG1 = Is .gm . Ln(1 + exp ) (2)
2VDS
2
Vp − VD
IG2 = Is .f t. Ln(1 − exp ) (3)
2
−Vth )
gm is the transconductance, Ks is the slope factor, Vp = (VGK s
the pinch
voltage with Vth the thermodynamic reference voltage and f t the internal ther-
mal voltage.
The following electric equations corresponding to the Fig. 1 can then be
obtained applying the Kirchhoff laws for each current node and voltage loop
of the circuit. The equation system is redundant and non linear. Let us note
ξ {0, 1} a state control variable introduced to switch betokening the ON/OFF
states. We have ξ = 1 when the MOSFET is in ON state and respectively ξ = 0
when the MOSFET is in the OFF state.
⎧
⎪
⎪ VGG = LG didtG + RG iG + VGS + VS
⎪
⎪
⎪
⎪ VDD = LD didtD + RD iD + VDS + VS
⎪
⎪
⎪
⎪ VDD − VGG = LD didtD + RD iD + VDG − LG didtG − RG iG
⎪
⎪
⎪
⎪ VS = LS didtS + RS iS
⎪
⎪
⎪
⎨ VDS = ξ.RDSon IM
iDS = CDS dVdtDS (4)
⎪
⎪
⎪
⎪ i = C dVGS
⎪
⎪
GS GS dt
⎪
⎪ iDG = CDG dVdtDG
⎪
⎪
⎪
⎪ iG = CGS dVdtGS − CDG dVdtDG
⎪
⎪
⎪
⎪ iD = ξ.IM + CDG dVdtDG + CDS dVdtDS
⎪
⎩
iS = ξ.IM + CGS dVdtGS + CDS dVdtDS
The Modified Nodal Analysis (MNA) is in general used to solve this set of
simultaneous, redundant and non linear equations [1,10] by selecting appropriate
variables. The best formulation, to avoid redundancy, computation burden and

singularities, for simulation and the control design, is the state space form, after
simplifying the model.
The inputs are the voltage sources (u(t) = [VGG , VDD ]T ) and the outputs
may be all the state variables ( iG , iD , iS , VGS , VDG , VDS ) or only some of them
as needed by the application considered.
2.3 State Space SiC MOSFET Model
The SiC MOSFET inputs are the two voltage sources (VDD ,VGG ). The MOSFET
model is in general implemented as an electric circuit (see Fig. 1) completed with
an appropriate elements to switch between ON and OFF states and introducing
the non linear current of Eq. (??) [4]. The system of Eq. 4 deduced by application
of Kirchoff’s laws is redundant and has different time and values scales. The
input, the outputs and the state equation have to be carefully selected.
First State Space Formulation Trial. The SiC MOSFET circuit is made of
six energy storage elements (3 capacitances and 3 inductances). Storage elements
are obviated in the system Eq. 4. The corresponding energy storage variables are,
in nature, the internal system states (to be used for the state space representa-
tion).
We can keep as state variables the 3 currents (charging the capacitances) and
the 3 voltages (inductors), which seem, a priori, independent. The chosen state
vector X is then composed by v1 and v2 .
T T
v1 = iG iD iS and v2 = VGS VDG VDS (5)
T
X = iG iD iS VGS VDG VDS (6)
Let us keep only a minimum of independent equations (3 for voltages Differ-

ential Equations (DAE) and 3 for currents ones):
⎧
⎨ LG didtG + LS didtS + VGS + RG iG + RS iS = VGG
LD didtD − LG didtG − RG iG + RD iD + ξ.RDSon IM − VGS = VDD − VGG (7)
⎩ diS
dt
= didtD + didtG
⎧
⎨ −CDG dVdtDG + CGS dVdtGS = iG
C dVDS + CGS dVdtGS = iS − ξ.IM (8)
⎩ DS dVdtDS
dt − dt − dt = 0
dVDG dVGS
We get then

v̇1 = −M1−1 K1 v1 − M1−1 K2 v2 + M1−1 u1 + ξ.M1−1 RDSon u2

(9)
v̇2 = −M2−1 K3 v1 + M2−1 u2
which gives us the state space representations of the electric part of the model
Ẋ = AX + Bu (10)
The matrices are as follows

⎡ ⎤ ⎡ ⎤
LG 0 LS RG 0 RS
M1 = ⎣ −LG LD 0 ⎦ , K1 = ⎣ −RG RD 0 ⎦ (11)
−1 −1 1 0 0 0
⎡ ⎤ ⎡ ⎤
1 00 VGG
K2 = ⎣ −1 0 0 ⎦ and u1 = ⎣ VDD − VGG ⎦ (12)
0 00 0
and
⎡ ⎤ ⎡ ⎤
CGS −CDG 0 0
M2 = ⎣ CGS 0 CDS ⎦ and u2 = ⎣ −IM ⎦ (13)
−1 −1 1 0
⎡ ⎤
−1 0 0
K3 = ⎣ 0 0 −1 ⎦ (14)
0 0 0
Computing the inverse matrices M1−1 et M2−1 , we get the A matrix

⎡ −R ⎤
G (LD +LS ) RD LS −RS LD −LD −LS
d1 d1 d1 d1
0 0
⎢ RG LS −RD (LG +LS ) −LG RS LS ⎥
⎢ 0 0⎥
⎢ d1 d1 d1 d1 ⎥
⎢ −RG LD −RD LG −RS (LD +LG ) −LD
0 0⎥
A=⎢
⎢
d1 d1 d1 d1 ⎥ (15)
⎢
CDS
d2
0 CDG
d2
0 0 0⎥⎥
⎢ −(CDS +CGS ) CGS ⎥
⎣ d2
0 d2
0 0 0⎦
− CdGS
2
0 CDG +CGS
d2
0 0 0
This state space representation offers a very bad numerical conditioning. We

can remark that we have two null eigen values λ1 = λ2 = 0. This means that
there are two integrators in the process. This will integrate twice all the numerical
computation errors. There are two big complex conjugate eigen values, in the A
matrix which are for our case: λ3 = λ∗34 = −1.1250e + 08 + 1.0468e + 08i. The
last two eigen values are the biggest and the smallest ones λ5 = −87.903e + 06
and λ6 = 8.4371e − 09. They have as ratio λλ12 = −1.0419e + 16 which show us
that this matrix is very badly conditioned for simulation computings.
This proves that this state space form cannot be used in simulations because
of the numerical problems; this justifies the need of the NDA approach [4].
Second State Space Formulation. The fact we got two zero eigen values
means that special relations exist between the state variables considered and
inputs. Effectively we can remark that in the system equations we have Algebraic
equations mixed with differential equations. The previous system 4 can then be
rewritten to emphasize the Differential and Algebraic Equations (DAE). We
can observe, in the ordinary differential equations (ODEs) of 16 and 17, that
dependence of the three currents and the three voltages is obvious. Each one of
those systems has then only 2 independent ODEs, as their third one expresses
only the difference between the previous ones.
⎧ di di
⎨ LG dtG + LS dtS + RG iG + RS iS + VGS = VGG
diD
L + RD iD + VDS + LS didtS + RS iS = VDD (16)
⎩ D dt
iD = iS − iG = iDG + iDS + ξ.IM
⎧
⎨ −CDG dVdtDG + CGS dVdtGS = iG
C dVDS + CGS dVdtGS = iS − ξ.IM (17)
⎩ DS dt
VDS = VDG + VGS
So we can remark that the variables iD and VDS (respectively) can be deduced
T
by algebraic equations from the state variables v1 = iG , iS and v2 =
T
VGS , VDG (respectively). In addition these equations include the system
non linearities and thermal dependances and variations. We can replace iD =
iS −iG = iDG +iDS +IM . The same can be done for the voltage VDS = VDG +VGS
which imposes the inherent EKV current sources. Then we get the following ODE
systems become

LG didtG + LS didtS + RG iG + RS iS + VGS = VGG
−LD dt + (LD + LS ) didtS − RD iG + (RD + RS ) iS + ξ.RDSon IM = VDD
diG
(18)

CGS dVdtGS − CDG dVdtDG − iG = 0
(19)
(CGS + CDS ) dVdtGS + CDS dVdtDG − iS = −ξ.IM
Finally

v̇1 = −M1−1 K1 v1 − M1−1 K2 v2 + M1−1 u1

(20)
v̇2 = −M2−1 K3 v1 + ξ.M2−1 u2
The matrices are as follows

LG LS RG RS
M1 = , K1 = (21)
−LD LD + LS −RD RD + RS

10 VGG
K2 = and u1 = (22)
00 VDD
and

CGS −CDG 0
M2 = and u2 = (23)
CGS + CDS CDS −IM

−1 0
K3 = (24)
0 −1
The matrices determinants are d1 = 2.7900.10−16 and d2 = 2.1135.10−19

(respectively for M1 and M2 ) which means than we have interest to simulate the
two equations separately (one for v1 and the second for v2 ). The system has as
eigen values λp :
λp = 108 [−0.4679 + 6.3800i; −0.4679 − 6.3800i; −1.0967 + 1.7151i; −1.0967 − 1.7151i]
(25)
3 Simulations Tests and Model Validation

In order to verify the afore-mentioned characteristics, a series of simulation cir-
cuits were developed. The developed model has been implemented in Saber,
Pspice and Psim softwares and compared to the experimental curves presented
by the SiC MOSFET data sheet for its validation and parameters extraction
(Fig. 2).
Fig. 2. Transient responses
4 Conclusion
A new state space model has been proposed in this paper for a SiC Power MOS-
FET. It is deduced from an electric equivalent circuit, by selecting appropriate
nonlinear differential equations written in a state space form.
This model can be implemented under Matlab/Simulink software and tested

in simulation. The Characteristics of the MOSFET simulation models (on-state
resistance, threshold voltage, and transconductance, etc...) are compared to
Pspice simulation model.
The simulation model of SiC power MOSFET is easy to use in numerical
design and prototyping of electric circuits and simulations. The future work of
our staff will be on nonlinear and robust control of a power circuit including the
SiC MOSFETs.
Acknowledgments. This research activity was held by the SASV group of the LIS
and cofunded by an FUI project. The authors would like to thanks also Europractice
(http://www.europractice.stfc.ac.uk/).
References
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http://www.cree.com/products/pdf/CMF20120D.pdf
3. Frifita K, M’Sirdi NK, Baghaz E, Naamane A, Boussak M (April 2018) Electro-
thermal model of a silicon carbide power mosfet. submitted to ICEERE2018, Saidia
Oujda Morroco
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Design and Simulation of an Ion Sensitive Field
Effect Transistor (ISFET) Readout Circuit,
with Low Thermal Sensitivity
Abdelkhalak Harrak(&) and Salah Eddine Naimi
SDMN Team, ERSETI Laboratory, ENSA, Mohammed First University,

BP 669, 60000 Oujda, Morocco
{a.harrak,s.naimi}@ump.ac.ma
Abstract. Ion Sensitive Field Effect Transistor (ISFET) is one of the biological
and/or chemical sensors compatible with the CMOS technology. The sensitivity
of the ISFET is measured connecting the device to a readout circuit that provides
an output voltage related to the threshold voltage shift according to the ion
concentration. However, the influence of the temperature on the whole system
(Electrolyte-ISFET-Readout circuit) is critical for proper processing. The pro-
posed readout circuit tends to minimize the thermal sensitivity of the sensor
circuit. The simulation was done using the AMI 1 µm CMOS process provided
by MOSIS, while the Verilog-A was used to model a pH-ISFET behavior.
Simulation results with 3 V supply voltage and a temperature range from 20 °C
to 80 °C, shows a pH sensitivity of 40 mV/pH with thermal sensitivity less than
0.0005517 pH/°C. The coefficient of determination R2 is around 0.999984 at
T = 20 °C and quantify the strength of the linear relationship.
Keywords: pH-ISFET Readout-circuit Temperature sensitivity
1 Introduction
The ISFET (Ion-Sensitive Field Effect Transistor) sensor was invented by Bergveld in
the early 1970s [1]. Since its first apparition, its structures knew many developments
and ameliorations in several domains, such as chemical ones which are becoming more
popular for measuring ionic concentrations of electrolyte solutions [2, 3]. Showing
remarkable capability for biochemical analysis, the ISFET may be used to identify
glucose, proteins and hormones [4]. It has attracted a considerable attention in most
research, its integration with CMOS technology makes it very cheap. His capacity to
operate under low voltage with low power consumption allows him to meet the demand
for low-voltage and low-power systems. Recently, it has been confirmed that the pH-
ISFET sensor can be fabricated using a series of industrial CMOS technologies [4, 5].
Despite the advantages of the ISFET sensor, it requires more investigation to decrease
the temperature sensitivity, the body effect concerns and the device mismatch, due to
the process variation, which are the major problems for precision circuit design. Most
recent researches in the field have made to develop temperature compensation tech-
niques in order to achieve more stable ISFETs sensors [6, 7]. Complex architecture

https://doi.org/10.1007/978-981-13-1405-6_37
Design and Simulation of an Ion Sensitive Field Effect Transistor 307
circuits have shown the best results. Develop a simple analog circuit that can support
all the constraints mentioned previously is a challenge [8]. In this paper, we propose a
relatively simple analog readout circuit associated with a CMOS compatible pH-ISFET
structure. To feed the proposed readout circuit, we have chosen a modified Widlar
current source that shows good stability and low-temperature sensitivity than an
ordinary current source. The readout circuit is simulated to verify the temperature
dependency advantages.
2 The pH-ISFET Structure
The schematic illustration exposed by Fig. 1a, shows the structure of the CMOS
compatible, ion sensitive field effect structure (ISFET). It is the same as the MOSFET
structure, except that the gate insulation is exposed to the fluid. The metal gate is thus
replaced by a reference electrode (typically Ag/AgCl) emerged in an electrolyte and the
gate dielectric replaced by a sensitive membrane such as silicon nitride. The typical
structure, shown in Fig. 1a constrained to make the passivation gate far to the gate of
the MOSFET, by connecting them with a metal, to avoid the influence of the trapped
charge between the passivation layer source and passivation layer-drain. As it can be
seen, the integration with semiconductor technologies allows building different sensors
such as pH-ISFETs, BioFETs and REFETs, by a simple change in the sensitive
membrane. The macro-model of the presented structure is shown in Fig. 1b. The well-
known site binding theory combined to the Gouy-Chapman-Stern double-layer model
and the standard model of the MOSFET transistor (BSIM3v3) contribute developing a
robust behavioral model of the ISFET. The threshold voltage of the ISFET is the sum
of the threshold voltage of the MOSFET and some potential (Vchem ) across the
electrolyte.
VTH ðISFET Þ ¼ VTH ðMOSFET Þ þ Vchem ð1Þ
Fig. 1. (a) Diagram cross-section of the CMOS compatible pH-ISFET structure, (b) Behavioral
macro model of the structure in (a)
308 A. Harrak and S. E. Naimi
As provided in [4], the Vchem voltage expression, which depends on the pH of the
electrolyte, is shown in (2).
/m
Vchem ¼ Eref w0 þ vsol ð2Þ
q
Where Eref ; w0 ; /m ; vsol and q are respectively, the relative potential of the reference
electrode, the potential drop in the electrolyte at the insulator-electrolyte interface, the
electron work function at the gate metal, the electrolyte-insulator surface dipole
potential with a typical value of 50 mV and the electron charge. In Eq. (2), w0 is the
only parameter responsible for the ISFET pH sensitivity, as explained by the site
binding theory. The expression of the surface potential from (2) is as follow:
0 1
2w0
exp expðlogðKa Kb Þ þ 4:6pH Þ
½Nsil @ A
UT
w0 ¼ q
Ceq 2w0 w0
exp þ expðlogðKa Þ þ 2:3pHÞ exp þ expðlogðKa Kb Þ þ 4:6pH
0
UT
1
UT
ð3Þ
w0
exp
þ qNnit @ A
UT
w0
exp UT þ Ka expðlogðKa Þ
Kn
þ 2:3pHÞ
With
Ceq ¼ Cgouy CHelm =ðCgouy þ CHelm Þ ð4Þ
The surface potential of the sensitive membrane (in case of Si3 N4 ), is modeled
using a double sites theory. In Eq. 3, Nsil is the density of silanol sites, Nnit the density
of amine sites. UT the thermal voltage, ka-kb and kn are the dissociation constants of
the chemical reactions at the insulator interface. The capacitances, Cgouy and Chelm are
related to the Gouy-Chapman-Stern double-layer model. The expression of the
potential surface considers the second order phenomena to allow a realistic behavior of
the sensors with the temperature. The model have been implemented in Verilog-A. The
passivation capacitances, Cpg , Cpsub and Cpb , are the gate passivation, substrate pas-
sivation and bulk passivation capacitances, respectively, they are associated to the two
dielectrics Si3 N4 and SiO2 , theses capacitances could be calculated by the following
equation:
eSi3 N4 eSiO2
Cpass ¼ ðw lÞchem e0 ð5Þ
eSi3 N4 :tSiO2 þ eSiO2 : tSi3 N4
The term ðw lÞchem in (5) is a geometric parameter that depends on the layout of
the floating gate. e0 ; eSi3 N4 and eSiO2 are the permittivity of a free space, silicon nitride
and silicon dioxide, respectively. tSi3 N4 and tSiO2 are the thickness of the silicon nitride
and the silicon oxide, respectively. The passivation characteristics are considered as big
problem in ISFETs sensors, we distinguish two main axes of this problem. First, the
trapped introduced charge in the passivation layer [4, 9, 10], will creates a threshold
voltage offset that will influence in the readout circuit and that is due to the fabrication
methods after membrane sensible deposition (a silicon nitride in our ISFET). Due to
passivation dielectric, which creates depletion charge next to the drain and source, this
later comes back to the passivation layer deposition in the gate of the MOSFET. To
resolve depletion charge and as shown in Fig. 1a, we have pushed the passivation layer
by a metal beside the gate of the MOSFET, without contact with the latest. The trapped
charge can be removed by the UV radiation as mentioned in [4]. The effective weak
inversion slop factor n of the MOSFET part of the ISFET is directly influenced by all
these capacitances. The slop factor n is given by the formula below [4].
Cd
n ¼ 1 þ ð6Þ
Cox ==Cpass ==Cgouy ==Chelm
Where Cd , Cox are respectively, the depletion and the oxide capacitances.
3 The Readout Circuit of the ISFET
To improve the output response of the ISFET structure, lot of circuits had been pre-
sented in the literature, as mentioned in [11]. The proposed circuit is composed of four
stages as shown in Fig. 2, the Caprio’s quad which allows extracting the threshold
voltage shift of the ISFET, two attenuators and voltage shifter who will adapt the signal
to the next stage, a differential amplifier and current sources.
Fig. 2. The readout circuit, stage 1: Caprio’s quad, stage 2: attenuators, stage 3: differential
amplifier
The role of each stage in the proposed circuit was explained and developed in
[8, 12].
The current source is one of the key elements for building a robust analog readout
circuit. We took advantage of the wealth of the existing current sources in the literature
to make a comparative study of two current sources, as shown in Fig. 3. The output of
the current source is connected to a cascode current mirror, which supplies the currents
I1 ; I2 and I3 to the readout circuit presented in Fig. 2.
Fig. 3. On the left, the standard Wildar current source, on the right, an improved Wildar current
source from [13]
4 Simulation Results and Discussion
In order to validate the model of the pH-ISFET, and to estimate the effect of the
temperature on the output of the sensor, the threshold shift of the pH-ISFET was
simulated for a pH of the electrolyte varying from 1 to 12. The results in Fig. 4, shows
that unfortunately, the output of the pH-ISFET gives a very large variation with the
temperature around 0.097 pH= C. The characteristics still show a high linearity
response.
Fig. 4. ISFET macro model output response
The simulation results of the temperature sensitivity of current sources, as well as the
output response of the readout circuit, are presented in Fig. 5 and Table 1. Both Widlar
sources were designed to achieve a required current around 7.3 µA. The transistors sizes
(W/L (µm/µm)) are shown in the circuits. As can be shown, the modified Widlar source
is less sensitive to the variation of the temperature compared to the standard Widlar
circuit. The output response of the readout circuit has a very good linearity, confirmed
by the values of the coefficient of determination of the regression R2 (R2 = 0.999893
and 0.999927 for a temperature T = 20 °C and 80 °C respectively). The maximum
Fig. 5. Final simulation of the readout circuit and the temperature sensitivity
Table 1. pH sensing properties and electrical characteristics of the readout circuit for both
current sources
Standard Wildar Modified Wildar
current source current source
Maximum sensitivity of the readout 0.00076 0.00055
circuit output (pH/°C)
Current source sensitivity (µA/°C) for 0.00953 0.00701
Iout= 7.3 µA
temperature sensitivity of the readout circuit output is around 0.00055 pH/°C when a
modified Widlar source is used, while it remains about 0.00076 pH/°C for the standard
Widlar source.
5 Conclusion
In this work, an analog readout circuit adapted to a CMOS compatible pH-ISFET

sensor was proposed. The behavioral model of the pH-ISFET was elaborated using a
site binding theory combined with the Gouy-Chapman-Stern double-layer model. The
Si3 N4 material with double sites was considered as a sensitive membrane in the sim-
ulation. A behavioral model of the sensor was implemented in Verilog-A. Our main
goal has been focused to perform a linear and temperature insensitive readout circuit for
the pH-ISFET. Two approaches of the current source needed in our readout circuit
were studied. A modified Widlar source was able to improve the temperature sensitivity
of the output, we got a simulated shift of about 0.00055 pH/°C for pH of 10.6 and only
0.000006 pH/°C for pH = 8. In addition, the linearity of the output is very good at a
range of temperature from 20 to 80 °C, the estimated coefficient of determination of the
regression R2 was about 0.9999.
References
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conventional 0.6-lm CMOS Process. IEEE Sens J 4:706–712. https://doi.org/10.1109/jsen.
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with on chip temperature sensing using CMOS standard process. Sens Actuators B 76:582–
593. https://doi.org/10.1016/S0925-4005(01)00639-6
7. Chung W-Y, Lin Y-T, Pijanowska DG, Yang C-H, Wang M-C, Krzyskow A, Torbicz W
(2006) New ISFET interface circuit design with temperature compensation. Microelectron J
37:1105–1114. https://doi.org/10.1016/j.mejo.2006.05.001
8. Harrak A, Naimi SE (2017) Design and simulation of low power CMOS compatible pH-
ISFET readout circuit, with low thermal sensitivity. IEEE Xplore 1:1–6. https://doi.org/10.
1109/EITech.2017.8255263
9. Cané C, Götz A, Merlos A, Gràcia I, Errachid A, Losantos P, Lora-Tamayo E (1996)
Multilayer ISFET membranes for microsystems applications. Sens Actuators B Chem
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JSEN.2016.2585920
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on pH-ISFET sensor operating in weak and moderate inversion regime: Model and circuitry.
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pp 475–478. https://doi.org/10.1109/mwscas.2014.6908455
Electrical and Thermal Modeling and Aging
Study of a C2M0025120D Silicon Carbide-
Based Power MOSFET Transistor
E. Baghaz(&), A. Naamane, and N. K. M’sirdi
Aix Marseille Univ, Université de Toulon, CNRS, LIS, Avenue escadrille

Normandie Niemen, 13397 Marseille Cedex 20, France
e.baghaz@yahoo.fr, aziz.naamane@lsis-lab.fr
Abstract. In most papers studies about MOSFETs aging are treated from a
materiel point of view, in this paper we consider the electrical aspects that
contribute to such degradation. Two important degradation mechanisms are
proposed related to the transistor bias and the increase of its temperature. This
study consists to push the studied transistor to operate in an aging mode by
imposing particular bias conditions and excessive junction temperature. Based
on some electrical quantities, such as drain leakage current and on the junction
temperature, the behavior of the transistor is deduced when operating in aging
mode. The simulation results obtained show that during these particular oper-
ations, the junction temperature increases, which may destroy the transistor.
Keywords: Silicon carbide Aging Power MODFET Boost converter

Leakage currents
1 Introduction
The field of power electronics has undergone considerable progress in recent years,
allowing it to have a higher degree of industrialization. In addition, research in this area
continues to progress to improve the performance of electronic components such as
silicon carbide (sic) transistors. The latter represent high-performance technology [1–6].
They respond well to the problems of silicon-made transistors. Specifically, SIC tran-
sistors help to avoid certain problems encountered by those of SI (very high response
time, a loss of power during switching, a significant Rdson resistance and a limited
operating temperature). Despite this improvement, however, the application of SIC
transistors in high power DC/DC converters suffers from several problems [7–10].
Among them, there is the problem of aging, caused by an overvoltage or current, high
temperature, distortion or inadequacy of the amplitude of control PWM signal. There-
fore, in order to solve this kind of issues the electro-thermal study is of a great help. In
this context, we studied the problem of aging of the C2M0025120D transistor. To do
this, we used this transistor in a medium power Boost DC/DC converter (3 kW). This
study was carried out, in the simulator (Pspice), by making the transistor operating in
particular conditions: high temperature, over-voltage or over-current. The objective of
this study is to show the behavior of the studied transistor, during its operation in aging

https://doi.org/10.1007/978-981-13-1405-6_38
314 E. Baghaz et al.
mode. The analysis of the electrical quantities (drain-source leakage current, gate
leakage current, junction temperature and Rdson resistance) show that there is an abrupt
variation, of these electrical quantities, during its operation in Aging Mode.
2 Aging Study of the C2M0025120D MOSFET Transistor
After studying the modeling of the transistor Sic C2M0025120D [1], we study in this
paragraph the behavior of this transistor, during its exposure to the degradation con-
ditions (aging), by using the transistor in a converter DC/DC (3 kW) and 10 kHz
switching frequency (Fig. 1). Then, in order to create ageing conditions several tech-
niques may be applied: exceeding the temperature supported by the transistor (in our
case 150 °C), poorly controlled transistor.
Fig. 1. Application of the C2M0025120D transistor in a DC/DC Boost Converter
In this study, the evolution of different electrical quantities representing the tran-
sistor studied are analyzed: the drain-source resistance, drain-source leakage current,
the junction temperature.
2.1 Influence of the Change in Grid-Source Voltages VGS on the Aging

of the Transistor
In order to validate the electro-thermal model of the transistor studied during this work.
We used the transistor in a Power converter DC/DC Boost, which generates a power
output of 3 KW. This study is based on the analysis of the behavior of the parameters of
the transistor, In the Pspice simulator, by varying the Gate-Source voltage (VGS) from
the Transistor from 0 to 10 V. In Fig. 2, we represented the junction temperature of the
transistor studied and the drain-Source leakage current. The results obtained show that:
• From 0 V up to 3 V: The transistor operates in a secure mode, the junction tem-
perature of the transistor is in the range of 25 °C (Fig. 2A). Then the drain-Source
leakage current (Fig. 2B) remains constant at 4.4 µa. As the transistor is OFF mode b,
Electrical and Thermal Modeling and Aging Study 315
the voltage Drain-Source VDS is equal to that of the input generator (200 V)
(Fig. 2C).
• From 3 V to 6 V: The transistor operates in degradation mode, during this period, it
is noted that there is a peak of junction temperature (leakage current) with a
maximum value of 50 °C (Fig. 2A and B). This abrupt variation of these two
parameters clearly shows that the transistor studied works in aging mode. In
addition, the VDS voltage toggles from 200 V to 87 V, when the voltage varies
from 5 V to 6 V (Fig. 2C).
• From 6 V to 12 V: The transistor operates in ON mode, and the junction temper-
ature returns to its initial value (25.6 °C) (Fig. 2A), the drain-source leakage current
(IDS) toggles from 4.4 µA in OFF mode to 7.5 µA in ON mode (Fig. 2C), then, the
VDS voltage becomes null from a 7 V VGS voltage, (it corresponds well to the
voltage of the transistor threshold) (Fig. 2B).
Zone A : Transistor is OFF state

Zone B : Transistor in aging mode
Zone C : Transistor is ON state
Fig. 2. Temperature junction (A) vs Vgs, Drain-source voltage Vds vs Vgs (B) and ° Drain-
source leakage current vs Vgs vs Vgs (C)
2.2 Influence of the Junction Temperature Variation on the Transistor

Aging
In order to show the behavior of the transistor studied during this work, during its
operation in aging mode, keeping the same application as that of the paragraph above.
We have varied the junction temperature of the transistor from 0 °C to 400 °C,
exceeding the maximum value of the temperature that can support the transistor, which
is of the order of 150 °C. The different results obtained are shown in Fig. 3. It appears
that:
• The source drain leakage current Ids of the transistor varies as a function of the
junction temperature, the maximum value is obtained at 225 °C, it is of the order of
70.3 lA. Beyond 225 °C, by exceeding the maximum value of the junction tem-
perature supported by the transistor, the leakage current Ids decreases (Fig. 3A).
• The leakage current of the Ig gate remains almost constant from 25 °C to 225 °C, it
varies around 70 lA. Beyond 225 °C, the leakage current Ig decreases until it
vanishes at 400 °C, (Fig. 3B).
• The resistance Rdson is of no help for the transistor aging, even if one exceeds the
supported temperature. It increases gradually as a function of the transistor junction
temperature (Fig. 3C).
Fig. 3. Electrical quantities of the C2M0025120D transistor. A: Drain-source leakage Current,

B: Grid leakage Current, C: Rdson resistance
2.3 Influence of the Change in Grid-Source Voltages VGS on the Aging

of the Transistor
The functioning of the transistors also depends on the quality of the control PWM
signal, this may result in a degraded operation of the transistor. In order to clarify this
point, keeping the same application of Fig. 1, we control the transistor by a PWM
signal completely distorted, this distortion is due to the absence of the driver between
the control part and the power one (Fig. 4A), and another appropriate PWM signal
Electrical and Thermal Modeling and Aging Study 317
using an 2111 driver (Fig. 4B). Then, for each case, we plotted the resulting junction
temperature (Fig. 4C and D). All the results obtained show that:
• The junction temperature of the C2M0025120D transistor increases by 34 °C
(Fig. 4D) in case of normal operation (appropriate PWM) at 115 °C when con-
trolled by a distorted PWM signal (Fig. 4C), i.e. an increase of 70.44%.
• The increase of the junction temperature results in the degradation of the perfor-
mance of the transistor (aging) and consequently, its destruction.
Fig. 4. Influence of the PWM signal State on the aging of the C2M0025120D transistor. A and
C: Distorted PWM Signal and the resulting junction temperature, B and D: PWM Signal and the
resulting junction temperature.
3 Conclusion
In this work, we studied an electro-thermal study of a power transistor based on silicon

carbide C2M0025120D. This study consists of defining the different equations linking
the different parameters of the transistor (VDS, IDS, Tj…), based on the electric and
thermal model of the transistor developed during this work [1]. Then, we studied the
aging of the transistor, by using the transistor in a DC/DC power converter, which
generates a power output of 3 KW. The aging study is done by pushing the transistor to
operate in particular conditions (temperature, drain current,…). From this study we
deduced the behavior of the transistor by considering the electrical parameters (the
drain-source leakage current, the junction temperature,…). The different results show
that in aging mode, there are abrupt variations of some electrical parameters, which
clearly shows that the electro-thermal model developed during this Work, for
C2M0025120D transistor reflects well the reality.
References
1. Frifita K, M’Sirdi N, Baghaz E, Naamane A, Boussak M (2018) Electro-thermal model of a
silicon carbide power MOSFET. In: Proceedings of ICEERE 2018, Saadia, Morocco
2. Brandelero J, Cougo B, Meynard T, Videau N, Goualard O, Bonnin X, Schneider H (2014)
Evaluation des pertes par commutation pour la conception des convertisseurset applications
des composants grands gap. In: Symposium de genie electrique (sge 14): ef-epf-mge 2014,
ens cachan, France, 8–9 juillet 2014
3. Lakrim A, Tahri D (2015) The DC behavioural electrothermal model of silicon carbide
power MOSFETs under SPICE. In: IEEE international conference on industrial technology
(ICIT), Seville, Spain, pp 2818–2823
4. Yin S, Wang T, Tseng KJ, Zhao J, Hu X (2013) Electro-thermal modeling of SiC power
devices for circuit simulation. IEEE
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d’une architecture doherty pour l’amplification de puissance a haut rendement. Thèse de
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behavioral model of a commercial sic 1200 V, 80 mΩ power MOSFET. IEEE
8. Ouaida R, Berthou M, Brosselard P, Oge S, Bevilacqua P, Joubert C: Etude sur les
transistors MOSFETs enCarbure de Silicium – Potentiel d’utilisation dans les Applications
Hautes Températures
9. Chen Z (2013) Electrical Integration of SiC Power Devices for High-Power-Density
Applications. Institut polytechnique Doctorat de l’Université d’État de Virginie, Etat Unis.,
26 September 2013
10. Santini T (2016) Contribution à l’étude de la fiabilité des MOSFETs en carbure de Silicium.
Thèse de doctorat de l’université de Lyon, France, 25 March 2016
11. Ouaida R (2014) Vieillissement et mécanismes de dégradation sur des composants de
puissance en carbure de silicium (SIC) pour des applications haute température. Thèse de
doctorat L’université Lyon 1, France, 29 Octobre 2014
12. http://www.wolfspeed.com/media/downloads/161/C2M0025120D.pdf
Improved Electrical Performance of InP-Based
Single Heterojunction Bipolar Transistor
in Terms of the Maximum Frequency
of Oscillation
J. Ouchrif(&), A. Baghdad, A. Sahel, A. Badri, and A. Ballouk
Electrical Engineering Department, EEA and TI Laboratory,

Faculty of Sciences and Techniques of Mohammedia,
Hassan II University of Casablanca, Mohammedia, Morocco
Ouchrif.jihane1@gmail.com
Abstract. Communication and Information technologies have known a great

evolution thanks to the use of Bipolar Heterojunction Transistors (HBTs). These
electronic devices have excellent electrical characteristics.
In this work, we have designed a topology of the InP/InGaAs Single
Heterojunction Bipolar Transistor SHBT using the simulator TCAD-Silvaco
(Technology Computer Aided Design). We have carried out the electronic
device according to its meshing, doping distribution, materials…Some physical
models were included in the simulation to consider the various mechanisms and
phenomena happening inside the device structure.
We then investigated the influence of two technological parameters which are
the base width Wb and the base doping concentration Nb on the electrical per-
formance of the SHBT in terms of the maximum frequency of oscillation fmax .
Finally, the obtained results based on our investigation allowed us to define an
optimized device which is promising for high frequency applications. The
maximum frequency of oscillation f max for the improved device is approxi-
mately equal to 23.0 GHz.
Keywords: Single heterojunction transistor TCAD-Silvaco

Maximum frequency of oscillation
1 Introduction
Nowadays, semiconductor components are used increasingly in the information and

communication technologies. They are high-speed devices due to the use of III-V
semiconductor materials in the manufacturing of such devices [1].
InP/InGaAs Single Heterojunction Bipolar Transistors (SHBTs) have demonstrated
excellent characteristics, they are promising devices for high frequency applications [2,
3]. SHBT’s electrical performance is mainly because of the small bandgap width of the
semiconductor material InGaAs used in the base layer where there is a high electron
mobility [4].
The purpose of this scientific paper is to improve the electrical performance of the
InP/InGaAs SHBT in terms of the maximum frequency of oscillation fmax by the

https://doi.org/10.1007/978-981-13-1405-6_39
320 J. Ouchrif et al.
investigation of the influence of two parameters the base doping concentration Nb and
the base width Wb .
The Single Heterojunction Bipolar Transistor used in this work, is composed from
III-V semiconductor materials, more precisely an InP binary alloy and an InGaAs
ternary alloy.
Scientists have shown elsewhere [5] the technique used for the fabrication of the
InP/InGaAs SHBT, they used the Molecular Jet Epitaxy (MBE) technique for the
growth of the different epitaxial layers of this electronic device and it was on Fe-doped
semi-insulating (100) InP substrates.
We have found for the MBE technique of InP/InGaAs SHBT that the growth is done
at a temperature of *420 °C, and it used specific conditions for Phosphide and Arsenide.
Other scientific papers [5, 6] have described the different processes of the phos-
phorus generation from a GaP decomposition.
2 InP/InGaAs SHBT Modeling
2.1 SHBT Description

The electronic device simulated in this work is mainly based on the papers [3, 4]. It is
an Npn Single Heterojunction Bipolar Transistor. InP and InGaAs are the semicon-
ductor materials used in the epitaxial layers, the contacts are made from the material
gold. This device structure consists from its top of n-In0:47 Ga0:53 As Cap layer (135 nm
[3], n ¼ 1 1019 cm3 [3, 4]), n-In0:47 Ga0:53 As Emitter 1 layer (135 nm [3], n ¼
1 1017 cm3 [3, 4]), n-InP Emitter 2 layer (40 nm [3], n ¼ 1 1017 cm3 [3, 4]),
In0:47 Ga0:53 As Spacer layer (5 nm [3], intrinsic), p-In0:47 Ga0:53 As Base layer (65 nm
[3], p ¼ 1:5 1019 cm3 [3, 4]), n-In0:47 Ga0:53 As Collector layer (630 nm [3], n ¼
1 1016 cm3 [3, 4]), n-In0:47 Ga0:53 As Sub-collector layer (500 nm [3], n ¼ 1
1019 cm3 [4]), In0:47 Ga0:53 As Buffer layer (10 nm [3], intrinsic). The emitter surface of
this electronic device is equal to 5 5 lm2 . The structure editor DevEDIT [7] was
used in the construction of the InP/InGaAs SHBT structure.
Fig. 1. Schematic cross-section of the InP/InGaAs SHBT

Improved Electrical Performance of InP-Based Single Heterojunction Bipolar Transistor 321
The Fig. 1 shows the simulated InP/InGaAs SHBT using the simulator TCAD-
Silvaco and it is visualized under Tonyplot. It presents a cross section of this device,
which is composed of different epitaxial layers colored differently in order to refer to a
specific semiconductor material. As shown in the figure above, the device structure is
symmetrical.
2.2 Physical and Numerical Modeling of InP/InGaAs SHBT

2.2.1 Physical Modeling of the InP/InGaAs SHBT
To consider the doping influence on the mobility of the electrons and the holes, we
added the concentration dependent analytical mobility which refers to the Caughey and
Thomas mobility model. In every region of the InP/InGaAs SHBT, the effective
mobility of electrons and holes is calculated according to the following equation [3, 8]:
d b
b TL l
lmax 300 TL
TL min 300
l ¼ lmin þ c a ð1Þ
300 1 þ 300TL N
NC
Where,
b, d and c are the temperature dependent coefficients, TL ¼ 300 K.
In the simulation of the electronic device, we have integrated some physical models
that contain the simulator to take into account the physical mechanisms and phenomena
occurring within the SHBT. Among these physical models, we cite the recombination
model SRH (Shockley read Hall), the carrier statistic model BGN (Bandgap Narrow-
ing), the Selberherr’s model of the ionization impact (IMPACT SELB), the Tunnel
effect model BBT.STD (Band-to-Band), the Parallel Electric Field Dependence model
(FLDMOB), and the optical model OPTR….
2.2.2 Numerical Modeling of the InP/InGaAs SHBT

For the numerical modeling of this electronic device, we used the simulator ATLAS to
solve numerically a serie of semiconductor equations [9, 10]. Among them, we mention
the Poisson’s equation, the carrier continuity equations, and the transport equations…In
the simulation, the Newton method was used for the mathematical model of this
electronic device.
In this section, the simulation results are shown and illustrated in the figures and the
tables below. All the results were made at room temperature (300 K). At first, we
simulated the Unilateral power gain (U) in dB as a function of the frequency and we
then extracted the maximum frequency of oscillation fmax . Afterwards, we evaluated the
influence of the base doping concentration Nb and the base width Wb on the electrical
performance of the InP/InGaAs SHBT in terms of the maximum frequency of
oscillation. Our investigation allowed us to determine the optimum values for the
evaluated parameters, and consequently to define an improved device intended for high
frequency applications.
3.1 AC Electrical Characteristics Results

The maximum frequency of oscillation fmax corresponds to the frequency for which the
Mason gain equals 1. This frequency is related to the cutoff frequency fT and to intrinsic
parameters and it is expressed by the following equation [11]:
rffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
fT
fmax ¼ ð2Þ
8pRB CCB
Where,
fT is the cutoff frequency, RB is the base resistance and CCB is the collector-base
junction capacitance.
Fig. 2. Unilateral power gain (dB) versus frequency
The Fig. 2 shows the evolution of the Unilateral power gain U (dB) as a function of
the frequency. We observed according to this curve that the maximum frequency of
oscillation fmax is approximately equal to 15 GHz. The Unilateral power gain U is of
the order of 30.805 dB.
The aim of this work is to define an optimized device which can operate at high
frequency applications. To do that, we examined the influence of the technological
parameters of the base layer, more precisely the base width Wb and the base doping
concentration Nb , on the electrical performance of the electronic device in terms of the
maximum frequency of oscillation fmax .
Fig. 3. Unilateral power gain U (dB) versus frequency for different base doping concentrations
Table 1. Impact of base doping profiles on maximum frequency of oscillation

Base doping concentration Nb (cm−3) Unilateral power gain (dB) fmax (GHz)
1 1020 30.141 22
5 10 19
30.142 21
2 1019 30.566 17
1.5 1019 30.805 15
1 1019 31.271 13
5 1018 31.94 10.5
2 1018 31.964 8.0
Through Fig. 3 and Table 1, we noticed a variation of the maximum frequency of

oscillation according to the base doping concentration. We investigated the values from
Nb ¼ 2 1018 cm3 to Nb ¼ 1 1020 cm3 . The Unilateral power gain U (dB)
increases with the decrease of the base doping concentration Nb . It is clearly observed
that when we increase the base doping concentration, the maximum frequency of
oscillation fmax increases. We noticed that Nb ¼ 1 1020 cm3 gives the highest
maximum frequency of oscillation fmax = 22 GHz, in comparison with the reference
device which gives fmax = 15 GHz for Nb ¼ 1:5 1019 cm3 . Therefore, we chose
the base doping concentration Nb equal to 1 1020 cm3 . As a result, there is a net
improvement in terms of the maximum frequency of oscillation fmax and it is estimated
to 46.67%.
Fig. 4. Unilateral power gain U (dB) versus frequency for different base widths
Table 2. Influence of base widths on maximum frequency of oscillation

Base width Wb (nm) Unilateral power gain (dB) fmax (GHz)
50 31.016 14.0
65 30.805 15.0
80 31.437 16.0
According to the Fig. 4 and Table 2, we simulated the Unilateral power gain U
(dB) as a function of the frequency for different base widths. We noticed that the
maximum frequency of oscillation fmax increases slightly when the base layer width is
increased. Therefore, it is the biggest base width equal to 80 nm which allows
obtaining a maximum frequency of oscillation higher than that of the reference device
which has a base width equal to 65 nm. As an optimum parameter for base width, we
chose Wb ¼ 80 nm, the maximum frequency of oscillation fmax is equal to 16.0 GHz.
In comparison to the reference device fmax of the order of 15.0 GHz, the improvement
is approximately equal to 6.67%.
Finally, we determined an improved structure of SHBT according to our investi-
gations in terms of the maximum frequency of oscillation fmax , in particular the base
doping concentration Nb ¼ 1 1020 cm3 and the base width Wb ¼ 80 nm. We
performed a 2D modeling of the new defined device. Afterwards, we simulated the AC
electrical characteristics as shown in the Fig. 5 below.
Fig. 5. Unilateral power gain U (dB) versus frequency for the improved device
The Fig. 5 presents the evolution of the Unilateral power gain (dB) as a function of
the frequency for the optimized InP/InGaAs SHBT. The new improved device has a
base doping concentration Nb ¼ 1 1020 cm3 and a base width Wb ¼ 80 nm.
Through this curve, we extracted the maximum frequency of oscillation fmax , it is equal
to 23.0 GHz. It is higher than the maximum frequency of oscillation obtained with the
reference device of value equal to 15.0 GHz. The improvement of the fmax for the
optimized electronic device in comparison to the reference device is around 53.33%.
4 Conclusion
This paper presents the topology of a Single Bipolar Transistor SHBT based on the
semiconductor materials InP and InGaAs. We carried out a 2D physical and numerical
modeling of this electronic device using the simulator TCAD-Silvaco. We added the
physical models such as SRH, FLDMOB, OPTR…..to consider the various physical
mechanisms occurring within SHBT. We then simulated the AC electrical character-
istics of this device, more precisely we visualized the figure of the unilateral power gain
U (dB) as a function of the frequency in order to extract the maximum frequency of
oscillation fmax . Afterwards, we evaluated the impact of technological parameters of the
base layer, in particular the base width and the base doping concentration on the
maximum frequency of oscillation fmax . Consequently, we chose the optimum
parameters Nb ¼ 1 1020 cm3 and Wb = 80 nm for the improved device. The
maximum frequency of oscillation is equal to 23.0 GHz, it is higher than fmax of the
reference device. The improvement is around 53.33%. The improved device is intended
for high frequency applications.
For our future works, we plan to study the influence of other technological
parameters on the maximum frequency of oscillation fmax , and also to evaluate their
influence on the cutoff frequency fT .
References
1. Gonzalez Sanchez T, Velazquez Pérez JE, Gutiérrez Conde PM, Pardo Collantes D (1992)
Electron transport in InP under high electric field conditions. IOP Sci 7(1):31–36
2. Yu D, Choi K, Lee K, Kim B, Zhu H, Vargason K, Kuo JM, Pinsukanjana P, Kao YC (2005)
Ultra-high-speed 0.25 lm emitter InP-InGaAs SHBTs with fmax of 687 GHz. In: 2004
international electron devices meeting, San Francisco, CA, USA, pp 557–560, 13–15
December 2004
3. Tauqeer T, Sexton J, Amir F, Missous M (2008) Two-dimensional physical and numerical
modelling of InP-based heterojunction bipolar transistors. In: The 7th international
conference on advanced semiconductor devices and microsystems, pp 271–274, 12–16
October 2008
4. Sexton J, Missous M (2002) Annealing experiments on INP/INGAAS single and double
HBTs grown by molecular beam epitaxy. In: The 10th IEEE international symposium on
electron devices for microwave and optoelectronic applications, EDMO 2002, pp 300–305
5. Sexton J, Tauqeer T, Mohiuddin M, Missous M (2008) GHz class low-power flash ADC for
broadband communications. In: The seventh international conference on advanced
semiconductor devices and microsystems, ASDAM 2008, Smolenice Castle, Slovakia,
pp 235–238, 12–16 October 2008
6. Missous M (2001) Optical and electrical properties of InO.48(AlxGa(1-x))0.52P grown by
solid source MBE using a GaP decomposition source. In: EDMO 2001 (Cat.
No. 01TH8567). IEEE, pp 1–8
7. DevEdit User’s Manual (2006) SILVACO International
8. Caughey DM, Thomas RE (1967) Proc IEEE 52(2):2192
9. ATLAS User’s Manual, Device Simulation Software, SILVACO International, 3 September
2010
10. Polleux J-L, Paszkiewicz L, Billabert A-L, Salset J, Rumelhard C (2004) Optimization of
InP–InGaAs HPT gain: design of an opto-microwave monolithic amplifier. IEEE Trans
Microw Theory Tech 52(3):871–881
11. Yu D, Lee K, Choi K, Kim B, Zhu H, Vargason K, Kuo JM, Pinsukanjana P, Kao YC (2006)
Design guideline for high-speed InP/InGaAs SHBT using a practical scaling law. Solid State
Electron 50(5):733–740
Power Electronics, Systems
and Applications
Switched Reluctance Motor Iron Losses
Prediction Method
Jamal Bouchnaif1(&) , Khalid Grari1, Anas Benslimane2,

and Manal Haloui1
1
LGEM Laboratory, ESTO, Mohamed Premier University,
j.bouchnaif@ump.ac.ma
2
ENSA, Mohamed Premier University, BP 669, 60000 Oujda, Morocco
Anas.benslimane@gmail.com
Abstract. This paper describes an analytical based method for iron losses
estimation in switched reluctance motor (SRM), It is based on analytical flux
calculation using airgap permeance. This method is compared to finite element
method in term of phase inductance and static pole flux linkage calculation. FFT
analysis is applied to each part of SRM flux waveforms to extract the amplitude
of the flux density harmonics. Iron losses are estimated in each part of the SRM,
the major part of the losses are located in the stator, Hysteresis losses are higher
than Eddy current losses in the SRM. Infrared camera is used to locate exper-
imentally the thermal signature of all losses.
Keywords: Switched reluctance motor Iron losses Analytical model
1 Introduction
Switched reluctance motor consist of stator where each phase is constituted by simple
two parts winding fitted in opposed slots, and rotor with simple teeth and no winding or
bars. The principle of operation of such motor is based on reluctance torque. SRM is
significantly more efficient than other drives in several applications and different loads.
SRM is being used for automotive propulsion, aerospace applications, coal shearing,
friction welding, textile spinning and household appliances. The main advantages of
this motor are simple construction, ruggedness, no winding in the rotor, no magnetic
materials, full torque at stall for long time, and fault tolerant, however this motor driven
by an inverter using IGBTs and freewheeling diodes operating at high frequency create
a lot of iron losses and magnetic noise.
The subject of this work is to describe a simple analytical approach for SRM iron
losses estimation, this method is based on stator and rotor flux densities calculation,
previous works [2–5] used matrix formulation, graphical construction or static flux
characteristic. The first section describes the geometrical SRM description with the
analytical MMF model, next the airgap permeance model is used to calculate the flux
densities in each part of the SRM, the results are compared with those obtained par finite
elements method for flux densities and experimental results for SRM inductance. After,
the Lavers method [8] and modified Steinmetz model [1] are used to compute iron losses.

https://doi.org/10.1007/978-981-13-1405-6_40
330 J. Bouchnaif et al.
2 SRM Geometry, Current and MMF Models
The study considers a doubly salient q phase, 2 pole per phase SRM, with Ns and Nr
tooth respectively in stator and rotor (q = Ns/2) (Fig. 1). Phases are powered by a
unipolar periodic square waveform current characterized by: period T, angular fre-
quency x, duty cycle Ton/T = 1/q = 2/Ns and phase shifted successively by 2T/Ns.
Fig. 1. Geometric description and tooth details of the doubly salient SRM
The current across the first phase is taken symmetric at the instant t = 0. In this case
The Fourier decomposition of the current across the phase p (p = 1, 2…q) is:
X1 pffiffiffi
2p
ip ¼ 2Ik cos kxt kðp 1Þ ð1Þ
k¼1
q
Ik is the rms value of the kth order harmonic current:
I k
Ik ¼ pffiffiffi sin cð Þ ð2Þ
2q q
Where sinc is the cardinal sine function and I the constant value of the square
waveform current.
The resultant MMF in the point M (Fig. 1) is the algebraic sum of the MMF created
by the q phases. After development using the Fourier series [1], the general MMF
expression is:
XX
n¼ ^nhs cosðkxt hs a þ / Þ ð3Þ
k khs
k hs
Switched Reluctance Motor Iron Losses Prediction Method 331
where:
pffiffiffi
^nhs ¼ 2nIk
Gs ð4Þ
k
psinðð2k hs Þp=2qÞ hs
k and hs are integers varying from −∞ to +∞, hs is the order of MMF spatial
repartition harmonic, it takes only odd values. Gshs and /khs are given by:
2sinðhs ðbs þ as Þ=2Þsinðhs ðbs as Þ=2Þ

Gshs ¼ ð5Þ
ðbs as Þh2s
/khs ¼ ð2k hs qÞp=2q ð6Þ
This model takes into consideration the opening tooth angles, it describes the
general formulation of the rotating fields in the machine when the MMF and current are
not sine. The analytical expression of the airgap permenace model [1, 7] is given by:
X
1 X
1
}ða; hÞ ¼ lo Aðks ; kr Þ cosððks Ns kr Nr Þa þ kr Nr hÞ ð7Þ
ks ¼ 1 kr ¼ 1
The function A(ks, kr) depends on the machine geometry.

The airgap permeance model includes a constant term and variable terms that
characterize the interaction between stator and rotor tooths.
3 Linked Fluxes and Iron Losses Estimation
The point M (Fig. 1) is submitted to the flux density B(a, t) resulting from the product
of the resulting MMF (3) with the airgap permeance (7) That leads to the final
expression below.
P
Bða; tÞ ¼ ^ kks cosðNxt ðhs þ ks Ns kr Nr Þakr Nr ho þ /kh
B h s kr
ð8Þ
s
k;hs ;ks ;kr
where: N ¼ k þ kr ðNs Nr Þ=2
^ kks ¼ lo Aðks ; kr Þ^
B nkhs ð9Þ
hs kr
ks and krvary like k from −∞ to +∞.

Integrating the flux density expression (8) under a stator pole leads to the flux
crossing this stator pole. Where R the average radius in the airgap and L the SRM
length, it comes:
Z as
Uds ¼ RL Bðt; aÞda ð10Þ
as
The development of the expression leads to:

X
Uds ¼ ^ ds cos Nxt kr Nr ho þ /kh
U ð11Þ
s
k;hs ;kr ;ks
Where:
U ^ kks sinðhs kr Nr Þas

^ ds ¼ 2R L B ð12Þ
hs kr
hs kr Nr
The SRM iron losses estimation requires the knowledge of the flux spatiotemporal
repartition. Enhanced knowledge is very complicated, so subdivision of the machine in
different parts according to the shape of the flux generated is necessary. These parts are:
stator yokes, stator poles, rotor poles and rotor core.
Dynamic iron losses estimation is based on three parameters: the static iron losses
of the SRM material submitted to sinusoidal flux waveform, the shape of these
waveforms and their spectral analysis.
The Lavers method [7] is used to evaluate the iron losses Piron as shown below.
Piron ¼ Ke Pe þ Kh Ph ð13Þ
Pe and Ph are static eddy current and hysteresis losses.

Eddy current correction factors Ke are calculated using the temporal and frequency
fluxes results using the expression (14).
2 XN
B1 iBi 2
Ke ¼ ð14Þ
Bp i¼1
B1
B1 is the amplitude of the fundamental flux density waveform.

Bp is the peak flux density waveform in the considered part of the SRM.
Bi are the amplitude of the flux density harmonics.
The hysteresis correction factors Khare calculated using the temporal flux wave-
forms as shown in the expression (15).
KX N
Kh ¼ 1 þ DBi ð15Þ
Bp i¼1
DBi are the gaps between the local extreme corresponding to hysteresis minor
loops. K is a coefficient depending on material.
4 Results and Interpretation
The outline of the analytical SRM inductance (Fig. 2) compared to the experimental
ones shows that the previous hypothesis are acceptable and the analytical model is
accurate.
Fig. 2. Inductance of the studied 2 kW, 8/6 SRM
The Table 1 gives a comparison of average analytical stator pole flux densities with
those deduced by finite element method taking into account the relative permeability
related to the magnetic material curve B(H). This study has been done for three rotor
positions and four current values. A small difference can be noted at low excitation
independently of the rotor position. For the position of conjunction the hypothesis of
radial field lines is verified extensively here.
Table 1. Comparison between analytical and numerical FEM flux densities

The SRM iron losses repartition (Fig. 3) shows that at low speed the hysteresis
losses are major, it constitute 80% of the iron losses. As soon as the SRM speed
increases the eddy current losses become more important, they are the difference
between the global iron losses and hysteresis losses, at 1750 rpm they are almost the
same. The stator poles iron losses are very important because the volume of these parts
is small compared to the global weight of the SRM. The infrared image (Fig. 4) taken
just after the SRM operation and before the decrease of motor temperature confirms
that the stator poles are the most hot part of the motor. Which is the signature of the
iron losses.
Fig. 3. SRM iron losses repartition for I = 3A
Fig. 4. SRM infrared image showing the signature of the iron losses (and copper losses in wires)
5 Conclusion
Measurement of SRM iron losses is very complicated operation especially at high

speed, the measurement of power in DC side before the inverter supplying the motor
could give an indication but the efficiency of the inverter should be known before for
each operating regime. That’s why a lot of manufacturer give only an estimation of
these losses. This analytical method is very simple compared to other method using a
lot of computation; it could also help for studying the influence of some parameters
(tooth shape, current and turn-on angle).
References
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motors. IET J Electr Power Appl 11(3):478–486 ISSN 1751-8679
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Analysis of the Electrical Unbalance Caused
by the Moroccan High-Speed Railway
in the High Voltage Power Grid
for the Starting Horizon (2018)
and the Horizon (2030)
Anas Benslimane1(&), Mostafa El Ouariachi1, Jamal Bouchnaif2,

and Khalid Grari2
1
Laboratory Renewable Energy, Embedded System and Information
Processing, National School of Applied Sciences, University of Mohammed I,
Oujda, Morocco
Anas.benslimane@gmail.com
2
Laboratory of Electrical Engineering and Maintenance, Higher School
of Technology, University of Mohammed I, Oujda, Morocco
Abstract. The objective of this paper is to analyze the effect of the electrical
unbalance caused by the new high-speed railway line (Tangier-Kenitera) built in
Morocco. This line will be started by the end of 2018, it will be supplied by two
substations at kilometer points (PK10 (Tangier side), PK185 (Kenitera side)).
These substations are supplied by high voltage lines (225 kV), from power
stations of the electricity provider in Morocco (ONEE). The connection of these
substations is between two phases, which will generate an unbalance in current
and voltage at the point of common coupling (PCC) in power grid. This
unbalance rise as a result of the railway traffic expansion in this high-speed line.
The limit value (1%) tolerated by the electricity provider (ONEE) it exceeds [1].
For this purpose, we analyze this unbalance for two horizons by simulation, the
first one (horizon 2018), where this high-speed line will start with reduced
railway traffic, and in the second horizon (the year 2030), the railway traffic
becomes very high.
Keywords: High speed railway Unbalance in high voltage power grid

STATCOM based VSI
1 Introduction
The project to build the high-speed rail line in Morocco (Tangier-Kenitera) is one of the
country’s major railway development projects. This line must have a permanent and
reliable supply from the high voltage power grid, in order to ensure a good continuity
of railway traffic service. Substations supplying the high-speed railway from the high
voltage lines represent a very important part of the polluting loads, which disrupt the
power grid [2, 3]. The main disturbances created by these substations are the har-
monics, the consumption of the reactive power, and the unbalance. However, the

https://doi.org/10.1007/978-981-13-1405-6_41
Analysis of the Electrical Unbalance Caused by the Moroccan High-Speed Railway 337
design of the new generations of high-speed trains made it possible to compensate for
harmonics and reactive power. The problem that still persists is the unbalance, which is
due to the connection of these substations between two phases of the high voltage line.
The circulation of the unbalanced currents will also cause a voltage unbalance
across the impedances of the lines, which will be superimposed on the nominal voltage
of the electrical power grid [2]. This disturbance, of course, has adverse consequences
on electrical equipment (which can range from a strong heating or sudden stop of
rotating machines to the total destruction of these equipments). In the first part of this
paper, we present in a general way, the principle of high-speed railway electrification,
as well as the power schema of the substation supplying the high-speed railway. In the
second part we analyze the unbalance by simulation in MATLAB/Simulink/
Simpowersystem, in function of the desired daily rail traffic for the two horizons
(starting horizon 2018 and horizon 2030) [1].
2 Principle of High-Speed Railway Electrification
The high-speed railway are supplied by the 2*25 KV-50 Hz system (Fig. 1), where the
single-phase transformer of the substation is connected between two phases of the high
voltage line of the electric power grid.
Fig. 1. A power schema of a single-phase AC substation 2*25KV-50 Hz [4–6].
With, IT: current consumed by the TGV, and i: return current in the rails;
This system consists in transporting the energy at a high voltage (50 kV) between
the catenary and a complementary cable, called “Negative feeder”. A voltage (25 kV)
between the catenary and the rail is obtained by means of autotransformers whose Mid-
point is connected to the rail. The transformers used to have a 2*25 kV voltage in
phase opposition have a mid-point secondary mid-point. The first implementation of
this solution was in 1981 on the TGV SUD-EST line in France [7].
338 A. Benslimane et al.
3 Analysis of Unbalance Caused by High-Speed Railway

Substations
3.1 Introduction to Unbalance
A three-phase system is balanced if the three (currents or voltages) having the same
amplitude, same frequency, as well as the phase difference between them equal to 120°,
otherwise the system is unbalanced. The substations generate a significant unbalance in
the high voltage lines with low short-circuit power (Scc), because they are more sen-
sitive to the disruptions. The (Fig. 2) shows the supply schema of a high-speed railway
substation from a three-phase line with line impedance (Zcc) [7].
Fig. 2. A power schema of a substation connection [7].
3.2 Characterization of the Unbalance

The definition of the unbalance is based on the three-phase system representation in
symmetrical components. According to the Fortescue transformation, the unbalanced

three phase quantities GA ; GB ; GC , can be decomposed into three symmetrical

components, positive, negative and zero sequence G þ ; G ; Go [8]:
2 3 2 32 3
Go 1
1 1 1 GA
4 Gþ 5 ¼ 4 1 a a2 54 GB 5 ð1Þ
3
G 1 a2 a GC
With, G: three-phase quantities (voltage (V) or current (I)), a: Operator of The

2p
Fortescue transformation rotation a ¼ ej 3 .
The unbalance factor (Ti) in European standards, is the ratio of the negative
sequence module by the positive sequence module, it quantifies the unbalance system
[9]:
G
Ti ¼ 100 ð2Þ
Gþ
3.3 Current Unbalance

Referring to (Fig. 2), the symmetrical components of the currents absorbed by the
substation are obtained using the Fortescue transformation (Fig. 3):
Fig. 3. A vector of the symmetrical components of the current.
8 8 pffiffi3
< IA ¼ ISS >
< I þ ¼ 3 IA þ aIB þ a IC ¼
1 2
ISS
pffiffi3 3
I ¼ ISS ) I ¼ 3 IA þ a IB þ aIC ¼ 3 ISS ejp3
1 2 ð3Þ
: B >
:
IC ¼ 0 I0 ¼ 0
With, Iss: current of substation.

The current unbalance factor is:
I
TiI ¼ 100 ¼ 100% ð4Þ
Iþ
3.4 Voltage Unbalance

Based on the equivalent circuit shown in (Fig. 4), the voltage unbalance produced at
the PCC can be calculated. The positive sequence of the voltages at the origin (V+) is
considered as phase reference. The line short-circuits impedance at the PCC is
expressed [7]:
Fig. 4. An equivalent circuits of symmetric components.

ZCC ¼ ZCC ejucc ¼ Rline þ jLline xr ð5Þ
With, Rline: high voltage line resistance, Lline: high voltage line inductance, xr:
pulsation of high voltage power grid, V: line-ground voltage in power grid;
To determine the voltage unbalance rate, first determine the modulus of the positive
and negative sequence of the voltages at the PCC (Fig. 5):
Fig. 5. A vector diagram of the direct component.
( pffiffi
V pcc ¼ ZCC I ¼ ZCC 33 ISS
ð6Þ
V þ pcc ¼ V þ DV V þ ZCC I þ cosðucc Þ
With, DV: voltage drop in positive sequence,

The factor of voltage unbalance at the PCC is given by the following relation [9]:

V pcc 100ZCC II þ ZCC TiI
TiV ¼ 100 ¼ Vþ ¼ Vþ ð7Þ
V þ pcc
Z cos ð u Þ pffi ZCC cosðucc Þ
Iþ CC cc 3
3 ISS
The apparent power of the substation (Sss) and, the apparent short circuit power at
PCC (Scc) are expressed:
( pffiffiffi
Sss 3V þ ISS
þ 2 ð8Þ
Scc ¼ 3 ðVZCCÞ
So after simplification, we obtain:
Sss
TiV ð%Þ 100 ð9Þ
SCC
3.5 Analysis of the Unbalance

We present in this section the technical characteristics for the two substations of the
high-speed railway (Tanger-Kenitera), as well as the characteristics of the high voltage
lines that they supply. Then, we analyze the voltage unbalance at the PCC, based on the
results obtained by simulation on the MATLAB/Simulink/Simpowersys.
Substations and High Voltage Lines Technical Characteristics.
These characteristics are given by the national office of railways (ONCF), and the
electricity provider (ONEE) in Morocco [1]. They are presented in this Table 1:
Table 1. Technical characteristics of the high-speed railway substations and HV lines.

Characteristics Tangier substation (PK10) Kenitera substation (PK185)
Rated power of the 40 MVA 40 MVA
single-phase
transformer
Connection Between two phases Between two phases
Rated voltage of HV 225 kV 225 kV
lines

Short-circuit power at 2800forN 3000forN
Scc ðMVAÞ ¼ Scc ðMVAÞ ¼
(PCC) 2390forN 1 2400forN 1
Line parameters Rline (Ω/Km) = 0,07 Rline (Ω/Km) = 0,07
Lline (mH/Km) = 1,26 Lline (mH/Km) = 1,26
Simulation of Predicted Unbalance. We present in this section simulation results of

the unbalance caused by both substations in the power grid in function of desired daily
railway traffic for two horizons (2018 and 2030). This simulation is realized for the
normal situation (N) and, the degraded situation (N−1) of the power grid.
Results interpretation for predicted unbalance caused by the Tangier substation
(PK10) (Fig. 6): - For the horizon 2018, the unbalance caused by this substation in the
high voltage power grid does not exceed the limit imposed by the energy provider
ONEE (1%) in the normal power grid situation (N, Scc = 2800MVA). On the other
hand, in the degraded mode (N−1, Scc = 2390MVA), the unbalance factor exceeds the
limit due to the low short circuit power at PCC in this situation.
- For the horizon 2030, the unbalance factor exceeds the limit value whatever the
power grid situation (N or N−1), it can reach up to 2.5%, due to the increase in power
consumption by the substation, which is due to the desired daily railway traffic
expansion.
Results interpretation for predicted unbalance caused by the Kenitera substation
(PK185) (Fig. 7): - For the horizon 2018, the unbalance caused by this substation in the
high voltage power grid exceeds the limit imposed by the energy provider (ONEE)
in the normal power grid situation (N, Scc = 3000MVA) and in a degraded situation
(N−1, Scc = 2400MVA), the unbalance factor can be up to 1.5%.
Fig. 6. Unbalance factor according to desired daily railway traffic caused by substation (Tanger-
PK10) for both horizons (2018 and 2030).
Fig. 7. Unbalance factor according to desired daily railway traffic caused by substation
(Kenitera -PK185) for both horizons (2018 and 2030).
- For the horizon 2030, the un balance factor can be as high as 2%, due to the
increase power consumption by the substation, which is due to the desired daily railway
traffic expansion.
4 Conclusion
From the previous results, we find that the Tangier substation (PK10) at the starting
horizon (2018) does not require the unbalance compensation, since the unbalance
factor does not exceed the limit imposed by the energy provider (ONEE). In 2030 the
unbalance caused by this substation increases up 2.7%, which requires the installation
of a static compensator (STATCOM). For the Kenitera substation (PK185), the
installation of a STATCOM is required in the starting horizon (2018).
In order to obtain an optimal compensator, the STATCOM must be sized on the
basis of the maximum power consumption by the substation in order to keep the
unbalance factor below 1%.
References
1. Group CEGELEC-SYSTRA-FG (2016) Design and realization of the electrical central sub-
station and the catenary power supply installations (marché de conception et de realisation du
central sous-station electrique et des installations d’alimentation de la catenaire). Study &
sizing report for High speed line. Version 3. ONCF (national office of Moroccan railway), 13
April 2016
2. Annette VJ, Basudeb B (2001) Assessment of voltage unbalance. IEEE Trans Power Deliv
16(4):782–790
3. Schlabbach J, Blume, D (2001) Voltage quality in electrical power systems. The Institution of
Engineering and Technology
4. Aeberhard M, Courtois C, Ladoux P (2010) Railway traction power supply from the state of
the art to future trends. In: Power electronics electrical drives automation and motion
(SPEEDAM), international symposium, pp 1350–1355, June 2010
5. Benslimane A, Oujar L, Sebti A (2010) Study of the traction return circuit and the protection
against fault related AC electric traction systems (in 2*25KV-50 Hz) of high speed line
(Tangier-Kenitera). End of integration project report. High speed line project direction.
Version 1. ONCF, pp 1–107, 15 March 2010
6. Grunbaum R (2007) FACTS for dynamic load balancing and voltage support in rail tration.
In: 12th international proceedings on power electronic european conference, pp 1–10
7. Raimondo G (2012) Power quality improvements in 25KV-50 Hz railway substations based
on chopper controlled impedances. Thesis in Electrical Engineering, Toulouse University
8. Bouchard RP, Guy O (1999) Electrotechnique, 2nd edn. Presses internationals polytechnic,
ISBN 2-553-00720-5
9. The Technical Union of Electricity (UTE) (2011) Voltage characteristics of electricity
supplied by public electricity networks. European standards EN50160, February 2011
Nonlinear Numerical Study of Mutual
Inductances for Switched Reluctance Machine
Kadi Laila(&) and Brouri Adil
ENSAM, IMSM, L2MC Laboratory, Moulay Ismail University,

Meknes, Morocco
lailakadigi@gmail.com, Moa.brouri@ensam-umi.ac.ma
Abstract. The Switched Reluctance Machine Mo(SRM) have a wide range of

speed operation, thermal robustness high performances, is cheap and easy to
construct and to Momaintain. For these reasons, it is investigated as an alternative
generator in many aspects like wind energy Moconversion, aircraft actuators Moand
Nonlinear Numerical Study of Mutual Inductances for SRM 345
2 Fundamentals of Operation for SRM
The principle of operating for SRM is based on the variations of reluctance due to
double saliency or magnetic (sheeted rotor or axially laminated) during the relative
displacement of rotor and stator [3]. Each pure SRM consists of two parts in relative
motion whose stator and rotor. The first one comprises a salient magnetic circuit
provided with coils traversed by a current, the second is only a ferromagnetic circuit,
also, salient but without any conductor or magnet [7] as shown in Fig. 1.
Switched Reluctance Machines can operate as a motor or generator. In order to
obtain motoring mode a stator phase is excited when rotor is moving from unaligned
position towards aligned position. Likewise, by exciting a stator phase when rotor is
moving from aligned towards unaligned position, a generating mode will be attained [4].
The magnetic flux created by the ampere-turns Ni oscillates between two extreme
values corresponds [5]:
Unaligned position in which the magnetic circuit has a maximum reluctance
(minimum inductance) as illustrated in Fig. 2a.
Aligned position in which the magnetic circuit has a minimum reluctance (maxi-
mum inductance) as explained in Fig. 2b.
The Switched Reluctance Generator (SRG) has three phases: excitation phase,
intermediate freewheeling phase, and generation phase. To feed each stator phase of the
SRM, we generally use asymmetric half bridge converter. The SRG drive consists of
the machine itself, the converter and the controller.
Fig. 1. Rotor and stator of an 8/6 SRM Fig. 2. (a) Opposing position; (b) Conjunction
position
3 Basic Nonlinear Equations for SRM
Neglecting the mutual inductances between phases. The equations for the SRM phase
are written as:
duðh; iÞ
V ¼ R i þ ð1Þ
dt
346 K. Laila and B. Adil
uðh; iÞ ¼ Lðh; iÞi ð2Þ

di @L @L di
V ¼ R i þ LðhÞ þ i x þ ð3Þ
dt @h @i dt
nR o
i
@W ðh; iÞ @ 0 ½L ð h; iÞi di
T ¼ ¼ ð4Þ
@h @h
The sign before V in (1) is determined by the operating mode of the system.
In the above expressions u, i, R, L, x, h, V, T, W are flux linkage, phase current,
phase résistance, phase inductance, rotor speed, rotor position angle, phase voltage,
phase torque, and co-energy, respectively.
Because of the magnetic saturation effect, the flux in the stator phases varies
according to the rotor position h and the current of each phase.
4 Finite Element Modeling
4.1 Finite Element Method and FEMM Software

The finite element analysis (FEA) is a numerical approximation to solve partial dif-
ferential equations (PDE) as well as of integral equations that are not easily solved in an
analytical way. The idea is to break the problem down into a large number region, each
with a simple geometry (e.g. triangle) [8].
FEMM is a software based on the numerical method (FEM) for solving low fre-
quency electrostatic and magnetostatic problems on two-dimensional planar and
axisymmetric [8].
In this study, the problem is a nonlinear (the material of the SRM stator and rotor is
steel M36 with nonlinear B-H characteristic) magnetostatic planar for 8/6 switched
reluctance machine. The parameter dimensions of SRM are given in [9].
4.2 Creating Geometry and Simulation Under FEMM

To start simulation and analysis, the FEMM contains the interface for drawing the
geometry of the problem to be solved and for defining material properties, circuits, and
boundary conditions [8]. The geometry can be drawn in other software which generates
*.dxf file [8]. In this study, the SRM geometry is created in autocad software in order to
import it to FEMM. Then, the materials properties of stator, rotor, circuits, and the
number of windings used in the SRM, also the boundary conditions of the problem
were defined. The M36 steel with nonlinear B-H characteristic were chosen for the
stator and rotor, the phase circuit is the copper, with 260 number of turns in windings,
and the boundary conditions is the type “PrescribedA’’ so in order to keep magnetic
flux from crossing the boundary and ensure the uniqueness of solution of Maxwell’s
equations [9] we impose the boundary condition A = 0 (Dirichlet) on external borders.
Once this preprocessor phase is finished the FEMM generates mesh for the geometry, a
triangulation is made, dividing the problem into triangles to solve the problem by finite
elements method. Then many simulations have to be launched to obtain the charac-
teristics of self-inductance and mutual inductances, for different values of the phase
current and different positions of the rotor, so the using of open-source scripting
language called LUA in the development of this study was important to automate the
whole process [9]. The script calculates the flux in a Four phases of SRM using
“mo_getcircuitproperties” for 20 current values from 1.5 A to 20 A, and for 31 posi-
tion values from 0º to 30º using two interactive loops. Finally, from the values of flux
obtained it is possible to calculate the self-inductances and mutual inductances values
respectively using the relation between current and flux.
5.1 Profile of Self-inductance and Mutual Inductances

Due to mechanical symmetry of the SRM, only the self-inductance of phase A has been
excited. For our machine the SRM 8/6 with 4 phases (A, B, C and D), the phase A was
considered as a reference for the measurements. The current was applied at the phase A
and changed from 1.5 A to 20 A, and the rotor position was changed from 0°
(alignment of poles) up to 30° (misalignment of the poles). This study involved getting
many data (fluxA, fluxB, fluxC, and fluxD) that are treated using MATLAB software.
Using finite element analysis modeling, the computing time is penalizing, for our study
the average processing time to obtain the flux characteristics was more than 20 h.
The characteristic of phase self-inductance vs. rotor position at different current
excitations is illustrated in Fig. 3, as shown, the value of the self-inductance in the
conjunction position 0° and in opposing position 30° corresponds to the maximum and
minimum values respectively. The phase inductance curve is nonlinear and it is seen
that for high current values the self-inductance does not variant much because there are
a big effect of saturation.
The mutual inductances of phases B, C, and D vs. rotor position at different values
of excitations currents are shown in Fig. 3. The figures show that the mutual induc-
tances values is very small in comparison with the self inductance values, for MAB
represent approximately 2,7% of the self-nductance considering a maximum values (for
a small currents) and 1% considering a minimum values (for a high currents), with
regard to the second mutual inductance MAC represent about 0,81% of the self-
inductance as a maximum value and 0,2% as a minimum value, as for the third mutual
inductance MAD represent approximately 1,08% of the self-inductance as a maximum
value and 0,5% as a minimum value.
The SRM is always operated in the magnetically saturated mode to maximize the
energy transfer. Through the analysis of the simulation results verify that in high
current (the effect of saturation is big) the values of mutual inductances doesn’t exceed
1% of self inductance. According to the researchers the mutual inductances can be
neglected for modeling SRM with no important effect on results because they are small,
approximately 1% of the self inductance [10].
It is noticeable that the mutual coupling between phases A and C is subtractive and
other mutual couplings are additive, it can be explained from the winding configuration
of SRM.
348 K. Laila and B. Adil
Fig. 3. Evolution of the self-inductance of phase “A”, Evolution of the mutual inductance of
phase “B, C, D”
6 Conclusion
This paper presented a nonlinear numerical study of the mutual inductances for
Switched Reluctance Machine. In the proposed study, it is shown that the mutual
coupling between phases is negligible in SRMs. Since mutual coupling is absent, each
phase is electrically independent of other phases this particularity is very important if a
short-circuit fault in one phase winding the other healthy phases of the machine and
their operation will not be threatened. Such independence of machine phases has huge
consequence in many aspects like traction and electric vehicles and aircraft actuators
and generators.
References
1. Cardenas R, Ray WF, Asher GM (1995) Switched reluctance generators for wind energy
applications. In: 26th annual IEEE power electronics specialists conference, PESC 1995
record, vol. 1, pp. 559–564. https://doi.org/10.1109/pesc.1995.474864
2. Torrey DA (1993) Variable-reluctance generators in wind-energy systems. In: Proceedings
of the IEEE power electronics specialists conference - PESC 1993, pp. 561–567. https://doi.
org/10.1109/pesc.1993.471982
3. Miller TJE (1993) Switched reluctance motors and their control. Magna Physics and
Clarendon Press, Oxford Oxford University Press, New York
4. Emadi A (2005) Handbook of automotive power electronics and motor drives. Taylor &
Francis, CRC Press, Boca Raton
5. Krishnan R (2001) Switched reluctance motor drives: modeling, simulation, analysis, design,
and applications. CRC Press, Boca Raton
6. Inanc N, Ozbulur V (2003) Torque ripple minimization of a switched reluctance motor by
using continuous sliding mode control technique. Electr Power Syst Res 66:241–251. https://
doi.org/10.1016/S0378-7796(03)00093-2
7. Toliyat HA, Kliman GB (2004) Handbook of electrical motor. CRC Press, Boca Raton
8. Meeker, D.: Finite element method magnetics. Version 4.2 User’s Manual (2010)
9. Kadi L, Brouri A (2017) Numerical modeling of a nonlinear four phase switched reluctance
machine. In: 5th international renewable and sustainable energy conference (IRSEC 2017),
Tangier, Morocco
10. Fleury A, Dias RJ, Araújo WRH, Silveira AWFV, Andrade DA, Ribeiro GC (2012) Effects
of the mutual inductances on the switched reluctance machines. In: European association for
the development of renewable energies, environment and power quality (EA4EPQ)
Design, Simulation and Implementation
of an Isolated Switched-Mode Power Supply
Driss Yousfi1(&), Hajji Bekkay1, Mohamed El Hafyani1,

Mustapha Kourchi2, Hassan Mohssine2, Nasrudin Abd Rahim3,
and Jeyraj Selvaraj3
1
LERSETI, Ecole Nationale des Sciences Appliquées, Université Mohamed I
Oujda, Oujda, Morocco
dr_yousfi@yahoo.com
2
Ecole Supérieure de Technologie - Agadir, Université Ibn Zohr,
Agadir, Morocco
3
University of Malay Power Energy Dedicated Advanced Centre,
Kuala Lumpur, Malaysia
Abstract. The aim of this work is to design and analyze an isolated switched
mode power supply controlled by the microcontroller F28335. A full bridge
converter has been chosen in order to achieve a high level of power (up to
1 kW). Basically, full bridge converter is a transformer-isolated buck converter
in which the energy transfer from primary to secondary is controlled using four
switches connected to the primary. The ratio of the switch decided the output
level. In this paper, a full bridge converter circuit is designed to obtain a pure
DC voltage ranging between 0 V and 600 V from 220 V, 50 Hz AC mains. The
output current can be regulated with a PID controller.
Keywords: Full bridge DC-DC converter Power electronics

Switching Mode Power Supply (SMPS) Phase-shifted PWM PID controller
DSP F28335
1 Introduction
Power supplies are needed for most every bit of electronics equipment with the
exception of battery-powered devices. Power supplies always involve power conver-
sion – converting the available power to the type of power required by the electronics
equipment.
When designing power converters it is necessary to find a compromise between the
physical size and the power, in other words, increase the power density. The devel-
opment of switch mode power supplies (SMPS) made it possible to increase the power
density. For example, an SMPS operating at 20 kHz is 4 times decreased in terms of
size and this increases with the increase of frequency. Thus, an SMPS design can
produce very compact and lightweight supply which is now an essential requirement
from the majority of electronic systems [1–4].
An isolated SMPS can be fairly complicated circuit as can be seen from the block
diagram shown in Fig. 1. The ac input supply is rectified by a bridge diode rectifier

https://doi.org/10.1007/978-981-13-1405-6_43
Design, Simulation and Implementation of an Isolated Switched-Mode Power Supply 351
then filtered by a capacitor to maintain a dc input supply which feeds directly a high
frequency power switching section. The energy transfer is guaranteed by a power
transformer and then the voltage is rectified and filtered again to obtain a dc output
voltage [5, 6 7, 8].
Fig. 1. Basic switched mode power supply block diagram.
The most common type of DC-DC converters can be divided into two categories
depending on how they transfer the power. The energy can go from the input through
the magnetics to the load simultaneously or the energy can be stored in the magnetics to
be released later to the load [3].
In this paper, a full bridge based switch mode power supply has been designed,
simulated then experimentally tested.
2 Modeling and Control of the Isolated Full Bridge Based

SMPS
2.1 Full Bridge Converter

The chosen programmable switched mode power supply is a full bridge converter,
based on MOSFET transistor. It’s inserted between a capacitor Ci and a resistive load
R. The functioning is at a fixed commutation frequency f = 1/T, where T is the tran-
sistor commutation period. The electrical circuit equivalent to this full bridge converter
is shown in Fig. 2.
Fig. 2. Full bridge converter topology.

352 D. Yousfi et al.
2.2 PWM Control

In this paper, the DC-DC converter is controlled by a phase-shifted PWM signals
which consists on adjusting the delay between the control signals of MOS1 and MOS4
(eventually MOS3 and MOS2) depending on the desired reference voltage and duty
cycle, according to the following equation:

1 Vref
D¼ T ð1Þ
2 4 Vdc
– D is the introduced delay.

– Vdc is the voltage at the capacitor Ci terminals and it equals 300 V.
– Vref is the voltage reference ranging between 0 and 2 Vdc:
The pulse width of the transistors will be kept at half the period (duty cycle equals
0.5), and nothing but the delay will be modified.
For some power applications, a PID controller is necessary to maintain the refer-
ence whether it is voltage or current one.
2.3 Voltage and Current Control

The SMPS chosen can be replaced by a simple circuit as shown in Fig. 3, containing a
dc voltage source, an output filter and a resistive load. The input dc source is the
voltage at the output of the diode bridge rectifier at the secondary winding of the
transformer.
Fig. 3. Electrical circuit equivalent to the full bridge converter.
The Laplace transfer function is given by:

Ns
V Vin Np
H 1 ð pÞ ¼ ¼ ð2Þ
D 1 þ R p þ LCp2
L
The studied system is a second order, the PID regulator makes it possible to
compensate the system two poles and impose the desired dynamics in the closed
loop. However, the filter has a faster dynamic so we can neglect the LC quantity to the
profit of L/R. Thus, a PI will be more suitable in this case and as a matter of fact we can
get rid of the derivative action that amplifies the noise.
Ki
PI ð pÞ ¼ Kp ð1 þ Þ ð3Þ
p
Where:

Ki ¼ RL
ð4Þ
Kp ¼ Ns Vin
Np
s Ki
– Np: number of primary transformer winding.

– Ns: number of secondary transformer winding.
– Vin: voltage at the output of the inverter.
– s: time constant desired in closed loop.
3 Simulation Results
The overall scheme of the full bridge based switch mode power supply is shown in
Fig. 4.
Fig. 4. Full bridge converter with PWM control.
To illustrate the obtained simulation results for our full bridge converter, the bellow
assumptions are considered [4–6] (Fig. 5 and Table 1):
Fig. 5. Wave form for Vref = 500 V.

Table 1. Design of the full bridge converter.

Component Symbol Value
Input voltage Vin 220 V
Capacitor Cin voltage Vdc 300 V
Frequency f 10 kHz
Duty cycle a 0.5
Output filter capacitor C 500 µF
Output filter inductance L 62.1 mH
– Vp is the voltage at the transformer primary inductance.

– Vo is the voltage at the transformer secondary inductance.
– Vr is the voltage at the load terminals.
– Ir is the current at the load terminals.
The intersection between the MOS 1 and 4 control signals allows delivering the
reference voltage Vdc to the transformer, while the intersection between the control
signals of MOS 2 and 3 delivers –Vdc to the transformer primary terminals. In other
cases, when MOS 2 and 4 or MOS 1 and 3 are controlled at the same time, a zero
voltage appears at the pulse transformer primary terminals, it becomes short circuited.
More the reference is increased; more the introduced delay is decreased. Thus, they
are inversely proportional.
4 Experimental Results
4.1 Experimental Results Without Regulation
The reference signal (Fig. 6) here is 0 V this is why the two signals are delayed with
T/2 (according to Eq. 1 established in Sect. 2.2).
Fig. 6. PWM control signals from DSP F28355.
Figure 7 presents the experimental results of the full bridge topology to test its
correspondence with the theoretical waveforms.
Fig. 7. Wave forms of voltages at the primary and secondary of the transformer and at the
output of the second bridge diode rectifier.
The figures shown below validate the correspondence between the experimental
results in one hand and simulation and theoretical results in the other hand. However, a
voltage drop of 6 V is evaluated due to voltage drop of the MOSFETs, diodes,
transformer and output filter.
4.2 Experimental Results with Regulation

At present, low voltage experimental tests have been accomplished. The desired system
performance in closed loop for current regulation is well guaranteed with a PI regulator
as shown by Fig. 8. However, a PI with an adaptive control remains the best choice due
to the influence of the resistor on the regulator parameters.
Fig. 8. Current and voltage at the R = 20X terminals with s = 0.1 s.
5 Conclusion
In this paper, an isolated full bridge based Switch Mode Power Supply is designed and
simulated under both Matlab/Simulink and PSIM. Then the circuit has been experi-
mentally validated. This work is very encouraging and motivates us to become fully
involved in SMPS research and development which became a necessity with the
increasing interest on electrical vehicles and power applications.
Acknowledgements. This work is supported by the Research Institute for Solar Energy and
New Energies - Morocco ‘IRESEN’.
References
1. Madsen M et al (2014) Low power very high frequency switch-mode power supply with 50 V
input and 5 V output. IEEE Trans Power Electron 29(12):6569–6580
2. Andersson C (2012) Design of a 2.5 kW DC/DC fullbridge converter. Göteborg, Sweden
3. Reshma KP et al (2016) Design and implementation of an isolated switched-mode power
supply for led application. In: Computation of Power, Energy Information and Communi-
cation (ICCPEIC). IEEE, 1 September 2016
4. Osinowo OE, Raji AG (2013) Switch mode-based constant voltage battery charger for new
generation motor vehicles. In: 2013 IEEE international conference on emerging & sustainable
technologies for power & ICT in a developing society (NIGERCON)
5. Young K et al (2009) Design and construction of a switch mode constant voltage battery
charger for new generation motor vehicles. The Springer
6. Miyaan H et al (2013) Design and implementation of high transformer for SMPS based
flyback DC-DC converter. Int J Eng Technol (IJET) 494–499
Control Systems
Robust ADRC Control of a Doubly Fed
Induction Generator Based Wind Energy
Conversion System
Mohssine Chakib1(&), Ahmed Essadki1, and Tamou Nasser2

1
Electrical Engineering Department of ENSET,
Mohammed V University, BP 6207, Rabat, Morocco
chakib1mohssine@gmail.com, ahmed.essadki1@gmail.com
2
Communication Networks Department of ENSIAS,
Mohammed V University, BP 713, Rabat, Morocco
tamounasser@gmail.com
Abstract. In this paper the issue of control strategies for the doubly fed
induction generator (DFIG) is addressed in a wind energy production. The
active and reactive power between the stator of DFIG and the grid are controlled
independently by using a novel linear control scheme called the Active Dis-
turbance Rejection Control (ADRC) based on the extended state observer
(ESO) in order to ensure the decoupling of the system from the actual distur-
bance acting on the plant. In order to maximize the power of wind energy
conversion, the use of MPPT control is indispensable. Finally, a numerical
simulation with MATLAB/Simulink confirms the performance of the proposed
controller.
Keywords: Active Disturbance Rejection Control

Doubly-fed induction generator Extended state observer Wind turbine
Maximum power point tracking (MPPT)
Nomenclature
DFIG Doubly-fed induction generator
ADRC Active Disturbance Rejection Control
ESO Extended State Observer
MPPT Maximum power point tracking
S, (r) Stator (rotor) index
/d, /q Direct and quadratic flux (Wb)
Rs, Rr Stator and rotor Resistance (Ω)
L (M) Inductance (Mutual inductance) (H)
V Wind speed (m/sec)
R Rotor radius (m)
b Pitch angle
Id, Iq Direct and quadratic rotor currents (A)
P (Q) Active (Reactive) power (W) (VAR)
xr (xs) Rotor electrical speed (Synchronous electrical speed) (rad/sec)

https://doi.org/10.1007/978-981-13-1405-6_44
360 M. Chakib et al.
1 Introduction
In recent years, there has been an evolution of the electricity production based on wind
energy. As a result, the wind energy is the subject of several researches. Although this
energy source is inexhaustible and environmental friendly, its relatively cost stay
interesting and its efficiency is still low compared to conventional sources [1–4].
The DFIG is broadly used for variable speed wind power generation system thanks
to its several advantages over other generators. These advantages are easiness of speed
control, operation at over a large range of wind speeds of 30% around the synchronous
speed and an inverter rated at 20–30% of the total system power [2–4, 6, 8]. Contrary,
the DFIG is subject to many constraints, such as the effects of parametric uncertainties
(due to overheating, saturation …) and the disturbance of the speed variation, which
could divert the system from its optimal functioning. Therefore, the control of DFIG
has become a very important research subject [4, 11].
In this paper we start with the description and modeling the components of the Wind
Energy Conversion System based on the DFIG. Then, a special linear control system
called ADRC is applied to the control of the rotor side converter and tested at a variable
wind speed. Finally, we conclude our work by interpretations of the simulation results.
2 Modeling of the Wind Energy Conversion System
Our wind energy conversion system is shown in Fig. 1 [1–4].
Fig. 1. Model of the variable speed wind turbine conversion chain.
2.1 Wind Turbine

The turbine transforms the wind energy into a mechanical energy. The aerodynamic
power available on a wind turbine rotor is given by the following equation [1–6]:
1
Paer ¼ Cp ðk; bÞqpR2 V 3 ð1Þ
2
Where q is the air density, R is the turbine radios and V is the wind velocity.
Robust ADRC Control of a Doubly Fed Induction Generator 361
According to [8], the power coefficient Cp is given by:

C
C2 k5
Cp ðk; bÞ ¼ C1 ð C3 b C4 Þe i
þ C6 k ð2Þ
ki
Where
Xt R 1 1 0:035
k¼ ¼ ð3Þ
V ki k þ 0:08b 1 þ b3
C1 ¼ 0:5176; C2 ¼ 116; C3 ¼ 0:4; C4 ¼ 5; C5 ¼ 21; C6 ¼ 0:0068
The mechanical model between the turbine and shaft generator is defined by [1–8]:
dXg Jt
Tmec ¼ J ¼ Tg Tem fv Xg With J ¼ 2 þ Jg ð4Þ
dt G
Where Tg, Tem and Tmec are respectively the torque of the fast shaft, the electro-
magnetic torque and the mechanical torque of generator, J is total moment of inertia
and fv is the viscous friction coefficient.
To extract the maximum power generated, we must fix the speed ratio to its optimal
value kopt and the power coefficient to its maximum value Cpmax [14]. The wind speed and
the electromagnetic torque reference are determined by the following equations [1, 3, 7].
b
Temref ¼
1
Cpmax qpR2 V b ¼ RXt
b 3 With V ð5Þ
2GXt kopt
The next figure represents the block diagram model of the turbine with MPPT
(Fig. 2):
Fig. 2. Block diagram model of the turbine without wind velocity measurement
2.2 Modeling of the DFIG

In this paper, we use a vector control of DFIG based on the stator field oriented control
(SFOC). We have adopted a stator flux aligned on the d-axis [1–8, 13]. Therefore:

/ds ¼ /s ¼ Ls Ids þ MIdr
ð6Þ
/qs ¼ 0 ¼ Ls Iqs þ MIqr
The d-axis is aligned with the supply voltage Vs, thus Vsd ¼ Vs ¼ xs /sd and
Vsq = 0. In addition, the stator resistance Rs can be neglected since this is a realistic
assumption for the high power generators [1–5].
The expressions of the active and reactive power are given by:
Ps ¼ Vs LMs Iqr M V2

Qs ¼ Vs Idr þ s ð7Þ
Ls Ls xs
For power control of DFIG, the expressions of the rotor voltages are established
according to the rotor currents (Eq. 8).
(
Vdr ¼ Rr Idr þ Lr r dIdtrd gxs Lr rIqr
dI ð8Þ
Vqr ¼ Rr Iqr þ Lr r dtrq gxs Lr rIrd þ gxs LVssxMs
2
Where: r ¼ 1 LML
s r
Therefore, the simplified model of DFIG is given in Fig. 3.
Fig. 3. Simplified theoretical model of DFIG

3 Synthesis of the ADRC Control and Its Application

to DFIG
3.1 Synthesis of ADRC Controller
The Extended State Observer (ESO) is the key of the ADRC, which allows to estimate
all real disturbances and modeling uncertainties, this estimate is used in the generation
of the control signal in order to decouple the system of the disturbance acting on the
actual process [2, 9, 10].
Consider a first order system time-varying dynamic system with single input
denoted u, and single-output denoted y (Eq. 9).
dy
¼ f ðy; d; tÞ þ b0 u ð9Þ
dt
Where f(y, d, t) represents the combined effect of internal and external disturbance,
b0 is a parameter gain and d represents the external disturbance.
The following mathematical system (Eq. 10) describes the state space of the pro-
cess as [2, 9, 12]:

x_ 1 ¼ x2 þ b0 u
ð10Þ
x2 ¼ f ; y ¼ x1
The system of equations (Eq. 11) presents the state-space representation of the ESO
[2, 9, 10]. (
bx 1 ¼ bx 2 þ b1 ðy bx 1 Þ þ b0 u
ð11Þ
bx 2 ¼ b2 ðy bx 1 Þ
Where [b1, b2] is the vector of the observer gain values are given as [12]:

b1 2SESO
¼ ð12Þ
b2 S2ESO
SESO is the pole of the observer is defined by the technique of placement of the
poles.
The control input is given by (Eq. 13) [12]:
u0 bf u0 bx 2
u¼ ¼ ð13Þ
b0 b0
According to [12], the plant has approximately integrating behavior, which can
easily be controlled, by a simple proportional controller (Eq. 14) with gain values
Kp [2, 12]. The input signal reference denoted r.
u0 ¼ Kp ðr by Þ ¼ Kp ðr bx 1 Þ ð14Þ
Where, Kp = SCL. Where, SCL denotes the desired closed loop pole. Usually the
controller regulation is done by observing the desired closed loop pole. Generally,
SESO = 3*10 SCL and consequently, SCL is the only setting parameter [12].
The Fig. 4 shows the structure of the linear ADRC controller for a first order
system [2, 9, 12].
Fig. 4. Control structure of ADRC
3.2 Applying the ADRC for Control of the Active and Reactive Power
of the DFIG
The direct and quadratic rotor current is controlled by the ADRCcontroller, by
imposing reference voltages direct and quadratic of the rotor to the rotor side converter
(RSC) which generates the control signals using the Pulse Width Modulation
(PWM) (Fig. 5) [2].
Fig. 5. Scheme of power control of DFIG using ADRC controller
The rotor currents are rearranged to be in the following form:

(
dt ¼ rLr Ird þ xr Irq þ rLr Vrd
dIrd Rr 1
dIrq ð15Þ
dt ¼ rL
Rr
r
Irq xr Ird xr rLMr Ls /sq þ rL1 r Vrd
We can write these expressions in the following form:
dIrdq
¼ f Irdq ; d; t þ b0 uðtÞ ð16Þ
dt
Where:
(
f ðIrd ; d; tÞ ¼ rL
Rr
Ird þ xr Irq þ ðrL1 r b0 ÞVrd
r
ð17Þ
uðtÞ ¼ Vrd and b0 ¼ rL1 r
(
f ðIrq ; d; tÞ ¼ rL
Rr
Irq xr Ird xr rLMr Ls /sq þ ðrL1 r b0 ÞVrd
r
ð18Þ
uðtÞ ¼ Vrq and b0 ¼ rL1 r
4 Simulation with MATLAB/Simulink and Results
In [2] the performance test of the ADRC was realized at fixed speed, although our work
comprised of the wind turbine dynamic modeling and power extraction technique
(MPPT).
The wind speed is modeled in the determinist form by a sum of several harmonics,
according to [4], its expression is given by the following equation:
V ðtÞ ¼ V0 þ 2 sinðxtÞ 1:75 sinð3xtÞ þ 1:5 sinð5xtÞ 1:25 sinð10xtÞ

ð19Þ
þ sinð30xtÞ þ 0:5 sinð50xtÞ þ 0:25 sinð100xtÞ
Where V0 is the average wind speed and x = 2p/10

Figure 6 shows the simulated wind profile with an average speed of 4.5 m/s, this
figure shows that the turbine has a good adaptation to the variation of the wind thanks
to the MPPT control.
15 2000
Rotor speed (rpm)
Wind speed (m/s)
1500
10
1000
5
500
0 0
0 0.5 1 time (s) 1.5 2 2.5 3 0 0.5 1 time (s)1.5 2 2.5 3
Fig. 6. Wind Speed and Mechanical Rotor Speed
The reference reactive power is chosen as follow (Fig. 7):

• From t = 0 to t = 1 s and from t = 1.5 to t = 2 s: Qs-ref = 0 VAR
• From t = 1 to t = 1.5 s: Qs-ref = -5e5VAR
4.1 Test of Reference Tracking

Figure 7 shows that the active and reactive powers track with high and very good
performances as their references.
4
x 10
5 5
x 10 x 10
-5 2
2 Ps Ps-ref Qs Qs-ref
Reactive power of stator (VAR)

Active power of stator (W)
-10
0.99 1 1.01 0 5
0 x 10
0
4 -2
-2 x 10 -2
-5
-4 -4
-4
-10
1.49 1.5 1.51 1.52 1 1.05
-6 -6
0 0.5 time(s) 1 1.5 2 0 0.5 time(s) 1 1.5 2
Fig. 7. Active and reactive powers of stator and their references.
4.2 Test of Robustness

This test is to show the robustness of the ADRC controller by varying the internal
DFIG parameters by increasing the resistance Rr by 100% and the inductance Lr and Ls
by 20% and decreasing M by 10%.
The Fig. 8 shows that the increases in the resistance and inductance of rotor of
DFIG have not almost any influence on the operation of the generator because the
ADRC controller allows automatically compensate for the disturbance due to these
variations and the stability has not affected. Moreover, the outputs of our system track
their reference with high performances.
5
x 10
5
2*Rr x 10 1.2*Lr
2 Ps Ps-ref Qs Qs-ref 2 Ps Ps-ref Qs-ref Qs-ref

Ps (W) & Qs (VAR)
Ps (W) & Qs (VAR)
0 0
-2 -2
-4 -4
-6 -6
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2 0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2
5 time (s) 5
x 10 1.2*Ls x 10 0.9*M time (s)
2 2
Ps (W) & Qs (VAR)
Ps (W) & Qs (VAR)
0 0
-2 -2
-4 -4
-6 -6
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2 0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2
time (s) time (s)
Fig. 8. Active and reactive power of stator with varying the internal DFIG parameters
5 Conclusion
In this work, we presented the modeling of the wind turbine based on the DFIG,
developing ADRC controller and using the MPPT technic to extract the maximum
power generated in order to optimize the capture wind energy by tracking the optimal
speed. In addition, we have carried out a simulation in MATLAB/Simulink.
Finally, we can conclude through the results of simulation that the ADRC controller
is very efficient in terms of tracking performances and more robust to internal
parameters changes because this control strategy deletes in real time the effect of all
disturbances which can affect our system.
Appendix
See Tables 1, 2 and 3.
Table 1. DFIG parameters

Rated power 1.5 MW
Number of pole pairs p=2
Rated stator voltage 398/690 V
Resistance Rs = 0.012 Ω, Rr = 0.021 Ω
Inductance Ls = Lr = 0.0137 H, M = 0.0135 H
Nominal frequency f = 50 Hz
DC link voltage Udc = 1200 V
Table 2. Turbine parameters Table 3. ADRC controller parameters

3
Density of air 1.225 kg/m Parameter gain b0 = 2517
Damping coefficient fv = 0.0017 Controller gain Kp = 200
Moment of inertia J = 0.41 Pole of ESO SESO = 5SCL
Turbine diameter D = 70 m SESO = 1000
Gain multiplier G = 60 Extended state observer b1 = 2000
Optimal tip speed ratio kopt = 8.2 gains (ESO) b2 = 1000000
Maximal power Cpmax = 0.49
coefficient
References
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speed wind energy conversion systems. IEEE Trans Energy Convers 23:551–558
2. Boualouch A, Nasser T, Essadki A, Boukhriss A, Frigui A (2017) A robust power control of
a DFIG used in wind turbine conversion system. Int Energy J 17:1–10
3. Benbouzid M (2014) High-order sliding mode control of DFIG-based wind turbines. In:
Luo N, Vidal Y, Acho L (eds) Wind turbine control and monitoring. Springer, Cham
4. Nadour M, Essadki A, Nasser T (2017) Comparative analysis between PI & backstepping
control strategies of DFIG driven by wind turbine. Int J Renew Energy Res 7(3):1307–1316
5. Tamaarat A, Benakcha A (2014) Performance of PI controller for control of active and
reactive power in DFIG operating in a grid-connected variable speed wind energy
conversion system. Front Energy 8:371–378
6. Srikanth KS, Naga SaiBabu G, Marritboyina V (2017) Controlling of DFIG based wind
turbine. Int J Pure Appl Math. 114:293–301
7. El Aimani S (2011) Modeling and control structures for variable speed wind turbine. In:
IEEE international conference on multimedia computing and systems (ICMCS), Ouarzazate,
Morocco, pp 1–5
8. Han J (2009) From PID to active disturbance rejection control. IEEE Trans Ind Electron
56:900–906 IEEE J Mag
9. Hamane B, Doumbia ML, Bouhamida AM, Benghanem M (2014) Direct active and reactive
power control of DFIG based WECS using PI and sliding mode controllers. In: 40th annual
conference of the IEEE industrial electronics society (IECON), Dallas, TX, USA, pp 2050–
2055
10. Wang S, Tan W, Li D (2016) Design of linear ADRC for load frequency control of power
systems with wind turbine. In: 14th IEEE international conference on control, automation,
robotics and vision (ICARCV), USA, pp 1–5
11. Yang L, Yang GY, Xu Z, Dong ZY, Wong KP, Ma X (2010) Optimal controller design of a
doubly-fed induction generator wind turbine system for small signal stability enhancement.
IET Gener Transm Distrib 4(5):579–597
12. Herbst G (2013) A simulative study on active disturbance rejection control (ADRC) as a
control tool for practitioners. Electronics 2:246–279
13. Hachicha F, Krichen L (2011) Performance analysis of a wind energy conversion system
based on a doubly-fed induction generator. In: 8th IEEE international multi-conference on
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energy-conversion applications. IEEE Trans Ind Electron 53(2):486–494
Adaptive Super Twisting Sliding Mode
Controller for DC/DC Converters in Electric
Vehicle Applications
Saïd Boubzizi1, Moataz El Sied2, Jean Bester2,

and Augustin Mpanda Mabwe2(&)
1
STA Lab, ENI de Sfax, University of Sfax, 3038 Sfax, Tunisia
2
MIS Lab/ESIEE-Amiens, 14 Quai de la Somme, 80082 Amiens, France
mpanda@esiee-amiens.fr
Abstract. In this paper, an enhanced super twisting sliding mode controller is

presented, discussed and tested experimentally for DC/DC converters in electric
vehicle applications. The proposed controller achieved fast convergence and
transient response, ensured chatter free response, and improved reference
tracking accuracy. An experimental study has been investigated between the
proposed controller, PI and conventional super twisting sliding mode. The
comparison is performed at variable supply voltages and output currents to show
the effect of these variables on the converter performance. The experimental
results show that the dynamic response of the DC/DC converter is significantly
improved compared to classical controls.
Keywords: Sliding mode control (SMC) STW (super-twisting)

PI (Proportional integral) controller Buck converter
1 Introduction
Due to the growth of the world’s population in the last decade, energy consumption and
depletion of resources such as oil and gas are increasing faster than ever before. As a
result, Electric Vehicles (EVs) are considered as an alternative to fossil-fueled vehicles
[1–4]. In EVs, fuel cells (FCs), super capacitors (SCs) and batteries are generally used
as energy storage devices. The combination of these energy sources leads to a hybrid
FC/SC/battery hybrid power system (HPS), [5, 6] as it is shown in Fig. 1 in which the
DC/DC converter is a key element for connecting the HPS to the DC bus of the EVs.
The required performance of the DC/DC converter is to ensure a good dynamic
response as well as maintain a constant and robust output voltage despite the distur-
bances and uncertainties that can affect the system. However, the converter circuit is
inherently variable with non-linear components such as capacitors and inductors for
energy storage, and power switches for circuit switching. Sliding-mode approach is an
effective solution for controlling perturbed-systems [7–9]. Although SMC is robust and
insensitive to external perturbations and uncertainties of the system, it unfortunately
generates undesirable chattering [9]. High order sliding mode control techniques are
among the appropriate alternatives for avoiding chattering effects. This approach

https://doi.org/10.1007/978-981-13-1405-6_45
370 S. Boubzizi et al.
ensures driving of the sliding surface and its successive derivatives to zero as well as
increasing the stabilization of the system. Super-Twisting (STW) algorithm is a second-
order continuous SMC.
Fig. 1. Block diagram for the FC/SC/battery hybrid power system
The idea consists of generating a continuous control function which ensures the
convergence of the variable surface and its derivative in finite time under a gradient of
delimited perturbations, at a known limit. Indeed, the standard STW algorithm includes
a discontinuous term due to its integral, so the chattering is attenuated but not removed
[8–10]. This standard control requires knowledge of the limits of the disturbance
gradients which is not an easy task in practical cases. This results in an overestimation
of the disturbance limit while developing the STW laws which leads to higher control
gains. In this paper, an adaptive STW sliding mode algorithm is proposed in order to
achieve voltage and current control of a DC/DC converter. The control strategy
developed is original due to the proposed adaptive algorithm which allows an online
adaptation of control gains and permits to reduce by 50% the number of gains to be
adjusted, compared to the strategy proposed by [11]. The proposed strategy improves
the response of the system and solves the chattering problem of the standard STW
control. In order to prove the performance of the proposed control strategy, its dynamic
behavior is compared to the standard STW control and the PI controller under variable
supply voltage and load current conditions. The experimental results show the supe-
riority and efficiency of the proposed control in comparison to the other two techniques.
2 System Description
Figure 2 shows the block diagram of the buck converter with voltage and current mode
control. The current reference is deduced as an output signal of the voltage controller.
Two A/D conversions of the measured signals are required for the voltage and current-
mode control. The dynamic behavior of the buck converter in continuous conduction
mode can be expressed as given by the following Eq. (1):
(
I_L ¼ k1 dVin k1 Vout
ð1Þ
V_ out ¼ k2 IL k3 Vout
Adaptive Super Twisting Sliding Mode Controller 371
Fig. 2. Current-voltage mode control scheme for buck converter
where d is the duty cycle (0 d 1).
1 1 1
k 1 ¼ ; k2 ¼ ; k3 ¼
L C RC
where Vout is the output capacitor voltage and iL is the inductor current.
3 Control Strategy
The buck converter feedback control is a nonlinear function of the duty cycle, which
makes the controller design more challenging from the viewpoint of stability and
bandwidth. In this section, we propose a new control strategy based on second order
sliding mode (SOSM) control for the buck converter based on the cascade control
structure, which comprises an external loop (voltage regulation), and an internal loop
(current tracking). A schematic block diagram of the controller is shown in Fig. 2.
3.1 Adaptive Super Twisting-SMC

As is well known, the classical sliding mode method generates an undesirable chat-
tering effect which can be very harmful for the system. SOSM can only attenuate this
problem. Therefore, a robust adaptive STW strategy is proposed in order to eliminate
chatter as well as achieving better performance and faster response times through the
generation of a continuous control function with gain adaptation [6].
The switching surface used for voltage control of a buck converter is Eq. (2).
S ¼ Vout Vref ð2Þ
The time derivative of Eq. (2) is
S_ ¼ V_ out V_ ref
ð3Þ
¼ k2 IL k3 Vout V_ ref
Let’s consider function G as follows:
G ¼ V_ ref k3 Vout ð4Þ
Assumption 1: We assume that function G is bounded jGj djSj1=2 , where d is a

positive unknown constant.
Then, Eq. (3) can be written as:
S_ ¼ k2 U þ G ð5Þ
The super-twisting sliding mode controller for perturbation and chattering elimi-
nation is given by the next algorithm [10]:

U ¼ y a1 jSj1=2 sgnðSÞ ð6Þ
y_ ¼ a2 sgnðSÞ
where a1 and a2 are adaptive gains.

The theorem below, which is inspired by [6], provides sufficient conditions to
ensure the stability and robustness of voltage control of the buck converter.
Theorem 1: Consider the system described by Eq. (1) and the sliding surface given by
(2). If we apply the control law (6) based on Second Order Sliding Mode Controller to
the system, the closed-loop system (5) is ensured with finite-time convergence using
the following adaptive gain
8 ( qffiffi
>
< k 2cjSj; if jSj [ l
a_ 1 ðt; SÞ ¼
if jSj l ð7Þ
>
:
0;
a2 ðt; SÞ ¼ k2 ea1 ðt; SÞ
where e; k; l and c are arbitrary positive constants. The parameter l is introduced in

order to get only positive values for aðt; S1 Þ [ 0.
3.2 Stability Analysis of the Proposed Control

The stability of the system is analyzed through Lyapunov stability theory. This theory
states that if one can find a positive-definite function such that its derivative is negative-
definite, the system is asymptotically stable in the sense of Lyapunov.
Let us consider the derivative of our sliding surface S:
S_ ¼ k2 U þ G ð8Þ
and
(
S_ ¼ G þ k2 y k2 a1 jSj1=2 sgnðSÞ
ð9Þ
y_ ¼ a2 sgnðSÞ
where a1 and a2 are adaptive gains.

8 8 qffiffi
> < c
if jSj [ l
< a_ ðt; SÞ ¼ k 2jSj;
>
1
: ð10Þ
> 0; if jSj l
>
:
a2 ðt; SÞ ¼ k2 ea1 ðt; SÞ
Let’s introduce the following new vector:

T
z ¼ ðz1 ; z2 ÞT ¼ jSj1=2 sgnðSÞ; y ð11Þ
We can easily deduce the derivative of (11)

( G k2

z_ 1 ¼ jz11 j 2
2
þ 2 z2 k22a1 z1
ð12Þ
z_ 2 ¼ jaz12j z1
Using Assumption 1, we get
Gðz; tÞ ¼ qðz; tÞjSj1=2 sgnðSÞ ¼ qðz; tÞz1 ð13Þ
where qðz; tÞ is a bounded function, 0\qðz; tÞ\d:
z_ ¼ Aðz1 ; z2 Þz ð14Þ
with

1 k2 a1 þ q k2
Aðz1 ; z2 Þ ¼ ð15Þ
2jz1 j 2a2 0
The stability analysis of (14), can be proved using Lyapunov candidate function
(16), taken from [6]
1 2 1 2
V ðz; a1 ; a2 ÞT ¼ V0 þ a1 a1 þ a2 a2 ð16Þ
2c 2c
where

V0 ðzÞ ¼ k þ 4e2 z21 þ z22 4ez1 z2 ¼ zT Pz; k [ 0 ð17Þ

k þ 4e2 2e
P¼
2e 1
where P is a positive-definite matrix, ja1 ðt; SÞj a1 and ja2 ðt; SÞj a2 , 8t 0.
Hence, the derivative of (16) is

1 1
V_ ðz; a1 ; a2 ÞT ¼ zT AT P þ PA z þ ea1 a_ 1 þ ea2 a_ 2 ð18Þ
c c
where ea1 ¼ a1 a1 and eb1 ¼ b1 b1 .

For the first term of Eq. (18), one can state

1 T
V_ 0 ðz; a1 ; a2 ÞT ¼ zT AT P þ PA z z Qz ð19Þ
2jz1 j
where Q is a symmetric matrix, defined as follows

Q11 Q12
Q¼
Q21 4ek2

Q11 ¼ 2 k þ 4e2 ðk2 a1 qÞ 8ea
2:
with
Q12 ¼ 2eq 2ek2 a1 þ 2a2 k2 k þ 4e2 :
By choosing
a2 ¼ ek2 a1 ð20Þ
Q will be a positive-definite matrix if a1 satisfies (21):

2d k þ 4e2
a1 [ ð21Þ
2kk2
Then from (19),
1 T 2e T e1
V_ 0 ðzÞ z Qz z z¼ kz k2 ð22Þ
2jz1 j 2jz1 j jz1 j
with kmin ðPÞ and kmax ðPÞ as the minimal and maximal eigenvalues of matrix P, it can
be written:
kmin ðPÞkzk2 zT Pz kmax ðPÞkzk2

In view of (11), it can be deduced that
kzk2 ¼ z21 þ z22 ¼ jSj þ z22

1=2
V0 ðzÞ
and z1 ¼ jSj1=2 kzk 1=2 .
kmin ðPÞ
Then, the conclusion is
V_ 0 ðzÞ rV0
1=2
ð23Þ
1=2
ek ðPÞ
where, r ¼ k minðPÞ .
max
Incorporating (18) into (23):
V_ rV0 pkffiffiffi
1=2
ffi je jjSj pkffiffiffiffi jea2 jjSj þ 1c ea1 a_ 1 þ
2c a1 2c
ð24Þ
1
e _
a þ pkffiffiffiffi jea1 jjSj þ pkffiffiffiffi jea2 jjSj
c a2 2 2c 2c
Consider the well-known inequality

2 1=2
x þ y2 þ z 2 j xj þ j yj þ j z j
and in view of (24), it can be derived that

pkffiffiffi
ffi je jjSj pkffiffiffiffi jea2 jjSj
1=2
rV0 2c a1 2c
1=2 ð25Þ
2 2
g1 V0 þ 2c ðea1 SÞ þ 2
1 1
c ð e a2 S Þ
with g1 ¼ minðr; k; k Þ.
Let’s note term V1 as follows
1 1
V1 ¼ V0 þ ðea1 SÞ2 þ ðea2 SÞ2 :
2c 2c
From (25), (24) can be rewritten as
V_ ðz; a1 ; a2 Þ g1 V1 þ 1c ea1 a_ 1 þ 1c ea2 a_ 2 þ

1=2
ð26Þ
pkffiffiffiffi jea1 S1 j þ pkffiffiffiffi jea2 Sj:
2c 2c
Now we assume that adaptation adaptive gains a1 ðtÞ and a2 ðtÞ are bounded such
that ja1 ðtÞj a1 and ja2 ðtÞj a2 , 8t 0, then (26) becomes

V_ ðz; a1 ; a2 Þ g1 V1 jea1 j pkffiffiffi
ffi jSj
1=2 1
ca_1
2c
ð27Þ

jea2 j 1c a_ 2 pkffiffiffi
ffi j Sj :
2c
Thus (28) is obtained
V_ ðz; a1 ; a2 Þ g1 V1 ðz; a1 ; a2 Þ1=2 þ n ð28Þ
where
k
1 k 1
n ¼ jea1 j a_ 1 pffiffiffiffiffi jSj jea2 j a_ 2 pffiffiffiffiffi jSj :
c 2c c 2c
By choosing n ¼ 0, finite-time convergence can be ensured through the following

dynamic adaptation gains
rffiffiffi
c
a_ 1 ¼ k j Sj ð29Þ
2
From adaptation law (10) and (29), we have

rffiffiffiffiffi
c
a2 ¼ ek2 a1 ! a_ 2 ¼ ek2 a_ 1 ¼ k1 1 jSj:
2
qffi
c
By selecting e ¼ kk2 k c, n ¼ 0 is obtained.
Hence, the derivative of system (28) is guaranteed definite-negative (and therefore
convergence of S ¼ 0) which can be finally written as follows:
V_ ðz; a1 ; a2 Þ g1 V1
1=2
ð30Þ
with g1 [ 0.
3.3 PI Controller
In order to compare the performance of the adaptive STW controller, the buck con-
verter is also controlled by a PI controller given by (5). The output of the PI controller
is the duty cycle which is then compared with the triangular waveform of appropriate
frequency to get switching pulses.
Zt
d ¼ kp ðVref Vout Þ þ ki ðVref Vout Þdt ð31Þ
00
where d is the duty cycle.

4 Robustness Tests
Parameter variations and noise have a severe effect on the behavior of switch mode
power supplies and may cause instability. In this section, the robustness of the pro-
posed adaptive STW control strategy is evaluated and compared with standard STW
and PI controllers against parametric variations of the converter (R, L, C) and noise.
4.1 Inductance Variation

Figures 3 and 4 show the behavior of the output voltage and current when the
inductance value changes by 10%, at t = 0.1 s. It can clearly be seen that voltage and
current responses with the PI controller present some overshoot while with standard
and adaptive STW there is no effect. These results also show the advantage of the
proposed control, giving fast dynamics and less chattering compared to standard STW.
25
20
15
Vout (V)
20.5
10 Reference
20 PI
5 Standard STW
0.1 0.11 0.12 0.13
Adaptive STW
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time (s)
Fig. 3. Output voltage with inductance variation at t = 0.1s
3
Current (A)
4.4
2
4.3
PI
1 4.2 standard STW
0.1 0.11 0.12
Adaptive STW
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time (s)
Fig. 4. Output current with inductance variation at t = 0.1s.
4.2 Capacitance Variation

Figures 5 and 6 illustrate the influence of the variation of the capacitance value by
10%. The results show that PI control is the most sensitive to the variation of the
capacitance compared to the other two controllers. Adaptive and standard STW
strategies have good responses with small ripple voltage which is quickly damped.
25
20
15
22
Vout (V)
10 20
Reference
PI
18
5 Standard STW
0.1 0.105 0.11 Adaptive STW
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time (s)
Fig. 5. Output voltage with capacitance variation at t = 0.1s.
3
Current (A)
4.5
2
4 PI
1
Adaptive STW
0.1 0.105 0.11
Standard STW
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time (s)
Fig. 6. Output current with capacitance variation at t = 0.1s.
4.3 Noise Measurement

In the following, band-limited white noise is used to simulate noise interference. The
noise magnitude is between -1 and 1 as shown in Fig. 7, which equates to a 10%
variation of the output voltage. It is added to the output voltage as a measurement
noise. The resulting output voltage measurement (with noise) can be seen in Fig. 8. It
can be observed that the output voltage remains stable despite the added noise.
1
Noise
-1
-2
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time (s)
Fig. 7. Magnitude of noise added to output voltage.

25
20
15 20.5
Vout (V)
10 20
5 19.5
0.078 0.08 0.082 0.084
0 0.02 0.04 0.06 0.08 0.1 0.12 0.14 0.16 0.18 0.2
Time (s)
Fig. 8. Output voltage with added band-limited white noise.
Hence, it can be concluded that the robustness of the proposed adaptive STW
sliding mode strategy improves upon that of standard STW and PI controls.
In order to evaluate the performance of the DC/DC converter with its proposed control
strategy, an experimental test bench, shown in Fig. 9, has been designed. The power
circuit of the test bench shown in Fig. 9 encompasses the DC/DC converter, pro-
grammable DC-supply, DC electronic load and a dSPACE 1104. The parameters of the
DC/DC converter are listed in Table 1. The desired signals for calculating the reference
signal values are measured by appropriate sensors that are installed on the test bench.
dSPACE is widely used in many engineering fields and applications, especially in the
field of power electronics. Therefore, it is suitable for high-frequency power conversion
systems. This is because of its ability to perform complex mathematical computations
in a small time periods and with less effort. In this study, the control algorithm is first
developed in MATLAB-Simulink and then compiled and downloaded onto the
dSPACE controller board.
Fig. 9. Experimental test bench

Table 1. DC/DC converter parameters

Items Parameters Values
DC/DC converter Inductance 100 lH
Capacitance (C) 100 lF
Switching frequency (fs) 10 kHz
Fig. 10. Voltage mode control of a buck converter
In this section, the dynamic response of the buck converter under PI, standard STW
and proposed adaptive STW controls (Fig. 10) are presented and discussed using a DC
programmable source as the input supply of which the voltage varies between 115 V
and 130 V.
The output reference voltage profile is considered to vary with a step change from
50 V to 90 V to verify the effectiveness of, and to test the response of, the proposed
controller in comparison to PI and standard STW.
5.1 PI Controller
Figure 11 shows the input voltage (V_I), output current (I_O) and output voltage
(V_O) in the steady state condition under the PI control strategy using an output
voltage step variation. The output current and voltage are plotted in blue and green
where the input voltage is plotted in orange, respectively. The DC-supply voltage is
Fig. 11. Input and Output voltages and output current

Fig. 12. Step up variation using PI Fig. 13. Step down variation using PI
programmed to decrease from 130 V to 110 V where the output voltage is programmed
to vary from 50 V to 90 V as a step change. The step up and step down transient
responses of the buck converter using PI control are shown in Figs. 12 and 13. During
voltage step up variation from 50 V to 90 V, the settling time of the output voltage is
recorded as 7.5 ms with an overshoot equal to 22%. During step down output voltage
variation for the same control design, the settling time is measured as 5 ms with an
undershoot equal to 13.3%.
5.2 Standard STW Control

In this section, the step up and step down transient responses using standard STW are
shown in Figs. 14, 15 and 16, respectively. During output voltage step up variation, as
shown in Fig. 15, the settling time of the inductor current is recorded as 5 ms without
overshoot. During step down output voltage variation for the same control design, the
settling time is measured as 5 ms without undershoot. Although the STW control could
increase the robustness of the system, it generates undesirable chattering (Fig. 15) due
to the presence of a discontinuous term in its control law. In fact, chattering is the major
problem of sliding mode control in practical implementations.
Fig. 14. I-O voltages and output current using standard STW
Fig. 15. Step up variation, standard STW Fig. 16. Step down variation, standard STW
5.3 Adaptive STW: Proposed Control

Similar to the previous case study, the buck converter is tested with the same conditions
using the proposed adaptive STW controller, with the results shown in Figs. 17, 18 and
19. During output voltage step up variation as shown in Fig. 18, the settling time of the
input current is recorded as the same as the previous case study at 5 ms without
overshoot. During step down output voltage variation in Fig. 19 for the same control
design, the settling time is measured as 5 ms without undershoot. It can be noticed
from the figures that the chattering problem is eliminated using the proposed controller
and whilst maintaining the same dynamic performance as the standard STW controller.
Fig. 17. I-O voltages and output current using proposed control
Fig. 18. Step up variation, proposed control Fig. 19. Step down variation, proposed control
6 Conclusion
This paper proposed an enhanced STW sliding mode strategy for DC/DC converters
suitable for electric vehicle applications. The algorithm is based on measurements of
the inductor current and the output voltage. Both measurements were performed using
STW adaptive control and compared to PI and conventional STW controls with fixed
gains in term of current and voltage reference tracking and robustness. Although
deceptively simple, PI control has serious drawbacks that make it unsuitable for some
practical applications. The comparison done in this work shows the limits of this
regulator with important over- and undershoot in transient response which can have
negative effects on system response. The results presented show that a sliding mode
control method can be an interesting solution for systems based on DC/DC converter
technology. However, the chattering effect remains a significant problem with this
technique. All the developed algorithms were applied within a buck converter on a test
bench. The obtained results show that with adaptive STW control the dynamic per-
formance of standard STW control is maintained whilst eliminating chattering.
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A New Maximum Power Point Tracking
PV_Control for Rapid Changes
in Irradiation Level
Yamina Khlifi1(&), Bekkay Hajji1, and Abdelhafid Messaoudi2

1
Laboratory of Renewable Energy, Embedded Systems and Data Processing,
National School of Applied Sciences, Mohammed First University,
Oujda, Morocco
khlifi_yamina@yahoo.fr
2
National School of Applied Sciences, Alhociema, Morocco
Abstract. In this paper, we present the simulation results of a photovoltaic

(PV) system adapted by a new maximum power tracking command (MPPT)
under rapid changes in irradiation level. The PV system conceived included a
DC/DC boost converter and a typical MSX60 photovoltaic module. This module
provided, under the standard test conditions (STC), a maximum power of 60 W,
an optimal current of 3.55 A and an optimal voltage of 17 V. The obtained
simulation results show that the PV system converges for less than 10 ms
towards the optimal conditions independently of the irradiation level variations.
The results show also that the boost converter efficiency is very satisfactory. Its
value is of the order of 96% regardless of the irradiation level variations. Fur-
thermore, the proposed MPPT algorithm improves the performances and effi-
ciency of the PV system significantly. The efficiency of tracking the maximum
power point is about 99.8%.
Keywords: PV system modeling Matlab/Simulink MPPDC_D

MPPT command Duty cycle DC/DC converter Simulation
Efficiency
1 Introduction
Today, photovoltaic systems, generators of electricity, are of great interest because of

their frequent use in several applications. Indeed, their fields of application are con-
stantly expanding from pumping [1] to lighting [2] through all electronic applications.
These PV systems, composed of one or more photovoltaic modules, an adaptation
interface and the load, pose the problem of tracking the maximum power point
(MPP) delivered by the PV module as a result of changes in weather conditions or load.
Indeed, for a photovoltaic installation, a variation of 50% of illumination or load
induces a degradation of the power provided by the PV module of the order of 50%; in
addition, the PV module no longer works in optimal conditions [3]. Also, following
weather or load variations [3], these PV systems may diverge from the MPP and
converge towards extreme conditions of short-circuit or open-circuit [4–6].

https://doi.org/10.1007/978-981-13-1405-6_46
A New Maximum Power Point Tracking PV_Control 385
Until now, several types of MPPT commands for tracking the maximum power
point have been proposed. These commands are based on adaptive control algorithms
such as: the perturbation and observation (P&O) method [7], the conductance incre-
mentation (IC) method [8], the fuzzy logic algorithm [9] and the neural network
algorithm [10]. However, some commands have disadvantages such as oscillations
around the maximum power point for P&O command, and a misinterpretation on the
location of the MPP during a rapid change of weather conditions [7]. Also, these
commands vary in complexity, speed of convergence, cost and efficiency.
In this context, our work consists of modeling, in Matlab/Simulink environment, an
autonomous PV system including a PV module connected to a resistive load through a
DC/DC energy converter whose operation is controlled by a new MPPT command and
operating at a switching frequency of 100 kHz. In our case, the PV module is an
MSX60 [11] providing, under the standard test conditions, a maximum power of 60 W,
an optimal current of 3.55 A and an optimal voltage of 17 V. This photovoltaic module
is modeled in Matlab/Simulink environment [12, 13]. The energy converter is of boost
type [13]. The proposed MPPT command is based on a simple mathematical model
(MPPDC-D) that detects the maximum power point [13] and determines the duty cycle
at the MPP according to weather conditions variations.
Also, we analyze and evaluate the dynamic response of the PV system, exposed to
a rapid change in irradiation level which can occur at any time, using the simulation
results of the PV system thus conceived. These simulations concern mainly the dif-
ferent electrical parameters (current, voltage and power) and the response time
according to the irradiation level variations.
2 Photovoltaic System
2.1 Bloc Diagram

In [13], we have shown that PV system must include an adaptation interface, that is a
DC/DC converter, in order to operate under optimal conditions. This adaptation is
achieved by automatically seeking the maximum power point of the PV module when
the PV system is placed under stable state of meteorological conditions or of load. The
main problem is the conception of a command such as the PV system converges rapidly
to the optimal conditions regardless of sudden changes in irradiation level or load.
Figure 1 shows the block diagram of a PV system supplying a resistive load (Rs).
This system consists of a PV module, a DC/DC converter of boost type connected to a
resistive load, and a new MPPT control that allows the automatic tracking of the
maximum power point regardless of weather conditions or load variations.
Solar Module. The photovoltaic module (MSX60), included in the PV system (Fig. 1),
is implemented in Matlab/Simulink environment (Fig. 2), according to the procedure
described in [12, 13]. This MSX60 [11] monocrystalline silicon module consists of 36
photovoltaic cells in series. It can deliver under STC a maximum power of 60 W, an
optimal current of 3.55 A at an optimal voltage of 17 V.
386 Y. Khlifi et al.
Adaptation Interface. The adaptation interface is a DC/DC boost converter [14] used
for applications requiring voltages greater than the optimal voltage of the PV module
(17 V). The various components of the converter (inductance L, input and output
capacitors: Ce and Cs) are sized according to the following specifications: The con-
verter provides an adjustable voltage to the desired value (24 V) from the MSX60
module, with residual ripple not exceeding 10 mV in the input and output voltage. The
converter operates in continuous conduction at a switching frequency of 100 kHz.
Load. The load Rs which can be either two batteries (12 V) or a variable resistance Rs.
In the last case the Rs value must be greater than the optimal resistance of the PV
module (Rm) for a given irradiation level, so that the boost converter can perform its
role correctly.
DC/DC Boost Converter Load RS
PV Module
MSX60
New MPPT Command
Fig. 1. Synoptic diagram of the photovoltaic system whose operation is controlled by the MPPT
command.
Generally, for DC/DC converters, the MOSFET switch is controlled by a pulse

width modulated signal (PWM) with a variable Duty Cycle (d). This signal is delivered
by the maximum power point tracking command.
The voltage and the current (Vpv, Ipv) at the input of the boost converter are related
to those of the output (Vs and Is) by the following relations:
VS ¼ VPV =ð1 dÞ ð1Þ
IS ¼ ð1 dÞIPV ð2Þ
where:
d: duty cycle of the PWM signal. Its expression according to the resistance (Rpv) of
the PV module and the load (RS) is given by the following relation:
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
d¼1 RPV =RS ð3Þ
Since the duty cycle d is less than 1, the converter performs as a boost only if the load
RS satisfies the following condition:
RS [ RPV ð4Þ
Under optimal conditions, the duty cycle (d = dm) can be written, for a given load RS,
as a function of the module resistance (Rpv = Rm) by the following equation:
pffiffiffiffiffiffiffiffiffiffiffiffiffiffi
dm ¼ 1 Rm =RS ð5Þ
Rm ¼ Vm =Im ð6Þ
Vm and Im are the voltage and current at the MPP. They are determined from the
current expression (IPV) [12] according to the procedure described in [12].
The relation (5) shows that, for a given irradiation level (G), the power transferred
to the load could be maximum only for a well-defined duty cycle (dm) at the MPP.
MPPT Command. When the PV system supply a resistive load and the external
conditions change (irradiation level and temperature) [13, 15], the adaptation of the PV
module to the load can be done through the boost converter by adjusting the duty cycle
of the signal controlling this converter switch. The problem that arises is to conceive an
adaptation approach (MPPT command) which allows to adjust this duty cycle auto-
matically to its optimal value according to weather instabilities or to load variations. In
this work, a new MPPT command based on the maximum power point and duty cycle
detector (MPPDC_D) is proposed. Its principle is based on the automatic search of the
duty cycle dm at the MPP, in other words of the adequate value of the duty cycle, so
that the optimal power delivered by the PV module is almost transferred to the load
whatever the intensity of illumination.
2.2 PV System with MPPT Control Based on MPPDC_D
Simulink Model of PV System. Figure 2 represents the Simulink diagram of a PV

system supplying a resistive load (Rs) equipped with the MPPDC-D based MPPT
command. In our case the converter is of boost type, so the load value must be greater
than the optimal resistance of the PV module (Rs > Rm) for a given irradiation level G.
Rs is greater than Rm = 4.8 X for 1 sun (1000 W/m2) and superior to Rm = 7.9 X for
0.6 sun. We have simulated the PV system for a load of 10 X.
Fig. 2. Simulink model of PV system using MPPDC_D model.

Research Mechanism of the MPP. The MPPDC-D allow to calculate the current and
the voltage at the MPP [12] as well as the duty cycle dm for different irradiation levels
G and fixed temperature T. So, this dm duty cycle is considered as a reference value in
the MPPT command. This new command can be used to find the optimal operating
point of the PV module under steady states conditions and during a rapid change in
weather conditions or load. It delivers a pulse width modulated signal, of variable duty
cycle, for controlling the converter switch.
3.1 Effect of Rapid Change in Irradiation Level

Figures 4, 5 and 6 represents the typical simulation results, in Matlab/Simulink envi-
ronment, of voltages, currents, and powers at the input and output of the boost con-
verter as a function of time and according to the rapid changes of irradiation level G as
shown in Fig. 3 and a constant temperature (25 °C).
Fig. 3. Rapid variation in the irradiation level (G) as a function of time.
The obtained results show that the boost converter and the MPPT control equipped
with the MPPD_D perform their roles correctly: raising the voltage and transferring the
optimal power delivered by the PV module to the load independently of the rapid
changes in irradiation level.
It should be noted that the difference between the PV module power and that
supplied to the load remains within the limit of 2 W. These power losses are attributed
to the switching and conduction losses in the MOSFET transistor, in the diode and in
the various components of the MPPT control. Also, the boost converter efficiency is
very satisfactory. Its value is of the order of 96% regardless of the irradiation level
variations.
Fig. 4. Dynamic responses of voltages at the input (Vpv) and output (Vs) of the boost converter,
controlled by the MPPT command based on the MPPDC-D model, when the irradiation level
varies according to Fig. 3 and temperature fixed to 25 °C.
Fig. 5. Dynamic responses of currents at the input (Ipv) and output (Is) of the boost converter,
Fig. 6. Dynamic responses of powers at the input (Ppv) and output (Ps) of the boost converter,
3.2 Validation and Evaluation of the Proposed MPPT Control

To validate the MPPT algorithm, we proposed to calculate the efficiency of tracking the
MPP delivered by the PV module according to the rapid changes of irradiation level.
This MPPT efficiency is defined in the literature by the following relation [16]:
gMPPT ¼ PPV =Pm ð7Þ
The obtained results show that the new MPPT efficiency is very satisfactory. Its
value is of the order of 99.8% regardless to the changes in irradiation levels.
4 Conclusion
In this paper, we have analyzed, in Matlab/Simulink environment, the electrical

functioning of a photovoltaic system, adapted by a DC/DC boost converter, controlled
by a new MPPT command based on the detection of the duty cycle at the maximum
power point. The simulation results show that the PV system converges towards the
optimal conditions for less than 10 ms, independently of the irradiation level variations.
The efficiency of the boost converter is very satisfactory (96%) and the efficiency of
tracking the maximum power point by this new MPPT command is of the order of
99.8% regardless to the changes in irradiation levels.
These very interesting results, show that the use of the new MPPT control allow to
considerably improve the efficiency of photovoltaic installations. Validation of all these
results will be presented in future works.
References
1. Li G, Jin Y, Akram MW, Chen X (2017) Research and current status of the solar
photovoltaic water pumping system - a review. Renew Sustain Energy Rev 79:440–458
2. Hidalgo A, Villacrés L, Hechavarría R, Moya D (2017) Proposed integration of a
photovoltaic solar energy system and energy efficient technologies in the lighting system of
the UTA-Ecuador. Energy Procedia 134:296–305
3. Aziz A (2006) Propriétés Electriques des Composants Electroniques Minéraux et
Organiques, Conception et Modélisation d’une Chaîne Photovoltaïque pour une Meilleure
Exploitation de l’Energie Solaire. Thesis, Université Paul Sabatier - Toulouse III
4. Knopf H (1999) Analysis: simulation and evaluation of maximum power point tracking
(MPPT) methods for a solar powered vehicle. Thesis, Portland State University
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en énergie électrique. Thèse de l’université Paul Sabatier, LAAS/CNRS, N° 02569,
Toulouse, France
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sur le suivi du point de puissance maximale des systèmes photovoltaïques: commandes
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maximum power point tracking method. IEEE Trans Power Electron 20(4):963–973
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MSX64.pdf, Accessed 5 Jan 2018
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Matlab-Mathworks environment. Int J Sci Eng Res 5(2):448–454
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Morocco. IEEE, pp 628–632
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type PV generation system. Electr Eng Jpn 157(2):65–71
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l’environnement Orcad – Pspice l’adaptation DC-DC des systèmes photovoltaïques par
des convertisseurs de type Boost fonctionnant à haute fréquence. Rapport LAAS/CNRS N°
05267, Toulouse, France, 19 p
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algorithms using an experimental, programmable, maximum power point tracking test bed.
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Anchorage, AK, USA. IEEE, pp 1699–1702
Power Flow Control in Autonomous
Micro-grid Operation Using Ants Colony
Optimization Under Variable Load Conditions
Hemza Sellamna1(&), Nassir Rouibah2, Adel Mellit1,

Giuseppe Marco Tina3, and Hajji Bekkay4
1
Renewable Energy Laboratory, Faculty of Sciences and Technology,
Jijel University, PO. Box 98, Jijel, Algeria
kizmanhemza@yahoo.fr
2
The Electrical and Industrial Engineering Laboratory,
Faculty of Electronics and Informatics, University of Science and Technology
Houari Boumediene, Bab Ezzouar, Algeria
3
DIEEI: Department of Electric, Electronic and Computer Engineering,
University of Catania, v.le A. Doria 6, 95125 Catania, Italy
4
Ecole Nationale des Sciences Appliquées, BP 669, 60000 Oujda, Morocco
Abstract. This paper presents an optimal power flow controller for a utility
when the micro-grid is operating in islanded mode, based on a real time self-
tuning method. Droop control strategy is presented for accurate power sharing
between parallel connected inverters in an AC micro-grid islanded mode. The
controller scheme is composed of an inner current control loop and an outer
power control loop based on a synchronous reference frame and the conven-
tional PI regulators. A new control scheme based on a combination of droop
control and ant colony optimization (ACO) algorithm is proposed in this paper.
Droop control aims to share the load change after islanding occurs. ACO is an
intelligent searching algorithm that is applied for real-time self-tuning of the
power control parameters. The proposed strategy role is that the required load
power is shared equally between the micro-grid and the utility based on the
ACO algorithm during the load change. These are implemented using code in
the Matlab-Simulink environment. The simulations show that the proposed
scheme which combines droop control with ACO algorithm could operates well
in both grid islanded mode conditions.
Keywords: Droop control Ant colony optimization Pheromone trace

PID controller
1 Introduction
Integration of distributed generations is a significant part of a micro-grid in order to

provide a stable, reliable and efficient multiple sources of paralleled system [1]. The
high market penetration of the micro-sources such as wind, photovoltaic, hydro, and
fuel cell emerge as alternatives which provide green energy and a flexible extension to
the utility grid. This scenario represents a complementary infrastructure to the utility

https://doi.org/10.1007/978-981-13-1405-6_47
Power Flow Control in Autonomous Micro-grid Operation 393
grid that offers many advantages for the power system such as; peak load shaving,
reliability against the power system faults, and high power quality via a flexible control
scheme [1].
Moreover, the micro-grid can operate in two modes: grid-connected mode and
islanding mode. In such a system the micro-grid operates according to the inverters
control modes, so the synthetic control scheme is able to play a key role in ensuring the
high performance operation of the Distributed Generation (DG) units [3, 8–10].
Many researchers working on PID tuning methods with ACO up to now and they
used different kinds of approach to improve the performance of ACO. For example,
Varol et al. [3] used the ACO to tune PID controller parameter for a second order
system with different cost function. They found very satisfactory results over the
classical tuning method. Bin et al. [2, 4] also used improved ACO for nonlinear PID
controller and they concluded that their improved approach was very effective [11].
The main objective of this paper is to regulate the injective active and reactive
power which DG unit under variable load conditions and increase the performances of
the controller by using ACO algorithm.
2 Proposed Control Strategy
This section presents the proposed power controller of a three phase grid-connected
VSI system. As shown in Fig. 1, the controller scheme consists of three main blocks,
namely power controller, linear current controller, and ACO algorithm for real-time
self-tuning of the power control parameters.
Fig. 1. The proposed power controller scheme
For more details, the following subsections describe the functionality of each block.
394 H. Sellamna et al.
Fig. 2. ACO algorithm
2.1 Power Control Strategy

In this study, the distributed generator is controlled using a closed-loop conventional
regulator in the synchronous reference frame as shown in Fig. 1. The output voltage
control is developed by using standard feedback/feed-forward controls by using a PI
controller for zero steady state error, while maintaining the system stable. The
dynamics of the voltage controller with PI controller is given by [12, 13].

Ed ¼ kpv þ kiv =s Id þ Idl wcIql þ Vd ð1Þ

Eq ¼ kpv þ kiv =s Id þ Idl þ wcIdl þ Vq ð2Þ
2.2 Current Control Strategy

In this study, the distributed generator is controlled using a closed-loop conventional
regulator in the synchronous reference frame as shown in Fig. 1. The output voltage
control is developed by using standard feedback/feed-forward controls by using a PI
controller for zero steady state error, while maintaining the system stable. The
dynamics of the voltage controller with PI controller is given by [12, 13].

Idl ¼ kpv þ kiv =s Vd þ Vd wcVq þ Ids ð3Þ

kiv
Idl ¼ kpv þ Vq þ Vq þ wcVd þ Iqs ð4Þ
s
2.3 Ant Colony Optimization ACO Algorithm

In this work the minimization of tour length is considered with the maximum number
of iterations to find the optimum power control parameters. After ACO parameters have
been selected, equal number of pheromone were given. At the end of the tour simu-
lation was executed with selected PI coefficients and value of roads passing by the
artificial ant pheromone matrix was updated by calculating RMS error between ref-
erence tension and simulation output [5, 6].
Thus, the ants have tried to track the given reference trajectory by different PI
coefficients in each tour. When all artificial ants complete the tour if the RMS is
resulted small with selected PI coefficients, next ants try to finish their works winding
these coefficients [7]. Evolution of ACO cost function on a typical run which was set
by optimal parameters off line was given in Fig. 3. Obtained PID controller parameters,
and the evolution of ACO cost function on line is given in Figs. 2 and 4.
Change in Cost Value. Red: Means, Blue: Best Change in Cost Value. Red: Means, Blue: Best
1.5
10
1.9
10
1.4
10
change in cost value(W)
change in cost value(W)
1.8
10 1.3
10
1.7 1.2
10 10
1.1
10
5 10 15 20 25 30 35 40 45 50 10 20 30 40 50 60 70 80 90 100
Tour Tour
Fig. 3. The evolution of ACO function in adaptation off line (a) 50 ants (b) 100 ants
3 Simulation and Results
In order to study the performance of the proposed control strategy applied to the micro-
grid shown in Fig. 1, the simulation model was built by modeling the dynamical
equations of the micro-grid in MATLAB/Simulink. The model of a three-phase grid-
connected VSI system and the proposed controller are simulated using
MATLAB/Simulink environment. The ACO algorithm is implemented through a
MATLAB/M-file program, and the model parameters are defined as follows: Ls = 5
mH, Rs = 1.5, f = 50 Hz and the filter capacitance C = 5000 ηF. Tree typical DG units
are used, and the output power of each DG unit is 30 kW. Typically, the current control
parameters are set to Kp = 13 and Ki = 200. For the SVPWM-based current controller,
switching and sampling frequency are fixed at 10 kHz.
250
200
cost (red)and mean(blue) valeur

150
100
50
0
5 10 15 20 25 30 35 40 45 50
Tour
Fig. 4. The evolution of ACO function 50 ants in adaptation on line
3.1 Case 1: Adaptation off Line During Load Change

As shown in Fig. 5. The load is increased to 80 kW. Active power and 16 KVAR
inductive reactive powers at 0.1 s. In this case, the set-points of the active and reactive
power over the Droop control mode based DG unit are changed to 27 KW and
5.33 KVAR respectively. Thus, while Figs. 3, 4 depict the search process of the ACO
algorithm to find the optimal parameters of the power controller, offline.
4
x 10 x 104
4 12
Active power Active power
Reactive power
Reactive power
3.5
10
3
8
2.5
power
power
4
1.5
2
1
0.5 0
0.5 0.6 0.7 0.8 0.9 1 1.1 1.2 1.3 1.4 1.5 0.5 0.6 0.7 0.8 0.9 1 1.1 1.2 1.3 1.4 1.5
t 5 5
x 10 t x 10
Fig. 5. (a): The load power (b): the output power of the DG unit. At the load change condition
adaptation off line.
3.2 Case 2: Adaptation on Line During Load Change

In this case, the ACO algorithm adaptation is on line, and the control parameters are the
same as in the previous case. The aim of this stage is to show the response of the power
controller when the power requirement of the load is more or less than the acutely
power. As shown in Fig. 6. The load is increased to 80 kW. Active power and
inductive reactive power at 5.33 KVAR
4 4
x 10 x 10
4 12
Active Power Active Power
Reactive Power Reactive Power
3.5 10
power
8
power
2.5
6
2
4
1.5
2
1
0.5 0
0.5 0.6 0.7 0.8 0.9 1 1.1 1.2 1.3 1.4 1.5 0.5 0.6 0.7 0.8 0.9 1 1.1 1.2 1.3 1.4 1.5
5 5
x 10 t x 10
t
Fig. 6. (a): The load power (b): the output power of the DG unit. At the load change condition
with adaptation on line
4 Conclusions
In this paper an optimal power flow controller has been proposed for a micro-grid. The
controller has been proposed to regulate the injected active and reactive power by
which DG unit is connected to the grid. The controller scheme consists of an inner
current control loop and an outer Droop power control loop. The ACO algorithm has
been incorporated into the Droop control mode to implement a real-time self-tuning
method, in order to share the load equally during the load change condition. The
simulation results show that the proposed controller based ACO on line or off line
offers an excellent response, halving the load power between the micro-grid and the
utility during the load change.
References
1. Lasseter RH (2002) Microgrids.: Power engineering society winter meeting. IEEE, 1:3058
2. Yamamoto T (1997) Robust PID Controller and Its Application Microgrids. IEEE
3. Namba H, Varol BA (2004) A New Pid Tuning Technique Using Ant Algorithm. In:
American control conference, Boston, Massachusetts
4. Oliveira P, Sequeira J, Sentieiro J (1991) Selection of controller parameters using genetic
algorithms. Kluwer Academic Publishers, Dordrecht
5. Afshar A, Kave Ah, Shoghli OR (2007) Multi-objective optimization of time-cost-quality
using multi-colony ant algorithm. As J Civ Eng 8(2):113–124
6. Kim DH (2001) Tuning of a PID controller using a artificial immune network model and
local fuzzy set. In: NAFIPS 2001 Proceedings of the annual conference of the North
American fuzzy information processing society, 5:2698–2703
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colony and genetic algorithms. Springer, Berlin, Heidelberg
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and Applied Sciences, Marmara University, Istanbul, Turkey
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In: 2013 IEEE North American power symposium (NAPS)
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2014 11th International multi-conference on systems, signals and devices (SSD)
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Trans Ind Electron 61(3): 1292–1300
12. Bouzid AM, Golsorkhi MS, Sicard P, Cheriti A (2014) H∞ structured design of a cascaded
voltage/current controller for electronically interfaced distributed energy resources. In: 2015
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design method of PI controller for grid feeding connected voltage source inverter. In:
presented at the 3rd International symposium on environment-friendly energies and
applications (EFEA 2014), Paris, France
Methylcyclohexane Continuous
Distillation Column Fault Detection
Using Stationary Wavelet Transform
and K-Means
Hanae Azzaoui1(B) , Imad Mansouri2 , and Bachir Elkihel1

1
Laboratory of Industrial Engineering and Mechanical Production, National School
of Applied Science, Mohammed the First University, B.P. 524, 6000 Oujda, Morocco
azzaoui.indus@gmail.com, belkihel@yahoo.fr
2
Laboratory of Mechanics, Mechatronics and Control, ENSAM - Meknes,
Moulay Ismail University, B.P. 50000, Meknes, Morocco
imad-mansouri@yahoo.com
Abstract. It is extremely difficult to develop fault detection and diag-

nosis approaches for systems composed of several complex processes.
This work is placed in the context of detection and diagnosis of the
operating faults of an industrial installation. Indeed, the installation in
this study is a Methylcyclohexane continuous column from a mixture of
toluene/methylcyclohexane in which the mass composition was defined
to 23% of methylcyclohexane. The studied system, allows the separation
of the more volatile component which is methylcyclohexane contained in
the liquid mixture. We use K-means clustering technique combined with
wavelet transform for noise reduction in order to determine precisely data
mapping to different classes of faults in the distillation column. This app-
roach is compared with the exclusive use of K-means and its classification
accuracy is proved. The developed technique is implemented and tested
against a dataset, which covers two modes of operation of the distillation
column: the normal mode, and the abnormal mode. The latter mode is
represented by the four most common dysfunctions of the distillation
column.
Keywords: Detection and diagnosis · Clustering · K-Means

Continuous wavelet transform · Continuous distillation column
1 Introduction
Due to the growing demands to ensure reliable, safe and efficient functioning of
different industrial processes, special attention was given to the development of
monitoring systems and fault diagnosis. As technologies become more and more
complex, fault modeling and detection is becoming increasingly difficult. Indeed,
modern processes do not satisfy the assumptions of classical methods, such as
normality, independence or linearity.
https://doi.org/10.1007/978-981-13-1405-6_48
400 H. Azzaoui et al.
Non-parametric and non-linear methods have recently been proposed to over-

come these difficulties. These methods are based on historical data in order to
process and exploit them as a priori knowledge for monitoring, using either
methods of representation and qualitative analysis of trends or methods of clas-
sification and pattern recognition as explained in [1]. One of these methods is
K-means employed in [2] to determine precisely how data corresponds to differ-
ent classes of faults and defects in the aluminum smelting process. The results of
applying this unsupervised classification method, over a real dataset, show that
the limit of each class of faults can be identified. This means that the erroneous
data can be isolated precisely to allow the development of a capable model that
can effectively diagnose failures.
In [3] the authors proposed a technique for unsupervised change detection
in multi-temporal satellite imagery using principal component analysis (PCA)
and k-means clustering. The experimental results confirm the effectiveness of the
proposed approach. A procedure based on k-means and support vector domain
description that are able to separate different nonlinear process modes and to
effectively detect faults is presented in [4]. In order to evaluate this monitoring
strategy, two simulation studies with a real case study of an Etch Metal process
are performed. The results show that the proposed control chart provides efficient
fault detection performance with reduced false alarm rates.
Actullay, the wavelet transform is considered one of the most used tools in
signal processing. Many applications of the wavelet transform have been devel-
oped in various fields, particularly in the field of fault detection and diagnosis.
The progress that has been made in the use and application of the wavelet trans-
form for the diagnosis of cracks is presented in [5]. The authors of [6] present
an intelligent method of defect detection, based on adaptive continuous wavelet
transform, of rotor bars of induction motors. The stator current and the stator
velocity at different operating points are analyzed by the adaptive continuous
wavelet transform to detect the amplitudes and frequencies corresponding to the
cracking defects of the bars. The adaptive coefficients of the continuous wavelet
transform, based on the harmonic amplitude, are applied to learn a fuzzy logic
controller in simulation. Experimental results showed the effectiveness of the
proposed method for detecting engine defects with high accuracy.
In [7], the authors developed a new approach to the diagnosis of gear failures
based on continuous wavelet transform, as a method of extracting information
from mechanical defects. They used the time-averaged wavelet spectrum concept
based on the continuous Morlet wavelet transform. The gearbox was the subject
of two methods of fault diagnosis based on the wavelet spectrum averaged over
time. These methods were able to efficiently retrieve information on gear defects.
The authors of [8] devised an intelligent diagnostic method for the identifica-
tion of gear defects which is a classification based on the vibratory signal using
the discrete wavelet transform and the adaptive fuzzy neural inference system
(ANFIS). This technique (DWT, discrete wavelet transform) plays an important
role in the extraction of signal characteristics in the proposed system. The pro-
posed ANFIS includes both the qualitative approximation of fuzzy logic and the
Methylcyclohexane Continuous Distillation Column Fault Detection 401
capacity of the adaptive neural network. The experimental results show that the
proposed ANFIS gives several possibilities of identification of gear defects. The
method has reached an identification rate with satisfactory accuracy.
In this paper, we develop a fault diagnosis approach for a Methylcyclohexane
continuous distillation column. The proposed approach combines wavelet trans-
form for noise reduction along with K-means clustering to precisely classify a
behavior database obtained from a working facility.
The paper is organized as follows: in Sect. 2, we present formally the wavelet
transform and K-means techniques. Section 3 describes the conducted experi-
mental and numerical studies. The obtained results are described and discussed.
Finally, Sect. 5 concludes the paper and presents future work.
2 Adopted Noise Reduction and Machine Learning

Techniques
To develop a robust fault detection mechanism we combine the standard wavelet

transform and K-means classification techniques. The two methods are described
in the following sections.
2.1 Wavelet Transform
The wavelet transform is a signal processing algorithm which is useful in detec-

tion of abnormal operating conditions based on decomposition of the process
signals into different ranges of frequencies by the help of a series of low-pass
and high-pass filters. This usually provides us a time-frequency multi-resolution
analysis that greatly useful for identifying any short variations in the process
parameters such. Usually, the signal is divided into a set of approximate (A) and
detail (D) coefficient representing the low-frequency and high frequency bands
respectively [10].
2.2 The Continuous Wavelet Transform
The Continuous Wavelet Transform (CWT) [10,11] transforms a continuous sig-

nal into highly redundant signal of two continuous variables: translation and
scale. The resulting transformed signal is easy to interpret and valuable for time
frequency analysis. The continuous wavelet transform (CWT) is defined as the
sum over all time of the signal multiplied by the scaled and translated versions
of the wavelet function
−∞
1 t−a
CWT(a, b) = √ X(t)ψ ∗ dt (1)
b ∞ b
ψ(t) is the mother wavelet, and a, b ∈ R, a are the translation and scale
parameters, respectively. ψ ∗ (t) is the complex conjugate of ψ(t).
The Discrete Wavelet Transform. The Discrete Wavelet Transform (DWT)

has become a powerful technique in signal processing. It can be written on the
same form as (1), which emphasizes the close relationship between CWT and
DWT. The most obvious difference is that the DWT uses scale and position
values based on powers of two. The values of a and b are:
a = k × 2j , b = 2j , and (j, k) ∈ Z2 :
−∞
1 t − k × 2j
CWT(a, b) = √ X(t)ψ ∗ dt (2)
2j ∞ 2j
The key issues in DWT and inverse DWT are signal decomposition and recon-
struction, respectively. The basic idea behind decomposition and reconstruction
is low-pass and high-pass filtering with the use of down sampling and up sam-
pling respectively. Figure 1 shows an implementation of a N-level DWT based
on a recursive filter bank, where Ai and Di are low-pass and high-pass analysis
filters, respectively, and the block ↓ 2 represents the down-sampling operator by
a factor of 2.
Fig. 1. Implementation of a N-level DWT based on a recursive filter bank.
The Stationary Wavelet Transform. The SWT is similar to the DWT dis-
crete wavelet transform, except that the signal is not decimated and at each
iteration different low-pass and high-pass filters are used. A signal X(n) decom-
posed by SWT can be represented as follows:
j

X(n) = aj (n) + dj (n) (3)
k=1

aj+1 = Aj+1 (n − k)aj (k) (4)
k

dj + 1 = Dj+1 (n − k)dj (k) (5)
k
Where j is the decomposition level of SWT, k is the number of mother wavelet

coefficients, and n is the sample number. Aj and Dj are the low-pass and high-
pass filters at the level j.
2.3 Overview of K-Means

K-means clustering is a partitioning method based on finding data clusters in a
dataset such that an objective function of dissimilarity measure is minimized [9].
A set of n data point {xi }ni=1 have to be partitioned into c classes {Gj }cj=1 . The
cost function, based on the Euclidean distance between a vector xk in class j and
the corresponding cluster center cj , can be expressed by the following formula:
c
c

J= Jj = xk − cj 2 (6)
j=1 j=1 xk ∈Gj

where Jj = xk − cj 2 is the objective function within class j.
xk ∈Gj
The partitioned classes are defined by a c × n binary membership matrix U ,
as follows:
1 , if xk − ci 2 ≤ xj − ck 2 , ∀k = i
U (x) = (7)
0 , otherwise
Where the element Uij is 1 if the j th dataset entry xj belongs to class i, and
0 otherwise. If the membership matrix is fixed, then the optimal center cj that
minimize (6) is the mean of all vectors belonging to class j:
1
cj = xk (8)
m
xk ∈Gj
where m is the size of cj .

Algorithm 1 summarizes the K-means algorithm steps for a dataset {xi }ni=1 :
Algorithm 1. K-means
Step 1: Initialize the cluster centers {ci }ni=1 . This is typically done by
randomly selecting c points from the dataset.
Step 2: Determine the membership matrix U by (7).
Step 3: Compute the cost function according to (6). Stop if either it is below a
certain tolerance value or its improvement over previous iteration is
below a certain threshold.
Step 4: Update the cluster centers according to (8). Go to step 2.
3 Experimental Study and Numerical Investigation

The aim of the continuous distillation column is to obtain a mixture rich in
Methylcyclohexane from a toluene/Methylcyclohexane mixture. Its operating
principle consists in separating the toluene/Methylcyclohexane mixture, relying
on the volatile property of Methylcyclohexane under the action of temperature.
This separation is established by a series of vaporizations and condensations
characterized by mass transfer between ascending vapor phase and a descending
liquid phase. This installation consists essentially of a boiler, a condenser, a
packing column and a metering pump (Fig. 2). A liquid mixture of (Toluene-
Methylcyclohexane) is introduced into the column from the feed tray which
is between the rectification zone and the stripping zone such that one part is
volatilized and the other part descends with reflux in the boiler (Fig. 2).
Fig. 2. Continuous distillation column: 1 metering pump, 2-boiler, 3-packed column,

4-timer, 5-condenser.
3.1 Normal Functioning of a Continuous Distillation Column
The continuous distillation column can operate in two modes: the normal mode
in which all operating parameters follow the normal operating mode and the
abnormal mode where these same parameters deviate from their initial dynamics.
In order to define the normal mode, it is necessary to determine the
input/output parameters which can model the normal operation of the
Fig. 3. The continuous distillation column input/output parameter.
distillation column (Fig. 3). To study the influence of relevant inputs on the
output of the system, it is first necessary to determine a working interval.
We know that the purpose of the continuous distillation column is to obtain a
mixture rich in Methylcyclohexane, so we can determine the corresponding tem-
perature interval. Indeed, in an industrial environment, the purification of this
binary mixture takes place in an interval of concentrations [0.48; 0.84] and from
the isobaric liquid vapor diagram of the toluene/Methylcyclohexane mixture, the
corresponding temperature interval is [101.1 o C; 103.4 o C]. All variations of the
inputs which leave the column head temperature at 101.5 o C, define the normal
behavior of the distillation column.
3.2 Abnormal Functioning of a Continuous Distillation Column
The continuous distillation column can operate in normal mode, but can also
operate in abnormal mode. Thus, to be able to study the latter mode, we caused
dysfunctions on relevant inputs and observed the behavior of the output param-
eters. The dysfunction caused by the increase of rate of reflux 100% of its capac-
ity, is used as a first dysfunction on abnormal mode. The second dysfunction is
caused by the increase in feed rate up to 100% of its capacity. The third dys-
function concerns the increase of the heating power up to 100% of its capacity.
The fourth dysfunction is obtained by increasing the preheating power to 90%
of its capacity.
4.1 Data Pretreatment
The used dataset consists of the 5 inputs introduced previously related to func-
tioning diagnosis of a continuous distillation column, and one output attribute
which indicates if the continuous distillation column is in normal or abnormal
mode. The number of classes into which the dataset is to be partitioned is two
corresponding to the normal mode and abnormal mode.
The dataset requires a pretreatment in order to be adapted to the inputs and
outputs of stochastic mathematical models. A common preprocessing approach,
is to conduct a proper normalization, which takes into account the amplitude of

the values accepted by the models. Thus, our dataset is normalized such that
the input values range between 0.1 and 0.9.
4.2 Stationary Wavelet Transform

In this step, we have decomposed our dataset into detail and approximation
coefficients, and then the new decomposed dataset will be presented as a new
input for the studied classifier.
For the decomposition, the chosen mother wavelet is the Haar wavelet and
to allow us to present our data in the time-scale domain, the number of decom-
position is determined by the following formula:
L = int [log(N )] (9)
With N the number of samples. In this work, the size of each input vector is 120.
Thus, the number of decompositions is two. Figures 4 and 5 depict the coefficients
approximation and detail at level 2 of the feed rate and heating power.
Fig. 4. Feed rate decomposition by Haar wavelet at level 2.
4.3 K-Means
As mentioned, K-means clustering works on finding the cluster centers by trying
to minimize an objective function J. It alternates between updating the mem-
bership matrix U and updating the cluster centers C using Eqs. (7) and (8),
Fig. 5. Heating power decomposition by Haar wavelet at level 2.
respectively, until no further improvement in the objective function is noticed.

The performance of the K-means algorithm depends on the initial positions of
the cluster centers, thus it is advisable to run the algorithm several times, each
with a different set of initial cluster centers.
4.4 Performance Evaluation

To evaluate the performance of the implemented K-means classifier we rely on
the following metrics defined as follows:
– Specificity (SP %): specificity is the ability of a test to identify correctly
normal class.
SN
SP = 100 ×
N
• SN : Number of samples of normal class correctly classified.

• N : Number of samples of normal class.
– Sensitivity (SE %): sensitivity is the ability of a test to identify correctly
abnormal class.
SA
SE = 100 ×
A
• SA: Number of samples of abnormal class correctly classified.

• A: Number of samples of abnormal class.
– Classification rate (CR %): indicates total success classification of both nor-
mal and abnormal cases.
SN + SA
CR = 100 ×
T
• T : Dataset size.
Table 1 presents the parameters of k-means classifier evaluation such as clas-
sification rate, sensitivity and specificity.
Table 1. Performance measures K-means with and without swt
Test K-means K-means with swt

Classification rate(%) 61.67% 62.50%
Sensitivity(%) 48% 100%
Specificity(%) 75% 25%
Firstly, the K-means is applied directly on the dataset. The correctly classified
samples are 74 out of 120 as depicted in Fig. 6. For instance, the abnormal class
with the presence of default 3 is correctly predicted by the K-means approach.
Fig. 6. Target & Predicted classes for K-means approach.
The use of PCA allows to visualize the distribution of the two classes (respec-
tively normal and abnormal) with the presence of the 4th common default as
show in Figs. 7 and 8.
Next, SWT is used to decompose the dataset and obtained approximation
coefficients at level 2 will be presented as a novel dataset input to the K-means.
Fig. 7. Graphical representation of dif- Fig. 8. Graphical representation of dif-

ferent functioning modes. ferent functioning modes detected by
k-means.
Figure 9 shows that the normal class was correctly predicted. The classi-
fication rate is improved by using SWT and reaches 62.50% as mentioned in
Table 1.
The use of PCA allows us to visualize the distribution of the two classes for
the combined use of SWT and K-means. The obtained classification results are
depicted in Figs. 10 and 11.
Fig. 9. Target & Predicted classes for combined SWT and K-means approach.
Fig. 10. Graphical representation of dif- Fig. 11. Graphical representation of dif-
ferent functioning modes using SWT. ferent functioning modes using SWT and
detected by k-means.
5 Conclusion
This work allowed us to highlight the classification capacity, of the two modes
(normal and abnormal) of a methylcyclohexane distillation system from a
toluene/methylcyclohexane mixture, of the k-means classifier which aims to dis-
tribute the numeric data in classes. The k-means classifier showed good results
for a stationary wavelet decomposed database, the classification rate reached
62.50% with a specificity of 100% and sensitivity of 25%.
References
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cess fault detection and diagnosis. Part III: process history based methods. Comput
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analysis for fault diagnosis in an aluminum smelting process. In: 4th Conference
on Data Mining and Optimization (DMO), Langkawi, Malaysia, 02–04 September
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4(9):127–132
Solar Charge Controller with a Data
Acquisition System Based on Arduino
Byou Abdelilah1(&), Abarkan Mouna1,2, Nacer Kouider M’Sirdi2,

and Abarkan El Hossain1
1
Laboratory of Signals, Systems and Components (LSSC), FST, Fès, Morocco
byou_2009@yahoo.fr,mabarkan_28@yahoo.fr
2
Laboratory of Systems and Information Sciences (LSIS),
AMU, Marseille, France
Abstract. This paper presents the realization of a solar charge controller by the
use of the Maximum Power Point Tracker (MPPT) technique. The proposed
design uses a microcontroller (Arduino Nano) which is able to measure the
current and voltage of the panels and the battery and to apply a certain algorithm
which allows deducing the PWM cycle that will power the converter DC-DC
(buck converter) to control the charge and discharge of the battery. The system
incorporates a Wi-Fi module for data acquisition and can be used to study the
state of the battery and help for maintenance. The results obtained from the
implemented on hardware demonstrate the change of the duty cycle with the
change in load and thus mean the variation of the buck converter output voltage
and current controlled by the algorithm of charge.
Keywords: Solar energy MPPT Charge controller DC-DC converter

Battery Microcontroller
1 Introduction
Global demand for energy is rapidly evolving and natural energy resources such as
uranium, petroleum and gas decreased due to a great diffusion and development of the
industry in recent years. The increase in energy costs and environmental constraints are
pushing for the development of technological solutions allowing better control of the
resources and the exploitation of the renewable energies in specific photovoltaic
energy. Photovoltaic energy is a clean and renewable energy resource. Moreover, solar
panels are a silent energy producer because there is absolutely no noise when con-
verting sunlight into electricity, [1].
In order to exploit solar energy to power the DC loads and to store electricity, a
solar charge controller is needed to monitor the State of charge of the batteries and
protect them from overcharging and full discharge (deep discharge). This monitoring
and this permanent protection help to extend significantly the performance and life of
the batteries. This controller is used in many areas such as systems not connected to the
electric network, ensure the autonomy of an embedded system, monitor solar
installations.

https://doi.org/10.1007/978-981-13-1405-6_49
Solar Charge Controller with a Data Acquisition System 413
This paper includes MPPT circuit in order to extract the maximum power from the
solar panel using the algorithm P&O (perturbation & Observation) and the DC/DC
Converter.
2 Proposed System
The block diagram shown in Fig. 1 represents the complete system. It contains a solar
panel, DC-DC buck converter, Arduino Nano, battery, and Loads. The solar panel is
used to generate the current and voltage from which the voltage will be converted by a
DC-DC converter. After calculating the power from the data transmitted by the current
and voltage sensors, we used perturb and observe algorithm to calculate the maximum
power point.
Fig. 1. Block diagram of the whole system.
2.1 DC-DC Buck Converter

The buck converter it used to convert the higher DC input voltage from PV Panel to
lower or equal DC output voltage suitable for charging the battery and supplying the
DC loads. The DC-DC buck converter circuit is shown in Fig. 2.
414 B. Abdelilah et al.
Fig. 2. DC-DC buck converter
After designing the buck converter, we need to find the values of the inductor and
the capacitor. It is most critical part of designing as the efficiency of the converter
depends on these values. For a solar panel of 60 W and a 12 V battery, the value of the
inductance L = 33 uH and the capacitance value C2 = 220 uF, [2].
The value of inductance and capacitance can be found in Eqs. 1 and 2 respectively,
L ¼ ðVin Vout Þ D 1=F 1=dI ð1Þ
C2 ¼ dI=ð8 F dV Þ ð2Þ
The selected frequency is 50 kHz, and duty cycle (D) is around 80%, dI is the
ripple current and dV is the ripple voltage.
2.2 MPPT Algorithm

Maximum Power Point Tracking (MPPT) algorithms are needed to maximize the
power output at any moment. Many MPPT techniques have been proposed in the
literature. In this controller, we chose worked with the method perturb and observe due
to its easy implementation. Note that the point of maximum power P (n) = V (n) I (n) is
obtained when the condition dV dP
¼ 0 is accomplished, regardless of the sun irradiance,
[3]. In this work polycrystalline Silicon panel is used. Electrical characteristics of the
PV Panel (Values at STC (AM1.5, 1000 W/m2, 25 °C)).
• Maximum Power (Pmax): 60 W
• Open-circuit voltage (Voc): 26.4 V
• Short-circuit Current (Isc): 3.00 A
• Maximum Power Voltage (Vmp): 22.0 V
• Maximum Power Current (Imp): 2.73 A
• Tolerance (Tol): +3/−3%
The Fig. 3 shows the Flowchart of the Perturb and Observe method.
Fig. 3. The flowchart of the P&O method
A prototype was built using various electronic components, this prototype was tested
block by block before the realization of the global circuit. The DC-DC converter is the
most critical part, the experimental results are presented in the Figs. 5 and 6. The LCD
screen was used to display the results obtained. The observations ahead show the
results of the hardware implementation. The photo of the prototype is shown in Fig. 4.
The components of the laboratory prototype are listed in Table 1.
Fig. 4. Hardware prototype

Table 1. The components of the laboratory prototype

Component Parameters
MOSFETs (Q1, Q2, Q3, Q4) IRFZ44N
Current and voltage sensors ACS712-5A, voltage divider
Wifi module ESP8266
L, C1, C2, D1 33 µH, 100 µF, 220 µF, UF4007
MOSFET driver IR2104
3.1 Buck Converter

In order to verify the design efficiency of the solar charge controller system, an
experimental DC-DC Buck converter was built. The PV array was replaced by a battery
of 12 V. The PWM signal was generated with Arduino Nano board [4, 5].
For Vin an input voltage and to obtain an output voltage Vout, the duty cycle is:
Vout
a¼ ð3Þ
Vin
Figures 5 and 6 illustrate the PWM signal and the output voltage of the DC-DC
converter for the different Duty cycle.
Fig. 5. The output voltage of the DC-DC converter and the PWM signal with a duty cycle equal
to 0.5
Fig. 6. The output voltage of the DC-DC converter and the PWM signal with a duty cycle equal
to 0.25
3.2 Charge Controller

Figure 7 illustrates the proposed control strategy for the battery charger. It has four
states on, off, bulk and float, the four states talk of the process in which either a battery
or a charge or both come into action [6].
Fig. 7. Flowchart the proposed control strategy for the battery charger
ON State – the solar watts input is between the low and minimum solar power but
not low enough to go into the off state. In this state, the Load turns OFF and the Battery
charging turns ON.
OFF State – The charger controller goes into this state when there is no more power
being generated by the solar panels. In this state, the Battery charging turns OFF and
the Load turns ON if the battery voltage is higher than the minimum value.
BULK State – The Solar energy is greater than the minimum value. This is where
we do the bulk of the battery charging and when we execute the Peak Power Tracking
algorithm. In this state, we try to run the maximum current that the solar panels
generate in the battery. The Load turns ON and the Battery charging go into the Bulk
state.
FLOAT State – the battery voltage gets to the maximum Value. In this state, we try
and keep the battery voltage at maximum by adjusting the PWM value. The Load is
turned ON and the Battery charging go into the Float state.
Fig. 8. Battery current and PWM signal curves
Fig. 9. Battery voltage and solar power curves

Figures 8 and 9 shows the experimental results of the charge controller in the
Matlab interface.
It can be seen in Figs. 8 and 9 that between 1300 s and 8500 s the solar power is
low, the load control algorithm will set the PWM signal duty cycle to 100% to generate
the maximum current to charge the battery but between 8500 s and 10800 s the solar
power becomes important in addition the battery is discharged, at this moment the
algorithm MPPT extracting the maximum power of the panel to charge the battery as
fast. At the moment 10800 s, we see that the battery reaches the limit of charging, the
algorithm tries to keep the battery at this state of charge by setting the duty cycle to the
appropriate value.
Data acquisition system collects data on the PV solar system and battery for many
purposes [6]. Figure 10 shows the results of the PV power and the battery voltage with
time in the open IoT platform (thingSpeak).
Fig. 10. Solar power and battery voltage curves with time.
4 Conclusion
The realization of this solar charge controller using Arduino was done at low cost but
effective for small DC loads, and we can use this controller to implement other
algorithms or to make comparisons. In this paper, we have presented the experimental
results using the Matlab environment (panel power, current and voltage of the battery,
state of the charge controller, PWM signal…). The data acquisition system can be used
for remote surveillance of battery connected to PV systems.
References
1. Makni M, Ben Hadj N, Samet H, Neji R (2016) Design simulation and realization of solar
battery charge controller using Arduino Uno. In: 17th International Conference on Sciences
and Techniques of Automatic Control and Computer Engineering - STA 2016, Sousse,
Tunisia, 19–21 December 2016
2. ON Semiconductor, LC Selection Guide for the DC-DC Synchronous Buck Converter,
AND9135/D
3. M’Sirdi NK, Nehme B, Abarkan M, Rabhi A (2014) The best MPPT algorithms by VSAS
approach for renewable energy sources (RES). In: Conference Paper EFEA 2014, Paris
4. Pathare M, Shetty V (2017) Designing and implementation of maximum power point tracking
(MPPT) solar charge controller. In: 2017 International Conference on Nascent Technologies
in the Engineering Field (ICNTE-2017)
5. Chandwani A, Kothari A (2016) Design, simulation and implementation of maximum power
point tracking (MPPT) for solar based renewable systems. In: 2016 International Conference
on Electrical Power and Energy Systems (ICEPES), 14–16 December 2016
6. Kaur T, Gambhir J, Kumar S (2016) Arduino based solar powered battery charging system for
rural SHS. In: 2016 7th India International Conference on Power Electronics (IICPE)
Consolidation of FLC and ANN to Track
Maximum Power Point for Stand-Alone
PV Systems
Anas El Filali(&) , El Mehdi Laadissi , and Malika Zazi
Laboratory LM2PI, ENSET, Mohamed V University, Rabat, Morocco

anas.elfilali@um5s.net.ma
Abstract. The photovoltaic panels (PVP) show a nonlinear current-voltage

(I-V) characteristic that its maximum power point (MPP) differs with irradiance
and temperature. This paper proposes a strategy of maximum power point
tracking (MPPT) for a stand-alone photovoltaic (PV) system to control the
power transfer between the PVP and the load under variable temperature and
insolation conditions by means of a controller based on consolidation of a neural
network that estimates the PVP current (Impp) at the Maximum Power Point
(MPP) and a FLC that adjusts the duty cycle of the DC-DC converter to track
the maximum power. The proposed techniques are implemented in
Matlab/Simulink. The simulation results show the viability of the proposed
procedure and its capacity to track the maximum power of the PV panel.
Keywords: PV system DC-DC converter MPPT

Artificial neural network (ANN) Fuzzy logic controller (FLC)
1 Introduction
Photovoltaic power generation by means of solar cells that can change solar light
energy directly to DC power guarantees to be a clean, widely applicable sustainable
power source.
The PV modules have maximum operating points corresponding to the surrounding
conditions such as solar irradiance, and ambient temperature. Hence, the PV systems
ought to be intended to work at their maximum yield power for any temperature and
solar radiation value. The output power can be augmented by tracking the maximum
power point of the PV system using a MPPT.
Numerous methods were used to predict and to track the MPP in which the yield
energy of the PV module is maximum [1–6]. In this paper, we study an intelligent
MPPT technique, i.e. Artificial Neural Network that estimate the PVP current at MPP
[4] associated to Fuzzy Logic Controller using Error and Variation of error as inputs
compared to the new Fuzzy Logic Controller proposed before by the same authors in
[6], and the P&O method, realization and simulation results are obtained using
Matlab/Simulink.

https://doi.org/10.1007/978-981-13-1405-6_50
422 A. El Filali et al.
The present paper will be organized as follows. Section 2 gives the system con-
figuration. The proposed method using ANN associated to FLC are exposed in Sect. 3.
Section 4 presents the simulation results. Finally, Sect. 5 gives the conclusion.
2 PV System Configuration
The MPPT includes the boost dc–dc inverter with the controller. The MPPT drives the
operating point of the PVP to the Pmax predicted by the control system.
The schematic diagram of the complete stand-alone PV system under review is
exposed in Fig. 1, it is divided into three parts: Solar PV system generating electrical
power, DC/DC boost converter and MPPT controller.
Fig. 1. The PV system with MPPT
The boost converter transfer function is as follows:
Vb 1
¼ ð1Þ
Vpv 1 a
Where a is the duty cycle, Vb is the output voltage and Vpv is the output voltage of
the photovoltaic panel (PVP).
3 Proposed MPPT Controller
Figure 1 shows the MPPT linking the PVP module to the dc load. The MPPT contains
a boost dc–dc converter with the control system (FL and NN controllers). The MPPT
pushes the operating point of the panel to the maximum power identified by the
controller.
By switching the transistor ON and OFF by the control unit, the Pmax can be
carried out from the PVP. The control unit shifts the power transistor ON and OFF to
carry out the Pmax from the PVP. At the point when the transistor is shifted ON, the
Consolidation of FLC and ANN to Track Maximum Power Point 423
current in the boost inductor increments linearly, so the diode is in the OFF state. Be
that as it may, when the transistor is turned off, the energy put away in the inductor is
discharged through the diode to the load. The throbbing current created by the
switching action is smoothed by the capacitive channel and a dc voltage is given to the
load.
The proposed MPPT strategy controls the PV current (Ipv) by utilizing FLC to keep
up and track the ideal PV MPP’s current (Impp) which is the consequence of a trained
ANN.
This strategy needs solar irradiation (G), temperature (T) and Ipv to be measured or
evaluated to be utilized to train the ANN.
The block diagram of the suggested MPPT strategy is delineated in Fig. 2 and its
parts are clarified in the accompanying subsections.
Fig. 2. Block diagram of the suggested PV system
3.1 Neural Network

Artificial neural networks (ANNs) highlight many points of interest, for example,
vigorous operation, fast tracking, non-linear systems tolerant and off-line training.
Thus, different ANN-based PV MPPT procedures expound as of late [4–17].
NN can generally be considered as black box devices that receive inputs and yield
outputs, no need to have mathematical model [7]. In this paper, a typical multilayer
ANN composed of three layers exposed in Fig. 3 is used. As per Kolomogrov’s the-
orem, the number of neurons in the hidden layer can be up to two times of the input;
The input layer has two neurons; Temperature (T) and Irradiance (G), the hidden layer
is constituted of ten neurons whose function of activation is sigmoid, and output layer
has only one neuron; Current at MPP (Impp). Each input neuron is linked to all neurons
of the hidden layer, and every hidden layer’s neuron is connected by weights to the
output layer. These weights are adjusted by training the ANN to learn the nonlinear
relation between inputs and output [11].
With a view to train the NN, the data corresponding to the input and output is
acquired utilizing the PV panel simulation in MATLAB/Simulink with Levenberg-
Marquardt (L-M) back-propagation algorithm. This algorithm is chosen for the reason
that it shows a faster convergence and a better accuracy compared to other algorithms
[12]. For various mix of temperature and irradiance, the output power is measured also
Fig. 3. Multi-layer neural network architecture
the voltage corresponding to the MPP is gotten. This data is used to train our NN. The
training result is shown in Fig. 4.
Fig. 4. The training result of ANN
The interconnection weight values and the thresholds of the NN are chosen arbi-
trarily at the commencement of the training process and after that amid training they are
settled in order to make least square error between estimated and training data. The
total error E is defined by the next equation
1X
E¼ ðOn tn Þ2 ð2Þ
2
where On is the nth measured output read by the network and tn is the nth estimated
output.
Mean squared error plot displays the attained error value. Best performance was at
189rd epoch. The objectif is that the desired outputs and the ANN’s outputs for the
training set have to become very close to each other, so that MSE has to be very small
(close to zero).
3.2 Fuzzy Logic Controller

A fuzzy logic controller is known as one of the most powerful control approaches; it
can track the MPP not only precisely but also its dynamic response is very fast in light
of the change of natural parameters compared to the ordinary MPPT algorithms [18].
The FLC of the proposed MPPT strategy is intended to compel Ipv to take after the
coveted current (Impp) come about by the trained ANN at which power is maximum.
A fuzzy logic controller contains three fundamental segments, fuzzification seg-
ment, inference engine, and defuzzification segment [18, 19]; as shown in Fig. 5.
Fig. 5. Structure of fuzzy logic controller
The two FLC’s inputs at sampling instant k are defined by the next equations:
E ¼ I MPP ðkÞ I PV ðkÞ ð3Þ
DE ¼ E(k) Eðk 1Þ ð4Þ
The control rules are indicated in Table 1 where inputs E and ΔE are respectively
the error and the change of error and output is increments of duty ratio as the ΔD. the
input variables of the fuzzy controller (E, CE) are changed to the linguistic variables
such as PB (positive big), P (positive), Z (zero), N (negative), NB (negative big).
Table 1. Fuzzy rules using E and ΔE as inputs

E ΔE
NB N Z P PB
NB Z Z PB PB PB
N Z Z P P P
Z P Z Z Z N
P N N N Z Z
PB NB NB NB Z Z
When all is said in done, in fuzzy control, the inference techniques which can be
utilized: Max-Min, Somme-Prod and MaxProd. In this work, we choose technique of
Mamdani, which is the Max-Min fuzzy technique [20]. Table 1 displays the rule table
of FLC. As the boost requires an exact control signal D at its entrance it is important to
do a change of this fuzzy data into deterministic data; this change is named defuzzi-
fication [21]. In this paper, we choose the center of gravity (COG) defuzzification
strategy to calculate the output (ΔD) of FLC. There are some defuzzification proce-
dures like the mean of maxima (MOM) [22].
The simulation software Matlab/Simulink is utilized to simulate our solar PV system.

Figure 6 shows the developed system containing the PVP, DC-DC boost converter
with an MPPT controller connected to a DC load. In this paper, the simulation results
Fig. 6. The proposed PV system
Fig. 7. Waveform of the PVP power

obtained by our MPPT technique using ANN and FLC, are compared with those
obtained using fuzzy logic technique and P and O method from previous work [18].
Figure 7 shows the simulation results of the PVP output power under standard test
conditions (25 °C and 1000 W/m2) using P and O, FLC method and the proposed
MPPT.
Due to the variation in irradiation, this causes the operating point of the generator to
change. This point will be offset by the point corresponding to the maximum power
point. In order to study the dynamic response of the proposed MPPT techniques, the
PVP is exposed to a variation in irradiation by changing irradiation levels every 0.1 s
using the sequence 400 - > 800 - > 600 - > 1000 w/m2 and static ambient temperature
(25 °C) (Fig. 8. (a))
(a)
(b)
Fig. 8. (a), (b) Performance of the MPPT techniques

The results showing in Fig. 8 shows that the MPPT system is able of maintaining
normal functioning during changing irradiation. For the proposed MPPT (NN-FLC)
and FLC, the MPP is achieved in a relatively short time and shows almost zero
oscillation in steady state for each operating condition, for the P & O method, we see
that there an oscillation around the operation point. This is because of the nonstop
perturbation of the operating voltage so as to reach the MPP.
Table 2 summarizes the simulated results of the proposed MPPT in comparison
with P and O algorithm and FLC. The MPP tracking efficiency (η_pv) is given in
Eq. (5),

Pav
gpv ¼ 100% ð5Þ
Pmax
According to Table 2, the obtained results prove that the performance and effi-
ciency of the proposed MPPT are a little more better compared to FLC and P&O MPPT
technique.
Table 2. Tracking efficiency of the proposed MPPTs

Irradiation (W/m2) Pmax FLC P&O NN-FLC
Pavg gpv ð%Þ Pavg gpv ð%Þ Pavg gpv ð%Þ
400 19,65 19,31 98,26 19,22 97,81 19,47 99,08
600 29,88 29,55 98,89 28,75 96,21 29,59 99,02
800 40,03 39,49 98,65 38,93 97,25 39,51 98,7
1000 50 49,51 99,02 49,50 99,00 49,53 99,06
5 Conclusion
In this paper, an intelligent approach of MPPT used for stand-alone PV systems is

discussed adopting an artificial neural networks (ANN) that estimates the PVP current
Impp at Maximum Power Point (MPP) and a fuzzy logic controller (FLC) that adjusts
the duty cycle of the DC-DC converter to track the maximum power.
The attained results showed that the proposed MPPT has a better response with tiny
oscillations than FLC and P&O, and a better tracking efficiency, even if all the tech-
niques were able to track the maximum power point successfully. Consequently, the
proposed MPPT method is equipped for enhancing the power yield of PV system and
gathering more solar energy compared to other MPPT algorithms.
References
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Mathematical Modelling and Simulation
of a Directly Coupled Water Pumping System,
Using a Photovoltaic-Fed Synchronous
Reluctance Motor
K. Kerbouche1,2(&), A. J. M. Cardoso2, K. Yahia1,2, and A. Mellit3

1
ESML Energetic Systems Modeling Laboratory,
University of Biskra, Biskra, Algeria
kemel.kerbouche@univ-biskra.dz
2
CISE Electromechatronic Systems Research Centre,
University of Beira Interior, Covilhã, Portugal
3
RE Laboratory, University of Jijel, BP 98, Ouled Aissa, Jijel, Algeria
Abstract. A mathematical model and simulation of a directly coupled water

pumping system employing a photovoltaic-fed Synchronous Reluctance Motor
(SynRM) is presented in this paper.
The system is modelled and simulated in the MATLAB/Simulink environ-
ment, using the Simscape Toolbox. Obtained results show the effectiveness of
the proposed system.
Keywords: SPVWPS SynRM Centrifugal pump MATLAB

Simscape
1 Introduction
Water pumping worldwide is generally dependent on conventional electricity or diesel

generated electricity. The continuous exhaustion of conventional energy sources and
their environmental impacts have created an interest in choosing renewable energy
sources such as solar-photovoltaic, solar-thermal, wind and biomass to power water
pumping systems. The need for the optimum utilization of water and energy resources
has become a vital issue during the last decade, and it will become even more essential
in the future [1, 2].
Nowadays, the utilization of Photovoltaic PV conversion of solar energy to power
water pumps is an emerging technology with great challenges.
Moreover, the importance of solar PV energy to power water pumps increases due
to the continuous depletion of oil reserves, uneven distribution and ever-increasing cost
of electricity, which is a major area of concern for developing countries. Solar Pho-
tovoltaic Water Pumping Systems (SPVWPS) providing domestic, livestock and irri-
gation water supplies in remote areas have gained enormously in acceptance, reliability
and performance. In addition to the above stated advantages, SPVWPS can withstand
severe weather conditions including snow and ice. Further-more, the use of solar
photovoltaic power to operate water pumping systems is the most appropriate choice
https://doi.org/10.1007/978-981-13-1405-6_51
432 K. Kerbouche et al.
because there is a natural relationship between the requirements of water and the
availability of solar power [3].
DC motor driven PV pumps are used all over the world because they can be
directly connected to the PV generator and an adjustable DC drive is easy to achieve.
However, these systems suffer from increased motor cost and maintenance problems
due to the presence of a commutator and brushes [5–7]. Hence, a pumping system
based on brushless motors represents an attractive alternative due to its merits over
classic DC motors. Although brushless permanent magnet DC motors have been
already proposed [6]; this solution is limited to only low-power PV systems.
Several studies have investigated AC systems using either current source or voltage
source inverters [4]. PV pumping system based on induction motors (IMs) offer an
alternative way for more reliable and maintenance-free systems. The main advantages
of IMs are reduced unit cost, ruggedness, brushless rotor construction, and ease of
maintenance [4, 5, 8]. The permanent magnet synchronous motor (PMSM), also called
brushless DC motor, coupled to a centrifugal pump is found to be suitable for PV water
pumping systems [9, 10].
A synchronous reluctance motor (SynRM) fed by a PV generator represents a
brushless scheme that merits to be studied in detail. However, PV pumping systems
based on SynRMs motor have not garnered any significant attention from researchers
until to date [11].
This paper presents the modelling and simulation of a cost effective directly cou-
pled solar photovoltaic powered pumping system based on a synchronous reluctance
motor. The synchronous reluctance motor is directly connected to the PV panels
through an inverter, and therefore no DC/DC converter is used. The machine is con-
trolled using a Filed Oriented Control (FOC) method.
2 Mathematical Modeling of the System Components
2.1 PV Panel
The general current-voltage characteristic of a PV panel based on the single expo-
nential model is:
V þ IRs V þ IR
I ¼ Iph I0 eð ns Vt Þ 1
s
ð1Þ
Rsh
AkTstc
Vt ¼ ð2Þ
q
Where:
– STC - Standard test conditions (A = 1000 W/m2; T = 25 °C; AM = 1.5)
– Iph - the photo-generated current under STC
– I0 - dark saturation current under STC
– Rs, Rsh - panel series resistance panel; parallel (shunt) resistance
– A - diode quality (ideality) factor.
Mathematical Modelling and Simulation of a Directly Coupled Water Pumping System 433
are the five parameters of the model, while K is the Boltzmann’s constant, and q is
the charge of the electrons.
After the parameters extraction based on datasheet given values as described in
[12], the following equation can be used to describe the I(V) relationship:

ð V þ IRs
Þ V þ IRs V þ IRs m
I ¼ Iph I0 e n s Vt 1þa 1 ð3Þ
Rsh ns Vbr
2.2 Synchronous Reluctance Motor

The d–q equivalent circuit voltage equations of a SynRM in a synchronously rotating
rotor reference frame are represented as [13]:
dids
Vds ¼ Rs ids Lds xr Lqs iqs ð4Þ
dt
diqs
Vqs ¼ Rs iqs Lqs þ xr Lds ids ð5Þ
dt
Where:
– Vds, Vqs: direct and quadrature axis terminal voltages.
– ids, iqs: direct axis and quadrature axis terminal currents.
– Lds, Lqs: direct and quadrature axis magnetizing inductances.
– Rs, xr: stator resistance, rotor speed.
The electromagnetic torque Te and the motor dynamic equations are given as:
3
Te ¼ p Lds Lqs ids iqs ð6Þ
2
dxr
Te TL ¼ J þ Bxr ð7Þ
dt
Where:
– p: polespairs.
– TL: load torque.
– J, B: moment of inertia of the motor, viscous friction coefficient.
2.3 Centrifugal Pump

The volumetric rate of pumped water is determined by the following relationship [14]:
gp :Pm
Q¼ ð8Þ
q:g:DHref
Where:
– Pm: input power
– ηp, ΔHref: pump efficiency, pump total head
– Q: output low rate.
– q, g: fluid density, gravity.
3 System Simulation and Results
3.1 MATLAB/Simscape Environment

MATLAB has long been a useful tool for engineers and scientist for complex
numerical computations. Its native programming environment is based on the C lan-
guage; however, it has a graphic editor called Simulink. An additional toolbox for
Simulink known as Simscape provides the fundamental building blocks to create
simulation in common physical domains such as electrical hydraulic, and pneumatic,
among others.
In addition to providing base building blocks, Simscape allows users to create their
own custom defined blocks. These custom defined blocks are programmed similarly to
MATLAB language. Its main advantage is the integration of a common engineering
tool, MATLAB/Simulink. It also has the ability to be used in conjunction with multi-
domain environments [15].
3.2 System Simulation

In order to evaluate the effectiveness of the proposed system, a simulation study was
conducted under MATLAB/Simscape environment.
The PV array consists of six panels connected in series that has been simulated
using the solar cell blocks. For the synchronous reluctance motor, there is no available
block in Simscape, and so a customized machine block was developed by program-
ming the Eqs. (4), (5), (6) and (7). For the centrifugal pump a customized block was
also developed based on Eq. (8). Figure 1 shows the overall system layout.
Fig. 1. System implementation in MATLAB Simscape

3.3 Simulation Results and Discussion

After a simulation during 2 s in Simscape environment, the following results have been
obtained:
Fig. 2. Solar irradiation Fig. 3. DC bus voltage
Fig. 4. Three phase voltages Fig. 5. Three phase currents
Fig. 6. SynRM angular velocity Fig. 7. Water flow rate
Figures 2 and 3 illustrate the solar irradiation and the DC bus voltage respectively,
For a 1000 W/m2 irradiation, an amplitude of 133 V DC was obtained at the DC bus.
Figures 4 and 5 present the three phase voltages and currents delivered from
inverter.
Figures 6 and 7 show the SynRM angular velocity and water flow rate at the output
of the centrifugal pump.
The obtained results show the effectiveness of the proposed system in delivering
acceptable water flow rates.
4 Conclusion
A mathematical model and simulation of a directly coupled water pumping system

employing a PV fed synchronous reluctance motor is presented in this paper. The direct
coupling is used to simplify the system control and minimize the cost. The SynRM is a
cost effective choice as well. Simulation results shows the simplicity and effectiveness
of the proposed system.
Further studies are being conducted on controlling the MPPT of the PV panels to
improve solar energy harvesting and to implement the simulated system in a real time
application.
References
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system technology for irrigation and community drinking water supplies. Renew Sustain
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asynchronous motor drive systems supplied by photovoltaic arrays with frequency control.
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(4):44764
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IEEE international symposium on industrial electronics, Miami, Spain, pp 2392–2396
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controller based on Gaussian radial basis function neural network. Artif Life Robot J 14
(1):1433–5298
14. Firatoglu ZA, Yesilata B (2004) New approaches on the optimization of directly coupled PV
pumping systems. Solar Energy J 77:81–93
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environment as a simulation tool in power electronics and electrical machines courses. In:
Frontiers in education conference, Oklahoma City, OK, USA
A Method for Parameter Extraction
of Photovoltaic Modules
N. Rouibah1(&), H. Sellamna2, S. Haddad2, A. Mellit2, L. Barazane1,

and A. Rabhi3
1
The Electrical and Industrial Engineering Laboratory, Faculty of Electronics
and Informatics, University of Science and Technology, Houari Boumediene,
Bab Ezzouar, Algeria
rouibahnassir@gmail.com
2
Jijel University, P.O. Box 98, Jijel, Algeria
3
MIS - Modélisation, information et systèmes Amiens,
Université de Picardie Jules Verne, Amiens, France
Abstract. This paper presents an efficient and reliable method to extract

parameters of a photovoltaic module (two-diode model) from datasheet at dif-
ferent environmental conditions, using a simple MATLAB-based algorithm. In
this method, the number of parameters to be determined is six; it consists of a
current source in parallel with two diodes. The first diode simulates the diffusion
process of the minority carriers into the depletion layer, whereas the second
diode corresponds to the recombination in the space charge region of the
junction. This model requires only the coordinates of three key points of the I–V
curve, i.e., the open-circuit voltage, the short circuit current and the maximum
power point. This method is applied to a set of real PV module. This method is
applied to a set of real PV modules of different technology.
Keywords: Photovoltaic (PV) Equivalent circuit modeling

Double-diode model
1 Introduction
The current-voltage (I-V) characteristic of a solar cell plays a key role; including
analysis provides information on their performance. The operation of a solar cell is
influenced by many variables, which are the short circuit current (Isc), the open circuit
voltage (Voc) and (FF) form factor. However, these quantities are strongly depend on
the parameters of a solar cell: the photocurrent (Iph), the saturation current (Is) the
ideality factor (A), and the series (Rs) and shunt resistors (Rsh).
The extraction parameters of a solar cell is a spot important to the design PV plan,
or for a simulation to predict behavior that approximates reality from the I-V charac-
teristic experimental in the dark [1], or under illumination [2, 3]. In the literature,
several methods have been proposed for the parameters extraction of solar cells. They
can be classified as follows [4]: methods using auxiliary functions, methods using the
conductance, methods using the integral of current and methods using optimization

https://doi.org/10.1007/978-981-13-1405-6_52
A Method for Parameter Extraction of Photovoltaic Modules 439
algorithms. The curve I-V of a PV module is related to ambient temperature and solar
irradiation, which are the major components of the mathematical model of PV cell that
affect the accuracy in the simulation. Among the various mathematical models of PV
cell proposed in the literature, is a single diode and double -diode [5–7].
Various researchers have proposed different modified mathematical models of PV
cell in order to produce accurate I-V and P-V characteristics similar to the manufacturer
PV module. The main goal of this paper is to present a simple explicit model that can
extract the six parameters (I01, I02, A1, A2, Rsh and Iph) based only on the available
data in a PV module datasheets.
2 Nomenclature
A1 diode ideality constant of diode 1.

A2 diode ideality constant of diode 2.
G is the surface irradiation (W/m2).
Gstc is the surface irradiation under STC (W/m2).
K Boltzmann constant (k = 1.3806e-23 J/K).
KI short circuit current coefficient (mI/c).
Kv open circuit voltage coefficient (mV/c).
I current of PV module (A).
I01 reverse saturation current of diode 1 (A).
I02 reverse saturation current of diode 2 (A).
Id2 current of diode 1 (A).
Id1 current of diode 2 (A).
Isc the short-circuit current under STC (A).
Iph light generated current of PV module (A).
Ish shunt resistor current (A).
Ns number of PV cells connected in series.
Rs Series Resistance (X).
Rsh Shunt Resistance (X).
q electron charge (1.60217646 e-19C).
T PV module temperature in Kelvin (K).
Vt is cell thermal voltage.
DT is the temperature difference between module temperature (T) and the STC
temperature.
3 Mathematical Modeling of Two-Diode PV Module
The equivalent circuit of two-diode PV module is as shown in Fig. 1 consisting of

Photo generated current (lph), two diodes with diode currents (ld1, 1d2), Series
Resistance (Rs), Shunt Resistance (Rsh), output voltage (V) and PV current (I).
440 N. Rouibah et al.
Fig. 1. Equivalent circuit of a double-diode model of a PV module.
In Fig. 1, which shows the equivalent circuit of double-diode model of PV cell the
relation between output current and voltage can be obtained by applying Kirchhoff’s
current law (KCL) and governed by (1):
I ¼ Iph Id1 Id2 Ish ð1Þ

ðV þ I RsÞ
Id1 ¼ I01 exp 1 ð2Þ
Ns Vt A1

ðV þ I RsÞ
Id2 ¼ I02 exp 1 ð3Þ
Ns Vt A1
V þ I Rs
Ish ¼ ð4Þ
Rsh
In this model we consider that the series resistance value equal to zero (Rs = 0), the
number of parameters to be determined becomes six parameters (A1, A2, I01, I02, Iph,
Rsh).
According to the equivalent circuit given in Fig. 1, the general PV module current–
voltage relationship in a specified illumination and temperature is given as:

ðV þ I RsÞ ðV þ I RsÞ
I ¼ Iph I01 exp 1 I02 exp 1
Ns Vt A1 Ns Vt A2
ðV þ I RsÞ
ð5Þ
Rsh
kT
Vt ¼ ð6Þ
q

V V V
I ¼ Iph I01 exp 1 I02 exp 1 ð7Þ
Ns Vt A1 Ns Vt A2 Rsh
Thus, the number of unknown parameters is reduced from 7 parameters in (Eq. 5)

to 6 parameters in (Eq. 7). Our main goal is to determine the six parameters: I01, I02,
A1, A2, Rsh and Iph only based on the available data in a PV module datasheets.
It is well known that datasheet information are given for specified radiation and
temperature conditions that is called as standard test condition (STC): Irradiation:
1000 W/m2, Temperature: (273.15 + 25) K, Air mass: AM1.5 [8]. The light-generated
current (Iph) of the elementary cells, without the influence of the series and shunt
resistances, is difficult to be determined. Datasheets only inform the nominal short-
circuit current (Isc,n), which is the maximum current available at the terminals of the
practical device. The assumption (Isc Iph) is generally used in photovoltaic models
because in practical devices, the series resistance is low and the shunt resistance is high.
The light generated current of the photovoltaic cell depends linearly on the solar irra-
diation and is influenced by the temperature according to the following equation [9–11].
G
Iph ¼ ðIsc þ Ki DT Þ ð8Þ
GSTC
The reverse saturation current (I01) can be re-arranged into the following:
ðIsc þ Ki DT Þ
I01 ¼ ð9Þ
exp½ðVoc þ Kv DT Þ q=ðNs K T A1Þ 1
In general, it is found that magnitude of I02 is three to four times higher than (I01)
[12], and it can be expressed as:
2
!
T5
I02 ¼ I01 ð10Þ
3:77
The Eq. (7) is now evaluated at three points of the I–V curve of the PV module, i.e.,
the open circuit (I = 0, V = Voc), the short circuit (I = Isc, Voc = 0) and the MPP
(I = Im, V = Vm) as follows:
For open circuit voltage: V = Voc, I = 0

Voc Voc Voc
0 ¼ Iph I01 exp 1 I02 exp 1
Ns Vt A1 Ns Vt A2 Rsh
ð11Þ
For short-circuit current: I = Isc, V = 0
Isc ¼ Ipv ð12Þ
At the maximum power point: I = Im, V = Vm

Vm Vm Vm
Im ¼ Iph I01 exp 1 I02 exp 1 ð13Þ
Vt A1 Ns Vt A2 Ns Rsh
From Eq. (7) can calculate the shunt resistance (Rsh) as follows:
Vm
Rsh ¼ Vm Vm ð14Þ
Iph Im I01 exp VtA1Ns 1 I02 exp VtA2Ns 1
From Eq. (11) by estimating A2, as follows:
ðVocÞ
A2 ¼ ð15Þ
IphI01ðexpðVoc=ðNsVtA1ÞÞ1ðVoc
Rsh ÞÞ
Ns Vt ln I02 þ1
4 Parameters Extraction
The estimation of ideality factor (A1), (A2) and shunt resistance (Rsh) are based on the
developed algorithm, which is as follows:
1. Input STC: manufacturer parameters STC (Voc, Isc, Vm, Im, G, Kv, Ki and Ns)
2. Initialization of A1 and A2.
3. Calculates Rsh from the Eq. (14).
4. Solve (Eq. 7.) by Newton-Raphson method.
5. Calculate (Imax, cal) as follows: (P_ (max, cal)/ Vm).
6. Calculate the error between (Imax, cal) and Im. Continue to increment A1 and Rsh
until the error between calculated Imax,cal and experimental current (Im) at MPP is
within a tolerance value.
In order to verify the accuracy of our proposed MATLAB-based algorithm, both

simulation and experimental PV module data under different irradiance conditions are
tested. Results are summarized in Table 1.
Table 1. Characteristics and estimated parameters from the Q.PRO-230, Q.Smart UF-95 AND
XZST-180 datasheet used in simulation
Technology Multicrystalline CIGS Monocrystalline
Parameter Q.PRO-230 Q.Smart UF-95 XZST-180
Isc(A) 8.30 1.68 5.25
Voc(V) 36.3 78 45
Imp(A) 7.84 1.53 4.87
Vmp(V) 29.56 62.1 36.80
Kv(mV/C) −300 −290 −370
Ki(mA/C) 40 40 100
Ns 60 120 72
PmaxE(W) 230 95 180
Rs(X) 0 0 0
Ipv(A) 8.30 1.68 5.25
(continued)
Technology Multicrystalline CIGS Monocrystalline
Parameter Q.PRO-230 Q.Smart UF-95 XZST-180
I01(A) 3.939 106 9.6506 1010 1.2080 1010
I02(A) 1.0255 105 2.5760 109 3.1280 108
A1(A) 1.63 1.19 1.22
A2(A) 2.77 1.52 1.56
Rsh(X) 680.94 800.04 337.93
Figures 2, 3, 4 and 5 shows respectively the I-V curve of the (Q.Pro-230, Q.Smart
UF-95, and XZST-180) modules against the experimental data. The red dotted markers
in the graphs represent experimental I-V, while the blue line represents the proposed
model. From Figs. 2, 3, 4 and 5 it can be clearly seen that the modeled I-V curves show
a very good agreement with the experimental data for the different technology PV
modules.
Fig. 2. I–V characteristic and Experimental data of Q.PRO-230 PV module at G = 135 W/m2
and T = 28 °C.
Fig. 3. I–V characteristic and Experimental data of Q.SmartUF-95 PV module at

G = 800 W/m2 and T = 35 °C.
Fig. 4. I–V characteristic and Experimental data of XZST-180 PV module at G = 370 W/m2
and T = 24 °C.
Fig. 5. I–V characteristic of different model and Experimental data of Q.SmartUF-95 PV

module at G = 135 W/m2 and T = 28 °C.
6 Conclusion
In this paper a simplified parameters extraction algorithm of a double-diode model of a

photovoltaic module is described. This model requires only the coordinates of three key
points of the I–V curves namely the open-circuit, the short circuit and the maximum
power point. The model is also free from any arbitrary assumptions, and all parameters
are calculated analytically. To match the I–V characteristics curve with the experi-
mental curve, ideality factors are estimated accurately by a simple iterative method
(Newton-Raphson). The accuracy of this model was tested with experimental data
modules subjected to different levels of irradiance and temperature.
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Design of a Quadratic Boost Converter
for a Standalone PV System Based on INC
MPPT Algorithm
Salheddine Belhimer1(&), Mourad Haddadi1, and Adel Mellit2

1
Laboratoire de dispositifs de communication et de conversion photovoltaïque
(LDCCP), Ecole Nationale Polytechnique, 10 Avenue Hassen Badi, El Harrach,
16200 Algiers, Algeria
salheddine.belhimer@g.enp.edu.dz
2
Faculté des Sciences et de Technologie, Laboratoire des énergies renouvelables
(LER), Université de Jijel, Jijel, Algeria
Abstract. At now days, many researches to design and to improve the effi-
ciency of PV systems using DC/DC converters are made. In this paper, the
design of a quadratic boost for PV application based on Incremental conduc-
tance (INC) maximum power point tracking (MPPT) algorithm is presented.
This kind of boost is an enhanced topology which can provide a high conversion
voltage ratio for small duty cycle values. It presents the combination of two
boosts connected in cascade using the same active switch. The proposed
topology is commanded by hard switching signal based on PWM with a variable
duty cycle given by the MPPT algorithm. Furthermore, in order to verify its
performance, several simulations have been carried out under Matlab/Simulink
environment. Also, the practical verification is held, the INC algorithm was
implemented on to Xilinx Virtex-5 (XC5VLX50-1FFG676) Field Pro-
grammable Gate Array (FPGA). The quadratic boost is verified in real time with
a real PV module SM-55. Experimental results confirm the convenience of the
proposed topology in PV applications.
Keywords: DC/DC converters PV INC MPPT Quadratic boost

FPGA
1 Introduction
Among renewable energy sources, photovoltaic (PV) energy is a very promising one
and has been gaining popularity. PV has many advantages: clean, quiet, and
maintenance-free. However, it also has some shortcomings related to the efficiency of
PV cells, the sun intermittence and the dependence on the atmospheric conditions
mainly solar irradiance and temperature. Usually, photovoltaic modules provides large
output voltage and current, however its maximum power is delivered for only one
particular value of current and voltage. To ensure the matching between the PV module
impedance and the load impedance and to track the maximum power point (MPP) at
any time, a DC-DC converter controlled by a Maximum Power Point Tracking (MPPT)
algorithm is often set between the PV Modules and the load, as shown in Fig. 1 [1].

https://doi.org/10.1007/978-981-13-1405-6_53
448 S. Belhimer et al.
Fig. 1. MPPT Control system.
In the last decades, power electronics knew such development which had con-
tributed to the improvements of DC-DC, DC-AC converters and PV systems. The main
purpose of using DC-DC converters is to increase/decrease the input DC voltage from
the PV arrays and to track the maximum power point. Usually in conventional PWM
converters, the power switching devices should operate ideally at maximum switching
frequencies to ensure wider conversion range. This operation consists to provide the
lowest or highest possible duty ratios of the converter, however it is limited by the finite
commutation time of the power switching devices, switching surges and operating
frequencies. A solution, proposed in [2], was to use n-stages connected in cascade and
use only one active switch, thus reducing the huge switching losses at each stage and
avoiding complex control circuitry. In this paper, the quadratic boost converter
(QBC) combining two boosts connected in cascade using one active switch is held. It is
known for this topology that small duty cycle values will provide higher output voltage
gain and reduce the power losses due to the switching operations. Also, output ripple is
better and electromagnetic interference is less in QBC based on phase shifting of power
then in cascaded connected boost [3].
Besides, this new topology is tested for a PV MPPT system. This QBC is powered
directly by the PV module; it is controlled by a command board including
current/voltage sensors and an FPGA (XC5VLX50-1FFG676) where the INC MPPT
algorithm is implemented.
2 QBC and MPPT
The quadratic boost circuit exposed in Fig. 2 is also called 2-stages cascaded boost or
dual boost. It is composed by one switch, two boost inductors (L1) and (L2), three
diodes (D), (D1), and (D2), and capacitors (Cin), (Cout) and (C1). The voltage is boosted
up through two inductor charge-up paths. The first path is through the boost inductor
(L1), diode (D1), and active power switch (S). The second charge-up path is through the
capacitor (C1), boost inductor (L2), and switch (S). Both charge-up paths charge the
capacitor (Cout) across the load. The operating intervals are illustrated, during one
Design of a Quadratic Boost Converter for a Standalone PV System 449
switching cycle of the converter operation, in [4]. The gain voltage of the first stage is
given by:
1
V C1 ¼ Vin ð1Þ
1D
For an ideal quadratic boost converter, the voltage gain law is given by the same
procedure as the first stage in order to find the relation between the voltage (Vout) and
the first stage output (Vc1):
1 1
Vout ¼ VC1 ¼ Vin ð2Þ
1D ð1 DÞ2
Fig. 2. Circuit of quadratic boost topology.
It is clear that the PV power provided increases proportionally with insulation and
decreases with temperature [5]. This is caused by sudden variation of the solar insu-
lation G or temperature T inducing the fluctuation of the MPP. The most important
criteria to evaluate an MPPT algorithm, are summarized in [1] which are as fellow:
their ability to locate the MPP, their fast tracking, moreover their fast tracking under a
change in environmental conditions, in addition to generating minimal oscillations in
steady state, and ensuring a minimal complexity and cost. The INC MPPT algorithm is
used herein for its relatively high performance and accuracy in uniform environmental
conditions and mainly for its ease of implementation, Fig. 3 presents the flowchart of
the algorithm INC which reads the instantaneous PV voltage and current that will be
compared to the previous value. Then according to the result of this comparison, the
duty cycle ratio will be increased or decreased that means the actual power point will
vary. After some repetitions of this operation, the command system will arrive to track
the MPP of the PV array.
3 Simulation
The simulation work is held into two parts, the first one consists on the simulation of
the quadratic boost and the second one is to simulate the MPPT on that topology. For
both parts the simulated parameters are the same, as listed in Table 1.
Fig. 3. INC MPPT Algorithm
Table 1. Parameters of the simulated system.

PV Module DC/DC Converter Load
Voc Isc Pmax L1 and L2 C1, Cin, and Cout MOSFET RDS_ON F RL
21.1 V 7.6 A 120 W 100 µH 220 µF 0.027 X 25 kHz 100 X
The variation of the output voltage when the duty cycle value sweeps the range
from 1% to 98% was taken into consideration. The quadratic boost output voltage
varies according to the duty ratio as plotted in Fig. 4. It can be observed that the output
Fig. 4. Quadratic boost output voltage gain.

voltage will increase proportionally with duty cycle until peak values. After that, it
becomes inversely proportional, so it will decrease while the duty cycle keeps
climbing.
The non-idealities of practical devices and electronic components affect greatly
some performance of DC-DC converter and implies that the real Vout(D) characteristic
is different from the ideal one. For instance, those non-idealities effects are considered
because, in practical experiments, each component has a series resistor: Rs for induc-
tors, an equivalent series resistance (ESR) for capacitors, rD for diodes and the Rds_on
for the ON state of the MOSFETs.
Considering the environment within PV systems operates is very important. In
order to assess the performance of MPPT algorithms, many simulations was held using
MATLAB/Simulink. The Simulated model used herein consists on a mathematical
model of PV panel, a block function where the MPPT algorithm is implemented, a
PWM generator working on a 25 kHz frequency with the duty cycle value provided by
the MPPT algorithm. Simulation results presented in Fig. 5 are performed under
standard operating temperature of 25 °C and a variable solar irradiance (G = 1000, 800
and 600 W/m2) in order to test the fast sun light transition when clouds or obstacles
pass in front of PV modules.
Fig. 5. Simulation result of INC MPPT based on quadratic boost converter.
The simulation work shows that MPP is reached every time when the solar irra-
diation varies. Each time, the duty cycle go ahead to fluctuate close to the MPP and the
power delivered by the PV module is always the maximum power (about 120 W for
G = 1000 W/m2). As the simulation configuration, each 0.1 s the irradiance decreases
immediately to 800 W/m2 and after that to 600 W/m2. This brisk variation involves the
loss of the MPP, so the MPPT algorithm, in its turn, begins to track the new
MPP. Therefore, the duty cycle value will be adjusted according to the instantaneous
measurements of current and voltage until the new MPP is attained.
4 Experimental Results and Discussion
The INC algorithm is implemented on an FPGA circuit XC5VLX50-1FFG676 of

Virtex5 family. This circuit is built around an ML501 development board. The codes
are written in VHDL and are synthesized with ISE 10.1 of Xilinx. It is confirmed that
FPGA offers real hardware implementation of MPPT algorithm. They are known by
their possibility to implement complex control algorithms with short computing time.
Also, their speed allows better temporal resolution and improves the performance of
MPPT control algorithms [5, 6].
The used PV module delivers a power of about 55 W, with an MPP voltage and
current of: Vmpp = 17.4 V and Impp = 3.15A. In orders to supply a 100 W incandescent
lamps, two PV modules mounted in cascade are used. Figure 6 presents the experi-
mental results of tracking the MPP. The practical results are very similar to the sim-
ulation one. The difference was only in the MPPT response time of the real system
which was a little bit late comparing to the simulation one. This is due to various
practical parameters like the sensing time, MPPT computing time, some components
response time and the changed environment parameter (irradiance and temperature).
Although, the quadratic boost is very convenient for PV applications.
Fig. 6. Measured PV current, voltage and power waveforms during the MPPT process
5 Conclusion
In this paper, the quadratic boost topology of DC/DC converter was simulated and
experimentally tested for a real MPPT PV system. It is the combination of two boosts
connected in cascade and sharing the same active switch. The INC MPPT algorithm
was evaluated under uniform environmental conditions. The simulated system was
tested under fast solar irradiance variation. The maximum PV power was always
tracked and provided in real time to supply the electrical load. The simulation and
experimental verification were performed successfully. The results seem very satisfy-
ing, and prove that the QBC is ultimately convenient with PV applications.
References
1. Islam MR, Rahman F, Xu W (2016) Advances in Solar Photovoltaic Power Plants, Green
Energy and Technology, 1st edn. Springer, Heidelberg, p 317
2. Morales-Saldana JA et al (2007) Multiloop controller design for a quadratic boost converter.
IET Electr Power Appl 1(3):362–367
3. Ozdemir S, Altin N, Sefa I (2017) Fuzzy logic based MPPT controller for high conversion
ratio quadratic boost converter. Int J Hydrogen Energy 42(28):17748–17759
4. Sayed K et al (2012) New high voltage gain dual-boost DC-DC converter for photovoltaic
power systems. Electr Power Compon Syst 40(7):711–728
5. Kaced K et al (2017) Bat algorithm based maximum power point tracking for photovoltaic
system under partial shading conditions. Sol Energy 158(Supplement C):490–503
6. Mellit A, Kalogirou SA (2014) MPPT-based artificial intelligence techniques for photovoltaic
systems and its implementation into field programmable gate array chips: Review of current
status and future perspectives. Energy 70(Supplement C):1–21
Comparison Between Artificial
Neural Network and Its Combination
with Perturb & Observe as a MPPT Control
Method of Photovoltaic System
Fayrouz Dkhichi(&), Mohamed Tabaa, Karim Alami,

and Brahim Chouri
Pluridisciplinary Laboratory of Research and Innovation (LPRI),

EMSI Casablanca, Casablanca, Morocco
dkhichi.fayrouz@gmail.com
Abstract. The optimization of the photovoltaic power is crucial for optimal

functioning of a photovoltaic system. Several studies have been conducted in
recent years developing efficient methods of maximizing the photovoltaic
power. Among these methods we distinguish the intelligent control methods
based on artificial learning such as artificial neural networks and the classical
methods like Perturb & Observe. In this paper we combine between these two
distinct methods as a control method of the photovoltaic system, we studied it by
testing its ability to face the variation of irradiance.
Keywords: Photovoltaic system MPPT control Artificial neural network

Perturb & Observe Boost converter Maximum power
1 Introduction
Faced with the growing demand of electricity against the shortage of fossil energy
reserves (petroleum, natural gas and coal), the use of renewable energies based on
natural resources (solar radiation, wind, water and mass) is favoured. Among these
abundant energies, solar energy is considered the most interesting, due to its avail-
ability on the terrestrial scale. The wide development potential of photovoltaic energy
has led researchers to focus on studying the performances of the PhotoVoltaic
(PV) systems for better energy production.
The power maximization of a photovoltaic system is extremely important to opti-
mize the production of photovoltaic energy. For that purpose, a process is used with the
generator that ensures the optimal PV production. An electronic converter “boost” [1, 2],
which we have chosen in this study, is vital in optimizing the generated PV power. The
key behind the smooth operation of this adjustment device lies in the control of the duty
cycle by a suitable method based on the principle of the Maximum Power Point Tracker
(MPPT) [3, 4]. Several studies have been conducted in recent years developing efficient
methods of maximizing the photovoltaic power. Among these methods we distinguish

https://doi.org/10.1007/978-981-13-1405-6_54
Comparison Between Artificial Neural Network and its Combination 455
the intelligent control methods based on artificial learning such as Artificial Neural
Network [5, 6] and the classical methods such as Perturb & Observe [7]. In this paper we
deal with a combination between these two methods and we studied therefore the
behaviour of our system.
2 Photovoltaic System
When a photovoltaic panel is connected directly to a load, the output power is not at its
maximum. However, the integration of an electronic converter type chopper is required
(Fig. 1).
Fig. 1. Photovoltaic system.
Indeed, the optimal control of the duty cycle of a chopper allows to force the panel
to generate the maximum power for an optimal functioning in the photovoltaic system
containing photovoltaic panel, chopper “boost” and a load.
3 Maximum Power Point Tracker Technic
The MOSFET of the boost converter is characterized by a trigger controlled via a duty
ratio “D” in the form of a square wave. The value of this factor D varies according to
irradiance G and temperature T.
However, the right setting of D is ensured by a suitable method of MPPT that
provides the corresponding value to the maximum of the PV power. In other words, the
method of MPPT is expected to bring the operating point at the maximum power point,
by providing the right value of the factor D of the Boost.
4 MPPT Methods
To ensure an optimal control of the output PV power, several specific methods that
control the duty cycle of the boost through the Maximum Power Point Tracker (MPPT)
method are reported in literature. We distinguish the Artificial Neural Networks
(ANN) and Perturb & Observe (P&O). In this paper we develop a combination between
these two methods.
456 F. Dkhichi et al.
4.1 Perturb & Observe Method (P&O)

As indicated, the P&O method involves disturbing the value of the voltage VPV and
observing its effect on the value of the resulting power PPV [7, 8]. The disturbance is
effected by a small variation of positive or negative variation in the direction of ori-
entation towards the point PPM. Generally, the P&O method starts with an initial value
of the voltage. The disturbance process first begins to add a positive value (increment)
to the voltage. This variation is ensured later if the observed value of the power
generated is positive. When this becomes negative, the value of the voltage is either
decreased by a decrement or incremented by an increment, depending on whether the
operating point is to the left or right of the PPM point (Fig. 2).
Fig. 2. P&O algorithm.
4.2 Artificial Neural Network Methods (ANN)

As we already explained in the previous chapter, due to its flexibility and its capacity to
model complex problems, the ANN makes it possible to create a fictitious link between
its inputs and its outputs by adjusting the internal parameters wij and wjk that char-
acterize its internal structure in the form of layers of neurons [9, 10] (Fig. 3).
G
D
T
Input layer Hidden Output layer
Fig. 3. Structure of the neural network used in the MPPT command

4.3 Artificial Neural Network Combined with Perturb & Observe (ANN-
P&O)
Under the influence of various factors, among other meteorological factors, the PV
generator can’t produce the same maximum power that it is supposed to give in the
presence of degradation in its performances. Therefore, the training of the neural model
that is performed off-line does not provide a suitable command to DC-DC converter
when the performance of the same PV generator begin to degrade.
Indeed, during this training the network has learned maximum powers taken from
the GPV, which are not the same over the degradation. In this context, we thought to
overcome this lack of dynamism that is missing from the ANN method by combining it
with a dynamic method such as the P&O method (Fig. 4).
Fig. 4. ANN-P&O algoithm.

For a variable irradiance from 1000 W/m2 to 500 W/m2 and then from 500 W/m2 to
1000 W/m2 we applied a MPPT method to the PV system and we obtain for each one a
specific response.
5.1 ANN and ANN-P&O’MPPT Method

The power delivered in each phase is for G = 1000 W/m2 in both parts is close to the
corresponding optimum values than those obtained for G = 500 W/m2.
The value of the maximum power reached for G = 500 W/m2 which is more or less
far from that desired, could be explained by the fact that ANN is sensitive around low
G values.
The ANN method maximizes the power and not reaches the optimal value, such as
the power arrived around the maximum and positioned itself. To be able to refine this
process of maximizing power while ensuring better accuracy, we thought about
combining ANN with P&O. This combination consists in initializing the value of D for
P&O by the ANN method then P&O takes over and continues the convergence. On the
other hand, the P&O method brings dynamism to the ANN method, which has
undergone static learning offline (Fig. 5).
20 20
18.22 W 18.22 W
Photovoltaic Output Power - PPV(Output)(W)
18
Photovoltaic Output Power- PPV(output)(W)
16
15
14
12
10 10
8.817 W 8.817 W
8
6
5
4
0 0
0 0.5 1 1.5 0 0.5 1 1.5
Time (s) Time (s)
Fig. 5. The output power of the PV system controlled by ANN and ANN-P&O.
5.2 Comparison Between ANN and ANN-P&O Methods

Given the good performances that ANN-P&O method have shown compared to ANN
method, we have compared in the figure below between the two evolutions of the
output PPV power obtained by the two methods. From the PPV curve of the ANN-P&O
method, it appears that the P&O method has brought more precision to the ANN
method (Fig. 6).
The ANN-P&O allows maximization with a yield 98.47% and by a response time
0.123 s for G = 1000 W/m2, and by 0.563 s for G = 500 W/m2 and by 1.092 s as
response time for G = 100 W/m2.
20
18 18.22 W
Photovoltaic Output Power - PPV(Output)(W)

16
14
12
10
8.817 W
8
2 ANN Method
ANN-P&O Method
0
0 0.5 1 1.5
Time (s)
Fig. 6. The output power of the PV system obtained for ANN and ANN-P&O’s MPPT methods
6 Conclusion
The optimization of the output power requires a performant method that controls the
boost converter as a MPPT method. In this context, we proposed the ANN combined
with P&O in the form of ANN-P&O. After a detailed study, we conclude the ANN
method gives one value of duty cycle which is not optimal to ensure a good maxi-
mization of the PV power. The combination ANN-P&O ensure a better results espe-
cially when the irradiance change its values. These performances due to the dynamism
of P&O to refine the duty cycle value generated directly by the ANN. This type of
control based on the combination between the ANN method and the conventional
method P&O can be presented in the form of a combination with other method like
incremental conductance, constant voltage or constant current.
References
1. Attou A, Massoum A, Saidi M (2014) Photovoltaic power control using MPPT and boost
converter. Balk J Electr Comput Eng 2(1):23–27
2. Bernardo MCP, Peixoto ZMA, Machado Neto LVB (2009) A high efficient micro-controlled
buck converter with maximum power point tracking for photovoltaic systems. In:
International conference on renewable energies and power quality (ICREPQ’09), Valencia
(Spain), 15–17 April
3. Salah CB, Ouali M (2011) Comparison of fuzzy logic and neural network in maximum
power point tracker for PV systems. Electr Power Syst Res 81:43–50
4. Kassem AM (2012) MPPT control design and performance improvements of a PV generator
powered DC motor-pump system based on artificial neural networks. Electr Power Eng Syst
43:90–98
5. Dkhichi F, Oukarfi B (2015) Intelligent control in photovoltaic systems by neural network.
In: IEEE intelligent systems and computer vision conference, ISBN: 978–1-4799-7510-5,
Fez, 25-26 March
6. Liu YH, Liang Liu C, Huang JW, Hsiau Chen J (2013) Neural network based maximum
power point tracking methods for photovoltaic systems operating under fast changing
environments. Solar Energy 89:42–53
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tracking technique using Perturb & Observe algorithm and learning automata for solar PV
system. Energy 112:1096–1106
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using state flow approach, the mediterranean green energy forum 2013, MGEF-13. Energy
Procedia 42:614–623
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varying of solar radiation. Appl Energy 179:523–530
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controller based on direct neural control for partially shaded PV system. Energy Build
90:51–64
Interleaved Positive Buck-Boost
Converter (I.P.B.B)
Lagssiyer Brahim1(&), Aziz Abdelhak2, and Mohamed El Hafyani2

1
University Mohammed I, Oujda, Morocco
lagssiyer.b@gmail.com
2
Laboratory of Electrical Engineering and Maintenance,
High School of Technology, University Mohammed I, Oujda, Morocco
Abstract. This paper presents design and study of interleaved Buck-Boost

converter with positive output voltage (I.P.B.B) dedicated to the photovoltaic
system connected to the electrical network with storage in the batteries.
Depending on the switches command, the converter works alternately: Buck to
charge the battery or Boost for injection into the power grid. The interleaving
branches approach, allows improvement and optimization of the performances
of power PV adaptation. We modeled, under MATLAB/Simulink, the photo-
voltaic system, the power interface (converter in two modes Buck and Boost),
for different values of the duty cycle D with commands shift coefficient X = 0.5.
The currents in the components of the converter are divided by two compared to
a classical in both modes. The offset of the commands allows a considerable
reduction in the ripple of the input currents and the output voltages. The quality
of the output power in two modes of operation Buck or Boost is improved.
Keywords: Modelization Buck DC_DC converter Boost DC_DC converter

Positive Buck-Boost DC_DC converter Shift commands Ripples
1 Introduction
The miniaturization of converter components because of the strong currents that they
have to circulate with their undulations, the reduction of the prices of these installa-
tions, the minimization of the number of the components is a challenge for the research
in electronics [1–3]. Photovoltaic systems connected to electricity networks with bat-
tery storage, requires two interface converters (Boost and Buck). This new topology of
the converter, presented in this work, called Interleaved Positive Buck-Boost (IPBB),
solves this problem and minimizes the number of adaptive circuits. It works, according
to the command of the switches in Boost or Buck mode with a positive output voltage.
The number of system components is reduced and therefore its cost.

https://doi.org/10.1007/978-981-13-1405-6_55
462 L. Brahim et al.
2 Converter (DC-DC)
The proposed Interleaved Positive Buck-Boost converter operate in Boost or Buck

mode with positive output voltage. The mode selection depends on the control of the
Mosii switches.
2.1 Boost Mode Operation

Classic Boost
In Boost mode, the switch Mos1 is closed and Mos3 is open while Mos2 and Mos4 are
controlled by the signal PWM (Fig. 1).
Fig. 1. Positive Buck-Boost converter in Boost classic mode
Interleaved Boost
The interleaving approach consists in connecting branches of the classical P.B.B
converter in parallel [4]. The switches Mos11 and Mos11’ are closed while Mos33 and
Mos33’ are open. The switches Mos22, Mos22’, Mos44 and Mos44’ are controlled by the
PWM signal.
Fig. 2. Interleaved Positive Buck-Boost converter in Boost mode

Interleaved Positive Buck-Boost Converter (I.P.B.B) 463
The switches and inductors of the two branches of the converter are identical (Fig. 2).
Each branch of the converter is controlled by the same value of the duty cycle D. The
commands are shifted together by X.T value (T: duty cycle, X = 0.5: shift commands).
The currents circulating there are of the same form and values, but they are shifted by X.
T between them. The ripples of the current in each inductor are equal Eq. (1) [1]:
D:Ve
DiL1 ¼ DiL2 ¼ ð1Þ
L1 :f
The ripple of the input current iPV is a function of D and shift commands X. It is
given:
D:Ve 1 2:D
D\0:5; X ¼ 0:5 : DiLInt ¼ : ð2Þ
L:f 1 D
D:Ve 2:D 1
D [ 0:5; X ¼ 0:5 : DiLInt ¼ : ð3Þ
L:f D
From Eqs. (1), (2) and (3), it can be deduced that for the same value of the
inductance L of the Interleaved Positive Buck-Boost converter in mode Boost, the
ripple of the input current DiPVInt is small compared to that of a classic Boost DiPVCl.
The output voltage ripple DVSInt, depends on the duty cycle D and the shift
commands X of the switch. It is given, for a duty cycle 0 < D < 1 and X = 0.5, by
equation:
jD 0:5j D:Is
DVSInt ¼ :
D Cf
ð4Þ
jD 0:5j
¼ :DVSCl
D
According to Eq. (4), the output ripple voltage DVSInt of the I.P.B.B in mode Boost
are small compared to those of the conventional DVSCl for the same value of the output
capacitance Cs.
2.2 Buck Mode Operation

Classic Buck
In Buck mode, the Mos2 switch is closed and Mos4 is open, while Mos1 and Mos3 are
controlled by the PWM signal, in the circuit shown in Fig. 1.
Interleaved Buck
In Buck mode, the interleaving technique consists in assembling in parallel branches of
the conventional Positive Buck-Boost converter [5–7]. The currents in the inductances
are identical. They are shifted X.T between them (Eq. 5) [10]:
ð1 DÞ:D:Ve
DiL1 ¼ DiL2 ¼ ð5Þ
L:f
The output current ripple DioPVInt is a function of D and X. It is given:
ð1 DÞ:D:Ve 1 2:D
D\0:5; X ¼ 0:5 : DioPVInt ¼ : ð6Þ
L:f 1D
ð1 DÞ:D:Ve 2:D 1
D 0:5; X ¼ 0:5 : DioPVInt ¼ : ð7Þ
L:f D
From Eqs. (5), (6) and (7), it is deduced that for the same value of the inductance L,
of the I.P.B.B in Buck mode, the ripple of the input current DioPVInt is low compared to
that of a classic Buck DioPVCl.
The ripple of the output voltage DSPVInt is given by Eq. (8). It is a function of the
duty cycle D and the shift commands X = 0.5:
ð1 2:DÞ:D:Ve
DVSInt ¼
16:L:C f 2
ð8Þ
j1 2:Dj
¼ :DVSCl
2:ð1 DÞ
According to Eq. (8), the ripples of the output voltage DVSVInt of the I.P.B.B, in
Buck mode are small by |1−2.D|/2(1−D) compared to those of the conventional Buck
DVSCl for the same value of the output capacitance Cs.
3 Simulation
In order to validate the theoretical results, numerical simulations, the two conventional
and interlaced converters P.B.B, have been realized under the Matlab®-Simulink®
software (Figs. 1 and 2), for different values of the duty cycle D and shift commands of
the switches X = 0.5. The parameters of the studied system are given in Table 1.
Table 1. Simulation parameters

System settings Value
PV Power 180 W
Output capacity (CS) 220 µF
load (R) 20 Ω
Inductors (L1 = L2 = L) 0.433 mH
Frequency (f) 13.5 kHz
3.1 Operation in Boost Mode of the Converter

Based on the structure of the P.B.B classical (Fig. 1), and interlaced (Fig. 2), the
ripples of the input currents DiPVCL and DiPVInt, are compared by simulation in Boost
mode with shift commands X = 0.5 and D = 0.4 (Fig. 5).
Fig. 3. iPV of P.B.B, classic and interlaced, in Boost mode (D = 0.4, X = 0.5)
In Fig. 4, one presents the input current ripples of the P.B.B converter, to various
values of the duty cycle D and shift commands of switches X = 0.5.
Fig. 4. iPV of P.B.B converter, classic and interlaced, in Boost mode (0.1 < D < 0.9, X = 0.5)
The input current ripples of the I.P.B.B converter DiPVInt are small compared to
those of the conventional DiPVCl for the same value of inductance L.
Figure 5 illustrates the output voltage undulations of the I.P.B.B DVSInt and con-
ventional DVSCl in mode Boost.
Fig. 5. VS of P.B.B converter, classic and interlaced, in Boost mode (D = 0.4, X = 0.5)
Figure 6 shows the output ripples voltage, of the interleaved and classical, P.B.B to
various values of the duty cycle D and shift commands of switches X = 0.5.
Fig. 6. VS of P.B.B classic and interlaced, in Boost mode (0.1 < D < 0.9, X = 0.5)
For the same value of the output capacitance Cs, the output voltage undulations
VSInt of the I.P.B.B in Boost mode, are lower than those of the conventional VSC1.
3.2 Operation in Buck Mode

In this part, we measure, by simulation, the ripple of the output currents of the P.B.B
converter in Buck mode, classic DiOPVCl and interleaved DiOPVInt with D = 0.4 and
shift of the switches commands X = 0.5 (Fig. 7).
Fig. 7. iOPV of P.B.B, classic and interleaved, in Buck mode (D = 0.4, X = 0.5)
Figure 8 shows the output current ripples, to various values of the duty cycle D and
shift commands of switches X = 0.5, of classical and interleaved P.B.B.
Fig. 8. iOPV of P.B.B, classic and interleaved, in Buck mode (0.1 < D < 0.9, X = 0.5)
The output currents ripples DiOPVInt of the P.B.B converter, in Buck mode, are
small compared to those of the classical DiOPVCl for the same value of inductance L.
The Fig. 9 presents the output voltage ripples of the I.P.B.B converter, in Buck
mode DVSInt and classical DVSCl, with D = 0.5 and X = 0.5.
In Fig. 10, one shows the ripples of output voltage with 0 < D < 1 and X = 0.5.
The output voltage undulations DVSInt of the I.P.B.B converter, in Buck mode, are
lower than those of the conventional DVSC1, for the same value of the output capac-
itance Cs.
Fig. 9. VS of P.B.B, classical and interlaced, in Buck Mode (D = 0.5, X = 0.5)
Fig. 10. VS of P.B.B, classic and interleaved, in Buck mode (0.1 < D < 0.9, X = 0.5)
4 Conclusion and Perspectives
This article presents a new structure of an interleaved Buck-Boost converter with

positive output voltage (I.P.B.B). Based on the theoretical study and simulations, the
following conclusions are deduced:
• The output voltage of the I.P.B.B converter is positive in Boost or Buck mode.
• The P.B.B converter operates over a wide range of duty cycle.
• The interleaving approach minimizes currents in Positive Buck-Boost converter
components in both modes of operation.
• The ripple of the input currents, and the output voltage of the I.P.B.B converter, in
Boost mode, are reduced compared to those in the classical.
• Interlacing minimizes output current and voltage ripples in Buck mode compared to
conventional Positive Buck-Boost converter.
• The quality of output power in terms of ripple is improved in both modes.
• The circuit of power adaptation, in installations PV connected to the grid with
storage, is reduced.
References
1. Lagssiyer B, Zouggar S, Hafyani ME (2015) Modeling and maximizing extracted PV power
by converter boost interlaced. In: 2015 3rd international renewable and sustainable energy
conference (IRSEC), Marrakech, pp 1–6
2. Barry BC, et al. (2016) Small-signal model and control of the interleaved two-phase coupled-
inductor boost converter. In: 2016 IEEE energy conversion congress and exposition (ECCE),
Milwaukee, WI, pp 1–6
3. Liu H, Zhang D (2017) Two-phase interleaved inverse-coupled inductor boost without right
half-plane zeros. IEEE Trans Power Electron 32(3):1844–1859
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microelectronics (Austrochip), Villach, pp. 7–12
A Reconfigurable PV Architecture Based
on New Irradiance Equalization Algorithm
Loubna Bouselham1(&), Bekkay Hajji1, Adel Mellit2,

Abdelhamid Rabhi3, and Abdelfattah Mazari1
1
Renewable Energy, Embedded System and Data Processing Laboratory,
National School of Applied Sciences, Mohamed First University, PO. BOX 669,
Oujda, Morocco
l.bouselham@ump.ac.ma
2
Jijel University, PO. Box 98, Jijel, Algeria
3
Modelization, Information and Systems Laboratory, University of Picardie
Jules Verne, 3 rue Saint Leu, 80039 Amiens Cedex 1, France
Abstract. In the case of partial shadowing or photovoltaic (PV) module failure,

the power provided by photovoltaic solar array significantly decreases.
A promising technique to mitigate these power losses is based on the dynamic
reconfiguration of the electrical connections between the PV modules. This
article proposes a reconfigurable PV architecture based on Total-Cross-Tied
(TCT) configuration and improved irradiance equalization (IrEq) algorithm.
The PV architecture with the proposed optimization algorithm was simulated
using Matlab/Simulink environment and compared to the basic equalization
irradiance algorithm. The advantages of the proposed algorithm are simplicity
and meaningful provision improvements in array power generation, along with
the reduced processing time.
Keywords: Reconfigurable PV Irradiance equalization Switching matrix

Optimization algorithm
1 Introduction
Partial shading is the main cause leading to the mismatch losses in PV systems. Due to
Partial Shading (PS), the solar cells can be reversing biased and act as external load,
thus consuming the energy produced by other cells. This reduces significantly the
power output of PV modules, and more seriously, will cause hot spot phenomena
which can permanently damage the PV modules [1].
The effect of partial shading can be reduced by different ways [2]. Among the
solutions proposed in literature is adaptively reconfiguring solar array connections in
real time to track maximum output power. Traditionally, static PV architectures have
hardwired interconnections between their PV modules. These connections are not
changed after installation. In such architecture, the performance of a PV array strongly
depends on the interconnection scheme and the output power is significantly improved
as in the case of Total-Cross-Tied (TCT) architecture [3]. However, this type of

https://doi.org/10.1007/978-981-13-1405-6_56
A Reconfigurable PV Architecture Based on New Irradiance Equalization Algorithm 471
architecture is not able to produce the maximum power for all possible shading patterns
[4]. In fact, the output power of a PV array depends not only on the interconnection
scheme but also on the location of the shaded modules in the PV array. Alternatively, it
is possible to continuously rearrange solar cells/modules to facilitate the PV system to
work more as a constant power source, even in different operating conditions, by using
reconfigurable architecture. This relocation can be carried out by inserting a switching
matrix between the PV generator and the inverter.
In the literature, several reconfigurable PV architecture approaches are proposed.
The connection of an adaptive module bank to a fixed part of the PV array through a
switching matrix, based on a model-based control algorithm is considered in [5]. This
reconfiguration approach reduces the switching requirements since only the adaptive
bank is reconfigurable and has shown 30% improvement in power for a typical
experiment. However, it involves a huge number of sensors as well as of cells in
addition to a sophisticated optimization algorithm, which increases the overall size and
cost of the architecture. In [6], the authors propose a flexible switch array matrix for
power generation improvement. This proposed architecture offers a flexible connection
to rearrange the PV modules according to the operational conditions in real-time. Other
reconfiguration approach aims to build strings where solar cells’ having similar irra-
diance levels is proposed in [7]. In [8], the Rough Set Theory (RST) is used to build an
Automatic Reconfiguration System (ARS). The proposed architectures in [7, 8] are
developed to be applicable to a Series-Parallel (SP) topology which minimizes the cost
of wiring. However, the high number of switching devises required and the complexity
of the optimization algorithms are the main drawbacks of these architecture approa-
ches. In [9], the authors proposed an optimization algorithm based on irradiance
equalization index, by matching similar PV modules with similar operating conditions.
Irradiance equalization approach which is the focus of this article is widely used and
deployed with various optimization algorithms as it will be detailed in the next session.
In this study, a new optimization algorithm-based irradiance equalization approach
is presented. The proposed reconfiguration algorithm is an enhancement of the basic
irradiance equalization algorithm proposed in [9] and was developed for reconfiguring
an array of any number of PV units (cells/modules) to maximize the output power with
less processing time. A TCT topology was designed to implement this algorithm.
The remainder of the paper is organized as follows. Section 2 provides background
information on existing PV system configurations based on irradiance equalization
strategy. The proposed algorithm is presented in Sect. 3, whereas Sect. 4 presents a set
of simulation results in order to highlight the advantages of the proposed algorithm.
Conclusions are given in Sect. 5.
2 Existing PV System Configurations Based on Irradiance

Equalization Strategy
Irradiance equalization configuration strategy proposed by [9] aims to form balanced-

irradiance rows of parallel connected PV modules in a TCT interconnection, as shown
in Fig. 1. The algorithm examines all possible array configurations and for each
472 L. Bouselham et al.
configuration, the algorithm calculates the equalization index ðEIÞ by means of the
following expression:
EI ¼ maxðGi Þ minðGi Þ8i ð1Þ
Where Gi is the row total irradiance.

The configuration minimizing the EI index will be maintained. In the case of the
same index for several configurations, the one with the least number of switching
operations will be selected.
Fig. 1. Irradiance equalization example, before and after reconfiguration
A first application of this approach is presented in [10] as Electrical Array Recon-

figuration (EAR). The EAR architecture is composed of a static part, necessary to meet
the inverter input range and a reconfigurable part, the whole routed by a switching
matrix controlled by an algorithm based on the principle of irradiance equalization. In
[11], a variation of this approach was proposed as a Dynamic Electrical Scheme (DES).
This adopted architecture creates rows with an unequal number of modules, which
increases the number of possible interconnection configurations. In order to find the
optimal configuration, two algorithms are proposed: a random search algorithm and a
deterministic search algorithm. The proposed algorithms differ in computation time. For
a given number of PV modules, the computation time for the deterministic algorithm is
fixed, whereas for the random search algorithm, it changes according to the end con-
dition. Another algorithm based on the irradiance equalization approach was presented
in [12]. The proposed algorithm is an iterative and hierarchical sorting algorithm,
developed to reach a quasi-optimum configuration in an efficient way in terms of
number of iterations. An optimization algorithm also seeking to find quasi-optimal
configurations and provides a simple architecture based also on the irradiation equal-
ization approach is proposed in [13]. An irradiance threshold ðDGÞ was introduced
which presents a tolerance for rows providing a low current. This threshold must be
chosen precisely according to the conditions and the requirements of the application.
3 Proposed Algorithm
In described architectures in the previous section, the algorithm examines all possible
array configurations for each shading pattern and for each configuration the equal-
ization index is calculated. Thus, the controller needs an important time to run the
optimization algorithm. For example, for an array of 9 PV modules, the algorithm
needs to examine 9! = 362880 configurations. On the other hand, under real condi-
tions, the equalization goal may not be achieved. An overly variable distribution of
irradiance can put the algorithm in an infinite loop by forcing it to seek optimal
reconfiguration.
Fig. 2. Flowchart of the proposed algorithm

In this article, a new equalization irradiance algorithm is proposed. This algorithm

avoids the calculation of irradiance equalization index for all possible configurations to
minimize its execution time. It proceeds by sorting then equalizing the rows with the
minimum relocation of the PV modules. The flowchart of the proposed algorithm is
shown in Fig. 2.
The process of reconfiguration occurs if the number of shaded cells or modules in
the array is greater than 15% of the total. The shadow is detected if the voltage of one
row is smaller than voltages of the other rows. First, the irradiance value of each PV
unit is mapped in an m x n matrix whose size is similar to the physical matrix. To
minimize the cost of the architecture, instead of using pyranometers, the irradiance can
be estimated from a simplified model of the module by sensing its current and voltage,
by means of the following expression:
h V i
G ¼ a: I þ I0 en:VT 1 ð2Þ
Where G is the estimated irradiance, I and V the measured current and voltage and
a, I0 and n:VT a set of parameters which can be valued from the PV modules data-
sheets given by the manufacturer.
Once the resulting irradiances of each module are mapped in the matrix, they are
arranged in descending order. Then, the matrix is divided into two sub-matrices. If the
number of columns n of the beginning matrix is an even number, the size of each sub-
matrix is m x ðn=2Þ. Whereas if the number of columns n is an odd number, the size of
first and second matrix are m x k and m x l, respectively. Where k is decimal
approximations of the n=2 by excess and l is decimal approximations of the n=2 by
defect. Subsequently, the high irradiance level row of the first sub-matrix is assembled
to the shaded row of the second sub-matrix. If the relocated PV units have not changed
the row, we maintain them in its initial position. To explain the basic idea, a simple
example for 4 4 matrix of PV units is illustrated in Fig. 3.
Once the optimal configuration is obtained, the suitable switches are activated. For
the switching matrix, the same matrix used in [9] is maintained with 2 m n switches
of single-pole m-throws.
To verify the effectiveness of the developed algorithm, the PV architecture was

implemented in Matlab/Simulink environment utilizing 9 PV modules (Pmax = 75 W,
Voc = 21.1 V, Isc = 3.8 A) in a 3 x 3 PV array. Performance comparison between the
proposed algorithm and the basic irradiance equalization algorithm is presented for two
different defined shading profiles. For further comparison, we also consider a TCT
fixed architecture. The simulation results are presented in Figs. 4 and 5.
It is empirically observed that the reconfigurable architectures have higher peak
value than does the fixed system; this is because of the similarity between strings in
reconfigurable architecture, the curve has one peak instead of multiple peaks which
leads to eliminate losses of power.
Fig. 3. Example of the proposed algorithm for 3 x 3 PV array
Fig. 4. Simulation result for 1st shading pattern (two shaded modules)
For the first shading scenario where two PV modules are shaded, the proposed
algorithm provides a significant contribution to the maximum power point value
compared to the basic irradiance equalization algorithm. This improvement is
explained by the low processing time used by the new algorithm. It requires 0.07 s to
find the optimal PV configuration while the basic irradiation equalization algorithm
requires 3 s, almost 45 times slower than the proposed algorithm.
Fig. 5. Simulation result for 2nd shading pattern (four shaded modules)
The same remarks can be made in the second case of shading; the new algorithm
provides a power improvement regarding to the fixed architecture estimated at 34%
against 27% for the basic algorithm. However, to reach this power level, the new
algorithm activates 6 switches whereas the basic algorithm requires only 4 switches.
Table 1 summarizes the results obtained.
Table 1. The maximum power point value (Pmax) and number of switching actions (NSW) for
two shading scenarios
1st shading pattern 2nd shading pattern
Pmax Nsw Pmax Nsw
Basic IrEq algorithm 138 4 166 4
Proposed algorithm 145 4 185 6
5 Conclusion
In this study, a simple algorithm-based reconfiguration approach has been proposed to

increase the productivity of PV array under the partial shading conditions. The pro-
posed algorithm is based on the irradiance equalization approach. Compared to the
basic irradiance equalization algorithm, the proposed algorithm provides a significant
contribution to the maximum power point value with less processing time, almost 45
times faster than basic irradiance equalization algorithm. This important difference in
processing time will be more meaningful for large size PV arrays and under rapid
variations of irradiance. However, the proposed algorithm still needs more enhance-
ments in terms of number of switching actions. In some cases, it activates more
switches than the basic algorithm.
References
1. Sundareswaran K, Vignesh kumar V, Palani S (2015) Application of a combined particle
swarm optimization and perturb and observe method for MPPT in PV systems under partial
shading conditions. Renew Energy J 75:308–317
2. Das SK, Verma D, Nema S, Nema RK (2017) Shading mitigation techniques: State-of-the-
art in photovoltaic applications. Renew Sustain Energy Rev 78:369–390
3. Dhimish M, Holmes V, Mehrdadi B, Dales M, Chong B, Zhang L (2017) Seven indicators
variations for multiple PV array 2 configurations under partial shading and faulty PV
conditions. Renew. Energy J 113:438–460
4. Lavado VLF, Damien P, Bertrand R, Seddik B, Antoine L (2012) Maximizing the power
output of partially shaded photovoltaic plants through optimization of the interconnections
among its modules. IEEE J Photovolt 2:154–164
5. Nguyen D, Lehman B (2008) A reconfigurable solar photovoltaic array under shadow
conditions. In: Proceedings of the 23rd annual applied power electronic conference
exposition, pp 980–986
6. Chaaban MA, Alahmad M, Neal J, Shi J, Berryman C, Cho Y, Zhang T (2010) Adaptive
photovoltaic system. In: Proceedings of the 36th annual conference on IEEE industrial
electronics society, pp 3192–3197
7. Patnaik B, Sharma P, Trimurthulu E, Duttagupta SP, Agarwal V (2011) Reconfiguration
strategy for optimization of solar photovoltaic array under non-uniform illumination
conditions. In: Proceedings of the 37th IEEE photovoltaic specialists conference, pp 1859–
1864
8. Santos P, Vicente EM, Ribeiro ER (2011) Reconfiguration methodology of shaded
photovoltaic panels to maximize the produced energy. In: Proceedings of IEEE brazilian
power electronics conference
9. Velasco G, Negroni JJ, Guinjoan F, Piqué R (2005) Irradiance equalization method for
output power optimization in plant oriented grid-connected PV generators. In: Proceedings
of European conference on power electronics and applications
10. Velasco-quesada G, Guinjoan-gispert F, Piqué-lópez R, Román-lumbreras M, Conesa-roca
A (2009) Electrical PV array reconfiguration strategy for energy extraction improvement in
grid-connected PV systems. IEEE Trans Ind Electron 56(11):4319–4331
11. Romano P, Candela R, Cardinale M, Vigni VL, Sanseverino ER (2013) Optimization of
photovoltaic energy production through an efficient switching matrix. J Sustain Dev Energy
Water Environ Syst 1(3):227–236
12. Storey JP, Wilson PR, Member S, Bagnall D (2013) Improved optimization strategy for
irradiance equalization in dynamic photovoltaic arrays. IEEE Trans Power Electron
28(6):2946–2956
13. Jazayeri M, Jazayeri K, Uysal S (2017) Adaptive photovoltaic array reconfiguration based on
real cloud patterns to mitigate effects of non-uniform spatial irradiance profiles. Sol Energy
155:506–516
Optimal Exploitation of the Photovoltaic
System and Compensation of the Energy
Deficit by the Electrical Grid
Sanae Dahbi(&), Mostafa El Ouariachi, Abdelhak Aziz,

Messaoudi Abdelhafid, and Yamina Khlifi
Laboratory of Electrical Engineering and Maintenance (LEEM), Higher School

of Technology Oujda, BP: 473, 60000 Oujda, Morocco
dahbisanae@hotmail.fr
Abstract. In this article, the authors propose an electrical system conception

able of supplying an alternative (AC) load by exploiting photovoltaic (PV) en-
ergy to the maximum and using the electrical grid as a backup source. The
system is equipped with an own storage device which simulates in this study the
absorption of any excess energy provided by the PV system in an electrolysis.
On the other hand, when the AC load requires a power greater than that pro-
vided by the PV, it is the electrical grid that compensates for this energy deficit.
This system is built around a varied architecture of converters (DC/DC con-
verters, AC/DC and DC/AC converters). The DC/DC buck converters are used
to extract the maximum energy from the PV panels. The AC/DC rectifier and the
DC/DC boost converter allow the voltage to be adapted to the DC bus supplying
a central inverter. Whether the energy comes from the PV or from the electrical
grid, it is always supplied to the load by means of this inverter. This architecture
ensures the supply to the load in all circumstances and stores the excess of
photovoltaic by a clean process. The authors develop a specific and adequate
control algorithm for each block of the system. The complete modeling of the
system is developed in the Matlab/Simulink environment. The authors end by
establishing an energy management strategy for the proposed system to optimal
operation.
Keywords: Photovoltaic Grid MPPT Electrolysis Hydrogen

Management
1 Introduction
Currently, one of the major challenges that arise in photovoltaic PV systems is the
inadequacy between the supply of energy of intermittent nature and the dynamic
demand of energy. To overcome these two constraints, the use of hybrid system
consisting photovoltaic, an electrical grid and clean storage prove to be interesting [1,
2]. This hybrid system allows us to ensure the supply of energy load in all circum-
stances and to store the excess of photovoltaic energy by a clean storage process in the
form of hydrogen production [3, 4].

https://doi.org/10.1007/978-981-13-1405-6_57
Optimal Exploitation of the Photovoltaic System and Compensation 479
In this paper, we focus on the way in which our system is connected to the load.
Then we present the power management strategy in the hybrid system designed in
terms of mechanisms controlling the available power, the power required and possibly
the power in excess or to compensate. This continuously ensures the supply of the load
and needle the excess of energy to the storage system [5–7]. We develop the system
around a central inverter that transmits energy to the load. The energy produced by the
two sources (PV or grid) must be transformed and adapted to the central inverter so that
it is transmitted to the load in the alternative form. The (Fig. 1) summarize the entire
block of the hybrid system.
Fig. 1. Schematic layout of the proposed hybrid system PV/grid/electrolysis/load
2 Photovoltaic-Converter Block
The photovoltaic system is made up of two PV panels connected in parallel (Mutsibichi

180 type) capable of producing a peak power of 360 W. Those PV panels are con-
nected to an adapter block consisting of two buck converters connected in parallel,
where each buck converter is powered by a photovoltaic panel (see Fig. 1). The main
advantages of this configuration are the ability to use the usual components and control
each structure separately [8, 9].
The buck converter components are already dimensioned to operate at a frequency
of 100 kHz [10]. Each block is locally provided with its own MPPT controller to
maximize PV power and transmit it to the load. The MPPT used is incremental con-
ductance type with a variable step size and an acceleration mechanism [11]. It should
be noted that the load can be either the electrolysis or a resistor that simulates all the
circuits located downstream of the system. The whole system can provide a maximum
power of 360Wc at a voltage of 12 V.
480 S. Dahbi et al.
3 Clean Storage Block by Water Electrolysis
A clean storage system is materialized by en electrolysis to generate hydrogen. This

block is equipped with a water pump and a water flow controller to control the water to
be injected into the electrolysis. Indeed, we have shown, in our previous research [12,
13], that the water flow is proportional to the available power of the PV. Hence the
necessity to control the water flow introduced into the electrolysis. For that, we have
proposed a flow control system according to the optimum power supplied by the PV
panels to produce the maximum of hydrogen.
4 DC-DC Step-up Converter
We terminate the system proposed by a DC-DC boost converter controlled by a voltage

regulation loop of proportional integrating type (PI). This block is interposed between
the two buck converters and the inverter to adapt the DC bus voltage to the desired
value by the inverter input (24 V).
5 Low Voltage (LV) Grid and Inverter Block
Due to the intermittent behavior of the PV energy, we opted for the power grid to
compensate the energy deficit and thus ensure constant power supply to the load.
A three-phase (220 V/380 V) balanced frequency grid of 50 Hz is used.
Taking into account the DC bus voltage, the voltage of the electrical grid is
reducing by using of a three-phase transformer (Y/D): 380 V/24 V. The three-phase
rectifier therefore operates under three-phase voltages of 24 V rms.
We have not directly used the grid to power the AC load. It was necessary to go
through the structure ‘rectifier’ and the central inverter so that all the energy supplied to
the load must pass through it. This can be justified by further reducing a number of
commands such as synchronizing the inverter to the electrical grid and regulating the
frequency and amplitude of the two sources when both supplying the load.
This central inverter is controlled by a pulse width modulation PWM control
strategy. This command strategy is based on the comparison of a sinusoidal reference
voltage with the triangular signal in order to generate the control signals. The main aim
of the modulation techniques is to reach the maximum voltage at the output of the
inverter with the lowest harmonic distortion.
The output of the inverter is equipped with a transformer which steps up voltage to
the nominal voltage of the load (220 rms).
6 Energy Management Algorithm of the System
The main purpose of the power management strategy developed in the hybrid system
(PV grid integration) is to satisfy the requirements of the load according to the principle
described in the (Fig. 2). The input data such as solar radiation G, PV power Ppv, load
power (PL = Pl + Ploss) and harmony losses Ploss at inverter is used, so that the algorithm
can make the decision on the interconnection of the load to the appropriate source [14].
Fig. 2. Flow chart of the power management strategy of the hybrid system
• If Ppv >= PL and the Ppv-PL > 0, the load operate at its maximum power
PL = PL_max and the excess of power is used by the electrolysis to produce
hydrogen by using electrolysis Pel = Ppv-PL.
• If Ppv-PL = 0, all the power produced by the PV will be transferred to the load.
• When the output power of PV is lower than the PL, the necessary power to satisfy
the load is provided by the grid Pg where PL = Ppv + Pg.
When the solar radiation or the load changes (perturbation), the algorithm rechecks
the value of the power loads, using the electrical grid, so that a new decision on the
distribution of energy can be made between the probable energy sources on one hand
and between the storage unit and the load on the other hand. This energy management
strategy is developed using the power of the C language.
482 S. Dahbi et al.
7 Simulations Results and Discussions
To test the performances of the various control algorithms designed for the system (PV/
load/ Electrolysis/ Grid) presented in this work, we used the dynamic model of this
hybrid system under meteorological conditions corresponding to a summer day at the
city of Oujda “Fig. 3”. All simulations are carried out in the Matlab/Simulink
environment.
Fig. 3. Solar irradiance variation
7.1 Irradiance Rapidly Changing and Fixed Load

In a first series of simulations, we set the load to consume a constant power of 250 W.
The analysis of these results shows that:
The PV source passes through all the possible scenarios “Fig. 4” with respect to the
power required by the RL load “Fig. 5”, indeed:
Fig. 4. Output power of the PV panel

Fig. 5. Power required by the load
• During the interval [10 to 16 h] the PV generator is able to ensure the power needed
by the load with a remarkable excess of energy. This excess power is transferred to
the electrolysis to produce hydrogen “Fig. 6”. This hydrogen production, when it
has taken place, is optimized by controlling the water flow injected in the elec-
trolysis via a water pump“ Fig. 7”. The mass of hydrogen produced is stored in the
tank “Fig. 8”. During this phase, the maximum power transferred to the load is
insured by the MPPT control of the PV power.
Fig. 6. Hydrogen mass flow produced
• When there is a photovoltaic power deficit (Ppv < PL), the grid compensates for this
deficit and then produces the complementary energy to satisfy the power load
“Fig. 9” (intervals [0 to 10 h] and [17 to 24 h]. Thus, in this case, the power balance
is PL = Ppv + Pg. Even in these cases, the maximum power transfers (although
insufficient) from the PV source to the load is done by the MPPT control.
484 S. Dahbi et al.
Fig. 7. Water mass flow injected into the electrolysis
Fig. 8. Mass of hydrogen stored in the tank
Fig. 9. Power provided by the electrical grid to the load

7.2 Irradiance and Load Rapidly Changing

In a second simulation series, we have exposed the system to a variable irradiance of
the same as “Fig. 3” (The PV source can provide a maximum power of 360 W) and a
fluctuating load with variable which varies between 50 W to 250 W “Fig. 10”.
Fig. 10. Power required by the load
The analysis of the simulation results shows that:

• The power supplied by the PV source is variable according to the incident irradi-
ance power as in the previous case “Fig. 4”.
• The scenarios of the PV source are now dictated both by the variation of the
irradiance and the variations of the load.
• The distribution of the power in the system is done according to the management
strategy developed in this work. Indeed, the power of the load is constantly covered
even when the PV source is unable to supply the power demanded by the load
(intervals [0 to 9 h] and [19 to 24 h]). However, it is the power grid that takes over
to compensate for this energy deficit “Fig. 11”.
Fig. 11. Power provided by the electrical grid to the load

486 S. Dahbi et al.
Outside these intervals, the PV source is sufficient to cover the power of the load
and to transfer excess energy to the electrolysis. These results a clear production of
hydrogen and a water flow needed to electrolysis “Figs. 12, 13 and 14”.
Fig. 12. Water mass flow injected into the electrolysis
In all cases, the transfer of the power to the load took place by means the technique
of optimization of the MPPT power and the production of hydrogen by means the
technique of water flow controller.
It is important to emphasize in both cases that the transfer of power to the load took
place by means the PI control technique which adapted the Boost output voltage to the
desired value (24 V) in order to supply the inverter “Figs. 15 and 16”, and then sta-
bilize the power at the load terminal by the consumption of a constant voltage of 220 V
“Fig. 17”.
In addition, the management strategy applied to the hybrid system takes into
account the excess of PV power if it takes place, the power demanded by the load and
any variations in the irradiance and those of the load, to decide how to connect the
Fig. 13. Hydrogen mass flow produced

Fig. 14. Mass of hydrogen stored in the tank
Fig. 15. Voltage served at the terminal of the Boost
Fig. 16. Output voltage of the inverter

488 S. Dahbi et al.
Fig. 17. Average output voltage of the load
system to the source (PV or grid). The power grid only intervenes to compensate the
deficit of power. However, the electrical grid is a key element in the system. Indeed, for
each disturbance that may affect the system, the management strategy must connect the
system to the power grid to determine the power status and to route the system to the
appropriate source.
8 Conclusion
In this work, we presented the modeling of the different components of the PV/ Grid/
electrolysis/ load (PEM electrolysis, PV, DC/DC converter, DC/AC inverter, electrical
grid). We have paid particular attention to the optimization of each block of the hybrid
system. The results of the simulation show that the proposed energy management
strategy, the MPPT algorithm, the water flow control, the DC bus control and the
central inverter in its interaction with the power grid and the PV source constitute the
value added of this hybrid system and allow to:
– Improve the maximization of the power extracted from the photovoltaic module,
– Ensure the continuous supply of the load with maximum transfer.
– Optimize significantly the production of hydrogen.
References
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Energy 13:218–224
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stand-alone applications. Int J Hydrogen Energy 40:13820–13826
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hydrogen production by a photovoltaic electrolysis system DC/DC converter and water flow
controller. Int J Hydrogen Energy 41:20858–20866
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production by an adaptive photovoltaic system and P&O algorithm. J. Theor Appl Inf
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management strategy of Photovoltaic/Load/ Electrolysis/Grid hybrid system. In: IEEE
Transl, International renewable energy congress (IREC), Amman, Jordan
Implementation of a Real-Time MPPT
of Hybrid Renewable Energy System
Composed of Wind Turbine
and Solar PV Cells
Badreddine Lahfaoui1(&), Smail Zouggar1,

Mohamed Larbi Elhafyani1, and Abdel Hamid Rabhi2
1
Laboratory of Electrical Engineering and Maintenance (LGEM),
Higher School of Technology, University Med First, Oujda, Morocco
lbadreddine@gmail.com
2
MIS (Modelisation, Information and Systems) Laboratory,
University of Picardie Jules Verne, 33 Rue Saint Leu, Amiens, France
Abstract. This paper presents a hybrid multi-source renewable energy system

(HS) combining a wind turbine (WT) and photovoltaic (PV) sources, in a par-
allel electrical architecture in DC coupling mode. The reason of this coupling is
to satisfy a DC load while using power electronics interface to drive both
sources, through MPPT P&O control and operate them in their MPP maximum
power point. An electrical testing workbench is carried out in our Laboratory, to
test and validate our approach. To do that, we used the DSPACE 1104 card, as a
control card that is used for the implementation of our P & O algorithm. The
results obtained show the effectiveness of the proposed coupling and control
strategy scheme.
Keywords: Hybrid system PV systems Wind turbine MPPT

P&O Renewable energy Boost converter
1 Introduction
During the last years, oil is increasingly expensive, and the need to a new green energy,
as the wind, or the hydraulic, the solar or the geothermal energies have become
necessary.
Using renewable energy systems in their maximum power point is very important
in order to increase their effectiveness for using them in isolated sites or connecting
them to the grid. Solar energy systems are considered as renewable energy sources
clean and efficient. They are taken as a strategic solution for the production of elec-
tricity. They are used in many domains applications such as solar power plants,
aerospace industries, and electric vehicles.
The wind energy systems also are regarded as renewable energy sources; they can
be exploited with a constant or variable wind speed.

https://doi.org/10.1007/978-981-13-1405-6_58
Implementation of a Real-Time MPPT of Hybrid Renewable Energy System 491
When we combine with two or more renewable energy sources we can get not only
maximum power but also an optimal system and a more favorable productivity that
suits the needs of the load.
In order to maximize the power derived from the photovoltaic (PV) panel or the
aero generator wind turbine, it is crucial to operate them near to the maximum power
point. The main problem is obtaining the optimal operating point (Maximum voltage
and Maximum current) i.e. get the maximum power under variable weather conditions.
A great number of Maximum Power Point Tracking (MPPT) techniques and var-
ious topologies of converters have been proposed to extract the maximum power [1, 2].
These techniques are different in terms of cost, speed of convergence, complexity,
popularity, sensors required, implementation and other criteria.
Related works classified these methods in two categories: conventional techniques
and artificial intelligence techniques. The most important techniques are open circuit
voltage control Voc and Short-circuit current control Isc, Hill Climbing (HC), Perturb
and Observe (P&O) [3–5], Incremental Conductance (lnc Cond) [6], and artificial
intelligence techniques such as Fuzzy Logic [7] and genetic algorithms [8] and other
methods such as the MPPT control with the anemometer [9].
This paper focuses on the real-time tracking of the maximum power point for the
proposed hybrid PV Wind system. The objective is to validate and complete the system
for to develop it as an industrial prototype that we can apply in our agricultural region.
The results obtained show its effectiveness.
2 The Specifications of the Renewable Sources
Before describing the hybrid structure we have chosen in this work, we present the
characteristics of each energy source.
2.1 The Characteristics of the PV System

The Laboratory of Electrical Engineering and Maintenance (LGEM) is equipped with
various solar modules. Among them, we are interested in particular to the PV module
ET-M53930. It contains:
– 39 cells of 125 mm 40 mm single Crystal Silicon, geometrically configured and
connected in series to constitute a matrix.
– An anodized aluminum alloy frame of ensuring the maintenance and mechanical
protection of the panel.
The characteristics of the PV systems shown in Fig. 1. They are obtained under the
Standard Test Conditions (STCs): 1000 W/m2 solar irradiance, 1.5 Air Mass, and cell
temperature of 25 °C.
492 B. Lahfaoui et al.
Fig. 1. Electrical performance cell temperature: 25 °C
2.2 The Characteristics of the Wind Turbine

The Laboratory of Electrical Engineering and Maintenance (LGEM) is equipped with a
wind tunnel containing a permanent magnet synchronous generator wind turbine; see
Fig. 2(a). In order to determine the electrical characteristics of our wind turbine, we
have performed tests into its wind tunnel (the primary source of energy). For this, the
measurements of voltage and current at the output of the generator are carried out for
each wind speed generated by the wind tunnel and for each value of the resistive load
from 0 to 250 Ω. Figure 2(b) shows the experimental data taken during the tests. It is
noted that all of these curves pass through a maximum point [10, 11].
Fig. 2. (a) Wind tunnel tests; (b) MPPT curve of wind turbine.
3 Control of the Hybrid System with MPPT

3.1 The Experimental Hardware in Closed Loop
We love to obtain the maximum power supplied by the hybrid system (PV+ wind
turbine) for any given solar irradiance and wind speed. To do so, we have imple-
mented, in the DSPACE 1104 card the MPPT control of our hybrid system associated
with a Boost converters for each sources. Figure 3 shows the experimental hardware
used in our lab.
2 Boost converters Osciloscope
PV system
Load
Computer
DSPACE 1104
Wind system
Fig. 3. The experimental hardware used in our lab.
3.2 Implementation of the MPPT Method

With so many MPPT techniques available to renewable sources systems users, it might
not be obvious for the latter to choose which one better suits their application needs.
The ease of implementation is an important factor in deciding which MPPT technique
to use. However, this greatly depends on the end-users knowledge. Some might be
more familiar with analog circuitry, in which case, fractional ISC or VOC, RCC, and
load current or voltage maximization are good options. Others might be willing to work
with digital circuitry, even if that may require the use of software and programming.
Then, their selection should include hill climbing/P&O, IncCond, fuzzy logic control,
neural network, and dP/dV or dP/dI feedback control.
The perturb and observe (P&O) algorithm is the most commonly used in practice
because of its ease of implementation and its simplicity. Moreover, it is well known
that the P&O methods can fail under rapidly changing atmospheric conditions.
The experimental results obtained in this paper present the performance of my
approach. In order to track in real time the maximum power point MPP of our hybrid
system, the SIMULINK MPPT control block, shown in Fig. 4, must be downloaded to
the DSPACE board. The filters are used for removing any high frequency noise or any
switching noise that appears in the signals. As shown in Fig. 4 the instantaneous
measured voltages and currents are then multiplied by each other to obtain the wind
PV Current ADC Filter DPV

DS110
PV Voltage ADC Filter 4SL_DS
MPPT P_PWM
P&O
Wind turbine Current ADC Filter DWT
Wind turbine Voltage ADC Filter
Fig. 4. MPPT SIMULINK model implemented in DSPACE 1104.
turbine instantaneous power, the PV instantaneous power and the output hybrid
instantaneous power.
The currents and voltages are applied to the MPPT algorithm to generate the
required duty cycles for PV and wind turbine (DPV, DWT). The output signal of the
MPPT algorithm is then applied to the DS1104SL_DSP_PWM block which is used to
generate the required switching signal to drive the MOSFET.
3.3 DC-DC Boost Converter

The basic circuit of the Boost topology DC-DC [4] is used. If the inductance and
capacity (L, Ce, Cs), are carefully calculated, they could filter the current and minimize
the ripple factor of both the input and output voltages of the converters. r in series with
the inductance represents the resistance of the conductor of coil.
The experimental results were achieved with the parameters of the boost converter
mentioned in Table 1, and the hardware mentioned in Table 2.
Table 1. Boost converter components

Components Values and Parameters
Inductances L1 = 100uH, L2 = 100uH
Internal resistance r1 = 0.2 Ω, r2 = 0.2 Ω
Input capacities Ce1 = 1000uF/250V, Ce2 = 1000uF/250V
Output capacities Cs1 = 1000uF/250V, Cs2 = 1000uF/250V
Resistive Load RL 47 Ω
Mosfet type IRFp450
Diode type BYW98-200
Table 2. Hardware used in the measurement and control circuit.

Hardware Parameters
Controller type DSPACE 1104 DSP
Current transducer AC/DC Current Probe 10A/1V-100A/1V
Voltage sonde ST1000
4.1 MPPT Control Tests in Real Time
The experiments are performed at the University Mohammed First in Laboratory of
Electrical Engineering and Maintenance (LGEM) from august 1st to 15th 2016 with an
ambient temperature approximately equal to 30 °C. Several tests were performed to
validate and verify our MPPT control we quote in this paper just one test:
Testing the MPPT Control with a Variable Solar Irradiance, Wind Speed and a
Fixed Load
In this test we want to measure the reaction of our hybrid system to the variation of the
atmospheric parameters (change of the solar irradiance and wind speed during the
year), for this we submitted our hybrid system to three steps of climatic change.
• Step 1 (summer): the solar irradiance = 950 w/m2 and the wind speed = 0 m/s.
• Step 2 (spring): the solar irradiance = 950 w/m2 and the wind speed = 10 m/s.
• Step 3 (winter): the solar irradiance = 0 w/m2 and the wind speed = 10 m/s.
In this test the resistive load used in the output of the two boost converters is equal
to 47 Ω. The Fig. 5 below shows that the output power is maximized by our MPPT
control.
In step 1, the output power of the hybrid system (HS) is approximately equal to the
maximum power point of the photovoltaic generator (PV) source; because in this step,
the wind speed tends to 0 which means there is no wind.
In the second step, the output power is equal to the sum of the maximum powers of
the two sources (PV and wind turbine).
In the step 3, the output power is approximately equal to the maximum power of the
wind turbine (WT), because in this step the solar irradiance tends to 0 which means
there is no solar irradiance.
Solar irradiance (w/m²)

Wind speed (m/s)
Powers (W)
Voltages (V)
Currents (A)
Time (s)
Fig. 5. Experimental tracking of the MPP with changing of the solar irradiance and wind speed
during the year. (In Controldesk)
5 Conclusions
In this work, we presented and realized a method of coupling two renewable energy
sources in order to satisfy the load. We used each source and we used the P&O MPPT
Control to optimize each source. The results show that our system responds well to the
demand.
We have found that the application of the Perturb and Observe (P & O) method for
our hybrid system has ensured the pursuit of maximum power for variations in wind
speed and irradiance solar during the year. For this, a test with the presence of climatic
disturbance is carried out in order to measure the response of our system.
In the outlook, we will try to apply other more intuitive optimization techniques.
References
1. Jiang LL, Nayanasiri DR, Maskell DL, Vilathgamuwa DM (2015) A hybrid maximum
power point tracking for partially shaded photovoltaic systems in the tropics. Renew Energy
76:53–65
2. Aubrée R, Auger F, Macé M, Loron L (2016) Design of an efficient small wind-energy
conversion system with an adaptive sensorless MPPT strategy. Renew Energy 86:280–291
3. Mellit A, Rezzouk H, Messai A, Medjahed B (2011) FPGA-based real time implementation
of MPPT-controller for photovoltaic systems. Renew Energy 36:1652–1661
4. Lahfaoui B, Mohammed SZB, Elhafyani ML (2017) Real time study of P&O MPPT control
for small wind PMSG turbine systems using Arduino microcontroller. Energy Procedia
111:1000–1009
5. Lahfaoui B, Zouggar S, Elhafyani ML, Seddik M (2015) Experimental study of P&O MPPT
control for wind PMSG turbine. In: IEEE International Renewable and Sustainable Energy
Conference (IRSEC 2015), Marrakech, Morocco, pp 1–6, 10–13 December 2015
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of PV efficiency with incremental conductance MPPT technique under non-linear loading
conditions. Renew Energy 81:543–550
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fuzzy logic model. Renew Energy 41:350–357
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logic and RBF ANN network for PV fault detection. Renew Energy 117:257–274
9. Lahfaoui B, Zouggar S, Elhafyani ML, Benslimane A (2015) Modeling validation and
MPPT technique of small wind PMSG turbines using DSPACE hardware. In: IEEE
international renewable and sustainable energy conference (IRSEC 2015), Marrakech,
Morocco, pp 1–6, 10–13 December 2015
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P&O MPPT control for photovoltaic systems. Int. J. Power Electron. Drive Syst. (IJPEDS)
7:954
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of a small wind PMSG turbine. In: IEEE international renewable and sustainable energy
conference (IRSEC 2014), Ouarzazat, Morocco, pp 802–807, October 2014
Design, Simulation and Performance Analysis
of Voltage Regulator Based on STATCOM
for Asynchronous Wind Turbine
Mohammed Mokhtari(&), Smail Zouggar, M. L. Elhafyani,

Taoufik Ouchbel, Soufyane Benzaouia, and Mhamed Fannakh
School of Technology Oujda, Laboratory of Electrical

Engineering and Maintenance (LEEM), University Mohammed 1,
mohammed.mokhtari@outlook.com
Abstract. This paper analysis performances of a standalone wind turbine based

on three-phase Self-Excited Induction Generator (SEIG) under wind speed and
load variation. A dynamic model of the variable speed asynchronous wind
turbine is developed. The steady state as well as the dynamic performance of the
system are explored. It has been observed that the major disadvantage of this
kind of energy conversion system is voltage fluctuation and stability. To solve
this problem due to a luck of reactive power demanded by the SEIG, a Static
Synchronous Compensator have been chosen. The steady state and dynamic
performance of the STATCOM are very critical to the performance of the wind
turbine. These performances depends on the phase angle a and the modulation
index MI of the converter. The modeling and parameters design of a STATCOM
based voltage regulator are described in detail in this document and all responses
obtained through MATLAB SIMULINK simulation are also presented here to
support the control strategy to adopt.
Keywords: Modeling Analysis Design STATCOM

Reactive energy compensator Voltage control Wind turbine
1 Introduction
In remote areas, wind power is one of the most important and promising sources of
renewable energy. Externally driven by a wind turbine, induction machine is widely
used in wind power applications. It operates as a self-excited induction generator with its
excitation requirements being met by a capacitor bank connected across its terminals [1].
The SEIG has advantages like simplicity, maintenance free, brushless etc. as compared
to the conventional generator [2]. Reactive power consumption and poor voltage reg-
ulation under varying speed and load are the major drawbacks of the SEIG [7, 12].
The development of static power converters such as Static Synchronous Com-
pensator (STATCOM) [11] has facilitated the control of the generated voltage by
asynchronous wind turbines. This is done by controlling the power flow in the ac line
and the dc link voltage of the voltage source inverter (VSI) respectively. There are two
control variables (phase angle a and modulation index MI) as a sinusoidal pulse-width
https://doi.org/10.1007/978-981-13-1405-6_59
Design, Simulation and Performance Analysis of Voltage Regulator 499
modulation (SPWM) technique is applied to generate the output voltage of the

STATCOM [6, 10].
The organization of this paper is as follows. It initially focuses on the description of
the studied system structure, then the modeling and parameters design of STATCOM,
to finally discuss and analysis the simulated results.
2 System Structure
2.1 Description
The studied system shown in Fig. 1 consists of a self-excited induction generator
driven by a wind turbine through a multiplier and connected to STATCOM for voltage
regulation using three-phase two-level SPWM [9].
Fig. 1. Wind energy conversion system diagram
2.2 Power Flow Analysis

To explain how STATCOM exchanges active and reactive power with SEIG under
balanced three-phase conditions, it’s more convenient to use the per-phase equivalent
circuit as shown in Fig. 2 [4]:
Fig. 2. Single-phase equivalent circuit of the power system.
For simplicity, the resistance of the coupling and filtering inductor is neglected.
500 M. Mokhtari et al.
It is obvious from (1) and (2) that STATCOM real power output and reactive power
output can be controlled by either its output voltage magnitude or its phase angle a or
both. In the design of STATCOM controllers, the reactive power output is our major
concern since the negative part of P simply gives us the real power that must be supplied
by the ac bus to STATCOM in order to cover the converter loss and filter loss [5].
jVs j jVot j
Pot ¼ sin a ð1Þ
Xc
jVs j jVot j jVot j2

Qot ¼ cos a ð2Þ
Xc
3 Wind Turbine: Modeling and Configuration
The model developed in this work takes in consideration each part of the power system
as described below [1]:
• Blades
The aerodynamic power Paer extracted by the blades from the wind is expressed by:
q p R2 V 3
Paer ¼ Cp ðkÞ ð3Þ
2
Where q the air density, R the blades length, V the speed of the wind and Cp ðkÞ the
aerodynamic performance of the turbine.
The aerodynamic torque transmitted is related to the turbine shaft speed as:
Paer q p R2 V 3
Caer ¼ ¼ C p ð kÞ ð4Þ
Xturb 2 Xturb
• Multiplier
The torque and the mechanical speed transmitted to the shaft of the asynchronous
generator are given by:
Caer Xturb
Cg ¼ ; Xmec ¼ ð5Þ
M M
• Induction generator
The voltages and the flux equations of the asynchronous generator written in Park
reference frame are described as following:
dusd
Vsd ¼ Rs isd þ dt xs usq usd ¼ Ls isd þ Lm ird
dusq
Vsq ¼ Rs isq þ þ xs usd usq ¼ Ls isq þ Lm irq
dt
durd
ð6Þ
Vrd ¼ 0 ¼ Rr ird þ dt ðxs xr Þ urq urd ¼ Lm isd þ Lr ird
durq
Vrq ¼ 0 ¼ Rr irq þ dt þ ðxs xr Þ urd urq ¼ Lm isq þ Lr irq
Where Vsd , Vsq , Vrd , Vrq , isd , isq , ird , irq are respectively the voltage and current
output of the induction generator in Park reference frame. RS, Rr, LS, Lr, are respec-
tively the resistance and inductances of the stator and rotor winding. Lm the magne-
tizing inductance and xr ¼ p Xmec the rotor angular velocity with p been the number
of pole pair.
The electromagnetic torque of the asynchronous generator is given by:
Lm
Cem ¼ p u isq urq isd ð7Þ
Lr rd
The relation between the total inertia Jt of the wind turbine shaft, the torque and the
speed of the induction generator shaft is given by:
dXmec
Jt ¼ Cg Cem fvis Xmec ð8Þ
dt
Where Jt ¼ JMturb2 þ Jg and Cem the electromagnetic torque produced by the asyn-
chronous generator and fvis the coefficient of viscous friction.
• Self-excitation capacitors and Load
The self-priming of the induction generator is done via a capacitive bench, if
connected to a resistive load R they are represented by the following equations in dq
reference frame:
dVsd 1 1 dVsq 1 1
¼ isd Vsd and ¼ isq Vsq ð9Þ
dt Cext RCext dt Cext RCext
The parameters in Table 1 are used with the previous equations to create a model
under Matlab/Simulink software and visualize the impact of wind speed, self-excitation
capacitors and load variations on the asynchronous wind turbine output voltage Vs [2],
Fig. 3.
At starting phase i.e. during the instant 0 s to 2 s, the SEIG is not yet excited so the
voltage generated as shown in Fig. 3 is equal to 0 V. After the second 2, the output voltage
grows exponentially until the steady-state RMS value of 254.7 V. At the 5th, 10th and
15th second, the generated voltage changes due to the variation of one of three previously
mentioned parameters. The observed change is caused by the reduction of the reactive
energy required by the asynchronous generator to reach the rated value of voltage [3].
Table 1. Characteristics of the wind turbine

SEIG Rs ðXÞ Rr ðXÞ Ls ðHÞ Lr ðHÞ P Jg ðkg m2 Þ
parameters
Value 5.51 2.24 0.022 0.022 2 0.0063
Turbine Cext ðlFÞ Jturb ðkg m2 Þ M q fvis ðN mÞ R (m)
parameters
Value 65 0.436 3.9 1.225 0.0063 1.8
Fig. 3. Impact of wind speed, self-excitation capacitors and load variations on the generated
voltage Vs .
4 STATCOM: Modeling and Design
The modeling of STATCOM is reviewed in the lines below with the following
assumptions:
• All switches are ideal.
• The source voltages are balanced.
The output phase voltages and current of STATCOM are given by Votu , Votv , Votw ,
iotu , iotv and iotw . The phase voltages at the connection bus are denoted as Vsu , Vsv and
Vsw . The equations modeling the AC side of the STATCOM are [8]:
2 3
" # RLc 0 0 " # " #
d iotu
6 0c 7
iotu 1 Vsu Votu
iotv ¼4 RLcc 0 5 iotv þ Vsv Votv ð10Þ
dt iotw i Lc V V
0 0 Lc
Rc otw sw otw
To apply the transformation from abc reference frame to synchronously rotating dq

reference frame, we define the reference frame coordinate where the d_axis is always
coincident with the instantaneous system voltage vector and the q_axis is in quadrature
with it, so the above equations became:
" Rc #
d iotd Lc xs i 1 Vds Votd
¼ otd þ ð11Þ
dt iotq xs RLcc iotq Lc Vqs Votq
Where xs the pulsation of the generated voltage Vs .

The voltage and current are related in the dc side of STATCOM by the following
equation:
dVdc idc
¼ ð12Þ
dt Cdc
The switching function S of the VSI including the modulation index MI and the
phase angle a can be defined as follows:
2 3 2 3
Su sinðwt þ aÞ
6 7
S ¼ 4 Sv 5 ¼ MI 4 sin wt 2p
3 þ a 5 ð13Þ

Sw sin wt þ 2p
3 þa
The output voltages and currents of STATCOM expressed in Park reference frame
are:

Votd cosðaÞ
¼ MI Vdc ð14Þ
Votq sinðaÞ

cosðaÞ
idc ¼ MI ½ iotd iotq ð15Þ
sinðaÞ
The proposed model of STATCOM takes in consideration the parameters calcu-

lated based on the formulas below and the additional reactive power required by the
induction generator to produce the rated voltage at the worst scenario which is QAD = 1
KVAR.
The current rating of STATCOM is calculated from [4]:
pffiffiffi
QAD ¼ 3 Vs Iot ð16Þ
Where Vs and Iot are respectively the SEIG line voltage and STATCOM line
current.
At no load and to satisfactory SPWM control, STATCOM DC bus voltage must be
more than the rated voltage of SEIG:
pffiffiffi
Vdc ¼ 2 2 Vs ð17Þ
If current ripple through the AC inductor is allowed to be 5%, and during transient-
state, current rating of 120% of steady-state current is taken. The coupling inductance
can be calculated from:
pffiffi
3
Vdc
Lc ¼ 2
ð18Þ
6 a fs IcrðppÞ
Where fs is the switching frequency taken as 5 kHz.

The rating of the DC bus capacitor is calculated from the energy transfer to the
SEIG to provide the required reactive power:
h i
Etf ¼ 3 Vs Iot t ¼ Cdc Vdc
2
Vdc
2
dip ð19Þ
Where t is the response time of STATCOM in seconds. And Vdc dip the value of
the DC bus voltage with a dip of 8%.
The configuration of the simulated model of STATCOM takes in consideration the

calculated parameters in the last section as given in Table 2.
Table 2. STATCOM parameters

Vdc (V) Cdc (uF) Lc (mH) Rc (X)
700 23 15 4.8
The steady state response of the designed Static Synchronous Compensator is

simulated for a step change in a = ±5° and for MI = 0.4.
It can be noticed from Fig. 4 that Qstatcom and Vdc varies almost linearly with
respect to a and Pstatcom is almost zero.
Fig. 4. Steady state responses of Qstatcom and Pstatcom (left) and Vdc (right)
The transient responses of the current and the voltage output of STATCOM as well
as the DC voltage are given in Figs. 5 and 6. It can be seen that the transient current
peak, unlike AC voltage output peak or DC voltage peak, decreases with MI becoming
near to 1. For each case there is a large oscillation during 0–0.02 s then the transients
die down at nearly 0.025 s.
Fig. 5. Transient response of Istatcom and Vstatcom as a function of MI for a = −0.5°

(Capacitive mode)
Fig. 6. Transient response of Vdc as a function of MI for a = −0.5°

To analysis the behavior of the asynchronous wind turbine in presence of the

studied STATCOM at open loop condition, the reactive power exchanged between the
two systems is represented by a compensation capacitor calculated from the values of
the command (a & MI) then added to the excitation capacitor.
Table 3 summarizes test points exploited to analyze the ability of the proposed
model to regulate the output voltage despite variations of wind speed or load. It
describes the chosen value of the command a & MI to generate the required com-
pensation capacitor representing the reactive power STATCOM have to supply or
absorb. Four test points have been taken at different value of wind speed at no load and
full load to be able to observe the behavior of the voltage profile and its stability when
STATCOM operate at capacitive and inductive mode.
Table 3. Open Loop voltage regulation test points

Wind speed C_Req (uF) Cext (uF) C_cmp (uF) Alpha MI
No load T1 8 m/s 79 65 14 7 0.4
T2 11 m/s 42 65 −23 −15 0.6
Full load T3 14 m/s 38 65 −27 −20 0.8
T4 9 m/s 77 65 12 7 1
The first test, Figs. 7 and 8, is done without intervention of any compensation, the
voltage at the connection node is less or more than 230 V (T1 ! Vs = 212.3 V,
T2 ! Vs = 274.3 V, T3 ! Vs = 256.3 V, T4 ! Vs = 214.3 V). Once the STA-
COM connected, the new simulation result shows that using the proper value of the
command a and MI, the desired steady state value of the voltage generated is reached at
less than half the time of no compensation mode.
In the second test, the STATCOM is used to observe the performance and the
profitability of this type of FACTS when there is a changing on wind speed at steady
state. Figure 9 shows the behavior of the generated voltage profile when wind speed
changes at no load from 9 m/s to 11 m/s. At t = 5 s, it can be seen that Vs_RMS reach
268 V (phase to ground) creating an overshoot of 14.1%. At full load, when wind
speed changes from 10 m/s to 14 m/s at t = 12 s, Fig. 10 shows that Vs_RMS drops to
150 V (phase to ground) creating a dip of 34%. However, in both cases, the oscillations
disappear respectively after 0.25 s and 1.5 s, which allows the system to remain
stable.
Fig. 7. Simulation results with & without compensation for T1 (left) and T2 (right)
Fig. 8. Simulation results with & without compensation for T3 (left) and T4 (right)
Fig. 9. Vs profile as a function of wind speed at no load from 9 m/s to 11 m/s at t = 5 s.

Fig. 10. Vs profile as a function of wind speed at full load from 10 m/s to 14 m/s at t = 12 s.
6 Conclusion
The model of asynchronous wind turbine operating with STATCOM has been suc-
cessfully designed and developed in MATLAB/SIMULINK environment. The per-
formance of the power system under open loop condition at different wind speed and
load circumstances has been also investigated. Once the simulation results are validated
using the real-time control board dspace 1104, the work presented in this document will
be completed by the proper controllers.
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système éolien contrôlé par un régulateur de tension. In: Colloque international Sur les
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A Comparative Investigation and Evaluation
of Maximum Power Point Tracking
Algorithms Applied to Wind Electric Water
Pumping System
Benzaouia Soufyane1,2(&), Zouggar Smail1, Rabhi Abdelhamid2,

M. L. Elhafyani1, Mokhtari Mohammed1, and Fannakh Mhamed1
1
Laboratory of Electrical Engineering and Maintenance – LEEM,
University Mohammed 1st, High School of Technology, Oujda, Morocco
soufyane.benzaouia@gmail.com
2
Laboratory of Modelisation, Information and Systems – MIS,
University of Picardie Jules Verne,
33 rue Saint Leu, 80039 Amiens Cedex, France
Abstract. This paper aims to study the behavior of different Maximum Power
Point Tracking (MPPT) algorithms applied to an autonomous Wind Electric
Water Pumping System. In this work a different configuration of a wind
pumping system has been proposed and studied. It’s compound of a wind
turbine, a Permanent Magnet Synchronous Generator (PMSG), an AC/DC
converter, a DC/DC boost converter and a centrifugal pump driven by Perma-
nent Magnet DC (PMDC) motor. The ultimate goal is to obtain the maximum
water flow rate by maximizing the power from the wind turbine using an MPPT
controller. Therefore three optimization methods Perturb and Observe (P&O),
Incremental Conductance (INC) and Fuzzy Logic Controller (FLC) were
developed, compared and evaluated. The obtained results show that the MPPT
controller based on Fuzzy Logic ensures a high performance and a good ability
to achieve the optimal power using fewer sensors comparing with the two others
conventional methods.
Keywords: Wind energy Water pumping Flow rate MPPT

Perturb and Observe Incremental Conductance Fuzzy Logic Controller
PMSG PMDC motor Centrifugal pump
1 Introduction
Wind energy play in important role in electric power generation, its represent a
competitive and promising renewable energy source which can be used as an alter-
native solution to the classical energy sources based on fossil fuels [1]. In addition to
that, the winds turbine systems have advantages like being clean energy sources [2, 13].
Wind energy has been used in many applications, including water supply [17],
particularly in rural areas and isolated sites where access to the traditional energy is
difficult. Several systems dedicated to water pumping have been studied using different

https://doi.org/10.1007/978-981-13-1405-6_60
A Comparative Investigation and Evaluation 511
topology, configurations and control strategy, taken some previous works we find that
the most of configuration use the SEIG or PMSG or BDFIG etc. as generator and either
DC or AC motor to drive the pump [2–4, 14, 17].
The structure of the proposed wind electric water pumping system analyzed here is
shown in Fig. 1, it’s chosen to be simple by reducing the complexity of the configu-
ration and minimizing the number of converters, which will decrease the cost of the
system, ensuring a high efficiency and less maintenance [16], and the important thing is
that the system and the machines should function with an autonomous way, without
needing of any external power sources, all of these factors were taken into account in
the choice phase. The system studied here consists of a wind turbine, a permanent
magnet synchronous generator, a three-phase uncontrolled AC/DC rectifier, a DC-DC
boost converter and a DC water pump. The wind turbine is coupled directly to the
PMSG. The kinetic energy captured by the wind turbine is converted into electrical
energy. The AC output voltage of the PMSG is rectified into DC voltage which varies
in amplitude and frequency with the variation of the wind speed. The DC output
voltage is filtered using a capacitor, the boost converter extracting the maximum power,
and then supplying the permanent magnetic DC motor (PMDC) which transform the
electrical power into mechanical power in order to drive the centrifugal pump.
Fig. 1. Proposed wind electric water pumping system.
The present work is organized as follows: Sect. 2 presents the mathematical model
of the system. Section 3 presents the MPPT techniques. Section 4 presents the simu-
lation and its results with a discussion and Sect. 5 concludes this paper.
2 Modeling of Wind Electric Water Pumping System
2.1 Turbine Model

The power of the wind is defined by:
ðq:A:V 3 Þ
pv ¼ ð1Þ
2
Where q is the air density, A is the circular area, V the wind speed.
512 B. Soufyane et al.
The aerodynamic power produced by the turbine. It can be expressed by:

Cp ðk; bÞ:q:A:V 3
paer ¼ ð2Þ
2
Xturbine :R
k¼ ð3Þ
V
Where Cp represents the power coefficient, it depending on the pitch angle b and the tip
speed ratio k; Xturbine , is the turbine rotor speed and R is the turbine radius.
The power coefficient Cp can be expressed by [5, 16]:

C2 C5
Cp ðk; bÞ ¼ C1 C3 :b C4 e c þ C6 :k ð4Þ
c
1 1 0:035
¼ ð5Þ
c k þ 0:08b b3 þ 1
Where C1 ¼ 0:5176, C2 ¼ 116, C3 ¼ 0:4, C4 ¼ 5, C5 ¼ 21, C6 ¼ 0:0068

The original model represents a variable pitch model, while for our case the model
was changed to represent a fixed pitch turbine by given the zero value to the pitch angle
[5]. Therefore the power coefficient is only as a function of lambda.
The aerodynamic torque is determined by:
Paer q:A:V 3 1
Taer ¼ ¼ Cp ðk; bÞ : ð6Þ
Xturbine 2 Xturbine
2.2 Model of the Gear

The multiplier can be formulated by a simple gain G:
Taer
Tt ¼ ð7Þ
G
Xmec
Xturbine ¼ ð8Þ
G
Where G is the gear ratio between the turbine and the generator. For our case we have
used a direct-driven permanent magnet synchronous generator so we take G = 1.
2.3 Dynamic Equation of the Generator Shaft

The fundamental dynamic equation is described with the following equation [6]:
@Xmec
J ¼ Tt þ Tem f :Xmec ð9Þ
@t
Jturbine
J¼ þ Jg ð10Þ
G2
Where Tem is the electromagnetic torque produced by the generator, f is the turbine
rotor friction and J is the total inertia of the rotating parts.
2.4 Permanent-Magnetic Synchronous-Generator (PMSG) Model

The d-q stator voltages equations of this generator are given by the following
expressions:
@Ids
Vds ¼ Rs Ids þ Ld xr wqs ð11Þ
@t
@Iqs
Vqs ¼ Rs Iqs þ Lq þ xr wds ð12Þ
@t
wds ¼ Ld Ids þ w0 ð13Þ
wqs ¼ Lq Iqs ð14Þ
Where Lq and Ld are the inductances of the generator on the q and d axis, Rs is the
stator resistance, w0 is the permanent magnetic flux and xr is the electrical rotating
speed of the PMSG. By substituting Eqs. (13) and (14) into Eqs. (11) and (12), the
differential equations of PMSG can be obtained as follows:
@Ids
Ld ¼ Vds Rs Ids þ xr Lq Iqs ð15Þ
@t
@Iqs
Lq ¼ Vqs Rs Iqs xr Ld Ids þ w0 xr ð16Þ
@t
The electromagnetic torque is represented by:
3
Tem ¼ p Ld Lq Ids Iqs þ w0 Iqs ð17Þ
2
Where p is the number of pole pairs.

The PMSG is assumed to be wound-rotor, then Ld ¼ Lq , and the expression of the
electromagnetic torque in the rotor can be described as follow:
3
Tem ¼ pw0 Iqs ð18Þ
2
2.5 Permanent-Magnet DC (PMDC) Motor Model

The modeling of PMDC motor is represented by the following equations [7]:
@Ia
Va ¼ Ra :Ia þ La þe ð19Þ
@t
e ¼ Ke :xm ð20Þ
Te ¼ Kt :Ia ð21Þ
The dynamic equation of the motor is given by:
@xm
Te TL ¼ J þ Bm :xm þ Tf ð22Þ
@t
Where:
Ra is the armature winding resistance, La is the armature self-inductance, Ia is the
motor armature current, Va is the applied voltage, e is the back e.m.f of the PMDC
motor, Ke is the voltage constant, xm is the angular speed, Kt is the torque constant, J is
the moment of inertia, Bm is the viscous torque constant, Tf is the torque constant for
rotational losses and Te and TL are the electromagnetic torque and the load torque
respectively.
2.6 Centrifugal Pump Load

The load torque of the centrifugal pump is given by the following expression [8]:
TL ¼ A:x1:8 þ B ð23Þ
Where A, B are the constants of the pump.

The performances (flow rate Q, total heads H and the power P) are given by:
Q1 xm1
¼ ð24Þ
Q2 xm2

H1 xm1 2
¼ ð25Þ
H2 xm2

P1 xm1 3
¼ ð26Þ
P2 xm2
3 Power Maximization
To maximize the water flow rate, the rotational speed of the motor which drive the
centrifugal pump must be maximized. That’s can be done by maximizing the power
absorbed by the motor pump group. In order to determine the characteristic DC power/
DC voltage of the studied system and to provide the reference points of the maximum
power for each wind speed we have used a configuration consists of wind turbine,
permanent magnet synchronous generator, AC/DC converter with filter and variable
resistor load [11]. By varying the load we measure for each fixed wind speed the DC
power and voltage provided by the generator. The results of this operation are illustrated
in Fig. 2a.
Fig. 2. Pumping system characteristics, (a) Pdc - Vdc , (b) Pa -D, (c) Va -D (d) xm -D.
3.1 Pumping System Characteristics

According to [1, 9–11], it’s proved theoretically and experimentally in the case of
resistive load, that by introducing a boost converter we can extract the maximum power
by adjusting the duty ratio at its optimal value. By the same way, for our case we
introduce a boost converter between the bridge rectifier and the motor pump as shown
in Fig. 1. Armature voltage, Generated output power and the PMDC motor speed were
observed when the duty ratio a of the boost converter was changed from 0 to 0.9 for
each fixed wind speed.
The characteristics of the absorbed power by the motor pump group and the PMDC
motor speed at four wind speed 4 m/s, 6 m/s, 8 m/s and 9 m/s as an example are
respectively shown in Figs. 2b and d. From the obtained curves we notice that for each
wind speed, the absorbed power and the PMDC motor speed are maximized at certain a
called optimum duty ratio. So to make the system work at its optimum point and to
extract the maximum power at variable wind speed, the turbine should always operate
at aopt , hence the necessity of a controller to optimize power. These curves will be used
later as references to evaluate the performance of the proposed MPPT controller.
3.2 MPPT Controller

From the characteristics determined in the previous section (Fig. 2), we can see that our
system operate in the points on the left, so the objective is to led the system to work in
the yellow points which correspond to the maximum absorbed power, maximum
armature voltage and maximum PMDC motor speed.
• Method based on Fuzzy Logic Control (FLC)
Figure 4 shows the block diagram of the proposed FLC [10, 12, 13, 18] applied on our
system. It’s consists of two inputs variables: the first input variable of the controller
receive either the change of the PMDC motor speed (DxmðkÞ) or the change of the
Armature voltage of the PMDC motor (DVaðkÞ), the second one receive the change of
the unit delay cycle (DDðk 1Þ), and one output variable: duty cycle (DðkÞ).
The input variables of the FLC can be calculated as follows:
DVaðkÞ ¼ VaðkÞ Vaðk 1Þ Or DxmðkÞ ¼ xmðkÞ xmðk 1Þ ð27Þ
DDðk 1Þ ¼ Dðk 1Þ Dðk 2Þ ð28Þ
Once the input signals are calculated and linguistic variables are obtained, the
output of the fuzzy logic controller which is the duty cycle is generated using the fuzzy
rules.
Generally a Fuzzy Logic Controller consists of three main stages [12] Fuzzification,
Rule base lookup table and Defuzzification. The Fuzzification process allows converting
inputs and outputs variables into linguistic variables using 7 fuzzy subsets called
membership function: NB (Negative Big), NM (Negative Medium), NS (Negative
Small), ZE (Zero), PS (Positive Small), PM (Positive Medium) and PB (Positive Big).
For our case triangular symmetrical membership functions are used for inputs and
output variables for reason to give more sensitivity [16], and for easy implementations.
The fuzzy logic membership functions are shown in Fig. 3.
The fuzzy rules used here have the form of “IF-THEN” with “AND” logical
operators, such as: if DVaðkÞ is PS AND DDðk 1Þ is PM THEN DðkÞ is PM.
Table 1 shows the rules table for FLC.
After all the above processes we have the last one which is Defuzzification it’s the
inverse process of fuzzification, its allow converting the degrees of membership of
output linguistic variables into numerical values, this operation can be performed by
using the centroid method (or the center of gravity) [15].
Rnj¼1 yj lðyj Þ
y¼ ð29Þ
Rnj¼1 lðyj Þ
Fig. 3. FL membership functions, (a) & (b) Input variables DVaðkÞ Or DxmðkÞ, DDðk 1Þ
(c) output variable DðkÞ
Table 1. The rule table for FLC

DxmðkÞ DDðk 1Þ
DVaðkÞ
NB NM NS ZE PS PM PB
NB PB PB PM NS NM NB NB
NM PB PM PS NS NS NM NB
NS PM PS PS PS NS NS NM
ZE NM NS PS ZE PS PS PM
PS NM NS NS PS PS PS PM
PM NB NM NS PS PS PM PB
PB NB NB NM PS PM PB PB
Fig. 4. Implemented Fuzzy Logic Controller MPPT algorithm

• Perturb and Observe (P&O), Incremental Conductance (INC) Methods
The Perturb and Observe (P&O) or Hill-Climb Searching method (HCS) and Incre-
mental conductance (INC) are the most conventional MPPT techniques used in small
wind turbine systems [1, 9, 11] and in PV systems applications, the main advantage of
this algorithm is that it can be easily implemented. The flow charts of the P&O and INC
algorithms are represented respectively in Fig. 5a and b. The both methods measures
the voltage, current and power after the bridge rectifier and perturbs the duty cycle by
increasing or decreasing it using a fixed step-size (DD), and then it observes the change
of the DC power side (DPdc ). If the resulting perturbation have causes an increasing in
power, the next perturbation should be continue in the same direction until reaching the
maximum power point. Else the perturbation should be changed to the opposite
direction.
Fig. 5. (a) Perturb and Observe MPPT Algorithm, (b) Incremental Conductance MPPT
Algorithm
The proposed system and the MPPT controllers were designed and simulated using
Matlab/Simulink software. In order to highlight the system features a step wind speed
profile was applied to the wind turbine Fig. 6, the wind speed has been changed from
9 m/s to 6 m/s to 4 m/s to 8 m/s, the duration of each step is 5 s.
Figures 7, 8 and 9, represent respectively the variation of the absorbed power, the
PMDC motor speed and the variation of the electrical torque and the load torque
opposed by the centrifugal pump.
A small fixed step equal to 0.001 has been used for P&O and INCMPPT con-
trollers, the results are illustrated in Figs. 7 and 8, we can notice that the FLC is better
than the P&O and INC in term of stability, accuracy and also at dynamic regime during
the starting period, it’s converge fastly to the MPP, and its produces higher output
power than that of P&O and INC control strategies.
Another drawback for the P&O method appears in Fig. 8 when choosing a large
step equal to 0.01, it lost the accuracy and the stability when searching the MPP and
this led the motor speed to oscillate around its optimum point, the thing which impacts
Fig. 6. Variation of wind speed with time
Fig. 7. Variation of the absorbed power by the motor with and without MPPT controllers
Fig. 8. Variation of PMDC motor speed with and without MPPT controllers
Fig. 9. Variation of motor and pump torque with time
Table 2. Simulation results

Wind speed Average PMDC motor speed (rpm)
(m/s) Without P&O P&O INC FLC
MPPT (Step = 0.01) (Step = 0.001) (Step = 0.001)
4 523.7 755.8 783.6 785.2 799.7
6 773.5 1074.5 1122 1138 1155
8 1003 1350.5 1386.5 1404 1429
9 1110 1465 1518 1518 1518
negatively the system efficiency. This means that the MPPT controllers with a fixed
perturbation require a precise choice of the step, which is not an easy task especially
when having a high non-linear characteristic of the system, like the studied one in this
work. Table 2 summarizes the obtained results.
5 Conclusion
In this paper an autonomous wind electric water pumping system using a PMSG wind
turbine and DC pump for water pumping application was presented. A comparison
between P&O, INC and FLC MPPT algorithms has been developed for the studied
system in order to maximize the water flow rate and to improve the efficiency opera-
tion. The obtained results show that the MPPT controller based on FLC represent the
most adequate MPPT method for the proposed system, it ensures a high accuracy to
track the maximum power, a high stability and less oscillation around the MPP
comparing with the P&O and INC algorithms, and all this is obtained only by
employing a single sensor. In our future work we intend to validate the obtained results
on an experimental bench and also compare the proposed configuration with the
existing ones in literature.
Acknowledgment. This research was supported by the National Center for Scientific and
Technical Research (CNRST) of Morocco and the Embassy of France in Morocco.
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Design of a Switch-Mode Power Supply
with Soft Switching and Analog Control
E. Baghaz(&), A. Naamane, and N. K. M’sirdi
Aix Marseille Univ, Université de Toulon, CNRS, LIS, Avenue escadrille

Normandie Niemen, 13397 Marseille Cedex 20, France
e.baghaz@yahoo.fr, aziz.naamane@lsis-lab.fr
Abstract. In high-power applications to meet high-efficiency and green stan-

dards. Some power-supply designers have found it easier to use a D/DC, full-
bridge converter. This is because this kind of converter can obtain zero-voltage
switching on the primary side of the converter reducing switching losses, and
EMI and increasing overall efficiency.
The purpose of this paper is the design of a switch mode power supply for
industrial applications (vehicle charger, power supply for a helicopter…,) This
Full Bridge DC/DC converter controlled by an analog control. This shows
several advantages as simple implementation, compactness with satisfactory
performance. The simulation results obtained are compared with a Full Bridge
Converter controlled by UCC28950 which is a digital Texas Instruments device.
The designed power supply operates with an efficiency of more than 90%.
Keywords: Full bridge DC/DC converter Analog control

UCC28950 controller Power supply Output
1 Introduction
In the field of power electronics, the choice of DC/DC converters depends the load
specification of the desired application. Such as conventional DC/DC converters
(Boost, Buck,…) are easy to implement, they require only one PWM signal to control
the power switch. While, this type of converters are intended for limited current and
voltage applications. Second, they suffer from a low-yield problem [1–4] because of the
use of hard-switching controls, resulting in very significant output power loss during
the switching of the transistor [1–4]. To address this problem, there are several
structures of alternative power DC/DC converters for power applications [5, 12]. In this
context, we have studied the operation of a new high power DC/DC converter, the full
bridge DC/DC converter [11]. Then we developed an analog control, which has several
advantages: Simple to implement, low occupied space and it allows to ensure to the
transistors a soft switching. And as a result, it improves the overall efficiency of the
converter. The simulation results obtained are compared with those of converter
designed and produced by Texas Instrument [11]. This comparison shows that the
system developed in this work has similar results to that of Texas Instrument.

https://doi.org/10.1007/978-981-13-1405-6_61
Design of a Switch-Mode Power Supply with Soft Switching 525
2 Structure and Operation of a Full Bridge DC/DC

Converter Controlled by an Analogue Control
Figure 1a represents the synoptic diagram of the Full Bridge DC/DC converter, with
high controlled power an analog control designed during this work. It has several
advantages over conventional controls. Then, Fig. 1b, represents a full bridge phase
DC/DC converter. such as the TA, TB, TC, and TD transistors form the complete
bridge on the primary side of the T2 transformer, they switch with a cyclic ratio of
almost 0.5. Then TE, and TF represent the transistors on the secondary side of the T2
transformer. While LOut and VOut form the output filter. The Tr inductance is
designed to assist the T2 transformer leakage inductance when operating in resonance
with the internal capacity of the MOSFET and facilitates zero voltage switching (ZVT).
A B
Fig. 1. DC/DC Full Bridge inverter scheme
3 Design of an Analog Control with Soft Switching
In order to design a simple analog control, adaptable with high power applications, and
that responds well to the great challenges of power electronics, among these challenges,
there is the low output of DC/DC power converters. In this framework, we have studied
and designed a simple analog control, it is based on the acquisition of the current image
generated by the input generator and the output voltage in order to generate 6 PWM
synchronized signals to ensure the switching of the 4 Transistors (TA, TB, TC, TD) on
the primary side of the transformer and those on the secondary side (TE, TF) (Fig. 1).
The operating principle of this control is as follows:
• a proportional and integral PI: which aims to regulate the output voltage in order to
correspond to a given reference. As shown in Fig. 2, using a particular bridge
circuit, we have taken a fraction (V1) of the output voltage of the DC/DC converter
(VOut), it should be noted that the output voltage of this application is set at 12 V,
so we take a ratio of 1/5 of the voltage. Then the reference voltage or setpoint (Vref)
is set at 2.5 V. The two voltages V1 and Vref are connected respectively to the non-
inverting and inverting input of the proportional and integral amplifier PI.
• A progressive start circuit: This is a 2.5 µa power source that loads a 10n (Fig. 2).
This circuit allows to generate a voltage that increases slowly until it reaches the
maximum value. The purpose of adding this circuit to the PI controller is to generate
V BIA S2
V ou t
R54
1u 2 .37 k
R55 V BIA S3
C24 9 .09 k
IC = 5
V
7
R53 U4 Vs1
R45 V re f 3 5
V+
+ O S2 D20
2 .37 k R56
2 .37 k 2 7.9 k 6 V pi
O UT
C21 V1 2 1
- 4 O S1 D1N5 40 6
5 60 p
C23 u A7 4 1 V-
V
5 .6n IC = -1
IC = -1 0
0
V BIA S1 D21
D1N5 40 6
I1 Vssc
2 5u A dc D22
D1N5 40 6
C22
1 0n
Fig. 2. PI corrector
a progressive cyclic ratio in transient mode. The optimum or typical cyclic ratio is
obtained when the difference between the voltage V1 and the vref becomes zero.
The Acquisition of the current was carried out on the basis of the circuit shown in
Fig. 3a, the transformer used for this application has a transformation ratio (m) of 100
and the maximum voltage applied to the CS pin is Vp = 2v. From this data, we
calculate the values of the resistances (R1 and Rcs) in Fig. 3a:

DIL1 VINMIN DMAX ðVp 0:3Þ
Ip1 ¼ Ps
Vsg þ 2 1
m þ LMAG 2 FSW ¼ 6:88 A; RCS ¼ Ip1 ¼ 20:89 X
n 1:1
R7 ¼ n RCS ¼ 800 X
ð1Þ
• The signal that represents the current image at the input of the Full Bridge DC/DC
converter is added to a saw-tooth signal (VRAMP) (Fig. 3b), using a summer
Opampl circuit. Next, the resulting signal is compared with the VS1 signal gen-
erated by the circuit in Fig. 2. And as a result, this comparison results in a PWM
signal. The simulation results are shown in Fig. 4.
The PWM signal obtained above is connected with a flip flop JK toggle (Fig. 5).
The Q output of this toggle will only change the state if the PWM signal connected to
its CLK input is in the rising front. The signal Q and q at the output of the JK are two
PWM signals (QC and QD) that will control an arm of the transistors of the DC/DC
Fig. 3. A: Input current Acquisition, B: Input current comparison with Comparison vs

2.0V 6.0V
1.5V C 4.0V
D
1.0V
0.5V 2.0V
0V 0V
680us 685us 690us 695us 700us 680us 685us 690us 695us 700us
V(Startup.VS2) V(Startup.VS1) V(Startup.PWM)
Time Time
Fig. 4. Generated signals by Circuits of Figs. 2 and 3, C: Signals comparison Vs of Fig. 2 and
Vs1 of Fig. 3; D: PWM signal at comparator output of Fig. 3B.
converter Full Bridge. Then, we applied a delay of 360 ns to the front amount of two
signals Q and (q), which ensures a switching to zero voltage SVA (soft switching),
avoiding the switching losses that usually occur during a Operation and a classical
PWM delay. The simulation results are shown in Fig. 9, by connecting the PWM signal
obtained to a JK flip flop, we obtain the signal from Fig. 6 in green. One notices the JK
has a rising edge behavior for its state changes. The outputs Q and Q, at the output of
the JK flip flop, are shifted at each front up to 60 ns (6 F and G).
V BIA S U21 U25

U11
DEL A Y 1
J Q 3 60 n s 3
P WM 2 QC
CLK
A ND2
K Q U12
1
3
JKFF_A B M U26 2 QD
DEL A Y A ND2
3 60 n s
Fig. 5. PWM signals connected to transistors TC et TD.
6.0V
4.0V
4.0V 3.0V
2.0V
F
2.0V E 1.0V
0V 0V
680us 685us 690us 695us 700us 4.715ms 4.725ms 4.735ms
V(Startup.PWM) V(Startup.U11:I0) V(Startup.U11:I1) V(Startup:QC)
Time Time
4.0V
3.0V
2.0V
1.0V G
0V
4.715ms 4.725ms 4.735ms
V(Startup.U21:Qbar) V(Startup:QD)
Time
Fig. 6. Signals generated by the circuit in Fig. 5: E: PWM signal connected to the flip flop JK
input (pink) and the one at its output (green); F: PWM signal QC (in red) of the JK flip flop (in
green); G: QD PWM signal (in red). the output (Q) of the JK flip flop (in green).
Following the same principle, we generated the other two second-arm PWM signals
from the Full Bridge DC/DC converter (Fig. 7). Such as, by connecting a CLK signal
of cyclic ratio of 0.05 to the CLK input of the Flip Flop JK, resulting in two output Q
and (Q). By imposing in the same way a delay of 360 ns on the front amount of each
output, we deduct the other two PWM signals (QA and QB) of the primary part. Fig-
ure 8 shows the simulation results of the signals generated by the circuit in Fig. 7.
U17 U29
U27
V BIA S DEL A Y 1
J Q 3 60 n s 3
CLK 2 QA
CLK
A ND2
K Q U28
1
3
JKFF_A B M U30 2 QB
CLK
DEL A Y A ND2
V1 = 5 V 42 3 60 n s
V2 = 0
TD = 0
T R = 25 n
T F = 25 n
P W = 4 .5 u
P ER = 5 u
0
Fig. 7. PWM signals connected to transistors TA et T
The PWM signals, which controls the transistors on the secondary side of the
transformer of the Fig. 1b, are generated by the circuit in Fig. 9. We have connected
both PWM out C and out A signals to both R and S inputs of the RS toggle, in order to
change the state at each front edge of the two input signals. This interpretation is
validated by simulation signals from Fig. 9 L and M.
6.0V
4.0V
4.0V
3.0V I
2.0V H 2.0V
1.0V
0V 0V
4.715ms 4.725ms 4.735ms 4.715ms 4.725ms 4.735ms
V(Startup.CLK) V(Startup.U27:I1) V(Startup.U27:I1) V(Startup:QA)
Time Time
4.0V
3.0V
2.0V
1.0V
0V
J
4.715ms 4.725ms 4.735ms
V(Startup.U17:Qbar) V(Startup:QB)
Time
Fig. 8. I: CLK Signal (green) connected to the flip flop JK input and the one to its output (red);
J: QA (green) PWM signal at the output of the JK flip flop (in red); K: QD PWM Signal (in
green) obtained en décalant chaque front montant du signal à la sortie Q de la bascule JK (en
rouge).
4.0V
4.0V
K 3.0V
3.0V
2.0V
U4 U5 2.0V
O UT C 1 4 O UT E O UT D 1 4 O UT F 1.0V 1.0V
V BIA S2 2
SE
CLK
Q
V BIA S2 2
SE
CLK
Q
0V L 0V M
O UT A 3 5 O UT B 3 5 4.715ms 4.725ms 4.735ms 4.715ms 4.725ms 4.735ms
RE Q RE Q V(OUTE) V(OUTF)
RSFF RSFF Time Time
Fig. 9. Circuit signals K: L: Output E PWM signal, M: Output F PWM signal.
4 Simulation Results and Interpretation
Figure 10 represents the complete circuit of the switching mode power supply,
implanted in the Pspice simulator. We represent in the following the different simu-
lation results obtained.
T1 D1
DN4 1 48
CS
R2_ 2
R1_ 2
V 4 .87 k 8
C3D1 00 6 5A
U2 U40 C3D1 00 6 5A
O UT A 1 1 4 C18 2 U4 U39 N = 1 00
1 2 2 D TJ 5 1 K 3 O UT C1 1 4 2
5n
2 G TC A CAS E 1 D TJ K 0
3
3 2 2 5 C15 1 3 T2
S 2 G TC A CAS E
3
V2 U23 3 V 5n
3
IR2 1 11 S V3 U22
2 5V d c
3
C2M 00 8 01 2 0D IR2 1 11
2 5V d c D5
C2M 00 8 01 2 0D
M URS3 6 0T 3
NS1 = 1
0
C3_ 2 0
C = 3 30 u RS1 = 0 .58 m
V1 E SR = 0 .01
4 10 V dc IC = 40 0 L3
X= 1 NP1 = 2 1
C3D1 00 6 5A V OUT
C3D1 00 6 5A U42
1 4 2 2 uH
U3 U41 RP1 = 0 .21 5
I O UT B1 1 4 2 2 D TJ 5 1 K 3
U5 C16
1 2 2 D TJ 5 C17 1 K 3 O1UT D 3 G TC A CAS E
2 G TC A CAS E 1 S V 5n
3
3 V 5n 2 V4 U25 NS2 = 1
S 2
3
V5 U24 2 5V d c
3
IR2 1 11 C2M 00 8 01 2 0D
2 5V d c
3
C2M 00 8 01 2 0D IR2 1 11
RS2 = 0 .58 m C14 R52
L6 1 25 m 2 40 m
0 D11
0 M URS3 6 0T 3
2 6u H
L LE A K = 7.5 u
L M = 2.6 m
RCO RE = 1 0 0K
0
U43
S ta rtup 0
O UT C1 4 O UT E
SE Q
CS 2
V BIA S2
Cs CLK
O UT A3 5
RE Q
V OUTP
V ou t RSFF
V BIA S2 U6
O UT F1
O UT A 1 2
QA 2
3
V 37
5 Vd c C3D1 00 6 5A
3
O UT B U44 IR2 1 11
QB 2
Q6
O UT D1 4 O UT F 0 C19 1 K 3
O UT C SE Q A CAS E
QC 5n
2
V BIA S2 FDP 0 32 N08 U37
0 CLK
C3D1 00 6 5A
O UT D O UT B3 5
QD RE Q 2
U7 C20 1 K 3
RSFF O UT E 1 A CAS E
1 Q5 5n
2 U38
S ta rtup 2
3
FDP 0 32 N08
3
IR2 1 11
Fig. 10. Complete circuit of the Supply switch mode
4.1 Performance Comparison of the Designed Control

and the UCC28950 Controller
– In order to show the performance of the analog control designed during this work,
we compared the different signals of the Full Bridge converter in Fig. 1b, controlled
by the designed control and the UCC28950 controller. The different results obtained
are shown in Fig. 11. It is to note that the results of the system controlled by the
analog control designed are shown in Fig. 11 on the left and those of system
controlled by UCC28950 [11] are shown on the Same figure on the right. Based on
the results obtained,
– The comparison of the OUTA PWM signal generated by the two controls shows
that they have the same cyclic ratio of 0.47, the same frequency of 100 kHz
(Fig. 12).
The electrical quantities at the output (voltage, current) generated by the analog
control designed (Fig. 13A) are identical with those generated by the UCC28950
(Fig. 13B). Then, the electrical quantities generated by the controls respond well to the
defined load specification: a voltage, a neck-rant and a power output of 12 V, 50 A and
600 W respectively.
16V
4.0V
12V B
3.0V A 8V
2.0V
1.0V 4V
0V 0V
5.00ms 5.01ms 5.02ms 5.03ms 5.00ms 5.01ms 5.02ms 5.03ms
V(OUTA) V(OUTB) V(OUTA) V(OUTB)
Time Time
Fig. 11. OUT A PWM signal,
60A
60A
50A
40A
A 50A
B
40A
30A 30A
20A 20A
10A 10A
0A 0A
5.00ms 5.01ms 5.02ms 5.03ms 5.00ms 5.01ms 5.02ms 5.03ms

I(T2:S1A) I(T2:S1A)
Time Time
Fig. 12. Output transformer current generated
60 60
50 50
40 40
30
A 30
20
B
20
10 10
0 0
0s 2ms 4ms 6ms 8ms 10ms 0s 2ms 4ms 6ms 8ms 10ms
V(VOUT) -I(R24) V(VOUT) -I(R43)
Time Time
100
100
80
80
60
C
60
D
40
40
20 20
0 0
0s 40ms 80ms 120ms 0s 40ms 80ms 120ms
((-I(R24)*V(VOUT))/(AVG(I(T1:P1A ((V(VOUT)*-I(R43))/(AVG(I(T1:P1A
))*V(T1:P1A)))*100 ))*V(VIN:+)))*100
Time Time
1.0W 80V
0.8W 60V
E 40V
0.6W
0.4W
20V F
0V
0.2W 0s 20ms 40ms 60ms 80ms
0W V(U40:TJ) V(U42:TJ)
6ms 8ms 10ms 12ms V(U39:TJ) V(U41:TJ)
AVG(I(Q2:d)*V(Q2:d,Q3:d)) Time
Time
Fig. 13. Electrical quantities at the output of the DC/DC converter generated by the two
controls: A (B): Voltage and current generated by analog control (UCC28950), C (D): Overall
output of the inverter controlled by the analog control (UCC28950), E and F: dissipated loss in
the TA transistor, of the DC/DC converter controlled by the analog control, and its junction
temperature.
• The analog control designed in this work has a satisfactory performance, it is higher
than 90% (Fig. 13C). It is identical to that generated by the UCC28950 controller
(Fig. 13D).
• The analog control designed during this work generates well-synchronized PWM
signals, which ensures smooth switching to the transistors of the DC/DC converter.
In order to clearly show these advantages, we have shown in Fig. 13 and F, the
power losses and the junction temperature of the four transistors, of the Full Bridge
DC/DC converter (Fig. 1), during the transistor switching. It appears that, the power
losses in each transistor is low, they do not exceed 0.5 W. Then the junction
temperature of each transistor is in the order of 50°. The results obtained clearly
show the advantage of the control conceived during this work.
5 Conclusion
In this paper we have developed a power supply with a high current. It allows to
generate a voltage of 12 V, a current of 50 A, a power of 600 kW. It operates at a
switching frequency of 100 kHz. This power supply is represented by a Full Bridge
DC/DC converter controlled by an analog control, developed and designed during this
work. During the design of this control, we have considered several challenges:
occupied space, system stability, performance improvement. The different results
obtained are compared with those of a diet developed by Texas Instrument. This
comparison shows that the order designed in this work has relevant results.
The key circuits of analog PWM controller IC are two-stage operational amplifier,
voltage-controlled oscillator, ramp generator, and comparator.
• CONCLUSION Pspice provides an effective environment for modeling and sim-
ulation of DC/DC converters. As conclusion analog controller model gives very
good dynamic respond compare with commercial digital controller model It
achieves our goal; it minimizes the area used by the components and gives the same
results.
• Other advantages include smaller size and lighter weight (from the elimination of
low frequency transformers which have a high weight) and lower heat generation
due to higher efficiency.
• The simulation results show the reasonability and validity of the control design.
References
1. Baghaz E, Melhaoui M, Yaden MF, Kassmi K: Photovoltaic system equipped with a DC/DC
buck converter and a MPPT command ensuring an optimal functioning
2. http://vincent.boitier.free.fr/TER/809PET-boost-converter-efficiency-calculations.pdf
3. Baghaz E (2015) Architectures discrétisées de gestion de l’énergie fournie par les systèmes
photovoltaïques. Thèse soutenue à l’université Mohamed Premier d’Oujda, Juin 2015
4. Cabal C (2008) Optimisation énergétique de l’étage d’adaptation électronique dédié à la

conversion photovoltaïque. Thèse Délivrée par l’Université Toulouse III – Paul Sabatier,
Décembre 2008
5. Balogh L (2001) The current-doubler rectifier: an alternative rectification technique for push-
pull and bridge converters, Unitrode Integrated Circuit Corporation, Design note, DN-63,
pp 1–5
6. Balogh L (2001) Design review:100 W, 400 KHz DC-DC converter with current doubler
synchronous rectification achieves 92% efficiency. Texas Instrument, Design Review, pp 1–
40
7. Sun Z, Eng B (2014) Full bridge DC/DC converter with zero current switching synchronous
rectification for auxiliary power units, McMaster University
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architectures. In: Proceedings of the IEEE international energy conference (EnergyCon
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9. Kutkut N (1997) A full bridge soft switched telecom power supply with a current doubler
rectifier. In: Proceedings of the 19th international telecommunications energy conference,
INTELEC 1997, Melbourne, Vic., pp 344–351, 19–23 October 1997
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Lit. No. SLUA560B, pp 1–30, September 2010
11. http://www.ti.com/lit/ds/symlink/ucc28950.pdf
12. http://www.wolfspeed.com/media/downloads/161/C2M0025120D.pdf
Real-Time Control of AC Machine Drives
Using RT-LAB Package
Mansour Bechar(&), Abdeldjebar Hazzab, Mohamed Habbab,

Lahcen Lakhdari, and Mohammed Slimi
Laboratory of Research Control, Analysis and Optimization of Electro-Energetic

Systems, University of Tahri Mohammed, BP 417, 08000 Bechar, Algeria
mansourbechar@gmail.com
Abstract. This research paper presents RT-LAB Package for real-time control
of AC machine drives. The aim of this work is to create a test bench for design
and implementation of V/F control of AC machine, the OP5600 digital simu-
lator is used as core of rapid control prototyping (RCP) system. The real-time
V/F control algorithm was created in Matlab/Simulink software on the RT-LAB
host computer with two subsystems SM and SC. First, the real-time C code for
SM subsystem was generated by Matlab Real-Time Workshop (RTW). Then,
this code is compiled and downloaded into the RT-LAB target computer via
network connections TCP/IP protocol, when executing the model in real-time
the master subsystem that contains the calculation part does not require any
change because it is running on the OP5600 simulator. The target runs the
Redhat as real-time operating system. The experimental results with and without
speed feedback are compared and discussed at the end of this research paper.
Keywords: AC machine drives (OP5600) digital simulator Matlab

Real-time control RT-LAB package
1 Introduction
Over the years, it has been increasingly acknowledged how important and essential
tools of real-time simulation and testing in all industries. These tools are no longer a
luxury in modern system design, especially in electric motor drives and power elec-
tronics. Several well-known commercial software packages such as Matlab-Simulink,
Auto-CAD, Mathcad, control desk, RT-LAB offers many other useful toolboxes for
many electrical machines in engineering subjects [1, 2]. The direct use of these soft-
ware packages is a major advancement in simplifying simulation procedures for many
practicing engineers as well as for undergraduate engineering students [3].
RCP is a model-based design method that can be used to develop complex systems
through math models described with block diagrams [10]. RCP means to design
controllers satisfying the requirements and specifications using CACSD (Computer-
Aided Control System Design) software.
First to construct block diagrams of math models and then test through Software-In-
the-Loop (SIL) simulation, then real time C code generated by (RTW) procedure is
compiled and downloaded onto real-time target machines or embedded controllers,

https://doi.org/10.1007/978-981-13-1405-6_62
534 M. Bechar et al.
which are connected to the controlled plant through physical I/O interfaces to perform
Rapid Control Prototyping (RCP) control. Performance of the control algorithm can be
validated in real-time through RCP simulation, and if the algorithm doesn’t work very
well, we can iterate the development until a best solution is found. Once the final
control scheme is determined, optimized control algorithm can be downloaded onto the
target controller [11].
In this research paper the authors present a full digital real-time control of AC
machine drives with and without speed feedback using RT-LAB package and
Matlab/Simulink environment. The popular MATLAB/Simulink was used as an
interface for building, editing and viewing graphic models in block-diagram format.
The block diagram models become the source from which code can be automatically
generated, compiled and downloaded onto target processors for real-time control.
2 Rapid Control Prototyping Setup
Each RCP setup is built with one OPAL-RT real-time simulator, one Host PC equipped
with RT-LAB package and Matlab/Simulink software, one power electronics drivelab
board and AC machine. The Host PC which works as a command station and acts as
the interface between a user and an OPAL-RT simulator. The PC is equipped with RT-
LAB software. RT-LAB [2–9], fully integrated with Matlab/Simulink, is the open real-
time simulation software environment that has revolutionized the way Model-Based
design is performed. RT-LAB’s flexibility and scalability allow it to be used in vir-
tually any simulation or control system application, whether it is for real-time RCP
applications or for dramatically speeding up simulation execution [4].
Fig. 1. RCP setup
Figure 1 shows RCP setup for the machine laboratory. As shown in the Fig. 1a,
OP-5600 OPAL-RT real-time simulator is used as a core of the RCP system. Currently,
CAOSE laboratory at university of Bechar is equipped with one OP-5600 OPAL-RT
Simulator and one Drivelab OPAL-RT Board. OP5600 device has one CPU with four
Real-Time Control of AC Machine Drives Using RT-LAB Package 535
core Intel Xeon QuadCore 2.40 GHz, 1333FSB, 8M and is able to send and receive
various digital and analog signals via Xilinx Spartan-3 FPGA I/O card. To generate
controlled PWM voltage source, OP5600 generates various digital control signals to
dictate the magnitude and phase of the PWM voltage sources [4]. The generated signals
are then sent to a power electronic board using DB37 optical cables. This board also
provides the three supply voltages for AC machine to control the machine at a desired
speed or torque. The V/F control algorithm is simulated offline before real-time control
to ensure the proper function of this algorithm. In real-time control RT-LAB will
separate the model into SM and SC subsystems and convert the separated SM sub-
system in to C code using real-time workshop (RTW) the separated subsystem is
uploaded into specified target processor through the network connection TCP/IP pro-
tocol, Then the algorithm will be executed on the simulator and output signals will be
sent out of the simulator by digital and analog I/O mezzanines cards. The RCP setup
includes one Drive Lab board; one AC machine and one DC Power Supply.
As shown in Figs. 2 and 3 Matlab/Simulink model of OPAL-RT require two
subsystems for real-time simulation and control, when executing the model in real-time
the master subsystem that contains the calculation part does not require any change
because it is running on the simulator and I/O blocks are also kept in the calculation
subsystem, while set points and variables to be changed during real-time control are
contained in the console subsystem.
A DC power supply is connected to drive lab board as the power source of the on
board inverters. The rotor speed is measured by an optic encoder. In order to implement
V/F open and closed loop speed control of AC machine, encoder measurement will be
sent back to the OPAL-RT simulator via DB37 digital input.
The measured stator current will be sent to the OPAL-RT simulator via the analog
input port DB37. Proposed setup allows the implementation of advanced motor drives
control algorithms and the evaluation of their performance in real-time.
Fig. 2. Simulink model consists of master and console subsystems

Fig. 3. OPAL-RT model for real-time control
However, since this section is focused on the setup of the machine lab, next
sections describes two examples of V/F control of AC machine with and without speed
feedback.
3 Open-Loop V/F Control of AC Machine
The open loop V/F control of AC machine is the most popular speed control because of
its simplicity, The principle of this method is to maintaining (V/F = constant) which
means to keep the flux constant. The control of the torque is done by the action on the
sliding. However, voltage is required to be proportional to frequency so the stator flux
(w = Us/(2.p.f) remains constant.
The following figure shows the torque-speed curves. In this figure the region below
the base frequency the torque-speed curves are identical to each other and that the
maximum torque is preserved regardless of the frequency (Fig. 4).
Fig. 4. Torque-speed curves at constant Volts/Hz region and in flux-weakening region [5].
Figure 5 presents proposed model for master subsystem of RT-LAB. The main
function of the master subsystem (SM_DriveKit) is to generate gating pulses for all the
six switches of the inverter. Gating pulses are generated using Sinusoidal Pulse Width
Modulation technique. The three phase sinusoidal waveform is used along with a high
Fig. 5. Generation of PWM pulses
frequency triangular wave to generate gating pulses for top switch of each leg. Com-
plementary gating pulse is generated for the bottom switch in each leg. The amplitude
of the sinusoidal waveform is made proportional to the supply frequency. For the
model developed, the voltage amplitude/frequency ratio is set to value that will result in
close to rated voltage (30 V) at maximum frequency (120 Hz) [6].
Figure 6 shows console subsystem of RT-LAB. In V/F open loop control of AC
machine the setpoint is frequency and second setpoint is voltage, The stator voltage is
obtained by this relation (voltage = frequency*(V/F)). The desire switching frequency
is sent to the master subsystem.
Fig. 6. Graphical user interface for open loop
Figures 7 and 8 show the simulation results based on the results collected in real-
time implementation of Volt/Hertz control on AC machine, before start the test,
OP5600 simulator has been tested to ensure a real-time simulation in both, Software
synchronized and Hardware synchronized modes. Both the analog and the digital I/Os
were tested to produce signals and receive signals from external sources.
Fig. 7. Speed open loop response
It shows the change the speed, the current due to square pattern change in the
reference. The reference speed is changed between from 0 to 2500(RPM), the results
show that the output follows the imposed reference.
Fig. 8. Stator currents

4 Closed-Loop V/F Control of AC Machine Using PI

Controller
In this control strategy, the actual speed of the motor (xm) is measured and compared
with a reference speed. The error is fed to a PI controller. This controller generates a
value of slip (xslip), which is added to the measured speed to generate the stator
pulsation. Stator voltage magnitude is proportional to (V/F), The following block
diagram shows the IM speed control (PI controller) with speed feedback [7] (Fig. 9).
Fig. 9. AC machine with speed feedback
A real-time simulator is used to generate the gating pulses for the power converter.
The simulator provides the flexibility to implement any control algorithm and modify
the same quite.
Figures 10 and 11 show the Simulink model for closed-loop speed control of AC
Machine. Figure 10 calculations the duty cycles of IGBTs are contained in master
subsystem.
Fig. 10. OPAL-RT master block model for V/F control of AC machine
Fig. 11. Configurations of I/O signals for real-time control
This subsystem contains all the I/O blocks. The OP5142 controller is found under
the I/O Controller block subsystem.
Event-Generator blocks generate PWM signals in digital out port, The PWM Out
signals is used for the firing of the three phases of each inverter, Digital input block
which returns speed measurement from encoder and Analog-Input block which returns
current measurement from power electronic board’s the acquisition blocks for current
are also contained in computational subsystem. In proposed simulation model, the
value of frequency came from speed control loop and sent to master subsystem. RT-
LAB uses OpComm blocks to enable and save communication setup information. This
includes both communication between the console and the computation nodes and
communication between the multiple computation nodes in a distributed simulation
scenario. All subsystems inputs must first go through an OpComm block before any
operations can be done on the signals they are associated with. The OpComm block
must be inserted after the subsystems creation and renaming. In general, only one
OpComm block must be used even if there are multiple inputs in one subsystem.
Double-click on the block to select the number of inputs required [8]. The OpMonitor
block gives various timing information about the model. Based on the value of fre-
quency, the duty cycles are limited between one and zero before sent into PWM
generation, it is possible to use PWM-Out block for creating the required signals too.
Figure 12 shows the console subsystem blocks. AC machine control algorithm is
consisting of one feedback loop. The only loop is speed feedback. The reference speed
and the measurement speed are compared by comparateur block the error is fed to a PI
controller block. In order to protect machine from over currents, the output of speed
loop is limited by saturation block. The value of frequency is calculated in speed
control loop and desired switching frequency is sent to the master subsystem.
Fig. 12. Graphical user interface for closed loop
Figures 13 and 14 present the proposed model results collected in real-time

implementation of closed loop control. As it is shown in the Fig. 13, two steps change
applied to the speed reference of control system. Speed response shows that PI con-
troller design was able to track the reference speed within a reasonable response time.
Fig. 13. Speed closed loop response
5 Discussion
Figures 15 and 17 respectively, show the real-time speed responses and stator currents,
Fig. 16 shows that the open loop speed does not reach the set point with a remarkable
static error and the closed loop speed reaches the set point with a short response time
compared to the open loop.
From the above experiments and results we concluded that the closed loop V/F
control gives better response and better results as compared to open loop V/F control of
AC machine.
Fig. 14. Stator currents
Fig. 15. Speed open loop Versus Speed closed loop

Fig. 16. Zoom of speeds curve
Fig. 17. Stator currents open loop Versus Stator currents closed loop
6 Conclusions
We have presented in this paper a real-time control of AC machine drives with and
without speed feedback using RT-LAB package and Matlab/Simulink environment.
Also this work is an important contribution to rapid control prototyping by using
OP5600 OPAL-RT real-time digital simulator as a core of the RCP system. The real-
time V/F control results show the ability of the digital simulator to perform open and
closed loop Volt/Hertz control algorithms for AC machine drives with RCP. The real-
time digital simulator OP5600 will allow the implementation of advanced motor drives
control algorithms and the evaluation of their performance in real-time.
References
1. Bengu LG, Swart W (1996) A computer aided, total quality approach to manufacturing
education in engineering. IEEE Trans Educ 39:415–422
2. RT-LAB, Opal-RT Technologies, Inc. (2003) 1751 Richardson Suite 2525 Montréal Québec
H3K 1H6 Canada
3. Akcayol MA, Cetin A, Elmas C (2002) An educational tool for fuzzy logic-controlled
BDCM. IEEE Trans Educ 45:33–42
4. Distributed real-time power system (2012) Opal-RT manuals. www.opal-rt.com

5. Bose BK (2010) Power Electronics and motor drives: advances and trends. Academic Press,
London
6. Rashid MH (2004) Power electronics – circuits, devices and applications, 3rd edn. Pearson
Education Inc., Upper Saddle River
7. Mohan N (2000) Electric drives, an integrative approach. MNPERE, Minneapolis
8. Opal-RT Technologies (2006) RT-Lab user’s Guide
9. Kotsampopoulos P, Hatziargyriou N, Bletterie B, Lauss G, Strasser T (2013) Introduction of
advanced testing procedures including PHIL for DG providing ancillary services. In: 39th
annual conference of the IEEE industrial electronics society, IECON 2013, Vienna,
November 2013
10. Jang J, Ahn C, Han S, Kwon W (2006) Rapid control prototyping for robot soccer system
using SIMTool. In: SICE-ICASE international joint conference, pp 3035–3039
11. Pan BF (2007) Research on rapid control prototyping of Missile, Master thesis of
Northwestern Polytechnical University, Xi’an, China
Sliding-Mode Controls Applied to Induction
Machine Fed by Three - Level Inverter
Lahcen Lakhdari(&), Bousmaha Bouchiba, Mohamed Habbab,

and Bechar Monsour
Laboratory of Command, Analysis and Optimization of the Electro-Energizing

Systems, Faculty of Sciences and Technology, Bechar University,
Tahri Mohamed Bechar, B.P. 417, 08000 Bechar, Algeria
aymendjawadtaha@gmail.com, bouchiba_bousmaha@yahoo.fr
Abstract. In this paper, the design of a speed control scheme based on sliding
mode control for indirect field oriented of a three phase induction motor
(IM) fed by three-level inverter is proposed. This type of inverter presents an
important novelty in the field of energy control with high voltage and power,
and has the advantages of fewer harmonics in the output and low torque ripples.
Sliding mode control design is investigated to achieve a speed tracking objective
under different load torque disturbance and to make the system more performing
and more robust.
Keywords: Sliding mode Inverter PI controller Induction machine

NPC
1 Introduction
Induction motors (IM) have been widely used in industry for variable speed applica-
tions due to their inherent advantages such as simplicity of design, reliability, low cost
of maintenance, high efficiency and they have become the subject of several researches
[1, 2]. PI control have been used, together with vector control methods, for speed
control of induction machines, but may be insufficient for nonlinear systems because
they are not robust especially when requirements such as precision and other dynamic
characteristics of the system are strict [3, 4].
Many robust controls have been proposed in the technical literature. Among them,
the variable structure control sliding mode. This control has largely proven its effec-
tiveness through the theoretical studies reported; main fields of application are robotics
and electric motors. It is a robust control because the high-gain feedback control input
cancels nonlinearities, uncertainty parameters, and external disturbances. [5–7]. Sliding
mode control (SMC). Is one of the prospective control methodologies for electrical
machines [8, 9]. This is due to its order reduction, disturbance rejection and strong
robustness properties, along with its simple implementation by means of power con-
verters; Sliding mode control is a type of variable structure scheme, i.e. one which
involves switching between controllers. In general, the design of variable structure
controllers consists of two steps, namely the reaching and sliding phases [10, 11]. First,
the system is directed towards a switching surface by a feedback control law.
https://doi.org/10.1007/978-981-13-1405-6_63
546 L. Lakhdari et al.
A switching term is then used to maintain the sliding mode, during which the dynamics
of the system are determined by the choice of sliding surface. The sliding mode is
relatively independent of parametric uncertainties and load disturbances. SMC has been
employed for position and speed control of AC machines. However, the discontinuous
nature of the switching feature of SMC causes chattering in the control system [11, 12].
In this paper, a sliding mode controller based on indirect field orientation is pro-
posed for IM speed control. The proposed controller is applied to achieve speed control
under disturbances of load torque. The mathematical model of the induction machine is
developed and presented in Sect. 2. The following section shows the modeling of an
NPC multilevel inverter, Sect. 4 illustrates the development of a PI controller and the
application of this induction machine. And the sliding mode controller design for
induction machine is given in Sect. 5.
Section 6 shows the simulation results’ using Matlab, Simulink, and the conclusion
is drawn in Sect. 7.
2 Mathematical Model of the Induction Machine
In order to lighten the mathematical notations, the indices s, r will be used to designate
the stator and rotor respectively, while d and q will represent the direct and quadrature
axes. In steady state, the electrical equations of an IM expressed in a stator reference
are [7]:
2.1 Electrical Equations
8
> duds
>
> vds = Rs :ids h_ s :uqs +
>
> dt
>
>
>
> du
>
< vqs = Rs .iqs + h_ s :uds þ
qs
dt ð1Þ
>
> dudr
>
> vdr ¼ 0 ¼ Rr :idr h_ r :uqr þ
>
> dt
>
>
>
> du
: vqr ¼ 0 ¼ Rr :iqr þ h_ r :u þ qr
dr
dt
8
>
> uds ¼ Ls :ids þ M:idr
>
>
< u ¼ Ls :iqs þ M:iqr
qs
ð2Þ
>
> udr ¼ M:ids þ Lr :idr
>
>
: u ¼ M:i þ L :i
qr qs r qr
Sliding-Mode Controls Applied to Induction Machine Fed 547
2.2 Mechanical Equation
3 M
ce ¼ :p: : udr :iqs uqr :ids ð3Þ
2 Lr
3 Modeling of a NPC Three-Level Inverter
Multilevel converters have recently increased interest in the research and industry
communities [3, 7]. In these kinds of converters, the output voltage can take several
discrete levels of equal magnitude. The multilevel converter was aimed at reducing the
harmonics content of generated voltage or current waveforms. The harmonics content
of such a waveform is greatly reduced compared to a two-level waveform.
The structure of a multilevel inverter makes it possible to synthesize a sinusoidal
signal, starting from several levels of tension, the larger the number of levels, the closer
the output voltage is to sinusoidal with a minimum of distortion of harmonics. The
connection function Fki defines the state of each switch, where k is the arm number and
i is the switch number. In the controllable mode, the connection functions of the
inverter are linked by [16]:

Fk1 ¼ 1 Fk4
ð4Þ
Fk2 ¼ 1 Fk3
The half-arm connection function is defined as follows:

b
Fk1 ¼ Fk1 Fk2
ð5Þ
b
Fk0 ¼ Fk3 Fk4
The potentials of the nodes A, B, C with respect to the mid-points M of the three-
phase - inverter are expressed by:
8
< VAM ¼ F11
b
Uc1 F10
b
Uc2
VBM ¼ F21 Uc1 F20
b b
Uc2 ð6Þ
:
VCM ¼ F31
b
Uc1 F30
b
Uc2
The simple output voltages of the inverter are deduced as a function of the
potentials of the nodes with respect to the midpoint by the following relation:
8
< VA ¼ ð2VAM VBM VCM Þ=3
V ¼ ð2VBM VCM VAM Þ=3 ð7Þ
: B
VC ¼ ð2VCM VAM VBM Þ=3
This makes it possible to express the simple voltages by using the functions of
connections of the half arms by:
2 3 2 3 82 b 3 2 b 3 9
VA 2 1 1 < F11 F10 =
1
4 VB 5 ¼ 4 1 2 1 5: 4 F b 5Uc1 4 F b 5Uc2 ð8Þ
3 : 21 20 ;
VC 1 1 2 b
F31 b
F30
4 PI Controller Design to Increase the Speed of an Induction

Machine
The speed controller determines the reference torque in order to maintain the corre-
sponding speed. For the cascade to be justified, it is necessary that the loop intern be
very fast compared to speed of an induction machine.
The mechanical equation gives:
x P
¼ ð9Þ
Cem fc þ J:s
The block diagram of speed control is therefore carried out as indicated in Fig. 1.
Fig. 1. Block diagram of the speed control.
The closed loop transfer function is given by:

x kpx :s þ kix PJ
¼ ð10Þ
x qðsÞ
The characteristic equation qðsÞ is:
fc þ kpx :P kix :P
qðsÞ ¼ s2 þ :s þ ¼0 ð11Þ
J J
By imposing two complex conjugated poles s1;2 ¼ q j:q in closed loop and by
identification, the parameters of the regulator PI are obtained as follows:
2:J:q2
kix ¼
P ð12Þ
2:q:J fc
kpx ¼
P
5 Sliding Mode Controller
Variable structure control (VSC) with sliding mode, or sliding-mode control (SMC) is
one of the most effective nonlinear robust control approaches, because it provides
system dynamics with an invariance property to uncertainties once the system
dynamics is controlled in the sliding mode [11–13]. The first step of a SMC design is to
select a sliding surface that models the desired closed-loop performance in state
variable space. Then the control is designed such that the system state trajectories are
forced toward the sliding surface and stay on it. The system state trajectory in the
period of time before reaching the sliding surface is called the reaching phase. Once the
system trajectory reaches the sliding surface, it stays on it and slides along it to the
origin. The system trajectory sliding along the sliding surface to the origin is called the
sliding mode. The insensitivity of the controlled system to uncertainties exists in the
sliding mode, but not during the reaching phase. Thus, the system dynamic in the
reaching phase is still influenced by uncertainties [8, 12].
Without loss of generality, the design of a sliding mode controller is considered for
the following second order system: €x þ a1 x_ þ a2 x ¼ b:u, where u(t) is the input to the
system and we assume that b > 0. A possible choice of the structure of a sliding mode
controller is: [9, 11].
u ¼ ueq þ k:sgnðsÞ ð13Þ
Where ueq is called equivalent control, which dictates the motion of the state
trajectory along the sliding surface [11]; k is a constant, representing the maximum
controller output required to overcome parameter uncertainties and disturbances; s is
called the switching function because the control action switches its sign on the two
sides of the switching surface s ¼ 0. For a second order system, s is defined as: [8]
s ¼ e_ þ k:e ð14Þ
Where e ¼ xd x and xd is the desired state; k is a constant, and sgn(s) is the

signum function, which is defined as:

1 s\0
sgnðsÞ ¼ ð15Þ
1 s[0
The design of sliding mode controllers mainly requires three steps [16–19], namely:
– The choice of the sliding surface
– The condition of convergence
– The calculation of control law
5.1 Choice of the Sliding Surface

The switching function is a scalar function, such as the variable to be adjusted to the
slides on this surface to reach the origin of the phase plane. A general equation has
been proposed to determine the sliding surface, which ensures the convergence of a
variable to its desired value defined as follows [19]:
d dm
Sð x Þ ¼ e ð xÞ þ k1 : :eð xÞ þ . . . þ km : m :eð xÞ ð16Þ
dt dt
With: eðxÞ ¼ xs xs

ki ði ¼ 1; 2; . . .; mÞ Is a positive constant, interpreting the control bandwidth desired
and m is a relative degree, equal to the number of times to derive the output for
command display.
5.2 Condition of Convergence

This is the mode in which the variable to be adjusted moves from any point in the phase
plane and tends towards the switching surface SðxÞ ¼ 0:
This mode is characterized by the control law and the convergence criterion. In this
paper, the direct switching function is proposed by Emilianov and Utkin [19], can be
formulated by the following sufficient condition:
SðxÞ:S_ ðxÞ\0 ð17Þ
5.3 Calculation of Control Law

Once the selected slip surface and the convergence criterion are satisfied, the necessary
condition are determined to bring the variable to be controlled to the sliding surface and
then to its equilibrium point.
In the VSC theory, there are different ways of choosing the parameters to define
switching logic; in the literature there are three types of widespread structures: linear
feedback control with switched gain, relay, and equivalent control. In the latter, two
approaches are preferred in the control of induction machines because they are more
appropriate.
In this case, the method chosen is that of the equivalent command, so we have:
u ¼ ueq þ un ð18Þ
ueq is determined from the convergence condition.

un is calculated to ensure the attractiveness of the state variable to be controlled to

the switching surface.
Definition of the Speed Control Surface
The structure includes a speed control loop which imposes the control Cemref with slip
surface deduced on the basis of the concepts of the reference and is given by [19]:
eðxÞ ¼ xref xr ð19Þ
sðxÞ ¼ k:eðxÞ þ e_ ðxÞ ð20Þ
sðxÞ ¼ kðxref xr Þ þ ðx_ ref x_ r Þ ð21Þ
Considering that the condition of the sliding regime sðxÞ is zero, one obtains the
equivalent control law:
cemeq ¼ f:xr þ cr ð22Þ
During the convergence mode and in order to satisfy the condition SðxÞ:S_ ðxÞ\0,
the following equation is adopted:
cemeq ¼ k:satðsðxÞÞ ð23Þ
This gives us the reference control at the output of the cemref controller for speed
control.
cemref ¼ f:xr þ cr þ k:satðsðxÞÞ ð24Þ
In order to evaluate the performance of the indirect speed vector control with adjust-
ment by a PI regulator and a sliding mode regulator, we performed numerical simu-
lations under the following conditions:
– Speed set point change from 200 to −200 rad/s at the instant 3 s
– Variation of the mechanical load from 0 to −10 Nm between times 1 and 2 s.
Figure 2 shows the IM speed setting by the indirect vector control adjustment by a
PI regulator, with load variation, supplied with a three-level inverter voltage.
Figure 3 shows measured speed and speed reference of the PI regulator.
The results show that the use of the decoupled model gives satisfactory results:
– The speed of rotation follows the reference speed with an excess of 7.20 rad/s.
– Control ensures good regulation with disturbance rejection of 13 rad/s.
– A response time of 0.3 ms to reach the balanced state.
Figure 4 shows the IM speed setting by the indirect vector control adjustment via a
sliding mode regulator, with load variation, supplied with a three-level inverter voltage.
Figure 5 shows measured speed and speed reference of the sliding mode regulator.
Fig. 2. Speed of IM with PI controller
Fig. 3. Measured speed and speed reference of PI
Fig. 4. Speed of IM with SMC controller
Figure 6 shows the difference between the PI regulator and the sliding mode
regulator.
The results show that regulation using a Sliding mode regulator gives satisfactory
results:
– The speed of rotation follows the reference speed without excess.
Fig. 5. Measured speed and speed reference of SMC
Fig. 6. Difference between the PI and SMC
– The control ensures good regulation with disturbance rejection of 5 rad/s.

– A response time of 0.22 ms is needed to reach the balanced state.
7 Conclusion
In this paper, the PI and SMC have been tested in simulation; the sliding mode is a
controller for nonlinear systems with non-constant parameters; it leads to precision and
robustness, and allows solving problems caused by PI controller. The simulation results
indicate that the sliding mode control gives better results compared to the PI regulator.
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The Buck/Boost Shunt Converter
for the PV Systems
Seddik Mohammed(&) and Smail Zouggar
Laboratory of Electrical Engineering and Maintenance Higher School

of Technology Oujda, Oujda, Morocco
seddikmd@yahoo.fr
Abstract. Many applications of renewable energy are dedicated to energy

storage, typically in the form of a lead acid battery, for example, energy storage
by a Photovoltaic system. For this, the use of a standard DC-DC converter to
protect and charge battery without changing the converter is required. The
Buck/Boost converter allows achieving these roles. This paper presents the non-
inverted Buck/Boost shunt architecture and proposes an automatic voltage
control development. The simulation results on Orcad-Pspice are used to
demonstrate the good performance and feasibility of the proposed system
together with the proposed control strategy.
Keywords: Buck Boost Cuk; SEPIC Buck/Boost PV Battery
1 Introduction
This work is a part of the energy management and the optimization of a stand-alone
hybrid system (HS) that combines a photovoltaic (PV) generation and a wind turbine
coupled via a DC bus associated with a battery bank. With the HS, we can ensure the
permanent energy required by the load, by overseeing the power produced by the
hybrid system (PV & Wind Energy) and the level of the battery charge and discharge.
In this work, we are particularly interested in the PV system, in order to operate this
system under the optimal conditions.
In the literature, several PV structures are proposed for the power transfer to the
load. Jiang proposes that the hybrid power system comprises a PV panel, a PEM fuel
cell stack, a battery, which are connected to the same DC voltage bus through
appropriate dc-dc power converters and controls. The PV panel powers the load and
charges the battery through a Buck converter which acts as a maximum power point
tracker (MPPT). A diode D1 is used to prevent the current from flowing back to the PV
panel since the reverse current might damage the panel [1]. A structure of a renewable
generation system is proposed by Valenciaga and Puleston. It is equipped with wind
and PV production, a battery storage system and an inverter to provide power to the
load. The PV is connected to the DC bus via a Buck converter same as is in the
previous structure where the authors used a diode D to protect the PV [2]. Liu et al.
offers a structure which combines a PV system and a wind on a DC bus to charge a
battery bank. The PV is connected to the DC bus through a SEPIC converter [3].
The PV system proposed by Esram et al. includes a PV panel, Boost converter and an
https://doi.org/10.1007/978-981-13-1405-6_64
556 S. Mohammed and S. Zouggar
MPPT control to maximize the power of the PV panel. This chain presents a disad-
vantage; the voltage of the load varies with the change of the illumination which results
in damaging the load. In addition, this is intended for applications with a voltage that is
higher than the optimal voltage of the PV generator [4]. Sukamongkol et al. propose a
PV system for battery charging using a Boost converter [5]. Leyva et al. presented an
architecture for loading a 24 V battery using a PV panel, a Boost converter and an
MPPT control to adjust the maximum power point (MPP) of the PV [6]. Xiaonan et al.
proposed a hybrid storage system composed of batteries and super-capacitor, used with
photovoltaics. The PV is coupled to the DC bus via a Boost converter and the storage
system is connected to the DC bus via the reversing bidirectional Buck/Boost converter
[7]. Gaboriault and Notman have proposed a non-inverting Buck+Boost cascade, DC-
DC converter, which can feed a load from a lithium-Ion battery with a high-efficiency
[8]. Lopez and Vannier proposed a topology of an electronic power conversion with a
diode rectifier and a cascaded Boost+Buck converter that can optimize wind turbine
operation for its full wind speed range [9]. Cited topologies don’t have any block of
battery protection. They are meant for batteries having voltage lower or higher than the
optimal voltage of the PV. Moreover the use of MOSFET transistor for the Buck
converter requires the authors to use diodes to prevent the current from damaging
the PV.
In this article, we present development of a non-inverting Buck/Boost shunt, DC-
DC converter, having a high efficiency for its application in a stand-alone PV system.
Moreover, we have a developed an automatic voltage control (DAVC) to maximize PV
power, to switch the system between the Buck function and the Boost function, and to
protect the battery against overload and deep discharge so as to increase the life of the
battery. Two different batteries are used; one for the boost mode and the other for the
buck mode. The simulation was performed in the ORCAD-Pspice environment.
2 Photovoltaic Systems
The PV system becomes increasingly important as renewable energy source since it

offers many advantages such as: no fuel spawning, les pollution, and less maintenance
costs. The PV system studied in this article consists of PV panel, DC-DC converter and
load as is shown in Fig. 1. In this case the converter load is a battery and the converter
input signals are panel voltage VPV and panel temperature T.
Fig. 1. Chain photovoltaic conversion

The Buck/Boost Shunt Converter for the PV Systems 557
The model of the PV cell and the above data were used in the simulations to get the
output of the solar panel characteristics. The curves of the Fig. 2 show the character-
istics of the PV panel at different intensities of solar radiation. I-V (current-voltage) and
P-V (power-voltage) characteristics are strongly influenced by weather conditions,
especially radiation and temperature.
Fig. 2. Characteristics of the PV module referenced by UD180MF5
2.1 MPPT of the PV Panel

For a given temperature and radiation, the P-V characteristic reaches a maximum.
Therefore, it is imperative to carry out to a Maximum power point tracker (MPPT) of
the PV. Several MPPT techniques of photovoltaic systems have been proposed such as
the perturbation and observation (P&O) [11–13], incremental conductance (IncCond)
[14, 15], the method of short circuit (Isc) [16], and the method of open circuit voltage
(Voc) [17]. In this paper the technique used is based on the automatic voltage control
(AVC) of the PV generator [18]. This command is characterized by the simplicity of
implementation and low cost. In addition to that, it could operate at high switching
frequencies (above 0.1 MHz). This analog control directly uses the voltage panel VPV
for the desired optimum voltage (24.2 V) according to the algorithm shown in Fig. 3.
The implementation of this command involves only analog components as shown in
Fig. 4. The system dynamics depends only on the delay of the analog components
which is generally very low. The voltage regulation of the system is made by acting on
the duty cycle of the signal while controlling the switches of the shunt converter [18]
Fig. 3. Algorithm for determining the duty cycle
Fig. 4. Synoptic diagram of the AVC
3 Buck/Boost Shunt Converter
The structure of the shunt Buck/Boost converter proposed, as recorded in Fig. 5,

combines the main advantages of the Buck and Boost separated structures:
• The ability to decrease and increase the voltage that allows the system to operate at
low and strong wind.
• The sign of the potential difference of the output is unchangeable from the input.
• Reducing the components also increases the overall efficiency of the chain and on
the system cost.
Fig. 5. Buck/Boost shunt converter

3.1 Control Strategy

The strategy for controlling this structure involves two steps. A first step that maxi-
mizes power according to PV system conditions, then a second step that develops
control of battery protection and converters to choose the desired function (Buck or
Boost).
Despite of the advantages cited for the AVC, this control has a major drawback; it
neglects the effect of the temperature on the PV generator, knowing that the temper-
ature is an important parameter in the behavior of the PV panel. Indeed, if the tem-
perature increases, the maximum power decreases, then the MPPT point moves to the
left and the open circuit voltage (Voc) decreases, as shown in Fig. 6.
Fig. 6. Power-versus-voltage characteristics of PV panel.
3.2 DAVC of the PV Panel

In this section, we present the developed Automatic Voltage Control (DAVC,) which
takes into account the temperature changes. To do this, we have added a digital
potentiometer to the AVC, which tracks the maximum power point even if the tem-
perature varies. Figure 7 shows the block diagram corresponding to the DAVC.
Fig. 7. Synoptic diagram of the DAVC
3.3 Control Strategy of the Battery and the Shunt Converter

The flow chart in Fig. 8 illustrates the control strategy for the battery and the shunt
converter. Each converter is controlled independently. The first part is a selector that
allows the switching operation between the Buck and the Boost function. For this, the
battery voltage (V_batt) is measured. The variation of voltage panel (VPV) is usually
achieved by imposing such behavior to the switches (IGBT) duty cycle D of the shunt
converter. Indeed, when the boosted function will not be operating, the transistor
T_Boost and T_Boost1 of the Boost converter are to be open during the Buck operation.
The control VPV is made by acting on the duty cycle of the Buck (D_Buck) according to
Eq. (1). When the battery is charged (V_batt > 14 V), the transistor T_Buck becomes
open to protect the battery from overcharging. However, when the battery is exhausted
(V_batt < 11.4 V) the PV panel charges the battery via the Buck converter.
Vbatt ¼ D Buck VPV ð1Þ
During the operation of the Boost, the Buck converter remains inoperative (T_Buck
transistor is open), allowing the current flow of the Boost converter. Accordingly, the
control VPVis regulated by varying the duty cycle (D_Boost) of the Boost according to
(2). When the battery is charged (V_batt > 55 V), the transistors T_Boost and
T_Boost1 become open to protect the battery from overcharging. Rather, the battery
was loaded via the Boost converter when it was exhausted (V_batt < 45 V).
VPV
Vbatt ¼ ð2Þ
1 D Boost
Fig. 8. Control strategy of the battery and the shunt converter
The diagram of the proposed control for the shunt converter and the battery is
shown in Fig. 9. The comparator compares the VPV to the V_batt to determine the
desired function (Buck or Boost). Then, a digital circuit will complete the task.
Fig. 9. Circuit to control the battery and the shunt converter


4.1 Electronic Implementation
The system has been modeled in ORCAD-Pspice. The block diagram depicted in Fig. 1
has been implemented as shown in Fig. 10 where the complete converter and its control
circuit are portrayed in detail.
Fig. 10. Simulation implementation of stand-alone PV system
Output Perturbation:
Figure 11 illustrates the behavior of the different variables at the input and output port
of dc-to-dc Back/Boost converter depicted in Fig. 10.
48 V Battery (Boost Mode Operation)

The initial battery voltage was 45.4 V, showing that the battery was discharged at the
beginning of the test. The battery starts to charge and its voltage increases to 56.4 V
which indicates that the battery is fully charged as shown in Fig. 11(c). Thus, the PV
current is zero and its voltage reaches the open circuit voltage (zone2). In this case, the
PV panel is disconnected to protect the battery from overcharge.
12 V Battery (Buck Mode Operation)
At the instant t = 200 ms, the battery is changed by a 12 V battery. We assume that it
is exhausted and its voltage is 11.4 V. We note that the battery voltage increases up to
14 V where it is fully charged as shown in Fig. 11(d) (zone3). Like the 48 V battery,
the PV current becomes zero and its voltage assumes the open circuit voltage value in
order to protect the battery (zone4).
For both tests, the voltage and the current at the PV terminals oscillate around its
optimal values 24.2 V and 7.5 A respectively (Figs. 11(a) and (b)).
Fig. 11. Behavior of the different variables at the input and output port of dc-to-dc Buck/Boost
converter
5 Conclusions
A standard shunt Buck/Boost converter and an MPPT system based on automatic

voltage control have been developed. This command reported here guarantees the
stability of the maximum seeking procedure, the battery protection, and the switching
between Buck and Boost. Our system allows charging batteries from 12 V up to
200 V; just adjust the smith trigger potentiometer. The theoretical predictions have
been simulated on ORCAD-Pspice and validated in a PV system consisting of PV
panel, a standard Buck/Boost shunt, and a 12 V and 48 V batteries as a system load.
References
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Trans Energy Convers 12(1):1–6
2. Valenciaga F, Puleston PF (2005) Supervisor control for a stand-alone hybrid generation
system using wind and photovoltaic energy. IEEE Trans Energy Convers 20(2):398–405
3. Liu C, Chau KT, Zhang X (2010) An efficient wind-photovoltaic hybrid generation system
using doubly excited permanent-magnet brushless machine. IEEE Trans Industr Electron 57
(3):831–839
4. Esram T, Kimball JW, Krein PT, Chapman PL, Midya P (2006) Dynamic maximum power
point tracking of photovoltaic arrays using ripple correlation control. IEEE Trans Power
Electron 21(5):1282–1291
5. Sukamongkol Y, Chungpaibulpatana S, Ongsakul W (2002) A simulation model for
predicting the performance of a solar photovoltaic system with alternating current loads.
Renew Energy 27:237–258
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MPPT of photovoltaic systems using extremum-seeking control. IEEE Trans Aerosp
Electron Syst 42(1):249–258
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PV systems. J Mod Power Syst Clean Energy 2(1):69–76
8. Gaboriault M, Notman A (2004) A high efficiency, non-inverting, buck-boost DC-DC
converter. In: IEEE Applied Power Electronics Conference and Exposition, pp 1411–1415
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power transfer control. Ingeniare: Revista chilena de ingenieria 17(3):329–336
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175W_190W.pdf
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point tracking control of fuel cell power plants. J Power Sources 176:259–269
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A Decoupled Control Study
of a Grid-Connected Photovoltaic
Power System
M. Fannakh(&), M. L. Elhafyani, S. Zouggar, M. Mokhtari,

and S. Benzaouia
Laboratory of Electrical Engineering and Maintenance – LEEM,

University Mohammed 1st, High School of Technology, Oujda, Morocco
fannakh.mhamed@gmail.com
Abstract. In this work, we describe a control of grid-connected photovoltaic

power system. The control is based on the decoupling of the active and reactive
currents. It permits to indirectly control active and reactive powers injected into
the grid. The control strategy is based on the decoupling of the inverter output
currents to active and reactive currents using the Park transformation. The
decoupled currents (active and reactive) are compared with the reference values.
The reference active current is calculated from the DC regulator output, the
reactive current reference is set to zero to ensure a unit power factor. To reduce
the voltage variations of the DC bus, we add a PI regulator with anti-windup
compensation. Due to non-linear I-V characteristics of PVs generators and
environmental conditions, the PVs generators give maximum power only at a
single point. A DC/DC converter controlled by MPPT is introduced at the output
of the PVs generators to track the maximum power point (MPP). MATLAB/
Simulink environment is used to design and simulate the strategy study. From
the obtained results we can conclude that the control strategy used in this work
ensures a good performances and stability.
Keywords: Renewable energy Photovoltaic power system MPPT controller

Decoupled currents DC/DC converter DC/AC converter PI regulators
1 Introduction
Thanks to the increase in energy consumption, the instability of the price of oil and
climatic changes, the researchers focused on the use of renewable energy as an
interesting alternative like photovoltaic systems, biomass and wind energy. Photo-
voltaic technology is one of the fastest-growing technologies, due to the availability of
solar irradiance, with no negative environmental impacts. The photovoltaic production
system has many advantages: Less maintenance, no noise and no pollution… Photo-
voltaic systems are used in stand-alone systems [1] implemented in rural areas or for
pumping water, in grid-connected systems [2] to provide electricity and in hybrid
systems [3]. The connection of photovoltaic systems to the grid caused many pertur-
bations like harmonics [2], unbalanced currents, etc…. Harmonics reduce efficiency

https://doi.org/10.1007/978-981-13-1405-6_65
566 M. Fannakh et al.
and power factor, increasing losses and causing electromagnetic interference with
neighboring communication lines.
In the context of improving the quality of the injected network photovoltaic energy,
this work focuses on developing a control strategy for optimal operation of the entire
conversion chain. First, we present the model of a photovoltaic array. A MATLAB/
Simulink simulation of the photovoltaic array, under different solar irradiation and
different temperatures, is done to show the need of a MPPT command. Then we
describe the principle of the proposed strategy. Finally, all the elements of the pho-
tovoltaic power system (PV array, DC/DC converter, DC/AC converter and the grid)
are simulated and tested in order to validate the used technique.
2 Photovoltaic System Connected to Grid
The organization of photovoltaic systems connected to the network can be done in

various ways according to three criteria: The number of power stages, the type of
insulation and the inverter topology [4]. The synoptic of topology studied in this paper is
given in Fig. 1. The current topology uses two stages of power. The first stage (DC/DC
converter) is use to extract the maximum power of the photovoltaic generators. The
second stage (DC/AC converter) is use to convert energy continue into an alternative
energy and meet the requirements for connection, protection and security of the network.
Fig. 1. Synoptic of topology studied
2.1 Modeling of the Photovoltaic Array

Figure 2 shows the equivalent circuit of a photovoltaic cell under illumination. It
corresponds to a current generator Ipv connected in parallel with a diode. Two parasitic
resistances are introduced in this schema. These resistors have some influence on the
characteristic I = f(V) of the cell:
• The series resistance (Rs) is the internal resistance of the cell.
• The shunt resistor (Rp) is due to a leakage current at the junction.
Fig. 2. Equivalent circuit of a solar cell

Grid-Connected Photovoltaic Power System 567
The mathematical model for the current-voltage characteristic of the ideal PV cell
[5] is given by:

qV
I ¼ Ipv;cell I0;cell exp 1 ð1Þ
akT
here Ipv,cell is the current generated by the incident light (it is directly proportional to
the sun irradiation), I0,cell is the reverse saturation or leakage current of the diode, q is the
electron charge (1.60217646 10−19 C), k is the Boltzmann constant (1.3806503
10−23 J/K), T (in Kelvin) is the temperature of the p-n junction and a is the diode ideality
constant.
For a PV panel, the mathematical equation is given by:

V þ Rs :I V þ IRs
I ¼ Ipv I0 exp 1 ð2Þ
Ns Vt Rp
Where Ipv and I0 are the photovoltaic and saturation currents, respectively, of the
panel, Ns is the cells connected in series and Vt ¼ a:k:T/q is the thermal voltage of the
panel [6].
The technical parameters of a photovoltaic panel used in this application is
demonstrated in Table 1.
Table 1. Parameters of the PV panel

Parameters Value
Maximum power rating 180 Wp
Open circuit voltage (Voc) 30.4 V
Short circuit current (Isc) 8.03 A
Maximum power voltage (Vmp) 24.2 V
Maximum power current (Imp) 7.45 A
Number of cells 50
The PV array consists of 24 photovoltaic panels connected in series in order to

increase the voltage. Figure 3 presents the relationship diagram between the PV array
power output and the voltage.
It indicates that the photovoltaic array can give maximum power only at a single
point. For extracting the maximum power from the panel, the operating voltage or
current should be corresponding to the maximum power point (Pmpp). When we
connect directly the PV module to the load, the power delivered is seldom maximum.
So, to operate in the Pmpp, we should associate to the PV panel a DC-DC converter
controlled by the MPPT tracker.
5500 5500
1200W/m² ; 25°C 15°C ; 1000W/m²
5000 5000
1000W/m² ; 25°C 25°C ; 1000W/m²
800W/m² ; 25°C 35°C ; 1000W/m²
4500 4500
600W/m² ; 25°C 45°C ; 1000W/m²
4000 4000
3500 3500
3000 3000
Power(W)
Power(W)
2500 2500
2000
2000
1500
1500
1000
1000
500
500
0
0
0 100 200 300 400 500 600 700
0 100 200 300 400 500 600 700
Voltage(V)
Voltage(V)
Fig. 3. Characteristic power-voltage
2.2 MPPT Algorithm

MPPT algorithms maximize power output by gradually increasing or decreasing the
duty ratio of the DC-DC converter. Many MPPT techniques have been widely
developed and implemented like the perturbing and observing (P&O) method and the
incremental conductance method [7]. P&O is the popular and most technique used to
track the maximum power point (MPP). The principle of this method is to perturb the
output voltage of the system and consequently the produced power. If the new power is
greater than the old, we continue in the same direction of perturbation until to find the
maximum power (when dP/dV = 0). If not we change the direction of perturbation to
find the maximum power [8].
2.3 Decoupled Control of Photovoltaic System Connected to the Grid

The command objective is to impose the active and reactive currents values injected
into the network [9]. For that, it is necessary to measure the grid voltage (ea, eb, ec) and
grid current (ia, ib, ic). After the park transformation, we obtain the Ed, Eq voltages and
the Id, Iq currents under the two-phase rotating coordinate system dq. Two regulators
are used to follow the currents references Id* and Iq*. Moreover, we use a DC reg-
ulator to stabilize the DC bus voltage at the reference. Figure 4 summarizes all the steps
used to model this command:
Fig. 4. Decoupled control configuration

(a) Modeling of the Grid-Connected PV System

According to Fig. 4 we can write:
2 3 2 3 2 3
V a ea ia ia
d
4 Vb eb 5 ¼ Rn 4 ib 5 þ Ln 4 ib 5 ð3Þ
dt
Vc ec ic ic
Where ea, eb, ec are the grid voltages, Va, Vb, Vc are the output voltages of the
inverter, ia, ib, ic is the output currents of the inverter, Rn is the resistor of connection
line and Ln is the inductance of connection line.
The last equation is transformed from the abc reference frame to the dq0 rotating
reference frame using the Park transformation [10]:
2 3 2 3 2 3 2 3
V d ed id id xiq
4 Vq eq 5 ¼ Rn 4 iq 5 þ Ln d 4 iq 5 þ Ln 4 xid 5 ð4Þ
dt
0 0 0 0
The Laplace transformation of Eq. (4) is given by Eqs. (5) and (6):
Vd ed ¼ Rn :id þ sLn id Ln xiq ð5Þ
Vq eq ¼ Rn :iq þ sLn iq þ Ln xid ð6Þ
Where x ¼ 2pf the pulsation and f is the fundamental frequency of the

power grid voltage waveform f ¼ 50 Hz and s is the Laplace operator.
Active and reactive currents can be expressed with Eqs. (7) and (8):
1
id ¼ : Vd ed þ Ln xiq ð7Þ
Rn þ sLn
1
iq ¼ : Vq eq Ln xid ð8Þ
Rn þ sLn
The coupling which exists between the two currents id and iq makes that the model
is very complex with the regulation. To cure this problem, we proceed to a decoupling
of the two parameters by compensation, which consists in adding the terms Ln xiq and
Ln xid to the loop of internal regulation [9]. The control loops of the currents id and iq
are given by Fig. 5. To determine the parameters of the current regulators we use the
tool “PID Tuner” delivered by Control System Toolbox of MATLAB/Simulink
(b) Phase Locked Loop PLL
Its role is to identify the angular position of a periodic signal, to generate another signal
synchronized with the last. The simplest PLL structure, presented in Fig. 6, is based on
a phase detector, a low-pass filter and a voltage-controlled oscillator (VCO). The
command used in this paper requires a phase of an ideal sinusoidal signal but the
network voltages are seldom sinusoidal. To solve this problem, we used a PLL based
Fig. 5. Grid current control by PI regulators
Fig. 6. Basic structure of PLL
Fig. 7. Structure of PLL with MVF
on a multi-variable filter (MFV) [11]. This structure is developed by Hong-scok Song.

The new structure of PLL and his MVF filter is given by Fig. 7
(c) DC Regulator
The role of the DC regulator is to maintain the DC bus voltage at a constant reference
value, by controlling the process of charging and discharging of the Cdc capacitor [12].
This voltage is regulated by adjusting the reference current Id* to control active power
transit between the network and the DC bus. The control loop of the DC bus is shown
in Fig. 9
Based on schematic in Fig. 8 we determinate the voltage reference of DC bus

pffiffiffi
Vdc ¼ 2 2:Va ð9Þ
With:
Va ¼ ea þ ðRn þ Ln xÞIa ð10Þ
Fig. 8. Model of a phase
Where ea ¼ 230 V is the RMS value of the grid voltage, Rn ¼ 5 X is the resistor of
line grid, Ln ¼ 0:03H is the inductance of line grid and x ¼ 314 rad=s is the pulsation
of grid, If the current injected in the grid is Ia = 3A we find: Vdc ¼ 700 V.
The values of proportional Kp and integral Ki gains of DC regulator are determined
with ‘PID Tuner’ delivered by Control System Toolbox of MATLAB/Simulink.
To protect and respect the limits of the system control, it is recommended to add a
saturator between the control signal and the system. However, the use of a saturator can
bring the system into a non-linear zone. This is caused by the proportional term, or by
the integrator gain. In fact, this phenomenon causes a decrease in performance (sig-
nificant overtaking and long stabilization time). To counter this problem, we insert anti-
windup compensation [13] as it is shown in Fig. 9.
Fig. 9. DC bus boucle regulation and PI regulator with anti-windup compensation
A MATLAB/simulink model of the photovoltaic system connected to grid shown in

Fig. 10 is used in simulation in order to test the feasibility of the control strategy. It
consists of PV array, DC-DC converter with MPPT controller, DC-AC converter with
his controller, power transmission line module, power transmission line module and
grid.
Fig. 10. MATLAB/Simulink model of the study system
The system will be tested in different climatic conditions; the cell temperature is
maintained at a constant value of 25 °C, while solar irradiation has been changed from
1000 W/m2 to 800 W/m2 to 1200 W/m2, the duration of each step is 2 s.
Figure 11 shows the maximum power produced by PV array. The simulations
results are configured that the MPPT controller tracks quickly the maximum power
with minimum ripple.
Figure 12 illustrates the DC bus voltage. It presents better performance; acceptable
response time and low static error. Also it is robust to different variations of atmo-
spheric conditions. It is clear from Fig. 13 that the voltages waveforms of inverter
output is a two-level PWM signal and the inverter waveform is synchronized with grid
voltage. Figure 14 shows the current injected into the grid and Fig. 15 shows his
Harmonic spectrum. It can be seen that the Total Harmonic Distortion (THD) to the
current waveform is about 9,58% which is more than the limits considering by IEEE
Standard 929-2000 and IEEE Standard 1547.1(THD < 5%) [14].
Fig. 11. Maximum power extract from the PV array

Fig. 12. DC bus voltage
Fig. 13. Inverter and grid waveforms voltage
Fig. 14. Current injected into the grid

Fig. 15. Harmonic spectrum of current injected
4 Conclusion
In this paper, we presented an approach to control a grid-connected photovoltaic power

system. The control strategy used is based on PI regulators with anti-windup com-
pensation. The DC regulator is applied to determine the reference active current. By
examining the simulation results we note that the voltage Vdc is established quickly at
its reference for different irradiations with a small deviation in the first moment.
Active and reactive currents regulators improve in a considerable way the power
factor. However, the injected energy is insufficient quality in terms of total harmonic
distortion (THD). To improve it, we propose to use sliding mode control in the next
works. In perspective, this work will be pursued through practical realization to
compare the practical results with those found by simulation.
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Comparison of the Different Commands Direct
and Indirect of a Single-Phase Inverter
for Photovoltaic
Abdelhak Lamreoua1, Anas Benslimane2, Abdelhafid Messaoudi1,

Abdelhak Aziz1, and Mostafa El Ouariachi1,2(&)
1
Laboratory of Electrical Engineering and Maintenance (LEEM), Higher School
of Technology, University of Mohammed I, BP 473, Oujda, Morocco
mostafa14600@gmail.com
2
Laboratory Renewable Energy, Embedded System and Information
Processing, National School of Applied Sciences,
University of Mohammed I, Oujda, Morocco
Abstract. The objective of this article is the comparison of the electrical per-
formance of a single phase inverter two levels to commands, direct and indirect,
connected to the network therefore to identify the advantages and disadvantages
of existing commands used on the inverter of two voltage levels to search for
orders reconciled original and simple to implement. Therefore this article dis-
cusses the commands reconciled known and classically used to draw up a
balance sheet on these last in identifying their advantages and disadvantages, to
clear the way of working on interesting solutions.
Keywords: Single-phase inverter The PWM methods Converter

Performance Electrical quality
1 Introduction
The increasing demand of electrical energy in proportion to the population and the
future exhaustion inevitable conventional sources require the research on alternative
sources, such as the Renewable Energy Photovoltaic Systems [1].
These researches has developed considerably and offers a huge potential especially
for the conversion of electrical energy sources which photovoltaic is very profitable and
without maintenance, also the system of storage of this energy is not necessary [2].
These systems can be considered to be non-linear, which means that are very
complex and very difficult to find a model by conventional approaches [3].
The development in this area considers several aspects, including the topologies of
the converters, the structures and the performance of the power switches as well as the
techniques to control [4]. Therefore the quality of the energy depends mainly on the
output current of the inverter and facilities buck/boost that play an essential role in the
supply of a grid with a power of high quality [5].
In this framework, the Single Phase Inverters MLI to current injection sinusoidal
and in phase with the electrical grid are commonly converters employees. The main

https://doi.org/10.1007/978-981-13-1405-6_66
Comparison of the Different Commands Direct and Indirect of a Single-Phase Inverter 577
criteria that will govern the choice and the sizing of these devices of conversion are the
cost, the electrical quality and the electrical performance, linked to the quantity of
reactive power injected, represented by the report of the reactive current injected and
the rated current [6].
To do this, different type of inverters and controls, can be used to improve the
performance of these devices. Our job is to improve the methods classic of command
used to check these Converter to decreases the pollution of the grid and optimized the
invoice of power. For this and after modeling of the converters it wants to compare the
electrical performance of a single phase inverter two levels to commands, direct and
indirect, connected to the network therefore to identify the advantages and disadvan-
tages of existing commands used on these inverters to search for orders reconciled
original and simple to implement [7, 8].
In this article we draw up a balance sheet on the Commands known and classically
used in order to identify their advantages and disadvantages, to clear the way of
working on interesting solutions, but little explored today, has end to propose modes of
creation of the function of conversion of these converters, and find a mathematical
method deterministic or stochastic, to minimize the lines of the signals issued by the
converters, allowing to act on the performance, without degrading the quality of the
electrical quantities of renewable photovoltaic sources [9, 10].
2 Presentation of Synoptic Diagram of the System
The Fig. 1 represents the configuration of the system that we have studied, it is a
photovoltaic inverter connected to the grid. The photovoltaic modules are connected at
the input of the inverter to constitute a photovoltaic generator. Then, a bridge of power
transistor which converts the current and the voltage provided ongoing by the PV
generator, using techniques of different command (MLI, hysteresis) in the fundamental
has the frequency of 50 Hz. Then a low-pass filter if necessary to eliminate harmonic at
high frequencies and obtain a sine wave. The maximum power point tracking (MPPT)
technique which used to extract maximum available power from the PV array without
boosting stage.
Fig. 1. Diagrams of principle of photovoltaic inverter

578 A. Lamreoua et al.
3 Simulation Results Different Commands of Single Phase

Inverters and Discussions
3.1 Control of Currents by Pulse Width Modulation (PWM)
Control of Single Phase Inverter to Basis of MLI Sine-bipolar Triangle: The

principle is to compare the input voltage modulating to a triangular voltage carrier
frequency high compared the frequency of modulating. The output voltage width
modulated pulse, set to control the inverter in the bridge.
Temporal Analysis
See Fig. 2.
Fig. 2. Current and voltage at the terminals of the load
Frequency Analysis
We visualized the amplitude of harmonics in relation to the fundamental in order to
deduct the THD of the signal. After the simulation, we have found the results above.
For the spectrum of current we obtained a signal with the harmonics are virtually zero
in its Spectrum with a THD at the order of 6.31%.
The spectrum of the voltage we obtained an output signal rich in harmonics of odd
order multiple to fmli who are very far from the basic with a THD = 145.93%.
The study of the output voltage shows that it gets a fundamental that the frequency
and the amplitude depend on those of reference and the harmonics of the amplitudes
important but of frequencies close to that of the carrier therefore very high, which
allows the ease of filtering the fundamental to have a purely sinusoidal signal (Fig. 3).
Fig. 3. Spectrum of output voltage and current

Choice of the Low Pass Filter for Elimination of Harmonics of Senior Levels to the
Fundamental Frequency: Filtering is very easy. You can verify that the current on
inductive load is very close to a sinusoid. It is easy by a simple low-pass filtering to
eliminate the harmonics HF. Figure 6 represents the spectrum of the output voltage
after filtering:
The power supply consists of a power inverter whose frequency is granted to the
charging circuit consists of the coil and a capacitor to form a circuit LC. The LC circuit
comes in resonance and the current vibrates at the only the frequency own the circuit to
form a sinusoidal current. We note that the upper harmonics have been eliminated, as
well as the THDv greatly diminished of 168.72% to 48% (Fig. 4).
Fig. 4. Spectrum of the output voltage after filtering
Control of Single Phase Inverter to Basis of MLI Sine-unipolar Triangle (MLI

Internally Selective): Temporal analysis of the inverter by bridge to PWM internally
selective command: To after the Fig. 6 we have obtained a current that flows in the load
is quasi-sinusoidal wave containing less ripples. For the voltage on terminal of the load
we note that this voltage during the period [0 p] is positive, Value 100 V earlier zero,
and for the period [p 2p] the output voltage is negative, value - 100 V earlier zero
(Fig. 5).
Fig. 5. Input signals

Fig. 6. Current and voltage at the terminals of the load RL
Frequency Analysis
Of after the Fig. 7, the rate of harmonic distortion of the current is THDi = 2.68%. It is
a Result which seems to be logical because after the figure the current in the load is
almost sinusoidal. We will pass the spectral analysis of the voltage signal. According to
the Fig. 8 the voltage at the terminals of the load has a THDt = 78.76%, this means that
the quality of the latter is good by the presence of harmonic of high order.
Fig. 7. Spectrum of the voltage and current output

Design of an Anti-harmonic Filter: For this we thought to design a low-pass filter of

order 1 with a cutoff frequency of order 1000 Hz. The simplest way to achieve
physically this filter is to use a circuit LC. This circuit is composed of a inductance L
and a capacitor of capacity C. These two elements are placed in series with the source
VI d u signal.
Fig. 8. The THDv the output voltage after filtering
The Fig. 10 represents the THDv of the output voltage after filtering which reduces
the value THDv = 78.76% up to 31%.
Control of the Single-Phase Inverter at the Base of the PWM Sinus-Triangle
PWM with PI Regulator in Closed Loop: The transfer function for conventional PI
controller is expressed as; GðsÞ ¼ Kp þ Ki S Kp is the proportional gain term and Ki is
the integral gain term. For obtaining a suitable value of Kp and Ki trial and error
technique is used in this simulation. Initially, the gains are set to 0, then the values are
slowly increased to specific value till up to the point whereby the acceptable and the
lowest total harmonic distortion (THD) is achieved.
Frequency Analysis
The Fig. 9 demonstrates the inverter output voltage and output current which is in
sinusoid form. Although the waveform shows less distortion.
From the FFT result analysis, the inverter output current shows a THD of 0.14%
and the output voltage shows a THD of 1.59% which is more than desired result.
The performance of a PI current controller used in single inverter system connected
to nonlinear load is demonstrated. From the result obtained, it can be found that the
performance of the inverter system connected in nonlinear load condition is better
when PI current controller is applied.
Fig. 9. Spectrum of the voltage and current output with PI regulator in closed loop
3.2 Direct Control by Hysteresis of a Single Phase Inverter

The realization of this technique, regulation by all or nothing, is to accomplish the
following two steps:
– Compare the current measured with the current of reference
– Fix a band in which the Current may evolve.
The following figure summarizes the principle of direct control by hysteresis:
Fig. 10. Direct control by hysteresis of a single phase inverter arm
Simulation of Command by Hysteresis of a Single Phase Inverter

Temporel Analysis: See Fig. 11.
Fig. 11. Spectrum of the voltage and current command to the command by hysteresis
Frequency Analysis: The figures above show that this control is functioning correctly
and the rate of harmonic distortion of the current and the voltage is slightly better than
this obtained with the previous Regulation (MLI) and of the order of THDi = 5.7% and
THDt = 49.12%. The Fig. 10 shows that the State of the arm is known, its allows
switching to change the evolution of the current and guarantees to keep the inside of the
band of hysteresis, without overshoot of the band. The observation shows that the
switching frequency varies during the electric period, argument confirmed by Fig. 12
on which of the low Harmonics frequencies appear.
Fig. 12. Spectrum of current and voltage control for hysteresis control
When the load current is greater than the upper limit of the hysteresis, a negative
voltage is applied by the ups on the load, which causes a decrease of the current in the
inductance. Once the current has reached the limit of hysteresis lower, a positive
voltage is applied by the UPS through the coil, which causes an increase of the current
and the cycle repeats According to the spectral analysis. This control presents the
disadvantage of the presence of the outputs of the band of an error of two times the
width of the band of hysteresis. On the other hand over the width of the hysteresis is
low over the switching frequency of the switches is high and the content in harmonics
is very low.
4 Conclusion
The indirect control by MLI imposes the Average phase voltage V with a switching
frequency constant, but a dynamic response can be limited by the presence of a
resolver. Their benefit is to push the harmonics of the output voltage to the high
frequency, which facilitates the filtering (achievement easier, less expensive), also
allow adjustment of the amplitude of fundamental of the output voltage.
The direct control by hysteresis imposes the condition of the arm with a switching
frequency not constant, but the absence of spell leads to a transient response faster than
that of the indirect control. This technique has the advantage of being simple and easy
to implement. The opposition to the technique of PWM modulation, the latter, has the
disadvantage to operate at witching frequencies variables and not controllable. With
this method of ordering by hysteresis it earns from the point of view of the switching
frequency at the intervals or the latter takes values high, it also has the advantage of
being able to operate the inverter to low currents.
In order to justify the suitability of the proposed inverter control for a grid-
connected PV system, the simulations performed in the Matlab/Simulink environment
become validated via an experimental setup in the next step.
References
1. Ozdemir S, Altin N, Sefa I (2014) Single stage three level grid interactive MPPT inverter for
PV systems. Department of Electrical-Electronics Engineering, Faculty of Technology, Gazi
University, Ankara, Turkey, 25 February 2014
2. Maris TI, Kourtesi St, Ekonomou L, Fotis GP (2007) Modeling of a single-phase
photovoltaic inverter. Department of Electrical Engineering, Technological Educational
Institute of Chalkida, Science direct, 334-40
3. Deshmukh VM, Patil AJ (2015) Comparison and performance analysis of closed loop
controlled nonlinear system connected PWM Inverter based on hybrid technique. J Electr
Syst Inf Technol 2:86–98
4. Ahmad Z, Singh SN (2018) Single phase transformerless inverter topology with reduced
leakage current for grid connected photovoltaic system. Electr Power Syst Res 154:193–203
5. Nouri B (2011) Fonctionnement à fréquence de commutation constante des convertisseurs de
puissance en utilisant des techniques de commande avancées, amélioration de la qualité de
l’Energie
6. Al-Shetwi AQ, Sujod MZ, Blaabjerg F (2018) Low voltage ride-through capability control
for single-stage inverter-based grid-connected photovoltaic power plant. Solar Energy
159:665–681
7. Fernandez S (2013) Comparaison des performances électriques d’un onduleur triphasé deux
niveaux à commandes directes et indirectes connecté au réseau, Thèse Lille, 41186
8. Gnana Sundari M, Rajaram M, Balaraman S (2016) Application of improved firefly
algorithm for programmed PWM in multilevel inverter with adjustable DC sources. Appl
Soft Comput 41:169–179
9. Kakosimos P, Pavlou K, Kladas A, Manias S (2015) A single-phase nine-level inverter for
renewable energy systems employing model predictive control. Energy Convers Manag
89:427–437 Laboratory of Electrical Machines and Power Electronics
10. Yang Y (2016) Low voltage ride-through of single-phase transformerless photovoltaic
inverters. IEEE Trans Ind Appl 50:1942–1952
Intelligent Methods for the Maximization
of the Energy of Wind Systems
with Synchronous Generators
Permanent Magnet
Baddou Abdelmjid1(&), El Kari Abdeljalil1, Ayad Hassan1,

and Mjahed Mostafa2
1
LSET, Faculty of Science and Technology, Gueliz, Marrakech, Morocco
baddou.abdelmajid@yahoo.fr
2
Royal School of Aeronautics, Mathematics and Systems Department,
Marrakech, Morocco
Abstract. This article discusses the modeling and control of a wind energy
system, the turbine based on the synchronous generator with permanent magnet.
At first, the modeling of the various elements of a chain wind turbine connected to
the network through the equations that govern them will be presented. After, the
strategy by fuzzy logic and by neural networks will be proposed in order to control
and maximize the power retrieved regardless of the speed of the wind. At last, a
simulation of the chain of a wind turbine in closed loop and with the two com-
mand methods of MPPT. They are presented through the MATLAB/Simulink
environment as well of a comparison of the advantages and disadvantages of each.
Keywords: Wind turbine Synchronous generator with permanent magnet

MPPT command NN neural networks FL fuzzy logic
1 Introduction
Since the use of the windmill, the technology of the wind sensors has ceased to evolve.
It is at the beginning of the years forty that real prototypes of the turbines to Pale
profiled have been used successfully to generate electricity. Several technologies are
used to capture the energy of the wind (sensor to vertical axis or horizontal axis) and
the structures of the sensors are more and more powerful. In addition to the mechanical
characteristics of the wind turbine, the efficiency of the conversion of the mechanical
energy into electrical energy is very important. Again, many devices exist and, for the
most part, they use machines, synchronous and asynchronous. The control strategies of
these machines and their possible interfaces for connection to the network must allow
to capture a maximum of energy on a range of variation of wind speed the widest
possible in order to improve the profitability of the Installations wind turbines [1].
In this article, we will begin by presenting a modeling of the wind turbine, then, two
approaches the continuation of the point of maximum power (MPPT) will be presented.
We will finish by presenting the results of simulation and their interpretation.

https://doi.org/10.1007/978-981-13-1405-6_67
588 B. Abdelmjid et al.
2 Modeling of a Wind System
The wind system studied in this article concerns the turbines connected to generator
permanent magnet synchronous where the generator is linked to one side directly to the
rotor of the turbine and the other side connected to a system of electronic power
composed of a diode rectifier (PD3), a chopper and a UPS as shown in the following
Fig. 1 [5]:
Fig. 1. The wind system connected to the network
2.1 Modeling of the Turbine in Wind Turbine

The wind system Deals the conversion of the kinetic energy of wind into electrical
energy. The turbine recovers a portion of the kinetic energy and transforms it into
mechanical energy through the turbine, into an electrical energy by means of the
synchronous generators permanent magnet.
The power of the wind is expressed as follows (1):
Pvent ¼ 1=2:M:S:V3 ð1Þ
S: surface area swept by the wind turbine rotor (usually it is circular and is equal: R2 * p)
V: wind speed (m/s)
M: the mass density (kg/m3)
That way, the energy recovered depends not only on the density of the air, the
surface area swept by the rotor and the speed of the wind. Furthermore it depends on a
power coefficient noted CP such as the power extracted recovered by the wind turbine
as well is expressed as follows (2):
p ¼ 1=2:cpðk; bÞ:q:S:V3 ð2Þ
CP: coefficient of power;

q: Air Density (kg/m3).
Intelligent Methods for the Maximization of the Energy 589
2.2 The Coefficient of Power

The power coefficient CP (k, b) represents the aerodynamic performance of the wind
turbine [2], it depend generally on two parameters [8]:
k: the ratio, report between the speed of the wind and the question of the rotation of
the blades.
b: timing angle of the blades.
The Power Coefficient (Cp) presents a theoretical limit of 0.593 called “limit of
Betz”. This limit is never reached in practice [3].
We can express the power coefficient noted CP for the wind turbines to small
powers that have the faint fixed (b = 0) by the mathematical expression simplified:
CP ¼ 0:5 SIN ððpðk 0:1ÞÞ=ð18:5ÞÞ For small power Wind turbine ð3Þ
C6
C2 k
Cp ðk; bÞ ¼ C1 C3 b C4 exp i þ C8 k For great power Wind turbine:
ki
1 1 0:035
¼
ki k þ 0:08b b3 þ 1
The variation of the coefficient of power in function of the ratio of lambda speed
reaches its maximum cp_max = 0.5 for the specific speed of k = 9.
2.3 Synchronous Generator with Permanent Magnet (GSAP)

The adaptation of this machine to a wind system poses problems of maintain the speed
of rotation of the turbine strictly fixed and of synchronize the machine with the network
during the phases of connection. For these reasons, we systematically place an interface
of electronic power between the stator of the machine and the network which allows a
variable speed operation in a wide range of variations [7].
3 Maximizing the Extracted Power
The principle of the MPPT is based on the variation of the speed of the turbine
following that of the wind in the case of indirect connection of the generator with the
network. This indirect connection offers the advantage to optimize the power drained to
the wind through an electronic interface of powers whose role will be to order the
generator to extract the maximum power of the wind.In the following section of this
Article, the MPPT command has been conceived with two methods namely: The fuzzy
logic and neural networks (Fig. 2).
Fig. 2. Model of the wind chain complete with the MPPT algorithm
4 MPPT by the Fuzzy Logic
Taking into account the characteristic of the wind turbine power according to the speed
of rotation, it represents a point which corresponds to the maximum power and.
Therefore the role of the fuzzy controller is to detect this point to generate the incre-
ment of the cyclic report Dd of the converter which allows to adjust the speed of
rotation and thus to extract the maximum amount of power as shown in the following
Fig. 3 [4]:
Fig. 3. Fuzzy MPPT controller
For this the first entry of this controller will be the first derivative of the power in
relation to the speed of rotation dP/DW. When this derivative is zero dP/DW = 0 that
we reached an extremum which can be the maximum or the minimum. Therefore this
entry alone is insufficient for this d2P/D2w must also be taken into account in deter-
mining the maximum point and therefore the maximum power.
Then the universe of discourse of the variables of inputs and outputs is (Table 1):
dp=DW : fNG; NP; EZ; PP; PGg; d2 P=D2 w : fNG; NP; EZ; PP; PGg;
DD : fNG; NP; EZ; PP; PGg:
Table 1. The rules of inferences

d2P/d2w
NG NP EZ PP PG
dip/dw NG NG NG PP EZ EZ
NP NG PP PP EZ EZ
EZ EZ EZ EZ EZ EZ
PP EZ EZ NP NP NG
PG EZ EZ NP NG NG
4.1 Simulation of the MPPT by the Fuzzy Logic

For a wind in staircase:
The power generated by the wind turbine (Fig. 4):
Fig. 4. The optimal and actual mechanical power

The power coefficient CP (Fig. 5):
Fig. 5. The power coefficient CP
For a turbulent wind:

For this profile of the wind, the simulation gives the following results:
The power generated by the wind turbine (Fig. 6):

Interpretations of the results of the simulations:

• For a wind in staircase:
– Achieve and follow the maximum power and optimum, but at the level of
stability, it represents the fluctuations and the oscillations.
– A rotation speed oscillating around its optimum value.
– A power coefficient CP almost constant around its optimum value 0.5.
– A three-phase system balanced (380 V, 50 Hz).
• For a turbulent wind:
The power generated and virtually identical to the optimal with the presence of a
few fluctuations and the oscillations which influence on the stability of the system.
5 MPPT by Neural Networks
The objective of the method by the neural network named TSR (tip speed ratio) by the
neural network, is to make an enslavement of speed of the permanent generator magnet
synchronous GSAP. The set point represents the optimum speed of rotation of the
generator which is calculated after you have estimated the speed of the wind, and
compared to the suite with the speed of the current rotation. This gap between the two
speeds will be corrected by an analog corrector PI as well the control of the speed of
rotation of the GSAP [9] (Fig. 7):
Fig. 7. Principle of Operation TSR by neural network.

• Determination of optimal Ω′ rotation speed

The speed of rotation is determined by the relationship of the TSR or the report
of the specific speed expressed as follows [10]:
RX
k ¼
V
This report is optimal for the kopt value = 9 and therefore a coefficient of
optimal power CP = 0.5 for the recovery of the maximum power.
The setpoint speed of optimal rotation Ω′ is calculated by:
kopt
X0 ¼ V0
R
Ω′: rotation Speed of the generator (rad/s) (setpoint for the control loop);
kopt: Report of specific speed (TSR) (kopt = 9);
R: radius of the blades (R = 1.3 m);
V′: estimated Wind speed by the network of neurons.
• Parameters of the corrector PI
The corrector PI is an proportional
and integral regulator his function of C
transfer(s): CðsÞ ¼ Kp 1 þ 1
Ti s
• Ziegler Nichols method in closed loop
To determine the parameters of the corrector PI (K_p, t_i), we have used the
Ziegler-Nichols method in closed loop which it consists to make a pumping test.
For this we take T_i = ∞ and we increases k_p as and up to the obtaining of the
oscillations maintained, we note this critical gain K_C and measure the period of
oscillations T_c.
Ziegler and Nichols then suggests the setting values for the parameters of the
corrector PI (Table 2):
Table 2. Settings of the corrector PI by Ziegler-Nichols method.

Corrector Parameters of the corrector
PI Kp = 0.45 * Kc; Ti = 0.83 * Tc
By simulating MATLAB/Simulink we find that the PI corrector function to

transfer:

1
CðsÞ ¼ 0:0225 1 þ
0:005533 s
Synthesis of the Corrector IP. To determine the parameters of the corrector PI (kp,
TI), we have used the method of Ziegler-Nichols in closed loop which consists to make
a pumping test. We find: KP = 0.0225; TI = 0.005533 s.
Simulations of the MPPT by Neural Network. We limit our research to the case of
the turbulent wind (Fig. 8):
Interpretations of the Results. According to the results of the simulation, and for a
profile of the wind in staircase and turbulent, the continuation of the point of maximum
power has been assured in order to have a good precision in permanent regime after a
transitional measure of 0.08 s.
The power generated, the rotation speed of the generator are confused with those
optimal, a power coefficient CP constant in its optimum value 0.5, a three-phase
balanced system generated with an amplitude of 380 V and a frequency of 50 Hz. We
generate the best performance and the stability. And speed convergences to the max-
imum point.
6 Conclusion
These Smart Controls from the Artificial Intelligence have proven that they can
guarantee and ensure an excellent performance: the stability, the speed of convergence
to the maximum point (time of minimum response). The error in permanent regime is
null and reliable, and given maximum performance, the neural network presents the
best results with a better stability.
References
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PV/wind power system. IEEE Trans Power Electron 22(3):1070–1077
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systems. University of Quebec at Chicoutimi, Quebec, Canada
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conversion system: a review, 3 June 2015, Lucknow, India
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control of a quadcopter using reference model and fuzzy logic LSET, Faculty of Science and
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generation systems considering wind turbine dynamics, The University of Tennessee,
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Induction Machine Parameter Identification
Using LMS Algorithm Associated
with a Nonlinear Adaptive Observer
Mohammed Belkheiri1(&), Ahmed Belkheiri1, Mourad Boufadene1,

Hamou Ait Abbas2, and Abdlhamid Rabhi3
1
Laboratoire de Télécommunications, Signaux et Système, University Amar
Telidji of Laghouat, PB. 37G, Ghardia Road, 03000 Laghouat, Algeria
m.belkheiri@lagh-univ.dz
2
Université Akli Mohand Oulhadj de Bouira,
Rue Drissi Yahia, 10000 Bouira, Algeria
3
Laboratoire Modélisation Information et Systèmes,
33 rue Saint Leu, 80039 Amiens, France
Abstract. In this paper, we describe and evaluate a method for estimating the
induction motor parameters. It is fast, efficient, and does not require special test
signals or machine configuration. In addition, this method is adequate for the
continuous updating of the parameters of the normal operation of the machine,
so that the monitoring of the variations of the parameters is possible, we do not
consider the problem of estimating the speed, but rather to simplify the problem
by assuming that the speed is known. On the other hand, the speed is assumed
variable, showing how the rotor flux estimates can be constructed at the same
time. The Results of simulation show the effectiveness of the proposed identifier
associated with the observer.
Keywords: Induction machine Parameter identification Flux observer
1 Introduction
The induction motor has become very used in various industrial applications thanks to
its low cost and robustness. This type of machine has been proposed to replace
hydraulic actuators in aerospace applications and internal combustion engines [1].
Solving problems related to the regulation and/or tracking of the speed of induction
motors has attracted the automatic community through recent nonlinear control tech-
niques such as input/output linearization, backstepping and theory of passivity.
Whatever control method is used, a significant problem must be first solved which is a
precise machine model with exact parameters. The uncertainties in the parameters may
affect the performance of the designed control laws [2, 6]. The problem is usually
complicated by the fact that some state variables (i.e. the rotor flux components) are not
measured or require expensive sensors for their measurement. If the flux is measured, it
would be relatively simpler to design a recursive identifier to estimate the motor
parameters [1, 3]. Nevertheless, if the parameters of the machine are known exactly,

https://doi.org/10.1007/978-981-13-1405-6_68
598 M. Belkheiri et al.
then it would be possible to design an observer to estimate the flux. However, the
common problem is much more complicated. It does not fall directly into the adaptive
identification framework because of the non-linearity of the dynamic model of the
induction motor.
The standard methods of estimating the parameters of the induction motor include
the locked rotor test, the open circuit test, and the stop frequency response test, a
procedure is described automatically in which a sequence of these tests is performed.
Each test is designed to isolate and measure a specific parameter [4].
Another procedure is described, based mainly on the identification of the transfer
function of the motor at standstill. The model is then refined to account for magnetic
saturation and adaptation is included to compensate for the effects of heating [5, 6].
In this paper, we describe and evaluate a method for estimating induction motor
parameters. It is fast, efficient, and does not require special test signals or machine
configuration. In addition, the method is adequate for the continuous updating of the
parameters of the normal operation of the machine, so that the monitoring of the
variations of the parameters is possible, we do not consider the problem of the estimate
of the speed, but rather to simplify the problem by assuming that the speed is known.
On the other hand, the speed is assumed variable, showing how the rotor flux
estimates can be constructed at the same time.
The paper is organized as follows. Section 2 presents the standard asynchronous
machine modeling. The least squares identification is applied for the estimation of the
electric and mechanical parameters of the motor in Sect. 3. The method for rebuilding
flux is also detailed. Simulation and Results are presented in Sect. 4.
2 Mathematical Modelling of the Induction Motor
Standard models of induction machines are widely developed in the literature see [1]
for example, where a suitable model for control applications is discussed. Some
complex effects such as hysteresis, eddy currents, magnetic saturation are generally
neglected in establishing Induction motor model for controller design. The identifica-
tion algorithm presented here is based on the model expressed in a coordinate frame
rotating with the rotor.
disx 1 b
¼ vsx cisx þ wrx þ np bxwry þ np xisy ð1Þ
dt rLs Tr
disy 1 b
¼ vsy cisy þ wry np bxwrx np xisx ð2Þ
dt rLs Tr
dwrx M 1
¼ isx wrx ð3Þ
dt Tr Tr
dwry M 1
¼ isy wry ð4Þ
dt Tr Tr
Induction Machine Parameter Identification 599
d- 2Mnp sL
¼ isy wrx irx wry ð5Þ
dt JLr nph J
In the above model, the angular velocity of the rotor is denoted as x and Nph is the
number of phases. The unknown parameters of the model are the five electrical
parameters, Rs and Rr (stator and rotor resistors), M (the mutual inductance), Ls and Lr
(stator and rotor inductors), and the two mechanical parameters, J (rotor inertia) and sL
(load torque).
2 M 2 Rr
The symbols Tr ¼ RLrr , r ¼ 1 LMa Lr , b ¼ rLMs Lr ; and c ¼ rL
Rs
s
þ rL 2 have been used
s Lr
to simplify expressions. Tr is the constant rotor time and r is the total leakage-factor.
Manipulating the induction motor model (1 to 5) to get a simplified model where the
unknown parameters can be linearly isolated as follows:
disx b 1
þ cisx wrx np bxwry np xisy ¼ vsx ð6Þ
dt Tr rLs
disy b 1
þ cisy wry np bxwrx þ np xisx ¼ vsy ð7Þ
dt Tr rLs
Taking the first derivatives of Eqs. (6) and (7) and after some mathematical
manipulations we can get

1 dvsx 1 1 bM d 2 isx 1 disx
þ vsx np x þ isy ¼ 2 þ c þ þ
rLs dt Tr rLs Tr Tr dt Tr dt
ð8Þ
c bM dx disy
isx np isy þ bwry np x
Tr Tr2 dt dt

1 dvsy 1 d 2 isy 1 disy c bM
þ vsy ¼ 2 þ c þ þ isy þ
rLs dt Tr rLs dt Tr dt Tr Tr2
ð9Þ
1 bM dx disx
np x þ isx þ np ðisx þ bwrx Þ þ np x
Tr Tr dt dt
This model can be written as:
d 2 isx disx disy dvsx

2
þ h1 þ h2 isx h3 np xisy np x ¼ h4 þ h5 vsx ð10Þ
dt dt dt dt
d 2 isy disx disx dvsy

þ h1 þ h2 isy þ h3 np xisx þ np x ¼ h4 þ h5 vsy ð11Þ
dt2 dt dt dt
where
1 c bM 1 bM 1 1
h1 ¼ c þ ; h2 ¼ 2 ; h3 ¼ þ ; h4 ¼ ; h5 ¼
Tr Tr Tr Tr Tr rLs rLs Tr
To estimate the physical parameters, we can use
h2 h3 h5 h4
Rs ¼ ; Ls ¼ ; r ¼ ; Tr ¼
h5 h5 h3 h4 h5
The model can also be expressed in matrix as shown below:

0 1
h1
! !
didtsx isx np xisy dvsx B h2 C d 2 iSx
np x
diSy
vsx B C
dt
B h3 C¼ dt2 dt
ð12Þ
di
dtsy isy np xisx
dvsy
dt
vsy @ h4 A np x didtSx þ
d 2 isy
dt2
h5
This linear form of the motor model allows direct application of a least squares
identification algorithm to estimate electrical parameters.
Using Eq. (12) and defining the error vector as
eðk Þ ¼ yðkÞ uT ðkÞh ð13Þ
where uðkÞ represents the regressor vector, h the vector parameters to be identified and
eðkÞ the error of equation written in the general form of prediction error.
!
didtsx isx np xisy dvsx
vsx
u ðk Þ ¼
T
di
dt
dvsy
dtsy isy np xisx dt
vsy
0 1
h1
!
B h2 C d 2 iSx
np x
diSy
B C
h¼B h3 C; yð k Þ ¼ dt2 dt
@ h4 A np x didtSx þ
d 2 isy
dt2
h5
By accumulating N measurements, for example at the discrete instants k = 1,… N,

the Eq. (13) gives in matrix form:
0 1 0 1 0 T 1
eð1Þ yð1Þ u ð1Þ
B eð2Þ C B yð2Þ C B uT ð2Þ C
B C B C B C
B .. C B .. C B .. C
B . C ¼ B . C B . Ch ð14Þ
B C B C B C
B . C B . C B . C
@ .. A @ .. A @ .. A
eðNÞ yðNÞ uT ðNÞ
e ¼ Y Uh ð15Þ
The quadratic prediction error is as follows:

X
N
min J ¼ e2 ðkÞ ¼ eT e
k¼1
The minimization of the quadratic error gives

^h ¼ UT U 1 UT Y ð16Þ
3 Flux Adaptive Observer Design
Note that the need to have flux measurements is avoided by the assumption that the
speed varies slowly. This is an advantage because flux measurements, which require
sensors near the gap, are not practical to obtain. A disadvantage is that derivatives from
there currents are needed. These can be reconstructed by filtered differentiation. In this
paper an observer is designed to reconstruct the flux from the available current and the
parameters identified in the precedent section.
First an observer is designed for the stator subsystem:
! ! 1
b
diSx
c iSx gp bxwRy þ gp xiSy
dt
¼ TR þ rLs u þ ð17Þ
dwSx
dt
0 1 T
wSx 0 Sx
0
R

iSx
ysx ¼ ð1 0Þ
wSx
Let us parametrize the above subsystem considering the linear part and a nonlinear
function f linearly parametrized with unknown parameters as follows:
! 1
c TbR gp bxwRy þ gp xiSy
A¼ ; B ¼ rLs ; f ¼ ; C ¼ ð 1 0Þ
0 1 TR
0 0
The adaptive observer is designed to take the measured stator current to reconstruct
the state vector using:
^x_ ¼ A^x þ f ðu; yÞ þ Bu^h þ Lðy C^xÞ
where ^x is the estimated state vector and the ^h is the estimated parameters and L is a
tuning gain of the linear part of the observer.
x_ ¼ Ax þ Bðu; yÞ þ f
^x_ ¼ A^x þ Bu þ ^f þ LðCx C^xÞ

Defining e ¼ x ^x as the error between the actual and the estimated state vector;
and ~h ¼ h ^h as the parameter estimation error,
Using the Lyapunov candidate:
V ¼ eT Pe þ ~hT c1 ~h
Where c is a diagonal positive definite adaptation gain matrix, and P, Q are semi-
positive definite matrices satisfying the algebraic Lyapunov matrix equation:
AT P þ PA ¼ Q ð18Þ
Defining the closed loop matrix Ac ¼ A LC and based on Eq. (17), the error
dynamics can be expressed as:
e_ ¼ Ac e þ Bu~h
The derivative of the Lyapunov equation can be given as:
_
V_ ¼ e_ T Pe þ eT P_e þ ~hT c1 ~h þ hT c1 ~
_ ~ h ð19Þ
Applying the parametrization for the stator system we can derive the stator sub-
system observer as:
dîSx uSx b ^
¼ ciSx þ ^ Ry þ gp xi
w þ gp bxw ^ Sy ð20Þ
dt rLs TR Rx
^
dw M 1 ^
Rx
¼ iSx w ð21Þ
dt TR TR Rx
and the error dynamics
^
! b ^ !
diSx
ddtiSx
uSx
ciSx þ TR wRx þ gp bxwRy þ gp xiSy ddtiSx
e_ ¼ x_ ^x_ ¼ dt
^ ¼ rLs
^
dwSx
dt d wdtSx M 1 dw
TR iSx TR wRx dt
Sx
In order to test the identification method presented in this chapter, a model of the
machine was constructed in the Simulation environment Matlab/2015b. The figure
summarizes the simulation scheme (Fig. 1).
The machine was simulated in the rotor coordinate system where the system
dynamics were divided into three interconnected subsystems (mechanical system, rotor
flow system and stator current) (Fig. 2)
Fig. 1. Simulation of the induction machine
Fig. 2. Schéma interne de bloc identification
We considered a 1/2 KW squirrel cage asynchronous motor with following

parameters [1]:
Vmax = 466.7; fr = 50; f = 0 np = 2; ph = 3; Rr = 8.6 Rs = 9.7; Lr = 0.67
Ls = 0.67; M = 0.64 Lm = M; sigma = 0.0875 J = 0.011, f = 0.001; TL = 3.7
The applied voltages are a balanced three phase voltage with a frequency of 50 Hz
(Fig. 3).
Fig. 3. Applied voltages
The identified mathematical parameters are:

0 1
h1 ¼ 263; 980
B h2 ¼ 115:701 C
B C
h ¼ B h3 ¼ 66:9488 C
@ h ¼ 15:69561 A
4
h5 ¼ 99:09449
Table 1 shows that the identified parameters are very close to the real values. The
differences may be due to the conditions of use for the identification of the parameters
of the IM are different from those defined by the manufacturer (Figs. 4, 5 and 6).
Table 1. The actual and identified electrical parameters.

Parameter Current value Estimated value
Rs 9.6999 Ω 11.675 Ω
Ls 0.6700 mH 0.6756 mH
Sigma 0.0875 0.0943
Tr 0.1491 0.1583
Fig. 4. Measured currents
Fig. 5. Estimated flux

Fig. 6. Angular velocity (actual and identified)
5 Conclusion
The aim of this paper is to propose a simple parametric identification method for the
induction machine. through Simulink simulation under MATLAB, the model identified
by the proposed approach combined with flux estimator were verified and validated.
This study shows that: - The parameters of the machine depend on the operating point
and therefore the measurement conditions, - The identification results are satisfactory
for a simulation of the behavior of the machine, conversely, they are insufficient for its
control and diagnosis.
References
1. Chiasson J (2005) Modeling and High-Performance Control of Electric Machines Wiley,
New Jersey
2. Chergui R (2014) Identification des paramètres d’un moteur asynchrone, Master thesis in
electrotechnical engineering, University of Batna, December 2014
3. Boufadene M, Belkheiri M, Rabhi A (2018) Adaptive nonlinear observer augmented by radial
basis neural network for a nonlinear sensorless control of an induction machine. Int J Autom
Control 12:27–43
4. Stephan J, Bodson M, Chiasson J (1992) Real-time estimation of the parameters and fluxes of
induction motors. In: Conference record of the 1992 IEEE industry applications society
annual meeting, Houston, TX, 1992, vol 1. No 1, January 2018, pp 578–585
5. Bodson MB, Chiasson J (1994) Real-time estimation of the parameters and fluxes of
induction Motor. IEEE Trans Ind Appl 30(3):746–759
6. Abbas HA, Belkheiri M, Zegnini B (2016) Feedback linearisation control of an induction
machine augmented by single-hidden layer neural networks. Int J Control 89(1):140–155
Renewable Energy
Photovoltaic Discoloration and Cracks:
Experimental Impact on the I-V Curve
Degradation
Salima Sarikh1,2(&), Mustapha Raoufi1, Amin Bennouna1,

Ahmed Benlarabi2, and Badr Ikken2
1
Laboratory of Nanomaterials for Energy and the Environment,
Faculty of Sciences Semlalia, Cadi Ayyad University,
Boulevard Prince My Abdellah, 2390 Marrakech, Morocco
Sarikh.salima@gmail.com
2
Institut en Energie Solaire et Energies Nouvelles (IRESEN),
Rue Abou Marouane Essaadi, Quartier Administratif Rabat Instituts
6208, Agdal, Rabat, Morocco
Abstract. Optical and mechanical failures are often reported in a PV installa-

tion. This paper presents the impact of two of the most prevalent failures: The
discoloration and the cell cracks on the electrical parameters of the PV char-
acteristic. The studied installation was exposed to a semi-arid climate for two
years. Hence, discoloration and cracks are inspected in some modules. The aim
of this paper is to correlate between the types of failure occurred and the affected
electrical parameter basically through the I-V curve pattern. For this purpose I-V
curve measurements are performed for the degraded modules and compared
with reference I-V curves of the same system. Throughout this study, identifi-
cation methods such electroluminescence imaging and I-V curve characteriza-
tion are utilized to diagnosis these failures.
Keywords: I-V curve measurement Failure identification

Discoloration and cell crack degradation Electrical parameters
1 Introduction
Photovoltaic energy, similarly to other renewable sources is the best alternative for
fulfilling the energy demands, ensuring sustainability and reducing climate change. Its
growth requires advanced methodologies of monitoring systems. However, during
years of operation of a photovoltaic system, its exposure to the ambient conditions
(temperature, humidity…) causes diminishing effects on the output power produced
[2–8]; leading to module degradation or aging. Degradation diagnosis is a fundamental
step for reliability and efficiency of photovoltaic systems; it is necessary to identify
what kind of failures can be found in the real system. Failures cause not only power
losses but also lead to safety issues [1].
A method that can give clues about performance issues that traditional test methods
cannot is analyzing the overall shape of the I-V curve tracing [5]. The I-V characteristic
describes the electrical behavior of the solar unit in its different operating points.
https://doi.org/10.1007/978-981-13-1405-6_69
610 S. Sarikh et al.
Its overall shape provides a short description of its healthiness and newness. It provides
direct performance characterization and verification, as well as a being diagnostic tool
for periodic photovoltaic system performance assessments.
Studies [2–6] have shown that the module discoloration and corrosion are a pre-
dominant mode of photovoltaic modules degradation. Eva discoloration can be visu-
alized by the naked eye. It occurs when the color of the encapsulation material’s color
changes into yellow or brown. It is formulated with additives including UV and thermal
stabilizers. This latter degrades obviously the short circuit current Isc of a variation from
6% to 8% below the nominal value for partial discoloration and 10% to 13% for
complete discoloration [10]. It induces a degradation of the Maximum power Pmax as
well. Cell cracks are cracks in the silicon substrate of the photovoltaic cells that are not
detectable by visual inspection [3]. They can evolve into longer, wider cracks [8] due to
mechanical stress caused by wind or snow load and thermo-mechanical stress [8],
which leads to isolation of the cracked parts and inactive cell areas “dead or inactive
parts” and consequently power loss. Sometimes discoloration occurs at the edge of the
solar cell and along usually cell cracks. The discolored silver finger is more porous than
normal silver fingers [3]. This may reduce the conductivity of the silver finger espe-
cially along the crack line of the cells, so the PV modules show a tendency to high
leakage current as [7] measures leakage current in wet leakage testing for snail track
affected panel.
This paper focuses mostly on the electrical effect of two types of irreversible failure
that are the EVA discoloration and the cell cracks. These two failures are inspected on
the crystalline system under test that was exposed for a two years period in a semi-arid
climate. I-V curve measurements are performed for each module for performances
assessment, the resulted curves show degradation on four curves among twelve, these
modules are diagnosed later using other methods to identify the nature of the failure.
This work emphasizes the results of two affected modules that are presented and
diagnosed. The used methods of diagnosis are IV curve measurement, Visual inspec-
tion and Electroluminescence imaging. As a result of this study, the most affected
parameter in discoloration case are Isc and Pmax, and in case of cell crack Rs and Pmax
also some steps are noticed in the I-V curve.
2 Experimental Set-up
2.1 Identification Methods

Methods investigating the various degradation modes have helped in the improvement
of manufacturing process and lifetime of PV modules [9]. Table 1 listed these diag-
nosis methods regarding the degradation mode [11].
From the table above, I-V curve is sensitive to all type of faults. Hence, as a
preliminary diagnosis, IV curve measurement will be considered.
For performing measurements, the PVPMCX1000 I-V curve tracer is used, that
includes temperature and irradiation measurement via Resistance Temperature Detector
PT1000 sensor, and a mono-crystalline reference cell regularly calibrated. Later, for
Photovoltaic Discoloration and Cracks 611
Table 1. Common PV module characterization and diagnostic methods for identifying the four
degradation modes investigated.
Degradation mode Common diagnostic methods
Optical losses and degradation Visual inspection, I-V characterization
Degradation of the electrical circuit IR thermography, I-V characterization, EL
imaging
Mechanical degradation of the solar cell EL imaging
Potential-induced degradation of the EL imaging, I-V characterization
cell
Fig. 1. I-V curve tracer: PVPMCX1000 and Electroluminescence imaging used
performing Electroluminescence measurements, the EL imaging is used to evaluate the

quality of the electrical contacts of the tested solar module (Fig. 1).
2.2 The System Under Test

The photovoltaic string under test in this study is composed of twelve silicon mono-
crystalline modules. The system is installed in the Green Energy Park research platform
in Benguerir Morocco (32.22 °N, 7.93 °W). They have the following characteristics
and have been exposed to the local ambient condition, which is a semi-arid climate
(Table 2 and Fig. 2).
Table 2. Module characteristics extracted from the datasheet.

Electrical parameter Electrical value
Nominal peak power 250 W
Open circuit voltage Voc 37.4 V
Short circuit current Isc 8.26 A
Maximum power voltage Vmpp 30.3 V
Maximum power current Impp 8.26 A
Module 5 Module 1
Module 12 Module 8
Fig. 2. The system under test: string of twelve silicon mono-crystalline modules
Priori the system is visually inspected, to be clean. At first I-V measurements are
performed for the twelve modules of strings in the same clear sky day. Later, the less
performing modules’ curves are compared to a reference module (module 11) of the
same system (Figs. 5 and 7) to investigate the pattern of the deviation in such faulty
cases.
3.1 I-V Curve Measurement of the System

Four modules are found to be less performing than expected. Hence diagnosis methods
other than curve measurement are used; visual inspection Fig. 4 shows discoloration of
the EVA in module number eight and EL imaging see Fig. 6 shows cell cracks in
module number five (Fig. 3).
Fig. 3. I-V curves of twelve modules from the studied system

3.2 Frame and Glass Degradation: Eva Discoloration

See Figs. 4 and 5.
Fig. 4. I-V Visual inspection of discoloration of the EVA in module 8
10 Module 8 Reference Module
0
0 10 20 30 40
Fig. 5. I-V curve of module 8 with reference module
3.3 Cell Mismatches: Cracks

See Figs. 6 and 7
Fig. 6. Electroluminescence imaging of the cracked module

10 Module 5 Reference module
0
0 10 20 30 40
Fig. 7. I-V curve of module 5 with reference module
4 Discussion
The found degradations are in their first stage, which explains the little deviations on
the measured I-V curves. The comparison of the discolored module with performing
module shows a drop in the short circuit current Isc and the maximum power point
current Impp as well. Whereas the cracked module’s I-V curve shows in addition of a
drop in Isc, a deviation of the curve at V = 12.78 V due to the cracked cells. In both
cases results a drop in the maximum power Pmax.
The following tables show the drop for the measured electrical parameters in both
faulty cases Table 3 and a classification of the affected parameter in terms of the
degradation type Table 4.
Table 3. Electrical parameters of the failed and reference modules

Number of the module Isc Vco Rs Rsh Imax Vmax Pmax FF
Reference mean 11 8.33 34.04 0,5 X 282 X 7.59 25.99 197.26 0.6956
Discolored module 8 8.13 33.83 0,9 X 198 X 7.07 25.78 182.26 0.6626
Cracked module 5 8.13 33.76 0,7 X 232 X 7.19 25.74 185.07 0.6742
Table 4. Affected electrical parameter in terms of degradation type

Degradation Affected Comment on curve Diagnosis
type parameter method
Eva Isc Impp I-V degradation evolves slowly on time due I-V curve,
discoloration Pmax Rs to temperature and UV Visual
Rsh FF inspection
Cell crack Isc Impp Number of steps in curve depends on crack I-V curve,
Pmax Rs severity Curve pattern similar to shaded EL imaging
FF condition
Discoloration appears due to thermal stress (module’s temperature 48.8 °C). It is

observed that Shunt resistances are considerably low, which increases the value of
leakage current, this can be explained by the degraded contact material inside of the PV
module. The discoloration in the interconnection is visually inspected Fig. 4 on the
module.
Mechanical loads are responsible of cracks and micro cracks appearance, they
occur generally during module transportation. However, thermal cycling helps this
degradation evolve towards deeper cracks or even snail trail, which leads to serious
power loss and might induce inactive dead areas. Cracks increase the series resistance.
Sometimes cracks have the same effect on the curve as the partial shading. The number
of steps in the curve depends on the severity of cracked cells.
5 Conclusion
Every photovoltaic module passes through an aging process, causing defections and
malfunctions in the system and sometimes leading to devastated power losses. The
present paper investigated the most affected electrical parameter (Rs, Isc, Voc…) in case
of discoloration and cell crack. Different diagnosis methods are mentioned in this
paper, I-V curve characterization is chosen as a preliminary test to identify the failed
module then, the output signature of the curve is specified regarding each type of
failure.
The studied system is composed of twelve crystalline modules that were tested
using I-V curve tracer, the defected modules were then diagnosed using visual
inspection and EL imaging. It has been found that two modules were damaged (one has
discoloration on the EVA and the other one has defected cracked cells).
The study was pursuit to investigate the effect of these failures on the measured I-V
curve; it has been found that discoloration is related to the thermal stress and has a
direct effect on the short circuit current and shunt resistance. However cell crack is a
result of mechanical loads and might evolve due to thermal cycling and it affect mostly
the series resistances and induces steps in the measured curve.
Acknowledgement. This Work is supported by IRESEN (Research Institute in Solar Energy

and Renewable Energies), GREEN ENERGY PARK RESEARCH PLATFORM BENGUERIR,
MOROCCO.
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11. Spataru S (2015) Characterization and Diagnostics for Photovoltaic Modules and Arrays
Evaluation of Different PV Prediction Models.
Comparison and Experimental Validation
with One-Year Measurements at Ground Level
Charaf Hajjaj1,2(&), Ahmed Alami Merrouni2, Abdellatif Bouaichi2,3,

Mohammadi Benhmida1, Badr Ikken2, Smail Sahnoun1,
Abdellatif Ghennioui2, Ahmed Benlarabi2, and Houssain Zitouni2
1
Laboratory of Electronics, Instrumentation and Energetic, Faculty of Sciences,
Chouaïb Doukkali University, B.P 20, El Jadida, Morocco
hajjaj.c@ucd.ac.ma
2
Institut de Recherche en Energie Solaire et Energies Nouvelles (IRESEN),
Rue Abou Marouane Essaadi, Quartier Administratif Rabat Instituts 6208,
Agdal, Rabat, Morocco
alami@iresen.org
3
OATE Faculty of Sciences and Techniques,
P.C 509 Boutalamin, 52000 Errachidia, Morocco
Abstract. At the early stage of photovoltaic plants feasibility study, the

assessment of the power production and the technology performances is a
necessity. To do so, engineers usually use software’s and prediction models.
Plenty of models are available in the literature, nevertheless, the selection of the
most suitable one to be use in a specific climate is a hard task since no study
deals with the inter-comparison of the existing PV production models. In this
paper, the output of 12 from the most used PV production models were eval-
uated and their accuracy has been assessed versus one-year real measurement
data from a PV module in different time resolutions. Results show that four
models (M1, M2, M3 and M4) are the most adequate models to simulate the PV
performances under harsh climatic conditions (case study of Benguerir city,
Morocco) with a minimum hourly RMSE of 7.07% during spring, 4.23% during
summer, 7.56% in autumn and 10.11% in winter.
Keywords: Photovoltaic Power prediction Comparison Performance
1 Introduction
Generally, to assess capacity of a region or a country to host large scale PV power

plants engineers take into consideration mainly, the amount of solar irradiation and the
land availability. However, for economic reasons, the selection of the technology to be
used, the sizing of the plants and the evaluation of the climatic parameters that influ-
ence their efficiency are some important points to be assessed as well. Those parameters
can be assessed easily using simulation tools and models. Nevertheless, the selection of
the right model to be used in a specific climate is an important task, since high
simulation errors may conduct to some problems during the plant operation, thus, some

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618 C. Hajjaj et al.
grid instability [1]. To solve these problems, accurate and site suitable PV prediction
models is required. Plenty of models exist in the literature, but, a comparative study
between these models is almost absent in the literature as claimed by Iñigo de la Para in
his recently published paper [2].
In the present paper a comparative analysis of twelve, of the most used, PV pre-
diction models in the literature has been done. Firstly, the uncertainty of each one of the
models has been evaluated against one year of data measured using a PV module
installed at Green Energy Park research facility in Morocco. After that, the twelve
models have been classified according to their nRMSE to select the most suitable one
to be used, for a high-resolution PV simulation output, under Moroccan climate. The
seasonality effect on the performance of prediction models was evaluated as well, to
find out the appropriate model for each season and the most adequate combination of
the models for a highly accurate PV prediction.
Results show that the models M1, M2, M3 and M4 are the most suitable models to
simulate the PV performances under harsh climatic conditions with a minimum hourly
RMSE of 7.07% during spring, 4.23% during summer, 7.56% in autumn and 10.11%
in winter.
2 Methodology
2.1 Experimental and Data Acquisition System

In order to evaluate the reliability of the different PV prediction models, the electrical
parameters measured from a polycrystalline silicon c-Si PV module, with a nominal
output power of 252.84 W connected to a DC electronic load charge at Green Energy
Park research facility have been used [3]. The PV module is static, tilted 32.23°, south-
oriented and fully shading free. To measure the solar irradiation, a high-quality
Hukseflux, SR 11-10 pyranometer (classification: first classe ISO 9060) is mounted in
the same plane as the PV panel. The module’s temperature is measured via an inte-
grated PT1000 (platinum) sensor, offering a large measurement range, which goes from
−35 °C to +105 °C, and class B tolerance. The weather parameters and electrical
characteristics of PV module are recorded with a 10 s time step using a real-time
embedded acquisition card. The acquisition card is connected to a data logger which
collect the data and send it to an MYSQL database.
Table 1 presents the 12 most commonly used prediction models in the literature to
predict the power of a PV module based on their operating temperature and environ-
mental parameters. As it can be seen, some of the models are linear, while, the others
are more complex with multivariable nonlinear regression equations. However, all of
them use weather data for their calculations.
To evaluate the performances of a model the use of statistical performance indicators
is indispensable. In this version of the paper we will focus on the values of the Nor-
malized Mean Squared error NRMSE, because it’s the metric that provides the better
estimation for the quality of the prediction model than the Mean Bias Error (MBE) or the
Root Mean Square Error (RMSE). However, the full deviation analysis and the values of
the whole error metrics will be presented in the full version of the paper.
Evaluation of Different PV Prediction Models 619
Table 1. Prediction models of photovoltaic performance

Model_id Prediction models References

M1 P ¼ Pref 1 bref T Tref Twidell and Weir [4]

M2 P ¼ P25 1 0:0026 T Tref Yamawaki et al. [5]
M3 P ¼ gref AGT Kf ½1 þ aðTc 25Þ Nishioka et al. [6]

M4 P ¼ gref AGT Kf 1 bref ðTc 25Þ þ c log10 GT Cristofari et al. [7]

M5 P ¼ P0 1 þ a bref DT Patel [8]
M6 P ¼ Pð25Þ½1 cðT 25Þ Parretta et al. [9]
M7 P ¼ Pref GT Kpt Kw Ke Kc with Kpt ¼ 1 þ aðTc 25Þ Pui Wah et al. [10]

M8 Pmax ¼ Pmax;ref GT =GT;ref ½1 þ cðTc 25Þ Fuentes et al. [11]

M9 PT ¼ Pref 1 bref T Tref Buresch [12]
M10 P ¼ A½0:128GT 0:239 103 Ta Zervas et al. [13]

M11 P ¼ ge AGT sg p 1 bref ðTc 25Þ Chow et al. [14]
M12 P ¼ gTref AGT spv ½1 0:0045ðTc 25Þ Jie et al. [15]
N
!
1X ymeas;x ypred;x
nRMSE = 100 ð1Þ
N i¼1 ymeas;x
Where ymeas;x and ypred;x are respectively the ith measured and predicted value.
3.1 Weather and Operating Conditions

Figure 1 presents the average monthly variations in PV module’s temperature and its
efficiency over a year of ground measurement at Green Energy Park [3]. As it can be
seen, the monthly modules temperature varies between 28 and 43 °C. The highest
values are measured in August and lowest ones in January.
Knowing the fact that the module’s temperature has a high influence on the voltage
at the open circuit (Voc) and consequently on the module’s power output, it’s crucial to
take this parameter into consideration, while evaluating the simulation models, and use
the real condition power production values of a PV system, rather than the ones form
the STC conditions. In this study, the power production of the PV module has been
simulated using the 12 models at different time resolutions: hourly, daily and monthly.
The NRMSE has been calculated for each one of the models and for each time
resolution.
Tamb Tm Efficiency
50 0.165
Temperature (°C) 0.16
40
Efficiency (%)
0.155
30 0.15
0.145
20 0.14
10 0.135
0.13
0 0.125
Fig. 1. Monthly averages evolution of the photovoltaic module efficiency and their temperature.
Fig. 2. Hourly, daily and monthly classification of prediction models using NRMSE statistical
indicator.
Figure 2 illustrates the classification of power prediction models according to their

NRMSE and for all time resolutions. This error indicates the prediction quality of these
models across the year. Results show that the Models M1, M2, M3, M4, M5, have an
hourly NRMSE less than 10%, while the M11 and M12 have the highest hourly
NRMSE (higher than 20%). These errors decrease while increasing the time resolution.
Indeed, for all models the monthly NRMSE values are less than the daily and the
hourly one but with the same behavior for all models.
For the sake of precision, the impact of the seasons variation on the PV models
predictions has been studied. Figure 3 illustrates the seasonal models ranking based on
their NRMSE. As it can be seen the M3 model is the best one to be used for simulating
the PV production during spring and summer with a NRMSE of 7% and 4% respec-
tively. Regarding winter and fall, the model M1 is the best one to be used with an
NRMSE of 10 and 7% respectively. This deviation between the seasons is due to the
variation of ambient temperature and solar spectrum during the year. Each prediction
model is a regression equation that gives a better prediction in a specific range of cell
Evaluation of Different PV Prediction Models 621
Fig. 3. Prediction models classification using hourly RMSE statistic indicator for each season.
temperature and solar irradiation. However, we recommend the combination between

the Models M1 and M3 to simulate the PV production under harsh climatic conditions.
4 Conclusion
In the present paper, the accuracy of twelve models to predict the performance of
photovoltaic plants output were analyzed through the comparison between the simu-
lated data, and those measured at ground level using a 252 W polycrystalline photo-
voltaic PV module exposed under real working conditions. Results show that M1 is the
best model, to be used to simulate the PV production under harsh climatic conditions
with an hourly NRMSE of 7.95%. The seasonal impact was also investigated with the
aim to determine the best model combinations for an accurate simulation. Result show
that the best configuration is the use of the M3 for simulating the PV output during
spring and summer with a NRMSE of 7% and 4% respectively and M1 for winter and
fall with an NRMSE of 10 and 7% respectively.
References
1. Bouhouras AS et al (2008) Reliability improvement resulting from the integration of PV
systems in the Interconnected Greek Transmission System. In: EEM 2008: 5th international
conference on European electricity market, pp 1–6
2. de la Parra I, Muñoz M, Lorenzo E, García M, Marcos J, Martínez-Moreno F (2017) PV

performance modelling: a review in the light of quality assurance for large PV plants. Renew
Sustain Energ Rev 78:780–797
3. GREEN ENERGY PARK Platform. http://www.greenenergypark.ma/
4. Twidell J, Weir T Renewable energy resources, 1st ed. E & F.N, Spon, London, UK, NY,
p 160
5. Yamawaki T, Mizukami S, Masui T, Takahashi H (2001) Experimental investigation on
generated power of amorphous PV module for roof azimuth. Sol Energ Mater Sol Cells 67
(1):369–377
6. Nishioka K, Hatayama T, Uraoka Y, Fuyuki T, Hagihara R, Watanabe M (2003) Field-test
analysis of PV system output characteristics focusing on module temperature. Sol Energ
Mater Sol Cells 75(3):665–671
7. Cristofari C, Poggi P, Notton G, Muselli M (2006) Thermal modeling of a photovoltaic
module. In: Proceedings of Sixth IASTED international conference on ‘‘modeling,
simulation, and optimization”, 11–13 September 2006, Gaborone, Botswana, pp 273–278
8. Patel MR (1999) Wind and solar power systems. CRC Press, Boca Raton
9. Parretta A, Sarno A, Vicari LRM (1998) Effects of solar irradiation conditions on the
outdoor performance of photovoltaic modules. Opt Commun 153:153–163
10. Pui Wah W, Shimoda Y, Nonaka M, Inoue M, Mizuno M (2005) Field study and modelling
of semi-transparent PV in power, thermal and optical aspects. J Asian Archit Build Eng
4:549–556
11. Fuentes M, Nofuentes G, Aguilera J, Talavera DL, Castro M (2007) Application and
validation of algebraic methods to predict the behaviour of crystalline silicon PV modules in
mediterranean climates. Sol Energy 81(11):1396–1408
12. Buresch M (1983) Photovoltaic energy systems. McGraw-Hill, New York
13. Zervas PL, Sarimveis H, Palyvos JA, Markatos NCG (2008) Model-based optimal control of
a hybrid power generation system consisting of photovoltaic arrays and fuel cells. J Power
Sour. 181(2):327–338
14. Chow TT (2010) A review on photovoltaic/thermal hybrid solar technology. Appl Energ 87
(2):365–379
15. Jie J, Hua Y, Gang P, Bin J, Wei H (2007) Study of PV-Trombe wall assisted with DC fan.
Build Environ 42(10):3529–3539
Experimental Investigation of Potential
Induced Degradation (PID) Impact
and Recovery on Crystalline Photovoltaic
Systems
Abdellatif Bouaichi1,2(&), Ahmed Alami Merrouni2, Charaf Hajjaj2,3,

Choukri Messaoudi1, Badr Ikken2, Aumeur El Amrani1,
Houssain Zitouni2,4, and Abdellatif Ghennioui2
1
OATE Faculty of Sciences and Techniques,
P.C 509 Boutalamin, 52000 Errachidia, Morocco
2
Research Institute for Solar Energy and New Energies (IRESEN),
GEP, Benguerir, Morocco
Bouaichi@iresen.org
3
LEIE, Faculty of Sciences, Chouaïb Doukkali University,
B.P 20, El Jadida, Morocco
4
Faculty of Sciences, 4 Avenue Ibn Battouta B.P 1014 RP, Rabat, Morocco
Abstract. The present study focuses on the effects of PID on the performance
of c-Si based solar PV panels installed on the mid-southwestern- Morocco for 3
years. The investigation has been divided into two parts: (i) The measurement of
the power drop due to PID; (ii) since the PID is a reversible phenomenon, the
polarity inversion technique has been used to evaluate the PID recovery.
Electroluminescence (EL) images and electrical characteristics of investigated
PV modules as the most accurate way of power loss analyzing have been
conducted as a verification routine. Results show that the rate of power output
drop due to PID is between 1 and 4%/years. Furthermore, the polarity inversion
for one day can make this defect no more visibly detected (using EL inspection)
and show an improvement in the module’s power output of 7.6%.
Keywords: Outdoor PID Crystalline Reversibility
1 Introduction
A grid-connected PV system consists of several interconnected series of solar modules.

By connecting the modules in series, the voltage increases by a factor equal to the
number of modules, while, the module frames are grounded for safety reasons. The
series interconnected solar modules current kept at the level of one module which can
be kept resistive losses in the cabling at a minimum, since these losses scale with the
square of the current in the system (Joule effect) [1]. Even though, the system voltage
can be considered economically favorable, because of reduction of wiring and inverter
costs, a high electric potential difference between the solar cells and the module frame
may induces the modules whether at inside or at the string end. The potential gives rise

https://doi.org/10.1007/978-981-13-1405-6_71
624 A. Bouaichi et al.
to leakage currents that flow to earth from the cells through the module insulation,
package and frame grounding points and mechanical support which results in PID. The
modules in a string with greater negative voltage (the closest to the negative pole) are
the most affected by the PID phenomenon [2–4]. Both crystalline silicon (c-Si) and
thin-film (TF) based PV modules are susceptible to PID [8, 9].
The term “PID” was introduced in 2010 in a paper dealing with the degradation
observed in standard c-Si technology [2, 5]. Many interesting studies have been per-
formed to figure out the PID phenomenon, but they did not simultaneously consider
possible influences such as the applied voltage between the front surface of the solar
cell and glass, ambient temperature, and the relative humidity [3, 6, 7]. In addition,
authors claimed that PID can reduce the performance of solar panels, nevertheless, the
behavior were not clearly quantified. Thus, PID formation and their recovery processes
are still an open question and they need to be deeply investigated.
In this paper, we will present the investigation results of the PID detected in a
crystalline PV system exposed in a semi-arid climate. Firstly, detection of the PID
defect has been done using in-situ EL images. Then, the impact of this phenomenon on
the power output has been examined by measuring the electrical parameters using an
IV-curve device. After that, the evolution of the PID formation and propagation in the
PV system has been monitored for a period of three months. Knowing the fact that the
PID is a reversible phenomenon (if detected in an early stage) the recovery from this
phenomenon has been assessed by inversing the polarity of a part of our system.
Results show that the rate of power output drop due to PID is between 1 and 4%/
years. Furthermore, the short term polarity inversion (for one day only) can make this
defect no more visibly detected (using EL inspection) and show an improvement in the
module’s power output of 7.6%.
2.1 Site and System Description

The investigated PV system is a 22.2-kWp monocrystalline based grid connected
exposed for more than two years at Green Energy Park Research (GEP) facility.
The PV system is composed by six PV strings of 19 modules. The potential of each
string is between ±330 V depending on inverter assembly. The PV modules were
mounted on fixed physical support on the ground, faced to south with a tilt angle of
32°. Figure 1 presents the modules used in this study. The PV modules specifications at
standard conditions are shown in Table 1. It’s worth to mention that the frame of the
PV modules has a potential equal 0 V, since it’s grounded for safety reasons.
As mentioned earlier, the system is installed at GEP research facility; this location
has a harsh semi-arid climate [10]. These meteorological conditions may favorite the
PID creation and propagation. Indeed, the site has a humidity values that vary between
99% and 2%, and an average ambient temperature of 20 °C, with a maximum value
reaching 46 °C and 0 °C as a minimum value.
Experimental Investigation of Potential Induced Degradation (PID) 625
Table 1. Main characteristics of the PV modules.

Module technology Monocrystalline silicon
Maximum power at STC (Pmax) 195 W
Optimum operating voltage (Vmp) 37.4 V
Optimum operating current (Imp) 5.22 A
Open circuit voltage (Voc) 45.6 V
Short circuit curent (Isc) 5.56 A
Maximum system voltage DC1000 V
2.2 Experimental Protocol

The PID investigation, in this paper, is divided into two parts. The first part will be
dedicated to measurement and evaluation of the power output drop due to PID. As for
the second part, it will be dedicated to the PID creation and the recovery. All starts with
an outdoor inspection campaign of the studied PV system. In this campaign, a field EL
device has been used for possible PID detection. After the detection of this phe-
nomenon, the electrical parameters of the affected modules (Fig. 1) were measured
using the I-V curve tracer PVPM1040CX.
The next step is the calculation of the degradation rate (Rd) for each one of the
affected modules and for each electrical parameter using the following equation [10]
(Eq. 1) as:
X X0 1
Rd ð%Þ ¼ x x 100 ð1Þ
X0 Dt
X and X0 represent the value of the parameter considered in the STC conditions
respectively at the instant of carrying out the tests and the initial time corresponding to
the first putting into service of PV modules. While, Δt (years) is the exposure duration
in the field of the PV modules from their initial operation until of the tests.
Fig. 1. Investigated monocrystalline PV modules (the investigated string is on the bottom).

(Source: picture taken by the authors at GEP)
Fig. 2. Synoptic view of PV string polarization (a) before; (b) after the polarity inversion.
In order to analyze the PID formation and recovery, we inverted the polarity of the
investigated string. In fact, we observed that the modules in the positive pole were not
affected by the PID, thus, the polarity inversion to negative will allow us to create and
assess the PID evolution on these modules. In the same direction the modules close to the
negative pole were the most PID affected. Therefore, a polarity inversion from negative
to positive will lead to a PID recovery. Thus, we will be able to follow and evaluate this
phenomenon. This recovery solution was reported also in the literature by [1, 5].
3 Result and Discussion
As discussed above, a field EL inspection has been conducted, in the first time, for
several c-Si PV strings. This inspection allows us to looking for ageing signs like PID,
cracks and solders failure. An example of the field EL images results is presented in
Fig. 3. As it’s clearly seen, the modules affected by the PID can be easily detected.
Indeed, the PID appears on the border of the PV modules and it manifests in the EL
images as black/dark cells. According to [1], this phenomenon has been reported to be
localized at the cells close to the frame of PV module due to higher system voltages.
In addition, to quantify the PID’s impact, the electrical parameters of the affected
modules were measured using the I-V curve analyzer PVPM1040X and compared with
those provided by the manufacturer. Figure 4 shows the power degradation rate of the
studied modules. It’s clearly seen that the highest power degradation values are
detected on the modules close to negative pole relative to ground (from module 1 to 9
as illustrated in Fig. 2a). The Rd of the theses modules vary between 1 and 4%/year.
The highest Rd value (around 4%/year) is measured in the module 1, the closest
one to the negative pole. However, it’s below 1%/year for all modules closest to
positive pole. Indeed, according to [2–4], the modules in a string with greater negative
voltage (the closest to the negative pole) are the most affected by the PID phenomenon.
Since the PID is a reversible phenomenon, we inverted the modules polarity in the
string to evaluate the PID propagation and recovery. Actually, in August the 15th 2017,
the polarity of the modules from 1 to 9 (highly PID affected) is inverted to be positive,
while the modules from 11 to 19 were negatively polarized (Fig. 2b).
Fig. 3. Outdoor EL image for the three PV modules of strings 1 and 2 (The dark squares are the
cells which are shunted due to PID). (Source: picture taken by the authors at GEP)
Fig. 4. Degradation rate for each individual PV modules before the reverse biased voltage.
To evaluate the PID’s propagation/recovery in time, indoor EL images, using a

BUCHANAN EL camera, were used to qualitatively assess and visualize the progress
of this phenomenon. The enhancement in the electrical parameters were measured,
afterword, using the IV -curve.
After one day of reverse polarity, EL image of the module1 has been taken, as
shown in Fig. 5. By comparing the EL images of this module before and after one day
of the reverse biased voltage, the PID defect is no more visibly detected. This is
confirmed by the I-V-curve measurements that show an enhancement in the module’s
power output of 7.6%. This is may be due to the high temperature values during August
that can play the role of a catalyst to accelerate the PID recovering process.
For PID propagation, the electrical parameter and EL images of the negatively
polarized modules have been measured as a verification routine from August the 15th
until November the 14th.
Fig. 5. PID affected PV module before (high) and after the reverse biased voltage.
Fig. 6. Detection of the first PID signs after inversing the polarity.
During the whole period the PID sign is detected in the module 14 as shown in
Fig. 6 where, the power output of the new affected module decreased by 2.6%. In this
respect the creation of PID defect in PV modules in high negative voltage of −330 V
takes a long time compared the its recovery.
4 Conclusion
In this paper, we reported the investigation results of the PID detected in a 22.2-kWp
monocrystalline based grid connected exposed for more than two years in a semi-arid
climate. Firstly, detection of the PID defect has been done using in-situ EL images.
Then, the output power drop due to this defect has been examined. After that, knowing
the fact that the PID is a reversible phenomenon (if detected in an early stage) the
recovery from this phenomenon has been assessed by inversing the polarity of a part of
our system. From this study we can conclude that:
• In a PV string, modules affected by PID are the ones connected to negative pole.
• The rate of the power output drop due to PID is between 1 and 4%/years.
• Since the PID is a reversible phenomenon, the polarity inversion for one day can
make this defect no more visibly detected (using EL inspection) and show an
enhancement in the module’s power output of 7.6%.
• The modules close to the positive pole were not affected by the PID; however, the
polarity inversion to negative could create the PID after almost 2 months.
• The power output of the new affected module decreased with 2.6%.
References
1. Luo W, Khoo YS, Hacke P et al (2017) Potential-induced degradation in photovoltaic
modules: a critical review. Energy Environ Sci 10(1):43–68
2. Pingel S, Frank O, Winkler M et al (2010) Potential induced degradation of solar cells and
panels. In: Photovoltaic Specialists Conference (PVSC), 2010 35th IEEE. IEEE, pp 002817–
002822
3. Hoffmann S, Koehl M (2014) Effect of humidity and temperature on the potential induced
degradation. Prog Photovoltaics Res Appl 22(2):173–179
4. Masuda A, Akitomi M, Inoue M et al (2016) Microscopic aspects of potential-induced
degradation phenomena and their recovery processes for p-type crystalline Si photovoltaic
modules. Curr Appl Phys 16(12):1659–1665
5. Martínez-Moreno F, Figueiredo G, Lorenzo E (2018) In-the-field PID related experiences.
Sol Energy Mater Sol Cells 174:485–493
6. Kang G-H, Kim H-B, Jung T-H et al (2015) Prediction of the potential induced degradation
of photovoltaic modules based on the leakage current flowing through glass laminated with
ethylene-vinly acetate. J Sol Energy Eng 137(4):041001
7. Lechner P, Sanchez D, Geyer D et al (2012) Estimation of Time to PID-Failure by
Characterisation of Module Leakage Currents. In: Proceedings of 27th European
Photovoltaic Solar Energy Conference and Exhibition. pp 3152–3156
8. Weber T, Hinz C, Leers M et al (2017) A review of potential induced degradation in thin-
film plants. In: Proceedings of the 33rd European Photovoltaic Solar Energy Conference and
Exhibition, Amsterdam, Holland
9. Koehl M, Hoffmann S (2016) Impact of rain and soiling on potential induced degradation.
Prog Photovoltaics Res Appl 24(10):1304–1309
10. Bouaichi A, Merrouni AA, El Hassani A et al (2017) Experimental evaluation of the
discoloration effect on PV-modules performance drop. Energy Procedia 119:818–827
Mathematical Models Calculating PV Module
Temperature Using Weather Data:
Experimental Study
M. Zouine(&), M. Akhsassi, N. Erraissi, N. Aarich, A. Bennouna,

M. Raoufi, and A. Outzourhit
LPSCM, Physics Department, Faculty of Sciences Semlalia,

Cadi Ayyad University, Marrakech, Morocco
meryem.zouine.ma@gmail.com
Abstract. A portion of solar irradiance that reaches the surface of the Photo-
voltaic modules is transformed into heat, and this increases the temperature of the
modules which causes a decrease in their performance. As a result, the evaluation
of the Photovoltaic modules temperature has a great importance. In this study, we
give an overview of different approaches for Photovoltaic module temperature
prediction by comparing different theoretical models with experimental mea-
surements. These temperature models are calculated using meteorological
parameters such as environment temperature, incident solar irradiance and wind
speed if necessary. Data collected from three grid-connected Photovoltaic sys-
tems based on three technologies: Monocrystalline, Polycrystalline and Amor-
phous are used in this work. The different results obtained in this study are:
– It is not obvious to give one formula correlation to describe all the
modules temperatures behaviours.
– Models without wind effect gave the best simulations for the three
technologies.
– Lasnier and PVsyst methods gave the best results, NOCT approach
has overestimated the module temperature; among the models
without wind.
– Akhsassi2 and Sandia correlations gave satisfying results while
Mattei has overestimated the module temperature; among the models
considering wind effect.
Keywords: Photovoltaic module PV module temperature

Mathematical models Experimental measurements
1 Introduction
Photovoltaic (PV) devices generate electricity directly from sunlight via an electronic
process that occurs naturally in certain types of material, called semiconductors. The
(PV) module performance decreases with increasing temperature, both the electrical
efficiency and the power output of a photovoltaic (PV) module depend linearly on the
operating temperature. Therefore, the prediction of the thermal behavior of the solar

https://doi.org/10.1007/978-981-13-1405-6_72
Mathematical Models Calculating PV Module Temperature 631
photovoltaic generators is necessarily relevant for assessing precisely its electrical

performances.
Most PV installations in Morocco have not the possibility to afford the measure-
ment of the module temperature. To deal with this situation, we decided to estimate this
temperature using several mathematical models that have been proposed in the liter-
ature based on the local environmental conditions: Solar irradiance Gg; Ambient
temperature Ta; Wind speed v.
In this study, we will use the models for calculating the temperature of the PV
module whether they consider the effect of wind or not, and evaluate the accuracy of
these PV module temperature calculation models by comparing them with measured
temperature named Tm, in most cases, assumed as being the same as the cell temper-
ature Tc [1].
2 Experimental Setup
Three grid-connected PV plants, based on 3 different PV technologies; Monocrys-

talline, Polycrystalline and Amorphous; 2 kWp of each one, are installed on the rooftop
of the Faculty of Sciences Semlalia (Cadi Ayyad University, Marrakech, Morocco) and
exposed to the sky (Fig. 1). The photovoltaic plant is equipped with several measuring
instruments to monitor solar radiation, wind speed and ambient and module temper-
atures (Fig. 2). Each technology module has its own technical specifications that have
been shown in (Table 1).
Fig. 1. PV micro-plants.
Fig. 2. Weather kit.

632 M. Zouine et al.
Polycrystalline solar panels tend to have slightly lower heat tolerance than
Monocrystalline solar panels. This technically means that they perform slightly worse
than Monocrystalline solar panels in high temperatures. As the names suggest
Monocrystalline and Polycrystalline are both types of solar cells that are made from
crystalline silicon. Amorphous solar panel is a totally different technology. It is much
less efficient and therefore uses much more roof space. One of its advantages is that it
performs better in extreme heat and in low light conditions, when there is partial
shading of the system or in extreme heat.
Table 1. Technical characteristics for each technology.

Technology Amorphous Monocrystalline Polycrystalline
Type NT-155AX SW 255 Mono SW 255 Poly
Maximum Power Pmax (W) 155 255 255
Aire A (m2) 1.5701 1.6766 1.6766
NOCT Temperature (°C) 46 46 46
Temperature coefficient b (/°C) 0.0028 0.0045 0.0041
Efficiency η 0.0987 0.15 0.15
Number of cells 12 8 8
Transmittance-Absorbance sa 0.81 0.81 0.81
Power PSTC (W) 1860 2040 2040
3 Theoretical Models
We will examine all the temperature models and validate them against real data from
outdoor PV testing. These data include the temperature of the three PV modules and
metrological data of the location, all data are recorded of a monitoring interval of 5 min.
The metrological data including the solar irradiance, the ambient temperature and
the wind speed are used as input parameters for the mathematical models. Among the
models presented in the literature we have studied 8 correlations in order to estimate the
PV temperature of the three modules technologies studied here; these models are
presented in Table 2.
Nomenclature
TNOCT The normal operating cell temperature Tc Cellule temperature
Ta;NOCT Ambient temperature considered for Ta Ambient temperature
NOCT conditions
Tref Reference Temperature gPVSyst Efficiency developed by PVsyst
Gg Plane module irradiance gSTC Module efficiency and Temperature coefficient
G200 Solar irradiance of 200 W/m2 of maximum power
sa Transmittance v Wind velocity
G0 Reference solar irradiance of cPmp Dimensionless coefficient which is between
1000 W/m2 0.03 and 0.12
C1 ,C2 Empirical coefficients UL Heat loss coefficient is a linear function of wind
speed
Groups Comments Ref.

Without wind NOCT [2, 3]
Lasnier [4]
Akhsassi 1 [5]
Sandia [6, 7]
With wind PVSyst, [8, 9]
Akhsassi 2 [10]
Mattei, [1]
Faiman, [11, 12]
Table 2. PV module temperature (°C) described as a function of weather data and empirical
parameters.
Correlations Comments

(1) NOCT uses TNOCT ¼ 46 C
Gg
Tc ¼ Ta þ 800 ðTNOCT 20Þ

Tc ¼ 30 þ 0:0175 Gg 300 þ 1:14ðTa 25Þ (2) Lasnier, for p-Si

Tm ¼ Tref þ C1 Gg G200 þ C2 Ta Ta;NOCT (3) Akhsassi 1, without wind uses
Tref ¼ 25 C; C1 ¼ 0:0123K=W=m2 C2 ¼ 1:0396; Ta;NOCT ¼ 20 C
Tm ¼ Ta þ Gg eða þ bvÞ (4) Sandia,
with a = −3.56 and b = −0.075 s/m
½1gPVSyst ðsaÞGg PVSyst,
Tc ¼ Ta þ UL0 þ UL1 v (5)
gPVSyst ¼ 0:1; UL0 = 29 W/m²/°C and UL1 = 0 W.s/m3/°C
h i
UL Ta þ ðsaÞgSTC ð1bSTC Tref Þ 1 þ cPmp Ln
Gg
Gg
Akhsassi 2, with wind uses

G0
Tm ¼ (6) cPmp ¼ 0:04 and UL = 24.68 + 6.13v
Gg
UL þ gSTC bSTC 1 þ cPmp Ln Gg
G0
gSTC ¼ {0,15 for both Mono and Poly; 0,0987 for Amorphous}
bSTC = {0,0045 Mono, 0,0041 Poly, 0,0028 Amorphous}
UL Ta þ ½ðsaÞgSTC ð1bSTC Tref ÞGg Mattei, uses UL = 26.6 + 2.3v
Tc ¼ UL þ gSTC bSTC Gg (7)
Others, same as used for Akhsassi2
Tm ¼ Ta þ S
UL0 þ UL1 v (8) Faiman, uses
S ¼ ðsaÞGg , UL0 = 30.02 W/m²/°C and UL1 = 6.28 W.s/m3/°C
Back-surface module and cell temperatures become significantly different for high
solar radiation intensities. The Sandia cell temperature model estimates cell temperature
from module temperature Tm , plane of array irradiance Gg , and a temperature differ-
ence parameter DT0 : They can be related by a simple relationship given in the equation
bellow, This temperature difference was evaluated by King et al. [6] to be about
DT0 ¼ 3 °C at an irradiance level of G0 = 1000 W/m2. The module temperature is
then given by:
Gg
Tm ¼ Tc DT0
G0
In the literature, there are several relevant correlations which describe the behavior
of PV module or cell temperature (see Table 2). They are based on material properties
and PV cell/module construction, heat transfer coefficients and weather data.
As indicated in the table above, except the models of Mattei and Akhsassi with
wind, all the other correlations depend only on meteorological parameters and do not
take into account the technical characteristics of the studied technologies. Technical
specifications will not be used as a basis for calculations in future comparisons.
Consequently, for each model, there will be only one graph, for the three technologies,
to be compared with the measured temperature.
Data were recorded with a 5-min step, on 08 February 2016 (sunrise 07:21:23, sunset
18:11:23). After removal of nighttime records, 138 data sets remain for each tech-
nology that makes 11.5 h which is about the length of the daytime. As shown in Fig. 3:
– Solar radiation intensity increased exponentially within the sunrise and reached
990.147(W/m2) 40 min after solar noon then started to decrease until it went nil by
the sunset;
– The ambient temperature raised with the beginning of the daytime and reached its
maximum value 25.5(°C) 30 min after solar noon then started to decrease slightly
towards a stable value of 20.4(°C) by the sunset;
– The wind speed had a haphazard behavior as it varied randomly between 0 and
5.20 m/s.
Fig. 3. Meteorological parameters changes and the gap of the PV modules temperatures
Tm,technology minus ambient temperature Ta.
Under these climatic conditions, we compare the measured PV module tempera-

ture, namely Tm,technology, with the calculated ones Tmodel, for each of the theoretical
models listed in Table 1.
Figures 4, 5 and 6 present the result of the comparison between the proposed
models with wind and without wind and the measured temperatures of the
monocrystalline, polycrystalline and amorphous technologies respectively:
– The temperature behaviors are almost alike for all the proposed models i.e. at a
specific point they start increasing until they reach a maximum value then start to
decrease toward a constant value, though there are ones that overestimate the
module temperature and others that underestimate it.
For each model, we calculated:
– The linear coefficient of correlation (R2), used for a global evaluation of the model.
– The root mean squared error (RMSE), used to evaluate the fluctuations around the
model itself.
Fig. 4. The measured module temperature for monocrystalline technology Tm,monocrystalline

compared to the ones Tmodel calculated using models with or without wind.
Fig. 5. The measured module temperature for polycrystalline technology Tm,polycrystalline

compared to the ones Tmode calculated using models with or without wind.
Fig. 6. The measured module temperature for amorphous technology Tm,amorphous compared to
the ones calculated Tmodel using models with or without wind.
And we will use them as reliability quantitative indicators of each model. Obvi-
ously, the best models are the ones where the linear regression of Tmodel versus Tm,
technology matches as perfectly as possible with the first bisector, thus which maxi-
mize R2 and minimize RMSE. Table 3 shows the correlation coefficients and standard
deviations between the measured temperature and those calculated by different models.
Comparing models including wind effect with ones not taking it into account, we
can see that the models without wind reported results significantly better than models
with wind, which seems logic since Marrakech is known as a non-windy area, even the
wind speed didn’t exceed 5 m/s during the studied day.
Table 3. Correlation coefficients and standard deviations of measured temperatures Tm,technology

and those calculated by different models with or without wind effect.
Models Technology
Amorphous Polycrystalline Monocrystalline
R (%) RMSE (°C) R (%) RMSE (°C) R2 (%) RMSE (°C)
2 2
NOCT 99.21% 2.06 98.02% 2.73 98.21% 2.64

Lasnier 97.59% 2.86 98.69% 2.14 98.93% 1.51
PVSyst 99.20% 1,91 98.42% 2.47 98.62% 2.30
Akhsassi1 97.26% 3.06 98.56% 2.21 98.81% 2.43
Sandia 99.26% 1.85 98.62% 2.29 98.47% 2.43
Akhsassi2 98.64% 2.64 98.84% 2.13 98.35% 2.51
Mattei 99.22% 2.02 98.14% 2.62 97.89% 2.87
Faiman 98.80% 2.33 98.85% 2.12 98.39% 2.49
(a)
(b)
(c)
Fig. 7. Scatter plots of R2 and RMSE (°C) obtained comparing the relation between calculated
temperature and measured temperature for Monocrystalline (a), Polycrystalline (b) and
Amorphous (c) technologies.
The Fig. 7 prints the scatter plots of R2 and RMSE (°C) obtained comparing the
relation between measured and calculated PV modules temperatures, for Amorphous
(Fig. 7a), Polycrystalline (Fig. 7b) and Monocrystalline (Fig. 7c) technologies.
Among models without wind:
– Lasnier has best translated the temperature behavior while NOCT was the least
accurate one, for both Monocrystalline and Polycrystalline modules.
– PVsyst reported the best reliability indicators for Amorphous module but Akhsassi1
was less precise.
Among models with wind:
– Sandia gave results predominantly well than the others, for both Amorphous and
Monocrystaline technologies.
– Akhsassi2 reported the most accurate results for Polycrystalline module.
– Mattei has overestimated the modules temperatures while Faiman was less precise
for the three technologies.
Based on this analysis, it is clear that it is difficult to provide a single formula of the
best suitable model to calculate the PV module temperature for all the existing
technologies.
5 Conclusion
The temperature of the PV module is fundamental in the photovoltaic conversion chain,

both for the simulation and for the prediction of the energy productivity which
decreases with it. The reliability indices of each model show that the inclusion of the
wind does not improve the accuracy of estimating the PV module temperature for a
non-windy place.
Confrontations to experience have shown that:
– Models without wind describe better the behavior of the PV module.
– Lasnier approach has best simulated the module temperature while NOCT has
overestimated it, for both Monocrystalline and Polycrystalline modules, among
models without wind.
– PVsyst method has best translated the Amorphous module temperature and
Akhsassi1 approach underestimated it, among models without wind.
– Akhsassi2 and Sandia approaches, had better described the Polycrystalline,
Amorphous and Monocrystalline temperatures respectively, among the models
considering wind effect. Although Mattei has far overestimated the module tem-
perature for the three above mentioned technologies.
6 Perspective
Spread the study into many days of the year to have more accuracy on the results.
Include other cities that are known as windy areas in order to observe the wind
effect.
References
1. Mattei M, Notton G, Cristofari C, Muselli M, Poggi P (2006) Calculation of the
polycrystalline PV module temperature using a simple method of energy balance. Renew
Energy 31:553–567. https://doi.org/10.1016/j.renene.2005.03.010
2. Skoplaki E, Boudouvis AG, Palyvos JA (2008) A simple correlation for the operating
temperature of photovoltaic modules of arbitrary mounting. Sol Energy Mater Sol Cells
92:1393–1402. https://doi.org/10.1016/j.solmat.2008.05.016
3. Nolay P, Ecole des Mines F, Sophia-Antipolis (1987) Développement d’une Méthode
Générale d’analyse des Systèmes Photovoltaïques
4. Kalogirou S (2009) Copyright, Elsevier Inc., https://doi.org/10.1016/b978-0-12-374501-9.
00014-5
5. Akhsassi M, El Fathi A, Erraissi N, Aarich N, Bennouna A, Raoufi M, Outzourhit A (2016)
Confrontation à l’ expérience de divers modèles du comportement thermique de modules
solaires photovoltaïques, 4ème Congr. l’Association Marocaine Therm. pp 1–7
6. King DL, Kratochvil JA, Boyson WE (2004) Photovoltaic array performance model, 8, 1–
19. https://doi.org/10.2172/919131
7. Website of Sandia National Laboratory (SNL) to Improve PV Performance Modeling
Collaborative (PVPMC1) (2016)
8. Website of PVSyst (2016)
9. Website of Sandia National Laboratory (SNL) to Improve PV Performance Modeling
Collaborative (PVPMC) (2016)
10. Akhsassi M, El Fathi A, Erraissi N, Aarich N, Bennouna A, Raoufi M, Outzourhit A (2017)
Experimental investigation and modeling of the thermal behavior of a solar PV module. Sol
Energy Mater Sol Cells. https://doi.org/10.1016/j.solmat.2017.06.052
11. Faiman D (2008) Assessing the outdoor operating temperature of photovoltaic modules.
Prog Photovoltaics Res Appl 16:307–315. https://doi.org/10.1002/pip
12. Koehl M, Heck M, Wiesmeier S, Wirth J (2011) Modeling of the nominal operating cell
temperature based on outdoor weathering. Sol Energy Mater Sol Cells 95:1638–1646.
https://doi.org/10.1016/j.solmat.2011.01.020
Influence of CZTS Layer Parameters on Cell
Performance of Kesterite Thin-Film Solar Cells
Assiya Haddout(&), Abderrahim Raidou, Mounir Fahoume,

Nadia Elharfaoui, and Mohamed Lharch
Condensed Matter Physics Laboratory, Department of Physics,

Faculty of Science, Ibn Tofail University, B.P 133, 14000 Kenitra, Morocco
assiyahd@gmail.com, a.raidou@yahoo.fr,
mfahoume@yahoo.fr, nelharfaoui@yahoo.fr,
mlharc@yahoo.fr
Abstract. Parameters influence of the absorber layer on the cells performances

of CZTS solar cells with ZnO:Al/CdS/CZTS/Mo structure was analyzed by
SCAPS-1D. Firstly, the thickness and the acceptor concentration of CZTS
absorber layer were varied to observe their effect on the cell performance.
Further, the simulation results note the highest efficiency is 12.26% which was
expected for the solar cell whit, the thickness 2.5 µm, an acceptor concentration
2 1016 cm−3, and 5.6 eV of back metal work function.
Keywords: CZTS solar cells Absorber layer Cell performance

SCAPS-1D
1 Introduction
For the sustainable development in the arena of energy harvesting focus mainly on
solar energy which is the most reliable and abundant form of renewable energy that
serves as an alternative resource of energy for rapid raising demand of power con-
sumption. This solar energy can be used to directly produce non-polluting and silent
electricity by using solar cells. After several years of research and development, thin-
film solar cells are attracting increasing interest from researchers. The Cu2ZnSnS4
(CZTS) is a material which fulfills all the requirements that are stated earlier with a
kesterite mineral structure. Its elements are not rare and all the elements are available in
the earth crust and there is no toxicity in the elements. CZTS is an absorbent semi-
conductor for the solar cell, with excellent physical properties: a high optical absorption
coefficient, of the order of 104 cm−1, and direct bandgap energy of 1.4–1.6 eV, which is
very close to the optimum bandgap for solar cells [1]. However, a pure CZTS-based
thin film solar cell has a low efficiency of 9% [2] was achieved in 2016, which is lower
when compared with the theoretical efficiency reaching around 32.2% [3]. Numerical
modeling techniques can help the understanding of the solar cell and should give the
additional ideas to various structures and cell parameters to improve the cell perfor-
mance. The program SCPAS have been employed in our present study, details of
structure and simulation of the device are elaborated in the following section.

https://doi.org/10.1007/978-981-13-1405-6_73
Influence of CZTS Layer Parameters on Cell Performance 641
2 Device Structure and Simulation
SCAPS is a one dimensional solar cell simulation program developed at the department
of Electronics and Information Systems (ELIS) of the University of Gent, Belgium [3].
We used SCAPS in our study because its simulation results have good agreement with
experimental results [4, 5] and after we were used to simulating CdTe solar cell and
compared the result with literature [6].
The device and material parameters used in the simulation which were selected
based on literature values, theory, or in some cases reasonable estimation are listed in
Table 1 [7, 8]. Figure 1 shows the structure of CZTS solar cell chosen in this study. In
this structure ZnO:Al is the window layer or TCO, CdS is the buffer layer, CZTS is the
absorber layer and molybdenum (Mo) is primarily used as back metal contact having
electron work function of 5.0 eV. The considered device was illuminated with AM1.5
spectrums (1 kW/m2 and 300 K) from TCO of the device. In this simulation we have
used series resistance of 3.25 X and shunt resistance of 400 X.
Fig. 1. Structure of CZTS solar cell.
Table 1. Materials parameters used in the simulation.

Material properties ZnO:Al CdS CZTS
Relative dielectric permittivity 9 10 10
Bandgap (eV) 3.35 2.4 1.5
Electron affinity (eV) 4.4 4.0 4.25
CB effective density of states (cm−3) 2.2 1018 2.2 1018 2.2 1018
VB effective density of states (cm−3) 1.8 1019 1.8 1019 1.8 1019
Electron mobility (cm2/Vs) 100 100 100
Hole mobility (cm2/Vs) 25 25 25
Donor (Acceptor) density ND (NA) (cm−3) D: 1 1018 D: 1 1017 A:8.5 1015
Defect density Nt (cm−3) 1 1016 5 1016 7 1015
642 A. Haddout et al.

a. Basic Device Simulation
The graphical energy band diagram of CZTS solar cell is shown in Fig. 1(b) for the
non-equilibrium condition. Under illumination, excess free carriers are generated and
the Fermi level splits into the quasi-Fermi levels. The separation between the quasi-
Fermi levels originates the open circuit voltage in the device. A Schottky contact can be
noticed at the Mo/CZTS interface. The Schottky contact arises from the fact that the
work function of Mo (5 eV) is less than that of CZTS (*5.75 eV). we considered
spike-like conduction band offset (CBO) at CdS/CZTS in our band diagram. Moreover,
the electron affinity of CdS (*4 eV) is lower than that of CZTS (*4.25 eV) which
makes the CBO at CdS/CZTS (DEc) positive, ensuring the spike-like CBO at
CdS/CZTS interface. Figure 2(b) shows the simulated J-V characteristics of the CZTS
thin film solar cell obtained with the data of Table 1. The results of our simulation were
in good agreement with reported experimental results [1]. Katagiri et al. were achieved
6.7% of conversion efficiency for ZnO:Al/CdS/CZTS/Mo structure and with 2.2-µm-
thick CZTS, 70-nm-thick CdS and ZnO:Al window layer and an Al interdigital elec-
trode formed by sputtering and vacuum evaporation techniques, respectively. The
current density–voltage (J–V) characteristics of the CZTS-based solar cell were mea-
sured using a solar simulator under air mass (AM) 1.5 and 100 mW/cm2 illumination
and the area of this device was 0.15 cm2 [1].
Fig. 2. (a) The computed and observed J-V characteristics of CZTS solar cells; (b) Band
diagram of CZTS solar cell simulate.
For improvement, the performance of this cells resulted from the improved pro-
prieties of CZTS absorber layer, i.e. study the effect of thickness and acceptor con-
centration separately, with the proprieties of the other layers (ZnO:Al and CdS) are
fixed.
b. Effect of CZTS Thin Film Thickness

The thickness was varied between 0.7–3.0 µm, their effect on the cells performance is
shown in the Fig. 3. It should also be noted that CZTS has a lower bandgap (1.5 eV),
so, low energy photon will be captured in the CZTS layer which will allow a high Jsc
and high Voc. In our simulation, it was found that short circuit current density (JSC),
open circuit voltage (VOC), fill factor (FF) and efficiency increase with increasing the
thickness. That include then more photons are absorbed. As a result, more electron-hole
pairs are generated. But, increasing at higher thickness is not significant. However, in
order to get a higher efficiency as well as cost-effectiveness, an optimum thickness is
desirable for having a tradeoff between cell efficiency and cost for mass production.
Our simulation indicates that a CZTS thickness up to 2.5 µm is sufficient for photons
absorption. This result is in a good agreement with other published works [8].
Fig. 3. Calculated normalized output parameters of the CZTS solar cell as a function of the
thickness.
c. Effect of Acceptor Concentration of CZTS Thin Film

Acceptor defects, characterized with their concentration NA can be considered as
another parameter which limits the solar cell performance. We have varied in our
simulation NA values in the range 7 1015–4.5 1017 cm−3 in order to evaluate its
effect on solar cell performance as the experimentally reported minimum and maximum
values of NA have been found to be 5.3 1015 cm−3 [9] and 3.1 1020 cm−3 [10],
respectively. Figure 4 shows the simulation results of the NA effect on output
parameters. In practice, the value of NA is one of the important parameters for p-n
junction devices and the simulated results must be more relevant with a limited quantity
of acceptor concentration for efficient CZTS solar cell. In Fig. 4, we can see that the Jsc
decreases with the carrier concentration while the Voc increases with it. The variations
in the values of Jsc and Voc caused by NA can be explained by the following simple
PN junction model [8]:

De Dh
I0 ¼ Aqn2 þ ð1Þ
Le NA Lh ND

KT IL
VOC ¼ ln þ1 ð2Þ
q I0
This result is in a good agreement with other published works [7]. We chose
optimum acceptor concentration as 2 1016cm−3, when the output performances are
almost concentrated in this value.
Fig. 4. Calculated normalized output parameters of the CZTS solar cell as a function of acceptor
concentration.
d. Optimized CZTS Thin Film Solar Cell

SCAPS allows us to choose a fixed value like 5 eV (Mo) or to compute named flat
bands (FB) from an equation that depends on the CZTS film electrical properties as
shown below [4]:

Nc
Um ¼ vCZTS þ EgCZTS kB T ln ð3Þ
NACZTS ND
According to the data of CZTS film indicates in the Table 1, we find 5.56 eV of
back metal work function close to the value of Pd metal with 5.6 eV of work function.
Fig. 5. J-V characteristics of optimized CZTS solar cells.
Figure 5 shows J-V characteristics of optimized CZTS solar cell with different back
metal work function and changed the shunt resistance of 600 X. It can be seen, when
Um increased VOC increased with it so efficiency increased. The better performance
showed an efficiency of 12.27% was expected for the solar cell whit the thickness
2.5 µm, an acceptor concentration 2 1016 cm−3, 5.6 eV of back metal work function,
and Rsh = 600 Xcm2 (Table 2).
Table 2. Summary of output performance of CZTS solar cells.

Cell structure VOC(V) JSC(mA) FF (%) η(%) Comments
Mo/CZTS/CdS/ZnO:Al 0.61 17.9 62 6.77 Co-sputtering
Mo/CZTS/CdS/ZnO:Al 0.61 17.58 59.45 6.41 Modeled
Mo/CZTS/CdS/ZnO:Al 0.71 17.28 61.17 7.51 Optimized (1)
Pd/CZTS/CdS/ZnO:Al 0.96 18.68 64.84 11.75 Optimized (2)
Pd/CZTS/CdS/ZnO:Al 0.97 18.73 67.32 12.26 Optimized (3)
4 Conclusion
In this work, we simulated the electrical characteristics (J-V characteristics, short-

circuit current JSC(mA/cm2), open circuit voltage Voc(V), fill factor FF(%) and effi-
ciency η(%)) of CZTS thin film solar cells under illumination AM1.5 using the one-
dimensional simulation software SCAPS-1D. The results of our modeled cell were in a
good agreement with reported experimental results and whit conversion efficiency of
6.41%. For improving the cell performances of this modeled cell, we studied thickness
and acceptor concentration effects of CZTS absorber layer. The optimized values of the
parameters mentioned above are 2.5 µm and 2 1016 cm−3 respectively. More, for
improving the solar cell performance, back metal work function is playing the most
vital role, so we changed Mo with 5 eV by Pd with 5.6 eV back metal work function.
The optimized device showed a conversion efficiency of 12.27%.
References
1. Katagiri H, Jimbo K, Yamada S, Kamimura T, Maw WS, Fukano T, Ito T, Motohiro T
(2008) Enhanced conversion efficiencies of Cu2ZnSnS4-based thin film solar cells by using
preferential etching technique. Appl Phys Express 1:41201
2. Sun K, Yan C, Liu F, Huang J, Zhou F, Stride JA, Green M, Hao X (2016) Over 9%
Efficient Kesterite Cu2ZnSnS4 Solar Cell Fabricated by Using Zn1–xCdxS Buffer Layer.
Adv Energ Mater 6:1600046
3. Shockley W, Queisser HJ (1961) Detail balance limit of efficiency of p-n junction solar cells.
J Appl Phys 32:510–519
4. Simulation programme SCAPS-1D for thin film solar cells developed at ELIS, University of
Gent. http://scaps.elis.ugent.be/. Accessed 1 Jan 2018
5. Burgelman M, Nollet P, Degrave S (2000) Modelling polycrystalline semiconductor solar
cells. Thin Solid Films 361–362:527–532
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performance of the CdTe solar cells. Optoelectron Lett 14:98–103
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cells—A numerical simulation approach and comparison to experiments. Physica B:
Condens Matter 407:4391–4397
8. Tchognia JHN, Arba Y, Dakhsi K, Hartiti B, Ridah A, Ndjaka JM, Thevenin P (2015)
Optimization of the output parameters in kesterite-based solar cells by AMPS-1D. In: 2015
3rd international renewable and sustainable energy conference (IRSEC), p 1–6
9. Wang K, Gunawan O, Todorov T, Shin B, Chey SJ, Bojarczuk NA, Mitzi DB, Guha S
(2010) Thermally evaporated Cu2ZnSnS4 solar cells. Appl Phys Lett 97:143508
10. Chan CP, Lam H, Surya C (2010) Preparation of Cu2ZnSnS4 films by electrodeposition
using ionic liquids. Sol Energ Mater Sol Cells 94:207
Geometric and Optical Efficiency Study
for Solar Parabolic Trough Concentrator
Using the Deflectometry Technique
Massaab El Ydrissi1,2(&), Hicham Ghennioui1, El Ghali Bennouna2,

and Farid Abdi1
1
Laboratoire Signaux, Systèmes et Composants,
Université Sidi Mohamed Ben Abdellah, Fez, Morocco
{massaab.elydrissi,hicham.ghennioui,
farid.abdi}@usmba.ac.ma
2
Research Institute in Solar Energy and New Energies, Benguerir, Morocco
bennouna@iresen.org
Abstract. Concentrating solar power (CSP) technologies are the most

promising alternative to the high demand of electrical energy and to the con-
sumption of fossil fuels. The purpose of this work is the technical study and the
optical qualification of a solar parabolic trough concentrator assembled and
installed in the research platform of Green Energy Park in Morocco (GEP-
IRESEN Benguerir). The qualification of the mirrors is necessary to control the
performance of the collector and the optical efficiency because the design of the
parabolic shape of the mirrors seems very difficult and requires a high precision
equipment. In this paper, deflectometry measurements are used to analyze the
slope errors and determine the optical deformation of the collector. These results
are then used with the ray tracing software (SOLTRACE) to calculate and
analyze the optical efficiency of the collector. The comparison of nominal and
the measured thermal energy is also performed. The final results show signifi-
cant thermal energy losses due to the impact of the optical errors on the thermal
efficiency and collector performance.
Keywords: Deflectometry Optical efficiency Solar concentrator
1 Introduction
Solar energy utilization and applications are the most renewable energy source
promising to cover the big electrical demands of the society and the industrial sector.
The parabolic trough technology represents the most mature among the concentrating
collectors which cover the 90% of total CSP applications [1, 2]. For an ideal parabolic
trough reflector, all incidents rays parallel to the optical axis of the collector are
reflected in the ideal focal line. The realization of solar parabolic collectors seems very
difficult due to the reflectivity precision required as well as to the difficulty in handling
the glass. Therefore, the optical quality test of solar reflectors is important to achieve a
high level of concentration in order to maximize the solar flux focalized on the tube

https://doi.org/10.1007/978-981-13-1405-6_74
648 M. El Ydrissi et al.
absorber and to control the collector performance before the installation and during the
operation to optimize the energy losses and for warranty claims.
To improve the performance of concentrating solar reflectors and reduce the cost of
CSP systems, several reflector materials are available and under development that have
low cost, good durability and high performance. Therefore, the characterization and the
evaluation of reflectors quality are very important to achieve high concentration level.
A various of practical models have been proposed to measure and characterize mirror
specular reflectance [3, 4]. This work presents a geometric and optical study to evaluate
the optical performance of a parabolic trough collector. The slope errors of collector’s
mirrors and the deviations from the ideal design are calculated and evaluated using the
deflectometry technique. Moreover, an optical simulation with the real imperfections of
these mirrors was done using the ray tracing software (SOLTRACE). The last section
suggests the impact of the optical errors on the thermal efficiency.
2 Geometric Design and Optical Parameters of Solar Trough

Parabolic Concentrator
A trough parabolic collector was assembled and installed at GEP (Green Energy Park,
BENGUERIR) which was designed by SOLTIGUA Concentrating solutions. The
geometric parameters and the optical proprieties of PTMx-24 collector are done in
order to achieve a high efficiency for collecting the maximum radiation that is con-
centrated on the receiver tube and for heating the fluid circulate inside it. We note that
the collector tracks the sun by rotating around the horizontal axis in order to con-
centrate the rays on the receiver all day long. The collector can be moved not only to
track the sun but also can be commanded to the stowed position (mirrors facing the
ground) or to a specific position in case of bad weather, high wind or potentially
dangerous situations.
2.1 Geometric Parameters

The characterization of geometric form of the parabolic trough concentrator needs to
carefully specify many parameters. A preliminary study of the parabolic geometry is
important to determine the rated efficiency and the concentration ration desired. These
parameters are as follows,
– Trough length: the length of the collector.
– Aperture width: the distance between one rim and the other.
– Focal length: the distance between the focal point and the vertex of a parabola.
The focal length can determine completely the parabola.
– Rim angle: the angle between the optical axis and the line between the point focal
and the mirror rim, it determines the shape of the cross-section of a parabolic
trough. A small rim angle requires a longer focal length and makes a flat trough.
The larger rim angles can reach a higher concentration.
Geometric and Optical Efficiency 649
Once these parameters are fixed, the concentration ratio can be calculated which
represent the most important parameter of a collector and allow to define the ratio of the
collector aperture to the receiver aperture area. The geometric parameters of the
PTMX-24 concentrator are cited in the Table 1.
Table 1. Geometric parameters of the PTMx-24 collector.

Parameter Quantity Units
length 26.06 m
Aperture width 2.37 m
Focal length 80 cm
Maximum height 2.57 m
Absorber Diameter 42.4 mm
Number of mirrors used 32 –
Mirror dimension 1250*1480 mm
Total aperture area (ASF) 54 m2
2.2 Optical Parameters

The optical errors on the mirror materials and receiver can impact strongly the optical
efficiency and collector performance. The reflectivity represents the main requirement
of mirror proprieties which should be higher (the reflectivity is the fraction of the
incident radiation that reflected by the mirror). We can distinguish two type of
reflection: the first one is the specular reflection which means that an incoming ray with
a single direction hit the mirror and reflected into a single direction. The second type is
the diffuse reflection that represents a broad range of directions reflected when a single
incoming direction hit the mirror. In CSP applications, while all radiation collected
have to be focalized and concentrated on the tube receiver, thus, only the specular
reflection is the most of interest as long as the reflected radiations direction must be
defined. In contrary to mirrors reflectivity, the tube receiver has to be reached high
radiation absorption and low thermal losses as well the conductive and convective
losses. Therefore, a special coating on the construction and thermal insulation are
applied to reach high absorption and low radiative losses. We note that the choice of
the tube absorber diameter is also significant to achieve a high intercept factor that
corresponds to the ratio of the total solar radiation to the reflected radiation on the tube
absorber surface. A small diameter of the tube means that a portion of the radiation
reflected by the mirrors will miss the tube, so the concentration factor will be decreased
with more heat losses on the tube. However, too big diameter with a large surface area
collects the maximum radiation but more thermal losses are introduced. The appro-
priate estimation of the absorber tube diameter is important in order to ensure that
sufficient radiation is collected with the minimum thermal losses.
We specify that the deviation from the ideal design (due to the mirror imperfec-
tions, the manufacturing and installation errors) affects the optical quality of the col-
lector and decreases the intercept factor. The choice of appropriate geometric
parameters and mirror materials has thus a high impact on the collector performance
and the concentration ratio desired. The optical parameters of the PTMx-24 collector
are presented in Table 2.
Table 2. Optical parameters of the PTMx-24 collector

Parameter Quantity
Concentration Ratio 50
Mirror Reflectivity 0.945
Mirror specularity error 0.5 mrad
Global average slope error 02 mrad
3 Quality Test of PTMx-24 Concentrator Using

Deflectometry Technique
The PTMx-24 collector is composed of four modules; each module contains eight
mirrors. It’s important to test and qualify the quality of the mirrors before their
installation and assembly. This test allows to having the experimental slope errors and
deviations from the ideal design. The mirror will be not thus installed if the global slope
errors of a mirror exceed the nominal values. The shape deviation from the ideal design
of the collector leading to energy losses on the receiver and reduce the collector
performance. Therefore, it’s necessary to control and ensure the optical quality of the
collector in the manufacturing process and during his installation.
The optical errors impact strongly on the concentrator quality and the plant per-
formance since the collectors represent the most part of the total investments of a solar
plant. The control of the quality of facets to maximize the solar flux on the receiver
need a test and characterization technique. In this purpose, several techniques have
been proposed in the last decades to qualify and evaluate the mirror errors. These
techniques can be classified into two kinds. The first one is the qualification in the
laboratory which is the subject of this study. The manufacturing errors due to the
specularity and contouring errors which arise shape deviation from the ideal design can
be calculated using the deflectometry technique proposed by the German Aerospace
Center (DLR) [5]. This technique based on fringe reflection theory and was achieved
high accuracy on the CSP technologies. The photogrammetry technique developed by
Shortis and Johnston in [6, 7] allows to characterize any type of collector. The
advantage of this technique is the determination of the receiver position errors but it is
time consuming and difficult to implement in the field related to the deflectometry
technique. On the other hand, the second kind is to qualify the heliostats and collectors
during operation. The Trough Absorber Reflection Measurement System (TARMES)
developed by Ulmer et al. [8] is used only for the parabolic trough solar collectors
which the reflected images of the tube absorber on the mirrors. This technique is used
to characterize the surface and ensure that the facets are precisely aligned. The institute
of solar research of the DLR (German Aerospace Center) developed a tool called Qfly
[9]. It’s an airborne characterization of parabolic trough collectors for a large inspection
and qualification of the entire field. A review of the several techniques for qualification
and characterization the solar collectors is presented by Arancibia-Bulnes et al. in [10].
In this study, we used the deflectometry technique to qualify the mirrors that
compose the PTMx-24 collector before the final installation and the assembly at the
yield. This operation is essential for acceptance test and suppliers the guaranties. The
deflectometry technique is a robust and accurate method which can determine the slope
and the manufacturing errors at each point at the mirror on both the horizontal and the
vertical directions. The principle is to project a series of fringe patterns on a white wall
or a screen using a digital projector, then placed the mirror to be tested in front the
screen as that to reflect the entire patterns. Moreover, the imperfections and deviations
of these patterns on the mirror are due to the manufacturing and specularity errors.
Finally, a digital camera captures the fringe patterns reflected by the mirror which these
images are loaded to the software. The slope error at each pixel (corresponding at each
point on the mirror) can be calculated and represented until covering the whole surface
using the image processing techniques. The vertical patterns are projected to map the
X direction, contrariwise the Y map direction obtained by the horizontal patterns.
The Fig. 1 shows the result of an exemplary measured PTMx-24 mirror in x- and y-
direction. The color bars are in mrad. The blue areas denote an inward rotation of the
surface normal vectors which mean that the incoming rays are reflected below the ideal
focal line. The outward rotation of the normal vectors is presented in red, resulting in a
reflection of incoming rays above the ideal focal line. Finally, the green areas represent
an ideal design which the incoming rays are reflected on the ideal focal line. Moreover,
we found the outward rotation is located on the outer edges of the parabolic trough. On
the other hand, the inward rotation is situated in the center of the parabolic trough.
A global average slope error of PTMx-24 mirrors is calculated, the slope deviation in
the X-direction is 4.59 mrad and 4.26 mrad for the Y-direction.
Fig. 1. Slope deviation values of PTMx-24 mirror exemplary in Y-(left) and X-direction (right).
4 Optical Simulation and Thermal Performance of PTMx-24

Collector
In order to illustrate the impact of the optical efficiency and manufacturing errors on the
thermal power of a solar collector, we have employed the results of the deflectometry
technique measurement of the PTMx-24 mirrors and the ray-tracing algorithms. The
optical modeling of the PTMx-24 concentrator was done by the SOLTRACE software,
based on the Monte-Carlo algorithms and developed by the NREL(National Renewable
Energy Laboratory) [11]. The global average slope error measured by the deflectometry
and the optical proprieties are the inputs of the SOLTRACE software. The Fig. 2a
illustrates the optical modeling of the collector. The most energy captured by the mirrors
falls into the tube receiver. The intercept factor is 0.594, which represents the ratio of the
energy concentrated on the tube absorber and the total energy captured by the mirrors.
The Fig. 2b represents the radiative flux distribution in the receiver, a good distribution
of the heat is observed. The highest radiative flux density was found at the bottom of the
receiver and lowest radiative at the top of the tube which the abscissa is zero.
Fig. 2. PTMx-collector modeling (a) Ray tracing paths and (b) flux distribution in the receiver.
The slope errors of real mirrors are obtained using the deflectometry technique.
These results are used with the optical and geometric proprieties of the PTMX-24
collector on the SOLTRACE software to carry out the intercept factor, then the optical
efficiency of the collector. Therefore, since the optical efficiency of real mirrors that
compose the PTMx-24 collector is done, the thermal energy of the collector can be
calculated. Moreover, a comparison of the thermal energy obtained and the nominal
thermal energy given by the provider is important to exhibit the effect of the optical and
manufacturing errors on the thermal energy.
The optical efficiency and the thermal energy can be obtained by the equations
below [12]:
Qinc ¼ nopt;0 :nshadow :nendloss :DNI:K:ASF :Cl:xfield ; ð1Þ

where Qinc is the thermal energy, nopt is the optical efficiency for perpendicular sun on
the collector, nshadow is the efficiency from mutual shadowing, nendloss is the optical
endloss efficiency, DNI is the direct normal irradiation, K is the incidence angle
modifier, ASF is the net collecting surface or the collector aperture area, cl is mean
cleanliness factor, and xfield is the availability of the solar field. In this work, the
parameters xfield, cl, nendloss and nshadow are equal to 1. The optical efficiency can be
expressed by:
nopt;0 ¼ q:s:a:c; ð2Þ
With q is the reflectivity, is s the transmittance, is a the absorptance and is c the

intercept factor.
The optical efficiency of PTMx-24 collector is obtained by the deflectometry
technique and the ray tracing software, then the thermal energy of the collector is
calculated in the site conditions of Benguerir city (Left of the Fig. 3). The Fig. 4 shows
the daily thermal energy of the collector with nominal optical efficiency given by the
provided (blue curve) and with the measured optical errors. Moreover, the monthly
thermal energy losses are presented on the right of the Fig. 3. 2000 KWh is the average
monthly of thermal energy losses corresponding only to one PTMx-24 collector with a
surface of 54 m2. The annual thermal losses can reach 24000 KWh.
Fig. 3. The monthly variation of the direct normal irradiation for BENGUERIR city (Left) and
the monthly thermal energy losses (Right).
Fig. 4. The daily variation of nominal and measured thermal energy.
5 Conclusion
In this paper, a study of the geometric and optical efficiency of trough parabolic con-
centrator was done. Each of geometric parameters and optical proprieties of PTMx-24
collector have been presented. Moreover, before assembled and install the collector at
the field and in order to check the mirrors quality and guaranteed the concentration level
desired, the mirrors facets have been qualified and characterized using the deflectometry
technique to calculate the manufacturing errors and identifies the slope deviations from
the ideal design. The deflectometry results obtained are then used with the SOLTRACE
software to determine the optical efficiency of the real collector’s mirrors. We presented
then a comparative study between the nominal and the thermal energy measured with
real mirrors imperfections. The thermal losses are significant about 24 MWh of annual
losses considering only one PTMx-24 collector. For a 10 MW power plant, the corre-
sponding yearly economic loss is currently about 800,000 Euros. The optical quality
qualification of collectors in the field is indispensable and makes economic sense.
References
1. Tzivanidis C, Bellos E, Korres D, Antonopoulos K, Mitsopoulos G (2015) Thermal and
optical efficiency investigation of a parabolic trough collector. Case Stud. Therm. Eng.
6:226–237
2. Fernández-García A, Zarza E, Valenzuela L, Pérez M (2010) Parabolic-trough solar
collectors and their applications. Renew Sustain Energy Rev 14:1695–1721
3. Meyen S (2013) Parameters and method to evaluate the solar reflectance properties of
reflector materials for concentrating solar power technology-Official SolarPACES
reflectance guideline version 2.5
4. Gagliano A, Nocera F, Patania F, Contino A (2014) A procedure for the characterization of
the solar-weighted reflectance of mirrored reflectors. Presented at the 5th Interna-
tionalRenewable Energy Congress (IREC)
5. Ulmer S, März T, Prahl C, Reinalter W, Belhomme B (2011) Automated high resolution
measurement of heliostat slope errors. Sol Energy 85:681–687
6. Shortis M, Johnston G (1996) Photogrammetry: an available surface characterization tool for

solar concentrators, Part I: Measurements of surfaces. J. Sol. Energy Eng. 118:146–150
7. Shortis M, Johnston G (1997) Photogrammetry: an available surface characterization tool for
solar concentrators, part II: assessment of surfaces. J. Sol. Energy Eng. 119:286–291
8. Ulmer S, Heinz B, Pottler K, Lüpfert E (2009) Slope error measurements of parabolic
troughs using the reflected image of the absorber tube. J. Sol. Energy Eng. 131:011014
9. Prahl C, Stanicki B, Hilgert C, Ulmer S, Röger M (2013) Airborne shape measurement of
parabolic trough collector fields. Sol Energy 91:68–78
10. Arancibia-Bulnes CA, Peña-Cruz MI, Mutuberría A, Díaz-Uribe R, Sánchez-González M
(2017) A survey of methods for the evaluation of reflective solar concentrator optics. Renew
Sustain Energy Rev 69:673–684
11. Wendelin, T.: SolTRACE: a new optical modeling tool for concentrating solar optics.
Presented at the Proceedings of the ISEC (2003)
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parabolic trough collector power plants. Sol Energy 86:1–12
The Characterization and Modeling Kinetics
for Drying of Taraxacum Officinale Leaves
in a Thin Layer with a Convective Solar Dryer
Haytem Moussaoui(&), Ali Idlimam, and Abdelkader Lamharrar
Team of Solar Energy and Medicinal Plants EESPAM, Teacher’s Training

College, Cadi Ayyad University, BO 2400, Marrakesh, Morocco
haytem.moussaoui@gmail.com
Abstract. Food contamination is due to the presence of certain harmful

chemicals and microorganisms in food; this issue can cause much illness such as
food poisoning. The water that the food contains is one of the major causes of this
problem, the solution must include a shelf life-prolonging food process that can
only be obtained by both reducing water and microbiological contamination, thus
the need for the solar dryer. This paper tackles the impact of certain drying
parameters on the water loss of Taraxacum Officinale’s leaves. The drying
kinetics in different temperatures of this plant was also studied in a convection
solar dryer; the result was represented in several mathematical models to deter-
minate the most suitable model that describe the best drying characteristic curve.
Keywords: Taraxacum Officinale Drying kinetics Characteristic curve

Model
1 Introduction
Taraxacum Officinale is a kind of flowering plant that belongs to a vast family of

Asteraceae. This family is represented by more than 2500 species. They are utilized for
various medicinal purposes including dyspepsia, bile stimulation, bruises, eczema,
rheumatism and muscle aches [1]. Moreover, the dandelion powder is used as a special
ingredient in soup, green salads, teas and wine.
The conservation of agriculture presents one of the main pillars of scientific
research. It has several benefits in terms of costs at regional, national and global scales.
In this respect, several techniques and methods are elaborated in order to conserve the
food in optimal conditions at the lowest cost [2].
Since way back, several civilization has used solar drying as a solution and a way to
protect food from contamination; it is a free and effective moisture reducing technique.
While this technique may represent many disadvantages it still unable to protect the
product from dust, rain, insect, rodents, and other sources of contamination, thus
degrading the food quality which may lead to reverse economical effect on the
domestic or even the international market. Thereby, a solar alternative is needed [3].
The convective solar dryer is a non-contaminating source and economically ben-
eficial solution that can ensures a better quality product with a low energy demand.

https://doi.org/10.1007/978-981-13-1405-6_75
The Characterization and Modeling Kinetics for Drying 657
A convective solar dryer is used in this experiment in order to study the drying
kinetics of the leaves of dandelion (Taraxacum Officinale) as well as it’s drying
characteristics; hence, the moisture variation and drying rate for several aerothermal
parameters can be considerate the mean pillars in analyzing that impact the product
during the drying process [4].
The understanding of the drying characteristics of agricultural materials is made
clearer by thin layer drying modeling.
These types of models are part of three categories which are theoretical, semi-
theoretical as well as empirical. As for the theoretical, it concerns the diffusion equation
or simultaneous heat and mass transfer equation. On the other hand, the semi-
theoretical approach deals with approximated theoretical equations. Finally, empirical
equations are easily applied to drying simulation since they depend on experimental
data. While the theoretical approaches account for only the internal resistance to
moisture transfer, semi-theoretical and empirical approaches consider only the external
resistance to moisture transfer between the product and air. This work’s purpose is to
study the drying kinetics of the Taraxacum Officinale’s leaves, analyze the impact of
the temperature and the air flow rate on the drying kinetics of the dandelion’s leaves
and determining its characteristic. Finally, fitting the drying curves by using several
models and select the most suitable [5, 6].
2.1 Experimental Set-up and Procedure

The experimental system is an indirect forced convection solar dryer shown in Fig. 1
composed of several parts that ensure the proper running of the system; the mean
components are:
• A simple glazing and circulation solar captor with a surface of 2.5 m2. The trans-
parent glass covered captor contains a thermal insulator and an opaque absorber.
• A ventilation duct with a double T installed primarily for the recycling of the air
coming out of the drying cabinet.
• A 0.9 depth, and 0.5 width, and 1.4 m height drying cabinet (with 10 floors).
• A centrifuge ventilator (0.083 m3/s, 80 mm CE, 220 V, and 0.1 kW).
• Thermo-regulator (0–100 °C with a 1 °C precision.
• An auxiliary source (4 kW Electrical resistances).
The solar heated air flow upward the samples; it enters below the trays in the drying
cabinet below. To keep a constant air drying temperature; the use of an auxiliary heater
is necessary unavoidable. The calculation of the mass loss of the product on the tray
during the experiment is done via a (±0.001 g); the weight was measured by removing
the product from the drying cabinet each 10 min till the weight became stable. The
moisture content is then calculate by taking the difference between the mass before
658 H. Moussaoui et al.
Fig. 1. Schematic representation of the solar dryer: (1) solar collector; (2) circulation fan;
(3) fan; (4) air flow direction, (5) control box; (6) auxiliary heating system; (7) shelves; (8) drying
cabinet; (9) recycling air; (10) control foot; (11) exit of air; (12) humidity probes;
(13) thermocouples.
(Mh) and after drying (Md) in a 105 °C oven for a period of 24. Finally the expression
of the Moisture content X(t) is represented by the equation below [7]:
Mh (t) Md
X(t) = ð1Þ
Md
2.2 Mathematical Modeling of Solar Drying Curves

The drying process can be described and explain by several either empirical or semi-
empirical models.
The drying time is an important factor for both the kinetics of drying and prediction
of moisture ratio. In order to portray the shape of the drying curve and establish an
appropriate empirical equation; the thin layer drying for medical plants was used.
Those following parameters: The highest correlation coefficient (r), and standard error
of estimate (SEE) will help select the sustainable model to describe the drying.
These equations are displayed on the flowing expressions:
Newton [7]
MR ¼ expðktÞ ð2Þ
Page [8]
MR ¼ expðktn ) ð3Þ
Henderson and Pabis [7]
MR ¼ a exp(kt) ð4Þ
Logarithmic [7]
MR ¼ a exp(kt) þ c ð5Þ
Two-term exponential [8]
MR ¼ a exp(kt) þ ð1 a) exp(kat) ð6Þ
Wang and Singh [8]
MR = a + at + bt2 ð7Þ
Approximation of diffusion [8]
MR ¼ a exp(kt) þ ð1a) exp(kbt) ð8Þ
Modified Henderson and Pabis [7]
MR ¼ a exp(kt) þ b exp(gt) þ c exp(ht) ð9Þ
Verma et al. [8]
MR ¼ a exp(kt) þ ð1 a) exp(gt) ð10Þ
Midilli–Kucuk [8]
MR ¼ a exp(ktn ) þ bt ð11Þ
3.1 Drying Curves

According to Fig. 2, the increase in drying temperature causes the air flow rate as well
as the drying rate of Taraxacum Officinale’s leaves to increases. Therefore, it can be
easily deduced that the drying kinetics of the Taraxacum Officinale’s leaves is strongly
influenced by the drying air temperature. This outcome was also illustrated in other
papers and studies.
The Fig. 3 displays the eight experimental drying tests. It presents the variation of
moisture content as a function of time for different drying air conditions for these eight
tests.
660 H. Moussaoui et al.
Fig. 2. Variation of drying rate as a function of moisture ratio for different drying air conditions.
Fig. 3. Variation of moisture content as a function of time for different drying air conditions.
The results only show a falling rate period (phase 2), while the no phase 0 (initial
period) also referred to as constant rate period and phase 1 (constant rate period) were
not displayed.
The mechanism defined by the effective diffusion is a result of water in it both states
liquid and vapor.
3.2 Fitting of the Drying Curves

Table 1 summarize the coefficient values of the model used in this study. Also, it
provides a representation of the predict the water contain ration data of the T.Offici-
nale’s Leaves at 50 °C, 60 °C, 70 °C and 80 °C temperature with two air flow 150 and
300 m3 ∙ h−1. Additionally, after analyzing the statistical errors. The Midilli-Kucuk
model is selected as a suitable model that will represent the drying kinetics of the
Taraxacum Officinale’s leaves.
Table 1. Modeling of moisture ratio according to drying time for Taraxacum Officinale’s leaves.
Models Parameters 80 °C 80 °C 70 °C 70 °C 60 °C 60 °C 50 °C 50 °C
150 m3 . h−1 300 m3 . h−1 150 m3 . h−1 300 m3 . h−1 150 m3 . h−1 300 m3 . h−1 150 m3 . h−1 300 m3 . h−1
Newton k 0.0363 0.0731 0.0286 0.0536 0.0179 0.0314 0.0108 0.0204
Page k 0.0228 0.0779 0.0226 0.0586 0.0075 0.0151 0.0067 0.0149
n 1.1353 0.9767 1.0635 0.9724 1.2133 1.2002 1.102 1.0782
Henderson and Pabis a 1.0186 0.9908 1.0109 0.9948 1.0446 1.0386 1.0263 1.0242
k 0.0371 0.0724 0.0289 0.0534 0.0188 0.0325 0.0111 0.0209
Logarithmic a 1.0997 1.0006 1.0332 0.9973 1.1668 1.0598 1.0703 1.0290
k 0.0293 0.0698 0.0267 0.0528 0.014 0.03 0.0094 0.0204
c −0.1026 −0.0136 −0.0309 −0.0036 −0.1507 −0.0309 −0.0661 −0.0081
Two-term a 1.0011 0.9376 0.9995 0.8244 0.9958 1.7525 1.0126 0.9715
exponential k 0.0371 0.0726 0.0289 0.0553 0.0188 0.0427 0.0111 0.0209
b 0.9825 0.9468 0.9886 0.8291 0.9512 1.7528 0.9862 0.9473
Wang and Singh a −0.0262 −0.0473 −0.0199 −0.0308 −0.0135 −0.0203 −0.0078 −0.013
b 0.0002 0.0005 9.7351 10−5 0.0002 4.6519 10−5 9.8256 10−5 1.5561 10−5 4.0176 10−5
Diffusion a 3.8363 0.9930 2.5109 1.0880 5.3021 4.241 −13.056 2.7257
approximation k 0.0213 0.0741 0.0214 0.0537 0.0092 0.0213 0.0162 0.0164
b 0.8281 1.0181 0.8311 1.0065 0.845 0.8905 0.9683 0.8853
Modified Henderson a 0.8105 0.3303 0.738 0.2601 1.5871 0.3248 1.3783 0.114
and Pabis k 0.0369 0.0724 0.0289 0.0681 0.0269 0.0323 0.0081 0.0209
b 0.0354 0.3303 0.1451 0.3880 0.7827 03667 −0.3789 0.4506
k0 0.0373 0.0724 0.0293 0.0494 0.0258 0.0326 0.0037 0.0208
c 0.1725 0.3303 0.1277 0.3482 −1.3749 0.3468 5.6103 10−6 0.4596
k1 0.0375 0.0724 0.0284 0.0495 0.038 0.0327 −0.0241 0.0210
(continued)
The Characterization and Modeling Kinetics for Drying
661
662
Models Parameters 80 °C 80 °C 70 °C 70 °C 60 °C 60 °C 50 °C 50 °C
150 m3 . h−1 300 m3 . h−1 150 m3 . h−1 300 m3 . h−1 150 m3 . h−1 300 m3 . h−1 150 m3 . h−1 300 m3 . h−1
Verma et al. a −7.5985 1.0010 −333873.1 121022.52 −362010.4 714380.02 350040.27 −5368.19
k 0.0582 0.0424 0.05 0.05 0.05 0.005 0.05 0.005
k0 0.0547 0.0424 0.05 0.05 0.04 0.005 0.05 0.005
Midilli-Kucuk a 0.9918 0.9968 0.9998 0.9991 1 1 1.0003 1.0044
k 0.0274 0.0858 0.0252 0.0632 0.0099 0.0148 0.0088 0.0149
H. Moussaoui et al.
n 1.0493 0.9275 1.0252 0.9425 1.1238 1.2069 1.0287 1.0804

d −0.0007 −0.0005 −0.0001 −0.0001 −0.0004 2.2955 10−5 −0.0002 2.1359 10−5
4 Conclusion
The drying kinetics of Taraxacum Officinale’s was experimentally studies in this paper
in a thin layer convective solar dryer in a Moroccan climate condition (region of
Marrakech). The obtained experimental drying curves obtained, shows that the only
existing rate is that of the drying rate period exists. In addition to that the drying air
temperature was noted as the principal factor that influences the drying kinetics. The
results let us determine both the drying curve and the drying rate equation. Moreover,
the model that most adequate to the results is determined to be the Midilli-Kucuk
model for the describing of the drying kinetics of the Taraxacum Officinale’s leaves.
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kinetics solar drying of Moroccan Rosemary leaves. Renew Energy 108:303–310
8. Ait Mohamed L, Kouhila M, Jamali A, Lahsasni S, Kechaou N, Mahrouz M (2005) Single
layer solar drying behaviour of Citrus aurantium leaves under forced convection. Energy
Convers Manag 46:1473–1483
Experimental Study of Fouling in Hybrid
Cooling Tower Used in CSP Plants:
A Prototype Scale Preliminary Test Feedback
Afaf Zaza1,2(&), Nour Eddine Laadel2, Hassan Agalit2,

El Ghali Bennouna2, and Youness El Hammami1
1
Laboratory of Mechanics, Process, Energy and Environment,
National School of Applied Sciences,
ENSA, Ibno Zohr university, Agadir, Morocco
y.elhammami@gmail.com
2
Thermal Systems Department,
Institut de Recherche en Energie Solaire et Energies Nouvelles-IRESEN,
16, rue Amir Sidi Mohamed Souissi, Rabat, Morocco
{zaza,laadel,agalit,bennouna}@iresen.org
Abstract. Concentrated solar power (CSP) is a promising technology to secure

the globe energetic future. However, the high cooling water consumption of CSP
plants presents a big challenge against its viability in the energy market, espe-
cially in arid regions. To resolve this issue, hybrid dry-wet cooling systems are
investigated to enhance the low efficiency of dry cooling systems from one side,
and to reduce water consumption of wet cooling systems from the other side.
Nowadays, the negative impacts of fouling problem in these hybrid systems on its
performances aren’t well documented in the available scientific data. Thus in this
scope, the main aim of this paper is to fulfill this lack of knowledge in literature
by experimental study of the effect of water quality on fouling rate in hybrid
cooling tower designed for the CSP plants. For this purpose, a prototype scale
unit of this system was installed in the Green Energy Park research platform,
which is located in Benguerir, Morocco; and a preliminary test cycle was carried
out for several days to verify the reliability of this novel test rig for the programed
future tests in MinWater CSP project. Thus, by analyzing the collected mea-
surements about the different performance indicators (e.g. fouling resistance, the
exchanged heat, etc.), it is concluded that the fouling resistance measurements for
the galvanized tube (R = 100%) are more significant compared to those recorded
for the polymer one (R = 6.83%). Moreover, the obtained results are generally in
coherence with the expected physical behaviors reported in literature.
Keywords: Fouling Water quality Hybrid-cooling tower Preliminary test
1 Introduction
Nowadays, solar energy gets the scientific and governmental communities interest as a
promising alternative to fossil resources of energy. In 2050, this new source will
provide 8–15% of the worldwide electricity demand [1]. This is thanks to its clean and

https://doi.org/10.1007/978-981-13-1405-6_76
Experimental Study of Fouling in Hybrid Cooling Tower Used in CSP Plants 665
disposable production of electricity using concentrated solar power (CSP) technology

coupled with thermal energy technology. In that way, it provides the needed heat
supply to the steam turbine with zero greenhouse gas emission as it was the case for
conventional thermo-electric baseload power plants. However, the high cooling water
consumption of CSP plants presents a big challenge against its viability in the energy
market, especially in arid regions: in fact, the condensate steam turbine exhaust should
be cooled in order to recirculate in a closed circuit of the CSP Rankine steam cycle. To
overcome this technical challenge, a dry cooling system was recommended when CSP
plants installed in regions with high DNI and poor cooling water resources. Howbeit,
these air-cooling systems have low efficiency compared to wet cooling system, and
their fans consume a considerable amount of electricity, which may impacts negatively
the CSP plant LCOE as it may be illustrated by the following findings: (1) the increased
ambient temperature causes a great decrease in heat rejection efficiency [2], (2) a 20%
net power reduction had been reached during hot days in summer using dry cooling [3],
and besides (3) some CSP plants with low-temperature resources (e.g. low-
concentration CSP plants and geothermal plants) may experience a 50% net power
reduction at high ambient temperatures [4]. Thus, wet-cooling towers are expected to
remain the economical choice. However, when water availability decreases its cost and
environmental problems related to its exploitation increase dramatically. Thus, the vital
challenge to maintain an adequate supply of appropriate makeup water at a rational cost
[5, 6]. Recently, as a compromise between the cooling system efficiency and poor water
resources preservation, hybrid dry-wet cooling systems are investigated [7]. Actually,
their main purposes are the enhancement of the low efficiency of dry cooling systems
from one side, and to reduce water consumption of wet cooling systems from the other
side. From 30 to 98% reduction in water had been realised using hybrid cooling system
compared to wet cooling systems [8]. In this novel hybrid cooling system, fouling
phenomena are challenging because of the alternating wet-dry modes, which generate
new chemical and physical deposition mechanisms different from those related to
fouling in wet only cooling systems. Thus, the fouling problem should be investigated
and understood in this novel environment in order to collect a strong knowledge to deal
with it. Nowadays, the negative impacts of fouling problem in these hybrid systems on
its performances aren’t well documented in the available scientific data. Thus the main
aim of this paper is to fulfill this lack of knowledge in literature by experimental study
of the effect of water quality on fouling rate in hybrid cooling tower designed for the
CSP plants. For this purpose, a prototype scale unit of this system was installed in the
Green Energy Park research platform, which is located in Benguerir, Morocco; and a
preliminary test cycle was carried out for several days to verify the reliability of this
novel test rig for the programed future tests in MinWater CSP project. The organisation
of the present work is as follows: firstly, a description of the experimental test rig and
the operating conditions is given. Secondly, a statistical method was used to select
reliable and representative experimental data describing the fouling resistance evolu-
tion during the preliminary test. Finally, the obtained representative experimental
fouling data are commented and discussed for two tubes material types (i.e. enhanced
polymer and galvanized heat surfaces tubes).
666 A. Zaza et al.
2 Method and Materials

2.1 Experimental Test Rig Description
To quantify fouling effect an experimental test rig was installed and monitored at the
Green Energy Park research platform, which is located in Benguerir, Morocco. An
illustrative sketch of this test rig is presented in Fig. 1, and it is composed of a two
water tanks (filtered and demineralized waters), a hybrid wet-dry cooling tower, and a
hot water tank. The whole system functioning can be briefly explained as follows: a
specific deluge water composition mixed in the tower sump and pumped into sprayers
to distribute water on the tubes bundles. The heated tubes are made of two different
materials (galvanized steel and enhanced polymer). Simultaneously to the deluge water
circulation, air is drawn across the tubes using an axial fan to provide additional
evaporative cooling. The hot water tank supply the need water quantity to be cooled in
the cooling tower.
Fig. 1. Illustrative scheme of the fouling test facility
2.2 Test Preparation and Monitoring

Before a testing cycle begins, the specific water composition of deluge water is firstly
prepared in the sump of the cooling tower. During testing, the deluge water in the sump
is circulated over the deluge bundles in a periodic way in each of the testing cycles
(consecutive dry only and hybrid modes). Each mode period is specified by picking the
relevant test program from the control system interface.
2.3 Data Acquisition and Control System

A well-defined and distributed instrumentation is used to monitor the main parameters
necessary to monitor the fouling resistance evolution (e.g. temperature, pressure, water
flow-rate, and water quality). To calculate the cooling efficiency, thermocouples are
installed at the inlet and the outlet of the hot water tubes and at the inlet and the outlet
of the deluge water loop. A constant pressure drop inside the different system flows
(hot and cold streams) is controlled and maintained using suitable pressure sensors.
Moreover, the hot water flow rate inside the tower is controlled and maintained,
between 5.10−3–9.10−3 kg/s, using a valve installed at the inlet section of the manifold
that distribute the flow at the eight tubes. While for the cold water system, the flow rate
achieve a value of 30 l/s during the hybrid period. Finally, as far as it concerns the
deluge water quality, its composition is monitored during the running of each fouling
test; also routine tests of its turbidity, pH level, and thermal conductivity are performed
every 12 h on site.
2.4 Calculated Parameters

To analyze the effect of fouling on the tubes, the following formula is used to estimate
the fouling resistance (K/W):
Rt ¼ 1=UAt ð1Þ
Where A is the total heat transfer area, (m2) and U is the overall heat transfer
coefficient (W/(m2 K)) of the test tube involving the convective heat transfer on the
internal and external surfaces, and the conductive heat transfer of the fouling and tube
wall. It is calculated using the following equation:
UAt ¼ Qt =ðF DTln Þ ð2Þ
Where F is the variation coefficient of the temperature difference, while the

exchanged heat between the hot and cold waters (is obtained as follows:
Qt ¼ mtw cptw ðTtwi Ttwo Þ ð3Þ
Where mtw is the mass flow of hot water inside the tube (kg/s), Cptw the specific
heat of water at constant pressure, J/(kg K), Ttwi and Tw0 is approximately the hot water
inlet and outlet temperature (°C). The fouling resistance in the results section are
calculated using the following formula:
%R ¼ jðR Rmin Þ=ðRmax Rmin Þj 100 ð4Þ
2.5 Operating Conditions

The operating conditions of the preliminary test and which are related to the used water
composition and the test program main specifications are described in Table 1 and
Table 2 respectively:
Table 1. Water composition in the preliminary test

Substance Unit Amount
H2O (distilled) l 150
NaCl mg/l 1000
CaCO3 mg/l 390
668 A. Zaza et al.
As indicated in Table 1, the water composition used in the preliminary test contains
high concentrations of sodium chloride NaCl and calcium carbonate CaCO3 in order to
induce a sever fouling conditions. Due to the non-equal distribution of the flow inside
the heated tubes, the present investigation considers only the preliminary test results
describing fouling evolution in the higher tube of each type of materials.
Table 2. Program specifications

Specification Unit Value
Deluge water sub-cycle time min Wet 5-Rince 0-Dry 10
Heated tube temperatures °C 70 ± 0.1
The preliminary test run was performed continuously for 24 days following the cyclic
conditions presented in Fig. 2. The test results include heat transfer variation at the dry
and wet cycle, histograms of the first polymer tube in the first day as an illustration (see
Fig. 3), and the fouling resistance evolution on both tubes surfaces (see Fig. 4).
Fig. 2. Heat transfer behaviour during the dry and wet cycle Q (W).
Figure 2 shows the heat transferred between the hot and the cold water for the first
polymer tube of the first tower. As the operating condition during the preliminary test
were maintained constant only around 1 h of the indicative collected data is reported in
the previous figure. During the wet cycle, the heat rises rapidly in 5 min to achieve the
50 W, while during the dry cycle (10 min) a 10 W exchanged heat at is recorded.
To plot the fouling resistance evolution during the 24 days, 10 representative values
a day was selected from hundreds data as follows: each day was divided into ten
Fig. 3. Fouling resistance frequency histograms of the first polymer tube during the first day
Fig. 4. Fouling resistance evolving during the preliminary test for the polymer and galvanized
tubes.
periods and a frequency histogram was plotted for each period, as illustrated in Fig. 3
for polymer tube during the first day, to select the most representative fouling resistance
monitored value. This statistical selection methodology was replicated for the whole
obtained data during 24 days of the preliminary test and for both tubes (Polymer (RP1)
and galvanized (RG1)). Finally, representative evolution curves of fouling resistance in
both tubes was obtained (see Fig. 4). It can be seen clearly from this figure that during
the first eleven days fouling on both tubes is on its first initial stage, with a slightly
670 A. Zaza et al.
recorded high fouling resistance value on the polymer tube in comparison to the
galvanized tube. The period between days 12 and 20, can be allocated to the fouling
transition stage for the galvanized tube where there is competition between deposition
and removal [9]. While for the polymer tube, this transition stage is relatively absent or
not considerable during the same period, as the recorded fouling resistance values
remains similar to the first preliminary test period. During the last period of the pre-
liminary test (the remaining last 4 days), the fouling resistance on the galvanized steel
tube increase rapidly to attain the highest recorded value (Rmax = 100%). While, it
remained constant for the polymer tube and attained a value around 6.83%.
Figure 5 presents the state of the polymer and galvanized tubes at the start and end
of the preliminary test. As it was already illustrated in Fig. 4, the galvanized steel tube
a severe fouling (Rmax = 100%) compared to polymer tube (around 6.83%). this result
can be explained by higher surface roughness of the former compared to that of
polymer tube [10, 11].
(a) (b)
Fig. 5. Polymer and galvanized tubes after and before test running: (a) polymer tubes, and
(b) galvanized tubes.
4 Conclusion
A fouling test is very meticulous research, which needs a careful design of the mea-
surement system to satisfy the requirements of accuracy and stability. The test rig can
potentially increase knowledge of what drives fouling development on heat transfer
tubes, particularly if the test rig is used to investigate the fouling deposit factors at
different conditions. The preliminary test is uniquely qualified to accurately measure
fouling resistance in an actual cooling water system and to give a feedback of the test
rig first performance, which is a key first step in understanding waterside fouling on the
heat transfer surface of different tubes materials. As results of the preliminary test, the
fouling factor at the galvanized tubes surface (R = 100%) is more significant than the
polymer (R = 6.83%) ones, which was attributed to the high surface roughness of the
former. At last but not least, the obtained fouling resistance evolution results are in
coherence with the expected physical behaviors reported in literature. The three main
first fouling stages were identified clearly for the galvanized tube. While they were
unforeseen for polymer tube thanks to its smooth external surface. These observations
suggest that the novel test rig installed in the Green Energy Park research platform
(located in Benguerir, Morocco) is reliable to perform the programed future tests in

Minwater CSP project. Nonetheless, statistical methods as the one used in the present
work are mandatory to eliminate non representative data, which are usually generated
due to eventual failure of some parts of the control and monitoring instrumentation.
Acknowledgement. The research leading to these results has received funding support from the
European Union H2020 Programme under grant agreement no. 654443 (MinWater CSP project).
References
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side fouling on enhanced tubes. Int J Heat Mass Transf 85:336–342
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8. Webb RL, Li W (2000) Fouling in enhanced tubes using cooling tower water: part I: long-
term fouling data. Int J Heat Mass Transf 43:3567–3578
9. Bott TR (1995) Fouling of Heat Exchangers. Elsevier, Amsterdam
10. Awad MM (2011) Fouling of heat transfer surfaces. In: Heat transfer - theoretical analysis,
experimental investigations and industrial systems
11. Ravizza M, Giosio D, Henderson A, Hovenden M, Hudson M, Salleh S, Sargison J,
Shaw JL, Walker J, Hallegraeff G (2016) Light as a key driver of freshwater biofouling
surface roughness in an experimental hydrocanal pipe rig. Biofouling 32:685–697
Data Visualization and Statistical Analysis
of a Solar Parabolic Trough Collector
Possesses of Filled-Type Evacuated Tube
with U Shaped, Under South-Eastern
of Morocco
Mohammed Halimi1(&), Imane Outana2, Aumeur El Amrani3,

Jaouad Diouri2, and Choukri Messaoudi1
1
Optoelectronics and Energetic Techniques Applied (OETA) Team,
FST, University My Ismail, B.P. 509 Boutalamine, Errachidia, Morocco
lhlimii.m@gmail.com
2
Laboratory of Information Systems and Telecommunications,
Optics and Photonics Team, FS, University of Abdelmalek Essaadi,
Tétouan, Morocco
3
EPSMS, Department of Physics, FST, University My Ismail,
B.P. 509 Boutalamine, Errachidia, Morocco
Abstract. This paper presents a detailed experimental investigation on a Para-

bolic Trough Collector (PTC) prototype possesses of a solar filled-type evacuated
tube with U shaped. The experimental thermal performances study of this PTC
prototype was conducted and evaluated under the climate conditions effect of
Errachidia region. The direct solar irradiance, the ambient temperature, the wind
speed and the thermal performance evolution at different part of the system are
analyzed, where the thermal efficiency of the system was investigated. Based on
the experimental results by using data mining analysis, a statistical analysis is
carried out for three different periods of a day, under clear sky conditions. The
statistical analysis results show clearly the factors influencing the system per-
formances with accordance to each parameter of the climatic conditions.
Keywords: Parabolic Trough Collector U shaped Thermal performance

Experimental results Statistical analysis Thermal efficiency
1 Introduction
Actually, many studies have been reported on the analysis, the design and the esti-
mation of the regions potential to implant different solar technologies for various
applications. PTCs are one of the most mature solar technologies that are able to
generate heat for electricity generation or process heat applications [1]. Therefore, it is
necessary to investigate the dynamic characteristics of the concentrating solar systems,
by considering the effect of the climatic conditions, and impact of the optical as well as
geometric characteristics. In this context, a proposed methodology that allows to cal-
culate the specular reflectance by the analysis of the optical behavior of commercially

https://doi.org/10.1007/978-981-13-1405-6_77
Data Visualization and Statistical Analysis of a Solar PTC 673
available solar mirrors, has been presented by Gagliano et al. [2]; it is reported that the
cost issues and the stability of the hemispherical and specular reflectance following
decades of outdoor exposure must also be considered for the reflector. Moreover,
Heimsath et al. [3] proposed a measurement method and set-up (VLABS: very-low-
angle beam spread) to determine the specular reflectance for variable angular accep-
tance. Thus, they showed exemplary results for a clean solar glass mirror, in which no
relevant scattering was found after applying the deconvolution approach. On the other
hand, Chafie et al. [4] reported an energetic and exergetic performance on a PTC
receiver under Tunisia climatic conditions; the study result has shown that the thermal
performance is strongly affected with climatic conditions. Thus, it was reported that the
average energy and exergy efficiency are found to be higher under clear sky days than
the cloudy days. A daily performance of parabolic trough solar collectors has been
presented by Bellos et al. [5]. It was noticed that May, June and July remain ideal
months for achieving high performances. Today’s data visualization has homes in
several disciplines, including natural sciences, engineering, geography, computer sci-
ence, and statistics [6]. The experimental investigation of the overall receiver effi-
ciency, defined as the quotient of input and output power of the receiver system,
requires a determination of various quantities [7]. The present experimental work
consists of the different parameters and factors that can affect the thermal performances
of our solar system. Thus, this investigation analysis of the solar PTC was carried out to
analyze the evolution of thermal performance with daily climatic conditions under
South-East of Morocco climate.
2 Prototype Description and Experimental Setup
The experimental analysis of the PTC parameters is realized under the actual climatic
conditions (April 9th, 2017), in order to study the effect of climatic conditions on the
system’s thermal performances. Therefore, the devices and the experimental method-
ology used in our work consist to install and test the prototype under outdoor field
conditions. The PTC system was manufactured and installed, as illustrated in Fig. 1a.
The solar collector was oriented to the south and follows the sun from east to west
through a single-axis tracking system. The data acquisition of climatic parameters was
recorded by a meteorological station installed at the workshop of renewable energies in
Errachidia’s Faculty of Science and Technology (Fig. 1b). The monitored data includes
the global incident insolation, ambient temperature and wind speed.
The PTC prototype is consisting of a 2 m2 reflector area, 12.5 geometric concen-
tration coefficient, 1.8 m2 of aperture with 0.9 of receiver absorption coefficient, 0.8
reflectance of the reflector and a variable focal length. The system characteristics of the
evacuated tube and U-tube are shown in Table 1.
Eight thermometers were used to measure the temperature evolution at different
part of the filled-type evacuated tube (glass envelope, the inlet working fluid, the outlet
working fluid, the U copper pipe and that of the copper absorber tube) as shown in
Fig. 2a. An integral flow meter was used to measure mass flow rate. The incident solar
flux on the collector surface is measured by the fixed solarimeter on the aperture. The
instruments accuracy is listed in Table 2.
674 M. Halimi et al.
a)
b)
Fig. 1. Photograph of the (a) Experimental apparatus (b) Meteorological station
Table 1. Technical specification of solar PTC.

Parameters of evacuated tube
Glass envelop external diameter 0.066 m
Glass envelop internal diameter 0.064 m
Length of a tubular 3m
Absorber pipe internal diameter 0.042 m
Absorber pipe external diameter 0.044 m
Absorber pipe emittance 0.08 m
Glass envelop emittance 0.014
Absorber length 1.8 m
a) b)
Fig. 2. Thermal network of the PTC. (a) Illustration of the temperatures sensors position of the
filled-type evacuated tube and (b) System cross section.
Table 2. Uncertainties of various measurement devices

Temperature Volume flow rate Solar irradiance
Instrument uncertainties ± (1% + 30) ±0.9% ±10W/m2 or 5%
The experimental test set-up was applied trough three parts of a typical day in order to
discover relationships among the various factors influencing the system efficiency and
to evaluate the system performance with different scenarios of climatic conditions
evolution (part 1: increasing conditions, part 2: steady conditions, part 3: decreasing
conditions). The experimental results on the PTC and the climatic conditions are
presented in Fig. 3.
Fig. 3. Evolution of the temperatures and solar radiation versus time.
Based on the experimental results, the investigation analysis is carried out for three
different periods, started from 7 h 54 min to 8 h 28 min in the morning, from
13 h 09 min to 13 h 39 min in the afternoon and from 16 h 30 min to 17 h 06 min in
the evening. Indeed, the tests periods were chosen to simulate the conditions for the
whole day, according to the exploration of the tests dataset. Figure 4a and b present the
distribution density of the inlet and the outlet temperature of the system overall of
periods. For the period (2), the inlet and the outlet temperatures were about 43 °C and
55 °C, respectively, while the temperatures at periods 1 and 3 were approximately
similar. The ambient temperature increases throughout the day, it was between 11.8
and 25.8 °C (Fig. 4c). The wind speed remains low during the period (1) and not
exceeding 0.44 m/s. while it was about 1.75 and 1.85 m/s during the periods 2 and 3,
respectively (Fig. 4d). The increase in the output temperature was due to the consid-
erable increase in inlet temperature and direct radiation. The distribution density of the
irradiation for different part of the day is shown in Fig. 4e. The results show that the
highest amount of direct irradiation distribution can be seen in period (2); it can reach a
value that exceeds 1000 w/m2 throughout this period. The instantaneous thermal
efficiency densities were calculated and presented as a function of the distribution for
three defined periods. The thermal efficiency evolves with the period variation of the
day (Fig. 4f). We noticed that the system is more profitable with the climatic conditions
of the period (1), according to the other periods for the same system parameters; it can
be seen that the highest density of thermal efficiency for the all period’s tests was
obtained at 40%. Moreover, the thermal efficiency densities of the period (2) were close
to that of the period (3), which were about the half of the period (1). Figure 5 illustrated
a target variable (day Period), the plots include the distributions for each subset of
observations associated with each value (P1, P2 and P3) of the target variable. Thus,
the plots include a visualization of the stratification of the data based on the different
values of the target. However, the box plot identifies the median and mean of the
variable (i.e. efficiency) and the spread from the first quartile to the third, and indicates
the outliers [1].
Fig. 4. Distribution density by period of, (a) Inlet temperature, (b) Outlet temperature,
(c) Ambient temperature, (d) wind speed, (e) irradiation and (f) efficiency.
Figure 5 shows an important mean thermal efficiency difference between periods.

The maximum, minimum and mean thermal efficiencies for all periods are 47%, 16%
and 38%, respectively, when the mean thermal efficiency for period 1, period 2 and
period 3 are 39.8%, 37.8% and 35.1%, respectively. As expected, due to similar
parameters (operating parameters, geometric parameters) and different climatic con-
ditions at all periods of the tests. We can notice that the period (3) presents the lower
mean thermal efficiency compared to other periods. However, the part 1 is higher of
about 2% and 5.7%, according to the period (2) and period (3), respectively.
The correlation coefficients between various parameters are presented in Fig. 6.
A correlation coefficient is a measure of the degree of relationship between two vari-
ables; it is usually a number between –1 and 1. A high degree of correlation (closer to 1
or –1) indicates that the two variables are very highly correlated, either positively or
negatively [7]. As shown in Fig. 6, a high negative correlation between wind speed and
thermal efficiency and between thermal efficiency and ambient temperature is noticed.
Moreover, we showed a less moderate correlation between thermal efficiency and
incidence direct radiation. Thus, a weak negative correlation between glass temperature
and efficiency is reported.
Fig. 5. Daily efficiency in three periods.
Fig. 6. Correlation Rattle Data, using Pearson
4 Conclusion
In this present work, an experimental as well as statistical analysis study of a PTC was
carried out in order to analyze and evaluate the thermal performances of the system. On
the other hand, the aim of this investigation is also to study the effect of the climatic
conditions on the PTC thermal performances. We noticed that the highest thermal
efficiency is achieved in the period (1) for all cases. According to the results, higher
radiation, lower inlet temperature, lower ambient temperature and lower wind speed
lead to higher system efficiency due to the decrease in the thermal losses at the receiver.
References
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trough solar collection. Public Interest Energy Research (PIER) Program. http://www.energy.
ca.gov/2011publications/CEC-500
2. Gagliano A, Nocera F, Patania F, Contino, A (2014) A procedure for the characterization of
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Absorber Designs Effect on the Performance
of PV/T Water Hybrid Collector
Chaimae El Fouas1(&), Mohamed Hajji1, Hicham Bouali1,

Bekkay Hajji1, Giuseppe Marco Tina2, and Yamina Khlifi1
1
Laboratory of Renewable Energy, Embedded System and Information
Processing, National School of Applied Sciences, Mohammed First University,
c.elfouas@ump.ac.ma
2
DIEEI: Department of Electric Electronic and Computer Engineering,
University of Catania, v.le A. Doria 6, 95125 Catania, Italy
Abstract. The (PV/T) photovoltaic–thermal collector offers an attractive option

because it allows the simultaneous conversion of solar energy into both elec-
tricity and heat. The design of the absorber, which is integrated under the PV
module, is crucial to get a good thermal performance of the PV/T solar thermal
collector. This phenomenon is related to the heat transfer from the PV modules
to the coolant. The heat removal factor FR, is one of the key parameters used to
identify the thermal efficiency of PV/T. A high FR depending on the absorber
design means higher thermal efficiency of the collector.
In this paper, the study was focused on two PV/T water collectors charac-
terized by different absorber designs: a sheet-and-tubes absorber and an enclo-
sure absorber. Simulations were performed to determine the best absorber
design that gives the highest efficiency. Based on these simulations, it has been
found that the sheet-and-tubes absorber proved to be the best design with the
highest thermal efficiency of 55% with a heat removal factor of 0.68. The effect
of two important parameters related to the tubes, which are tubes spacing and
hydraulic diameter is also determined for PV/T with sheet-and-tubes. The result
shows that the optimal thermal performance was obtained for 0.045 m of tube
spacing and 0.07 m of hydraulic diameter.
Keywords: PV/T hybrid collector Sheet-and-tubes Enclosure

Absorber Thermal efficiency
1 Introduction
Among all the available renewable energy options, solar energy seems to be promising
and considered as energy of the future, it’s the most abundant one and is available in
both direct as well as indirect forms [1]. Therefore, an ingenious method of solar
energy conversion must be developed and used as an alternative in the most of
application using fuel and oil. Two kinds of technologies can be applied for converting
solar radiation into thermal and electrical energy: Solar thermal technology and solar
photovoltaic technology.

https://doi.org/10.1007/978-981-13-1405-6_78
680 C. El Fouas et al.
Nowadays, photovoltaic technology gets more attention because of its enormous

advantages. It allows direct conversion of sunlight into electrical energy via photo-
voltaic effect without any moving part or environmental emission during the operation.
It needs lower maintenance requirement and has low cost. However, it is known that
most of the absorbed solar radiation is not converted into electrical energy increase the
cell temperature, thus decreasing its electrical efficiency. Therefore, the idea of using a
heat exchanger as absorber with cooling fluid flow e.g., water, air under the PV module
to extract the excess of heat and form a new unit called hybrid photovoltaic thermal
PV/T [2]. This unit integrates PV and thermal technologies which allow the simulta-
neous production of electricity and heat and hence increases the conversion efficiency.
Various theoretical and experimental studies have been carried out in order to
determine which combined PV-thermal system gives the best electrical and thermal
yield since 1970’s [3]. Studying the design factors that impact the behavior of the
photovoltaic thermal PV/T leads to design a range of PV/T systems that vary in
application, fluid and structure. A comparison study between four different configura-
tions of the absorber with serpentine, parallel serpentine, spiral and oscillatory form has
performed in order to find the best configuration of the absorber. Spiral flow design
proved to be the best design with the highest thermal efficiency of 50.12% [4]. An
experimental study between two unglazed PV/T water collectors with different absorber
design: PV/T sheet-and-tubes absorber type and a fully wetted absorber type of absorber
has performed. The result show that fully wetted PV/T absorber presents good perfor-
mances than the other [5]. A model validation of an empirical photovoltaic thermal
(PV/T) collector with an enclosure absorber type containing water and air has carried
out. As a result, the PV/T with an enclosure absorber type using water is better than that
using air [6]. A parametric analysis on heat removal factor for a flat plate solar collector
of serpentine tube has investigated. The highest FR obtained is 0.88 for flat-plate
absorber thickness of 0.015 m [7]. A theoretical and experimental study of new absorber
configuration of PV/T water collector characterized by flat part absorber and tube part
has proposed. This new design present the advantage of its simple implementation and
its low cost compared with the other PV/T hybrid collectors configurations [8].
In this paper a comparative study between two PV/T water hybrid collectors with
different absorber designs characterized by a sheet-and-tubes absorber and enclosure
absorber is investigated. The key objective is to determine the best absorber design
which gives the optimal performance of the PV/T water hybrid collector. A detailed
parametric study is performed for the best PV/T absorber configuration in order to
improve further it thermal performance.
2 Thermal Analysis
A theoretical study is conducted to evaluate the performance of two kinds of PV/T

water hybrid collectors. Such PV/T studied is thermally insulated. It is mainly formed
by covered PV unit converting the solar radiation into electricity, absorber which
evacuates the heat losses to the coolant. The only difference between the two PV/T is
the absorber design. The first is characterized by a flat plate welded with parallel tubes
[9] and the second is represented by an enclosure containing the coolant, Fig. 1.
Absorber Designs Effect on the Performance of PV/T Water Hybrid Collector 681
Fig. 1. Absorber designs, (a) Enclosure absorber, (b) Sheet-and-tubes absorber
The objective of this study is to determine which design of the absorber gives the
highest efficiency. Therefore, a thermal modeling based on an energy balance is per-
formed for each component of the PV/T water collector.
In order to simplify the thermal analysis, the flowing assumptions were considered:
• The material proprieties of each component are constant.
• An average temperature is assumed through each layer.
• The heat transfer is unidirectional from the top to the bottom of the collector.
• Mass flow rate is the same in all sections during the circulation of the coolant.
The prediction of the thermal behavior of such studied PV/T water collectors was
performed by characterizing transfers of energy put into play, in the PV/T with sheet-
and-tube absorber as is shown in Fig. 2a and the PV/T with an enclosure absorber in
Fig. 2b. Tree heat transfer modes are taking into account, the radiative heat transfer
Fig. 2. Electrical schematics of heat transfer in the PV/T: (a): with sheet-and-tubes absorber
(b) with an enclosure absorber.
(Rad), the convective heat transfer (Conv) and the conductive heat transfer (Cond). It
can be expressed as function of thermal radiative resistance Rr, convective thermal
resistance RV, conductive thermal resistance Rc and external excitations.
3 Performance Assessment
The overall performance of the PV/T water collectors can be depicted by the combi-
nation of efficiency expression, which usually includes the ratio of the useful thermal
gain and electrical gain of the collectors to the incident solar irradiation on the col-
lector’s gap within a specific time.
3.1 Thermal Section

In the PV/T hybrid collectors, the main functional element is the absorber. Hence, it
should has a highest thermal conductivity and specific heat capacity to ensure a good
thermal transfer. It’s generally made of metallic material like cooper, aluminum. As
well as the configuration of the absorber has important role in good exchange of heat
from the photovoltaic unit to the water. Therefore, the choice of the best configuration
must be crucial. The thermal performance is expressed as a function of difference
between the absorber solar radiation and thermal heat losses. It’s linearly depending on
reduced temperature. Its expression is given as function of overall heat loss of the
collector UL, ambient temperature Ta, solar radiation G, absorptivity factor (sa)pv and
heat removal factor FR:
gth ¼ FR ððsaÞpv UL ðTe Ta Þ=GÞ ð1Þ
FR is one of the main parameters in determining thermal efficiency. It is sensitive to

different factor such as material, dimensions, design, and operational variables. These
parameters must be appropriately chosen for a highly efficient design and lower cost of
the PV/T hybrid collector. In various collector geometries, this parameter is expressed
as a function of overall heat loss UL and has been investigated extensively in the
flowing Table 1.
3.2 Electrical Section

The photovoltaic module implemented in the collectors is based on the conversion of
solar radiation into electricity. Its efficiency is obtained as function of its operating
temperature Tpv according to the formula:
ge ¼ 0:12ð1 0:0045 ðTpv 25ÞÞ ð12Þ

Table 1. Heat removal factor expression for different absorber designs
The result of the thermal modeling is obtained based on the Runge Kutta (RK4)
numerical method implemented in Matlab. The resolution of the system of differential
equation allows the prediction of the temperature profile for each layer of the PV/T
water collector in the two cases.
4.1 Comparisons Between the Two PV/T Absorber Designs

Based on the thermal modeling, the temperature distribution for each PV/T water
collector is investigated. Figure 3 shows the variation of temperatures of the PV layer,
the fluid and output temperature for Sheet-and-tubes absorber design. The temperature
of the PV module and the temperature of the fluid reached 67.64 °C and 54.93 °C
respectively for a maximum solar radiation of 1020 W/m2, whereas these temperatures
reached à 70.73 °C and 38.31 °C respectively for PV/T water Fig. 4. This is due to the
small amount of heat extracted from the PV module by the second absorber
configuration.
Fig. 3. Temperature distribution for PV/T Sheet-and-tubes absorber
The variation of the electrical performance for the PV/T for the two configurations
is described in Fig. 5. The PV/T water hybrid collector produces electricity during all
day. The electrical efficiency of the PV/T passes through a minimum of 9% with the
two absorber design when the solar radiation achieves it maximum. This phenomenon
is related to linear correlation of the electrical efficiency with the operating temperature
of the PV module.
The thermal efficiency based on the reduced temperature for two types of PV/T

absorber design Tint G Ta is shown in Fig. 6. It is a polynomial equation of first degree,
and the efficiency varies linearly with a difference between the input and the ambient
temperature. At zero reduced temperatures, the thermal efficiency will be 55% for PV/T
sheet-and-tubes absorber type and 40% for PV/T enclosure absorber type. This dif-
ference can be explained by the amount of heat extracted from the PV module rep-
resented by the heat removal factor FR which reaches a maximum of 0.68 for PV/T and
sheet-and-tubes absorber design and 0.40 for PV/T enclosure absorber under the same
Fig. 4. Temperature distribution for Enclosure absorber design
Fig. 5. Electrical efficiency versus time of the two PV/T water collectors
optimum parameter Table 2. As a result, PV/T sheet-and-tubes absorber design is the

appropriate design for the best thermal performance of the PV/T water collector.
To improve further the thermal performance of this configuration, the effect of the
special parameters related to the tube such as tube spacing W and hydraulic diameter
Dh has been studied in this work.
Fig. 6. Thermal efficiency according to the reduced temperature of the two PV/T water
collectors
Table 2. Calculated optimum design for both PV/T water hybrid collectors in comparison with
the parameters used in literature.
PV/T sheet-and-tubes absorber PVT enclosure absorber type
type
Calculated Zondag Bhattarai Calculated Hocine
(optimum) et al. [10] et al. [11] (optimum) et al. [6]
m_ 0.02 0.0 0.5 0.02 0.02
(Kg/s)
d (m) 0.02 0.0002 0.02 0.02 0.003
W (m) 0.045 0.095 0.1 – –
Dint (m) 0.015 0.008 0.00952 – –
FR 0.6864 0.83 0.77 0.4 0.43
4.2 Parametric Effect Analyze of PV/T Sheet-and-Tubes Absorber

Several factors can influence on the thermal performance of this type of PV/T water
collector specially parameters related to the tubes such as tube spacing W, hydraulic
diameter Dh.
Figure 7 shows the variation of the thermal efficiency and heat removal factor with
tube spacing W. The mass flow rate within the study is 0.02 kg/s. Increasing the tube
spacing from 0.045 m to 0.145 m leads to decrease the number of the tubes, hence the
thermal resistance between the absorber plate and tubes increases. Therefore, heat
removal factor and thermal efficiency decreases from 0.68 to 0.39 and 55% to 32%
respectively.
Fig. 7. Thermal efficiency and heat removal factor with tube spacing
Fig. 8. Thermal efficiency and heat removal factor with hydraulic diameter
Figure 8 shows the variation of thermal efficiency and heat removal factor with the
hydraulic diameter of the tube. Increasing the size channel (hydraulic diameter Dh)
from 0.03 m to 0.075 m minimizes the heat loss, hence heat removal factor increases
from 0.68 to 0.81. As result, thermal efficiency increases from 55% to 65% (Table 3).
Table 3. Input parameters for both PV/T water collector prototype

Parameters Values Paramètres Values
Ac 1.15 m2 kg 1.05 W . k−1 . m−1
dg 0.003 m kpv 148 W . k−1 . m−1
dpv 0.002 m kp 401 W . k−1 . m−1
diso 0.05 m kt 0.6 W . k−1 . m−1
ɛg 0.88 kf 0.6 W . k−1 . m−1
ɛp 0.95 kiso 0.045 W . k−1 . m−1
sg 0.95 V 2 m/s
5 Conclusion
In this paper, a comparative study between two PV/T water collectors with different
absorber designs: PV/T sheet-and-tubes absorber design and PV/T enclosure absorber
design is performed. The objective is to find which absorber design gives the best
thermal performance. Based on the thermal modeling, the temperature distribution for
the two PV/T is determined. As well as the electrical and thermal performances of each
PV/T are evaluated. Hence, the PV/T sheet-and-tubes absorber type appears to be the
best configuration that gives the best thermal performance, with removal factor of 0.68
and thermal efficiency of 55%. To improve further the thermal performance of this
configuration, the effect of the special parameters related to the tube such as tube
spacing W and hydraulic diameter Dh has been studied in this work. The results show
that the increase of tube spacing decreases the thermal efficiency. In addition, thermal
efficiency increases with the increase of the hydraulic diameter.
References
1. Dalvand MJ, Mohtasebi SS, Rafiee S (2012) A technical study on hybrid
photovoltaic/thermal solar collectors. Agriculture 47:8999–9004
2. Rejeb O, Dhaou H, Jemni A (2015) Parameters effect analysis of a photovoltaic thermal
collector: case study for climatic conditions of Monastir. Tunisia Energy Convers Manag
89:409–419. https://doi.org/10.1016/j.enconman.2014.10.018
3. Al-Waeli AH, Sopian K, Kazem HA, Chaichan MT (2016) Photovoltaic solar thermal
(PV/T) collectors past, present and future: a review. Int J Appl Eng Res 11:10757–10765
4. Ibrahim A, Othman MY, Ruslan MH, Alghoul MA, Yahya M, Zaharim A, Sopian K (2009)
Performance of photovoltaic thermal collector (PVT) with different absorbers design.
WSEAS Trans Environ Dev 5:321–330
5. Kim JH, Kim JT (2012) The experimental performance of an unglazed PVT collector with
two different absorber types. Int J Photoenergy 2012:6. https://doi.org/10.1155/2012/312168
6. Hocine HBC El, Touafek K, Kerrour F, Haloui H, Khelifa A (2015) Model validation of an
empirical photovoltaic thermal (PV/T) collector. Energy Procedia 74:1090–1099. https://doi.
org/10.1016/j.egypro.2015.07.749
7. Rosli M, Misha S, Sopian K, Mat S, Sulaiman MY, Salleh E (2014) Parametric analysis on
heat removal factor for a flat plate solar collector of serpentine tube. World Appl Sci J
29:184–187. https://doi.org/10.5829/idosi.wasj.2014.29.02.1357
8. Touafek K, Khelifa A, Adouane M, Khettaf EH, Embarek A (2013) Experimental study on a
new conception of hybrid PV/T collector. In: 14th international conference on sciences and
techniques of automatic control & computer engineering (STA 2013), pp 140–145
9. Hajji M, Naimi SE, Hajji B, El Mehdi A, El Hafyani ML (2015) Performance analysis of
hybrid photovoltaic/thermal (PV/T) collector. In: 3rd international renewable and sustainable
energy conference (IRSEC). IEEE, pp 1–6
10. Zondag HA, De Vries DW, Van Helden WGJ, Van Zolingen RJC, Van Steenhoven AA
(2002) The thermal and electrical yield of a PV-thermal collector. Sol Energy 72:113–128.
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11. Bhattarai S, Oh JH, Euh SH, Krishna Kafle G, Hyun Kim D (2012) Simulation and model
validation of sheet and tube type photovoltaic thermal solar system and conventional solar
collecting system in transient states. Sol Energy Mater Sol Cells 103:184–193. https://doi.
org/10.1016/j.solmat.2012.04.017
Modeling Approach of the Experiment:
Waste Reuse of the Jerada Thermal Power
Plant (Morocco)
Youssef Regad1(&), Bachir Elkihel1, and Fabienne Delaunois2

1
Team Industrial Engineering, Maintenance and Mechanical Production,
Mohamed 1st University, National School of Applied Sciences of Oujda,
BP 669 60000 Oujda, Morocco
youssefregad@gmail.com
2
Department of Metallurgy, University of Mons Polytechnic Faculty,
Street of the Epergne 56, 7000 Mons, Belgium
fabienne.delaunois@umons.ac.be
Abstract. The main objective of this work is to find a model mathematical

statistics which will justify the valorization principle of the FA (Fly Ash) and
BA (Bottom Ash), which represent the most remarkable solid waste of the
thermal power plant in the eastern region of Morocco (in the Jerada city).
For this, we worked on the use of FA and BA as a raw material for perfor-
mance bricks. First, compression tests and chemical requirements were used to
evaluate the pozzolanic activity index according to ASTM (American society for
testing material) which is about 89,75%. Indeed, we have effectuated a statistic
modeling by the method of the experiences plans where we have chosen as a
response the compressive strength. The results of our new by-product (10% of
FA+BA and 90% of cement), gave a good response to our plan, about
24,2 MPa. Secondly, we added this new by-product with the clay to produce the
compressed bricks fired according to a new experimental plan, where we found
that the most resistance to compression equal to 3,12 MPa, in which a minimum
quantity of clay of 50% (by the total mass of 1 kg), were used.
In order to control these residues, our results show that our mathematical
model can be adapted to new entrepreneurs who want to invest in bricks
manufacture using these by-products to contribute to efforts of environmental
pollution reduction.
Keywords: Fly Ash Bottom Ash Waste Coal CCRs Pozzolanic

By-product Boiler Valorization
1 Introduction
1.1 Coal Combustion Residues (CCR)
The thermal power plants are globally criticized for generating large amount of solid
wastes often with a potential environmental impact. Coal Combustion Residues
(CCRs), also known as Coal Combustion Products, are the wastes from thermal power
stations. These include fly ash (FA), bottom ash (BA), and boiler slag (BS), fluidized

https://doi.org/10.1007/978-981-13-1405-6_79
Modeling Approach of the Experiment 691
bed combustion ash (FBCA), flue gas desulfurization (FGD). Current worldwide
annual production of coal combustion products is estimated to exceed 600 million
tonnes, being highly influenced by China’s explosive economic trends and lack of data
for the underdeveloped areas of that Country [1]. Estimation about production and
reutilization of CCRs by major producer countries is reported in Table 1 [2]. Recy-
cling, being one of the strategies in minimization of waste, offers three benefits:
(i) reduce the demand upon new resources, (ii) cut down on transport and production
energy costs and (iii) use waste, which would otherwise be lost to landfill sites [10].
The reutilization and/or recycle of such by-products has been studied for decades in
many areas and research and proposals are still developed in several countries
(Table 2), but with remarkable differences as far as added-value is concerned.
Table 1. Production and utilization of CCRs in major producer countries [2].

Country CCRs production CCRs utilization Utilization Year References
(103 tonnes) (103 tonnes) rate (%)
USA 117,289 61,1 52,05 2015 [3]
China 350 203 58,0 2010 [1]
India 105 28,3 27,0 2005 [4]
EU15 48,327 47,749 91,0 2010 [5]
Australia 12,1 4,8 40,0 2015 [6]
Japan 11 10,6 97,2 2006 [7]
Canada 6,846 1,761 26,0 2010 [8]
Total 650,562 357,31 54,92
Table 2. Particular reuses and recycles of CCRs in different countries [2].

Country CCR type Application
India CCRs Various brick productions
Japan Ashes Development of artificial Z-sand for Civil Engineering
USA FA Non-fired bricks
Australia FA 1000° fired bricks
USA FA Fired bricks
Taiwan FA Fired and non-fired bricks using ashes mixed with
pond sludge
Turkey FA Fired bricks
Russia Ashes & mining Construction ceramic materials
wastes
Turkey FA, BA, furnace Cement and fine sand replacement in concrete
slag
USA BA & FA Enhancement of rammed earth constructions
Sweden BA Light fill material
Spain FA & slag Light weight aggregates
Netherlands FA Bricks and concrete
692 Y. Regad et al.
From where the valorization of the waste is a strategic gait for all country of the
world, it is about the transformation of a residual to a wealth. The valorization of CCRs
is indeed very common in the cement industry as raw material in the production of the
cement clinker, interground with the clinker, or blended with the finished cement [3],
[9]. This procedure is profitable for our environment and it has remarkable advantages.
For our study, the objective is to reuse the FA and BA of the coal power plant of Jerada
city and to find efficient uses for this material that causes some problems for the thermal
power plant in term of cost of evacuation as well as the environmental level.
At the time of this work, a modeling has been made to define this material and its
mechanical behavior with clay and cement, and then several uses have been developed
and have been tested.
1.2 Preliminary Study of the CCR

Properties of the Bottom Ash (BA). Very abrasive material, flow of 1 ton per hour,
maximal granulometry at the exit of the boiler 350 mm and density of 1.967 g/l.
The bottom ash is a residual resulting from the combustion of coal, collected in the
ashtrays, it takes on the appearance of dough carried to the red that is due to the silica
melted to a temperature of 1450 °C, the best is coal presenting the less bottom ash [10].
These BA, illustrated in the Fig. 1, are composed of vitrified fragments with sharp
edges whose dimensions vary in large measures according to the type of coal.
Fig. 1. Form and SEM (Scanning Electron Microscopy) image of sampled BA [2].
Properties of the Fly Ash (FA). Very abrasive, dusty material, flow of 4 tons per
hour, maximal granulometry at the exit of the boiler 35 µm, density of 1.967 g/l.
The fly ashes are composed of the spheroidal particles very fine, their diameter being in
the order of 10 to 35 microns, see Fig. 2, the finest are sucked by the emission
ventilators, the biggest are collected in the dust collectors for the tranches number 1
and 2, and for the 3rd tranche they are collected in the electrostatic filter then evacuated
to the soot channel.

2.1 Data Prepared for Modeling
In the ASTM standard [12], the pozzolana are defined like the siliceous materials or
aluminosilicate witch does not possess in themselves binding properties but that reacts
chemically, in finely divided form and in the presence of moisture, with the calcium
hydroxide at ordinary temperature to form compounds having binding properties.
According to the standard, a material has the characteristic of a pozzolana if:
• Its chemical composition checks: AL2O3 + SiO2 + Fe2O3> 70%
• Its activity indication I is: 0,67 <I <1.
Fig. 2. Form and SEM (Scanning Electron Microscopy) image for fly ash (FA) sample, at
1000x magnification [11].
Chemical Composition of the CCRs. The following Table 3 gives a summary of the
chemical composition of the sample where we can apply the following analysis:
According to the standard ASTM, the fly ash present themselves in two classes (C class
or F class). The only difference between the two classes is the percentage of calcium
oxide. For the C class the percentage of calcium oxide is higher than 20%. For our
sample the calcium content is low (<1%), therefore it is fly ash of F class.
Table 3. Chemical composition of the sample studied.

Components % According to standard
Silicon dioxide SiO2 50,34 ASTM D6349
Aluminum oxide Al2O3 26,54 ASTM D6349
Iron oxide Fe2O3 12,87 ASTM D6349
Calcium oxide CaO 0,87 ASTM D6349
Magnesium oxide MgO 0,05 ASTM D6349
Sodium oxide Na2O 2,18 ASTM D6349
Potassium oxide 1,40 ASTM D6349
Manganese oxide MnO2 1,16 ASTM D6349
Titanium oxide TiO2 3,04 ASTM D6349
Phosphorus pentoxide 0,14 ASTM D6349
Sulfur trioxide SO3 1,41 ASTM D5016
694 Y. Regad et al.
2.2 Verification of Compatibility with the Standard ASTM C618

Requirements of the Standard. Our sample must satisfy the requirements defined in
the ASTM standard C 618 (that analyzes the CCRs reuse) these requirements are:
– The organic matter percentage for the F class, (Loss on Ignition ratio) LOI <6%;
– The percentage of (silicon oxide + aluminum oxide + iron oxide) >70%;
– The percentage of sulfur trioxide <1.5%;
– The total humidity <3%;
– The percentage of particles, less than 45 lm in diameter, must be >75%.
Verification of the Compatibility of Our Sample. According to the Table 3 of the

analyses, the sum of the percentages of the three components (the silicon oxide (SiO2),
the aluminum oxide (Al2O3) and the iron oxide (Fe2O3)) is equal to: 50.34 + 26.54 +
12.87 = 89.75%. So it’s >70%.
• The percentage of sulfur trioxide (SO3) in our sample is: 1.41% (<1.5%);
• The total humidity of our sample is: 2.5% (<3% definite in the Standard);
• The Loss on Ignition ratio of the sample is: 10% (>6% definite in the Standard).
2.3 The Mathematical Modelling by the Realization of the Experimental

Plan 22
To model the use of this waste in order to find the function that binds the response to
the factors by a general expression in the following form:
Xn Xn
Y ¼ a 0 þ a1 x 1 þ a2 x 2 þ . . . þ an x n þ i;j¼1
aij xi xj þ i; j ¼ 1 aijk xi xj xk þ . . .
i 6¼ j 6¼ k
ð1Þ
We already have the tests and measurements necessary for this present work, see
[2], now we will try to find a mathematical model that will organize us to get a high
performance bricks from this CCRs. Indeed, we have two factors, then this function
becomes in the following form:
Y ¼ a0 þ a1 x1 þ a2 x2 þ a12 x1 x2 ð2Þ
With:
• Y: is the response in the point of the chosen composition;
• x1, x2: are the respective contents of cement and CCRs;
• a0, a1, a2: are the unknown coefficients.
If the responses and the factors are known, we pass to determine the coefficients.
8
>
> Y1 ¼ a0 a1 a2 þ a12
<
Y2 ¼ a0 þ a1 a2 a12
ð3Þ
>
> Y ¼ a0 þ a1 a2 þ a12
: 3
Y4 ¼ a0 þ a1 þ a2 þ a12
Therefore we find that: a0 = 14.525; a1 = −8.675; a2 = −0.475; a12 = 0.525.

Hence the mathematical model becomes:
Y ¼ 14:525 8:675x1 0:475x2 þ 0:525x1 x2 ð4Þ
This model allows to calculate all the responses in the study field; it is sufficient to
assign values to the levels x1 and x2 to obtain immediately the best value of the
adequate response. In the same way carried out in the previous experiment plan, our
mathematical model of the second plan (Clay and (Cement + CCR) mixture) becomes
as the following:
Y ¼ 2:8075 0:0775x1 0:2625x2 0:0275x1 x2 ð5Þ
3 Conclusion
The experimental plan serves to optimize the number of experiments to be realized and
to determine the mixing model, that lets to calculate all the responses in the study field
of without experiencing. It is enough to attribute values to cement and CCRs contents
to immediately obtain the value of the response. In our case, it can be seen from the
results obtained from the compression test that the sample, which is more resistant, is
the sample of 10% of CCRs and 0.33 (water/mixture) report. While in the last
experiment performed, we constructed the fired bricks on the basis of the clay and the
material constructed in the first experiment, we found that the most resistant bricks
were those in which we used a minimum volume of water 581 cm3 and a minimum
amount of clay 50%.
References
1. Fu J (2010) Challenges to increased use of coal combustion products in China. 1st edn.
Energy and Environmental Engineering, Lingkopings Universitet
2. Regad Y, Elkihel B, Delaunois F (2017) Valorization and characterization of CCRs of the
Jerada thermal power plant in the northeast of Morocco. Int J Eng Technol 9(4):3292–3309
3. ACAA Homepage. https://www.acaa-usa.org/Publications. Accessed 24 July 2017
4. Asokan P, Saxena M, Asolekar SR (2005) Coal combustion residues, environmental
implications and recycling potentials. Resour Conserv Recycl 43:239–262
5. ECOBA-EU-15 Homepage. http://www.ecoba.com/ecobaccpprod.html. Accessed 24 July
2017
696 Y. Regad et al.
6. ADAA homepage http://www.adaa.asn.au. Accessed 24 July 2017

7. JCOAL homepage. http://www.jcoal.or.jp/eng. Accessed 24 July 2017
8. ACIRCA’2013 FLYASH, Homepage. http://www.flyash.info/2013/119-Weir-2013.pdf.
Accessed 24 July 2017
9. Siddique R (2010) Utilization of coal combustion by-products in sustainable construction
materials. Resour Conserv Recy 54(12):1060–1066
10. Electrical Branch, ONEE (2014) Environmental impact assessment project for the Jerada
thermal power plant extension. 1st edn. Clean Tech, Jerada TPP
11. Stoch A (2015) Fly ash from coal combustion – characterization. 1st edn. Energy
engineering and management thesis, Instituto Superior Técnico, Lisboa, Portugal
12. ASTM (2009) Test methods for sampling and testing fly ash or natural pozzolans for use as a
mineral admixture in Portland cement concrete. ASTM Std edn. C 311-02
Load Analysis and Consumption Profiling:
An Overview
Khadija Tazi1(&), Fouad Mohamed Abbou2, and Farid Abdi1

1
Faculty of Sciences and Techniques,
Sidi Mohamed Ben Abdellah University, Fez, Morocco
Khadija.Tazi@usmba.ac.ma
2
School of Sciences and Engineering,
Al Akhawayn University, Ifrane, Morocco
Abstract. Accurate power management in smart and micro grids relies on

consumption data analysis to forecast energy needs of consumers. Since demand
forecast is necessary to the correct operation of the grid, load analysis and
profiling methods are used to generate realistic consumption data. The objective
of this paper is to investigate load classification and profiling approaches used to
model consumption.
Load analysis is helpful as well to identify factors influencing energy con-
sumption, such as consumers’ activity levels and weather conditions. It has been
found that houses in urban areas consume more energy, while renewable
energies integration is more important in rural areas.
The early approach used for load profiling was Prevalent Engineering Practice
(PEP), based on the yearly maximum demand. Due to its unrealistic load curves,
bottom-up and top-down approaches are used instead. Although both approa-
ches generate realistic load curves, they have some design limitations discussed
herein. Other options for load profiling include mathematical approaches, such
as Gaussian distribution function. However, it is important to avoid over-fitting
the Gaussian function to keep the model general.
Keywords: Load profiling Bottom-up approach Top-down approach

Gaussian distribution Load curve Load classification
1 Introduction
Smart and micro grids combine Renewable Energy Sources (RES), storage and
Advanced Metering Infrastructure (AMI) to decrease CO2 emissions and provide
advanced power management capabilities [1, 2]. Therefore, power generation, delivery
and utilization is improved using optimization techniques [2]. One of the main
objectives of these grids is to align demand with supply and schedule power generation
based on energy needs as well as power cost and availability. Estimation of load
demand cannot be done arbitrarily since both overestimation and underestimation are
dangerous to energy generation and conversion systems [1, 3]. Load forecasting and
profiling algorithms are hence used to accurately model consumption using historical
and real-time data.

https://doi.org/10.1007/978-981-13-1405-6_80
698 K. Tazi et al.
The objective of this study is to investigate the research progress in load profiling
approaches and assess their performance. First, we discuss the different factors that
influence energy consumption then summarize common load types and clusters.
Finally, we discuss common load profiling approaches and their limitations. The
detailed performance comparison of load profiling algorithms, load factors and clus-
tering algorithms are omitted to conserve space.
2 Factors Influencing Power Consumption
Consumer profiling is an important step for load shifting and reduction, and the result is
a mathematical model to generate load curves. Load analysis is also helpful to identify
factors influencing power consumption. Figure 1 shows an example of a load curve
based on the average hourly consumption in Morocco in year 2010 for the four seasons
according to data provided by reference [4].
Average Consumpon in 2010

4500
Summer 2010
Autumn 2010
4000
Winter 2010
Load (MW)
Spring 2010
3500
3000
2500
2000
1 3 5 7 9 11 13 15 17 19 21 23
Hour of the day
Fig. 1. Residential consumption in hourly resolution in Morocco for year 2010
According to Fig. 1, residential consumption varies between seasons, but also

throughout the day. The lowest consumption levels are observed in early mornings
when people are sleeping. Consumption slowly increases between 7:30 and 10:00
when people get ready for work. A morning peak is observed between 10:30 and 11:30,
explained by housework activities. Afternoon and evening peaks highlight the after
work, diner and bed time activities. Hence, consumption variations depend on con-
sumers’ behavior and activities. It is noteworthy that the load curve in Morocco is
similar to other countries on many aspects, such as Singapore [5] and UK [6], with
some small differences specific to each area.
Energy consumption is also affected by the geographical location. It has been
found that houses in rural areas consume less power compared to the ones in urban
areas [7]. Consumers in rural areas use mostly firewood and gas for heating and
Load Analysis and Consumption Profiling 699
cooking, with an important RES share. Furthermore, consumers in urban areas use
HVAC (Heating, Ventilation and Air Conditioning) systems and more electric
appliances.
Another factor introduced by the geographical location is the weather condition.
Consumers living in countries with a hot climate tend to use air conditioning [8], so a
midday peak is observed until temperature decreases. Load curves in countries with a
cold climate have a peak whenever temperature drops below a certain value due to
heating systems. Hence, load curves follow the patterns of temperature throughout the
day. Countries with tropical climates, such as Singapore [5], have a relatively stable
temperature, so the impact of temperature is negligible.
Consumption differs also according to the building type between residences,
offices and universities [9, 10]. Energy consumption in offices and universities accounts
between 30 and 45% of the global energy demand. Concerning universities, a peak is
observed during the day till late afternoon in academic and administrative areas.
Another peak is observed in the residential area till late night, when students are back to
their rooms [9]. In office buildings, however, a peak is observed between 10:00 and
16:00, then consumption is relatively low and constant afterwards [10].
Finally, energy consumption differs between appliances according to their brand
and machine cycle. A study conducted by Pipattanasomporn et al. [11] shows that
consumption is different for the same appliance in different brands. For example, LG
washing machines consume less power than the brand GE. It has been shown also that
the initial state of the machine affects its power consumption. For example, a cold oven
consumes more energy to reach the temperature set by the user.
3 Types of Loads
Classification of loads define energy consumption levels and possibilities of shifting

appliances to other periods. It is also useful in understanding the nature and behavior of
connected loads. Loads can be classified based on their energy consumption into three
major groups: brown goods, white goods and small appliances [12, 13]. Brown goods
include relatively light electric devices, such as equipments for offices and entertain-
ment. The second group includes heavy electric devices and major appliances, such as
HVAC systems. This group is difficult to model mathematically due to its stochastic
behavior. Small appliances refer to light electric devices that are not used frequently,
such as blenders and mobile phone chargers.
Loads can also be classified according to their Demand-Response (DR) opportu-
nities and constraints. Some loads can be shifted from the current time period to a later
one. Other loads cannot be shifted either because of their machine cycle or the user
comfort levels, such as fridges and lighting. The following categories are identified:
storage, shiftable, non-shiftable and thermal loads [13]. Clustering loads is used to
generate models and extract characteristics for DR applications.
700 K. Tazi et al.
4 Load Profiling Algorithms
To avoid demand underestimation and overestimation, load profiling algorithms are

used to model load curves and identify factors of influence. For this purpose, following
is a list of common methods for data extraction [14]:
Load Curve and Net Load Curve Methods: Demand of consumers is modeled using
the system load curve. Even though these methods are not costly, the accuracy of the
generated curve is very low since it does not depict consumption details.
Similar Load Curve and Adjusted Load Curve Methods: Historical load data is
used to model consumption for different consumers’ clusters, seasons and days.
Demand forecast for a time period is therefore based on historical data on the same time
span. The accuracy of the generated curve is higher compared to the first methods.
Dynamic Load Curve Method: Daily consumption measurements sent by smart
meters are used for load profiling. Even though the generated curves are highly
accurate, this method remains unattractive to utilities due to AMI installation costs.
Thanks to the balance between cost and accuracy, adjusted load curve method is
used to build reference load curves for consumption profiling. One of the early
approaches of demand estimation in Low Voltage Networks (LVN) is the Prevalent
Engineering Practice (PEP) [15]. This method estimates the maximum load demand in
a time window, such as 1 year, based on the maximum yearly demand. It assumes that
an individual peak is strictly less than the sum of the total demand at a time T.
A limitation of PEP is the 1-year span used for data forecast, while control is done
every 30-min or less. The generated load curve is therefore unrealistic. Also, PEP is not
useful for consumption profiling of low-demand periods. To overcome these limita-
tions, other methods were proposed, such as bottom-up and top-down approaches.
4.1 Bottom-up Approach

Introduced in 1980 by Piller et al. [12], this approach builds the consumption curve
from the list of individual appliances. The impact of consumers’ behaviors and activity
levels on the consumption are therefore highlighted [5]. The behavior of stochastic
devices, such as fridges, is considered with no need of mathematical modeling.
Figure 2-Left shows the flowchart of the general bottom-up approach.
In order to build the load curve, nominal and standby wattages, saturation level and
frequency of use of each appliance should be known [5]. The saturation level of an
appliance is the probability of availability in dwellings. It is obtained by dividing the
number of units of that appliance in the grid by the number of connected households.
The frequency of use, on the other hand, depends on the number of individuals in the
house and their activities. The energy consumption of an appliance is then computed
using all the parameters above (equation omitted because of space limits) [5, 16].
For an example, Table 1 summarizes details about common appliances and their
activity levels in the city of Ifrane. In order to gather this data, residents of an average
neighborhood were surveyed about electric appliances usage during a day. The
appliance activity level is the probability of turning ON an appliance at a given hour,
Table 1. Details about common appliances and their activity levels in Ifrane, Morocco.
Appliance Saturation Nominal Wattage Standby Appliance Activity Level
(W) (W) H-10 H-11 H-12 H-13
TV 1 105 8 0,245 0,546 0,578 0,596
Fridge 1 350 N/A 0,995 0,995 0,995 0,995
Oven 0,85 2150 8 0,002 0,052 0,052 0,004
Clothes washer 0,81 1200 N/A 0,41 0,41 0,37 0,37
Lighting 1 55 N/A 0,001 0,001 0,001 0,001
Iron 0,74 1000 N/A 0,004 0,004 0,001 0,001
Phone charger 1 7 N/A 0,13 0,23 0,35 0,125
Laptop/Desktop 0,825 100 2,5 0,0012 0,0012 0,0036 0,004
and it is used to compute the frequency of use and start probability of appliances.
Because of space limitation, appliance activity levels at peak hours are shown.
Since the bottom-up approach is based on real data about appliances and con-
sumers’ behaviors, it generates realistic load profiles suitable for the study of micro-
grids. In order to calculate required parameters, surveys should be conducted first to
gather data about consumers’ activities [5]. Non-homogenous Markov-Chain could be
used to model the stochastic behavior of individuals and transitions between states [5].
Since data preparation is an important step in load profiling algorithms (see Fig. 2),
clustering appliances, as discussed in Sect. 3, could be used for this purpose.
Paareto and Lund in [16] use this technique in their proposed 2-step bottom-up
approach for micro-grid scheduling. Before execution of the bottom-up algorithm,
fluctuations are first analyzed to cluster appliances and define their start and standby
times. Social random factor, seasonal and hourly probability factors are then calculated
to depict features of the load curve. The first factor models the social impact on the load
curve; the second factor models the impact of seasonal changes on consumption, while
the last factor describes the activity levels at home.
Researchers in [17] propose a 2-step bottom-up approach as well for office load
profiling. First, consumers are classified based on 4 usage profiles: Transient- when a
user is a away from his desk; Strict hours- when a user is working; Extended hours-
when a user works outside the official hours; Always on- a station should be kept on.
These clusters are then used to generate a combined load curve for all profiles.
Even though this approach generates realistic profiles, it has many limitations.
From the load data collection in the city of Ifrane, it is found that the algorithm
accuracy relies on the availability and correctness of the data. The significant amount of
required data imposes a computational complexity and overhead. Additional surveys
are needed to properly model consumption on national and special events.
4.2 Top-Down Approach

The top-down approach is another load profiling algorithm that starts with a load curve
instead [18]. As illustrated in Fig. 2-Right, this algorithm analyzes synthetic or
702 K. Tazi et al.
measured load data to generate realistic load profiles. The resulting curve is then
validated using a reference load curve.
This approach uses statistical functions to derive load patterns. First, the load
histogram is normalized by the Cumulative Distribution Function (CDF), then a load
distribution function is applied to find an appropriate modeling function. Since load
duration has an exponential behavior, an exponentially distributed random variable is
combined with the load duration function to generate the curve. Since the power factor
is appliance-dependent, active and reactive power correlation is analyzed. Finally, the
modeling function is validated using a reference load curve for adaptation.
Even though this approach does not require extensive data about appliances and
consumers’ activities, it lacks auto-correlation within a single load profile and is not as
popular as the previous algorithm. Although the bottom-up approach outperforms this
method in peak and curve modeling [19], this approach has less computational time
and overhead.
Domestic Load Pattern Reference Load Profile

Load Data
1 min. resolution 15 min. resolution
Preparation
Define a set of appliances measurements or
in a household synthetic bottom-up data
Household Curve
Generation Loop
Statistical Analysis
for each loop Appliance Load Curve Load Distribution Function
Generation Loop Load Duration Function
Correlation Reactive Power
Data output
and Validation Define hourly power
over the total time Adaptation to Reference Profile
Post-Processing of Distribution Function
Sum up the appliance load curves into
the household load curves Load Profile Generation
Fig. 2. Left- Flowchart of the bottom-up approach; Right- Flowchart of the top-down approach
4.3 Other Mathematical Approaches

Mathematical modeling is also an alternative for load profiling. For example, Gaussian
Distribution Function is used to model the load curve by adapting its parameters to the
characteristics of the curve [6, 19]. These parameters are: a- controls the height of the
curve; b- controls the position of the peak center, and c- is the width factor.
In order to model the Spring load curve in Fig. 1, a survey should first be conducted
to identify the number of rooms, Nr, and residents, NO, in each house. These two
values are needed to compute the parameters previously discussed. In general, a total of
5 Gaussian functions are needed to model the peak periods: morning, mid-day and
evening. From Fig. 1, one can observe that the mid-day peak lasts longer than the
morning and evening peaks. Different from published load curves in European and
Asian countries [5, 6], the Moroccan load curve is characterized by an important longer
mid-day peak that lasts 6 h, explained by housewives’ activities done mostly on that
period of the day.
According to results in [6], it has been found that the value of a depends on the
number of rooms in the house, b depends on the activity level of residents, while c is
inversely proportional to the number of occupants and rooms in the house. When
computing the parameters to model the Spring load curve, it can be assumed that Nr
ranges from 2 to 7, and NO ranges from 2 to 9. For each combination of (Nr, NO), an
appropriate Gaussian function should be defined, and the sum of single household
curves is the load curve of a neighborhood, city or a country depending on the scale.
Using the curve in Fig. 1 and data from surveys, the times for residents’ activities
could be defined as follows: T1 = 6 is the time at which the first person wakes up;
T2 = 10 is the time at which the last person leaves the house; T3 = 16 is the time at
which the first person is back home; T4 = 23 is the time at which the last person goes to
bed. These values are used to compute b (equations omitted because of space limits).
Hence, surveys are still required to find the number of rooms, occupants and
activities. Therefore, the accuracy of load profiles still depends on data correctness.
Over-fitting the Gaussian model is another problem raised by the correlation between
parameters a, b and c and consumers’ lifestyle. In the discussed example, T1, T2, T3
and T4 are extracted from the Spring curve, so the resulting Gaussian functions cannot
be used to model consumption on other seasons. Also, having a function to describe
each dwelling type involves a significant computational overhead.
Another method for load profiling is combining the mathematical model of every
device and appliance in the grid to compute the net demand [19]. This method is
suitable for micro-grids equipped with RES, so the green energy generation is con-
sidered in the load analysis step. However, stochastic appliances, such as ovens and
fridges, are difficult to mathematically model, and surveys are still needed to form the
list of appliances connected to the grid.
5 Conclusion and Future Work
An important feature of smart and micro-grids is the advanced management capabilities

to enhance energy generation, delivery and utilization. Knowledge of demand is
therefore a prerequisite to efficiently schedule operations. The estimation of energy
demand should be done methodically and accurately since overestimation and under-
estimation are risky to the power grid. The objective of this paper is to investigate load
profiling techniques and approaches used to model consumption.
Load curve analysis is helpful in the identification of factors influencing con-
sumption, such as consumers’ behavior and level of activities at home. Load clustering
is useful as well in load profiling to classify appliances according to DR opportunities
and energy consumption.
Many approaches were proposed for the modeling of load curves for demand
forecast. One of the earliest methods used for this purpose is Prevalent Engineering
Practice, which builds the load curve using the maximum yearly demand. The gen-
erated curve is unrealistic, and the approach is not useful to model low-demand periods.
Bottom-up approach is a popular load profiling method. It builds the load curve
from appliances’ wattage, saturation level and frequency of use. Even though the
generated consumption data is realistic, there is a computational overhead due to the
704 K. Tazi et al.
data size, and its accuracy depends on data availability and correctness. On the other
hand, the top-down approach builds a load curve based on measured or synthetic
consumption data using statistical analysis. It has less computational effort but lacks
auto-correlation in a single profile.
Gaussian distribution function is also useful to model load curves by calculating its
parameters. However, data about consumers’ activities and appliances is still necessary,
and there is a risk of over-fitting the function.
As future work, it is interesting to investigate the feasibility and accuracy of
modeling load curves using Fuzzy Neural Network (FNN). Since load consumption is
related to ambient temperature, number of rooms and occupants and activity levels at
time T as discussed in Sect. 2, they could be used as inputs to FNN to generate
aggregate consumption profiles for specific seasons or events.
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Modelling and Exergy Analysis of Latent Heat
Thermal Energy Storage System
Zineb Erregueragui(&) and Abdeslam Tizliouine
LMPGI Laboratory of ESTC, ENSEM,

Hassan II University, Casablanca, Morocco
zineb.erregueragui@gmail.com
Abstract. Thermal energy storage is essential for an effective development of

concentrated solar power technologies. In this paper, a numerical investigation
of a latent packed bed thermal energy storage system composed of spheres is
presented. A continuous solid phase model has been used with an enthalpy
formulation for the phase change process. The governing equations have been
solved using a one-dimensional implicit method and the results have been
validated through experimental work from a previous empirical study. The paper
investigates the change of exergy in the charging phase with the mass flow rate,
the inlet temperature of the fluid and the melting temperature of the PCM.
Keywords: Latent storage Phase change materials Numerical modeling

Enthalpy formulation Exergy
1 Introduction
Sustainable development has become one of the major preoccupations of the time
being, reducing the greenhouse gases and integrating renewable energies in the energy
mix are nowadays of big interest.
There are three major types of thermal storage, sensible heat, latent heat and
thermochemical storage. In the present paper, a latent packed bed storage system is
investigated using numerical modeling, the advantages of such systems are basically,
the high storage density of the phase change materials (PCM); the reduced temperature
difference needed between the fluid and the PCM comparing to sensible storage in
addition to a one storage tank, where the hot and the cold regions coexist, instead of
two tanks. This form of storage permits the reduction of the investment, the operating
and the maintenance costs.
Storing energy using PCMs had started with the work of Telkes [1] when she used
salt hydrates PCM for thermal storage in the first solar house constructed in Mas-
sachusetts -USA. Abhat [2] has classified the thermochemical properties of low tem-
perature PCMs, while Lane [3] presented technical and economic aspects of PCMs. Most
recently, Sharma [4] presented a detailed review on medium and low temperature PCMs
while Mehling and Cabeza [5] investigated cold and hot storage in solid-liquid PCMs.
The present paper investigates using a continuous solid phase model the exergy of
latent thermal energy storage under different operating parameters. Molten salts have

https://doi.org/10.1007/978-981-13-1405-6_81
Modelling and Exergy Analysis 707
been considered for the heat transfer fluid (HTF) and sodium nitrate PCM capsules for
the storage medium.
2 Modeling of the Latent Storage System
In the latent storage systems, the hot HTF enables the transfer of thermal energy to the
phase change materials inside the bed. The PCMs undergo a change in the state from
solid to liquid during the storage period by absorbing heat from the HTF. While during
the recovering period, they solidified given back the stored energy to the cold HTF and
therefore permit the energy supply when there is no Sunlight.
Fig. 1. Latent packed bed of spheres for thermal storage.
2.1 Governing Equations

A continuous solid phase model has been used to study the heat transfer in the latent
packed bed system, the enthalpy formulation has been considered for the phase
changing process and the implicit finite volume method has been used to solve the
mathematical model.
708 Z. Erregueragui and A. Tizliouine
Energy conservation equations for the system are as follow:

• HTF:
@Tf @Tf
eCf qf þ eCf qf vf;int
@t @z
ð1Þ
@ 2 Tf
¼ Keff;f þ hf=P afp Tpcm Tf þ hw ðTamb Tf Þ
@z 2
Where e is the bed porosity, qf the HTF density, Tpcm and Tf the PCM and fluid
temperatures, hf=P is the heat transfer coefficient between the HTF and the PCM, afp the
particle specific surface area, vf;int the fluid interstitial velocity, Cf the heat thermal
capacity, Keff;f the fluid effective thermal conductivity, hW the volumetric heat transfer
coefficient related to thermal losses through the wall and Tamb the ambient temperature.
• PCM:
@Hpcm
ð1 eÞqpcm
@t
ð2Þ
@ 2 Tpcm
¼ Keff;pcm þ hf=pcm afp Tf Tpcm
@z 2
Where qPCM is the PCM density, Keff;pcm the effective thermal conductivity of the
PCM, Tpcm and Tf the PCM and fluid temperatures, hf=PCM the heat transfer coefficient
between the HTF and the PCM, afp the specific surface area, e the bed porosity and
Hpcm the total enthalpy of the PCM defined as:
Hpcm ¼ Cp;pcm Tpcm þ f L Lf ð3Þ
Where Cp;pcm is the heat transfer capacity of the PCM.

Lf is the latent heat of fusion and f L is the liquid fraction defined as:
8
>
> f L ¼ 0; Tpcm Tpcm;s
>
< T T
pcm pcm;s
fL ¼ ; Tpcm;s \Tpcm \Tpcm;l ð4Þ
>
> T T
>
:
pcm;l pcm;s
f L ¼ 1; Tpcm Tpcm;l
Where Tpcm;s and Tpcm;l are the solidus and liquidus PCM temperatures.
2.2 Exergy Efficiency

Exergy analysis is a quality energy study based on the second law of thermodynamics that
helps investigating the quality of energy during the heat transfer instead of its quantity.
The charging storage exergy efficiency is expressed as the ratio of stored exergy in the
PCM to the supplied exergy by the HTF during charging:
Exst;PCM
gex;st ¼ ð5Þ
ExHTF
With ExHTF is the exergy transferred by the fluid flow and Exst;PCM the exergy
stored in the phase change materials during charging expressed as:

Z Tf;in ðtÞ
ExHTF ¼ m _ f Cp;f Tf;in ðtÞ Tf;out ðtÞ Tamb ln dt ð6Þ
Tf;out ðtÞ
X
Exst;PCM ¼ mpcm;s Cp;pcm;s Tpcm;sol Tpcm ðt ¼ 0Þ þ mpcm;m Lf

Tamb ð7Þ
þ mpcm;l Cp;pcm;l Tpcm ðt ¼ tf Þ Tpcm;liq 1
Tp
Tf;in ðtÞ; Tf;out ðtÞ are the fluid inlet and outlet temperatures during charging,
Tpcm ðt ¼ 0Þ the initial temperature of the PCMs inside the bed and Tpcm ðt ¼ tf Þ the
temperature of the PCM after charging is finished, Tp the mean temperature value of
the PCM inside the packed bed, m _ f the mass flow of the HTF, mpcm;s , mpcm;m and mpcm;l
are the mass of the PCM in solid, melting and liquid states and Cp;f , Cp;pcm;s and Cp;pcm;l
are the heat transfer coefficient of the fluid, the solid and the liquid PCMs.
3 Validation
The experimental work of Nallusamy et al. [6] has been used to validate the present
model. The authors developed an experimental setup of packed bed latent storage
system using Paraffin as the PCM and water as the HTF. Figure 2 shows both the
temperature distribution of the PCM resulted from the present model and from the
experience conducted in [6]. As it can be seen, the temperature curves are generally in a
good agreement with a maximal relative deviation of 5%.
Fig. 2. Results comparison of the experimental work of Nallusamy et al. [6].

The model has been used to simulate the temperature distributions of the PCMs inside
the latent packed bed and to study the exergy variations with the mass flow rate, the
melting temperature of the PCM and the inlet temperature of the HTF. Table 1 gives
the simulation parameters for the results in Fig. 3(a) and (b):
Table 1. Input parameters for fixed inlet temperature simulations

Element Value Element Value
Bed porosity 0.35 PCM melting temperature 306 °C
Bed height 0.5 m HTF inlet temperature 360 °C
Bed diameter 0.7 m Initial bed temperature 260 °C
Particle diameter 0.025 m Latent heat of fusion 170 kJ.K−1
HTF mass flow rate 0.097 kg/s Charging time 6h
As it is shown in Fig. 3 (a), lower melting temperature of the PCMs gives higher
amount of the stored exergy. Furthermore, (b) indicates that the melting process of the
PCMs occurs more rapidly for the storage system with lower fusion temperature, which
is explained by the bigger amount of energy needed for the PCMs with higher fusion
temperature to reach the melting process.
From Fig. 3(b), we can also infer that the maximum exergy efficiency corresponds
to the melting of the PCM, such maximums are achieved in 2 h charging for (Tm =
290 °C) and in 5 h for (Tm = 340 °C).
Table 2 presents the input parameters for the results plotted in Fig. 4(c) and (d):
Fig. 3. Effect of the melting temperature on both the stored exergy (a) and the exergy efficiency
(b) of the latent packed bed.
Table 2. Input parameters for variable flow rate and inlet temperature simulations
Element Value Element Value
Bed porosity 0.35 PCM melting temperature 306 °C
Bed height 0.5 m HTF inlet temperature (Fig. 4c) 360 °C
(Figure 4d) 310–390 °C
Bed diameter 0.7 m Initial bed temperature 260 °C
Particle diameter 0.025 m Latent heat of fusion 170 kJ.K−1
HTF mass flow rate (Fig. 4c) 0.01–2 kg.s−1 Charging time 1h
(Figure 4d) 0.097 kg/s (Figure 4c) 6h
(Figure 4d)
Fig. 4. (c) The effect of the mass flow rate on the stored exergy; (d) the effect of the HTF inlet
temperature on the supplied exergy.
Figure 4(c) demonstrates that higher mass flow rate allows the storage of bigger
amount of exergy in the PCM, but after reaching the maximum possible exergy that can
be stored in the system, increasing the mass flow rate didn’t improve the stored exergy,
rather it will decrease the exergy efficiency. Conjointly, Fig. 4(d) illustrates how the
supplied exergy is boosted when increasing the inlet HTF temperature.
5 Conclusion
The present paper investigated through numerical modelling, the exergy efficiency of
latent thermal energy storage system. Molten salts HTF and Sodium nitrate PCMs were
considered for the simulations. The results have shown that the stored exergy and the
melting rate can vary with the melting temperature, PCMs with lower fusion temper-
atures will melt more rapidly and can reach higher amount of the stored exergy.
Besides, increasing the mass flow rate enhanced at a certain degree the stored exergy,
while increasing the inlet HTF temperature boosted the supplied exergy during
charging. Future work should focus on the optimization of the storage system.
References
1. Telkes M (1947) Solar house heating-a problem of heat storage. Heat Vent 44:68–75
2. Abhat A (1983) Low temperature latent heat thermal energy storage: heat storage materials.
Sol Energy 30:313–332
3. Lane GA (1992) Phase change materials for energy storage nucleation to prevent
supercooling. Sol Energy Mater Sol Cells 27:135–160
4. Sharma A, Tyagi VV, Chen CR, Buddhi D (2009) Review on thermal energy storage with
phase change materials and applications. Renew Sustain Energy Rev 13:318–345
5. Mehling H, Cabeza LF (2008) Solid-liquid phase change materials. In: Heat and Cold Storage
with PCM. Springer, Heidelberg, pp 11–55
6. Nallusamy N, Sampath S, Velraj R (2006) Study on performance of a packed bed latent heat
thermal energy storage unit integrated with solar water heating system. J Zhejiang Univ Sci A
7(8):1422–1430
Parameters Extraction of Photovoltaic Cell
Based on Experimental Current-Voltage
Characteristic
Hamza Mokhliss(&) and Khalid Rais
Laboratory of Electronics, Instrumentation and Energetics,

Department of Physics, Faculty of Sciences,
Chouaib Doukkali University, El Jadida, Morocco
mokhliss.h@ucd.ac.ma
Abstract. In this paper, we present a method to extract the parameters of the

single diode model, for a polycrystalline silicon photovoltaic cell and for other
photovoltaic modules technologies. This method is based essentially on the use
of the experimental current-voltage characteristic I-V. The calculation of the
expressions for the three parameters, the photo-current Iph, the saturation current
Is, and the shunt resistance Rsh are found through the various equations found at
the three limits points of the I-V characteristic (Isc, Voc, Im, Vm). The two
parameters, the series resistance Rs and the ideality factor n, are found by using
the maximum point derivative equation, and the numerical plot of the loga-
rithmic derivative of the voltage with respect to the current. The numerical
values obtained by testing a polycrystalline silicon cell which the I-V data were
measured in the laboratory, gives good results compared to other methods. The
test made on several photovoltaic module technologies show also the effec-
tiveness of the method in term of calculation.
Keywords: Photovoltaic cell/Modules Simple diode model

Parameters extraction Experimental I-V characteristic
1 Introduction
In recent years renewable energies offer much more enlargement for access to energy
for thousands of people than any modern energy service. In terms of installed capacity
and generated energy, renewable energies are increasingly dominant in terms of
investments in power plants using this type of energies against which using fossil fuel
energy. In the field of photovoltaic, the extraction of the parameters of a cell or a PV
module is the calculation of the different parameters (the photonic current Iph, the
saturation current Is, the series resistance Rs, the shunt resistance Rsh and the factor
Ideality n), for the manufacturers and the developers of the MPPT algorithms, this step
remains primordial for the sequencing of their works. For the cited parameters, the
number of the unknowns to calculate, increase according to the model chosen [1]. In
the literature there are two main models which are the model with single [2] or double
diode [3], the methods of calculating the different parameters is divided between
analytical methods [4, 5], numerical [6, 7] or adjustments [8, 9]. Although several
https://doi.org/10.1007/978-981-13-1405-6_82
714 H. Mokhliss and K. Rais
studies have already been carried out to find a simple, precise and reproducible ana-
lytical extraction method, it remains very interesting to improve the extraction means in
order to optimize the accuracy of the maximum power of the cells and modules. The
novelty of this work lies in the use of the experimental I-V characteristic of either a cell
or a photovoltaic module to extract two crucial information that will be used later to
reduce the complexity of the calculation to obtain the desired parameters.In this paper
the different sections after the introduction were organized as follow. In the second
section we have summarized the methodology and the different steps to calculate the
different expressions of the unknowns parameters, in the third section we have exposed
the main results found compared with other methods in the case of the cell, and the test
of the method on several PV modules technologies.
2 Theory and Calculation
2.1 The Five-Parameter Model

In Fig. 1 the equivalent model of a photovoltaic cell under illumination is represented
by a current generator in parallel with a diode and two parasitic resistances.
Fig. 1. Equivalent circuit of a five parameters model for PV cell
Where the characteristic equation linking the current to the voltage is given as
follows [10].
RS I þ V
I ¼ Iph IS ½exp aðRS I þ V Þ 1 ð1Þ
RSh
Where: a ¼ n qk T
In (1), Iph represents the photo-current, Is the saturation current, Rs the series
resistance and Rsh the shunt resistance. In the variable a, q represents the charge of the
electron (1.602 10−19 C), n the ideality factor, K the Boltzmann constant
(1.381 10−23 J/K) and T the temperature of Cell in Kelvin.
Calculation of the Literal Expressions of Iph, Is, Rsh.
In order to allow a good understanding of the methodology of calculation used in this
work, we give a block diagram which presents the different steps of calculation.
Parameters Extraction of Photovoltaic Cell 715
Indeed, the use of Eq. (1) respectively in the three limits points of the I-V charac-
teristic (short circuit current ISC, open circuit voltage Voc and maximum point Im and
Vm) gives:
At the Short circuit current:
RS ISC
ISC ¼ Iph IS ½exp ða RS ISC Þ 1 ð2Þ
RSh
At the open circuit voltage:
Voc
0 ¼ Iph IS ½exp ða Voc Þ 1 ð3Þ
RSh
At the current and the maximum voltage points:
RS Im þ Vm
Im ¼ Iph IS ½exp a ðRS Im þ Vm Þ 1 ð4Þ
RSh
Expression of the photo-current Iph

According to Eq. (2), at the short circuit voltage, we find:
R S IS c
Iph ¼ IS c þ IS ½exp ða RS IS c Þ 1 þ ð5Þ
RSh
Expression of saturation current IS

The expression of the saturation current is obtained by replacing Eq. (5) in Eq. (3):
This yield:
RS ISC Voc
ISC þ RSh
IS ¼ ð6Þ
exp ða Vo c Þ exp ða RS ISC Þ
Expression of the shunt resistance Rsh

Replacing Eq. (3) in Eq. (4) gives another expression of IS
Im Voc RRSShIm Vm

IS ¼ ð7Þ
exp ða Vo c Þ exp a ðRS Im þ Vm Þ
Equalization between (6) and (7) gives the expression of Rsh as follows:
ðRS ISC Voc Þðexp ða Voc Þ exp a ðRS Im þ Vm ÞÞ þ ðVoc RS Im Vm Þðexp ða Voc Þ expða RS ISC ÞÞ
RSh ¼ ð8Þ
Im ðexp ða Vo c Þ exp ða RS ISC ÞÞ ISC ðexp ða Vo c Þ exp a ðRS Im þ Vm ÞÞ
Calculation of the Parameters Rs and n

Calculation of the expressions of Rs
The derivative of the Eq. (1) with respect to the voltage gives:

dI a IS exp a ðRS I þ V Þ þ R1Sh
¼ ð9Þ
dV
1 þ RRShS þ a IS RS exp a ðRS I þ V Þ
In a photovoltaic cell the expression of the current flowing in the diode is defined
by ID ¼ IS exp a ðRS I þ V Þ [11] and the dynamic resistance can be written as
rD ¼ a1ID . And we note that its value between the maximum point and the open circuit
voltage is between RS<<rD<<RSh, therefore Eq. (9) becomes:
! !
dI a ID þ R1Sh a ID 1þ rD
¼ ¼
RSh
ð10Þ
dV 1 þ RRShS 1þ RS RSh
1 þ RRShS þ aRS ID rD ðRS þ RSh Þ
!
r
1 þ RD
The value of the term Sh
RS RSh go to 1, so its logarithm is eagle to 0 and with
1þ
rD ðRS þ RSh Þ
an inversion in Eq. (10) we obtain:

dV 1 RS
ln ¼ ln 1þ a ðRS I þ V Þ ð11Þ
dI a IS RSh
h i
In the Eq. (11), we put: a ¼ a and b ¼ ln 1
a IS 1þ RS
RSh
In the current-voltage characteristic, the absolute value of the maximum resistance
is given by:

dV
¼ RM ð12Þ
dI
By using (11) at the maximum points and equalization with (12) the expression of
Rs is written as:
b lnðRM Þ aVm
RS ¼ ð13Þ
a Im
It is clear that the expression of Rs in (13) depends on b coefficient which also

contains the parameter Rs, but in our case the parameter b will be determined
numerically, which constitute the advantage of the method to reduce the complexity of
the calculation.
Calculation of ideality factor n
In Eq. (11) a small current in the vicinity of Vco makes it possible to write:

dV
ln ¼ b a V ð14Þ
dI
Taking as a test tool a polycrystalline silicon cell with (3.15 cm 5.50 cm)
dimension, the experimental plot of the equation above gives:
In Fig. 2, the plotted function is obtained by using the experimental I-V charac-
teristic, and we remark that this function shows a linear zone between the maximum
point Im and the open-circuit voltage Voc. In Eq. (14) the coefficient a represents the
slope of this zone, this coefficient is not other than the constant a previously defined,
indeed, the coefficient b in Eq. (14) represents the second constant that will be also
necessary for the Rs calculation. However, the numerical plotting of the logarithm of
the derivative of the voltage with respect to the current is obtained by the numerical
manipulation of the equation below.

Vi Vi1
Di ¼ ln ð15Þ
Ii Ii1
Fig. 2. Variation of experimental logarithmic derivative of the voltage with respect to current
according to the voltage to a polycrystalline silicon cell and the fitting performed in the linear
area.
In the equation below, V is the experimental voltage, I the experimental current, i is

a vector i = 0, 1 … n and n is the number of experimental points.
Numerical determination of the coefficients b
The coefficient b is determined by performing the numerical plotting of the
equation below:
bi ¼ Di þ aVi ð16Þ
The numerical plotting of the equation below gives:
Fig. 3. Variation of experimental coefficient with respect to the voltage
According to Fig. 3, it can be said that the curve can be obtained by using the
experimental measurements of the I-V characteristic to numerically plot the Eq. (16)
and it can be seen that the zone between the points Im and Voc represents a constant and
therefore the coefficient b (Necessary for the calculation of the parameter Rs in
Eq. (13)) is determined by calculating the arithmetic mean [12] of points between
(Vm, Im), and Voc using the equation below.
1 XB
b¼ bi ð17Þ
B A þ 1 i¼A
In Eq. (17), A and B represent respectively the maximum current and the open circuit
voltage. However the coefficient a can also be determined using the formula below.
1 XB
Di Di1
a¼ ð18Þ
B A þ 1 i¼A Vi Vi1
From the two calculations performed for the constants a and b, the two coefficients
are found equal to, a = 17.6447 and b = 7.9558. These coefficients allow deducing all
the sought parameters by replacing them in the equations found previously.
In this part, we expose the test results of the method applied on a polycrystalline silicon
photovoltaic cell, and on several PV modules technologies (polycrystalline Kyocera
KC200GT [13], mono-crystalline SST 230-60 P [14] and the Thin film Shell ST40
[15]), the technical characteristics data are all obtained at the conditions T = 25 °C and
W = 1000 W/m2. In Table 1, we present all the calculated parameters for cell and
modules.
Table 1. Technical characteristics of a polycristallin silicon cell, numerical values of extracted

parameters compared to other methods and extracted parameters for the different PV modules
technologies
From Table 1, it can be seen that the obtained numerical values of the various
parameters for the different methods (Ortiz Conde et al. [2], five-point method [16], and
the proposed method), are within the same range in the case of the polycrystalline
silicon cell, and also we predict that the values obtained in the case of the PV modules
are satisfactory, but in order to be able to confirm the efficiency of each method it is
decided to make a comparison between the experimental and the theoretical I-V char-
acteristics. Figures 4(a), (b) show the experimental and the theoretical I-V characteris-
tics with the fitting error. Figures 4(c), (d) show the results for different PV modules
technologies with the fitting error.
Fig. 4. (a) Experimental curve fitted by the theoretical curve obtained by the present
method compared to others methods for the polycrystalline silicon cell, (b) Methods error
representation resulting from the fitting to the experimental curve, (c) Obtained results by
applying the methods on the polycrystalline Kyocera KC200GT, the mono-crystalline SST 230-
60 P and the Thin film shell ST40, (d) Method error resulting from the fitting for each PV module
From Fig. 4, It can be seen that in the case of the photovoltaic cell the three
methods presented appear in the correct order of coincidence, but the error curves give
more detail on the accuracy of the fitting and we note that the method presented in this
work represents the minimum error among the two which confirms the accuracy of the
method In the case of the test of the method on the three photovoltaic module
technologies, it is noted that the method has a good coincidence in the three types of
module, and according to the error curve it is found that in the critical case the error
reaches only 0.08 A. in general it can be said that the method presents a reliability and
an accuracy in term of calculation.
4 Conclusion
In this work, we presented a new method for extracting the parameters of a photo-
voltaic cell and modules. This method has the advantage of being simple and fast
thanks to the approximations used. The use of technical parameters allows deducing
immediately the five parameters of one exponential diode model. The test carried out
on a polycrystalline silicon cell and several PV modules technologies, showed the
effectiveness of the method to give good accuracy by obtaining a minimal error.
References
1. Humada AM, Hojabri M, Mekhilef S, Hamada HM (2016) Solar cell parameters extraction
based on single and double-diode models: a review. Renew Sustain Energy Rev 56:494–509
2. Ortiz-Conde A, Garcia Sanchez FJ, Muci J (2006) New method to extract the model
parameters of solar cells from the explicit analytic solutions of their illuminated I-V
characteristics. Sol Energy Mater Sol Cells 90:352–361
3. Kurobe KI, Matsunami H (2005) New two-diode model for detailed analysis of
multicrystalline silicon solar cells. Jpn J Appl Phys 44:8314–8321
4. Chan DSH, Phang JCH (1987) Analytical methods for the extraction of the solar cell single-
and double-diode model parameters from I-V characteristics. IEEE Trans Electr Devices
34:286–293
5. De Soto W, Klein SA, Beckman WA (2006) Improvement and validation of a model for
photovoltaic array performance. Sol Energy 80:78–88
6. Sandrolini L, Artioli M, Reggiani U (2010) Numerical method for the extraction of
photovoltaic module double-diode model parameters through cluster analysis. Appl Energy
87(2):442–451
IEEE International Symposium on Industrial Electronics, ISIE 2007, vol 1, pp 4244–0755
8. Sandrolini L, Artioli M, Reggiani U (2010) Numerical method for extraction of photovoltaic
module doule-diode model parameters through cluster analysis. Appl Energy 87(2):442–451
9. Zagrouba M, Sellami A, Bouaïcha M, Ksouri M (2010) Identification of PV solar cells and
modules parameters using the genetic algorithms: application to maximum power extraction.
Sol Energy 84(5):860–866
10. Garoudja E, Kara K, Chouder A, Silvestre S (2015) Parameters extraction of photovoltaic
module for long-term prediction using artificial bee colony optimization. In: 3rd
International Conference on Control, Engineering and Information Technology (CEIT),
Tlemcen
11. Cheung SK, Cheung NW (1986) Extraction of Schottky diode parameters from forward
current-voltage characteristics. Appl Phys Lett 49(2):85–87
12. Nei M (1972) Genetic distance between populations. Am Nat 106(949):283–292
13. Kyocera: Kyocera solar. http://www.kyocerasolar.com/assets/001/5207.pdf
14. SST 230-60P Solar Module informations. www.pvpro.co.uk/…/Specifications_of_SST_

230-60P_Polycrystall
15. Shell ST40 Solar Module information. http://www.gehrlicher.com/fileadmin/content/pdfs/
de/produktarchiv/Shell_ST40.pdf
16. Yadir S (2013) Extraction Des Paramètres Physiques d’une Cellule Solaire. Etude De Leur
Inflluence Sur Le Rendement. Thesis. Chouaib Doukkali University
A Comparative Study on Hydrogen Production
from Small-Scale PV and CSP Systems
Samir Touili1,2, Ahmed Alami Merrouni2(&), Youssef El Hassouani1,

El Ghali Bennouna2, Abdellatif Ghennioui2, and Abdel-Illah Amrani1
1
ESIM, Département de Physique, Faculté des Sciences et Technologies,
Université Moulay Ismail, Boutalamine BP 509, 52000 Errachidia, Morocco
2
Research Institute for Solar Energy and New Energies (IRESEN),
Green Energy Park, Bengrir, Morocco
alami@iresen.org
Abstract. The aim of this study is to simulate the hydrogen production from
small scale solar photovoltaic (PV) and Concentrating Solar Power (CSP) tech-
nologies using 3 years averages of high quality solar irradiation data measured at
ground level. To do so, a EuroDISH Stirling system and a PV plant with a
capacity of 10 kWe have been designed and their electricity production were
simulated under the climate of Bengrir, Morocco. Afterwards, the hydrogen
production, via water electrolysis process, has been calculated for both tech-
nologies and the performances of each technology were assessed. Results show
that Stirling dish produces more electricity than PV with an annual production of
20.7 MWh against 16.7 MWh. Similarly, the annual hydrogen production from
the EuroDISH system is around 364 kg while is around 334,2 kg for the Stirling
dish and PV respectively. Nevertheless, the electricity production from the
Stirling dish is more expensive than from PV with an LCOE of 0,2909 €/kWh
and 0,0928 €/kWh for the dish and PV respectively.
Keywords: Hydrogen Stirling dish Photovoltaic Electrolyze

Morocco
1 Introduction
Solar energy is considered as one of the most important sources to generate renewable
and clean electricity. To convert the solar irradiation into electricity, two main tech-
nologies exist: Photovoltaic (PV) and Concentrating Solar Power (CSP). Each one of
these technologies have its own advantages and inconvenient, however, few are the
studies dealing with the comparison of their performances and/or their applications for
industrial processes, because of the difference in their operating mode. The closest CSP
technology to the PV applications is the solar Stirling dish (SSD). Indeed, both tech-
nologies produce electricity directly from the sun (especially for the dish) without
passing through a thermal process like the towers of the parabolic-trough technologies.
Besides, they are deployed in independent modules that can be connected to meet the
intended power, that can be in the scale of Kilowatts or Megawatts. This modularity
makes them particularly interesting for off grid applications by the mean of standalone

https://doi.org/10.1007/978-981-13-1405-6_83
724 S. Touili et al.
plant. Moreover, PV is a well-established technology that is expanding rapidly [1], in

fact PV was the most installed solar technology globally in the last decade [2]. In the
other hand, SSD is considered as the most efficient solar technology [3], however, it’s
not yet a mature technology. Nevertheless, it has the potential to be competitive in the
future with the technologies that are currently at commercial stage such as PV [4].
Therefore, SSD has been the object of many research work in the last years such as
modelling and optimization [5]. for instance, Bravo et al. [4] evaluated the environ-
mental impact of 10 kWe SSD facility for energy generation and compared it with a
similar PV facility. To this end, the authors used a life cycle assessment procedure
starting from the extraction of raw material, manufacturing processes, packaging,
transport till the disposal. They found similar environmental impact for both tech-
nologies. Barreto et al. [5] developed a dynamic model for small scale SSD for the
purpose of determining its efficiency and electricity production, the results show that’s
an efficiency near 23.8% can be reached by the Stirling engine. Hafez et al. [6] used
Matlab program to simulate a 10 kWe SSD at Zewail city of Science and Technology,
Egypt. It was estimated that the maximum power output was 9707 W at 12:00 PM,
which correspond to a maximum beam solar radiation of 990 W/m2.
However, like all renewable energies they have an intermittent electricity pro-
duction, thus, a storage medium is a necessity for an efficient operation of these
technologies. Hydrogen seems to be an interesting solution in this case. Indeed,
hydrogen has negligible losses when stored even for long periods [7]. Moreover, it
generates 3 time more energy than any other fuels while releasing only water during its
combustion [8]. For this reason, and to assess the feasibility of such hybrid system we,
firstly, need to evaluate the potential for hydrogen production from each technology.
Consequently, the aim of the current study is the simulation of the electricity pro-
duction and the hydrogen production from a SSD and PV plant with a capacity of
10 kWe. The meteorological data used as inputs for the simulation were collected from
a high accuracy meteorological station installed at ground level for a period of 3 years.
The results show that SSD produces electricity and hydrogen more than PV. Never-
theless, the SSD production is more intermittent than the one from PV. For this reason,
we recommend a hybridization of the two technologies for an efficient electricity and
Hydrogen production.
2 Methodology
In this section we will describe the steps followed for the simulation of the hydrogen
production. Firstly, we will discuss the solar irradiation measurements and their
accuracy at the site of Bengrir. After that, the design and characteristics of the 10 kWe
PV plant as well as the EuroDISH system will be presented. Finally, we will describe
the hydrogen simulation process for both technologies.
A Comparative Study on Hydrogen Production from Small-Scale PV and CSP Systems 725
2.1 Solar Resource Assessment

In order to estimate the electricity and hydrogen production the use of solar irradiation
data is required. The PV module converts the Global Horizontal Irradiance (GHI) into
electricity by the mean of the photoelectric phenomena, whereas SSD use a parabolic
dish to focus the Direct Normal Irradiance (DNI) into one point where a thermal
receiver is located to create a high level of temperature. This temperature is then
converted into electricity via a Stirling engine. The data used in this study were
gathered from a high accuracy ground measurement station installed at the Green
Energy Park research facility in Bengrir for 3 years starting from 2015. The 3-year
average for both GHI and DNI data are presented in Figs. 1 and 2 respectively.
Fig. 1. GHI isolines graph (W/m2)
Fig. 2. DNI isolines (W/m2)

As it can be seen Fig. 1, the highest GHI values (above 600 W/m2) are concen-
trated between 10:00 AM and 16:00 PM for at least 9 months (From February to the
end of October). That means that the PV plant can produce electricity, thus hydrogen,
with high efficiency during this period. This doesn’t necessarily mean that the rest of
the year our PV system will not be performant. Regarding the DNI; from Fig. 2 it can
be noticed that it has a different behavior than the GHI. Indeed, the highest amounts is
observed in different times through the year, with wider range of working hours which
make the electricity production from SSD more efficient in comparison to PV, and
more intermittent, though.
2.2 Solar Systems Description

Simulation is widely used technique to estimate the electricity production from solar
energy. Plenty of models and tools are available in the literature. In this study we used
The Green Energy System Analysis software (Greenius) developed by the German
Aerospace Center (DLR) to simulate the electricity production for the two solar systems.
Greenius has been used in many studies for various energy systems [9, 10]. In addition
to technical analysis Greenius also can perform an economic analysis of renewable
energy systems, and one of the key results of the software is the levelized cost of
electricity (LCOE). Indeed, the LCOE is the cost of the 1 kWh of the simulated system
(PV and SSD in our case) and is one of the most used indictors for a technical and
economical comparison of different energy systems.
The simulated SSD system is composed with one unit of EuroDISH with a capacity
of 10 kWe. This system uses Helium as working fluid for its Stirling Engine. Regarding
the PV, the simulated system is composed of 4 strings connected to two converters and
composed with 10 modules each. The nominal AC and DC power of the plant is 9,7
and 10 kWp respectively. For the simulation we selected, the “Yingly Panda YL 250P-
29b” modules with the following characteristics: a maximum power of 250 W, an open
circuit voltage of 37,6, a short circuit current of 8,92 A, an area of 1,62 m2, and 15,4%
efficiency. The “SMA Sunny Boy 5000 TL” is the selected inverter. This inverter has a
nominal AC power of 5 kW, a voltage range between 175 and 500 V, a maximum
current of 15 A, and 96,5% efficiency.
2.3 Water Electrolysis Process

The produced electricity, from both systems, can be used to produce hydrogen via
water electrolysis, which is the process of splitting water molecule by passing elec-
tricity through two electrodes. One of the most developed and used technology for
water electrolysis is the Proton Exchange Membrane (PEM). This Electrolyser is the
one selected for this study. This system requires 52,5 kWh of electricity to produce
1 kg of hydrogen, which is equivalent to 75% efficiency. The mass of hydrogen pro-
duced can be calculated using the following equation:
gelec E
MH 2 ¼
HHVH2
Where, MH2 [Kg] is the mass of hydrogen produced, gelec is the electrolysis system
efficiency, HHVH2 is the hydrogen higher heating value (39,4 kWh/Kg). E [kWh] is the
simulated electricity output from the two systems mentioned above. Since water
electrolysis require DC current, the electricity output directly from the PV modules
(before the conversion into AC by the inverters) is used in the case of the PV plant,
while, for the SSD a power conversion unit is used. The typical efficiency of such units
is reported in the literature to be 92% [11].
3 Selected Results and Discussion
In this part we will present and discuss the simulation results for the daily electricity
and hydrogen production from the PV plant and the solar dish Stirling.
3.1 Electricity Production

Figure 3 represent the daily electricity and hydrogen production from the PV plant.
This system can produce a daily amount of electricity between 13 and 60 kWh. It can
be noticed that the production in spring and fall is higher than the one during summer
time. This is due to the high temperature values that decrease the modules efficiency,
thus, the plant performances.
70 3
Electricity production (kWh)
Hydrogen production (Kg)

60
50
2
40
30
1
20
10
Days
0 0
Electricity production (kWh) Hydrogen production (Kg)
Fig. 3. The daily electricity and hydrogen production from the PV plant.
The electricity and hydrogen production from the SSD system is presented in
Fig. 4. The first observation is that electricity produced from the SSD is very inter-
mittent, this can be explained by the system’s starting operation point. In fact, to start
the production the EuroDISH requires at least a DNI value of 300 W/m2, which is not
always available especially during the cloudy days. However, and due to the higher
efficiency of the EuroDISH, the electricity production via this system its higher than the
one from PV and it exceeds 100 kWh especially in summer.
120 6
Hydrogen production (Kg)

Electricity production (kWh)
100 5
80 4
60 3
40 2
20 1
0 0
Days
Electricity production (kWh) Hydrogen production (Kg)
Fig. 4. The daily electricity and hydrogen production from the Stirling dish.
3.2 Hydrogen Production

The hydrogen production depends directly on the electricity production; accordingly, it
has the same pattern as the electricity production (see Figs. 3 and 4). For the SSD the
daily mass of hydrogen produced can reach 1,89 kg, with an average of 0,99 kg and an
annual amount of 363,6 kg. as for PV it varies between 0,2 and 1,19 kg with an
average of 0,91 kg and annual amount of 334,2 kg.
1
Δ Hydrogen production (Kg)
0.8
0.6
0.4
0.2
0
-0.2
-0.4
-0.6
-0.8
Days
Fig. 5. The difference of hydrogen production between Stirling dish and PV
In order to compare the hydrogen production from the two technologies during the
year, we calculated the difference between the mass of hydrogen produced from SSD
and PV, see Fig. 5. A positive value means that SSD produces more hydrogen and vis-
versa. Simulation results show that the SSD produces more electricity than PV during
almost all the year (in 215 days). The difference is particularly noticeable during the
summer when the PV performance decrease due to the elevation of the PV cell
temperature.
It’s worth mentioning that hybridization between the two systems can be interesting.
A hybrid system is composed of two or more different energy systems in order to
provide a continues electricity production to meet the demand of the user. Such system
can be composed of SSD and PV technologies with hydrogen as storage medium.
Indeed, as seen from Figs. 1 and 2 it is clear that the two system have a different working
hours through the day and the year, which means that both technologies can complete
each other to generate electricity continuously, besides, the excess of energy production
from one or both technologies can be used to produce hydrogen which can be stored and
used by the mean of fuel cell to provide electricity when there is no solar irradiation
available. Such system will require knowing the electricity load demand profile which is
required to be provided first, and then to be sized and optimized accordingly to ensure a
continues supply. A similar study is beyond the scope of this paper but it can be very
interesting subject for future research work.
4 Conclusion
In this paper, the simulation of electricity and hydrogen production from two 10 kWe
solar plant: solar Stirling dish and PV under the climate of Bengrir is presented. We
found that the Stirling dish can produce more electricity and hydrogen than PV, but at
higher cost. Indeed, the levelized cost of electricity from the SSD is 0,2909 €/kWh
while its 0,0928 €/kWh for PV. A hybridization of the two systems, in order to provide
a reliable source of electricity can be interesting, especially if one can be used to
produce hydrogen while the other produce electricity. In the full paper the performance
of both technologies will be investigate further by including other parameters that have
an impact on the performance of both technologies.
References
1. Boudries R (2014) PV system design for powering an industrial unit for hydrogen
production. Int J Hydrog Energy 39(27):15188–15195
2. Merrouni AA (2017) Electricity production from large scale PV plants: benchmarking the
potential of Morocco against California, US. Energy Procedia 119:346–355
3. Kadri Y (2016) Performance evaluation of a stand-alone solar dish Stirling system for power
generation suitable for off-grid rural electrification. Energy Convers Manag 129:140–156
4. Bravo Y (2012) Environmental evaluation of dish-Stirling technology for power generation.
Sol Energy 86(1):2811–2825
5. Barreto G (2017) Modelling of a Stirling engine with parabolic dish for thermal to electric
conversion of solar energy. Energy Convers Manag 132:119–135
6. Hafez AZ (2016) Solar parabolic dish Stirling engine system design, simulation, and thermal
analysis. Energy Convers Manag 126:60–75
7. Mohamed B (2016) Study of hydrogen production by solar energy as tool of storing and
utilization renewable energy for the desert areas. Int J Hydrog Energy 41(45):20788–20806
8. Mostafaeipour A (2016) Evaluating the wind energy potential for hydrogen production: a
case study. Int J Hydrog Energy 41(15):6200–6210
9. Merrouni AA (2016) PV sites suitability analysis in the Eastern region of Morocco. Sustain.
Energy Technol. Assess. 18:6–15
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11. Boudries R (2018) Techno-economic study of hydrogen production using CSP technology.
Int J Hydrog Energy 43(6):3406–3417
Optimal Hydrogen Production by Photovoltaic
Energy Using an Electrolyzer with Cylindrical
Electrodes
Abdelhafid Messaoudi1(&), Sanae Dahbi2, Yamina Khlifi3,

Mostafa El Ouariachi2, and Abdelhak Aziz2
1
National School of Applied Sciences Al Hoceima,
BP: 3 Ajdir, 32003 Al Hoceima, Morocco
messaoudi1968abdelhafid@gmail.com
2
Laboratory of Electrical Engineering and Maintenance (LEEM),
Higher School of Technology, BP: 473, 60000 Oujda, Morocco
3
Laboratory of Renewable Energy, Embedded Systems
and Data Processing, National School of Applied Sciences,
Mohammed First University, Oujda, Morocco
Abstract. In this paper, we present a new electrolysis design for maximum

hydrogen production using photovoltaic panel so as to get a clean production
and a clean storage of energy. The new electrolysis is build with two coaxial
cylindrical electrodes which have a radial electrical field with a very low edge
effect. The method is based on electrical field confinement which exists in the
thin space between the two cylindrical electrodes. The electrical field polarizes
water molecules and defeats their enthalpy of formation. A comparative study
between a new design and a classical one is made. This study shows that using
the same electrical power for the two designs, flat and cylindrical electrodes;
hydrogen production for the new design is higher. To reach a good adaptation
between the photovoltaic panel and electrolysis device, a DC/DC boost con-
verter having an MPPT control is used. Due to an algorithm named incremental
conductance, a PWM signal is produced for controlling the boost device.
Keywords: Electrolysis Photovoltaic panel Electrical field

Cylindrical electrodes DC/DC boost PWM MPPT
1 Introduction
The most widely used hydrogen production process (95%) is steam reforming [1, 2]
(transformation of methane into hydrogen). The remaining 5% is mainly produced by
the electrolysis of water [3, 4]. This last process seems to be the most ecological
solution for producing hydrogen.
The authors of the references [5–10] present various parameters to be optimized in
order to obtain the best performances of hydrogen production by electrolysis of water
in a electrolyzer with flat electrodes.
This article focuses on a study on the shape of the electrodes used and the possible
improvement of the hydrogen production process. The latter is supplied by the

https://doi.org/10.1007/978-981-13-1405-6_84
732 A. Messaoudi et al.
photovoltaic source by means of a DC/DC converter controlled by a Maximum Power

Point Tracking (MPPT) control.
2 Photovoltaic-Electrolyzer System and MPPT Algorithm
To track the maximum power point of PV source, we implemented the MPPT control
algorithm known as incremental conductance [7]. The result of this implementation is
to generate a pulse width modulated (PWM) signal of frequency100KHz. The imple-
mented algorithm allows the adjustment of the duty cycle to transfer the maximum
available power from the PV panel to the electrolyzer.
All the power produced by the PV is transferred to the electrolyzer to produce
hydrogen. This must then accept variable voltages when the external physical condi-
tions change (Fig. 1).
Fig. 1. Electrical diagram of the PV system supplying the electrolyzer
3 Design of the Electrolyzer with Cylindrical Electrodes

3.1 Electrolysis Process
The electrolysis of water is the dissociation of water molecules into hydrogen and
oxygen under the effect of an electric current that passes through the existing aqueous
solution between the two metal electrodes. This process can be expressed respectively
at the anode and the cathode by:
1
H2 OðlÞ ! O2 ðgÞ þ 2H þ ð1Þ
2
2e þ 2H þ ! H2 ðgÞ ð2Þ
Therefore, the overall reaction of this decomposition can be written:
1
H2 OðlÞ ! O2 ðgÞ þ H2 ðgÞ ð3Þ
2
Optimal Hydrogen Production by Photovoltaic Energy 733
3.2 Electrolyzer with Cylindrical Electrodes

In the literature, the process for producing hydrogen is obtained by means of elec-
trolyzers with flat electrodes. In this article, we design an electrolyzer with 316L
stainless steel cylindrical electrodes in the diagram of Fig. 2.
Fig. 2. Electrolyzer with cylindrical electrodes
The electric field is created by the potential difference VS between the two cylin-
drical electrodes and is at a point r such that R1 < r < R2
VS
E ðr Þ ¼ ð4Þ
r lnðRR21 Þ
In comparison with the electrolyser with flat electrodes, the electrostatic field is
independent of the thickness separating the electrodes. His expression is:
r Q
E ðr Þ ¼ ¼ ð5Þ
e Se
where:
Q: quantity of charges
S: electrode surface
e: is the dielectric permittivity of water.
We designed the electrolyzer to maximize the electrostatic energy in the medium by

choosing the thickness e between the two cylinders as low as possible and the most
suitable. As a first approximation, the energy W is written as:
peR1 VS2
w¼ ð6Þ
e
This energy in the electrolyzer required to dissociate a quantity of water of mass

mH20 must be supplied by the photovoltaic source for a time t. the t energy WPV
provided by photovoltaic source is:
WPV ¼ VS IS t ð7Þ
Where Is is the current flowing through the aqueous solution. From the both
relations (8) and (9), the current Is is deduced:
peR1 VS
IS ¼ ð8Þ
et
3.3 Electrical Model of the Electrolyzer

The electrical model of the electrolyzer is given in Fig. 3.
Fig. 3. Electric model of the Electrolyzer
When the current passes through the aqueous solution, the voltage across the
electrolyzer can be represented by the sum of the Nernst voltage Erev, the activation
overvoltage at the cathode ηC, the activation overvoltage at the anode ηA, and inter-
facial overvoltage ηI.
The mass of water mH2O, with volumic mass q, which is subjected to electrolysis
is found in the volume between the two cylinders (considering the approximation
e<<R1):
mH2 O ¼ qV ¼ q2pR1 eh ð9Þ

Then, a mass flow of hydrogen as a function of the PV power (P) is:

IS e
mH2 ¼ t ¼ 9P 2 2 t ð10Þ
C qC e
It obviously appears that the amount of hydrogen released by the electrolyzer

greatly depends on the available PV power and the thickness between the two
cylinders.
4 Experimentation, Simulations and Discussions
4.1 Electrolysis Test

In order to validate all the theoretical results, we supplied the cylindrical electrolyzer
(e = 2 mm) with an ideal source of variable voltage (Fig. 3). We made two tests. In the
first test, we completely filled the cylinder with water. In the second test, we kept the
cylinder half filled. During each test, we measured the current flowing through the
electrolyzer. The results are grouped in Tables 1 and 2:
Table 1. Obtained results with fully filled Cylinder

Voltage VS (V) 5 12 17 24
Current IS (A) 0.61 2.88 4.56 6.94
Table 2. Obtained results with half filled Cylinder

Voltage VS (V) 5 12 17 24
Current IS (A) 0.34 1.42 2.18 3.26
During all the tests, we found that the hydrogen production is maximum when the
cylinder is completely filled with water and increases more for higher voltages.
The analysis of the results in Table 1 makes it possible to justify these observations
since the current Is, which characterizes the electrolysis process (quantity of hydrogen
formed in relation (10)).
It appears that the power ideally absorbed in the electrolyzer is that corresponding
to a fully filled cylinder situation and a higher voltage.
4.2 Simulation of PV-Electrolyzer System

In a PV system, the source is not ideal. The optimal power depends on the external
physical conditions (insulation, temperature). This power must be tracked by an MPPT
algorithm and then transferred completely to the electrolyzer so that it is entirely
consumed by the electrolyzer under fluctuating current and voltage. The quantity of
hydrogen produced is proportional to this power. We have simulated the photovoltaic-
electrolyzer system for a variable insulation, a temperature of 25 °C and in the
hypothesis of the cylinder fully filled with water. The results are shown in Figs. 4, 5
and 6.
Fig. 4. Variation of solar irradiance
Fig. 5. Variation of panel power
For variable sunshine (from 1000 to 200 W/m2), the maximum available power
delivered by the photovoltaic source varies from 180 to 40 W. This power dependent
on the environment is consumed in the electrolyzer in the form of voltage and current.
The voltage across the electrolyzer varies from 72 to 32 V while the current varies from
2.2 to 1.2 A. Note that all the power delivered by the PV source is transferred to the
electrolyzer by the MPPT command.
The flow rate of hydrogen produced is proportional to the available PV power. The
relationship (18) is well verified. From these analyzes, it is clear that to have a max-
imized hydrogen flow rate, it is necessary to remain in the hypothesis of the fully filled
cylinder with water and to consume the PV power completely in the electrolyzer. The
major advantage of this electrolyzer, compared to conventional electrolyzers (with
cells), is its ability to accept fluctuating voltages at its terminals. In this electrolyzer
with cylindrical electrodes, it is not necessary to control the quantity of water injected
into the two cylinders (as flat electrode electrolyzer).
Fig. 6. Variation of hydrogen mass flow
5 Conclusion
In this article, we have designed an electrolyzer with concentric cylindrical electrodes

separated by a thickness e to increase the electrical field and consequently to improve
the electrolysis process. It is powered by a photovoltaic system delivering a power
dependent on the surrounding physical conditions. To transfer the maximum power to
the electrolyzer, we have equipped it with a control algorithm using a boost-type
DC/DC converter using an MPPT (incremental conductance) digital control. We have
shown, in the hypothesis of the filled cylinder, that the production of hydrogen is
maximal and tracks the maximum power available.
References
1. Turner JA (2004) Sustainable hydrogen production. Science 305:972–974
2. Sichilalu S, Tazvinga H, Xia X (2016) Optimal control of a fuel cell/wind/PV/grid hybrid
system with thermal heat pump load. Sol Energy 135:59–69
3. Rosen MA, Scott DS (1998) Comparative efficiency assessments for a range of hydrogen
production processes. Hydrog Energy 23:653–659
4. Trommer D, Noembrini F, Fasciana A, Rodriguez D, Morales A, Romero M, Jesus JC,
Steinfeld A (2006) Hydrogen production by steam-gasification of petroleum coke using
concentrated solar power—II Reactor design, testing, and modeling. Hydrog Energy
31:797–811
5. Padin J, Veziroglu TN, Shahin A (2000) Hybrid solar high temperature hydrogen production
system. Int J Hydrog Energy 25:295–317
6. Derbal-Mokrane H, Benzaoui A, M’Raoui A, Belhamel M (2010) Feasibility study for
hydrogen production using hybrid solar power in Algeria. Int J Hydrog Energy 36:4198–
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7. Smitley DL, Lee I (1988) Comparative Analysis of Hill Climbing Mapping Algorithms,
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production by an adaptive photovoltaic system and P&O algorithm. J. Theor Appl Inf
Technol 84:42–47
9. Dahbi S, Aziz A., Messaoudi A, Mazozi I, Kassmi K, Benazzi N (2017, in press)
Management of excess energy in a photovoltaic/grid system by production of clean
hydrogen. Int J Hydrog Energy
10. Dahbi S, Mazozi I, Benabdellah N, Benazzi N, Abdelhak A. (2017) Efficient power
management strategy of Photovoltaic/Load/Electrolysis/Grid hybrid system. In: IEEE transl,
international renewable energy congress (IREC), Amman, Jordan
Modeling Surface Solar Radiation for Cloudy
Sky Using MODIS Atmospheric Products
Farah Benharrats(&), Habib Mahi, and Hamida Samiha Rahli
Centre of Space Techniques, Algerian Space Agency,

1 avenue de la Palestine, BP13, 31200 Oran, Arzew, Algeria
fbenharrats@cts.asal.dz
Abstract. An accurate estimation of solar radiation received on ground is

essential in many solar energy applications, particularly those relying on con-
centrating solar technologies. In this work, we present a model to estimate the
hourly total radiation for cloudy sky and using Moderate Resolution Imaging
Spectroradiometer (MODIS) atmospheric products. The theoretical model
selected is the radiometric model of Davies & Hay. This model has been modified
to take into account the effect of clouds by adding a transmittance function that
obeys the Beer-Lambert law. Atmospheric parameters (water vapour, ozone,
aerosols, etc.) required for the model are obtained from MODIS atmospheric
products and the effectiveness of the proposed methodology is tested on
Tamanrasset site (22°47′20″N, 5°31′33″E) in Algeria. Results of our methodol-
ogy are compared with those obtained from the Copernicus Atmosphere Moni-
toring Service (CAMS) radiation extracted from the SoDa server (Solar radiation
Database for environment, www.soda-is.com). Statistical analyses of calculated
and CAMS radiation values are in good agreement with the mean correlation
coefficients and the mean relative error are 0.60 and 19.8%, respectively.
Keywords: Surface Solar radiation Cloud MODIS Radiometric model

Transmittance
1 Introduction
With the continuous increase in energy demand, the actual energy sources that com-
prise mainly fossil fuels will not be enough to meet the world energy needs by 2050
[1]. There is then high risk of shortage and eventually to depletion [1]. To this end,
Algeria has initiated a very ambitious program to develop its huge renewable energy
potential. It is hoped that, through this program, it will be able moving from a fossil
fuels era to a clean and sustainable energy era. Renewable energy-based power plants
totaling about 22 gigawatt (GW) of power are expected to be installed in the period
extending from 2011 to 2030 [1].
With such an ambitious program, reliable solar radiation data is necessary.
Moreover, recent studies have indicated that small uncertainty in the quantitative
evaluation of solar resources can jeopardize the economic viability of large-scale solar-
based projects [1]. Up to now, the most accurate data are obtained from ground solar
measurement stations. However, the number of ground solar measurement stations is

https://doi.org/10.1007/978-981-13-1405-6_85
740 F. Benharrats et al.
very limited [1]. This is due on one hand on the high cost of the measuring instru-
mentation and on the other hand on the required periodical needs and cost for main-
tenance and calibration [1]. Satellite image derived data is another source of data used
in solar radiation assessment but are not readily available. To overcome this hurdle,
resort to a combination of radiometric models and satellite image derived data could be
an interesting alternative [1].
The model proposed in this contribution derived from a combination of the Davies
& Hay radiometric model [2–4] that calculate solar radiation under cloudless skies and
atmospheric data obtained from the Moderate Resolution Imaging Spectroradiometer
(MODIS) atmospheric products [5]; this estimation is then amended taking into
account the effect of the cloud cover using an appropriate transmission function that
obeys the Beer-Lambert law [6].
A large-scale, continuous, and detailed measurement of global atmospheric profile
parameters as water vapor amount, ozone column and aerosols come from satellite data
of MODIS sensor on board the NASA Terra and Aqua satellites [7].
The aim of our contribution is then to overcome the limited temporal coverage of
satellite-based solar radiation estimation and the purely theoretical aspect of radio-
metric models that is far from the real radiation estimate. Our approach will eventually
allow us to find a compromise that will benefit from the resulting information from
both methodologies.
2 Methods
2.1 Overview of the Method
We use a combination of the clear-sky solar radiation model of Davies & Hay [2–4] and
a cloud transmittance algorithm to estimate global solar radiation under all-sky condi-
tions, utilizing the atmospheric composition data from the MODIS atmosphere products.
All the key terms in the equations within these sections is documented in Table 1.
Table 1. Key variables in the computing scheme.

Term Description Estimated from
hZ Solar zenith angle MODIS data
ISC Extraterrestrial solar irradiance Algorithm from [2, 3]
To Transmittance of ozone absorptance hZ, MODIS total ozone column
data; Algorithm from [2, 3]
Tr Transmittance of Rayleigh scattering Algorithm from [2, 3]
Ta Transmittance of aerosol absorptance and hZ, MODISAngstrom Exponent
scattering and
aerosoloptical depth data;
Algorithm from [2, 3]
TC Transmittance of cloud absorptance hZ, MODIS cloud optical
thickness data
(continued)
Modeling Surface Solar Radiation for Cloudy Sky 741
Term Description Estimated from
aw Water vapor absorptance hZ, MODIS water vapor column
data; Algorithm from [2, 3]
FC Ratio of the forward-scattered irradiance to the Values by [2, 3]
total scattered irradiance due to aerosols
xo Single scattering albedo Values by [2, 3]
qs Ground albedo Values by [2, 3]
q′a Clear-sky albedo Algorithm from [2, 3]
Mr Relative air mass Algorithm from [2, 3]
Ma Pressure-corrected air mass Algorithm from [2, 3]
z Site’s elevation Values in meter (m)
w Total perceptible water vapor column (cm) MODIS water vapor column
data
O3 Total ozone column (cm) MODIS total ozone column data
a Angstrom exponent MODIS Angstrom Exponent
b Angstrom turbidity MODIS Angstrom Exponent;
Algorithm from [2, 3]
The Davies & Hay model [2–4] gives an estimate of direct and diffuse radiation
under cloudless condition, which are calculated as functions of individual transmittance
and scattering coefficients of major atmospheric constituents (ozone, water vapor and
aerosols). The global radiation under clear sky (G) is given by [2–4]:
G ¼ In þ D ð1Þ
Where the incident direct beam radiation under clear sky (In) is calculated as [2–4]:
In ¼ ISC coshZ ðTo Tr aw ÞTa ð2Þ
And the incident diffuse irradiance under clear sky (D) as [2–4]:
D ¼ ISC coshz ½To 0:5ð1 Tr ÞTa þ ðTo Tr aw ÞFC xo ð1 Ta Þ

h 0
0
i ð3Þ
þ ðIn coshz þ ISC coshz ½To 0:5ð1 Tr ÞTa þ ðTo Tr aw ÞFC xo ð1 Ta ÞÞqs qa = 1 qs qa
The expressions of the different components of the direct beam radiation and the
incident diffuse irradiance are given by [2–4]:
2:9 w:Mr
aw ¼ 1 T w ¼ ð4Þ
ð1 þ 141:5 w:Mr Þ0:635 þ 5:925 w:Mr
!
0:02118 O3 :Mr 1:082 O3 :Mr 0:0658 O3 :Mr
To ¼ 1 þ þ ð5Þ
1 þ 0:042 O3 :Mr þ 3:23 104 ðO3 :Mr Þ2 ð1 þ 138:6 O3 :Mr Þ0:805 1 þ ð130:6 O3 :Mr Þ3
h i1
Mr ¼ coshZ þ 0:15ð93:885 hZ Þ1:253 ð6Þ
Tr ¼ 0:972 0:08262 Ma þ 0:00933 Ma2 0:00095 Ma3 þ 0:000437 Ma4 ð7Þ
Ma ¼ Mr expð0:000184 zÞ ð8Þ
Ta ¼ ð0:12445 a 0:0162Þ þ ð1:003 0:125 aÞexpðbMa ð1:089 a þ 0:5123ÞÞ ð9Þ
2.2 Algorithms for Estimating the Global Solar Radiation Under

Cloudy-Sky Conditions
By assuming that the atmosphere is homogeneous and can be represented by plane-
parallel layers without three-dimensional effects. Under cloudy conditions, we admit
that clouds obey Beer-Lambert’s transmittance law [6]. This allows us to deduce a
transmittance function that can be applied to clear sky irradiance G to produce a GCC
under cloud cover as:
GCC ¼ GTC ð10Þ
2.3 MODIS Data for Estimation of Global Land Surface Solar Radiation
As discussed above, this method needs atmospheric inputs of ozone column, water
vapor column, aerosol Angstrom coefficients and cloud optical thickness. The MODIS
atmosphere product directly provides all the inputs except aerosol Angstrom coeffi-
cients (a and b, representing the size distribution of aerosol particles and the general
haziness of the atmosphere) [7].
For the Angstrom coefficients, MODIS products only provide the Angstrom
exponent a, so we use the Angstrom law to derive b, and then use both a and b to
calculate aerosol scattering effects following algorithms [7]. MODIS data was chosen
for a single date at a specific time (10:25 am) and the detailed information of MODIS
parameters used in this study is listed in Table 2 [5].
Table 2. MODIS products used in the computing scheme.

Data fields MODIS product name
Temporal Descriptions
resolution
Angstrom_Exponent_1_Ocean MOD04_L2/MYD04_L2 10:25 Angstrom
Exponent (0.550
and 0.865 l) best
solution
Optical_Depth_Land_And_Ocean MOD04_L2/MYD04_L2 10:25 Aerosol Optical
Thickness at 0.55
l for both Ocean
and Land
(continued)
Data fields MODIS product nameTemporal Descriptions
resolution
Cloud_Optical_Thickness MOD06_L2/MYD06_L2 10:25 Cloud optical
thickness
Total_Ozone MOD07_L2/MYD07_L2 10:25 Total ozone
column (cm)
Water_Vapor MOD07_L2/MYD07_L2 10:25 Total perceptible
water vapor
column (cm)
To evaluate the efficiency of our method, we chose the site of Tamanrasset that is
located in south of Algeria and that experiences a hot desert climate, i.e. very hot
summers and mild winters. The sky is for the most part clear throughout the year and
the relative humidity is very low, especially during summer months.
We opted for MODIS atmospheric data at a specific time and not for daily or
monthly data provided by MOD08/MYD08 [7] as shown in Table 2. Moreover, since it
is difficult to obtain measurement data from a radiometric station, we compared our
results with Copernicus Atmosphere Monitoring Service (CAMS) radiation, freely
accessible from the SoDa server (Solar radiation Database for environment, www.soda-
is.com) [8].
The Fig. 1(a) shows the daily variation of global radiation of our method and
CAMS radiation [8]. The comparison show a coefficient of correlation about 0.60 (see
Fig. 1(b)) and a mean relative error of 19.8%.
The effect of clouds on solar radiation is well shown in Fig. 2(a), where the clear
sky radiation has larger values than the cloud-covered sky with a difference of about
Tamanrasset (year 2011 (10:25 am))
1100 1100
1050 (b)
(a) 1050 y = 193.26624 + 0.9774 x
1000
r = 0.79703 , R2= 0.59879
1000
Global solar irradiance (W.m )
-2
950
Global Irradiance (W.m )
-2
900 950
850
900
800
850
750
700 800
650
750
600
Global irradiance (Davies-Hay model & MODIS)
550 700
Global irradiance (CAMS radiation v3.0)
500
650
14/12/2010 27/02/2011 13/05/2011 27/07/2011 10/10/2011 24/12/2011
500 550 600 650 700 750 800 850
Day -2
Global irradiance CAMS radiation (W.m )
Fig. 1. (a) Global irradiance as a function of the date. (b) Global irradiance obtained as a
function of the global irradiance by CAMS radiation v3.0.
Tamanrasset (year 2011 (10:25 am))

1100 1,0
(a) (b) Clear sky global transmittance
1000 0,9
Cloudy sky global transmittance
900
0,8
Global solar irradiance (W.m )
-2
800
0,7
Transmittance function
700
0,6
600
0,5
500
0,4
400
0,3
300
0,2
200 Global irradiance (clear sky)
Global irradiance (cloudy sky) 0,1
100
0 0,0
14/12/2010 27/02/2011 13/05/2011 27/07/2011 10/10/2011 24/12/2011 1,0 1,1 1,2 1,3 1,4 1,5 1,6 1,7
Day Air mass
Fig. 2. (a) Global irradiance of clear and cloudy sky as a function of the date. (b) Clear and
cloudy sky global transmittance as a function of air mass.
45.6%. The cloud-modifying factor is obtained by an estimated transmittance function

as a function of the optical thickness obtained from the MODIS sensor and we note in
Fig. 2(b) that the clear sky global transmittance follows a homogeneous variation,
while the overcast transmittance is sparse due to the contingent presence of clouds.
4 Conclusion
In this work, we proposed a simple but efficient method to estimate global solar
irradiance from combining a radiometric model of Davies & Hay [2–4] with atmo-
spheric data extracted from MODIS sensor [5]. We have taken into account the effect of
clouds by adding a transmittance that results from the optical cloud thickness also
obtained from MODIS sensor [5].
Satellite-based estimation data from CAMS radiation v3.0 [8] was used to evaluate
our products. Evaluations shows that our MODIS-based estimates are in good agree-
ment with CAMS radiation values (R2 = 0.60, mean relative error = 19.8%). In
addition, comparisons indicate that this study provides substantially better estimates of
total solar radiation than the purely theoretical models, therefore can provide a reliable
alternative solar radiation dataset for the scientific use.
The method introduced in this study intends to keep the simplicity of the modeling
framework, which only requires the inputs of the time, and the publicly available
MODIS products, which enables users to efficiently estimate the solar radiation for
various purposes in the land surface modeling studies.
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6:7136–7157. https://doi.org/10.3390/rs6087136
8. SoDa (Solar radiation Database for environment) server (2018), CAMS radiation service v3.0,
www.soda-is.com. Accessed 10 Jan 2018
Turbulent Forced Convection Heat Transfer
in a Horizontal Partitioned Channel
K. Amghar1(&), M. A. Louhibi1, H. Bouali2, N. Salhi1, and M. Salhi1

1
Laboratory of Mechanics and Energy, Department of Physics,
Faculty of Sciences, Mohamed Premier University, Oujda, Morocco
amgharkamaler@gmail.com
2
Laboratory of Renewable Energy,
Embedded System and Information Processing,
National School of Applied Sciences, Mohammed Premier University,
Oujda, Morocco
Abstract. A numerical study has been carried out to investigate heat transfer
enhancement and fluid flow characteristics through a partitioned channel. This
one contains a solid body between two identical isothermal horizontal walls.
The conservation equations are solved by using a finite volume method and the
k-e turbulence model is chosen to treat the turbulence phenomena. The aim of
this paper is to investigate the effect of different body’s aspect ratios, A/B = 0.5;
0.75; 1, on streamlines, isotherms structures and profiles of velocity in upstream
and downstream of the block. We concluded that the total heat transfer increases
exponentially with increasing the body’s aspect ratio.
Keywords: Finite volume Forced convection Turbulent

Horizontal channel Solid body
1 Introduction
The flow and heat transfer associated with interrupted surfaces between two parallel
walls and heating blocks located in open or closed geometries has been investigated
numerically and experimentally by many researchers. This flow situation has received
considerable attention due to its interest in many applications such as, electronic
cooling, turbine blades and heat exchangers systems [1]. Generally in this kind of
systems, there is a heat generation in the blocks (electric resistance, chemical or nuclear
reaction, etc.). However, the literature review shows that several numerical studies
relevant to these problems are performed by assuming that the blocks are maintained at
constant temperature (i.e. isothermal blocks). Young et al. [2] and Wang et al. [3]
studied the amelioration of heat transfer by increasing surface area and by interrupting
the wall boundary layer to promote mixing and turbulence. An extensive experimental
studies of turbulent flow past a square bar placed at various distances from an adjacent
wall has been performed by Durao et al. [4] and Bosch et al. [5–7]. Further, in 2000,
Valencia [8] investigated heat transfer and friction factor in a horizontal channel with a
provided square bar of different sizes detached from the channel wall. They studied the
relation between heat transfer and Reynolds number (Re) based on channel height.

https://doi.org/10.1007/978-981-13-1405-6_86
Turbulent Forced Convection Heat Transfer in a Horizontal Partitioned Channel 747
Other studies concerning turbulent forced convection in horizontal partitioned

channels are also available in literature [9, 10]. The objective of this paper is to study
the effects of body’s aspect ratio on turbulent forced convection heat transfer. Results
are presented in terms of streamlines, isotherms and velocity profiles through a parti-
tioned channel.
2 Analysis and Modeling

2.1 Statement of the Problem
The physical system studied is shown in Fig. 1. The flow regime is assumed to be two-
dimensional (2D), turbulent, and stationary. The fluid is Newtonian and incompress-
ible. In order to improve heat transfer, one solid block is placed symmetrically inside a
channel (height D).The block and the two horizontal walls are heated by a constant
temperature Tw ¼ 100 C.
The followings assumptions were taken into account:
1. The thermo-physical characteristics of the fluid are assumed constant;
2. Profiles of velocity and temperature are assumed uniform at the entrance;
3. Walls of the duct have the same constants Temperatures;
4. Radiation heat transfer is neglected.
Fig. 1. Geometry of the partitioned channel.
2.2 Mathematical Model

The flow is assumed as two-dimensional, turbulent, incompressible, and steady.
Buoyancy and radiation heat transfer effects are neglected. The fluid’s thermodynamic
properties are assumed to be constant.
748 K. Amghar et al.
The governing flow equations (continuity, momentum and energy equations) used
to simulate the incompressible steady fluid flow and heat transfer in the given com-
putational domain are given as:
Continuity:
@
ðqui Þ ¼ 0 ð1Þ
@xi
Momentum:

@ @P @ @ui @uj
ðqui uj Þ ¼ þ lð þ Þ ð2Þ
@xj @xi @xj @xj @xi
Energy
@ @ @T
ðqui TÞ ¼ ðC Þ ð3Þ
@xi @xj @xj
The k e model is defined by two transport equations, one for the turbulent kinetic
energy k and the other for the specific dissipation rate ɛ, where proposed by launder and
Spalding [11].

@ @ lt @k
ðqui kÞ ¼ ðl þ Þ ð4Þ
@xi @xj rk @xj

@ @ lt @e
ðqui eÞ ¼ ðl þ Þ ð5Þ
@xi @xj re @xj
2.3 Boundary Conditions

The boundary conditions, used to solve the above governing equations are:
• At the inlet section:
u ¼ uin ¼ 0:029 m/s, v ¼ 0; T ¼ Tin ; P ¼ Patm
• At the outlet section:
@u @v @T @k @e
@x ¼ 0; @x ¼ 0; @x ¼ 0; @x ¼ 0; @x ¼ 0; P ¼ Patm
• Channel walls:
u ¼ v ¼ 0; @T
@x ¼ 0
• Solid blocks surfaces: u ¼ v ¼ 0; T ¼ Tw :
3 Numerical Method
The governing differential Eqs. (1–5) were solved numerically with an iterative finite
volume method. Details of this method are presented by Patankar [12]. The convection
terms in the equations were approximated using a second order upwind scheme. The
velocity and pressure fields are linked by the semi-implicit method for linked equations
SIMPLE algorithm proposed by Patankar [12]. A non-uniform grid is used depending
on the cases studied, with a refinery in near the block and close to horizontal walls. The
criterion of convergence of the numerical solution is based on the absolute normalized
residuals of the equations that were summed for all cells in the computational domain.
Convergence was considered as being achieved when the largest residual of all vari-
ables falls below 108 . During the program tests, solutions for typical case were
obtained using different grid sizes, Table 1, to ensure that the solution is grid-
independent. Grid independence tests were carried out by comparing the mean Nusselt
number and skin friction for various grid arrangements. It is observed that for 625
125 control volumes the damping effect of the grid size is very small compared with
those of 750 150 control volume. More, the calculation time with the finest grid size
(750 150) is increased two-fold compared with a 625 125 control volumes. In light
of these results, one concluded that a 625 125 grids, is adequate for our simulation.
Indeed, for the reason of grid size refinement near solid walls, the dimensionless
sublayer-scaled parameter chosen in the laminar case is y+p < 11.6 and y+p > 11.6, for
the turbulent case (see the formulation given by Launder and Spalding [11]. This
parameter is employed to prescribe the boundary conditions along the faces of the
block and the channel walls of the computational domain.
Finally, the validation parameters for the case of a channel with a mounted square
bar in the channel are Re = 105, B/D = 0.152, L/D = 5.
Table 1. Mean Nusselt number and mean skin friction for various grid arrangements.
Grid sizes 300 60 400 80 500 100 625 125 750 150
Cf 13:42 14:33 15; 13 15; 83 16; 29
Nl 52:50 54:47 56; 08 57; 32 57; 90
4.1 Code Validation

The calculation code based on finite volume method was extensively exercised on
benchmark problems to check its validity (see, Fig. 2). In one hand, the validation is
achieved by comparing our results, in case of turbulent forced convection, with those
obtained by with Nakagawa et al. [13]. As can be seen in Fig. 2, the local Nusselt
number along the channel obtained by our code, present an excellent agreement with
the experience data [13].
Fig. 2. Comparison of local Nusselt number distribution with experimental results from [13].
In the other hand, the code was validated in the case of turbulent forced convection
in a channel with baffles as shown by Amghar et al. [14]. Also, we have compared the
results obtained by our code to those of Benzenine et al. [15]. They have studied the
heat transfer and flow in channel with waved baffle. It was concluded that the largest
discrepancies between our results and published results can be estimated to be less than
2% (see Amghar et al. [14]). Consequently, the code can be used for this kind of
problem. For numerical simulation parameters, we have chosen those considered in the
experimental work of Nakagawa et al. [13]. Indeed, they have studied one bar centered
in the channel with a plane shape for parameters composed by inlet, outlet temperatures
and Reynolds number, listed in Table 2.
Table 2. Values of the physical parameters.

Parameters Values
Reynolds number, Re 105

Inlet temperature, Tin ð CÞ 20
Wall Temperature, Tw ð CÞ 100
Inlet velocity, uin ðm=sÞ 0.029
Outlet pressure, P(Pa) 105
4.2 Streamlines and Isotherms

Figure 3 presents streamlines for different block’s aspect ratio ranging from 0.5; to 1.
The effect of these parameters on the flow pattern and the structure of the steady
recirculation eddies is clearly observed.
Fig. 3. Streamlines: (a) A = 0. 5 B, (b) A = 0. 75 B, (c) A = B
For very low aspect ratio, (Fig. 3(a)), a small recirculation zone, with a fin form, is
observed downstream of the block. This is due to the presence of the block, which
causes a flow separation. The form of the recirculation zone change with further
increment of aspect ratio. However, where the aspect ratio A/B is equal to one, we can
observe a vortex from the downstream of block. The maximum vortex is explained by
the fact that the air is more blocked by the block (Fig. 3(c)), for this, the vortices
become more intense and can be increased in volume with the increase of A/B.
Patterns of isotherms for various aspect ratios are shown in Fig. 4. One can con-
cluded that the increase of the block’s aspect ratio has a meaningful effect on heat
transfer inside the channel. Indeed, the isotherms are very dense near solid surfaces, of
the block and the channel walls. This is because the importance of the temperature
gradient near solid surfaces which allows heat to be strongly transferred from the solid
block to the fluid neighboring. It’s clear that the presence of the vortices in the
downstream region of block is caused by the fact that fluid hasn’t sufficient space to
circulate rapidly, hence, the increase of heat transfer near the block zone. Furthermore
the block aspect ratio has only a local effect on heat transfer and fluid flow inside the
channel, so it doesn’t grossly distort the isotherms and streamlines structures.
Fig. 4. Isotherms: (d) A = 0. 5 B, (e) A = 0. 75 B, (f) A = B
4.3 Velocity Profiles

The dimensionless velocity profiles in different locations, x = 2.5 m, x = 9 m and
x = 13 m from the entrance, are presented in Figs. 5, 6 and 7. Indeed, in the first zone
x = 2.5 m located upstream of the solid block and for the three cases, the fluid flow
comes with a constant velocity U. As we approach the block, the velocity profiles are
almost identical in this area. Finally, the third position x = 13 m located downstream of
the block is characterized by a very high velocities for the aspect ratio equal to 0.5. It is
observed that when we increase the factor A/B, the velocity decreases. This is explained
by the fact that the fluid doesn’t finds sufficient space to circulate rapidly (obstructed by
the solid block).
6 6
5 5 X= 2.5m
x = 2.5m X= 9m
x = 9m X= 13m
4 x = 13m 4
Y/D
Y/D
3 3
2 2
1 1
0 0
0 0.5 1 1.5 2 2.5 0 0.5 1 1.5 2 2.5
U/Uin U/Uin
Fig. 5. Dimensionless velocity profiles near Fig. 6. Dimensionless velocity profiles near
the solid block: A = 0.5 B the solid block: A = 0.75B
5 X= 2.5m
X= 9m
X= 13m
4
Y/D
0
0 0.5 1 1.5 2 2.5
U/Uin
Fig. 7. Dimensionless velocity profiles near the solid block: A = B
5 Conclusion
This paper presents a numerical study of flow structures in a horizontal partitioned

channel. The partition consists on a solid block having a constant temperature. The
flow is considered to be steady, two dimensional and turbulent. The heat is transferred
by forced convection inside the channel. A particular interest has been given to effects
of the solid block’s aspect ratio on the flow structures inside the channel. The main
conclusions from this study are summarized:
• The flow structures show effects of solid block’s aspect ratio on streamlines dis-
tribution inside the channel, especially around the solid block. Thus, as the aspect
ratio increases, the vortex downstream of the block grows rapidly, what causes the
increase of heat transfer. This effect on heat transfer can be confirmed by the
isotherms structures. These ones are very dense near solid surfaces, what enhances
the heat transfer around the solid block.
• The velocity profiles show that the increase of the block’s aspect ratio A/B causes a
decrease in the velocity near the solid block. Indeed, the increase of A/B obstructed
more the flow, because the solid zone becomes largest.
References
1. Abbassi H, Turki S, Nasrallah SB (2001) Numerical investigation of force convection in a
plane channel with a built-in triangular prism. Int J Therm 40:649–658
2. Young TJ, Vafai K (1998) Convective flow and heat transfer in channel containing multiple
heated obstacles. Int J Heat Mass Transf 41:3279–3298
3. Wang Y, Vafai K (1999) Heat transfer and pressure loss characterization in a channel with
discrete flush-mounted and protruding heat sources. Exp. Heat Transf. 12:1–16
4. Durao DFG, Gouveia PST, Pereira JCF (1991) Velocity characteristics of the flow around a
square cross section cylinder placed near a channel wall. Exp Fluids 11:341–350
5. Bosch G, Kappler M, Rodi W (1996) Experiments on the flow past a square cylinder placed
near a wall. Exp Therm Fluid Sci 13:292–305
6. Bosch G, Rodi W (1996) Simulation of vortex shedding past a square cylinder near a wall.
Int J Heat Fluid Flow 17:267–275
7. Bosch G, Rodi W (1998) Simulation of vortex shedding past a square cylinder with different
turbulence models. Int J Numer Methods Fluids 28:601–616
8. Valencia A (2000) Turbulent flow and heat transfer in a channel with a square bar detached
from the wall. Numer Heat Transf Part A 37:289–300
9. Bakkas M, Amahmid A, Hasnaoui M (2006) Steady natural convection in a horizontal
channel containing heated rectangular blocks periodically mounted on its lower wall. Energy
10. Bakkas M, Hasnaoui M, Amahmid A (2010) Natural convective flows in a horizontal
channel provided with heating isothermal blocks effect of the inter blocks spacing. Energy
11. Launder BE, Spalding DB (1974) The numerical computation of turbulent flow. Comput
Methods Appl Mech Eng 3:269–289
12. Patankar SV (1980) Numerical heat transfer and fluid flow. Hemisphere, New York
13. Nakagawa S, Senda M, Hiraide A, Kikkawa S (1999) Heat transfer characteristics in a
channel flow with a rectangular cylinder. JSME Int J Ser B 42:188–196
14. Amghar K, Louhibi MA, Salhi N, Salhi M (2017) Numerical simulation of forced convection
turbulent in a channel with transverse baffles. J Mater Environ Sci 8:1417–1427
15. Benzenine H, Saim R, Abboudi S, Imine O (2013) Numerical analysis of a turbulent flow a
channel provided with transversal waved baffles. Therm Sci 17:801–812
Potential Sensible Filler Materials Thermal
Energy Storage for Medium Range
Temperature
Soukaina Hrifech1,3(&), Hassan Agalit3, El Ghali Bennouna2,3,

and Abdelaziz Mimet2
1
Faculté des Sciences de Tetouan, Abdelmalek Essaâdi University,
labratoire d’énergetique, B.P 2121, Tetouan, Morocco
Soukaina.hrifech@gmail.com
2
Faculté des Sciences de Tetouan, Abdelmalek Essaâdi University,
B.P 2121, Tetouan, Morocco
3
Thermal Systems Department,
Institut de Recherche en Energie Solaire et Energies Nouvelles-IRESEN,
16, rue Amir Sidi Mohamed Souissi, Rabat, Morocco
Abstract. The use of filler material (e.g. natural rock, ceramics, sand etc.) in
sensible heat storage system is an effective way to store thermal energy, and had
the advantage to have low cost compared to the configuration of two tank
molten salt. However the choice of suitable filler material is a challenge that is
based on several criteria. This present work intent to identify and select cost-
effective sensible thermal energy storage (TES) system suitable for medium
range temperature (100 °C–300 °C). Based on literature review, the main steps
to select potential candidate solid TES as filler material, in direct or indirect with
the HTF is developed. The thermal oil is the most adaptable heat transfer fluid in
our case. Finally the potential candidate TES material are identified, and would
be subjected to laboratory characterizations. In order to select the most suc-
cessful candidates to be used in prototype scale TES system, installed later in the
Green Energy Park (Ben Guerir Morocco).
Keywords: Thermal energy storage (TES) Sensible heat storage (SHS)

Bricks Natural rock Concrete
1 Introduction
Concentrating solar power plant (CSP) can be considered as a promising technology

which produces clean electric energy, and helps to reduce the greenhouse gas emissions
(e.g. CO2). The main advantage of this technology is the ability to be coupled with
thermal energy storage (TES), which ensures the balance between energy demand and
supply by offering the dispatchability to the power block. This can be a benefit that add
high value to CSP technology compared to photovoltaic or wind power. Thermal energy
storage offered numerous technico-economical values to CSP plant and that, by
allowing exceed solar heat to be stored and restituted for later uses [1]. Additionally,
TES offers firm energy to the power bloc which helps to protect the turbine generator

https://doi.org/10.1007/978-981-13-1405-6_87
756 S. Hrifech et al.
steady operation against transient interruption (e.g. clouds passages) of solar heat supply
[2]. The economics of CSP plant is also improved by shifting the peak solar heat to
periods with high peak electricity price. As well as improving its annual capacity factor
by extending the operating period of power block and thus decreases the levelized cost
of electricity (LOCE) [3]. TES systems are classified into three types sensible, latent and
thermo-chemical storage, depending on the nature of the process or property of the
material that is beneficial to the system. In sensible storage system the heat is stored by
raising the temperature of solid or liquid media without phase transition [2]. On the other
hand latent heat storage systems required phase change material at temperature that falls
within the upper and lower limit of the solid filer [4]. In case of thermo-chemical systems
the heat stored depend on exothermic and endothermic reactions. The state of art for
TES systems is the two tank molten salt system. However, For medium temperature
range 100–300 °C the molten salt isn’t an appropriate as medium storage, due to his
high solidification temperature (e.g. 220 °C for solar salt). In order to overcome this
problem other alternative medium storage will be investigated. The present work
emphasizes a selection of potential and suitable sensible TES media for medium tem-
perature range applications. At first, a literature review is presented in order to select a
potential candidate solid TES media (e.g. natural rock, concrete, bricks, etc.) as filler
material in direct or indirect contact with thermal oil, which is usually used as heat
transfer fluid (HTF) for the medium temperature range. Secondly, the main criteria and
steps of this selection are determined and they considerate different storage properties as
thermo-physical and mechanical properties of the solid media. Finally, the potential
candidate TES materials are identified for the targeted application.
2 Recent Development in Sensible TES Systems
Currently, the most mature and commercialized TES systems is the two tank molten
salt systems. The utilization of molten salt offered many values such as high volumetric
heat capacity and high relatively operating temperature [5]. Nevertheless, this tech-
nology is relatively expensive and suffer from high solidification temperature (e.g. for
solar salt 220 °C). Thus, in order to attain cost- effective TES systems, a single tank
thermocline is suggested as replacement to the two tank molten salt system. The
concept of this technology rest on the storage of the hot and cold fluid in the same tank,
where they are separated by the fact of difference between the density that create
temperature gradient called thermocline [1]. However non-uniform flow phenomena
are created such as tank-scale mixing eddies [6]. In order to solve this problem, filler
materials (e.g. natural rock, bricks, castable ceramics, etc.) are added to the tank and act
like a porous distributor inside it, which maintain its thermal stratification [7–9]. This
system is called dual-media thermocline and besides its technical advantage, it also
offers economical value by using low-cost filler materials that replace a large volume of
relatively expensive heat transfer fluid (e.g. molten salt, thermal oil) [6]. Compared to
two tanks molten salt system dual thermocline reduce the overall cost by around 35%
[10]. On the other hand for indirect contact of solid storage media with HTF, heat
exchangers has been utilized in different form for the purpose of maximizing the heat
transfer between the solid storage TES and the HTF. As example concrete are
Potential Sensible Filler Materials Thermal Energy Storage 757
investigated by DLR team and had been used in modular structure form with embedded
tubular heat exchangers [11]. For medium range temperature 100–300 °C, thermal oil
is the most suitable HTF to be used compared to molten salt for the target application.
3 Overview of Suitable Filler Material for Sensible TES

System
3.1 Ceramics
Ceramics are an attractive option to be used as filler materials in TES configurations. In
this context Laing et al. [12] examined castable ceramic and high temperature concrete
in indirect contact with synthetic oil as HTF, at temperature up to 390 °C. It was
concluded that both of materials are suitable for this temperature range. However, high
temperature concrete was favored to castable ceramics due to his relatively low-cost
and high mechanical strength. In order to enhance the thermo-physical proprieties of
concrete several mixture have been investigated. As example Guo et al. [13] fabricated
new type heat storage concrete material by adding high capacity material such as
(basalt, bauxite), and high heat conductivity graphite to the cement which improves his
thermal conductivity by 2,34 (W/m K). In the same manner, a DLR team of research
create a new mixture of concrete, by adding polyethylene fibers in order to enhance its
thermal cycling stability for temperatures up to 500 °C [11]. Wu et al. [14] investigate
the suitability of low strength concrete (C20) and tested it with thermal cycling at range
of temperature between 300–600 °C. The result shows that is possible to use low
strength concrete as a thermal energy storage material regarding to his good mechanical
proprieties and low cost.
Recently bricks were investigated to be used as sensible heat storage material for
TES system. In this context Kuravi et al. [15] studied large sized rectangular shaped
bricks with air temperature between 300–600 °C, the result were validated with
experimental prototype. Adding to bricks Sagara et al. [16] studied the performance of
gravel, concrete block and concrete U shape. They conclude that, larger-sized material
has almost the same overall thermal proprieties as small-sized material in a solar
heating system.
3.2 Natural Rocks

In addition to ceramics, natural rock are another potential candidate to be used as filler
material regarding their low cost and there availability. However, not all rock are
suitable for TES as it can fail structurally or decompose chemically under long term
thermal cycling [17]. For this reason, several researches were conducted to select
potential natural rocks candidate. In this context Fricker et al. [18] tested several natural
rocks under thermal cycling between 20 and 600 °C in direct contact with air. At the
end of the tests, five rocks (granite, peridotite, basalt, gneiss, diabase) were selected, as
they withstood the previous thermal cycling test without disintegration or excessive
weight loss. In the same manner study Pacheco et al. [10] tested four naturals rocks
(quartzite, taconite, marble, and limestone) in direct contact with molten salt (Hitec XL)
at range of temperature between 290–400 °C. As result, they concluded that the most
suitable filler materials in a thermocline storage system with molten salts are: a mixture
of quartzite rock, silica sand and taconite. Another experimental investigation has been
conducted by Allen et al. [17], they studied several rocks from South Africa by per-
forming thermal cycling tests between 350 and 530 °C (950 cycles) with a heating rate
of 2 °C/min. At the end of these tests, the suitable selected rocks are: dolerite, some of
gneiss, sandstone, hornfels and greywacke.
Tiskatine et al. [8] collected thirteen varieties of the following rocks (limestone,
marble, granite, rhyolite) from different region of Morocco. They were thermal cycled
at range of temperature between 20 and 650 °C with an elevated heating rate
25 °C/min. the most successful rocks with respect to the conducted thermal cycling
tests were Rhyolite and quartzitic-sandstone. For medium range temperature, Grirate
et al. [19] tested six rocks (quartzite, basalt, granite, hornfels, cipolin, and marble) in
direct contact with thermal oil at temperatures range between 250 and 350 °C for 500
consecutive hours [14]. As result the most suitable filler materials in direct contact with
oil are: quartzite and cipolin rocks. In an effort to identify suitable natural rocks for TES
up to 650 °C, a general methodology of selection was proposed by Jemmal et al. [15].
It take into account the following important criteria such as good thermo-physical
proprieties and good long term thermal stability. Using this developed methodology,
Moroccan gneiss rocks were selected as suitable rock in direct contact with air for TES
at temperature up to 550 °C. Recent research was examined by Becattini et al. [7], they
investigated six Alpine rocks (mafic rocks, felsic rocks, limestone, calcareous sand-
stone, quartz-rich conglomerates, serpentines) as storage materials for TES in direct
contact with air. These rocks were subject to thermal cycling between 100–600 °C with
a heating rate of 2.6 °C/min. As resulted from this experimental study the suitable
selected rocks were: mafic rock, felsic rock, serpentinite, and quartz-rich conglomerate.
4 Potential Filler Materials for Medium Range Temperature

100–300 °C
The selection of suitable potential filler materials is related on several steps that
include: first of all, the determination of the specifications (i.e. the temperature range,
charging/discharging thermal powers, storage capacity, etc.) appropriated to the tar-
geted application (e.g. CSP plant). In our case the range of TES temperature is between
100 and 300 °C, which can be combined to Fresnel reflectors thanks to their relatively
low-cost and thermal oil is the suitable HTF for this range of temperature. Secondly an
initial selection of potential candidate TES materials, is based on the previous literature
review research activities with the determined specifications. Thirdly, the verification
of the following criteria: the abundance (e.g. natural rocks) or the availability (e.g.
ceramics) on the local (region or area), in addition to low cost. After that, the selected
candidates are collected and tested in laboratory in order to characterized their pro-
prieties. Furthermore the potential candidates are subjected to long thermal cycling, in
order to test their thermal stability. Finally a general assessment of the degradation state
of the tested samples is performed using different laboratory techniques, and then the
most effective solid media are selected to be integrated to the storage system.
4.1 Required Criteria

Physical properties
– The thermal conductivity: must be sufficiently high for effective heat transfer.
– The volumetric heat capacity: must be as high as possible in order to store maxi-
mum energy and reduce the volume of the storage [18, 19, 20].
– The diffusivity: it determines the rate at which the heat can be released and extracted
[22]. It improves transient heat transfer and hence the time of charging and dis-
charging process [23].
– The porosity: must be as low as possible to avoid the fracturing of rock at high
temperature.
Mechanical proprieties:
– Compressive strength: should be Sufficiently high in order to withstood the stress
inside the tank and to support the thermal cycling without cracking [7].
The chemical proprieties:
– The chemical stability of the sample is also required in order to avoid the cracking
and the disintegration of this latter [25, 26].
Economic and environmental aspects:
– The collected material cost should have low-cost of manufacturing. In addition the
material should be eco-friendly [21].
4.2 Potential Filler Material for Medium Range Temperature

100–300 °C
In this paper, five preliminary potential solid media namely (quartzite, cipolin, castable
ceramics, concrete, bricks) are selected, based on the first and the second steps of the
cited methodology. The thermo-physical proprieties of this candidates is presented in
Table 1.
Table 1. Potential filler material for TES medium temperature (100 °C–300 °C) [15, 19, 24]
Materiel Density Specific heat capacity Thermal Thermal
(kg/m3) (J/kg K) conductivity capacity
(W/m K) (KJ/m3K)
Quartzite 2640 731–1030 5.38 1.92–2.67
Cipolin 2610–2870 800–1470 3.2 1.68–2.52
Bricks 3200 800 1.59 2.08–2.64
Concrete 2750 916 1 2.52
Castable 3500 866 1 3.03
ceramic
5 Conclusion
This paper present, in overview of the most utilized filler materiel for sensible heat
storage (e.i. ceramics, natural rocks). Based on this literature review, five potential solid
media has been selected regarding their good thermo-physical and mechanical pro-
prieties as well as their relative low-cost. On the other hand, different steps of selection
for the potential candidates have been briefly discussed. Furthermore, for medium
range temperature 100–300 °C the potential candidates sensible TES materials
(Quartzite, Cipolin, Bricks, Concrete, Castable ceramic) would be subjected to labo-
ratory characterizations. In order to select the most successful candidates to be used in
prototype scale TES system, installed later in the Green Energy Park (Ben Guerir
Morocco).
References
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3. Sioshansi R, Denholm P (2010) The value of concentrating solar power and thermal energy
storage. IEEE Trans Sustain Energy 1(3):173–183
4. Zalba B, Marıń JM, Cabeza LF, Cabeza H (2003) Mehling: review on thermal energy
storage with phase change: materials, heat transfer analysis and applications. Appl Therm
Eng 23(3):251–283
5. Kearney D et al (2004) Engineering aspects of a molten salt heat transfer fluid in a trough
solar field. Energy 29(5):861–870
6. Mira-Hernandez C, Flueckiger S, Garimella S (2015) Comparative analysis of single- and
dual-media thermocline tanks for thermal energy storage in concentrating solar power plants.
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8. Tiskatine R et al (2016) Experimental evaluation of thermo-mechanical performances of
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10. Pacheco JE, Showalter SK, Kolb WJ (2002) Development of a molten-salt thermocline
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11. Laing D, Bahl C, Bauer T, Lehmann D, Steinmann W-D (2011) Thermal energy storage for
direct steam generation. Sol Energy 85(4):627–633
12. Laing D, Steinmann W-D, Tamme R, Richter C (2006) Solid media thermal storage for
parabolic trough power plants. Sol Energy 80(10):1283–1289
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Study of Different Latent Heat Storage
Technologies Adequate for Application
in the 1 MWe Fresnel CSP Plant Installed
at Green Energy Park in Morocco
Zakaria Elmaazouzi1,2(&), Hassan Agalit2, El Ghali Bennouna2,

and Mustapha El Alami1
1
LPMMAT Laboratory, Department of Physics, Faculty of Sciences Ain Chock,
Hassan II University of Casablanca, Casablanca, Morocco
zak.elmaazouzi@gmail.com, mustapha.elalami@univh2c.ma
2
Research Institute for Solar Energy and New Energies – IRESEN,
Rabat, Morocco
{agalit,bennouna}@iresen.org
Abstract. Like other renewables, solar energy is an intermittent resource. To

guarantee a reliable electricity production using this renewable source of energy,
concentrated solar power (CSP) plants are coupled with thermal energy storage
(TES) technology. This combination is advantageous thanks to the low cost of
TES compared to other storage methods (e.g. electrochemical storage). Heat can
be stored in a sensible, latent or thermochemical form. Compared to sensible
heat storage, which is the most mature TES technology, latent heat storage
(LHS) enables higher storage energy density with a smaller temperature change.
However, the application of phase change materials (PCM) as storage media for
LHS systems is stained with the drawbacks of their low thermal conductivity. In
this work, a review of the recent advances of LHS systems is conducted with an
emphasis on the enhancement methods of PCMs thermal conductivity. More-
over, based on the previous literature review a selection methodology of suitable
PCMs for medium temperature applications (100–300 °C) is described. Finally,
using this selection procedure the adequate system and storage materials for the
Fresnel solar system installed at Green Energy Park (1 MWe) are identified.
Keywords: Thermal energy storage Latent heat storage

Sensible heat storage Concentrating solar power Phase change materials
Fresnel solar system Green Energy Park
1 Introduction
Since the middle of the last century, global energy consumption is likely to grow faster
and significantly, with rapid growth in the industrial, commercial and residential sectors.
The majority of this energy is of fossil origin, the consequences of the use of fossil fuels
are well known: greenhouse effect, air pollution and aerosol production [1]. All of these
results in an overall increase in Earth’s temperature, or what are conventionally called
global warming. Therefore, to stop the adverse effects of the latter, it has become
https://doi.org/10.1007/978-981-13-1405-6_88
Study of Different Latent Heat Storage Technologies 763
obligatory to develop other alternatives of conventional thermoelectric power plants. In

this context, the exploitation of solar energy by concentrating solar power (CSP) tech-
nologies is considered by the scientific community to be a promising and reliable
solution [2]. CSP technology covers all the techniques that consist of concentrating the
direct normal irradiation (DNI) to heat a fluid at high temperature between 180 °C and
1800 °C, with a thermal efficiency higher than 70% [3]. This heat is transformed into
mechanical energy, and then into electrical energy through a thermodynamic cycle [4].
In this sense, the concentrated solar power technology is a promising option to offer
industrial solutions with high electrical production capacity. Like other renewable
energies, solar energy is an intermittent resource. To solve this problem, concentrated
solar power technology has the advantage of being coupled with thermal energy storage
(TES) which is a cheaper technology compared to many storage technologies (e.g.
electrochemical storage in the case of PV and wind turbines). TES for CSP systems can
be stored in sensible heat storage (SHS) using solid or liquid storage media, latent heat
storage (LHS) using phase change materials (PCMs), and thermochemical storage
(TCS) through reversible reactions. Nowadays, the state-of-the art of TES is two-tank
molten salts, used in many commercial CSP plants, is based on a sensible storage form.
Even if this commercially proven TES offers many advantages to a CSP plants (e.g.
relatively high energy density, and a reliable storage process), it suffers from many
drawbacks such as: low energy density compared to LHS and TCS systems, high
freezing temperatures (around 220 °C for solar salts), relatively high cost of molten salts
(around 700 euros/ton). In this scope, LHS systems based on solid-liquid transition are
considered as promising alternative to SHS systems thanks to their high energy densities
(i.e. compact storage systems) especially for medium temperature (100–300 °C)
applications. In fact, PCMs are characterized with their melting enthalpy features, in a
relatively small volume, being able to store or release higher amounts of energy, for
instance the latent heat during solidification and melting. However, this type of thermal
storage using PCM is subject to limitation of thermal conductivity, which reduce their
chances as a reliable storage solution on a commercial scale. To resolve this technical
issue, many heat transfer enhancement techniques were proposed in literature and they
include: Multi-stage systems, encapsulation of PCMs, adding heat pipes and cascaded
systems. Thus the main objective of is to select up to date potential PCMs and their
incorporating systems which the most suitable for medium temperature applications.
And the organization of this article would be as follows: Firstly, the current state-of-the-
art related to the advances of LHS technologies applicable to CSP systems and their
incorporated phase change materials are reviewed with an emphasis on thermal con-
ductivity techniques. Secondly, based on the previous literature review a selection
methodology of suitable PCMs for medium temperature applications (100–300 °C) is
described. Finally, using this selection procedure the adequate system and storage
materials for the Fresnel solar system installed at Green Energy Park (1 MWe) are
identified.
764 Z. Elmaazouzi et al.
2 Recent Advances in Latent Heat Storage (LHS) Systems
Latent heat storage (LHS) technologies are based on the use of phase change materials
(PCM), which are characterized by a higher energy storage density with a smaller
temperature change compared to SHS technologies [5, 6]. LHS systems can be clas-
sified depending on the used PCM type, and/or the used configuration destined to
enhance heat transfer mechanisms inside the storage system. In the following sub-
sections a summary of these latters is given.
2.1 Classification of PCMs

There are four groups of phase change materials (PCMs) depending on the nature of
phase transition, i.e.: solid-solid, solid-liquid, solid-gas, or liquid-gas. PCMs, which are
based on the two last phase transitions are not practical for TES application because of
their associated large volume changes [7]. Similarly, PCMs using the heat related to
their solid-solid phase transition are not also convenient for TES systems due to their
bad thermal stability [8]. Thus, according to the available literature, solid-liquid PCMs
are the most suitable for TES application. PCMs can be categorized into three main
families: organic, inorganic, and eutectics PCMs. In general, organic compounds are
characterized by their low thermal conductivities (around 0.2 W/mK), their melting
temperatures which seldom exceed 150 °C, and their relatively modest latent heat
storage capacity (125 to 200 J/cm3) [9]. In this family, two groups could be distin-
guished: paraffins and non-paraffins. Whereas the inorganic compounds have higher
thermal conductivities compared to their organic counterparts, and also they have
higher storage volume capacities (250 to 400 J/cm3) [9]. This family can be divided
into hydrated salts, salts and metals. As far as it concerns eutectic PCMs, they are
constituted of a mixture of at least two bodies that melts and solidifies at a constant
temperature uniformly, i.e.: during melting, the two solid phases liquefy simultane-
ously without demixing; while during crystallization, the liquid solidifies into an
intimate mixture of the crystals. It is possible to find eutectics organic/organic,
inorganic/inorganic or organic/inorganic.
2.2 Enhancement Methods of PCMs Thermal Conductivity

The main obstacle for the incorporation of PCMs into a TES system is their low
thermal conductivities. To remedy to this technical problem, many enhancement
techniques of PCMs thermal conductivity were investigated in previous research
activities. In general, two ways are used to act on the PCM in order to improve the
overall heat transfer of a LHS systems, and they are namely:
Method No. 1: it is based on the improvement of the overall thermal conductivity
by adding high thermally conductive structures inside the low thermally conductive
PCM. This combination results into the manufacturing of a composite material
(PCM + embedded structure) with the requested thermal conductivity. To do so, a first
method consists on associating the metal structure to the PCM. This structure may be in
the form of a matrix, such as carbon brushes or simple metal elements, or in the form of
a foam made of a naturally porous material such as graphite foams or copper. Secondly,
another patented method in 1990 [10], consists of the integration of heat pipes in a tube
and shell system. Finally, the most known method is the encapsulation of a PCM,
which involves confining it with a coating or placing it in a closed module. Depending
on whether it is nano, micro or macro encapsulation the dimensions involved are not
the same and the used methods differ. The envelope is made of metal, polymer, or
multiple layers of these materials [11].
Method No. 2: consists of the use of well-designed configurations, which enhance
the overall heat transfer rate between the heat transfer fluid (HTF) and the PCM. One
way to apply this technique method is narrowing the temperature gradient between to
melting point of the PCM and the HTF through a cascading PCMs system. This
technique improves the performances of a LHS by the association of several PCMs
having different melting temperatures in a cascading configuration (in a decreasing
order). A second technique close to that of the cascading PCMs system, consists of
using a multi-stage system incorporating only one PCM. In this configuration, three
distinct thermal exchange stages are exploited: sensible heat of the PCM solid phase,
phase transition associated latent heat, and the sensible heat of the PCM liquid phase.
This configuration is particularly suitable for installations in which the coolant changes
phase, such as: direct steam generation (DSG) systems.
3 Selection Methodology of PCMs
To select a potential candidate PCMs, several methods were proposed by different

authors [12], which take into account crucial paramters such as: PCM heat of phase
transition, and its associated volume change. The following list summary the main
criteria to select a suitable PCM for TES used in medium temperature (100–300 °C)
application.
3.1 Thermophysical Criteria
• Phase transition temperature: is the most critical parameter of all. Hence, it

identified as the first selection criterion, and it should fall in the targeted temperature
range of our system (i.e. 100–300 °C).
• Storage density: is also an important parameter during the design of a latent heat
storage system. In fact, it should be as high as possible in order to have a compact
LHS system.
• Thermal conductivity: reflects the ability of the material to exchange heat with the
HTF. Thus, it should be improved to match the required charging/discharging
thermal powers.
• Material volume expansion during its phase change: is a critical parameter, which
should be kept as low as possible, in order to limit the risks of the LHS container
walls failure due to overpressure.
• Thermal stability: is also an important parameter, which indicates to what extent the
PCM is thermally stably when it is subjected to long thermal cycling in the tem-
perature range (100–300 °C). Therefore, it is necessary to verify that there is no
demixing or segregation phenomenon in composite PCMs, or the influence of an
additional phenomenon such as thermal degradation in the targeted temperature
range.
3.2 Kinetic and Chemical Criteria
• Long-term chemical stability: allows PCM cycling without chemical degradation.

• Chemical compatibility with the surrounding materials: PCM it should compatible
with the materials used in the construction of the LHS exchanger (e.g. weak cor-
rosion chances of PCM with the container material in the targeted temperature
range).
3.3 Economic and Environmental Criteria
• Low cost: It is important to consider the PCMs prices when choosing the potential
candidates.
• Availability: of PCMs is a decisive criterion to judge their viability for large-scale
uses of a LHS system solution.
• Manufacturing process: of PCM should cost-effective and eco-friendly.
• Environment friendly: PCM is neither explosive nor toxic, nor dangerous for the
environment.
• Level of flammability: PCM should be non-flammable in the target temperature
range to reduce a LHS system fire hazard.
4 The Choice of Storage System for the Fresnel Solar Plant

Installed at Green Energy Park (1 MW)
LHS system is composed of a heat exchanger and a PCM. These two main elements
that make up the system could be selected, based on the previous literature review as
well as the developed selection methodology, to match the requirements of a medium
temperature range application. The following parts deal with a case of study of this
later, namely the Fresnel plant at Green Energy Park (located in Benguerir, Morocco).
Consequently, an appropriate LHS system “exchanger + PCM” would be selected to
meet this plant level design specifications using the previously summarized knowledge.
4.1 The Choice of Exchanger

The choice of the exchanger depends on the temperature range of the studied CSP plant
(100–300 °C), and the required storage capacity. Moreover, the sought system should
require least material quantity. The most suitable heat exchange system is the cascaded
storage configuration. This system involves associating several PCMs with different
melting temperatures, which exploits several temperature level. However, other sys-
tems requiring only a PCM benefit from one unique temperature level, these systems
are devoted to applications with small temperature range. Even though the multi-stage
system exploits a large temperature range, it operates in a hybrid storage system that
combines LHS and SHS with a single storage material, which gives less storage
capacity compared to cascaded systems. To increase the exchange surface, the PCMs is
packaged in conductive capsules in order to maximize the total transferred heat.
Among the available systems, the PCM cylindrically encapsulated type is the most
thermally and chemically stable, much easier to design and often used. Consequently,
based on the previous discussion the proposed novel system is “the cascaded config-
uration with cylindrically encapsulation” Fig. 1 shows the chosen exchanger.
Fig. 1. The cascaded configuration with cylindrically encapsulation
4.2 The Choice of Materials

To select the PCM candidates for our application, a synthesis of the bibliographical
studies conducted by many authors was carried out. A first bibliographic research work
selected a first list of materials in accordance with the temperature ranges defined
previously. Finally, 38 potential PCMs candidates were identified for the targeted
application as presented in Fig. 2.
The second step of the selection consists in eliminating the materials, which are
incompatible with the project specifications and the criteria described in the previous
part. All the lead mixtures have been eliminated because of their toxicity. For the same
reason, compositions containing mercury, thallium and cadmium were also discarded.
In addition, all compositions containing radioactive elements (such as uranium, nep-
tunium, or thorium) were also removed from the selection list. Chlorides were also
avoided because of their corrosive behavior. After this phase of elimination, Table 1
summarize the final list PCMs satisfying the selection criteria.
450
LiOH–LiCl
C6H14O6 LiCl–CsCl
400
LiOH.H2O
LiOH–NaOH LiNO3 - Ba(NO3)2 LiNO3 - NaCl
Heat of fusion (kJ/kg)
350
LiNO3 LiOH–LiCl
C4H10O4 C5H12O4
NaCl–NaOH–NaCO3
300 C4H11NO3 NaOH–NaNO3
AlCl3 NaOH–NaNO2
LiOH–LiCl–KCl
C4H6O5
250 (NH4)2Zn(SO4)2.6H2O
NaOH–NaNO3
NaNO3–NaCl–NaOH NaOH–NaNO3 NaNO2
C14H12
C10H13NO2 C2H9NaO5
200 LiNO3+KNO3 LiNO3–NaNO3
NaNO3–NaCl–NaOH NaNO3–NaCl–Na2SO4
LiNO3–NaNO3–Sr(NO3)2
150 C7H7NO
MgCl2.6H2O C8H4O3 Ca(NO3)2 - LiCl NaNO3 -KNO3
NaNO3–KNO3
100
KNO3–NaNO2–NaNO3
50
100 120 140 160 180 200 220 240 260 280 300
Melting temperature (°C)
Fig. 2. Melting temperature and heat of fusion of PCMs listed in the literature.
Table 1. List of selected potential PCMs candidates.

Composition Melting Heat of Density Ref Storage energy
temp. (°C) fusion density (kWh/m3)
(kJ/kg)
LiOH.H2O 112 350 1510 [13] 147
C4H10O4 118 337 1480 [14] 139
(NH4)2Zn 125 257 1931 [13] 119
(SO4)2.6H2O
C4H11NO3 131,0 285 1353 [15] 107
C6H14O6 165 341 1520 [16] 143.97
AlCl3 192 280 2440 [7] 18977
LiOH–NaOH 216 329 2232 [17] 203.98
(30-70)
NaOH– 232 252 2260 [17] 158.2
NaNO2 (20-
80)
NaNO2 270 216 2170 [18] 130
NaNO3- 290 170 2242 [19] 106
KNO3 (90-10)
5 Conclusion
In this work, we presented a non-exhaustive bibliographic review and the state of art on
the different types of LHS systems investigated for eventual application in CSP plants.
A case study of the Fresnel solar system installed at Green Energy Park (GEP) in
Bengureir, Morocco is also presented in this paper. Then, after the application of the
developed selection criteria on our case of study, which sheds light on Fresnel Plant
installed in GEP that runs in a temperature range of 100–300 °C, the most suitable LHS
system was selected. In fact, based on the PCMs state of the art and the selection
methodology, ten materials that function with an in-cascade system were underlined as
potential. While the selected LHS configuration uses several PCMs in cylindrical
capsules, hence enabling larger heat transfer surfaces.
References
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direct steam generation. Sol Energy 85(4):627–633
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phase change: materials, heat transfer analysis and applications. Appl Therm Eng 23(3):251–
283
Electrical Loads of a Smart House
and Consumption Analyses
N. K. M’Sirdi1,2(B) , A. Naamane1,2 , A. Boukara1,2 , and M. Benabdellatif1,2

1
Aix Marseille Univ, Universite de Toulon, CNRS, LIS, Marseille, France
2
SASV Group of LIS UMR CNRS 7020, 13397 Marseille, France
Abstract. This paper considers the modeling energy consumption of a

house with as objective the dimensioning and optimization of renewable
energy sources and the energy saving. For the heating needs a house
with 4 rooms is modeled and simulated in Matlab/simulink to predict
the needed power. The thermal characteristic and model parameters are
deduced for the architectural studies and design using architects soft-
wares. We assume that 4 to 5 people live in this house of 100 m2 . Despite
the question seems classical, for going toward zero energy buildings, it
has never been considered scientifically to define a complete set of models
and simulations. In this work, we measured the consumption of each one
of the house loads to be able to have a corresponding models. Detailed
results can be available in an internal report and a PhD report.
Keywords: House energy · Renewable energy sources

Buildings and energy
1 Introduction
The sustainable buildings and energy savings are of paramount importance nowa-
days. This is strongly coupled with our lifestyle and our daily habits and behav-
ior. The building sector is the leading energy consumer sector, ahead of transport
and industry. It also accounts for 25% of the country’s carbon dioxide emissions.
The building can be equipped with renewable energy sources, for this reason it
is considered a huge potential source of energy savings, hence the existence of
many research works on this topic [4], (http://www2.ademe.fr).
A house or apartment contains several pieces of electrical equipment that
differ in the power consumed, the type of use by users and the rate of pen-
etration into the dwelling. The energy demand is the result of the electricity
consumption of the different uses depending on the electrical equipment chosen.
To properly manage these electrical equipment in a building, either to reduce
energy and maximize the comfort of the user, it is necessary to know the period
of consumption and the power consumption of each equipment [1].
Aziz Boukara is with Ecole Nationale Superieure d’Architecture of Marseille, France.
https://doi.org/10.1007/978-981-13-1405-6_89
Equipment such as heating, ventilation and air conditioning are directly

dependent on the design, insulation and structure of the house. The consumption
of domestic hot water depends on the occupants, their number and their con-
sumption habits, but also, possibly, certain household appliances. Other energy
consumption includes all electrical equipment used by the occupants: appliances,
multimedia, lighting and of course active system supports such as heat pumps
and circulators (VMC, floor heating pumps and heating circuits like radiators
for example).
To analyze the energy needs, a modeling of the different electrical equipments
has been developed. This modeling takes into account the nominal dynamic of
each component without taking into account the noise of measurements, the
disturbances and the nuisances that it can generate.
Consuming less, without polluting and paying less, despite the proliferation
of home appliances, home automation, audiovisual and high-tech in homes, are
motivated by economic and ecological concerns. New technologies are develop-
ing and becoming more democratic, and their increase does not necessarily push
up the electricity bill. They are less and less greedy in energy. Households are
increasingly equipped with one or more TVs, computers, a box ADSL, print-
ers, household robots, vacuum cleaners, to mention only the classic household
appliances [11,21].
A serious study of the needs and the proposal of solutions and tools must go
through a fine and complete analysis. The need for prediction models or models
becomes unavoidable. Smart buildings promised to revolutionize the way we
live. Applications ranging from climate control to fire management can have
significant impact on the quality and cost of these services. However, smart
buildings and any technology with direct effect on human safety [2,3].
Virtual testing by means of computer simulation can significantly reduce the
cost of testing and, as a result, accelerate the development of novel applica-
tions. Unfortunately, building physically-accurate simulation codes can be labor
intensive [12,20]. Several questions arise:
– What types of houses will be most common tomorrow?

– What domotic and domestic equipment do they need?
– What will the electricity consumption be?
– What will be the demand for water and hot sanitary water?
– What equipment will be needed and how to size it?
– What controls and optimizations can we have and already prepare for future
equipment?
Once such a list is established, the questions that arise will be the power
demanded and the energy consumption of each equipment, according to its use,
the environment and the weather. All this will obviously be related to the number
of occupants of the house, their functions and their habits. This means that
prototyping is not an easy task and has links with the environment, society and
the weather.
Electrical Loads of a Smart House and Consumption Analyses 773
The ideal test house is an object as much researched by both manufactur-

ers and architects, as well as a great interest for equipment manufacturers and
home automation suppliers. But it would also for the needs of civil engineering
and society as well as the equipment suppliers and the sizing of installations,
electrical, thermal, solar, sanitary, etc...
The least expensive, optimal and easiest to use is the digital mockup. The
Fig. 1 below shows the house chosen to develop our numerical model.
In this work, we embarked on
the study of a first case that seems
very common today and which has
already been partially addressed, a
house of 100 m2 occupied by 4 or 5
inhabitants in a modern city [19].
The simulation is double or triple
because it considers; - the domes-
tic charges, - the thermal envelope
and its temperature regulation - and
finally the sources of energy of which
it can be equipped. Fig. 1. The house studied
Dynamic simulation is proposed as a tool for analyzing the thermal behavior
of the house after the study of its design from the architectural point of view
and the study of its thermal envelope. This first architectural design study, will
provide the relevant parameters for the characterization of the thermal envelope
and will verify, still remains in the rules and standards imposed today on the
building that must be respected in any housing project [2].
The subsequent thermal modeling and the use of climate data will help
describe the thermal behavior of the house, analyze sources of leakage, adjust
and control the heating system and avoid overheating. This study will aim to
validate the choice of technical solutions for the home (such as insulation choices,
structure and organization, thermal inertias and insulation thicknesses to use).
In designing the best adapted solutions will be chosen or preferred according to
their efficiency and contribution [20].
The life of the building and its occupants according to their environment and
the weather causes several energy consumptions. We will study the various loads
and the demand for power to make a modeling that would give a simulation as close
as possible to the real case. Our study will be based on a bibliographic study that
will be completed and/or adjusted by real-time measurements made in a house in
Marseille. The last step in perspective will be to resume the modeling of sources
carried out in the thesis [MounaThese] to best meet all its loads by a hybrid renew-
able energy system (HyRES: Hybrid Renewable Energy Sources) [2,3].
Simulation becomes an important step to facilitate the labelisation of the
project by highlighting the exact performances of the processes implemented in
the design. This report is made up of three parts: one for consumption studies of
domestic appliances, the second for the building and its thermal envelope and the
last for the simulation of a house, its loads and its heating. The following study
will concern the proposal of a numerical model for thermal and solar energy
sources and the heating system of a building.
2 Electric Consumption of Domestic Appliances
2.1 Introduction
Several works have proposed examples of individual houses. The ‘Mozart House’
studied in a collaboration involving the CSTB attracted our attention because
it seems today close to the current standard in most regions of France and
Europe [14]. In general, it is considered that 4 to 5 people live in this house and
have all the current equipment of today (laptops, TV, Hifi, electric bike, etc...).
The studies presented seem to us incomplete because they have considered only
one or two kinds of applications, such as heating or the study of some household
tasks [3,7].
Some Specific Uses of Energy. In his report Zorzi [14] studies the regulation
of a combined solar system for the building. It presents a bibliographic study of
commercial SSCs to identify widespread configurations. The Matlab/Simulink
software and the SIMBAD library are used to evaluate the regulation. Julien
Bruneau et al. offer a virtual model for the rapid physical behavior test of a
house. They consider analytical models for the environment and a discrete event
system [9,18]. They present simulations for heating, ventilation and air condi-
tioning (HVAC: Heating, Ventilation and Air-Conditioning), with the aim of
optimizing the energy for the air conditioning of a building [8,15].
The work of Annabi et al. proposes the estimation of the energetic perfor-
mances of the envelope of a building to analyze the performances in terms of
economy and comfort. The TRNSYS simulation tools with IISIBAT are used for
the study of thermal problems [6]. Mouna Abarkan, in her thesis at the LSIS [3],
studied modeling the thermal behavior of a building equipped with renewable
energy sources of household appliances, 3 types of heating and a multi sourced
energy management systems with multiple users [5,13].
The electrical consumption of home appliances, if we believe the number
of studies available on the internet, is of interest to many sellers of various
electrical equipment, home equipment suppliers and home or energy suppli-
ers [10,20,21]. Their studies are concentrated on high-tech appliances, audio-
visual, home automation and home appliances. The annual consumption used
in their criteria, such as the number of hours of daily use, which varies accord-
ing to each person’s interests, reinforces their sales arguments (cost price). In
this sense, they interest us because the use varies according to the users (their
customers) and technologies [23]. For a music lover, for example, a Hi-Fi system
will work maybe 4 h instead of just 2 for the computer or TV, which will work
a little less.
One can even find simulators who estimate the consumption of a house to
propose a supply of energy or another and to convince the customers for the
purchase of a solution of heating or various arrangements. The consumption of
some domestic appliances is studied, especially to know what cost it represents
on the annual electricity bill. Some factors, such as the technologies (which
are constantly increasing) used or new standards imposed, are likely to vary
the power consumption of the devices. The available data are generally to be
reevaluated or adjusted according to new technologies, costs (not affordable or
general public) and the need (fashion effects).
The composition of a family is a variant to consider, especially for the use of
household appliances such as computers, laptops or even the washing machine
and dishwasher, which require more washing cycles in a large family. The use
of a simple kettle, multiplies the peaks or increases their intensity depending on
the composition of the family. It is worthwhile to note that such analysis is quite
different from the existing results got for standards and commercial uses.
Which variables are to be taken into account? How to consider in a scientific
context, these studies and how to draw a credible balance sheet? These are the
questions we asked ourselves and we try to give answer.
Classifications of Household Appliances. A classification according to the

main technical characteristics of the equipment park is reported below [1,11,21].
An estimate taking into account the average alternation of use and standby and
average consumption is presented in [1,10,17]. It considers 280 cycles of use per
year for a dishwasher and 220 cycles for a washing machine. For audio-visual and
high-tech devices, the study used an estimate of average usage times, “mixing
official data and experience”. For a large number of devices (used for leisure),
consumption may decrease or increase depending on the habits and passions of
the consumer.
Consumption of Appliances in Operation. The table below makes it possible to

check the cost generated by electrical appliances when they are in operation. The
electricity bill can be reduced by limiting the duration of use of these devices
(especially the most energy-hungry). These data date from 2009 or before and
must therefore be reconsidered [10]. It is also necessary to consider for most of
these devices their standby consumption (standby status). This last consumption
can be eliminated by turning off the device concerned [11,21].
2.2 Measured Consumption of Domestic Appliances
Some devices are used less than 5 to 6 h a day and alternate operating phases
with consumption that can go from 100 to 300 W with standby phases consuming
less than 1 W. Others are used punctually and consume a lot during a short
instant as kettles coffee makers. Some appliances consume a lot of electricity in
operation but are only used for a few minutes a day or a week (hair dryer, kettles,
electric gates). The devices, equipped with regulators or servo controls, operate
stably with an irregular consumption. They are sensitive to the environment, the
weather and their uses. This is the case of heaters or water heaters, a freezer, a
refrigerator. In general, they consume more to reach a temperature or a set point
in order to absorb a disturbance (opening of the door, increase of the load, ...).
They are less greedy for stabilizer or regulate the temperature or maintain the
variable of interest at its setpoint.
To validate the profiles of the different house-
hold loads, we have equipped our house with a
power measurement system at the general meter,
coupled with wall outlets for measuring the con-
sumption of the various appliances. This is the All
Green system equipped by Current Cost (see Fig. 2
www.my.currentcost.com).
Below, as an example we show the curve pro-
vided for the instantaneous total power consump-
Fig. 2. Data acquisition
tion for one day (20/12/2015). It presents an esti-
mate of the temperature and the variation of power at the level of the meter.
The peaks are when the home TV is on the road at the same time as the other
devices. Around 4 h and 16 h a large peak represents the consumption of electric
water heater (Fig. 2). Details on all these measurements can be found in the
project report, which led us to a good numerical model for all the house loads.
Refrigerator Consumption. A
refrigerator is usually equipped with
a main compartment, whose internal
temperature is maintained between
2 and 6 ◦ C, and a compartment ded-
icated to freezing or freezing, whose
temperature is around −18 ◦ C.
• It takes the heat from the low side of temperature by a process of evaporation
then condensation on the wall of the bottom of the device.
• It rejects the condensation to the outside by a grid device placed on the back
of the unit.
The power consumption of an American refrigerator has two or three daily

peaks separated from 6 to 8 h corresponding to the uses (around 7 am and 13 h
and 19 h) and two peaks for defrosting the evaporators (by heating resistors
in 20 min each day), necessary to maintain their performance. These resistors
absorb nearly 80% of the daily energy required for a 360-L Class A refrigerator.
The power of the device is 20 or 30 W at the compressor stop.
The internal temperature of the refrigerator is regulated in “On/Off”, that is
to say it is either at a standstill (P < 10 W) or at its nominal power (Pn = 150 W
for our case) for a production of cold, (refrigeration) [7,22].
Model of a Freezer. Nowadays, freezers play an important role in our homes

because they ensure better food preservation. Despite their relatively low power
consumption, they are big consumers of energy because they work permanently.
They freeze food and keep it for a long time at −18 ◦ C. The same operating
principle is the same as that of a refrigerator. The model and simulation of a
freezer with Pmax = 100 W is considered.
Model of a Washing Machine. A washing machine is today one of the essen-

tial household appliances in a home. Its frequency of use varies on average from
3 to 10 times a week, depending on the composition of the home. The laundry
is washed in a drum using detergent and hot water, in a succession of washing,
rinsing and spinning cycles. Operation goes through at least three stages, with
water heating [22]. The heating of the water reaches at temperatures of 30 or
40 to 90 ◦ C depending on the type of laundry to be washed (washing program).
The washing machine is used on average 7 to 10 times a week in 4 to 6 days of
the week, most of the time at off-peak times to reduce the bill except sometimes
a short program (15 min off-peak hours). A washing cycle at 30 ◦ C, takes 1 h
and 20 min. The washing machine model needs a power rinsing up to 80 W to
wash, the spin power is 150 W and the washing heating power is 2400 W. The
main simulation steps of the washing machine: - the water heating takes about
10 min, - the washing and rinsing are low consumption last about 40 min, - the
spin is characterized by a power of 150 W for a period of about 10 min. The
power of the heating phase is approximately 2400 W depending on the pre-set
temperature (30, 60 or 90 ◦ C).
Consumption of an ADSL BOX and Wifi Printer. The consumption of

the Box (in purple Max 14 W and min 11 W) at the same time as that of the
network printer known via WIFI (HP6700 printer). The day before the printer
consumes 1 to 2 W and for an impression it goes to 6 W then 12 W or 8 W (25
pages printed).
Consumption of an Electric Kettle. Kettle and coffee maker are machines

used occasionally during the day (often at sunrise and before sunset). They have
peaks, usually high, consumption.
Consumption of the Living Room TV Set. The consumption of the Box

is almost constant at 11 W more than once 1 or 2 W extra. The use of the TV is
intermittent and consumes more than 110 W is in standby it is at 12 W; why it
is turned off as often as possible. Other TV sets sometimes consume more but
usually less when they are smaller. We will see that the TV set of the kitchen,
much smaller, consumes less than 40 W it is connected to the same sensor socket
as the washing machine and is less often turned on. Its standby consumes less
than 2 W because it is newer.
The Power Consumption of a PC. The power consumption of a PC is given

by the table below according to the reference [17]. It should be noted that there
are fewer and fewer PCs of this kind (rather old). It should be noted that there
are fewer and fewer PCs of this kind (rather old) in homes for laptops that
consume less and are increasingly powerful. The figure below shows the battery
charge consumption of an ASUS notebook PC (quite powerful multicore) and
a Macbook Air laptop. The charge cycle takes powers up to 65 W. When the
battery is medium-sized, it uses about thirty Watts.
The Power Consumption of a Washer Robot. A robot cleaner uses water

vapor; for this the water is heated to boiling. For a while it consumes about 40
to 50 W to preheat the water then we can start the process of cleaning surfaces
(carpets, carpets, etc.). It consumes then about 1400 W of power for sending
steam and suction.
The Power Consumption of a Clothes Dryer. The tumble dryer consumes

a lot of power at the start because the laundry is wet and the heating of the air
is blown to the maximum. This power decreases gradually as the laundry dries;
temperature regulation requires less power. The drying lasts about 40 min.
Model of a Stove. There are two types of cookers: - gas cooker or electric
cooker. Here we consider cooking appliances that use electricity. The temperature
of a range can vary between 50 ◦ C and 300 ◦ C. The energy consumed depends
on the time of use of the cooker [2,7]. We have two peaks in its operation, the
first peak present between 12 h to 13 h, its power is 457 W and a second peak in
the evening between 19 h and 20 h.
Model of a Dishwasher. This device is used almost every day, making it one
of the most energy-consuming devices. There are currently devices with multiple
programs that can operate in “low temperature” and “medium capacity” modes,
which can save energy. A dishwasher is modeled in the same way as a washing
machine.
Its operation goes through four stages:
1. prewash: the water is sprayed on the dishes thanks to the spray arms
2. the main wash: the water is heated according to the chosen program and
sprayed by the rotating spray arms. The higher the temperature, the more
powerful the washing,
3. rinsing: after the main wash, the dishes are rinsed several times.
4. drying.
A dishwasher model uses with 80 W wash power and 1600 W wash power.
We have three phases (without prewash), the first phase presents the main wash
phase which is done with hot water, which corresponds to the first peak power
(about 1600 W), then we have a low power (about 60 W) which corresponds to
the washing phase (where only the pump runs) and one or two rinses in cold
water and finally we have the last phase which is the hot water rinse phase and
a short drying phase that correspond at the second peak (about 1600 W).
Lighting Model of a House. The lighting of buildings depends on the user;

the power is on average 120 W. We have two peaks, the first peak present in
the morning, it is at most (120 W) from 5 h to 7 h30 and the second peak in the
evening and it is at its maximum between 18 h to 21 h.
2.3 Simulations of the Different Electrical Loads of a House

Simulation of the different electrical loads such as washing machine, refrigerators,
freezers, dishwashers, stoves, heating, television and lighting for a day, with a
maximum power of 1600 W, can be done as shown in [2]. Without heating for a
day, with a maximum power of 900 W, we note that when simulating the loads,
without heating, we have a maximum power of 900 W, if the heating is activated
in the simulation the maximum power goes to 1800 W. Heating consumes more
energy than the other equipments. With the proposed models we are then able
to predict the smart house consumption.
3 The House and Its Thermal Behavior

We chose a house model that seems most common in modern cities (using tools
and news equipment) inhabited by a common family composition; 4 to 5 people.
The equipment chosen are all within the reach of the middle-class inhabitant or
slightly above. The ‘Mozart House’ which has been an example for several works
is proposed. It is a detached house, full foot. It is composed of 3 rooms, a kitchen,
a bathroom and a stay. It is occupied by 4 people and has all the usual multimedia
equipment, such as TV, a hi-fi system, electrical appliances with various batteries
electric bike, laptops, computers etc.... Not to mention household appliances such
as a washing machine, a dishwasher, freezer and refrigerator, we consider several
types of tools consuming electricity and sometimes hot water. We must therefore
estimate all household loads and evaluate the use of Hot Water Supply (DHW).
3.1 Modeling the Thermal Behavior of a Building

The choice is to define the most suitable method for the application considered.
Our goal is to explain the thermal behavior and to evaluate the need for energy.
The thermal behavior and energy consumption of the building must be evaluated
and monitored in real time. The objective is therefore the real-time dynamic
simulation of the energy behavior of a building. We can use Matlab Simscape or
Modelica for the electro-thermal behaviour simulation of the 4-rooms house [3,
16,18]. Each room has different components: a ceiling, a floor, a door, four walls.
They can be with and without insulation, such as a door or window with double
glazing, a floor or underfloor heating, an auxiliary heater and a thermostat.
4 Conclusion
The energy consumption of a house is studied in detail with as objective the
dimensioning of a Hybrid Renewable Energy production System. The optimiza-
tion and the energy saving, can then be considered. We estimate the loads con-
sumptions. The heating energy needs, assuming that 4 to 5 people live in this
house has been also studied.
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Author Index
A Bah, Abdellah, 164

Aarich, N., 630 Bahiri, M. N., 80
Ababou, Noureddine, 16 Ballouk, A., 319
Abbou, Fouad Mohamed, 697 Barazane, L., 438
Abdelhafid, Messaoudi, 478 Barboucha, Hamza, 43, 58
Abdelhak, Aziz, 461 Bechar, Mansour, 533
Abdelhamid, Rabhi, 510 Bekkay, Hajji, 350, 392
Abdelilah, Byou, 412 Belahmar, Ahmed, 181, 192
Abdeljalil, El Kari, 587 Belhadi, Zineb, 30
Abdelmjid, Baddou, 587 Belhimer, Salheddine, 447
Abdi, Farid, 3, 647, 697 Belkheiri, Ahmed, 597
Abidine, M’hamed Bilal, 113, 128 Belkheiri, Mohammed, 597
Adil, Brouri, 344 Belkouch, Said, 120
Agalit, Hassan, 664, 755, 762 Benabdellah, Nihad, 232
Ahaitouf, Ali, 22 Benabdellatif, M., 771
Aissat, Abdelkader, 207, 216, 250 Ben-Ali, Y., 146
Ait Abbas, Hamou, 597 Benallal, Jalal, 258
Aït Madi, Abdessalam, 22 Benazzi, Naima, 232
Akhsassi, M., 630 Bendoumou, A., 192
Alami Merrouni, Ahmed, 723 Bendoumou, Abdallah, 181
Alami, Karim, 454 Benhamed, Choukri, 69
Alaoui Ismaili, Zine El Abidine, 290 Benharrats, Farah, 739
Alaoui, Mohammed, 164 Benhmida, Mohammadi, 617
Amghar, K., 746 Benlarabi, Ahmed, 609, 617
Ammi, S., 207 Bennouna, Amin, 609, 630
Amrani, Abdel-Illah, 723 Bennouna, El Ghali, 647, 664, 723, 755, 762
Amrani, Aumeur El, 623 Benslimane, Anas, 329, 336, 576
Ar-reyouchi, EL Miloud, 10, 43, 51, 89 Bentarzi, Hamid, 225
Aziz, Abdelhak, 478, 576, 731 Benzaouia, S., 565
Azzaoui, Hanae, 399 Benzaouia, Soufyane, 498
Bester, Jean, 369
B Bollaert, S., 207
Badri, A., 319 Bouaichi, Abdellatif, 617, 623
Baghaz, E., 239, 298, 313, 524 Bouali, Hicham, 679, 746
Baghdad, A., 319 Boubekeur, Anis, 69
© Springer Nature Singapore Pte Ltd. 2019 783

https://doi.org/10.1007/978-981-13-1405-6
784 Author Index
Boubzizi, Saïd, 369 El Ydrissi, Massaab, 647

Bouchiba, Bousmaha, 545 Elamri, F. Z., 137
Bouchnaif, Jamal, 329, 336 Elgouri, Rachid, 258
Boufadene, Mourad, 597 Elhafyani, Mohamed Larbi, 490, 498, 510, 565
Boukara, A., 771 Elharfaoui, Nadia, 640
Boulgamh, F., 283 Elkihel, Bachir, 399, 690
Boulhafa, E., 170 Elmaazouzi, Zakaria, 762
Bouramdane, Zahra, 164 Erraissi, N., 630
Bourhaleb, Mohammed, 232 Erregueragui, Zineb, 706
Bouselham, Loubna, 470 Essadki, Ahmed, 359
Boussak, M., 239, 298
Bouzidi, Afaf, 89, 157 F
Brahim, Lagssiyer, 461 Fahoume, Mounir, 181, 192, 640
Bria, Driss, 137, 146, 157 Falyouni, F., 137, 146
Fannakh, Mhamed, 498, 565
C Fergani, Belkacem, 113, 128
Cardoso, A. J. M., 431 Fergani, Lamya, 30
Chadli, Hajar, 89 Frifita, K., 239, 298
Chakib, Mohssine, 359
Chatei, Youssra, 10, 43, 51 G
Chenini, L., 216 Galadi, Abdelghafour, 273
Chentouf, Mohamed, 258, 290 Ghadban, Amina, 10, 51
Cherif, Lekbir, 258, 290 Ghammaz, A., 80
Chouiyakh, A., 192 Ghennioui, Abdellatif, 617, 623, 723
Chouiyakh, Ali, 181 Ghennioui, Hicham, 647
Chouri, Brahim, 454 Ghoumid, Kamal, 10, 43, 51, 58, 69, 89
Grari, Khalid, 329, 336
D Guidoum, Feriel, 16
Dahbi, Sanae, 478, 731
Darmi, Mohammed, 258 H
Delaunois, Fabienne, 690 Habbab, Mohamed, 533, 545
Diouri, Jaouad, 672 Hachami, Khalid, 232
Djouambi, A., 283 Haddad, S., 438
Dkhichi, Fayrouz, 454 Haddadi, Mourad, 447
Haddout, Assiya, 640
E Hadini, Yassine, 273
Echchelh, Adil, 273 Hajjaj, Charaf, 617, 623
Ekdiha, Yasser, 39 Hajji, Bekkay, 384, 470, 679
El Adraoui, Soufiane, 39 Hajji, Mohamed, 679
El Alami, Mustapha, 762 Halimi, Mohammed, 672
El Amrani, Aumeur, 672 Haloui, Manal, 329
El Fattahi, Loubna, 107 Hammouti, Maria, 51
El Filali, Anas, 421 Hamzaoui, Abdelkrim, 120
El Fouas, Chaimae, 679 Harchouch, Nabila, 250
El Hafyani, Mohamed, 350, 461 Harrak, Abdelkhalak, 306
El Hammami, Youness, 664 Hassan, Ayad, 587
El Hassouani, Youssef, 723 Hassani, A. Alami, 3
El Hitmy, M., 98 Hazzab, Abdeldjebar, 533
El Ouariachi, Mostafa, 576, 731 Hmina, Nabil, 258
El Sied, Moataz, 369 Hossain, Abarkan El, 412
El Yahyaoui, Moussa, 10 Houzet, Dominique, 120
Author Index 785
Hrifech, Soukaina, 755 Mouna, Abarkan, 412

Huet, Sylvain, 120 Mounirh, Khalid, 39
Moussaoui, Haytem, 656
I Mpanda Mabwe, Augustin, 369
Iben Yaich, Mohamed, 39 Mrabti, M., 3
Idlimam, Ali, 656
Ikken, Badr, 609, 617, 623 N
Naamane, A., 239, 298, 313, 524, 771
K Naimi, Salah Eddine, 306
Kerbouche, K., 431 Nasri, M’barek, 232
Khalladi, Mohsine, 39 Nasser, Tamou, 359
Khlifi, Yamina, 384, 478, 679, 731
Khodja, A., 266 O
Kouddane, R., 170 Ouadfel, H., 170
Kouddane, Radouane, 10 Ouariachi, Mostafa El, 336, 478
Kourchi, Mustapha, 350 Ouchbel, Taoufik, 498
Ouchrif, J., 319
L Outana, Imane, 672
Laadel, Nour Eddine, 664 Outzourhit, A., 630
Laadissi, El Mehdi, 421
Lahfaoui, Badreddine, 490 R
Laila, Kadi, 344 Rabhi, Abdel Hamid, 490
Lakhdari, Lahcen, 533, 545 Rabhi, Abdelhamid, 438, 470, 597
Lamharrar, Abdelkader, 656 Rahim, Nasrudin Abd, 350
Lamreoua, Abdelhak, 576 Rahli, Hamida Samiha, 739
Lekhal, F., 98 Raidou, Abderrahim, 640
Lharch, Mohamed, 640 Rais, Khalid, 713
Louhibi, M. A., 746 Raoufi, Mustapha, 609, 630
Razi, Mouhcine, 22
M Regad, Youssef, 690
M’Sirdi, Nacer Kouider, 239, 298, 313, 412, Remram, M., 283
524, 771 Rouibah, Nassir, 392, 438
Mabrouk, Lhoussein, 120
Mahi, Habib, 739 S
Mansouri, Anas, 22 Sahel, A., 319
Mansouri, Imad, 399 Sahnoun, Smail, 617
Martaj, Nadia, 164 Salhi, M., 746
Mazari, Abdelfattah, 470 Salhi, N., 746
Mekaoui, Slimane, 51, 69 Sarikh, Salima, 609
Mellit, Adel, 392, 431, 438, 447, 470 Sbai, El Hassan, 107
Menhour, Ihssene, 128 Sefraoui, Omar, 43, 58
Merrouni, Ahmed Alami, 617, 623 Sellamna, Hemza, 392, 438
Messaoudi, Abdelhafid, 384, 576, 731 Selvaraj, Jeyraj, 350
Messaoudi, Choukri, 623, 672 Seth, Shikhar, 113
Mhamed, Fannakh, 510 Slimi, Mohammed, 533
Mimet, Abdelaziz, 755 Smail, Zouggar, 510
Mohammed, Mokhtari, 510 Soufyane, Benzaouia, 510
Mohammed, Seddik, 555 Soussi, F., 170
Mohssine, Hassan, 350
Mokhliss, Hamza, 713 T
Mokhtari, M., 565 Tabaa, Mohamed, 454
Mokhtari, Mohammed, 498 Tahri, Z., 137, 146
Monsour, Bechar, 545 Tazi, Khadija, 697
Mostafa, Mjahed, 587 Tina, Giuseppe Marco, 392, 679
786 Author Index
Tizliouine, Abdeslam, 706 Yahia, K., 431

Touhami, R., 266 Yousfi, Driss, 350
Touili, Samir, 723
Tounsi, Mohamed Lamine, 16
Tsebia, Mohammed, 225 Z
Zaza, Afaf, 664
V Zazi, Malika, 421
Vilcot, Jean Pierre, 216, 250 Zennayi, Yahya, 120
Zier, Adel, 30
W Zitouni, Houssain, 617, 623
Wichmann, N., 207 Zouak, M., 3
Zouggar, S., 565
Y Zouggar, Smail, 490, 498, 555
Yagoub, M. C. E., 266 Zouine, M., 630
Yagoub, Mustapha C. E., 16 Zyane, A., 80

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Lecture Notes in Electrical Engineering 519

Board of Series editors

• Communication, Networks, and Information Theory

China, Jessie Guo, Assistant Editor (jessie.guo@springer.com) (Engineering)

Leontina Di Cecco, Editor (Leontina.dicecco@springer.com)

Michael Luby, Editor (michael.luby@springer.com) (Mechanics; Materials)

More information about this series at http://www.springer.com/series/7818

Kamal Ghoumid Abdelhamid Rabhi

Proceedings of the 1st

Giuseppe Marco Tina Adel Mellit

ISSN 1876-1100 ISSN 1876-1119 (electronic)

Library of Congress Control Number: 2018948381

© Springer Nature Singapore Pte Ltd. 2019

The ICEERE’18 aims to provide an international platform for engineers,

Communication, Networks and Information Technology

Impact of Message Size on the Average Delay

Materials and Devices Applications

Low Temperature Sensor Based on One-Dimensional

ASIC Physical Design Flow: Power Saving Opportunities

Power Electronics, Systems and Applications

Nonlinear Numerical Study of Mutual Inductances for Switched

Design of a Quadratic Boost Converter for a Standalone PV

Sliding-Mode Controls Applied to Induction Machine Fed

Mathematical Models Calculating PV Module Temperature

Parameters Extraction of Photovoltaic Cell Based on Experimental

A. Alami Hassani1(&), M. Zouak2, M. Mrabti3, and F. Abdi2

Keywords: DS-CDMA MAI GA Performance SNIR BER

© Springer Nature Singapore Pte Ltd. 2019

The quality of the transmission depends essentially on the receiver’s performance,

2.1 Received Signal

Fig. 1. Conventional correlation receiver.

V represents noise at the correlator.

A is the useful part of the received signal [10].

I is the MAI term.

2.2 Signal to Noise Interference Ratio

Assuming that P1 ¼ Pmoy , the system’s SNIR can be written:

3.1 CCR Error Probability: Synchronous Case

Fig. 2. BER versus SNR for K = 60 in perfect synchronism.

3.2 CCR Error Probability: Asynchronous Case

Fig. 3. BER versus SNR for K = 60.

Fig. 4. Error probability versus users number (SNR = 10 dB).

Amina Ghadban1(&), Moussa El Yahyaoui1, Youssra Chatei1,

Keywords: Bragg ﬁlter Radio-over-ﬁber Beat BER

2 Model Description and Simulation Results

2.1 Model Description

Fig. 2. Optical spectrum of beat of wavelength reflected by the FBGs

2.2 Simulation Results

Fig. 5. Q curve versus different distances of SSMF

7. Insua IG, Plettemeier D, Schäffer CG (2010) Simple remote heterodyne radio-over-ﬁber

Feriel Guidoum1, Mohamed Lamine Tounsi1(&),

Keywords: Antenna Anisotropic substrate WLAN applications

© Springer Nature Singapore Pte Ltd. 2019

2 Antenna Structure and Methodology

Table 1. Antenna dimensions (from Li et al. [9]).

Fig. 1. Antenna geometry [9]

In order to simultaneously achieve good impedance matching, high gain and

3 Simulation and Results

3.3 Gain and Directivity

4. Nelson RM, Rogers DA, D’Assuncao AG (1990) Resonant frequency of a rectangular

Mouhcine Razi1(&), Anas Mansouri1(&), Abdessalam Aït Madi1,2(&),

Keywords: LDPC codes BP SAOMSA Convergence speed

© Springer Nature Singapore Pte Ltd. 2019

An LDPC code can be described by an M N sparse parity-check matrix H and the

2.1 LLR-BP Algorithm [6]