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Abstract— As a result of multiple energy sources, hybrid design more practical and potent EM control strategies [16],
electric vehicles (HEVs) provide additional flexibility of the [17], [18], [19]. In [16], an EM strategy considering the
engine operating point, which enables optimization of fuel particulate matter (PM) and nitrogen oxide (NOx) emissions
economy and emissions reduction. This paper introduces an
energy management (EM) control strategy by an optimal is proposed. The strategy is proven to be effective in reducing
control approach that jointly optimizes fuel consumption and transient emissions due to the turbocharger lag. A DP-based
various vehicle pollutant emissions. Engine thermal dynamics optimal control strategy is presented in [18] to find the
are modeled and integrated into the engine-out emission and optimal HEV power split that results in minimized fuel
fuel consumption models for enhanced modeling accuracy. consumption and harmful emissions, including NOx, carbon
The proposed method is formulated as an optimal control
problem (OCP) that is benchmarked against a baseline EM monoxide (CO) and hydrocarbon (HC). The impact of traffic
strategy for fuel consumption only optimization. The proposed conditions and emissions are integrated into the EM control
temperature sensitive emission and fuel consumption models in [17], where the traffic influence on the driving speed,
enable a thorough investigation of engine temperature-emissions acceleration, stop and go are predicted to achieve EM control
relationships, which provide important insights into the optimal parameters tuning. The very recent work [19] proposes an
power split during the engine preheating phase. Simulation
results validate the effectiveness of the proposed approach and MPC framework for joint optimization of fuel economy and
highlight the importance of analyzing the fuel consumption- emissions (CO, HC and NOx) under a car-following scenario.
emissions trade-off, as small compromises in fuel consumption The production of emissions is highly influenced by the
lead to significant reductions in emissions. engine thermal behavior, which, however, has not been
taken into account in previous studies. An investigation
I. INTRODUCTION accounting for the engine thermal behavior is particularly
Hybrid electric vehicles (HEVs) represent an important important for analyzing optimal power split solutions during
stage for transportation electrification, which has been pro- the engine preheating phase. The general approach to solve
moted to address global environmental issues. It is commonly the optimization problem associated with emissions and fuel
acknowledged that HEVs provide promising fuel efficiency consumption is based on engine static maps [16], [19] by
and reduced emissions in comparison with conventional in- neglecting the impact of engine temperature changes on the
ternal combustion engine (ICE) vehicles, due to their capac- emissions. However, emissions are sensitive to the engine
ity of energy recovery and the additional degree of freedom temperature, for example, more NOx is produced at a high
in meeting the driver power demand. It is therefore of great engine temperature due to the complex chemical reaction
interest to study HEV energy management (EM) control, between nitrogen and oxygen at a high temperature, while
which involves determining the optimal power allocation more HC and CO are produced at a low temperature due
between multiple sources in the powertrain. Over the past to the insufficient combustion of fuel in the engine. As
decade, numerous works have been reported in the literature, such, the accuracy of representing the fuel and emission
with a comprehensive overview of existing EM techniques, outputs degrades when the engine temperature is changing
from rule-based to optimization-based [1], [2], [3], [4]. In dramatically, such as at the preheating stage.
particular, most existing EM strategies are optimization- To this end, an optimal control approach to minimize both
based due to optimal or sub-optimal guarantees. The main fuel consumption and various emissions, including NOx,
optimization algorithms encompass dynamic programming CO and HC, of a series HEV, with consideration of engine
(DP) [5], [6], nonlinear programming [7], [8], Pontryagin preheating, is proposed in this paper. The main contributions
Minimum Principle (PMP) [9], [10], the equivalent consump- of the paper are therefore as follows: 1) energy management
tion minimization strategy (ECMS) [11], model predictive strategy by optimal control framework for simultaneous
control (MPC) [12], [13] and machine learning [14]. minimization of fuel consumption and emissions that goes
In most of the existing studies, fuel economy remains the beyond existing strategies by incorporating engine preheating
only objective that is optimized whereas the emissions are via temperature sensitive fuel consumption and engine-out
ignored. It is well acknowledged that fuel-efficient engine emission models, 2) investigation of the influence of the
operating points do not simultaneously guarantee minimal engine temperature on the optimal fuel-emissions solutions,
engine-out emissions [15]. Therefore, the joint consideration 3) investigation of the trade-off between fuel consumption
of emissions and fuel consumption is an essential step to and various emissions under the more realistic scenario of
engine preheating consideration, and 4) evaluation of the
1 R. Hu, X. Pan and S. A. Evangelou are with the Dept. of benefit of the joint fuel and emissions optimization frame-
Electrical and Electronic Engineering at Imperial College London, UK work by comparisons with a baseline fuel-only optimization
(ruikuan.hu19@ic.ac.uk, xiao.pan17@ic.ac.uk, EM strategy in most existing EM control strategies [1], [3].
s.evangelou@ic.ac.uk)
2 B. Chen is with the Dept. of Electronic and Electrical Engineering at This paper is organized as follows. Section II introduces
University College London, UK (boli.chen@ucl.ac.uk) the powertrain and emissions models of a series HEV.
92 5
0..88
0. 0.9
9
200
Load torque [Nm]
0.96
torque τeng and the crankshaft speed ωeng . The dynamics 0.96 0.95
0.6
100 0.963 92
0.0.9
of the engine fuel consumption mass mf and engine-out 0.95
0.92
0.9
0.96 0.95
0.9 2
0.9
0.85
0.8
0.85
0.8
0.6
0 0.85
0.8
0.6
0.8
0.85
0.9 0.6
0.6
0.8 0.6
0.92 0.85
emissions masses mN Ox , mCO , mHC for NOx, CO and 0.95 0.96
0.9
0.9
0.95
2 0.8
0.85
0.0.9
92
0.963
HC emissions, will be introduced in the next section. -100
0.6
0.9 0.95
0.96 6
2) Secondary Source Branch: The SS branch contains a -200 0.9
0.8
0.8
0.9
0.
-300
be charged and discharged via bidirectional power flow. The
battery in this work is modeled as a series connection of an 0 1000 2000 3000 4000 5000
ideal voltage source and a resistance [20]. Furthermore, the Angular speed [rpm]
SS output power is obtained by: Fig. 2. Efficiency map of the reversible Permanent Magnet Synchronous
(PMS) machine (positive torque = generator, negative torque = motor).
sign(PSS ) Dotted lines present the torque bounds due to power limitation [20].
PSS = ηdc Pb , (3)
where ηdc is the efficiency for DC-DC converter and Pb is the driving power Pv that acts on the wheels is:
the battery output power. In this modeling framework, the
battery state of charge (SoC) is the only dynamic state of Pv = Pt + P h . (6)
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B. Fuel Consumption and Emission Models
0.1
In this subsection, the dynamics of ICE temperature are 200
4
6 200 0.15
0.2
0.3
0.4
modeled, and the fuel consumption and emission models, 150
3
150
2
which are functions of ICE temperature, are developed. 100 100 0.1
0.2 0.3
1
0.1
5
1) Engine Temperature Model: The engine temperature 0.05
50 50 0.1
index Item is introduced to indicate the percentage of the 1
2
0.05
engine temperature, where Item = 0 represents the cold 1000 2000 3000 4000 1000 2000 3000 4000
engine condition at an ambient temperature Tamb , and Item =
1 represents the steady state temperature Tss engine works 0.06 4
200 0.04 200
at. The dynamic equation of Item is given as: 0.02 1
0.015
0.20.3 3
1 0.
0.3
150 150 0.
01
d ṁf QHV (1 − αf ) − Pdis
0.
0.1
Item = , (7) 100 100
0.0
0.02
0.2
dt Qreq
5
50 0.015
0.01 50
0.005 0.005 0.1
where ṁf is the instantaneous fuel rate, QHV is the gasoline 0.05
1000 2000 3000 4000 1000 2000 3000 4000
lower heating value, αf is the equivalent fuel efficiency,
Pdis is the average heat discharging rate by engine cooling Fig. 3. Fuel mass rate and emission rate maps with respect to engine
and exhaust waste gas, and Qreq is the estimated total heat torque Te and crankshaft speed ωe for a 2.0L Saab gasoline engine at hot
demand for preheating, which is calculated by: steady state [15].
ṁf = ṁf,ss (τeng , ωeng )[Item + ξf (1 − Item )], (9) where ṁf is the only term in the objective function, and
the optimal solutions of (11) can be set as a baseline for
where ṁf represents the instantaneous fuel mass rate, comparing the performance of the joint optimization on both
ṁf,ss (τeng , ωeng ) is the fuel mass rate obtained from the ICE fuel consumption and emissions.
static map (see Fig. 3), and ξf is assumed to be a constant
ratio representing the cold start and fully hot fuel mass rate B. Joint Emission Optimization Strategy
and it is estimated by fitting cold-start data of the Saab engine In contrast to the baseline formulation, the proposed
with equation (9). EM strategy is obtained by minimizing the following milt-
3) Engine-out Emission Model: Similarly, the dynamics objective cost function:
of emissions mass rate are described by [15]: Z T
ṁf X ṁi
ṁi = ṁi,ss (τeng , ωeng )[Item + ξi (1 − Item )], (10) Jjoint = Wf uel + Wi dt , (12)
0 m f, scale i
m i, scale
where ṁi is the instantaneous mass rate for emission i with P
i ∈ {NOx,CO,HC}, ṁi,ss (τeng , ωeng ) is the mass rate of where i ∈ {NOx, CO, HC}, Wf uel + i Wi = 1, mf, scale
emission i obtained from the static maps respectively for and mi, scale are constant given in Table. I so that the
the three emissions (see Fig. 3), and ξi is assumed to be individual costs are normalized, and Wf uel and Wi are
a constant ratio representing the cold start and fully hot weighting factors of fuel and emissions, respectively.
emission mass rate of species i and it is estimated by fitting
cold-start data of the Saab engine with equation (10). C. Tuning of Weighting Factors
One of the fundamental challenges for multi-objective
III. O PTIMIZATION P ROBLEM F ORMULATION optimization is the weight tuning. In order to find the
This section introduces the EM control strategy for series effective trade-off between the four objectives with minimum
HEVs to optimize the fuel economy and the engine-out tuning of the weights, pairwise interactions between fuel
emissions. The EM optimization strategy finds the SS branch and emissions costs are first investigated. In this context,
power PSS , the engine torque τeng and the engine crankshaft the following sub-optimization problems are formulated: 1)
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minimizing the weighted sum of fuel consumption and one where (19c) is designed to relax the equality constraint (1)
of the emissions: since the fuel consumption is minimized and the battery aims
Z T
ṁf ṁi to achieve charge sustaining, both PP S and PSS find their
Jpartial1 = Wf uel + Wi dt , (13) minimum boundaries as solutions. The problem is completed
0 mf, scale mi, scale by the boundary conditions (17d), expressed as follows:
where i ∈ {NOx, CO, HC} and Wf uel + Wi = 1; and 2)
minimizing the weighted sum of two emissions: SoC(0) = 0.65, SoC(T ) = 0.65, (20a)
Z T Item (0) = 0, mf (0) = 0, (20b)
ṁi ṁj
Jpartial2 = Wi + Wj dt , (14)
0 mi, scale mj, scale mN Ox (0) = 0, mCO (0) = 0, mHC (0) = 0. (20c)
where i, j ∈ {NOx, CO, HC} with i 6= j and Wi + Wj = 1.
For both cases, mf, scale , mi, scale , mj, scale are normalizing IV. N UMERICAL R ESULTS
factors, given in Table. I and Wf uel , Wi , Wj are constant
weights tuned to balance the control performance. The performance of the proposed scheme is evaluated in
this Section and its solution is compared with the solution
D. Optimal Control Problem Formulation of the baseline strategy described in Section III. The driving
For a given driving cycle in terms of speed v and accel- cycle defines the speed profile that needs to be followed
eration a, the driving force acting on the wheels Fv can be by the HEVs. Without loss of generality, the first three
calculated as: stages of the worldwide harmonized light vehicles test cycles
(WLTP) cycle (excluding the extra high) are selected, to
Fv = ma + fT mg + fD v 2 + mg sin θ, (15) emulate non-highway driving. As shown in Fig. 4, the speed
where m is the vehicle mass, fT and fD are the coefficients profile utilized in this work is formed by three individual
of tyre rolling and aerodynamic drag resistance, respectively, profiles, separated based on their average speeds: low (WL-
and θ is the road slope. As such, the load power demand PP L L), medium (WL-M) and high (WL-H). By using (16), it is
at the DC-link can be calculated directly from the power at immediate to determine the PL power demand as illustrated
the wheels, Pv = Fv v, as follows [20]: in Fig. 4. The numerical evaluation of the proposed EM
Pv
PP L = , ∀Pv ≥ 0,
ηi ηm ηt (16)
P = (P − P )η η η , ∀P < 0.
PL v h i m t v
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5%
Fuel NOx HC CO
0%
-5%
-10%
-15%
1 2 3
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30 1
(NMPC) techniques or data-driven optimization methods).
20 Moreover, robust optimization schemes will be developed to
0 cope with the uncertainty in model and decision parameters.
10
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