Mechatronics Engineering and Electrical Engineering (PDFDrive)

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

Electrical Engineering
Editor
Ai Sheng
Information Science and Engineering Technology Research Association (ISET),
Hong Kong, China
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Mechatronics Engineering and Electrical Engineering – Sheng (Ed.)
© 2015 Taylor & Francis Group, London, ISBN 978-1-138-02719-0
Table of contents
Preface xi
CMEEE 2014 committee xiii
Battlefield situation cognition system based on big electronic reconnaissance

data processing 1
S.M. Xu, H.B. Yu & F.H. Chu
Automatic recognition of waste rock in top coal caving based on digital image processing 5
B.P. Wang, Y.J. Wang & Z.C. Wang
The application of Dijkstra algorithm based on multi-weighted distribution in GIS 9
Sh.M. Wang, H.T. Luo & B.W. Wang
Design of battery charging and discharging circuit 15
H.Q. Zhan & Z.P. Li
Automatic flight control of a certain UAV using LQG design 19
Sh.Y. Zhang
Research on online and remote calibration technology of electronic belt scale based on weights
superposition method 23
X.P. Shang, H.Y. Chen & Z.W. Huang
The application of wavelet filter in static synchronous compensator 27
L. Zhang & N. Liu
Fractional-order differential application and research in pavement cracks image enhancement 31
W. Jiang, Y.W. Liu & H. Zhang
Molecular algorithm in solving the shortest path problem of the application and research 37
L. Zhang
A method about video quality assessment in video phone service over 3G network 43
C. Feng, L.F. Huang & W.J. Xu
Analysis on the degree of the international fragment of China’s manufacturing industry based
on processing trade 49
Y.H. Yang
The voltage-controlled low-pass filter based on FPGA frequency measurement 53
Sh.Q. Ma, L.R. Zheng, J.F. Liu & Y.P. Ji
Departure capacity assessment of close staggered parallel runways 59
J.G. Kong, X. Li & W.B. Ding
The control design of blast furnace clay gun play mud quantity 63
B.H. Jiang, J. Mei, X. Zhao, D.C. Gao & H. Liu
Research and implementation of coal traffic video management system based on the technology
of image tracking and recognition 67
S.J. Jin
Residents air conditioning load management model studies and impact analysis 71
B. Li, S.W. Li, S.X. Zhang, X.S. Jing, F. Wu & X.J. Weng
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Multi-objective optimized scheduling for hydro-thermal power system 77
W.J. Liu & P.F. Cheng
An optimal space-borne Solid-State Recorder based on domestic chips 83
S. Li, Q. Song, J.W. Song, W. Wang, Y. Zhu & J.S. An
Study on additional damping controller for VSC-HVDC to prevent
low-frequency oscillation 87
Z.H. Wang, Y. Li & X.Y. He
Lightning surge analysis for 220 kV AC double circuit transmission line using LPTL 91
Y. Ma, C.S. Liu, Y. Liu, G. Chen, T.X. Xie, Z.C. Zhou & F.B. Tao
Fault analysis of Metal Oxide Varistor (MOV) for series compensation capacitor banks 97
Y. Ma, Y. Liu, P. Li, G. Chen & Z.Z. Zhou
Experimental study of the human retinal security by LED light 103
L. Zhao, L. Lu, Sh.Y. Ren, L.Q. Geng & C.T. Li
Analysis of the phenomenon in LFO of AC electric locomotive 109
J.J. Ding, Y. Tu & S.B. Gao
The prototype of fatigue damage detection by the method of Metal Magnetic Memory Testing 115
X.Y. Yu & X.Y. Fu
Rotor composite faults diagnosis of asynchronous motor based on complex power 119
Zh. Wang, Zh.F. Lin, Ch. Li & Zh. Zeng
Commissioning and operation of Heze some leather wastewater treatment plant 125
K. Wang, B. Liu, H.D. Zhang & W. Zhao
Engineering depth treatment of pharmaceutical wastewater by magnetization catalytic
oxidation-A2O-MBR combined process 129
W. Zhao, B. Liu, H.D. Zhuang, K. Wang & H.D. Ji
Study of broadband microstrip circulator using YIG single crystal 133
Zh.Q. Cheng, Y. Luan, M.Sh. Jia & X.X. Lian
Decoupling mechanism for suspension laryngoscopy using a curved-frame
trans-oral robotic system 137
X.Y. Fu, X.Y. Yu & J.T. Seo
Calculation and analysis on shunt coefficient of short-circuit current inside Fuzhou 1000 kV
Ultra-High Voltage substation 141
B. Zhang, B. Tang, W.H. Ma & J.Y. Zou
Mechanical analysis of reliability test device of Head-Up Display’s retraction and extension 147
Y.G. Liu & Y.X. Wang
Study on electromagnetic loop rejection in Liaoning power grid 151
K. Gao & Zh.H. Wang
Study on effect of evaluating corrosion inhibitor for circulating cooling water
in dynamic simulation method 155
Y.P. Li, Y. Li & F. Liu
Research on the impulse current dispersal characteristics of tower grounding devices 159
Ch.Ch. Zhu, T. Wang, X.F. Tong, P.X. Xing, Zh.Q. Feng, H.L. Lu & L. Lan
Innovative design of centrifugal oil press 163
C.Q. Zhong & Y.L. Zhang
Analysis of the centrifugal oil press vibration 167
HPLC method for determination of concentration of Nifekalant in human plasma 171
X. Xie
vi
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Research of over-voltage in air-core reactor using Waveform Relaxation
based on Lanczos 175
L.M. Bo, B. Bao & Y. Xu
The design of automatic sorting and staking system based on PLC S7-200 181
L.Y. Fang, X.Y. Zhou, F.G. Wu & X. Zhang
Study of dynamic optimized allocation policy for AGC regulation power based
on fuzzy-Q learning algorithm 187
H. Qian, L. Zhou, W.X. Jin & J.B. Luo
Fault diagnosis of rolling bearing based on Fisher Discriminant Analysis 195
W.B. Zhang, Ch.G. Liang & G.Ch. Li
The voltage coordinated control strategy of the power grid which includes
large scale wind power 199
R. Shi, R. Jiao, Z.J. Chi & X.N. Kang
Research on predict Direct Capacitor Power Control of voltage source PWM rectifier,
applied to electric vehicle charging and discharging field 203
Ch. Gong, L.F. Ma, Zh.J. Chi, W. Li, B.Q. Zhang & Y.T. Zhao
Development of 2500V SMB-seagull SiC JBS diodes 209
G. Chen, Q.M. Zhang, S. Bai, A. Liu, L. Wang, R.H. Huang, D.H. Li & Y.N. Li
Feature-based intelligent machining method based on NX 213
X.H. Zhan & X.D. Li
The application of Analyze Formability-One-Step in progressive die strip design 217
X.D. Li & X.H. Zhan
The research on the signal reconstruction of the angular rate sensor 221
L.Y. Yuan, W.G. Zhang & X.X. Liu
Research on the application of Beidou and GPS dual-mode timing system
in the space flight tracking ship 225
F. Zhang, Y.B. Ren & Y. Zhou
Study of the wind-thermal allocation ratio for wind and thermal bundled power
as a source to participate in power planning 229
X.M. Cao, T.Q. Liu, X.T. Hu, Z.H. Chen, F.J. Wang & T.Y. Guan
A design method of inductance-capacitance filter circuit for reducing current harmonics
of high-speed motor 235
Y.Q. Mo & P.J. Dong
Burr detection algorithm based on machine vision 243
Zh. Shi, Ch.L. Xi, H.L. Li, F.Sh. Tan & J.F. Yan
Numerical simulation and experimental study on the anti-overload ability of cylindrical
roller bearing in a short time 249
Y.G. Ni, Y. Li, S.E. Deng & X.F. Li
Numerical simulation and analysis of wavefront reconstruction iterative method
in radial shearing interference 255
Y.F. Wang & Z.S. Da
Minimization of stator loss for high speed permanent magnet motor 259
X.Q. Liu
Iterative Adaptive Algorithm based on the cross covariance matrix of acoustic pressure
and particle velocity 265
C.R. Zhang, J.F. Cheng & B.L. Ma
A method to establish a continuous operational reference station in urban districts 271
S.B. Wang, X.J. Du, H.J. Li & W.P. Xu
vii
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The research on the leak repairing method of the recoil mechanism 275
N. Li, W. Jiang, H.P. Guo, S. Wang & L.M. Chen
Image retrieval research based on feature points and affine invariant moments 279
B.Q. He & Z.M. Wang
Research on Electric Vehicle development in Beijing 285
L. Zhang, M.Y. Pan, Z.J. Chi, Y.X. Chen & X.N. Kang
Lubrication performance analysis of three axial-grooved gas-lubricated journal bearing
with micro grooves 291
Y.J. Lu, F.X. Liu, Y.F. Zhang, C. Tian & M. Li
A new configuration of current source converter applied in HVDC 297
J.Y. Zhao, F.M. Zhang, F.G. Liu & Y.H. Liu
Application of high-order grey forecast model in the short-term load forecasting 303
X.Y. Huang & L. Yang
Offshore wind power scale development trends and related policy research 309
Y. Zeng, J.S. Luo, X.L. Wang, P. Song, H.W. Huang & H.L. Bao
A power response characteristics equivalent model for the hybrid energy storage system 313
P. Chen, F. Xiao, X.W. Wang, H. Yang, Z.L. Yang & L.J. Wang
The research for power allocation strategy of the hybrid energy storage units
in distributed generation system 319
Z.L. Yang, P. Chen, L.J. Wang, Y.H. Wang, F. Xiao, X.W. Wang & H. Yang
Research on the control of temperature of batch reactors by multi-media in the reactor jacket 325
H.B. Li, D.Y. Feng & H. Liu
Three-phase voltage source PWM rectifier based on space-vector algorithm and one-cycle control 329
L.F. Ma, Ch. Gong, Zh.J. Chi, J.M. Cao & L. Zhu
Joint positioning method with radar based on wavelet entropy 335
H. Yu, J. Liu, M. Wang, R. Guo & Y. Yang
Optimal design of locking pin for surface AUVs launcher under uncertainty 341
S.Q. Yang
A low temperature drift and heavy load bandgap reference voltage with adjustable output 345
X. Xu & J. Jiang
Analysis of energy coupling between the computer chassis and electromagnetic pulse 349
J. Liu, Y.F. Wang, Z.X. Chen & C.D. Yu
Analysis of electromagnetic shielding effectiveness of the chassis with holes under
different polarization directions 353
Q.B. Deng, C.D. Yu & Z.P. Lian
Analysis of characteristic parameters of pulse impact on the electromagnetic
coupling of the chassis 357
C.D. Yu, Z.X. Chen, Y.F. Wang & J. Liu
A new type of control method for the variable-speed wind turbines based
on the PID neural network 361
T. Li, X.Y. Hou, H.Y. Lin, Q.Y. Liu, L. Zhao & H.J. Liu
Research on the control method for the torque of wind generator based on data-driven 365
T. Li, X.Y. Hou, H.Y. Lin, L. Zhao, H.J. Liu & Q.Y. Liu
Construction of robustly stable interval polynomial 369
T.A. Ezangina, S.A. Gayvoronskiy & S.V. Efimov
A MEMS digital seismometer with new structure 373
J. Guo & S.H. Xu
viii
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A type of real-time vibration monitoring system based on Ethernet and RS-232 377
S.H. Xu, J. Guo & P.P. Li
Study on the transient voltage stability of distribution systems considering large-scaled
dispersed EV charging 381
Y.X. Chen, Z.J. Chi, P.W. Zheng & X.N. Lin
Fault diagnosis and failure rate analysis of power transformer based on cloud
relation space model 387
L.J. Guo & S.M. Tao
Analysis on technical innovation and regional disparities growth of China 391
J. Xiong & W.W. Zhang
Author index 395
ix
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Preface
The 2014 International Conference on Mechatronics Engineering and Electrical Engineering (CMEEE2014)
was held October 18–19, 2014 in Sanya, Hainan, China. CMEEE2014 provided a valuable opportunity
for researchers, scholars and scientists to exchange their new ideas and application experiences face to face
together, to establish business or research relations and to find global partners for future collaboration.
CMEEE2014 was a most comprehensive conference focusing on Mechatronics Engineering and Elec-
trical Engineering. The papers in this book are selected from more than 500 papers submitted to the
2014 International Conference on Mechatronics Engineering and Electrical Engineering (CMEEE2014).
The book is divided into 4 sections, covering the topics of Mechatronics, Electrical Engineering, Control
and Automation and Other Engineering. The conference will promote the development of Mechatron-
ics Engineering and Electrical Engineering, strengthening international academic cooperation and
communications.
We would like to thank the conference chairs, organization staff, and the members of the International
Technological Committees for their hard work. Thanks are also given to CRC Press/Balkema (Taylor &
Francis Group).
We are looking forward to seeing all of you next year at CMEEE2015.
Yizhong Wang
Tianjin University of Science and Technology, China
xi
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CMEEE 2014 committee
ORGANIZER
Information Science and Engineering Technology Research Association (ISET), Hong Kong, China
CONFERENCE CO-CHAIRS
Ai Sheng, Information Science and Engineering Technology Research Association (ISET), China

Yizhong Wang, Professor, Tianjin University of Science and Technology, China
COMMITTEE
Jihe Zhou, Professor, Chengdu Sport University, China

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

reconnaissance data processing
S.M. Xu, H.B. Yu & F.H. Chu

Electronic Engineering Institute, Hefei, China
ABSTRACT: Grid electronic reconnaissance system can be concentrated in a certain area in the layout,
interconnection and interflow, share collaboration between nodes, the overall performance is high, and
the battlefield environment cognitive ability is improved greatly. This paper constructs the network elec-
tronic reconnaissance system and situational cognitive system, using big data analysis and processing, to
make the data more relevant and more convenient, so that the battlefield is more transparent.
Keywords: Electronic Reconnaissance; Big data; Battlefield situation; Cognition
1 INFORMATION BATTLEFIELD 2 BATTLEFIELD SITUATION COGNITION
Since the 21st century, the development of informa- Situational cognitive process is a complicated
tion technology has greatly promoted a revolution human–machine system, involved in the physical
in military affairs, information-based war, fighting domain, information domain and cognitive domain
methods and operational ideas, and leading role fields. The battlefield originates in the real environ-
of the military war process technology is played ment of battlefield of physical domain. The collec-
by information technology. Battlefield command tion, process and distribution of information occur
relies on to the microelectronic technology, com- in the information domain. The cognition for share
munication technology and computer technology situation map and decision on this basis forms in
as the core of the command and control system. the cognitive domain, as shown in Figure 1.
Battlefield reconnaissance, surveillance and evalu- Physical domain is the practical condition from
ation need all kinds of advanced electronic, optical different fighting equipment, combat platform,
sensing devices. Assault weapons rely more on a command and control system which carry all kinds
variety of precision-guidance technology sup- of electronic device, such as radio. Physical domain
ported by information technology. is the place where information comes from and
In the information battlefield, all kinds of elec- decision result backs feed.
tronic equipments are playing an increasingly Information domain contains the information
extensive role. For example, all kinds of station of perception, fusion, storage, transmission of battle-
radio communications equipment, loading on a field electromagnetic radiation, and then shares the
variety of combat platform, always undertake the trend chart to decision maker for decision making.
significant role for combat troops to provide com-
mand, control, communication and intelligence.
Electronic reconnaissance field is an important
means of battlefield situation cognition, especially
to the particular area of the battlefield radio source
signal to search, intercept, measure, find direction,
position, monitor, analyze, recognize and get access
to its technical parameters, function, type, location
and purpose. Battlefield electron reconnaissance
based on the real-time monitoring data and histor-
ical data fusion processing further forces the cur-
rent location and trend of know each other, so as
to analyze its military deployment and operational
plans, etc., to achieve the enemy and know your- Figure 1. Principal diagram of battlefield situation cog-
self. Therefore, it is of great military significance. nition progress.
CMEEE_book.indb 1 3/20/2015 4:09:53 PM

Figure 2. Data, information and knowledge hierarchy.
Figure 3. Networked electronic reconnaissance system

architecture.
Cognitive domain is the domain where decision
makers accomplish situation perception, cogni-
tion, comprehension, inference, decision, etc. Cog-
nitive domain exists in the decision maker’s mind 3 GRID ELECTRONIC
and it is the source of value, belief and decision. RECONNAISSANCE SYSTEM
Battlefield situation cognition accomplishes the
process from collecting, analyzing and processing Single electronic reconnaissance equipment altho-
of the electronic reconnaissance data to battlefield ugh is designed to be powerful, in the use process
situation knowledge acquisition. The meaning of due to the frequency coverage and limited space
data, information and knowledge is different, and covering function, the signal intercept probability
also there is a connection on some level. is not high, the signal source interactivity is not
Data is in a formalized way for a kind of fact sufficient, equipment between the data sharing is
and concept, suitable for the person or automatic not strong, and correlation analysis is not enough.
device for communication, interpretation and pro- Therefore, the battlefield signal reconnaissance
cessing, it is any meaningful or gives the meaning and intelligence analysis under complicated elec-
of the expression form, such as characters or num- tromagnetic environment is very difficult.
bers. In computing, data are input to the contents As shown in Figure 3, networked electronic
of a computer program, they through the process- reconnaissance system using low-cost RF-sensors,
ing of arithmetic or logical operations, obtain the can decorate in the densely populated area, form-
result of processing. Here, compared with the word ing a grid network, and improve the traditional
“information”, “data” refers to the source data or radio spectrum monitoring “point to surface”
raw data, and “information” is defined as the data monitoring mode, solve the problem of the inte-
obtained through the study of the processing of gration between the information system and real-
data. ize the data interaction and information sharing.
In general, the so-called knowledge or cogni- Compared with a single high-performance compu-
tion is acquired in the practice of transforming the ter, the grid technology has a much more power-
objective world people’s basic concept, knowledge, ful processing capacity, the degree of information
experience and laws, and it is the foundation of integration and sharing is relatively high. Grid
human intelligence activity. From the computer reconnaissance is on the existing network technol-
science point of view, knowledge is the result of ogy to establish a higher level, more comprehensive
information integrated processing and, in the pro- resource sharing and its computing technology is
cess of comprehensive information through mutual more advanced.
comparison, combined into meaningful links.
As shown in Figure 2, the bottom is the data,
which is the source of information and original 4 BIG DATA PROCESSING
information, express information in data can be.
Information comes from processed and organ- In network electronic reconnaissance system, as
ized data. After summing up and summarizing, data are obtained continuously from all kinds of
information becomes knowledge. The higher the sensors, the data quantity is growing at an unprec-
position in the pyramid, the higher the level of edented rate, and due to the increasing amount of
abstraction. Furthermore, with the increasing data and a variety of data format, data organiza-
level, the less the data required to express. tion, analysis and storage have become difficult,

which also makes it increasingly difficult to get the in the field of networked electronic reconnaissance
valuable information quickly. mainly includes the following: (1) Big data analysis
At present, the data of networked electronic is used for multi-source information fusion. It is the
reconnaissance system faces several main charac- main task of the multi-source information fusion
teristics: (1) With the full spectrum of information based on mass, multi-source, multi-type data (such
awareness growing demand, information aware- as text, images, video and voice), they are related
ness band continuously widened, from long to and converted to all kinds of special intelligence
short wave, from ultra-short wave to microwave, all (e.g., Communications Intelligence (COMINT),
the way to the millimeter wave, the terahertz. At Electronic Intelligence (ELINT), Radar Intel-
the same time, various broadband radar, the emer- ligence (RADINT), remote sensing information
gence of broadband communication system, also (TELINT)). (2) Big data analysis is used for rela-
to instantaneous processing bandwidth require- tionship analysis. In grid electronic reconnaissance
ment enhances unceasingly, causes the AD rate system, information in the process of intelligence
rising, thus the amount of data obtained signals analysis from a single node (i.e., point) is not
intelligence reconnaissance is growing rapidly. (2) enough to support decision making and the rela-
The detection signal is more and more complex, tionship between each unit (i.e., line and surface)
and there are many different kinds of modulation is analyzed. Relationship analysis is one of the
mode. According to the purpose of transmission, big data analysis mainly used in the field of intel-
transmitting signals can be divided into commu- ligence, and eventually it generates comprehensive
nication signals, radar, radio fuze signal, guidance information support needed for the decision. (3)
signals, navigation, etc. According to the signal, Big data analysis is used for situational cognition.
spectrum can be divided into long-wave, medium- The network electronic reconnaissance system of
wave and short-wave signals, ultrashort-wave sig- many sensors will produce massive monitoring
nals, microwave, infrared signals, such as the laser data, as well as the long-term accumulation of his-
signal. According to the way of electromagnetic torical data for processing and analysis. Through
wave propagation, signals can be divided into sur- the combination of perception, cognition and
face wave signals, ground wave, the sky wave signals, decision support in innovative ways to use huge
troposcatter, etc. Therefore, many complex signals amounts of data, commanders greatly improve the
make data analysis and intelligent extraction more ability to extract high value information from huge
and more difficult. (3) Huge amounts of data con- amounts of data and the cognitive ability of the
tain a large amount of noise or interference, as well battlefield environment, able to control and make
as various signals of their own. Military intelligence decisions independently of autonomous system,
reconnaissance need to find out little but useful fundamentally change decision model to improve
information in the dense signal in a timely man- the ability of rapid response.
ner. (4) Military intelligence reconnaissance needs
high instantaneity, ideally need real-time analytical
information content, which require high processing 5 CONCLUSION
speed. Therefore, networked electronic reconnais-
sance system has entered the era of big data. A kind of grid electronic reconnaissance system is
The author of Big Data Era, Viktor Mayer- built on the concept of big data network architec-
Schönberger said “the real value of the big data ture, and big data technology is used in the data
is just like the iceberg floating in the sea, one eye processing and intelligence analysis process with
can see only the tip of the iceberg, the vast major- the real-time monitoring data produced by many
ity of all hidden under the surface”. If big data is sensor and the long-term accumulation of his-
compared to an industry, the key to profit of this torical data, so the cognitive ability of command-
industry is to improve the processing capacity of ers on the battlefield environment is significantly
the data and value-added by processing data. Also improved through the combination of perception,
because of this, many experts say it is the era of the cognition and decision support.
three pillars of data, technology and thinking. We
not only need huge amounts of data, but also ana-
lyze the data of professional skills to set up inno- REFERENCES
vative thinking in a unique way for the potential
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Automatic recognition of waste rock in top coal caving based on digital

image processing
B.P. Wang & Y.J. Wang

Shandon Jiaotong University, Jinan, Shandong, China
Z.C. Wang
School of Mechanical Engineering, Shandong University, Jinan, Shandong, China
ABSTRACT: The recognition of the waste rock in top coal caving was investigated via digital image
processing. First, the hydraulic support was processed to install the capture device. Subsequently, the images
were pre-processed by median filter. Finally, the histograms were obtained and the parameters were also
calculated. Three statistical characteristics which were mean, variance and energy were extracted from the
histogram. The results show that the variance can be regarded as a feature to recognize the waste rock.
Keywords: coal-rock interface recognition; digital image procession
1 INTRODUCTION is shown in Figure 1. Because of poor lighting at

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

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

where N is the total pixels and ni is the number of
pixels whose grey scale is ri.
3 COAL–ROCK INTERFACE
RECOGNITION
The images were collected in Xinglong Zhuang

Coal Mine. The median-filtered images of coal and
rock are, respectively, shown in Figures 3 and 4.
Contrasting the two images, some difference can
be found. The coal is black, while the rock is essen-
tially grey. The corresponding histograms are
Figure 2. The hardware connection diagram.
in a selected neighbourhood (mask, template,

window). The median value m of a population (set
of pixels in a neighbourhood) is that value in which
half of the population has smaller values than m,
and the other half has larger values than m.
Mathematically speaking, the grey-level histo-
gram is the function of grey-level statistical prop-
erties and grey values. It expresses the proportion
of areas or pixels of different grey scale in a whole
image. It reflects the statistical characteristic of
an image and also expresses the proportion of
areas or pixels of different grey levels in a whole
image[5]. Based on the significant difference in the
grey level of the coal and rock, it can be obviously Figure 3. The image of coal.
known that the information contained in an image
of the coal or rock is very different. Three statisti-
cal characteristics,[6] which are mean, variance and
energy, from the histogram are extracted as the
characteristic parameters to distinguish the coal
and the waste rock.
Mean:
μ = aver(ri) (1)
Variance:
σ2 i μ )2 (2)
Energy:
255
s ∑ (ri − p(ri ) / σ 3
)3 p( (3)
i =0
A two-dimensional image is set for f(x,y), whose

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

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

Natural Science Foundation of China (Grant No.
51174126), Shandong Science and Technology
Development Plan (Grant No. 2013YD05005)
and the Foundation Shandong Jitong University
Figure 5. The histogram of coal.
(Grant No. Z201315).
Table 1. Comparison of the statistical characteristics. REFERENCES
Mean Variance Energy [1] K.W. Plessmann, B. Dickhaus and S. Scheytt 1993
Control Eng Practice. 11 457.
Coal 145.9 825.9 6.9 [2] J. Asfahani and M. Borsaru 2007 Applied Radiation
Rock 153.3 263.0 6.1 and Isotopes. 65 748.
[3] Ren Fang, Yang Zhaojian, and Xiong Shibo 2003
Chinese Journal of Mechanical Engineering. 3 321.
[4] Information on http://www.cs.ioc.ee/∼khoros2/non-
linear/median-filtering/front-page.html.
shown in Figures 5 and 6. The calculation results [5] Xinli Song, Xifeng Zheng, Liqing Ling 2009 Chinese
are shown in Table 1. It can be found that there is a Journal of Liquid Crystals and Display. 24 140.
larger difference in the variance than the other two [6] Jeng-Horng Chang, Kuo-Chin Fan and Yang-Lang
parameters between the coal and the rock. Chang 2002 Image and Vision Computing. 20 203.
4 CONCLUSIONS
Coal is black. The grey value is relatively low

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

The application of Dijkstra algorithm based on multi-weighted

distribution in GIS
Shi-Min Wang, Hai-Tao Luo & Bo-Wen Wang

Beijing Technology and Business University, Beijing, China
ABSTRACT: Traditional Dijkstra algorithm gets the optimal path from the source node to the destina-
tion node through iteration of path length. In fact, the shortest path cannot always meet the demand, and
the path distance sometimes cannot be used as the only weight standard. This paper discusses a kind of
improved algorithm of weight allocation, which redistributes the weights according to the actual macro-
factors and joins in the coordinate analysis of GIS system and information such as actual traffic jams
coefficient, in order to make the optimal path selection more reasonable.
Keywords: weight distribution; shortest path; Dijkstra algorithm
1 INTRODUCTION 1.1 Weight distribution

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

1.2 The path search principle of GIS system shortest path length from the source point to each
end point, the path[n] is a collection of the corre-
Road traffic network GIS system in route choice,
sponding path, S is the set of shortest path which
subdivided into three elements which is point,
has been found, U = V−S is a set of all vertices not
line and plane, through the combination of these
containing the source point initially.
three factors describes the specific physical loca-
tion, size, shape and other characteristics. The 1. There is only a source point ‘a’ in the set S of
point represents the converging points of two the shortest path solved in the initialization,
or more than two roads (cross and through). All S = {a}.
roads abstracted into line, which is the connection 2. Select a vertex K which has a minimum distance
between point and point. Roads and road in the to a source point v from U. Add k in the set S,
line of the closed area become plane. the selected distance is the shortest path length
The form of node data’s storage is point number, from the v to k, and the edge does not constitute
the abscissa, ordinate values and correlation line. a loop.
The form of line data’s storage is line number, 3. Take k as the new middle point, and modify
starting point, end point and the line weight. the distance of each vertex in U. If the distance
The form of surface data’s storage is plane from source point v to vertex u is shorter than
data, the peripheral circuit data and data domain the original distance, modify the distance value
node data. of vertex u, so the modified distance is the addi-
Because of the above-mentioned character- tion of distance of k and the weight value from
istics, envisaged by the improved and combined vertex k to edge u.
with the spatial distribution of GIS Dijkstra algo- 4. Repeat the steps of (2) and (3) until all vertices
rithm, the complex traffic network path selection are contained in S.
has a great help.
As the above-mentioned steps of the algorithm
shows, the core step in the process of Dijkstra
algorithm is selecting a minimum weight link node
2 THE BASIC IDEA OF DIJKSTRA
which is never labeled. Distribution of weights has
ALGORITHM
become an important factor affecting the final
result of the algorithm. In addition, Dijkstra algo-
2.1 The description of Dijkstra algorithm
rithm is based on the single index (path length)
Dijkstra algorithm is a typical algorithm based to choose the path. Multi-objective path weight
on shortest path, which is used to calculate the selection cannot be directly solved by it. It needs
shortest path from a particular vertex to the other a corresponding weight conversion. The following
vertices in the graph or network. Its main charac- Dijkstra algorithm was used to improve the single
teristic is that it starts from the center point and weight.
expands outward layer by layer until all vertices are
covered.
3 IMPROVEMENT OF THE DIJKSTRA
The thought of Dijkstra algorithm is as follows:
ALGORITHM BASED ON THE DGIS
Assume G = (V, E) for a weighted directed
graph, and divide the vertices graph in set V into
3.1 The disadvantages of Dijkstra algorithm
two groups. The first group is the set of vertices for
which shortest path has been found (it is expressed The traditional Dijkstra algorithm simply takes
as S). There is only one source point initially, and the distance as the only standard of path selection.
vertex with the shortest path will be added in the set However, in real life, we have to consider the cost
S, until all vertices are added to the S. The second to achieve optimized configuration of cost and
group is the set of vertices for which shortest path time, namely the lowest cost of logistics under the
has not been found (it is expressed as U, U = V−S, dual constraints of cost and time.
the vertices in set U are added to set S constantly
until U is empty, S = V). In the process of U enter-
3.2 The algorithm model
ing S, it must be guaranteed that the shortest path
from source point to each vertex in S is less than The problem of multi-objective optimal path
or equal to the shortest path from source point to between two points of the model is shown in
each vertex in U. Figure 1.
Set a directed graph, directed line segment
number is s, Directed line segment representation
2.2 The execution steps of Dijkstra algorithm
of road links between each node, m nodes, nodes
Assume n as the number of vertices in graph are connected by a directed edge, for each edge of
G = (V, E). The distance[n] is a collection of the directed graph, gives the multiple target weight,
10

(transportation cost, transport distance,) give a com-
prehensive weight for each section, and then use the
comprehensive weight as the target weight, accord-
ing to Dijkstra algorithm based on the shortest path,
and take the shortest path as the optimal path.
The second method: take a target weight of the
path as the key target weight, the shortest path of
N single weights can be found by the single weigh.
Then calculate each target weight of the N paths.
Give the weights of three sections, which are trans-
portation distance, time and cost. Taking transpor-
tation distance as the main weight, N optimal paths
will be found through the analysis of the shortest
Figure 1. Multi-objective optimal path model.
path. Then the other weights of these N optimal
paths will be listed, customers can choose the path
they are the transportation distance, transporta- according their own will.
tion time and transportation cost. The path of the The third method: take each target weight of the
selected target weight is the sum of all sections of section as the main target weight in turn, and find
the target weight. Out the optimal path between the shortest path of the former N paths. In this
any two nodes in the graph in accordance with paper, there are three target values in each section,
customer demand. so 3 N better paths can be got. Then the weights
of 3 N paths are calculated, so users can choose
3.3 Improvement of the algorithm the path which meets their own needs in the 3 N
optimal paths.
According to the analysis of the multi-weights, we The first method is not only a simple algorithm,
can use three methods to improve the algorithm. but also its shortest path is the optimal path. How-
For the three factors of path (i, j), we record ever, it is the comprehensive value that is assigned,
transport distance as L, the transportation time as because the unit of each target is different, the func-
T and integrated transportation costs as S. tional relation between the comprehensive weights
For the path, assume that the evaluated value of and each target weight is difficult to determine. And
path (i, j) is P, and we can get: the customer’s demands are various—different cus-
tomers will have different needs in different time, so
Pij = m1L + m2T + m3S
fixed coefficient is obviously not suitable. This algo-
as the scale of addition, in which m1, m2, m3 are rithm relies more on the customer experience, and
constants and can be adjusted according to differ- sometimes users need to adjust the relation function
ent constraints. between the integrated weight and the target weight
There is a path between any two nodes i and j constantly according to the feedback information.
including n sections, so the weights of Pij can be The second method and the third method give N
expressed as and 3 N optimal simple paths according to the tar-
get weight of the sections, and give the weights of
each path. The algorithm is reasonable and con-
Pij = m1 ∑ n =1 L + m ∑ n =1 T m3 ∑ n =1S
k k k
vincing. Which is the optimal path in user’s mind
is not given by the algorithm, but is selected by the
In GIS, collection of edge information can be user according to the calculated results.
represented by the edges of road length, average However, the second method and the third
speed and vehicle fuel consumption, and the edge method are still different. The second method uses
of the weight is made up of these information. a target weight as the target weight to find the alter-
A path distance, driving along this path of oil con- native path, and the third method treats the objec-
sumption and so on are all terms by super impos- tive weights equally to make full use of the existing
ing the corresponding weights are calculated. For data. In the actual demand, 8–9 alternative paths
along this path the time required, can first use the have been able to meet the needs of the users. In
average speed of the edges of each edge length the third method, we give three target weights, so
divided by, then find the required on each side. nine paths can be given.
When asked, finally put these time superposition.
That is to say in the GIS, most constraint informa-
3.4 The advantage of improved algorithm
tion have the additivity.
The first method: simplify some weights of the There is not only one factor of length in the prob-
section. Considering various factors of the section lem of path planning, but there are still many
11

Table 1. Nine alternate sections weight of the path.
Main target Source End Mean of transportation

value point Middle vertex point distance (meters)
Transportation 1 2-7-18-24-33-36 37 1324

distance 1 2-7-17-24-29-36 37 1359
1 2-7-18-24-30-35 37 1367
Transportation 1 2-7-18-24-33-36 37 1359
time 1 2-7-18-24-30-35 37 1367
1 2-5-14-21-25-31 37 1372
Transportation 1 2-7-17-24-29-36 37 1359
cost 1 2-7-18-24-33-36 37 1324
1 2-7-18-24-30-35 37 1367
factors that need to be considered. Some users pay got 9 alternative paths initially, there are few alter-
attention to transportation time, while some users native paths eventually. In order to increase the
focus on transportation costs, and usually other number of final alternative paths and make user
factors such as roads also need to be considered. have more non-quantitative factors in the final
After the algorithm improvement based on multi- decision, when the final alternative paths are few
weights, the path selection is more reasonable. To in number, we can increase the number of k under
classify the weights according to the actual mac- the condition of constant m, in order to make the
roeconomic factors can meet the needs of dif- number of final output conform to the needs of
ferent users. the users.
This paper analyzes the current situation of
optimal path research, based on the previous
4 REALIZATION AND RESULTS OF THE research, and it obtained the following results:
MULTI-WEIGHTED OPTIMIZATION 1) This paper analyzes the models of optimal path
ALGORITHM and related algorithm combined with the actual
situation of our distribution center, and also puts
We searched road images of a city in China via forward the multi-weight optimal algorithm. 2) In
Google earth, and made a statistics on the road the multi-weight optimal algorithm, there are not
information according to GIS. We get 37 nodes, only fixed target weight but also random variable
117 sections, in which the starting point is 1 and the target weight in each section (fixed mean and vari-
end point is 37. We processed each target weights. ance, but not necessarily limited to normal distri-
After processing, we can get transportation length, bution), in order to expand the optimization goal
transport costs, and transport time mean and further and more accord with the reality. 3) It puts
variance. We took the path length and the cost of forward the method to solve the problems existing
the vehicle through as a fixed value, and the time of in multi-weight optimal algorithm. Especially for
the vehicle through a section as a random normal the algorithm in which each target weight plays the
variable. We took path length, transportation cost role of weight in turns, this algorithm can make
and transportation time as target values in turns full use of the data to provide multiple paths, and
to obtain three simple shortest paths. This paper the algorithm is less complex compared with the
assumes that transportation time is not relevant, so algorithm based on single target when provid-
it is convenient to estimate the variance of trans- ing the path of the same number. The paper lays
portation time after getting the nine paths. a good foundation for further study on integrate
We take the third method as the basic algorithm, algorithm of the GIS.
run Dijkstra algorithm mainly based on transpor-
tation length, and get nine alternate sections cor-
respondingly. The point and the target weight of REFERENCES
the path are shown in Table 1.
The results of the third method not only gives [1] Gu ling-lan, The Optimization of Dijkstra in
GIS Route Analysis. Department of computer
nine paths, but also lists the transportation dis- Engineering, 2006, 34(12):54–56.
tance, transportation cost, and the mean and [2] Tang wen-wu, Shi xiao-dong. The Calculation of
variance of transport time for each path. Due to the Shortest Path Using Modified Dijkstra Algo-
there are repeated path in seeking 3 simple short- rithm in GIS. Journal of Image and Graphics. 2000,
est path switch different target weight, though we 5(12):1020–1023.
12

[3] Shang jing. On the Shortest Path in Direction Diagram [7] Li yuan-chen. Liu wei-qun. Analysis of the Shortest
byDud Weight. Journal of Institute of Financial and Route in Network on Dijkstra Algorithm. Micro-
Commercial Management. 2008, 10(2): 21–22. computer Applications. 2004, 25(3): 296–298.
[4] Zhang mei-yu, Jiancheng-feng. Research on Dijikstra [8] Hao wei. Liu wan-qing. Shortest path algorithm for
algorithm in optimal path with multiple constraints rescue Vehicles based on GIS. Computer Applica-
of agricultural product distribution. Journal of Zhe- tions. 2008, 28: 104–108.
jiang university of technology. 2012, 40(3): 322–330.
[5] Fan yue-zhen, Jiang fa-chao, Design of Vehicle
Optimization route Algorithm. Department of
Computer Engineering. 2007, 28(23): 5758–5761.
[6] Zhang xin-yi. Wu jin-pei. An Implementation of
Path Planning Algorithm Applied to Vehicle Loca-
tion and Navigation System. Computer Automated
Measurement & Control. 2001, 9(4): 16–17.
13

Design of battery charging and discharging circuit
H.Q. Zhan & Z.P. Li

Jiangxi Science and Technology, Normal University, Nanchang, Jiangxi, China
ABSTRACT: This study reports on the design of charging and discharging circuit based on operational
amplifier. Battery management is divided into charging (constant current and constant voltage), discharg-
ing and protection (overvoltage, under-voltage, over-current and over-temperature). At initial charging,
the battery uses constant current charging mode. When it reaches the rated voltage, it will switch to the
constant voltage charging status automatically. The battery supplies electrical power. When the discharge
voltage is less than the minimum voltage, it will convert to under-voltage protection state. If discharging
is stopped, then it converts to the charging state. It can convert to the state of charging by artificial con-
version too. The design achieves the requirements of the subject well. The circuit design is brief and clear
and has a high performance price ratio.
Keywords: battery; control circuit of charge and discharge; operational amplifier circuit; circuit
protection
1 SCHEME DEMONSTRATION current closed-loop control is shown in Figure 1.

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

Scheme one: We use constant current closed-
loop to control the circuit. The typical circuit of Figure 1. Constant current control.
15

Scheme two: Adopting the method of constant
voltage discharge, compared with the reference
voltage, makes the output voltage constant. But for
battery, adopting the method of constant current
discharge can improve the efficiency of the battery.
The greater the current of battery is, the lower the
efficiency of the battery is.
In view of the above-mentioned analysis, this
system adopts scheme one.
2 SYSTEM THEORY ANALYSIS Figure 2. System block diagram.

AND CALCULATION
2.1 Constant current, constant voltage

charging circuit parameter design
As it is shown in Figure 3, during the early charg-
ing, the battery is charged with 0.25 A constant
current. According to the three terminal voltage
regulator tubes which have 1.25 V of voltage drop
between output terminal and earthling terminal,
we can work out the following equation:
R2 = 1.25/0.25 = 5 Ω.
When the voltage of battery reached 7 V by

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

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

onstration, the block diagram of this system is Q2 is cut off. At this point, the charging process
shown in Figure 2. is at the constant current charging stage. When
System working principle: At the early charg- charging voltage is higher than 7.0 V, then Q2
ing, the battery voltage is less than 7.0 V, the is on conduction, and charging process converts
signal through the logical processors output low to constant voltage charging. Adjusting R11 can
level. That means the base of Q1 and Q2 for the change the battery voltage during constant cur-
low level and makes the Q1 is on conduction, rent charging. R3 is the resistance of negative
16

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

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

This system design for battery charging methods
are solar charging and commercial charging. They
can be both automatic and manual switched. This
switch circuit is shown in Figure 4. When there is
light irradiation, VREF reference voltage is less
than 0.5VC2 voltage, signal through logical proc-
essors output high level, then relay normally open
switch is closed and the normally closed switch
is open. The battery switches into solar battery
Figure 6. Battery discharge circuit.
charging. If in the dark environment, relays also
switch to the original state which is commercial
power supply. This circuit can also be manually
switched. When close button S1, relay normally 3.4 Battery discharge circuit
open switch is closed, it’s on solar power charging, This system design of discharge circuit adopts
When close button S2, it switches into a commer- the way of constant current circuit. This circuit is
cial power charging status. shown in Figure 6. The load current through the
resistor R9 obtained by U2 amplification 4 times
3.3 Battery under-voltage protection circuit sampling voltage feedback to the amplifier U1,
compared with 3v reference voltage. The load con-
Battery adopts the constant current method sup- stant current value is 1.5 A. By changing the refer-
ply current to the load. As the battery discharges, ence voltage value to change the constant current
the battery voltage is slowly reduced. When the value.
battery voltage is less than 5 V, signal through logic
processing and output high level, then relay nor-
mally open switch is closed. And the battery is no 4 CONCLUSION
longer discharge but switches into charging status
to make the battery storage voltage. Under-voltage We adopt the charging way by using the change
protection circuit is shown in Figure 5. of the battery voltage to control the charging
17

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

of this paper.
18

Automatic flight control of a certain UAV using LQG design
SH. Y. Zhang
Department of Aerial Instrument and Electrical Engineering, The First Aeronautical Institute of Air Force
Xin Yang, China
ABSTRACT: This paper presents the design and simulation of automatic flight controllers for a
UAV by using a Linear-Quadratic-Gaussian (LQG) control approach. The automatic flight controllers
are constructed based on two independent LQG regulators which govern the longitudinal and lateral
dynamics of the UAV respectively. The LQG design is able to retain the guaranteed closed-loop stability
while having incomplete state measurement. The Kalman filter is used to provide the estimated states.
The flight-test results show that it is highly feasible and effective with a relatively simple onboard system.
Keywords: (LQG) Linear-Quadratic-Gaussian; UAV (Unmanned Air Vehicle); automatic flight controller
1 INTRODUCTION 2 THE UAV MODELING
In recent years, UAV technology has experienced a The UAV is considered as a single rigid-body, for a
rapid growth in popularity. As more countries around certain UAV system, the following are defined for
the world begin to acknowledge and actively pursue the longitudinal model:
UAV systems to augment their own Intelligence, Sur-
veillance, Target Acquisition and Reconnaissance x [ ΔV , Δα , Δqq , h ]T
(ISTAR) capabilities, UAV has been one of the latest y [ ΔV , Δq h]T
(1)
military and force-multiplying technologies pursued u = [ Δδ e ]
by many countries around the world. Fixed-wing
UAVs, especially the larger ones with gross weight where V, α, q, θ, δe are the airspeed, angle-of-
in excess of 100 kg, own distinct advantages over attack, pitch rate, pitch angle, altitude and eleva-
other configurations in terms of payload capacity, tor deflection respectively. Similarly, for the lateral
operational speed, altitude, range and endurance. model,
This paper focuses on the automatic control strate-
gies developed exclusive of conventional fixed-wing
x [ Δβ Δppp, Δr, r, Δφ ]T
UAV systems. The linear-quadratic regulator, omit-
ted as LQR (1) has following advantages (1) control y [ Δp, Δr, Δφ ]T (2)
theory is well-established mathematically and the u = [ Δδ a , Δδ r ]
resulting control law is simple and elegant; (2) the
optimal control gains are automatically generated where β, p, r, φ, δa, δr are the sideslip angle, roll rate,
in the solution of the control equations; (3) highly yaw rate, bank angle, aileron deflection and ruder
suitable for the automatic flight control of UAVs deflection respectively.
like the stability and control of a high-altitude, long-
endurance UAV. However, the biggest pitfall of LQR
is the requirement of the real-time full-state meas- 3 LQG REGULATOR DESIGN(3)
urement which is often unavailable in practice (2).
The Linear-Quadratic-Gaussian (LQG) controller LQG Regulator is a combination of the Linear-
is an extension of the LQR where the unmeasured Quadratic Regulator (LQR) and the Kalman filter.
states are estimated using an optimal observer, i.e.
the Kalman filter. This gives the LQG the advan- u(K) = −Kx(K) (3)
tage of dealing with the uncertain linear systems dis-
turbed by the additive white Gaussian noise while where the optimal constant feedback gain, K is
having incomplete system state information avail- obtained such that the quadratic cost function J
able for the control-loop feedback. is minimized.
19

Figure 1. LQG regulator.
∞
∑ x(k
T
J (k ) k ) + u( k )T Ru( k )
Qx( k) (4)
k =1
where K is readily attainable by solving the so-

called discrete algebraic Ricatti equation (4) for P:
P Q + AT PA ( AT PB )(R + BT PB ) 1( BT PA) (5)
which yields
K (R + BT PB ) 1( BT PA)
The block diagram of LQR regulator is shown

in Figure 1.
4 FLIGHT TEST SIMULATION Figure 2. Output response of straight-and-level auto-

matic flight.
4.1 Straight-and-level (equilibrium) flight
Keep throttle level unchanged throughout all
automatic flight modes, Straight-and-level auto-
matic flight are carried out in a gradual, successive
schedule. It is evident that the closed-loop control
systems for both longitudinal and lateral dynamics
are stable during the entire automatic flight lasted
for 27.5 seconds.
The variation of the altitude is bounded between
276 m and 282 m which means the system error
is generally less than 3 m. Moreover, despite hav-
ing only one control input (elevator deflection)
in the longitudinal controller, the airspeed is able
to be maintained within an error of 4 km/h from
the trim airspeed, 104 km/h. No distinct oscilla-
tion was observed on both airspeed and altitude
responses as well. On the other hand, after a short
transient process, the bank angle response enters
steady state with bounded error generally confined
within +5 deg. This indicates that the controller is
able to maintain the wing at level position under
external disturbance (wind gust and aerodynamic
load). In addition, the equilibrium condition of
the aircraft in flight is being sustained using little Figure 3. Simulation of bank angle tracking test.
20

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

Research on online and remote calibration technology of electronic

belt scale based on weights superposition method
X.P. Shang, H.Y. Chen & Z.W. Huang

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

specifications of belt scale in conformity with the
In our country, coal is the main energy. According metrological requirements or not, calibration of belt
to statistics, China’s primary energy consumption scale is needed. Calibration methods of belt scales
has been more than 4 billion tons of coal equiva- are divided into physical calibration methods and
lents, of which 3.5 billion tons are coal that accounts simulation calibration methods. Physical calibration
for 74.7% of the energy consumption. Modes of methods include hopper scale calibration method
coal transportation include railways, shipping and and material superimposed calibration method.
automobile transportation, and shipping becomes Simulation calibration methods include cyclic chain
the main way for its lowest costs relatively[1]. Coal method, roller chain calibration method, weights
which is transported by ship is measured mainly by superposition calibration method and so on.
water gauges and belt scales. Water gauge measure- This article presents a remote calibration system
ment is affected more by waves, temperature and of electronic belt scale based on weights superpo-
the observer’s capability, and its repeatability and sition calibration method. This system can reduce
reliability is bad. Furthermore, water gauge meas- costs of calibration of belt scales in use for enter-
urement is unable to trace. Belt scales are stable, prises and reduce economic losses from trade set-
reliable and traceable in measurement and its max- tlement for companies which have coal as main
imum permissible error can be controlled in the energy. For energy management department and
0.5% range. Belt scales are also widely used in enter- statutory metrology department, this remote cali-
prises which use coal as the main energy source. In bration system can realize the real-time monitoring
addition, the electronic belt scale measurement can and forecasting of energy data.
realize on-line measurement of coal and improve
work efficiency and it has achieved more and more
attention[2]. 2 OVERVIEW OF THE DEVICE
As a kind of measuring equipment which weighs
continuously and automatically when belt con- The calibration method based on weights superpo-
veyer is conveying solid bulk materials, electronic sition of belt scales belongs to a kind of simula-
belt scale’s accuracy is not only associated with tion calibration methods. The device includes belt
the product itself, installation position and instal- conveyors, the major belt scale, the auxiliary belt
lation quality, but also closely linked to periodical scale, weights superposition structure, IPC and so
calibration[3]. According to the national verification on. Figure 1 is the structure of the belt scale.
23

information technology. Electronic belt scale based
on incremental superposition method has the
advantages of high efficiency for calibration and
the calibration process being automatic and online
which are very important for realizing belt scale’s
remote control for calibration.
The calibration system based on weights super-
position of belt scales makes use of the Internet
and other technical means to develop a Coal Meas-
urement Network Platform which can realize on-
Figure 1. The chart of the belt scale based on weights line monitoring and remote calibration. Remote
superposition. calibration methods of the system are realized by
the way that the web server communicates with a
local webcam and the calibration device’s IPC in
The basic principle of the calibration method the same time.
based on weights superposition of belt scales is The local IPC has installed the calibration soft-
as follows: we use weights which simulate actual ware which is designed and developed by us. This
material to superimpose on the auxiliary belt software can send commands directly to the PLC
scale’s weighing sensors as theoretical superposi- to make parameter setting, to drive motor, to col-
tion when coal or other solid bulk materials are lect and transmit data. Meanwhile, from the data-
being conveyed. By comparing the cumulative dif- base founded by the Coal Measurement Network
ference between the main and the auxiliary belt Platform, we can inquiry the history of calibration
scales to the theoretical superposition, we can get results of the local computer. Figure 2 is the data
the calibration results. flow chart of the remote calibration system.
Before you start weights superposition cali- The Coal Measurement Network Platform is
bration, you must first ensure that the main belt a part of “Energy Smart Metering Data Service
scale’s and the auxiliary belt scale’s error condi- Platform” and its main functions are measurement
tions and accuracy are consistent, namely scale– apparatus management, remote calibration con-
scale comparison experiments are needed. The trol, monitoring online and statistical diagnosis
principle of the scale–scale comparison experi- and so on.
ment is as follows: in the main and the auxiliary First, we make surveillance cameras and IPCs
belt scales weighing the same amount of material which control PLCs to access the Coal Measure-
conditions, we amend measurement coefficient of ment Network Platform. The Coal Measurement
the auxiliary belt scale while the main scale is the
standard to insure that the main and the auxiliary
belt scales get the same material cumulative values.
When a calibration is started, we need start weights
superposition structure to put standard weights on
the auxiliary belt scale’s weighing sensors. After
a period of time, we calculate cumulant differ-
ence between the main and the auxiliary belt scale
within the set time and then compare the difference
to the theoretical superposition to obtain calibra-
tion results. At the end of the calibration, we start
the weights superposition structure again to lift the
standard weights.
3 THE REMOTE CALIBRATION SYSTEM
Remote calibration technology is the inevitable

result for combining of the information technology
and traditional measurement and testing technology.
Remote calibration is for distance calibration in the
use of information networks and communication
networks which is a multi-disciplinary comprehen- Figure 2. The data flow chart of the remote calibra-
sive cross involved in instrumentation, metrology, tion system of belt scales based on weights superposition
computer hardware and software technology, and methods.
24

have developed Windows service and web service
separately. Windows service gets commands stored
in the database periodically, and then sends com-
mands through the web service to related meter-
ing monitoring equipment. During the calibration
process, we need to control the hopper’s opening
or closing, and the belt conveyor’s starting or stop-
ping, and weights superposition structure’s lifting
and falling, as shown in Figure 3.
The Coal Measurement Network Platform
sends control command to the web server by the
Windows service. After the web service in the web
server receives the commands, it forwards the com-
mands to the IPCs, the cameras and other equip-
ments depending on the control objects. PLCs
receive commands stored in the IPCs’ web service,
and then control all components’ motors to move.
By adjusting the monitors’ angle, operators can
monitor metering equipments’ operation status
remotely and in real time. Meanwhile, cumulative
flow of belt scales and speed of conveyors and
other online metering data will send to the Coal
Measurement Network Platform remotely.
4 CONCLUSION
This paper has successfully developed remote cali-

bration system of electronic belt scales based on
the weights superposition method. It provides
technology methods of belt scales’ remote and
online calibration for measuring departments and
enterprises, saves a lot of manpower and material
resources, improves the calibration efficiency and
ensures the accuracy and reliability of belt scales’
online measurement.
ACKNOWLEDGMENTS
This work was financially supported by the major

Figure 3. The control process of belt scales’ calibration science and technology project of Zhejiang prov-
based on weights superposition methods. ince (2012C01026-1).
Network Platform realize belt scales’ on-line moni- REFERENCES

toring and remote calibration by controlling cam-
eras, video recorder hard drives, and IPCs. Remote [1] Simpson J. 2000. Canadian Weights and Measures
surveillance uses dot-IR cameras which has scan- and 0.1% Certified Belt Scales. Canadian Weights and
ning frequency 50 Hz. In the Coal Measurement Measures (Technical Paper).
Network Platform, the web system can send con- [2] Wang Z.J. 2009. The calculation method of hanging
code calibration of electronic belt scale. Journal of
trol commands to PLCs and store these commands weighing apparatus 38(7): 36–37.
in web database. Basic calibration information [3] Chen Y.F. 2010. The development of dynamic chain
of belt scales, including models, manufactur- code loop checking device of electronic belt scale.
ers, precision and flow parameters, is stored in In Shanghai, east China university of science and
database. Web servers and PC machines (or IPCs) technology.
25

The application of wavelet filter in static synchronous compensator
Li Zhang
School of Electronics and Information Engineering, Anhui University, Hefei, China
Ning Liu
Heifei Normal University, Hefei, China
ABSTRACT: Reactive power balance of power system is important. The static synchronous compen-
sator (STATCOM) based on inverter technology is a new dynamic reactive power compensation, and
has many advantages compared with Static VAR Compensator (SVC), so STATCOM has vast market
prospect. In this article, wavelet filter is applied in STATCOM to filter the harmonics of load current.
The active portion and reactive portion of the fundamental current are calculated by dq transformer, and
the reference signal of output current is calculated by dq reverse transformer, using the reactive portion
and the output of PI controller which controls the DC voltage, and PWM tracking control technology is
employed. The simulation results indicate that the application effect is good.
Keywords: wavelet filter; STATCOM; reactive power compensation; simulation
1 INTRODUCTION in 1998 made by Siemens, Germany. In China,

the STATCOM device of ±20 Mvar was run in
Reactive power in power grid is the basic reason Chaoyan transformer substation of Henan power
of the deviation of power system voltage from the company in 1999, and in 2005 the STATCOM
nominal value. When the voltage deviation gets device of ±50 Mvar was installed in Huangdu
big, the electrical equipment performance would Xijiao transformer substation, which was used to
be deteriorated, which may lead to not only the improve the voltage stability of 220 kV bus and
low operating efficiency of equipment, but also the inhibit the bus voltage surge.[2–3]
damage caused by the overvoltage or overcurrent. In this article, the wavelet filtering is applied in
Big voltage deviation is the thread to the power STATCOM, which filters the harmonics in voltage
system’s stability and influences the system’s eco- and current and get the fundamental voltage and
nomical operation. The necessary and sufficient current. Simultaneously, the active portion and
way to ensure every node voltage of power system reactive portion of the fundamental current are
in normal levels is that the power system has plenty calculated by dq transformer, and the tracking
of reactive power sources and essential voltage reg- control technology is employed to control the out-
ulation method is used. The SVC and STATCOM put current of STATCOM, using reactive portion
have dynamic reactive compensation properties in of the fundamental current as reference signal. The
many kinds of reactive power sources. Compared output current tracks the reference signal and the
with SVC, the STATCOM has many superior per- source current does not contain fundamental reac-
formances, such as fast governing speed, wide run- tive current.
ning range, and can greatly reduce the harmonics
in the compensation current when the PWM con-
trol technique and so on are used. Besides, both 2 THE STATCOM STRUCTURE
the bulk and the weight of the device are decreased AND WORK PRINCIPLE
because the reactor and capacitor used in STAT-
COM are far smaller than these in SVC. The schematic diagram of STATCOM adopted volt-
Japan and the USA, respectively, developed a age source inverting circuit is shown in Figure 1. The
set of 80 Mvar and 100 Mvar STATCOM device voltage source inverting circuit gets into the power grid
adopted GTO thyristor in 1991 and 1994. Both through the transformer, which can match the source
the devices were successfully put into commercial voltage with the grid voltage. If there is no need to
operation.[1] The STATCOM device, with a unit match the two voltages, the inverting circuit can also
capacity of 8 Mvar, was also put into operation get into the grid through the inductance. In order to
27

Figure 1. The STATCOM with voltage converter circuit.
achieve dynamic reactive power compensation, the

output voltage phase and amplitude of the AC-side
of convert circuit can be controlled (or directly con-
trol the current of AC-side) to make the fundamental
reactive current ((iiac), which is in the converter circuit,
equal with the load fundamental reactive current
Figure 2. The wavelet decomposition.
((iial), and there is no fundamental reactive current in
the source current (i (ias ). More thyristors used in series
can improve the STATCOM capacity and the voltage Table 1. The Frequency band and harmonics.
grade, which can also be achieved through the multi-
ple technology and multi-level technology. Wavelet Frequency band (Hz) Harmonics
cd1 1600–3200 32–64

3 THE THEORY OF WAVELET FILTERING cd2 800–1600 16–32
cd3 400–800 8–16
The formula of f(t)∈L2(R) is launched following cd4 200–400 4–8
the space combination shown in equation (1),[4–5] cd5 100–200 2–4
J
L2 (R ) = ∑ Wj VJ , (1) tains base wave after the five layers of wavelet
j =−∞
decomposition.
where J is an arbitrary scale. So, the f(t) can be
written as 4 CONTROL OF STATCOM
J ∞ ∞
Block diagram of fundamental reactive load cur-
f t) = ∑ ∑ dj k j k (tt)) + ∑ c j kφ j k (t ). (2)
rent’s detection and power grid reference current’s
j =−∞ k =−∞ k = −∞
generation is shown in Figure 3, where sine and
cosine signal (sinωt, cosωt) are obtained, which
The signal f(t) is decomposed by five-layer have the same frequency and power with the
orthogonal wavelet (Fig. 2). power grid by pll. ial , ibl and icl are the load cur-
If the signal fundamental frequency is 50 Hz, rent, and the fundamental current (iiaf , ibf , icf ) can
according to Shannon’s sampling theorem, the be get after wavelet filtering described in step 2.
fundamental signal, sampled 128 points per cycle, The three-phase fundamental current is assumed
can be analyzed to 64 harmonics (3200 Hz). If the as follows:
maximum frequency of f(t) is 3200 Hz, accord-
ing to Figure 2, the band division on the wavelet iaf I m sin(ωt − ϕ )), (3)
decomposition is shown in Table 1,[1] where each
decomposition of the signal or low frequency (ca) ibf I m sin(ωt − 2π / − ϕ ), (4)
of the band is down into some low-frequency band
(ca) and high frequency band portion (cd), and icf I m sin(ωt + 2π / − ϕ ). (5)
the decomposition of the band is in accordance
with the highest frequency that can be analyzed. The dq transformer of three-phase current is
The 128-point sampling is according to the band shown as follows,[1,6] so that the load fundamental
decomposition at the maximum frequency of current active component and reactive component
3200 Hz. In Table 1, the voltage signal and current can be obtained. In order to maintain the DC bus
signal are for five-layer wavelet decomposition. If voltage (UC) stable, closed-loop control of capacitor
the voltage and current without DC and second voltage is used, whose controller is the PI regulator.
harmonic, their low frequency (ca5) only con- I′P is assumed as the output of PI regulator,
28

5 THE SIMULATION
The power supply system with STATCOM is shown

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

circuit with PWM Tracking Control Technology. Its
working principle is shown in Figure 4, where the
reference signal i ref
e (iiaref , ibref and icref ) can make
the output compensation current of inverter circuit
have the same value, phase and frequency with the
load fundamental reactive current, and there is no
fundamental reactive current in power current. Figure 5. The power supply system with STATCOM.
29

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

ogy, The DFACTS device, based on full-controlled
devices and inverter technology, has been con-
tinuously improving its reliability and reducing
its ongoing cost. So devices, such as STATCOM,
APF, have broad application prospects. The wave-
let filtering was applied in STATCOM while its
Figure 9. The voltage and current of the source.
simulation was done. The simulation results show

that the application works well.
ACKNOWLEDGEMENT
This work is supported by the training project of

young key teachers of Anhui University (02303301).
Figure 6. The voltage of the public power supply point REFERENCES

(PCC) before and after the filtering.
[1] Wang Zhao-an, Yang Jun, etc. Harmonic suppres-
sion and Reactive power compensation [M]. Beijing:
China Machine PRESS, 1985.
[2] Liu Wen-hua, Song Qiang, Zhang Dong-jiang, etc.
Equivalent Tests of Links of 50 MVA STATCOM [J].
Proceedings of the CSEE, 2006, 26(12): 73–77.
[3] Zheng Dong-run, Qiao Wei-dong, Liu W en-hua, etc.
Field tests of 500 Mvar STATCOM [J]. East ChinaE-
lectric Power, 2007, 35(1): 47–50.
[4] Weon-Ki Yoon, etc. Reactive Power Measurement
Using the Wavelet Transform [J]. IEEE Transactions
on Instrumentation and Measurement (S0018–9456),
2000, 49(2): 246–252.
[5] Zheng Chang_bao, etc. Reactive Power Measurement
by Wavelet Transform and Hilbert Transform [J].,
Journal of System Simulation 2005, 17(4): 822–824.
[6] Jiang Qi-rong, Xie Xiao-rong, Chen Jiang-ye, etc.
Figure 7. The current of the load before and after the Power system parallel compensation [M]. Beijing:
filtering. China Machine Press, 2004.
30

Fractional-order differential application and research in pavement

cracks image enhancement
W. Jiang & Y.W. Liu

School of Science, Chongqing Jiao Tong University, Chongqing, China
H. Zhang
Institute of Civil Engineering and Construction, Chongqing Jiao Tong University, Chongqing, China
ABSTRACT: In order to sharpen the image edge features while enhancing texture detail, a new image
enhancement method of pavement cracks is proposed by combining fractional-order differential theory
with Prewitt operator effectively. The new method, compared with the existing image enhancement meth-
ods, retains the advantages of fractional-order differential effectively, which improve signal of high fre-
quency components, and enhance the signal of the intermediate frequency components, and nonlinear
keep signal very low frequency characteristics. Simulation results demonstrate that the new method can
be obtained the effect of continuous variation, which not only enhanced image texture well, but also
improved the edge enhancement effectively. Objectively, using image edge evaluation parameters of tex-
ture features such as information entropy and average gradient for quantitative analysis and experimental
verification shows that the new method achieves the purpose of image enhancement.
Keywords: image enhancement; fractional-order partial differential; Prewitt operator; pavement cracks
1 INTRODUCTION a hot topic, and some research has shown the

fractional-order partial differential’s advantages
The digital image processing technology, in the in image enhancement. Pu Y.F.[5] introduced
application of pavement crack detection, improves fractional-order differential into digital image
the automatization level of pavement crack rec- processing and brought forward fractional-order
ognition system based on the camera. In order differential masking and its algorithm. Simula-
to analyze the details of pavement crack effec- tion results showed that for image signal with rich
tively, there need to identify the enhanced image texture information, fractional-order differential
preprocessing. The existing crack detection algo- is superior to integer-order differential in enhanc-
rithm is mainly based on three-dimensional ter- ing texture details information. By analyzing the
rain model of pavement crack automatic detection signal amplitude and frequency characteristics,
algorithm[1], artificial population algorithm[2], neu- Yang Z.Z.[6] found the fractional-order differen-
ral network algorithm[3], etc. All above mentioned tial operation can improve image edge and texture
are improved in a certain extent of regular crack details, and extract the edge information can avoid
detection algorithm, but for some slight and retic- to produce larger noise at the same time, so as to
ular cracks detection, these methods still cannot improve the SNR of image processing. Fraction-
achieve the desired effect, and the computation is al-order variation image denoising model is put
too large[4]. In digital image processing technology, forward[7]. The experimental results show that the
it is not ideal when dealing with the edge texture fractional-order variation models are very effective
details by using one-dimensional wavelet trans- in improving the peak signal-to-noise ratio and
form tensor product extension of two dimensional. maintaining image texture details.
Contourlet transform is due to the presence of the However, to the best of our knowledge, there
sampling process, which leads to the lack of trans- are few pavement crack image enhancement
lation invariance, the result of pavement image researches based on fractional-order differen-
enhancement generates pseudo Gibbs distortion tial theory, and almost fewer the study of pave-
and the blurred crack edge. ment crack image enhancement, which combines
In recent years, the theory of fractional-order the fractional-order differential with the Prewitt
partial differential image processing has become operator. Motivated by the above discussions, we
31

have combined fractional-order differential theory 3 NEW IMAGE ENHANCEMENT MODEL
with Prewitt operator and applied them to pave- OF PAVEMENT CRACKS
ment crack image enhancement; a new method of
pavement crack image enhancement based on frac- Assuming the gray function of image is F ( x, y ),
tional-order partial differential is proposed. On the the 3 3 pixel-domain is extracted, as follows.
one hand, the fractional-order differential is good
at retaining image texture details. Prewitt operator, ⎡ F ( x , y 1) F ( x 1, y ) F (x ( x , y + 1) ⎤
on the other hand, is better to keep the edge char- ⎢ F ( x, y 1) F ( x , y)
y ) F ( x, y + 1) ⎥⎥
acter. The method inherits the advantages of both ⎢
fractional-order differential and Prewitt operator, ⎢⎣ F ( x , y − 1) ( x + 11,, y ) F ( x 1, y 1) ⎥⎦
and it can enhance image details at the same time,
also has a certain resistance to noise. Simulation In order to simplify calculation, the differential
results show that the new method can make obvi- is commonly used, instead of difference approxi-
ous edge features, and smooth area information to mation, in the image processing. The operator
retention. It can retain more texture details, thus template of horizontal gradient and vertical gradi-
improve the image visual clarity. So, it is more ent of the Prewitt operator, as for the 3 × 3 area of
effective and practical on pavement crack image discrete gray functions.
enhancement.
⎡1 1 1⎤ ⎡1 0 −1⎤
LH ⎢ 0 0 0 ⎥ , L = ⎢1 0 −1⎥
2 DIFFERENTIAL EXPRESSION ⎢ ⎥ V ⎢ ⎥
⎢⎣ −1 −1 −1⎥⎦ ⎢⎣1 0 −1⎥⎦
OF THE FRACTIONAL-ORDER
PARTIAL DIFFERENTIAL ∇fx = f ( x − , y − 1) + f x − 1,, y + f ( x − , y + 1)
The difference approximate expression of f tt) is − f x + ,y − − f ( x + 1, y ) − f x + 1, y + 1) (4)
exported based on the definition of fractional- ∇f y = f ( x − , y − 1) + f x, y − + f ( x − , y − 1)
order differential[8]:
− f x− , y + − f ( x, y + ) − f x + 1, y + 1), (5)
v
d f (t ) ( v )( v )
≈ f tt)) + ( v f (t
(t ) + f t ) where ∇fx and ∇fy are horizontal gradient and ver-
dtv 2 tical gradient, respectively. The step is Δx = 1, as the
Γ( v ) managed picture is digital image and the grayscale
+ + f t − n) (1)
n ! ( −v + n + 1) change of image is also limited, and the shortest
distance of change is between two adjacent pixels.
The duration of the two-dimensional digital
⎧ ∂ff x, y )
⎪⎪ f x, y f ( x 1, y ) = ∂x
image on the axis is measured by pixel. In view
of the digital image, the difference expression of
⎨ (6)
the fractional partial differentials’ definition of ⎪ f x , y f ( x , y ) = ∂f x + , y )
the two-dimensional digital image f x, y ) is as ⎪⎩ ∂x
follows:
So the differentials form of ∇fx is as follows:
∂v f x , y )
≈ f x, y ) + ( −v ) f x − 1, y ) ∂f + , y − 1) ∂f
∂f , y − ) ∂f + , y )
∂x v ∇f x = − − −
∂x ∂x ∂x
( −v )( −v + ) ∂f x, y ) ∂f
∂f + 1, y 1) ∂f ( , y + 1)
+ f x − , y) − − −
2 ∂x ∂x ∂x
Γ ( −v + 1) (7)
+ + f ( x − n, y ) (2)
n!! ( −v + n + 1)
In the same way the differential form of ∇fy is
∂v f x , y ) as follows:
≈ f x, y ) + ( −v ) f x, y − )
∂yv ∂f− , y + 1) ∂f
∂f − 1,, yy)) ∂f + , y + 1)
∇f y = − − −
( −v )( −v + ) ∂y ∂y ∂y
+ f x, y − 2 )
2 ∂f + , y ) ∂f x, y + 1) ∂ff x, y )
− − −
Γ( −v + 1) ∂y ∂y ∂y
+ + f ( x, y − n ) (3)
n!! ( −v + n + 1) (8)
32

The new model is as follows, though replacing ⎡ ( − ))(−
( + ) ( − )(−
)( + ) ( − )(−
)( + ) ⎤
the integer partial differential of the equations (7) ⎢− 2
−
2
−
2 ⎥
and (8) with fractional partial differential. ⎢ ⎥
⎢ − ( − )(−
)( + )
+v −
( − )(
)( −v + 1)
+v −
( −v)(
)( −v + 1) ⎥
+v
⎢ 2 2 2 ⎥
∂f v
+ , y − 1) ∂f
∂f v , y − ) ∂f v + , y ) ⎢ v −11 v −1 v −1 ⎥
∇fxv = − − −
∂x v
∂x v ∂x v ⎢ ⎥
⎢⎣ −1 −1 −1 ⎥⎦
∂f v x, y ) ∂f v + , y + 1) ∂f ∂f v , y + )
− − −
∂x v
∂x v
∂x v ⎡ ( − )(−
)( + ) ( − )(−
)( + ) ⎤
⎢− − +v v −1 − 1⎥
(9) ⎢ 2 2 ⎥
⎢ ( − )(−
)( + ) ( − )(−
)( + ) ⎥
∂f v
− , y + 1) ∂f
∂f − 1,, yy)) ∂f
v v
+ , y + 1) ⎢− − +v v −1 − 1⎥
∇fyv =− − − ⎢ 2 2 ⎥
∂yv
∂yv ∂yv ⎢ − ( − )(−
)( + 1) ( − )(−
)( + 1)
− +v v −1 − 1⎥⎥
∂f v + 1, y ) ∂f v ( , y + 1) ∂f v ( x, y ) ⎢ 2 2
− − − ⎣ ⎦
∂yv ∂yv ∂yv
Take example by the literature[5], rotating the
(10)
mask on the up and down or so four directions
where ∇f
∇fxv and ∇f∇f yv are the improved horizontal centered on the point (x,y), then overlay, getting
gradient and vertical gradient by fractional-order the new model gradient mask is as follows:
differential.
To achieve a better image enhancement process- ⎡ v v
2
v v
2
v v
2
⎤
ing, choosing the first three of fractional partial dif- ⎢ 0 0 ⎥
⎢ 2 2 2 ⎥
ferential difference expression (2) and (3) to form a ⎢v v 2 v v ⎥
2 2
7 6
3 × 3 differential mask. In addition, the model of ⎢ 3
2
2 3
2
⎥ 2
fractional-order horizontal gradient and vertical ⎢ 2 2 ⎥ 2
gradient the of Prewitt operator, which combining ⎢v v 2 2
7v v − 6 7
2
6 v −v ⎥
2
type (9) and (10), is as follows: ⎢ 4v 4 ⎥

⎢ 2 2 2 2 ⎥
⎢v − v 2 7
2
6 v −v ⎥
2
∇fxv = v − )[
)[ f x, y + f ((x
x, y − 1) + f x, y + )] ⎢ 3
2
2 3
2
2 ⎥
− f x + , y − − f ( x + 1, y ) − f ( x , y + 1) ⎢ 2 2 2 ⎥
⎢ v −v
2
v v
2
v v
2 ⎥
⎡ ( )( ) ⎤ ⎢ 0 0 ⎥
+ ⎢− + v⎥ [ f ( x − 1,, y ) ⎢⎣ 2 2 2 ⎥⎦
⎣ 2 ⎦
+ f ( x , y)y ) f (x ( x − 1, y + 1)]
( −vv )( v + 1)
− [ f x − 2, y − 1) 4 EXPERIMENT AND RESULT ANALYSIS
2
+ f x − 2, y f ( x − 2, y) + 1] This new model uses the Matlab7.1 for computer
(11) simulation experiment, and comparing with the
existing part of the image enhancement method.
∇f yv = v − )[
)[ f x, y + f (x−
( x , y ) + f x + 1, y )] The first set of experiments is to enhance image
crack image 1, the experiment result is shown in
− f x, y + − f ( x − 1, y + ) − f ( x , y + 1) Figure 1, where, (a) is the original crack image,
(b)–(f) are enhance image results, which the new
⎡ ( )( ) ⎤
+ ⎢− + v ⎥ [ f ( x − 1,, y ) model take difference value of v . By the experi-
⎣ 2 ⎦ ment result, if 0 0.7 , the experimental effect
+ f ( x, y ) ( x + 1, y − 1)]
f (x gets better with the increase of v ’s order gradu-
( −vv )( v + 1) ally; if v > 0.7 , the experimental effect get worse
− [ f x − 1, y − 2 ) with the increase of v ’s order gradually. The
2 whole experiment gray became smaller with the
+ f x, y f ( x + 1, y − 2) ] increase of v ’s value; the enhanced image grey
(12) value is the most closely to the original image, so
the effect is relatively good. when v = 0.65 .
The horizontal direction and vertical direction To illustrate, the new model of this paper has the
of gradient backward difference mask of the new advantages of the method of image enhancement.
improved model in is as follows, respectively: The second set of experiment uses an image crack
33

Table 1. Performance analysis.
Information Average
Relative parameters entropy gradient
Original image 7.0096 7.1606

Prewitt operator 5.6614 8.4880
Fractional differential 7.8094 12.3046
New method 8.0853 16.4117
image by the method in this paper achieved better

effect in noise resistance and resolution than other
Figure 1. (a) Crack image 1, (b) ν = 0.6, (c) ν = 0.65, (d) methods. Thus, relative to the other methods, the
ν = 0.7, (e) ν = 0.75, (f) ν = 0.9. new method in this article is an effective method of
image enhancement.
5 CONCLUSIONS
Currently, seldom people combine fractional-

order differential theory with Prewitt opera-
tor to do image enhancement. A new pavement
cracks image enhancement method based on
fractional-order partial differential is proposed.
The new method effectively inherits advantages,
which keeps the characteristics of image edge and
retains texture details of smoothing region. Sim-
ulation results show that the new method, com-
pared with current image denoising methods, can
not only suppress noise better, but also keep the
characteristics of image edge better. Especially, it
Figure 2. (a) Crack image 2, (b) new method, (c) frac-
is better than current integer-order partial differ-
tional-order differential, (d) Laplacian operator, (e) Sobel ential methods. It is an effective image denoising
operator, (f) Prewitt operator. method. The result is approximatively expressed
by fractional-order differential, so the future
research is to determine a better differential order
image 2 with rich texture details, the result is shown to obtain better results.
in Figure 2.
It is not hard to see, the fractional-order differ-
ential treatment on texture details enhancement ACKNOWLEDGEMENTS
has certain effect. The exposure of image is too
high by enhancement of the fractional-order dif- The work is supported by the Research Programs
ferential and the visual effect is not very ideal. The for National Natural Science Foundation of China
visual effect of the enhanced image by Laplacian (11071266), the Natural Science Foundation of
operator is not ideal as the measure in this article. Chongqing (CSTC, 2012JJA1164), and the Tech-
The visual effect of the enhanced image by the nology Project of Chongqing Municipal Educa-
Sobel operator and Prewitt operator appeared tion Commission (KJ120401).
the phenomenon of distortion. After processing
by the new model in this paper, the image not only
has been enhanced in texture details, and the effect REFERENCES
of the edge area enhancement is better compared
[1] Tang, L. et al. 2008. Automated Pavement Crack
to fractional differential. Detection Based On Image 3D Terrain Model. Com-
The enhanced image is improved in terms of puter Engineering 34(5): 21–38.
signal-to-noise ratio and the average gradient com- [2] Zhang, H.G. et al. 2005. Pavement Distress Detection
pared with other strengthening methods through Based on Artificial Population. Journal of Nanjing
objective evaluation. Obviously, the enhanced University of Science and Technology 29(4): 389–393.
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[3] Bray, J. et al. 2006. A neural network based technique [8] Pincherle, I. 1990. Fractional differential equations.
for automatic classification of road cracks. Pro- 20–23. SanDiego: Academic Press.
ceedings of International Joint Conference on Neural [9] Jiang, W. 2011. New image denoising model based
Networks 907–912. on fractional-order partial differential equation.
[4] Ma, C.X. et al. 2009. Pavement Cracks Detection Journal of Computer Applications 31(3): 753–756.
Based on NSCT and Morphology. Journal of Com- [10] Guo, L.Z. & Zhao, J.H. 2007. Edge detection based
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1761–1767. logical University 28(2): 78–80.
[5] Pu, Y.F. 2007. Application of fractional differential [11] Zhang, J. et al. 2009. Automatic identification of
approach to digital image processing. Journal of pavement crack image enhancement technique. Jour-
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35

Molecular algorithm in solving the shortest path problem

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

evidence of the ability of molecular computing to
The shortest path between two given points over a solve the NP-complete problem with mathemati-
curved surface is a difficult problem in theoretical cal operations.
and practical field. It is widely used in the map- The article is organized as follows: Section 2
ping, the span of electric power and LOC, the lay- introduces the DNA computing in detail. Section 3
out of the railway, the road, the path of robot etc. introduces the DNA program to solve the optimal
It will take huge economical benefit if it has been path planning problem in three-dimensional (3D)
resolved well. Up to now, genetic algorithm and space. In Section 4, experimental results by simu-
evolutionary algorithm have been widely applied lated DNA computing are given. Conclusions and
for system optimization and industrial applica- discussion are presented in Section 5.
tions. Because traditional GA or EA can neither
represent the diverse genetic information nor can
better imitate the regulation of genes to the genetic 2 DNA COMPUTING
processes, some biological operations at the gene
level cannot be effectively presented in the existing In the late 1950s, Feynman first introduced the idea
GA or EA. Especially on three-dimensional (3D) of computation at a molecular level, but his idea
space it is a thorny issue. In addition to GA and was not implemented by experiment for a few dec-
EA, DNA computing [1] has recently captured ades. In 1994, Adleman wrote the first article that
more and more attention [2] since DNA sequences demonstrated that DNA strands could be applied
encode plentiful genetic information. for dealing with solutions of the NP-complete
This article presents an optimal path plan- Hamiltonian Path Problem (HPP). Since then,
ning method for the moving object on three- the possibility of DNA computation has attracted
dimensional (3D) space using DNA molecular many researchers’ attention. In 1995, Lipton [3]
structures and molecular programming. The algo- wrote the second article that showed that the new
rithm is designed to analogously accomplish the techniques could also be used to solve the NP-
evolutionary process. In the proposed method, the complete satisfiability (SAT) problem. Adleman
3D workspace is inserted into several points, the and his co-authors [4] proposed sticker for enhanc-
DNA sequences are used to represent the points, ing the Adleman–Lipton model in 1999.
connecting all optimal points while avoiding the DNA computation uses chromosomes of DNA
obstacle areas builds the optimal moving path, to describe a specific problem and to manipu-
and the shortest path for obstacle avoidance in late the chromosomes using techniques com-
the workspace is finely characterized with DNA monly available in molecular bank for simulating
37

the goal along a shortest path while avoiding static
obstacles on the workspace. In practical projects,
this is very common. In this article, the algorithms
will bypass the designated area, and will access a
feasible and shortest path successfully.
3.1 The initial path and coding schemes

The initial DNA sequences are generated ran-
domly, suppose the workspace is designated. The
origin is A( x0 , y0 ), the goal is B ( xn , yn ), wij is the
edge weight between two random nodes i and j
which have a connection with each other. Divide
the area of [ 0 , xn ] into n slices, meanwhile the
partition of [ y0 , yn ] is ascertained. Each point we
Figure 1. The flow of the optimal algorithm. use the DNA strands to encode, the length is 20,
and mark it as Oi (i , 2, , n ) . Edges that con-
nect nodes encoded and formed by the following
operations, which can be used to seek for the solu- sequence: the first part is a 10 codes comes from
tion. The central idea of DNA computation is the the 3′ of the Oi; the middle part is the codes of the
Watson–Crick model of DNA structure, which edge weight; and the last 10 codes appears at the
specifies complementary binding properties of 5′ of the Oj. In Figure 2, let O2 O3 → O4 as an
DNA molecules. The basic elements of biological example to explain the coding of the paths.
DNA are nucleotides. Due to their different chemi-
cal structure, nucleotides can be classified as four
3.2 Choose the fitness function
bases: A (Adenine), G (Guanine), C (Cytosine)
and T (Thymine). A single strand of DNA can be When listing facts use either the style tag List signs
likened to a string consisting of a combination of or the style tag List numbers.
the above-mentioned four different symbols; this
means that we have an alphabet ∑ {A, G, C, T} 3.2.1 The design of avoiding obstacles
to encode information. Any single-stranded DNA The slope and length are two important factors in
will adhere tightly to its complementary strand, in path planning. In the numerical simulation exam-
which G always pairs with C and A always pairs ple, the value of z on the roadblock will be added a
with T, and vice versa. large constants ĉ ( ˆ max( ij )) , zij is the elevation
The process of DNA computation can be value of the corresponding point which is decided
refined into two steps. The first step is to gener- by the landform. Because the fitness of the slope
ate all possible solutions to the problem by mix- and length are all poor, the individual which gets
ing DNA solutions. DNA complementary binding across the obstacle areas will be eliminated during
reactions occur in parallel and extremely fast upon the operation.
mixing. The second step is to isolate correct solu-
tions through repeated separations of the DNA 3.2.2 The calculation of fitness value
strands from incorrect solutions and potentially After times of genetic operation, the new path set
good solutions. A schematic representation of is appearing, we define it for Γ k , and suppose rki is
DNA computation is given in Figure 1. the node sequence of the ith path in Γ k .
DNA computation is attractive mainly for three
reasons. First, the computation realizes fast paral-
lel information processing. Second, the process is
remarkably energy efficient. Finally, DNA mol-
ecules have very high storing capacity. DNA com-
puters have been shown to be at least equivalent to
a classical Turing machine [5].
3 PATH PLANNING AND OBSTACLES

AVOIDANCE
Our goal is to characterize a feasible moving path

which is required to start from the origin and reach Figure 2. The coding of paths.
38

rki {( xki1, yki 1 zki1 ),(x
) (xki 2 yki 2 , zki 2 ), ,( xkn
i i
, ykn i
, zkn )} In the path searching, in order to obtain
some better individual, part of the initial DNA
(1) sequences should be interchanged, the via-points
In which, i 1, 2, …, m , m is the quantity of the in an adjacent area can be displaced by each other
routes; k g, and g is the evolutional gen- through the crossover process to change their for-
erations. Suppose Lik is the length of the ith path. ward directions and have more chances to avoid
the obstacles. Crossover operation can avoid the
algorithm getting into the local optimal solutions,
Lik rki the design of the operator is especially important.
n−1 The descendant must keep the excellent ingredient
= ∑ ( xki j+
j )
i 2
xkj ) + ( yki j ) − ykj )
j+
i 2
+ ( zki j ) − zkj )
j+
i 2
of their fathers, and must have their validity.
j =1
(2) 3.3.2 Mutation

Any change in a DNA sequence is called a mutation,
The Dki
is the sum of variance, the distant height it includes point mutations and structure mutations.
of two connecting nodes will be measured by it. In mutation operation, the randomly selected bit in
the sequence is replaced by the rule that A changes
E = (z j + z j + z jj++1 ) 3 to T and vice versa. To avoid more duplicate points
n−1
Dki = ∑ ( zki ( j+
j ) E )2 + ((zzkj
i
E )2 + ( zki j− ) )
E )2 3
generated by crossover, the mutation has func-
tion to enhance the chances of exchange between
j =2
(3) the points in a small scope. For the optimal path
searching, let the vij and v( i )()( j ) replace the vi( i )
So the fitness function is and v j ( j ) when wij + w(ii j + ) < wi ( i + ) + w j(j ( j + ) .
This algorithm can eliminate overlapping phenom-
Fitnessk (i ) = 1000 − 0 * Lik − 0.. * Dki enon of the sides. When we improve the route by
i 1, 2, …, m; k g (4) mutation, to every point, their correlative sides
are all taking place around it. So we only have to
carry through the optimized computation between
3.3 The manipulation of DNA computing the point and the points of their adjacent array to
After the initial DNA sequences are generated, we improve the loop. This method can enhance the
should reproduce the route by the adaptive value efficiency, and decrease the searching space.
which was determined preliminary by the length of Before the mutation:
the path. The purpose of reproduction is to make
the individual which has bigger adaptive value has GACT ATATCGCGGGTTCAACGTGC
A GACG
more chance to breed the descendant. This article
adopts the ways of fitness rule and distillate con- After the mutation:
servation to reproduce.
GACT ATATCGCGGGCAGTTCGTGC
A TAGA
3.3.1 Crossover
Crossover is a process of exchanging genetic infor-
mation between two DNA sequences. For simplic-
3.3.3 The result
ity, the one-point crossover is adopted here where
After the crossover and mutation, there will be
the crossover point is determined uniformly at ran-
appearing a series of new generation paths, if
dom. However, a multiple point crossover is also
the fitness is not satisfactory, we should repeat
permissible. After crossover, the codes placed in
the above operations, all of the operations will
front of the crossover point are kept invariant, while
make the individual’s fitness value and the average
the subsequent DNA codes are interchanged.
value becomes higher and higher. Until the best
Before the crossover:
individual’s fitness is achieving a restrict value or
GACT A TATCGCGGG TTCAACGTGC GACG
ATATCGCGGG the individual’s and the average fitness couldn’t
change anymore, then the iterative process can be
ATAG CAGCTCATCG
C G
CAGTTGACAT TCTG converged to the optimal solution, and the algo-
rithm finished.
After the crossover: The final process is to separate the DNA strands.
Gel electrophoresis is a technique for separating
GACT A TATCGCGGG CAGTTGACAT TCTG
ATATCGCGGG DNA strands according to its length through a gel
in an electrical field based on the fact that DNA is
ATAG CAGCTCATCG
C G
TTCAACGTGC GACG negatively charged [6]. As the separation process
39

Table 1. Parameters of simulated altitude.
n 1 2 3 4 5 6 7 8
xc 25 64 34 77 94 65 15 93
yc 87 28 53 92 55 24 11 14
Figure 3. Gel electrophoresis process. p 1.5 2 3 2 3 1.5 3 3
q 1.5 3.5 2 2 3 1.5 2 3
u 30 65 21 6 11 13 11 13
v 20 12 13 25 14 9 13 11
continues the separation between the larger and h 57 19 −32 38 24 −22 −14 −17
smaller chains increases as depicted in Figure 3
[7]. At last, we should incise the joint between two
nodes by cutting enzyme, a series of polynucle-
otide fragments are received. Then the path nodes Table 2. Coordination of result nodes.
are decided by contradistinguishing the initial cod-
ing schemes. n 1 2 3 4 5
x 5 15 25 35 45
4 DEMONSTRATIONS y 92 63 54 43 19
AND VERIFICATIONS z 29.2 2.2 −23.4 −14.3 8.4
n 6 7 8 9 10
This article cites the simulation landform of the lit-
erature [8] to search the square space on 100*100. x 55 65 75 85 95
we use the analytical function to simulate the origi- y 12 13 10 9 9
nal terrain, and the curved surface has been con- z −1.2 −3.6 −2.45 −12.5 −15.4
structed by the following function:
⎧ ⎛ pi
⎛ y yc ⎞ i ⎫⎪
q
n ⎪ x xci ⎞
z ( x, y ∑ hi exp ⎨⎪− ⎜⎝ u ⎟⎠ − ⎜⎝ v ⎟⎠ ⎬⎪
i
i =1 ⎩ i i ⎭
(5)
The data in Table 1 are the parameters of the
above-mentioned function.
In the simulation example, suppose the initial
positions of the object and goal are specified,
respectively, at (5,92) and (95,9). The area of x
is established for [5,95] and y is been decided in
[9, 92]. Then take 10 as the length of stride to divide
the area of x into nine segments. We can obtain the
value of z through the curved surface function and Figure 4. The three-dimensional sketch drawing.
the value of the x and y, the raised square areas are
the roadblock.
In the example, choose eight points to divide the length when it is only been connected by beeline
workspace into nine slices, every point denoted as between two points is = 201.2 , the result is better
the feasible via point, the optimal moving path is than the method mentioned in [8], the optimiza-
obtained by connecting the best via point which is tion efficiency λ is:
determined by the applying the proposed comput-
ing algorithm with the fitness function. After spec- S−L
λ= × 100% = 5.13%
ifying the roadblock, the DNA computing-based S (6)
search algorithm is activated in the path planner
to generate via points for the short and safety path The best node sequences of the function are pre-
to the goal. The scale of the initial population is sented in Table 2.
20, let 0.1 as the reproductive probability, 0.7 is Simulation results confirm the feasibility of our
the crossover probability, and the mutation prob- proposed approach (see Figs. 4 and 5). It is obvi-
ability is 0.05, the most iteration number is three ous that with this method the path planning is rea-
hundreds, and cˆ = 500 . After the simulation exam- sonable, it bypasses the roadblock and some steep
ple, the length of the best path is L = 190.87. But the places well.
40

nature. Hence, the applicability of DNA comput-
ing could be extended into greater fields of other
engineering-related problems.
REFERENCES
1. Adeleman L.M., 1994, Molecular computation of

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

A method about video quality assessment in video phone

service over 3G network
C. Feng & L.F. Huang

School of Information Science and Technology, Xiamen University, Xiamen, China
W.J. Xu
Jimei University, Fujian, China
ABSTRACT: The method about video phone service and quality evaluation on TD-SCDMA has been
studied in this article. A wireless module LC6311+ is used as the front-end video data transceiver equip-
ment and the ITU-T J.247 PEVQ algorithm is used as the back-end video quality evaluation model. The
LC6311+ wireless module is developed via AT commands over videophone CS64k link. After sending a
prepared video compression stream over the CS64k link, the receiving end will get the video stream and
preserve it. The original video sequences and the degraded video sequences can be obtained after decod-
ing them. The degraded video sequences are imported to PEVQ model, comparing them with original
video and analyzing them. The score of the video quality can be obtained. The results show that this
method may be effective for an objective assessment of the video quality of the 3G network evaluation. It
is useful for mobile network operators to optimize scalable video quality.
Keywords: in video quality assessment; TD-SCDMA; video phone; PEVQ; LC6311+
1 INTRODUCTION the front-end for capturing the video data and the
back-end for video quality assessment [2].
In 3G or LTE mobile communication system, The LC6311+ wireless module is described in
the most attractive service is about video trans- this paper. A standard H.263 video stream is sent
mission. But the key indicator that affects the by videophone services through the CS64k channel
user experience is the wireless video quality. The to the receiver. It is studied by the degraded video
methods of currently wireless video quality assess- stream. After obtaining the decoded source video
ment are divided into two basic categories: Sub- and the degraded video, the video quality evalua-
jective evaluation and objective evaluation. Many tion score can be calculated from the PEVQ model.
observers are required to rate the quality of the The main indicator of PEVQ is introduced in the
video in subjective evaluation. The disadvantage is final part [3].
time-consuming and expensive. So it is not widely
used. It is widely used for objective evaluation of
video quality because it has less cost, time-saving, 2 THE BASIC PRINCIPLE
objective, reliable and repeatable etc. The com- OF VIDEOPHONE SERVICE
mon algorithm about image quality assessment is QUALITY EVALUATION
the Peak Signal-To-Noise Ratio (PSNR), the edge
of the Peak Signal-To-Noise Ratio (EPSNR) and As the current TD-SCDMA test terminal does
structural similarity (SSIM) [1]. There is a number not provide relevant programming interface, the
of recommendations for video quality assessment TD-SCDMA test terminal cannot be directly used
including ITU-T J.247 recommended evaluation to get the video data. The video sample data files
model—Perceptual Evaluation of Video Quality saved on the computer’s hard disk are encoded in
(PEVQ). It has become one of the major video accordance with videophone 3G-324M protocol.
quality assessment methods. Then the encoded video stream is transmitted over
The PEVQ is the full reference video quality videophone link (CS64k) to simulate videophone
evaluation model. A complete reference source data transmission process. The 3G-324M proto-
video is needed. For evaluating the video quality col is integrated on the LC6311+ wireless module.
of videophone service, there are two main steps: Meanwhile, the video quality assessment method
43

and memory system includes the core processor
which is a dual-core processor: BlackFin DSP core,
running physical layer protocol and AMR codec;
ARM926 MCU core, running senior protocols,
and communication with external interfaces.
External interface provides external connectivity
including power input, communication interface,
control signals and debugging interface.
The LC6311+ module uses the USB interface
to communicate with the PC. It provides two End-
point links to achieve CS64k signaling and data
interaction which is operated by AT commands.
Endpoint6 is used as the link1 which mainly makes
video calls and hangs up the phone. Endpoint4
is used as link2 for the interaction of video data.
All the USB endpoints are developed as virtual
serial port. In a video call, the sending data rate is
required to meet channel rate CS64k, i.e. 64k = 48k
(for video data) +12.2 k (for voice and data) +
control information. Because the voice data are
acquired with the LC6311+ module, the control
information is also packaged in it. The terminal
application need to control the transmission rate
of the video data. The LC6311 + modules are oper-
ated via AT command set which mainly reference
the 3GPP 27.007, 3GPP 27.005 and ITU-T V.25.
The AT commands is generally used in connec-
tion with the communication between the terminal
device and the PC [5]. The flowchart of operation
Figure 1. Block diagram of video quality assessment with LC6311+ including the module initialization,
for video phone. startup, calling a video phone and shutdown is
shown in Figure 2.
uses the ITU-T J.247 PEVQ (Perceptual Evaluation

of Video Quality). The algorithm compares source
video (SRC) and the video after transmission
(PVS). Then the MOS score which is an objective
assessment to simulate the user’s subjective evalu-
ation can be calculated [4]. The basic principle of
the design is shown in Figure 1.
3 THE VIDEO PHONE SERVICE

SIMULATION WITH LC6311+
We use the LC6311+ TD-SCDMA wireless mod-

ule to call a CS64k videophone service. The video
data is transmitted through the channel so as to
obtain the test video data. The terminal uses MTK
Co. Ltd ASIC chipset, including RF subsystem
and analog baseband subsystem. The RF subsys-
tem includes radio frequency transceivers, ampli-
fiers and transceivers, such as switches and filters.
The analog baseband subsystem integrated DAC,
PMU. PMU (Power Management Unit) module
contains a number of different voltage and current
path in the power supply unit to meet the needs
of the power supply. Digital baseband processor Figure 2. Call a video phone with LC6311+.
44

luminance part and the chrominance part of the
edge images.
Pedge,x [i, j ,t ] − Sedge,x [i, j ,t ]

E x [ i , j ,t ] =
Sedge,x [i, j ,t ]
( x isY
i oor Cb or Cr) (1)
W −1 H −1
∑∑
2
E x [ i , j , t ] w[ i , j ]
Figure 3. The saved SRC and PVS.
Ex [t ] = 2
i =0 j =0
W −1 H −1
∑ ∑ w [i j ]
In Figure 2, the OpenComm() is used to open i =0 j =0
the serial port (USB Endpoint6) and configure it. ( x isY or Cb or Cr) (2)
Init_LC() function is used to initialize the module.
After initialization the Start() function is used to ⎛ i ⎞ ⎛ j⎞
w[ i , j ] sin π ⋅ sin π (3)
power the module. VoiceDial() function is used to ⎝ W⎠ ⎝ H⎠
make voice calls and VideoPhone() function is used
to make video calls; The Hand_up() function is used The H and W represent the row and column.
to hang up a voice call and Hand_up_VP() function The i and j represent the coordinate of the pixel.
is used to hang up the video phone; and Off() func-
tion is used to execute the shutdown command. 4.1.1 Luminance indicator
When the wireless module is powered on, the PC When the x is Y, it means equations (1) and equa-
executes module initialization, startup, make video tion (2) compute the luminance indicator. The
calls and other AT command operation. The com- indicator not only indicates loss of sharpness.
pressed bit stream which is sent by wireless module Also, the introduction of sharpness is registered as
can then be decoded by the PC. When we get the a distortion. This indicator is perceived as a loss of
transmitted video data, they are imported to the sharpness. Some source sequences have an overall
PEVQ module. After calculating, the video quality higher edginess than others. The introduction of
MOS score can be obtained. The sample frame of edginess in areas with a lot of edginess is less dis-
SRC and PVS is shown in Figure 3. turbing than the introduction of sharpness where
little edginess is originally present.
The luminance indicator is then calculated by
4 THE VIDEO QUALITY averaging the frame wise edginess distortions over
ASSESSMENT WITH PEVQ time
1 N −1
In this article, PEVQ algorithm is used to evalu-
ate the video quality of 3G videophone. PEVQ is
Lum IIndicator = ∑ EY [t ]
N t =0
(4)
developed by OPTICOM and recommended by
the ITU-T J.247. The evaluation results have been
4.1.2 Chrominance indicator
recognized by many manufacturers. It gives dif-
The chrominance indicator uses a similar approach
ferent weighting coefficients for different indica-
as the luminance indicator. When the variable x in
tors in order to approximate subjective evaluation
equation (1) and equation (2) represents the Cb or
value [6]. The PEVQ is a full reference model which
Cr. The Ecb [i, j ,t ], Ecr [i, j ,t ], Ecb [t ] and Ecr [t ] are
requires the same resolution source video sequence
calculated separately. As for the deviation signal, the
(SRC) and test video sequence (PVS). The PEVQ
maximum of the color saturation of the reference
uses several fitting parameters which are extracted
signal and the degraded signal is taken as above.
from the time domain, space domain, luminance
The change in edginess of both color components is
and chrominance domain of the SRC and PVS.
evaluated. The extraction methods of chromaticity
After extracting the parameters, they are imported
component and luminance component are similar.
to the model. So the MOS score can be obtained.
Chrominance value contains components of Cb
All the indicators are described as follows:
and Cr which are calculated separately as above. The
chrominance indicator is then calculated by averag-
4.1 Spatial variability indicators ing the frame-wise edginess distortions over time:
The spatial variability indicators involve two indi- 1 N −1
cators: the luminance indicator and the chromi- Chrom Indicato
I r= ∑ (Ecb [t ] + Ecr [t ])
2N t = 0
(5)
nance indicator. They are calculated based on the
45

4.2 Temporal variability indicators Table 1. Weight values and model parameter (QCIF).
The edginess indicator is a pure spatial indica- i I[i] w[i] α[i] β[i]
tor. However, the spatial content of a sequence is
judged more critically in case of still images than 0 LumIndicator 6.184 0.168 −1.449
for images with fast motion and rapid changes. 1 ChromIndicator 2.501 1.351 −17.748
To reflect this, we introduced two indicators: The 2 OCI −5699.585 0.0036 8.729
Omitted Component Indicator (OCI) and the 3 ICI −0.866 0.311 −6.767
Introduced Component Indicator (ICI). The tem-
poral variability of the processed video signal is
also influenced by transmission errors and the
presence or absence of frame repeats. As a result, Table 2. The VQA result of PEVQ method.
the temporal variability is best measured on the
Foreman Hall Carphone Suzie Akiyo
luminance of the source sequence.
PEVQ 2.8881 2.9136 2.9133 2.7821 2.7665
d [i, j t ] = SY [i j t ] − SY [i, j t − ]
− PY [i j t ] − PY [i, j t − ] (6)
4.3 The aggregation of indicators
Frame loss caused by wireless transmission not The perceived video quality is estimated by map-
only causes big difference between the two con- ping the Indicators to a single number using a
tinuous frames in SRC and PVS, but also signifi- sigmoid approach. Let I[i] represent the indicators.
cantly influences the subjective feeling ability of Then the mapping function may be defined by a set
human eyes. The temporal variability indicators of input scaling factors I[i], a set of scaling factors
in PEVQ model is defined as equation (6), where w [i ], α [i ] and β [i ]:
d [i, j ,t ] is computed per pixel per frame, SY [i, j ,t ]
3
and PY [i, j ,t ] are representing the luminance of w[ i ]
O et + ∑
Score Offs (10)
pixel at the SRC and PVS of frame t. Therefore,
i =0 1 + eα [ i ] I [i ] β [i ]
this algorithm can only be used in full reference
evaluation model of video quality. The HVS reacts Mapping coefficients used for QCIF resolution.
differently if a new component is introduced to The offset is equal to −0.93 [6].
the signal then if it is removed from the signal. The PEVQ Score of five test video sequences:
Therefore, two different indicators are evalu- Foreman, Hall, Carphone, Suzie and Akiyo are
ated. To measure the omitted component part, given in Table 2.
the negative part (d [i, j ,t ] ) and the positive part
−
(d [i, j ,t ]) of d [i, j ,t ] are separately calculated as
+ 5 CONCLUSION
equation (7).
H −1W −1
With the rapid development of 3G video phones
1
dO/I [t ] = 5 ∑ ∑d 5
/ + [i, j ,t ] (7) and other wireless video services, in order to ena-
W H i =0 j =0
ble users to obtain a better subjective experience,
the importance of video quality assessment in the
development of wireless video services, network
The Omitted Component Indicator (OCI) is optimization and other areas are also increas-
then calculated by averaging the frame-wise omit- ingly prominent. In this article, LC6311+ wireless
ted distortions over time. module and FFmpeg video codec library use the
LC6311 modules via serial programming completed
1 N −1 encoding YUV material sent and program received
C =
OCI ∑ d [t ]
N t =0 O
(8) design; realize the video of the original material and
synchronization obtained through material wireless
transmission after the; adoption PEVQ objective
The Introduced Component Indicator (ICI) is evaluation of the degradation of the video qual-
then calculated using an L2 Norm over the frame- ity of the video. After the experiment, the method
wise introduced distortions over time can be effectively applied to TD-SCDMA system
CS64k videophone business objective evaluation of
1 N −1 2 video quality, the video can optimize the quality of
C =
ICI ∑ dI [t ]
N t =0
(9) service operators, and network planning and opti-
mization work to provide a convenient way.
46

ACKNOWLEDGEMENTS [2] Margaret H Pinson and Stephen Wolf, A New Stand-
ardized Method for Objectively. IEEE Transactions
The work presented in this paper was partially on Broadcasting, 2004, 50(3):312–322.
supported by 2011 National Natural Science [3] Chao Feng, Image quality assessment-oriented frame
capture of video phone over 3G system; Anti-coun-
Foundation of China (Grant number 61172097), terfeiting, Security and Identification 2010, Page(s):
2014 National Natural Science Foundation of 359–362.
China (Grant number 61371081), 2012 Natural [4] Xin-Bo Gao, Quality Assessment Methods for Visual
Science Foundation of Fujian (Grant number Information, Xi’an, XiDian University Publishing
2012 J01424) and Foundation by Comba Co., house, 2010.
Ltd. [5] Leadcore Technology Co. Ltd. The Video Phone
Development Manual_1.10 based on LC6311+ [DB].
[6] ITU-T J.247 Objective perceptual multimedia
REFERENCES video quality measurement in the presence of a full
reference[S], 2008.
[1] Kjell Brunnstrom. David Hands. VQEG Validation
and ITU Standardization of Objective Perceptual
Video Quality Metrices[J]. IEEE Signal Processing
Magazine [96] MAY 2009.
47

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

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

fragmentation of production has been increasing.
Since the reform and opening up, China’s export Manufactured goods are the subject of China’s
expensed rapidly. The rank of the total amount of participation in the international fragmentation
China’s export rose from the 28th in 1980 to the of production, which is an important form of
2nd in 2007. From 2009 to 2011, China remains China’s participation in international economic
the world’s largest exporter. China’s exports are activity. It is a valuable research to accurately
mainly manufactured goods-oriented. In recent measure the degree of international fragmenta-
years, the share of manufactured goods in total tion of Chinese manufacturing industry and to
exports has remained at 95%, and exports of man- comprehensively analyze China’s manufacturing
ufactured goods grew faster than the growth rate industries’ participation in the international frag-
of exports of all goods. The basic phenomena of mentation of production.
current products is that different processes, sec- Input–output method has been commonly
tors, and components in the production process used in the literature to measure international
scattered to different countries and regions, thus degree of fragmentation in the production of
the same final product was manufactured by dif- our manufacturing industry (Zhao lei and Yang
ferent countries or regions’ participations in the Yonghua, 2011). Due to the unavailability of the
international fragmentation of production. Two key variable—the intermediate input amount
or more countries or regions completed a final of data—the intermediate goods imports were
production through the Foreign Direct Invest- assumed, that is, the proportion of industry’s
ment (FDI) or outsourcing activities to produce total import of intermediate products is equal
or assemble parts. A distinguishing feature is that to the import of k industries. There are some
the intermediate input circulated in nations, result- deviations from the intermediate input the actual
ing in a large number of intermediate goods trade. situation of various industries. Therefore, the
Processing trade is one of the basic forms of the input–output method to measure the true degree
international fragmentation of production, as well of international fragmentation of China’s manu-
as China’s main way to participate in the inter- facturing production has its limitations. There-
national fragmentation of production (Lufeng, fore, this article uses the data of processing trade
2004). China’s processing trade export share of which is relatively easily available to measure
total export increased from 5% in 1981 to 56% in China’s manufacturing industries’ international
1996, then at around 55% by 2009. Obviously, the fragmentation of production.
49

2 MEASUREMENTS OF INTERNATIONAL in 1997 and in 2002, other manufacturing industry in
FRAGMENTATION IN PRODUCTION 1997, other industry in 2002, arts and crafts industry
BASED ON PROCESSING TRADE DATA and the processing of waste recycling in 2007. We
categorized some industries and unified their names,
Processing trade is to use foreign parts, components such as classifying agro-food processing and food
and other resources and to process, manufacture, manufacturing as food processing and manufactur-
assemble and produce in domestic country, which ing, classifying wood processing and wood, bamboo,
is then sold in foreign trade. Processing trade is one cane, palm, grass products industry and furniture
of the basic forms of the international fragment of industry in the year of 2002 and 2007 as wood
production, as well as China’s main way to partici- processing and furniture manufacturing, classify-
pate in the international fragment of production. ing sawn timber processing and furniture, wood and
Measurements of international fragmentation in man-made board manufacturing and grass bamboo
production based on processing trade data are rattan palm products manufacturing in 1997 as wood
mainly used in many literatures (Yeats, 1998; Görg, processing and furniture manufacturing, so as to get
2000; Baldone et al., 2001, 2007; Helg and Tajoli, 26 manufacturing industries. For the convenience of
2005). Referenced Balassa index of revealed com- following analysis, we encode the 26 manufacturing
parative advantage, and Baldone et al. (2007), we industries (see the note of Table 1).
can construct a metric index of China’s manufac-
turing industries international fragment of produc-
tion as following: Table 1. Tendency of international fragment of China’s
manufacturing production based on the measurement of
PT
T jt / T jt PTX
X jt / TX
X jt processing trade export from 2001 to 2008.
PijT =
RFP PijX =
, RFP ,
PT
Tt / Tt PTX
X t / TX t Industry year C1 C2 C3 C4 C5 C6 C7
PTM
M jt / TM
M jt Average 0.55 0.14 0.05 0.48 0.66 0.75 0.67
PijM =
RFP (1)
PTM
Mt / TMt
Industry year C8 C9 C10 C11 C12 C13 C14
Here, RFP PijT , RFP PijX and FP PijM , respectively, Average 1.02 1.35 1.19 0.48 0.42 0.38 0.48
represent the indicators of international fragment Industry year C15 C16 C17 C18 C19 C20 C21
of manufacturing production measured from the
perspective of trade import and export volume, Average 1.50 1.03 0.41 0.28 0.73 0.58 0.77
export and import; i represents trading nation, and
Industry year C22 C23 C24 C25 C26
j represents some industry. PT T jt and PT Tt , respec-
tively, represent j industry’s import and export Average 0.75 1.39 1.20 1.62 1.46
volume of processing trade, and Chinese manu-
facturing industry’s import and export volume of Note: Corresponding of codes and categories: C1 (food
processing trade in the t year. T jt and Tt , respec- processing and manufacturing industry), C2 (beverage
tively, represent j industry’s import and export manufacturing industry), C3 (tobacco industry), C4 (tex-
volume, and Chinese manufacturing industry’s tile industry), C5 (textile and garment, shoes, hats manu-
facturing industry), C6 (leather fur and feather industry),
import and export volume in the t year. PTM M jt , C7 (timber processing and furniture manufacturing
PTX X jt , PTM
Mt and PTX X t , respectively, represent j industry), C8 (papermaking and paper products indus-
industry’s import and export volume of process- try), C9 (printing and record medium reproduction), C10
ing trade, and Chinese manufacturing industry’s (cultural educational and sports goods), C11 (petroleum
import and export volume of processing trade in refining and coking), C12 (chemical raw materials and
the t year. MTT jt , XT
T jt , MT Tt and XT Tt , respectively, chemical products manufacturing industry), C13 (phar-
represent j industry’s import and export volume, maceutical manufacturing industry), C14 (chemical fiber
and Chinese manufacturing industry’s import and industry), C15 (rubber product industry), C16 (plastic
export volume in the t year. product industry), C17 (non-metallic mineral prod-
ucts), C18 (black metal smelting and rolling processing
industry), C19 (non-ferrous metal smelting and rolling
processing industry), C20 (fabricated metal products),
3 DESCRIPTION OF THE DATA SOURCE C21 (ordinary machinery manufacturing industry), C22
AND INDUSTRY SELECTION (special equipment manufacturing), C23 (transporta-
tion equipment manufacturing industry), C24 (electrical
3.1 Industry selection machinery and equipment manufacturing industry), C25
(communication equipment computers and other elec-
According to the National industrial classification, tronic equipment manufacturing industry), C26 (instru-
we select the manufacturing industries except arts and mentation and cultural office machinery).
crafts industry and the processing of waste recycling Source: Calculated based on IIR network database data.
50

3.2 Data source Table 3. Tendency of international fragment of
China’s manufacturing production based on the meas-
We can obtain the data in equation (1) from the urement of processing trade import and export from
IIR network database such as import and export of 2001 to 2008.
China’s processing trade imports and exports and
manufacturing data. But IIR network database Industry year C1 C2 C3 C4 C5 C6 C7
data on trade are classified by HS codes (Harmoni-
zation Code System Code), and are not according Average 0.50 0.12 0.09 0.70 0.72 0.88 0.73
to national industrial classification. Referring to Industry year C8 C9 C10 C11 C12 C13 C14
Cheng Bin (2002), we took the related merchandise
trade data in correspondence with the 26 selected Average 0.75 1.15 1.25 0.24 0.60 0.18 0.89
manufacturing industries. Then we obtained the Industry year C15 C16 C17 C18 C19 C20 C21
processing trade data of the industries. Processing
trade includes processing and assembling trade, Average 1.28 1.07 0.61 0.45 0.83 0.68 0.78
processing trade, processing trade and imports of
Industry year C22 C23 C24 C25 C26
foreign-invested enterprises as an investment in
equipment and supplies. The time span of China Average 0.81 0.85 1.24 1.47 1.37
HS code of 4-digit data available in IIR network is
from 2001 to 2008. Source: Calculated based on IIR network database data.
4 DEGREE OF INTERNATIONAL
FRAGMENT OF CHINA’S tries’ trends above 1 such as C8, C9, C10, C15,
MANUFACTURING PRODUCTION C16, C23, C24 and C26. Other industries’ trends
BASED ON PROCESSING TRADE are relatively lower, such as C2, C3, C17, C18, C12
and C13.
In equation (1), we use the 26 manufacturing Table 2 shows the tendency of international frag-
industries’ data such as export, import, import ment of China’s manufacturing production from
and export trade, processing trade import and 2001 to 2008 measured by the import of process-
export, and total amount of import and export ing trade. Among them, C6 has the highest trend.
to calculate and measure the degree of interna- There are some industries’ trends above 1 such as
tional fragment of China’s manufacturing pro- C4, C5, C10, C14, C16, C17, C24, C25 and C26.
duction from the point of import and export (see Other industries’ trends are relatively lower, such
Tables 1–3). as C2, C3, C11, C13 and C23.
Table 1 shows the tendency of international frag- Table 3 shows the tendency of international
ment of China’s manufacturing production from fragment of China’s manufacturing production
2001 to 2008 measured by the export of processing from 2001 to 2008 measured by the total amount
trade. From the perspective of average, C25 has the of import and export of processing trade. Among
highest trend. In addition, there are some indus- them, C25 has the highest trend. In addition, there
are some industries’ trends above 1 such as C9,
C10, C15, C16, C24 and C26. Other industries’
trends are relatively lower, such as C2, C3, C11
Table 2. Tendency of international fragment of China’s
manufacturing production based on the measurement of and C13.
processing trade import from 2001 to 2008. Obviously international fragment of produc-
tion measured by the total amount of import and
Industry year C1 C2 C3 C4 C5 C6 C7 export of processing trade reflects the general par-
ticipation of China’s manufacturing industries.
Average 0.43 0.03 0.28 1.94 1.32 1.71 0.91 But there are different tendencies of international
Industry year C8 C9 C10 C11 C12 C13 C14 fragment of China’s manufacturing production
measured by the import or export of processing
Average 0.69 0.61 1.44 0.05 0.72 0.04 1.49 trade. It also shows that some industries partici-
pate in the international fragment of production
Industry year C15 C16 C17 C18 C19 C20 C21
mainly through the processing trade exports, such
Average 0.65 1.12 1.33 0.69 0.91 1.03 0.80 as C8, C9, C15, and C23. While others participate
in the international fragment of production mainly
Industry year C22 C23 C24 C25 C26 through the processing trade imports, such as C6,
Average 0.85 0.09 1.30 1.27 1.36 C4, C5, C14 and C17. Other participations of
imports and exports are more prominent, such as
Source: Calculated based on IIR network database data. C10, C16, C24, C25 and C26.
51

5 CONCLUSIONS degree of participation in the international frag-
ment of production, and international fragment of
The advantages of using metrics based on process- production greatly accelerated the growth of manu-
ing trade data to measure the degree of China’s facturing output and exports in China. Meanwhile,
participation in the international fragmentation of it also showed that China’s manufacturing output
production is availability of data and that process- and exports contained large amount of the foreign
ing trade imports and exports can comprehensively investment. After the deduction of foreign inter-
reflect the situation and the characteristics of Chi- mediate inputs, the real added value and export
na’s manufacturing industries’ participation in the of Chinese manufacturing industry might not be
international fragment of production. so much, and so does the trade interests. So, what
Measurements based on processing trade data kind of stage should Chinese manufacturing pro-
shows that from the perspective of overall imports duction sections are in the international division of
and exports, seven manufacturing industries have production system, and how to strive for a higher
higher degree of international fragmentation of degree of fragmentation in the production with
production, respectively: communication equip- high added value and more interest? This research
ment, computers and other electronic equipment direction is worthy of further investigation.
manufacturing industry, printing and record
medium reproduction, cultural and educational
sporting goods manufacturing industry, the rubber ACKNOWLEDGMENT
products industry, the plastic products industry,
electrical machinery and equipment manufactur- This research is supported by Natural Science
ing industry, instrumentation and cultural office Foundation of China (No. 71163047).
machinery. Other four industries have lower degree
of international fragmentation of production,
respectively: beverage manufacturing industry, REFERENCES
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try and pharmaceutical industry. Papermaking Buckley, P.J. The Impact of the Global Factory on Eco-
and paper products industry, printing and record nomic Development [J]. Journal of World Business,
medium reproduction, rubber Product industry and 2009, (44):131–143.
transportation equipment manufacturing industry Egger, H. & Egger, P. (2003), “Outsourcing and skill-
participated in the international fragmentation of specific employment in a small economy: Austria after
production through the export of processing trade. the fall of the Iron Curtain”, Oxford Economic Papers
55(4), 625–643.
Industries of leather fur and feather, textile indus- Feenstra, R.C. & Hanson, G.H. (1996), “Globalization,
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industry, chemical fiber industry and non-metallic nomic Review, 86(2), 240–245.
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fragmentation of production through the import. specialization and the changing nature of world
Cultural educational and sports goods, plastic trade”, Federal Reserve Bank of New York Economic
product industry, electrical machinery and equip- Policy Review 4(2), 79–99.
ment manufacturing industry, communication Hummels, D., Ishii, J. & Yi, K.-M. (2001), “The nature
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China’s manufacturing industry had relatively high Innovation, 2007,14, 14(3):239–257.
52

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

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

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

low-pass filter
1 INTRODUCTION difficult to achieve the tracking of the frequency

of the input signal.
The filter has a wide range of applications in the This paper proposes a voltage-controlled self-
fields of the signal processing, the data collection tracking filter system that can control the cut-off
and the communication systems. Especially, the frequency of the filter by changing the external
self-tracking filter plays an important role in the voltage. In the system, FPGA is used to measure
field of the adaptive signal processing. There are frequency of the input signal, and D/A conver-
many kinds of methods to realize the automatic tor is used to convert the measured frequency to
self-tracking filter. The first is the state variable voltage signal which will be input into the bi-quad
method which can be carried out simultaneously loop filter as the external control terminal to con-
low-pass, high-pass and band-pass filter, but the trol the cut-off frequency to track the input signal
design and debug are troublesome and difficult to frequency changes automatically. Compared the
control, and besides the components are discrete voltage-controlled filter designed in this paper
and the non-linear effects are large. The second with other voltage-controlled filters, its cut-off
method is the voltage-controlled method. Using frequency can dynamically adjust, and filter-
this method when the input signal frequency is ing speed is high, waveform is smooth and other
within the bandwidth of the filter, there is no features.
phase difference between the filtered signal and the
input signal. But the offset voltage and drift will
directly affect the stability of the low frequency. 2 FREQUENCY VOLTAGE CONVERSION
The third method is using existing active filter chip.
This method does not require to know the signal The frequency voltage conversion circuit is com-
frequency in advance, and filtering frequency is posed of FPGA and D/A. FPGA measures the fre-
controllable, but there are some circuit noise and quency of input signal, and then D/A converts the
signal aliasing problems in the course of the use, measured frequency into voltage. It is necessary to
even through clock frequency or pin programming establish a linear relationship between the meas-
is difficult to achieve the filter cut-off frequency ured frequency and the converted voltage. Then we
continuous change. If the signal frequency changes can obtain the voltage corresponding to different
in a wide range, the above three methods are frequency by finding the scale factor.
53

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

tracking filter is shown in Figure 3. The input sig-
nal fin is divided into two paths, the first is trans-
formed into rectangular wave signal fx through
amplifying, amplitude-limiting and shaping, and
put fx into FPGA to measure the frequency, then
use the special linear frequency-to-voltage conver-
Figure 1. The diagram of FPGA frequency measurement. sion method to control D/A convert the measured
54

U4, R5 and R7 can reduce the closed-loop gain,
improve the stability of gain and decrease the non-
linear distortion. U1 can achieve the square of the
signal, which makes a linear relationship between
the cut-off frequency and the input frequency. U1
and U3 are both four quadrant analog multiplier
AD835, U2, U4 and U5 are low power current feed-
back operational amplifier OPA658, D0, D1, D2
and D3 are resistance network, Vx is voltage control
terminal, fin is input signal terminal, fout is filtered
signal terminal.
According to Kirchhoff’s law, we can obtain:
VW = Vx2 (2)
Figure 3. The system diagram of the voltage-controlled
tracking filter. Vout/R5 = VG/R7 (3)
VWVF = VE = VoutC1sD2 (4)
Vin/D0 = VF/D3 + VFC2s + VG/D1 (5)
According to the formula (2–5), the transfer

function of the filter is:
Vx2
Vout C1C2 D0 D2
H (s) = = (6)
Vin s Vx2R7
s +
2
+
C2 D3 C1C2 D1D2R5
According to the formula (6), it can deduce the

cut-off angular frequency is
ωLP = (VxR71/2)/(C1C2D1D2R5)1/2 (7)
Figure 4. The diagram of the voltage-controlled sec- the gain factor is
ond-order low-pass filter circuit.
K = (R7D0)/(R5D1) (8)
frequency into the corresponding analog volt- the quality factor is

age Vx, which is the voltage control terminal of
the filter. The other one is as the input signal of QLP = C2D3ωLP (9)
voltage-controlled filter, so that the combination
of the two signals can realize the function of the so the cut-off frequency is
frequency tracking automatically.
fLP = (VxR71/2)/[2π (C1C2D1D2R5)1/2] (10)
3.1 Design of voltage-controlled second-order
When taking C1 = C2 = C, D0 = D1 = D2 = D,
low-pass filter
R5 = R7, it can deduce
The second-order voltage-controlled filter circuit
is achieved by using the analog multiplier and fLP = Vx/2πDC (11)
introducing into bi-quad loop filter circuit model,
its circuit is shown in Figure 4. The addition of The formula (1) is substituted into formula (11),
damping integrator composed by D0, D1, D3, C2 it can obtain
and U2 plays a role of automatic compensation.
The inverting integrator composed by D2, C1 and fLP = fx/(8 × 106 × 2πDC) (12)
U5 is used as the linear modulator to complete the
pulse width demodulation. The inverting input It can be seen from (12) the cut-off frequency of
closed-loop operational amplifier composed by the filter designed will change linearly with input
55

Figure 5. The experimental and theoretical values comparison of the amplitude-frequency responses of the voltage-
controlled second-order low-pass filter.
frequency as long as adjusting the value of capaci- Table 2. The comparison of the measured and theoreti-
tance and resistance reasonably. cal values of the cut-off frequency of the second-order
low-pass filter.
3.2 The experimental result f0/KHz

Relative
In the actual measurement, when taking C1 = C2 = Vx/V Measured Calculated error δ (%)
C = 100pf, D0 = D1 = D2 = D = 200Ω, D3 = 115Ω,
R5 = R7 = 500Ω, then according to formula (12), 0.1 796.20 795.77 0.054
it can deduce fLP = fx, fx is the frequency signal 0.4 3184.70 3183.08 0.051
after fin amplifying, amplitude-limiting and shap- 0.7 5573.30 5570.39 0.052
ing, so fLP = fx = fin, that is, it realizes the cut-off 1.0 7961.80 7957.70 0.051
frequency to track the input frequency. From for-
mula (11), it can deduce the cut-off frequency of
filter is fLP = 7.9577 × 106Vx. The amplitude of the 4 CONCLUSION
input signal is taken 1.0 V, the control voltage Vx
are taken 0.1 V, 0.4V, 0.7 V, 1.0 V, for physical test- This paper describes a method that firstly uses
ing, the actual measured corresponding cut-off fre- FPGA to measure the frequency of input signal,
quency are 796.2 KHz, 3184.7 KHz, 5573.3 KHz, and uses the special method to control D/A to
7961.8 KHz, the experimental and theoretical convert the measured frequency into the corre-
values comparison of the amplitude-frequency sponding voltage, then inputs this voltage signal
responses is shown in Figure 5. into analog multiplier which is a filter unit to con-
From Figure 5, it can be seen that when the trol the cut-off frequency of the filter indirectly.
second-order voltage-controlled low-pass filter Based on the proposed design method, we design
taking different control voltage Vx, the cut-off fre- self-tracking second-order low-pass filter circuit,
quency will realize to change and track the input the input signal frequency ranges up to 8 MHz to
signal. The advantages of this method are wide ensure the cut-off frequency of the filter can track
range of adjusting and tracking and high precision. automatically the input signal. The experimen-
Detailed error analysis is shown in Table 2. tal result matches well with the theoretical value,
56

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

Departure capacity assessment of close staggered parallel runways
J.G. Kong, X. Li & W.B. Ding

School of Air Traffic Management, Civil Aviation Flight University of China, Guanghan, Sichuan, China
ABSTRACT: First, this article analyzes the staggered layout of closely spaced parallel staggered run-
ways, its advantages compared to the traditional closely spaced parallel runway system and operating
mode of the departure of aircraft. According to its operational characteristics, this paper learns from
the departure capacity calculation model under mixed operation mode of single runway to establish the
departure capacity calculation model of closely spaced parallel staggered runways. Then, it takes a group
of closely spaced parallel staggered runways of Shanghai Pudong airport which consists of runway 1 and
runway 3 as example, collects the relevant operational data, and uses the established model to do the data
simulation to obtain the departure capacity of this parallel runway system.
Keywords: closely spaced parallel runway; staggered; departure capacity
1 INTRODUCTION one runway for departure, the other runway for

arrival, to establish a correlation between departure
At the beginning of the 1970s, the USA and Europe and arrival safety interval. The implementation of
began to raise closely spaced parallel runways tech- this way of running parallel runways called closely
nology. At present, the rapid development of the spaced parallel runway, referred to closely runway.
civil aviation market which makes the construc- In a certain mode of operation, flight procedures,
tion of airports and other infrastructure needs a air traffic control and communications and naviga-
lot of land resources, but because of limited land tion equipment conditions, closely spaced parallel
resources, national efforts to control the basic con- runway capacity is much larger than a single run-
struction land get more and more, making building way, but the land used for significantly less than
large spaced parallel runway system economy and the distance parallel runways. Accordance with the
social costs unbearable. Therefore, there is a need provisions of <The parallel runways instrument
in the finite field area within, to achieve the maxi- operation and management regulations>, closely
mization of the runway capacity, improve the oper- runway’s operation mode only with one arrival one
ational capability of the airport, only through the departure, and Article 43 of <China's civil aviation
design different layouts runway system to achieve. air traffic management rules> also made clear that,
In the country, in March 2008, Pudong Airport The two aircraft use the parallel runways which
closed runway operation mode enabled, becoming centerline intervals less than 760 meters should be
China’s first implementation of the operating mode equipped with wake turbulence separation.
of the close-up runway airport. In March 2010, However, due to geographical constraints, or
the Shanghai Hongqiao International Airport was the flight procedure design considerations, many
officially opened a second runway, formed a group closely spaced parallel runways is designed to be
spacing of 365 meters with the original runway the threshold of the two runways staggered, We
closely spaced parallel runways. call this system of closely spaced parallel runways is
close staggered spaced parallel runway[1]. Runways
threshold staggered can be achieved in three ways:
2 CLOSE STAGGERED PARALLEL the runway threshold physical staggered; thresh-
RUNWAYS OPERATING old displace; and combination of both. Research
CHARACTERISTIC indicates that runway threshold have to stagger at
least 300 m to significantly enhance closely runway
Closely spaced parallel runway is a combination of capacity[2]. However, completely physical staggered
running parallel runways. Reference to FAA regu- will increase the amount of land use, and when
lations and some European countries, the defini- the runway system uses the most common along
tion of closely runway is less than 760 meters to the with one arrival and one departure, with the run-
distance between the two parallel runway centerline, ning direction of the change, takeoff and landing
59

can learn from the capacity calculation method
of single runway under the mixed operation. At
first, we discuss the interval requirements of two
arrival aircraft when insert the departure aircraft.
Suppose that:
1. Lδ is the spacing of close staggered parallel run-
ways, Lγ is the departure runway’s threshold
Figure 1. The operation mode of one arrival and one displace;
p
departure. 2. Vi A is arrival aircraft Fi final approach speed,
Ti A is the time reach the approach runway’s
threshold;
runway must be interchanged. Thus, in the non- 3. V j A is arrival aircraft Fj final approach speed,
primary landing direction will inevitably lead to T j A is the time reach the approach runway’s
outside takeoff and inside landing, it’s unreason- threshold;
able for the safe operation, runway capacity and 4. RTT j A is arrival aircraft Fi occupied runway
infrastructure investment. Therefore, in the design time;
of close staggered parallel runway system, gener- 5. L is the limit distance which Fj away from
ally use the runway threshold displace or combina- approach runway when departure aircraft take
tion of physical staggered and threshold displace, off;
able to deliver the promised runway capacity, sav- 6. Ti D is departure aircraft occupied runway
ing the runway construction land and to maintain time;
safe and efficient operation. 7. Ti j A is the time interval which can inserted
In accordance with ICAO’s current air traffic departure aircraft between two consecutive
control rules, the closely spaced parallel runway, arrival aircraft.
regardless of how much runway spacing and how
p
When departure aircraft need to take off, time
far away the runway threshold staggered are not
interval Ti j A is calculated as follows:
allowed to implement parallel instrument approach.
Appropriate threshold staggered to help the closely
spaced parallel runway parallel approach, and Ti j A T j A − Ti A = RT
Tj A L /V j A ( N − 1) × RT
Ti D
thus significantly increase the runway capacity.
This article focuses on the close staggered parallel where N is the number of departure air-
runways departure capacity under the operation craft could take off, it is obviously that when
mode of one arrival one departure. Between two Ti j A > RT
T j A ( N − ) × RT Ti D , departure aircraft
arrival aircraft, departure aircraft to leave the field can take off.
under the appropriate security conditions, shown When departure aircraft take off, arrival aircraft
in Figure 1. need maintain a certain time interval with departure
aircraft, which to make ensure that the two run-
ways at the same time only one aircraft. According
3 DEPARTURE CAPACITY ASSESSMENT
to the actual situation of the relevant rules of the
MODEL OF CLOSE STAGGERED
air traffic control and airports,
p we can set a safe
PARALLEL RUNWAYS
interval value Ts , and T j AD is the actual time inter-
val between arrival aircraft and departure aircraft,
First analyze the characteristics of the runway
only T j AD Ts departure aircraft could take off, or
system before in the assessment of close staggered
stand by. This could be calculated as follows:
parallel runways departure capacity[3]:
1. The priority of the arrival aircraft;
2. At the same time, only one aircraft on the two
T j AD = ( L L +L Vj A )
runway;
According to the above discussion, departure
3. Arrival aircraft from the runway threshold time
interval of departure aircraft decided by mini-
is less than Ts, the departure aircraft have to Ti j D , departure
mum safety clearance interval minT
hold;
4. After arrival aircraft landing, departure aircraft
aircraft occupied runway time RT Ti D and arrival
aircraft occupied time ( j AD A . Departure
i )
on another runway can take-off.
interval:
In the current operating conditions[4], the flow of
arrival aircraft and departure aircraft is related in
close staggered parallel runway, so close staggered Ti j D ( ρ)MAX
M (min Ti j D , RTTi D )
parallel runway’s departure capacity calculation + ρ ⎡⎣MAX (min Ti j D , RTTi D ) + (T j AD Ti A ) ⎤⎦
RT
60

where Ti j D the departure interval of two consecu- aircraft in actual operation, the capacity of the
tive arrival aircraft is, ρ is the proportion of depar- runway system reaches the maximum, and N = 1,
ture aircraft cannot take off due arrival aircraft, ρ = 0.5 [6]. Based on the collected data, we can cal-
which can obtained by historical statistical data. culate the departure capacity of close staggered
Fij D is the combination model of two consecutive parallel runways is 31.8 flights per hour, average
departure aircraft, so the average time interval of departure interval is 113.2 s.
consecutive departure aircraft on the close stag-
gered parallel runways could calculate as follows:
5 EPILOGUE
n n
E [Ti j D ] = ( ρ)∑ ∑ Fij D M
MAX (min Ti j D , RT
Ti D ) At first, this article analyzes the structure and
i =1 j =1
n n
operational characteristics of close staggered par-
+ ρ ∑∑ Fij D ⎡M D D
⎣MAX (min Ti j , RTi )
allel the runways, then uses the calculation model
of mixed operation mode of the single runway,
i =1 j =1
established the departure capacity calculation
+ (T j AD RTi A )⎤⎦
model of close staggered parallel runways and col-
lect actual data validated the model. Through this
And departure capacity of close staggered par- practice, I hope to provide some useful reference
allel runways CCL is: for close staggered parallel runways fully utilized
and reduce flight delays.
1
CCL =
E [Ti j D ]
REFERENCES
[1] Guo Hai-qi, Zhu Jin-fu. Calculation models of

4 DEPARTURE CAPACITY ASSESSMENT capacity and delay for closely spaced parallel runway
OF SHANGHAI PUDONG [J]. Journal of Traffic and Transportation Engineer-
INTERNATIONAL AIRPORT ing, 2008, 8 (4): 68–72.
[2] Wang Wei, Wang Mei-ling, Qian Xue-bing. Study on
The spacing between the 1st and the 3rd runway in Method of Determination of Centrally Distance and
Shanghai Pudong International Airport is 450 m, Threshold Staggering Manner for Closely Spaced
the Stagger distance is 600 m. According to the Parallel Runways of Airport [J]. Journal of Civil
<2008 Pudong Airport demand forecasting and Aviation University of China, 2011, 29 (2): 23–26.
[3] Richard de Neufville, Amedeo Odoni. Airport Sys-
resource allocation Technical Report>, the propor-
tems: Planning Design, and Management [R]. Beijing;
tion of heavy aircraft (FH) is 46.5%, moderate air- China civil Aviation Press, 2006.
craft (FM) is 53.5%. Operation of aircraft model is [4] Milan Janic. A Model of the Ultimate Capacity of
shown in Table 1. Dual Dependent Parallel Runways [R]. Delft: OTB
We suppose the final approach speed of heavy Research Institute Technical University of Delft:
aircraft is 150 knot, occupied runway time is 60 s; 2006.
the final approach speed of moderate aircraft is [5] Hu Ming-hua, Liu Song, Su Lan-gen. Research of
130 knot, occupied runway time is 50 s. The limit Airport Capacity Estimation Model Based on Sta-
distance which arrival aircraft from approach run- tistic Analysis [J]. Journal of Data Acquisition &
Processing, 2000,15 (1): 74–77.
way when departure aircraft take off is 2 nm[5], in
[6] Wang Wei, Li Wei. Airport Capacity Calculation of
closely spaced parallel runways, the minimum wake Closely Spaced Parallel Runway under Operation
turbulence separation between two departure air- Mode of One Arrival and One Departure [J]. Journal
craft is 2 minute. Generally cleared one departure of Civil Aviation University of China, 2009, 27 (3):
aircraft takeoff between two consecutive arrival 20–22.
Table 1. Operation of aircraft model in

Pudong Airport.
Aircraft model Proportion
Proceed: FH; after: FH 21.62%

Proceed: FH; after: FM 24.88%
Proceed: FM after: FH 24.88%
Proceed: FM after: FM 28.62%
61

The control design of blast furnace clay gun play mud quantity
B.H. Jiang, J. Mei, X. Zhao, D.C. Gao & H. Liu

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

steel enterprise, the higher requirements are put
forward in view of the blast furnace. After the iron
is come out when the blast furnace is opening every
time, the amount of clay gun that is input along the
channel of molten when the clay gun is blocking
up the iron mouth will affect the iron mouth depth
of blast furnace. When the blast furnace smelting
system becomes more and more sophisticated, the
corresponding precision of blast furnace clay gun
play mud quantity is higher and higher. This makes Figure 1. The principle diagram of hydraulic system.
the use of flow meter in the system of play mud an
inevitable trend[1].
In order to accurately control the play mud
2 THE DETECTION DEVICE OF PLAY
quantity, the system of clay gun should install
MUD QUANTITY
flow meter. It provides the operator with intuitive
data and convenient operation, at the same time it
In the process of playing mud, as the route of the
can avoid unnecessary loss of clay gun[2]. Figure 1
bod cannot be precisely measured in real-time, play
displays the principle diagram of the hydraulic
mud quantity cannot be accurately detected. This
system.
detection system of mud amount is through the
As is shown in Figure 1, when the iron mouth of
flow test device to test the hydraulic flow. Based
blast furnace need to be plugged up, hydraulic pro-
on the principle of clay gun, as is shown in the
portional valve XZ3 power on, oil inputs through
literature[3], the actual route of the bod is:
the A2 cavity and returns through the B2 cavity.
The piston moves to the right driven by the pres- V oil V
sure and the bod connected to the piston rod also L= = mud (1)
moves to the right. Therefore clay gun can input π R mud
2
π R 2oil
the iron mouth of blast furnace through the mouth
of clay gun. From equation (1):
Flow sensor is installed in the return pipe 2
R mud φ mud
2
mud = Vooil × = Vooil ×
channel because it can only be used in the single Vm (2)
2 2
direction. When reverse flowing, it will result in R oil φ oil
the differential pressure of flow of the import and
export increases. For a long time, it can cause dam- Due to the diameter of the mud cylinder and oil
age of the flow sensor. cylinder (φ mud φ oil ) of the clay gun is determined.
63

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

CONTROLLER AND MODULE
In accordance with the control requirements of the

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

PROGRAM
In the process of playing mud of blast furnace

hydraulic system, the play mud quantity is the key
part. In view of the play mud quantity, we design
the subroutine of the play mud quantity as shown
in Figure 2.
The system begin to start and initialization, reset
and assign a default value in the register VD200.
At the same time, the total amount of mud of mud
cylinder is put in the register VD100.
When the rotated gun turns the position and the
play mud handles start then the system start play-
ing mud. As is shown in Figure 2, every 0.2 seconds
regularly get flow and put it in the VD118 register.
The each flow is added up through the accumulator
then the accumulative value multiplied by propor-
tion coefficient K and stored in the VD110 register.
Comparing the value in VD110 register with the
present value, if the accumulated value is less than
the present value, continued to play mud until the
accumulated value is more than the present value. Figure 3. Ladder diagram of reading flow for timer
The injection of clay gun is stopped and gets into interrupt.
64

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

Research and implementation of coal traffic video management system

based on the technology of image tracking and recognition
S.J. Jin
Mechanical Engineering College, Jilin Agricultural Science and Technology College, Jilin, China
ABSTRACT: This article introduces in detail the three components of video monitoring system of coal,
by means of the target tracking technology and the effective integration of the license plate recognition
technology, combined with the rotation of the PTZ function. At the same time, it realizes the clearer tar-
get image from different angles of scanning, improves the accuracy and rapidity of system identification;
it is realistic and has a significant role in the reasonable exploitation and utilization of coal resources.
Keywords: target tracking; image identification; vehicle monitoring system
1 SYSTEM HARDWARE INTRODUCTION communication format, the system make the PC to

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

AC6652 is a low price general photoelectric isolat-
ing I/O board, with 16 road input, 16-way output.
Through the adoption of PCI trunk so as to real-
izes supporting plug and play and no address jump
line. At the same time, large-scale programmable
gate array which is used to design for improving
the reliability of system, AC6652 input support
5–24 V input, while output for the open collector
output (OC output, output chip: 6N33 or TIL113),
output drive current is greater than 30 ma, can eas-
ily drive miniature relays and the LED load.
AC6652 uses CH series of PCI interface chip
arrays as the master control chip. AC6652 PCI
switch board has the function of the photoelectric
isolation, It can receive signals from the AC140,
and then through the module processing into a PCI Figure 1. The system hardware structure.
67

is less affected by environmental factors, so, more
stable; this system uses a magnetic sensor.
Geomagnetic sensor is used when the vehicle
through earth’s magnetic field to realize the detec-
tion of vehicles, because the earth’s magnetic field
can basically constant in a few miles, large ferro-
magnetism objects will produce very large pertur-
bation to the earth’s magnetic field. Geomagnetic
sensor can distinguish the earth’s magnetic field
1/6000 with slight changes, when the vehicles pass
through the road, the impact of geomagnetic can
reach a fraction of geomagnetic intensity. To sum
up, using the geomagnetic sensor to detect the
vehicle have a sensitive enough.
Figure 2. AC6652 switch plate.

3 IMAGE ACQUISITION MODULE
3.1 T Video acquisition card (Tian min

4000 Video acquisition card)
The video acquisition card is used to receive the
video input analog video signal In PC, so as to real-
ize the collection and quantitative for the signal,
and then the compression and coding become dig-
ital video. Because acquisition card has the hard-
ware compression, so in the acquisition of video
signal, it must be compressed firstly, and then
through the PCI interface of the compressed video
data transmitted to the host. Tian min 4000 Video
acquisition card is shown in Figure 4.
Figure 3. Isolating anti-interference module (AC140). Ordinary PC video acquisition card mainly
adopts frame compression algorithm to the digital
video files into AVI files, high-end video acquisi-
2. DI0–DI7: corresponds to the eight road photo- tion card still can more directly the collected dig-
electric isolation input of 0–7. ital video data real-time compression into mpeg-1
3. The GND: photoelectric isolation of input format file.
ground, namely DI0–DI7 ground. Because the analog video input has the func-
4. POWER: corresponds to the +12 V power input, tion of providing uninterrupted source, so acqui-
and the power supply cathode and photoelec- sition card has to gather any frames in simulate
tric isolated input ground GND is isolated from video sequences, and before going to collect the
each other. next frame image you should put the data file to
2.3 Geomagnetic sensor

Accurately induction the vehicle arrival is the
first condition of the video monitor system, there
are many ways such as infrared, ultrasound and
magnetic induction, etc. Ultrasonic sensor is eas-
ily affected by the environment: when the wind
speed is above level 6, it is due to the reflection
wave produced drift and therefore unable to real-
ize normal detection; at the same time, people or
objects which in the bottom of the probe will also
produces reflected wave as form error checking.
In addition, the infrared sensor which is due to
ice fog, dust, etc in the job site, the normal work of
the system will also is affected. Geomagnetic signal Figure 4. Tian min 4000 Video acquisition card.
68

PC system. Therefore, key steps which in realizing index are mainly considered in the choice of slew-
the collection of real time is the processing time ing range, bearing capacity and rotational speed.
required for each frame. If more than the interval General PTZ all belong to cable control electric.
of time between two adjacent frames, so the data
file will be lost, or to say frame Loss.
4.2 PTZ equipment installations
So when acquired the video sequence by acqui-
sition card, it is necessary to compress firstly, and PTZ is usually associated with the camera which
then deposited in the hard disk, namely the acqui- by providing extra lines to make PTZ equipment
sition and compression is always together, there and the computer joining together. This circuit is
is no need for video sequence to compress again. often connect with the computer in the form of a
Different acquisition card collection is endowed COM port, On the other side, PTZ control of con-
with different compression quality. verter, as shown in Figure 5.
PTZ control converter is connected to the com-
3.2 The selection and characteristics puter in the form of COM port, Figure 6 shows
of the camera the connection between PTZ control converter and
the PC.
This system adopts the Sony company EVI-D30
color camera. Its main functions: automatic
Tracking. it through the camera to constantly auto- 4.3 PTZ control analysis
matic obtain the user predefined themes. Around the Through serial communication, it realizes the
choice of the theme, it will gather the similar pixel communication between computer and PTZ.
color and brightness. Based on optical reverse prin-
ciple and nonlinear reverse camera processing and
predefined themes which including the automatic
tracking function, automatic focusing, automatic
exposure, motion detection, so as to select a goal.
4 PTZ CONTROL MODULE
4.1 PTZ introduction

PTZ is the support equipment which has a fixed
camera function, it is divided into two types: fixed
and electric. Fixed PTZ: it mainly used in small size
range of monitoring, when using, it is bound to
fix the camera in PTZ and adjust the angle of the Figure 5. PTZ control converter.
camera level and pitch, make its best work attitude,
finally lock adjusting mechanism. If you need to
scan and monitoring a wide range when electric
PTZ is used. Because it can expand the camera
monitoring field of vision, improve the actual use
value of the camera.
According to the characteristics of the rotary,
it can be divided into: horizontal rotating around
(rotating) and all-round (rotate and can up and
down or so). It turns to level 0–350 degree angle,
pitch angle of 0–90 degrees, some of them can
also automatically patrol. Electric PTZ posture
adjustment mainly through two force motor which
by accepting the controller signal to implement
the accurate operation positioning to realize the
rotation.
Through controlling signal, camera can auto-
matically scan on the area of monitoring, and can
through to the monitoring center on duty per-
sonnel to implement tracking monitoring object
manipulation. From using environment, it also Figure 6. Connection diagram of the converter and the
can be divided into: indoor and outdoor. The PTZ upper machine.
69

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

Residents air conditioning load management model studies

and impact analysis
B. Li & S.W. Li
Beijing Guodiantong Network Technology Co. Ltd., Beijing, China
S.X. Zhang
State Grid Information and Telecommunication Branch, Beijing, China
X.S. Jing, F. Wu & X.J. Weng

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

shortage.
With the enlargement of city scale, the improving Harbin July 27 sustained hot weather caused a
of the total urban residents, city industrial and sudden increase in local residents air conditioning
commercial the most efficient and comfortable electricity consumption, so that the local power
residence requirements has improved energy appli- supply reached 40,734,000 KWH, compared with
cation requirements for urban energy supply pres- the same date in 2010 of 23.5% growth in electric-
sure, especially during the peak of the high power ity demand, the highest value. Due to the high
load to the urban power grid load carrying ability power air conditioners and other appliances in
put forward higher requirements, how to coordi- use, resulting grid load appears short load “peak”,
nate and control city energy load pressure, ensure which brings transformers and power lines over-
stable operation of city power grid, improve urban load and overload problems in terms of power
effect is the problem of the current must pay atten- equipment; need emergency personnel at work
tion to energy saving and emission reduction. mobilize the majority of substation operator to
According to statistics, Beijing July 14, 2011 closely monitor the situation daily power load
power grid load between 18.5 to 19.1 million kilo- growth, increasing the frequency of inspection
watts, an increase compared to the same period in equipment, heavy duty power line contacts for
2010 of 11.04%∼14.64%, of which about 40% of strengthening monitoring; serious impact on the
air-conditioning cooling load. Beijing area total city safe and reliable power supply. Meanwhile,
power generation of 400 million kilowatts, about in terms of grid construction load for a short
78% of the electricity needed to send power plants period of “peak” need to invest in large-capacity
rely on electricity supply outside Beijing, dur- transformers, electric peak load distributor and
ing the summer period, in the lack of an external other antihypertensive equipment, causing power
power supply capacity or extreme weather condi- resources severely strained.
71

2 DOMESTIC PRESENT SITUATION AND to the survey results show that if the current set of
TREND OF AIR CONDITIONING LOAD air conditioning room temperature 2 °C more than
the summer, the peak power can reduce air con-
Based on the present situation of the air condi- ditioning load of 10% to 15%, namely cut about
tioning load, our first-tier cities (such as Beijing, 50–75 million KW power peak capacity require-
Shanghai and Guangzhou) air conditioning load ments, at ease tensions in the electric power at the
rapid growth, accounting for the proportion of the same time can save a large amount of electric power
total urban load continues to increase. Growing construction investment; About 2400–3500 tons of
air-conditioning load is mainly conditioned by the emissions of sulfur dioxide, carbon dioxide is about
urban cool in summer and winter air condition- 40–60 million tons. By the calculation, if the sum-
ing cooling load heating load composition. As the mer air conditioning temperature raise 1 °C, air
city air conditioning gradually into the household, conditioning energy consumption can be reduced
commercial and industrial buildings, causing rapid by 8%, only 4 million households in Beijing can
expansion of the application of air conditioning save about 108 million KWH.
equipment, its concentrated in summer and winter Prove that, our country the present situation
peak use, and promote the rapid rise in the city’s of the air conditioning load is air conditioning
total load. load absolute value growing every year, gradually
Beijing, for example, the proportion of Beijing’s become the city constitute the key influencing fac-
air conditioning electricity demand increased tors of high load pressure, if not for effective con-
every year. In 2000–2004, for example, the maxi- trol and management in the future, will cause the
mum power load in summer continues to rise, urban energy supply pressure is too large, reliabil-
from 676.8 KW to 9.5 million KW in 2000, the air ity and reduce the energy use of the city.
conditioning load ratio rose from 36.94% to 45%.
In recent years, the Beijing area’s air condition-
3 DOMESTIC AIR CONDITIONING LOAD
ing ownership from 2 sets/hundred households in
MANAGEMENT APPLICATION CASES
2001 rose to 22 sets/hundred households in 2011.
By 2012 the Beijing air conditioning has reached
To verify the residents and commercial users of
13 million units. Residents take conditioned aver-
air conditioning load as the feasibility of inter-
age power 1.3 KW, while the coefficient 0.5, the
ruptible load, the National Development and
load rate of 0.6 (the value of the experience gained
Reform Commission commissioned by the State
by the general air conditioning running), you can
Grid Corporation of China to carry out research,
get the 2012 Beijing air conditioning load which is
November 2011 Guo dian Tong organizations State
5070 MW.
In Shanghai, for example, Shanghai electric
power load is the cause of the sustained and rapid
economic development and people’s living stand-
ards continue to improve and to buy cooling prod-
ucts, caused by air conditioning load is a major
cause of electric power peak load to produce; The
temperature is damage the final determinant of
power load. According to statistics analysis, the
Shanghai summer air temperature at 30 °C above,
the temperature rise per 1 °C, about 240000 KW
load increases. But for days above 35 °C high tem-
perature, the heat accumulation of household, make
the lowest temperature at night will rise to more
than 27 °C, the growth of the load and speed will Figure 1. Networking diagram of the air conditioning
be faster. In smart grid as an example, according load empirical topics.
Table 1. Centralized control platform monitoring data.
2012 2012 2012 2012 2012 2012 2012 2013 2013

Category/date 06 07 08 09 10 11 12 01 02
Visual group 15.53 11.97 13.68 15.27 7.3 18.66 8.36 20.79 19.44
Control group 14.59 12.86 8.95 15.21 7.51 18.05 8.59 21.98 21.2
Base group 15.11 14.12 10.84 16.57 7.83 18.23 8.22 20.93 20.6
72

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

According to the data in Table 2, the control group
using intelligent power device remote shut down
air conditioning, during the period of peak power
grid under the premise of good agreement with the
user, more than 50% of the users meet the control
Figure 2. Power consumption comparison group were requirements for 30 minutes, the user cooperation
peaks when analyzing data. degree is higher.
Table 2. Air conditioning load change.
Category Unit 19:55 20:05 20:15 20:25 20:35 20:45
Control group kW 31.16 17.78 20.60 22.80 27.39 31.10

Visual group 31.03 28.50 27.71 28.65 26.34 30.19
Control group of air-conditioning % – 95.44 67.22 55.67 41.56 27.15
closing rate
Table 3. Empirical project data.
City Data entry Unit Base group Visual group Control group
Beijing Maximum load kW 39.53 37.46 32.88

Minimum load 4.85 4.83 5.04
Valley-to-peak 34.68 32.63 27.84
Load reduction rate – 6.82% 38.12%
73

According to the data in Table 3, after the to achieve the goal of energy conservation and
implementation of the regulation, control group emissions reduction.
of 40 families peak valley is 27.84 kW. Compared 3. Residents to actively participate in energy load
with the baseline group 34.68 kW and 32.63 kW of management strategies.
visual group have significant lower, load reduction Formulate relevant policies to encourage and
rate of 38.12%. guide the user to actively participate in electricity
Project results show: the effect of air-condi- power clipping. Under the guidance of the gov-
tioning load by implementing evidence-based ernment’s macroeconomic policy, government,
regulation, the regulation can effectively reduce air energy-efficient appliances manufacturers and
conditioning load during peak hours power peak- users consist of the three closed loop network,
ing pressure, improve power supply reliability and government policies and economic support,
service levels, and help users build load shifting energy-saving appliances manufacturers to pro-
consciousness. Prompting power grid load rate to vide energy-saving technologies and appliances,
increase, hair power distribution equipment utili- residential customers use energy-efficient appli-
zation to be improved, improvement in power grid ances and normal fees paid in the economic,
operation state. In narrow peak valley electricity at material level achieved within the loop.
the same time, reduce the line loss of power trans-
mission and distribution network, improve the
4.2 Residents air conditioning
economic benefit of the power grid operation as
load management objectives
a whole.
Air conditioning load management through the
implementation of the air conditioning load man-
4 RESIDENTS OF AIR CONDITIONING agement measures, from the viewpoint of power
LOAD MANAGEMENT MODEL industry in our country to realize the sustainable
RESEARCH development, not only can improve the efficiency
of energy use, effectively reduce the future demand
4.1 Residents general idea of air for energy, reducing energy consumption level, to
conditioning load management achieve power and the coordinated development of
environmental protection, is to achieve the devel-
With the rapid growth of air-conditioning load of
opment goal of building a moderately prosperous
the impact of the grid, the general idea of air con-
society in an all-round way, and is an important
ditioning load management is divided into three
part of national energy strategy.
areas:
For power grid at the same time, the effective
1. Strengthen macro-oriented government agencies. demand side management measures can reduce
In the energy air conditioning load under the peak load and increase the low power con-
the condition of serious damage to the power sumption, achieve peak shift, balanced load and
grid security, air-conditioning load manage- improve the effect of load curve, thereby increas-
ment requires the active participation of the ing the stability of power system operation and
whole, put forward the corresponding policies reliability, guarantee efficient grid economic
and regulations, formulate policy guidance, operation. Air conditioning load management is
under favorable circumstances of promoting an important measure to ease the power shortage
technology mature energy-efficient appliances situation, improve the efficiency of electricity use,
and intelligent home appliance. Meanwhile is a concrete manifestation of the scientific con-
countries need to actively encourage the devel- cept of development, the promotion of energy,
opment of advanced energy-saving technology economic, and environmental development of
to achieve strategic policy in line with national great significance.
development of advanced energy-saving
technology.
4.3 Residents air conditioning load
2. Energy-efficient appliances manufacturer
control and management methods
actively cooperate with the government of nega-
tive control strategy. 4.3.1 Residents air conditioning
The government needs to choose a home load control method
appliances with energy-saving technologies of The main reason for the air conditioning load
home appliances manufacturers in line with the caused by sudden changes in power curve is due
actual situation of load management strategy, to cooling and heating load required for residents,
by the implementation of load management cooling and heating load is always in dynamic
strategy can effective promote the use of intel- change, such as the outdoor environment and
ligent home appliances and help the government human status, real-time impact on the residents’
74

demand for air conditioning. General price guide management. for example, the Shanghai municipal
using the air conditioning load management, load government in the public electricity side control
control management and other means, to achieve measures adopted for the peak air conditioning
the load curve shape to be adjusted to achieve effec- load on government buildings, shopping malls and
tively reduce peak load electricity demand target. hotels, such as the use of central air-conditioned
Air conditioning load management has a direct places, take effective nodes to avoid the peak
load control, load control and contract interrupt measures; in the civilian side of the home air con-
request interrupt load control three types. ditioning production specifications, and guide
Direct load control, namely in the power sys- the rational use of public air conditioning; use of
tem load curve peak load period of time, through energy-saving air-conditioning; formulate relevant
electric power dispatching personnel issued policies to encourage and guide the user to actively
instructions, electric power marketing personnel participate in electricity clipping.
through to the construction of electric power com-
munication network, to direct jurisdiction area
4.4 Residents air conditioning
air conditioning load and electricity at any time.
load management impacts
Reduce peak load users typically involved large
consumption of electricity or air conditioning load The use of air conditioning load management can
into urban neighborhoods. reduce the high cost of peak load, delaying the con-
Contract interruptible load control, that means struction of new peaking units, thereby saving total
through incentives, according to the contract system operating costs, peak clipping reduced the
signed before, in the peak load curve segment, the peak period of purchasing electricity, while total
air-conditioning load control systems by directly operating expenses will also be reduced.
controlling the load dispatchers or after a direct According to the status constitutes a means
request user, interrupt the power supply. Users is of load and peak load shifting and other current
usually involved in contract the residents of the air analysis, the power company is still a lack of air
conditioning users. conditioning load, especially household air condi-
Request interrupt load control, that is registered tioner load control means, the government has not
in the area of the load control of air condition- yet associated with air-conditioning control poli-
ing use, through the information management, cies. Therefore, through the establishment of a cen-
user interruption to the area air conditioning load tralized air-conditioning load control monitoring
control request operation, new users can imple- platform will make up for the air-conditioning load
ment the air conditioning load control operation control means peaking blank, promoting effectively
to the negative control management, eventually to reduce the air conditioning load, to enhance the
perform corresponding compensation mechanism effectiveness and level of demand side management.
for the user. Thereby reducing the peak power grid companies
to cope with the growing burden of infrastructure
4.3.2 Residents air conditioning load management investment, to further improve the power grid load
Under the guidance of a unified government, factor and energy efficiency, but also for the gov-
through the development of “air-conditioning ernment to promote energy conservation, to deal
load management approach” and other policy with high energy consumption caused by environ-
objectives, to achieve joint air conditioning man- mental pollution and energy waste provides a new
ufacturers and air conditioning units of energy- one kind control means in order to achieve the
saving technologies, users of air conditioning for overall energy saving environment.
the promotion of energy-saving air-conditioning
products.
In the current market as a whole and residents 5 ECONOMIC ANALYSIS
under the condition of using air conditioning, air
conditioning load management generally adopt From a macroeconomic perspective, the air condi-
specific measures as follows: Air conditioning tioning load management in electric power market
load management policy measures; Encouraged is one of the effective measures to alleviate the con-
to promote energy-saving air conditioning, intel- tradiction between supply and demand of electric
ligent air conditioning and new energy-saving air power, but also an important part of electricity
conditioning technology; encourage and guide the demand management. Load management can not
power user involved in the promotion of the use only achieve peak shift and optimization of load
of air conditioning electricity clipping; through the curve, improve the utilization rate, but also bring
government regulation and achieve tripartite joint corresponding economic benefits.
research on air conditioning load management; Load management has great cost effectiveness,
Achieve the ultimate goal of air conditioning load through the load management realize load saving
75

benefit, realize load energy saving benefit at the management of economy, technology and admin-
same time. Potential savings are greater than the istrative means, realize the effective management
savings load efficiency, economic and environ- of air conditioning load, to achieve effective
mental benefits more significant. Electricity load management of air conditioning load, which can
by load management optimization to improve the effectively alleviate the shortage of electricity sup-
rate of electricity load, thereby reducing transmis- ply contradiction to ensure grid smooth and safe
sion and distribution losses, improve the operating operation, but also to optimize the power con-
efficiency of the transformer to improve power sumption, improve energy efficiency, promotion of
generation efficiency of the generator set. To energy-saving appliances and expanding domestic
enhance the efficiency of power generation, trans- economy. To build a conservation-minded society,
mission and distribution means that the whole achieve the optimal allocation of power resources
power system loss reduction. and the sustainable development has a far-reach-
According to statistics, Beijing residents about ing influence.
6.2 million subscribers for air conditioning, cal- Supported by the National High Technology
culated according to full coverage cooperation Research and Development Program of China
degree is 25%, calculated is 1.55 million house- (863 Program): 2011AA05A117.
holds, household air-conditioning to reduce peak
load 1.89 W, according to a degree of 90 days
calculated in summer, air conditioning regula- REFERENCES
tion can reduce peak power load 265000 kW, save
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9.275 million Yuan, can reduce a 110 KV sub- real-time intelligent power consumption of electric-
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manufacturers to achieve product sales, boost- China Electric Power University (Natural Science),
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electronics market space, at the same time to the ing load calculation methods and its application [J];
people’s normal life and living environment has Demand Side Management 2005.04.
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the smart grid for voltage support using agent-based
technologies [J]. IEEE Trans on Smart Grid, 2011,
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conditioning load management and user friendly [7] Pedrasa A., Spooner D., Macgill I.F. Coordinated
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load control of the important means and key link. Trans on Smart Grid, 2010, 2(1): 161–168.
Through intelligent air conditioning load manage- [8] Negenborn R., Houwing M., Schutterr D.B., et al.
ment realized the decline of the peak load of power Adaptive prediction model accuracy in the control
grid, effectively reduce the power grid operation of residential energy resources [C]. Proceedings of
economic investment, greatly reducing the grid 2008 IEEE International Conference on Control
Application. Pisa, Italy: IEEE, 2008: 311–316.
infrastructure investment and reduce energy sec- [9] Haasr, Nakicenovic N., Ajanovic A., et al. Towards
ondary pollution from emissions. sustainability of energy systems: aprimer on how to
Therefore, attaching great importance to the apply the concept of energy services to identify nec-
intelligent air conditioning load to power grid secu- essary trends and policies [J]. Energy Policy, 2008,
rity, stability, the influence of the economic opera- 36(11): 4012–4021.
tion, utilization of electric power demand side
76

Multi-objective optimized scheduling for hydro-thermal power system
W.J. Liu
School of Electrical Engineering, Guangzhou College of South China University of Technology,
Guangzhou, China
P.F. Cheng
Power Company of Fushun, Fushun Liaoning Province, China
ABSTRACT: This paper puts forward a multi-objective optimization model which can make the coor-
dination among economy, energy saving and environmental protection, in order to improve the combina-
tion property of hydro-thermal power system with cascade hydro plants. The multi-objective optimization
problem is difficult to solve, on the one hand is because the targets are conflicting, on the other hand is
because the weight coefficient of the target is difficult to determine, therefore, using the satisfaction func-
tion and Euclidean distance function to normalize the three targets, then using improved Particle Swarm
Algorithm (DPSO) to optimize. An example with 8 cascade hydroelectric plants and 10 thermal plants
was executed, the simulation results show that in scheduling period, the hydropower station affords larger
power output, instead of coal-fired power, reducing the coal consumption and pollutant emissions.
Keywords: hydro-thermal power system; optimization scheduling; multi-objective; improved PSO
1 INTRODUCTION cascade hydroelectric plants and 10 thermal plants

was executed to verify the correctness of the mod-
Energy shortage needs the electric power indus- els and the effectiveness of the arithmetic.
try improve efficiency, realizing the maximize
utilization of resources. Only pursue power
system economic dispatch already can’t satisfy 2 MULTI-OBJECTIVE
the requirements, multi-objective optimization OPTIMIZATION MODEL
scheduling[1–3] become the current research hot
spot. Conventional algorithms for processing 2.1 Objectives
high-dimensional multi-objective optimization of Here, we establish three objectives function,
hydro-thermal have certain limitations, people turn cost-minimized, emission-minimized and water
to the intelligent optimization algorithms, such as consumption-minimized.
genetic algorithm[4], particle swarm algorithm[5],
because they have faster convergence performance ⎧ T NT T NT
and higher convergence precision. Standard PSO ⎪min f1 ∑ ∑ fc (P
( Pt ,i ) ∑ [a
[ ai ( t
,i )
2
bi PTt ,i + ci ]
can effectively optimize the single objective prob- ⎪ t =1 i =1 t 1 i =1
lem, then people usually adopt weight coefficient, ⎪ T NH
⎪
goal programming method or other method con- ⎨min f2 ∑∑ WGt , j
vert multi-objective problem into single objective ⎪ t =1 j =1
problem to optimize. These processing methods ⎪ T NT T NT
need to have strong prior knowledge, cannot effec- ⎪min f ∑∑ E ( PT,t j ) ∑ ∑ (α j PT,t,j2 + β j Pt j + γ j )
⎪⎩ 3
t =1 i =1 t =1 i =1
tively response the actual operation situation.
Considering various factors, this paper puts for- (1)
ward multi-objective model coordinate energy-sav-
ing, water resources and environmental protection. where t is time index, T is scheduling period;
Using the satisfaction function and Euclidean dis- f1 is total coal consumption(t), f2 is total water
tance function to normalize three objective func- consumption(m3), f3 is total pollutant emissions(t),
t
tion with different dimensions, avoiding artificial WG, j is the water consumption of hydropower
factors, and then adopt the improved PSO to opti- station j at time t(m3); NH , NT is the number of
mize the goal after processing. An example with 8 hydropower station and thermal station.
77

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

where t is iteration, w is inertia factor, decide the
t search capabilities of particle; c1, c2 is learning fac-
QG, j QG j ≤ QG , j (j 2 NH ; t T )
tor, usually, c1 = c2 = 2, c1 is the learning ability of
(6) particle itself, c2 is the ability of particle exchange
6. Hydropower plant spillage limits information with other particles; r1, r2 is random
number between[0, 1].
0 ≤ S tj ≤ S tj max For standard PSO easy to fall into local optimal
(7)
solution and other defects, using the way of linear
decrease inertia weight, then the algorithm with
dynamic self-adaptive can converge to the optimal
3 MULTI-OBJECTIVE OPTIMIZATION solution quickly[6].
ALGORITHM Inertia weight linear decrease
3.1 Multi-objective processing
t (wmax wmin )
First, processing the single objective, and unify w(t ) = wmax − (11)
tmax
each objective to one standard with formula (8),
then work out the satisfaction function of each
objective. where wmax is maximum of w, wmin is minimum of
w, usually, wmax = 0.9, wmin = 0.4; t is current itera-
fi x ) − fi ,opt x ) tion; w(t ) is the inertia weight when the number
ϕi (x ) = i 1, 2, …, m (8) of iteration is t, tmax is the maximum number of
fi , x ) − fi ,opt x ) iteration.
78

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

Power Installed Average coal
plant capacity aj bj Pj min Pj max Consumption
no. [MW] [×10−5t/MWh2] [t/MWh] cj [t] [MW] [MW] [g/kWh]
1 2 × 600 0.3 0.27 13.70 300 1200 298

2 2 × 600 1.4 0.26 14.50 300 1200 291
3 2 × 300 6.1 0.28 6.35 150 600 329
4 2 × 600 0.8 0.27 14.10 300 1200 297
5 2 × 125 3.3 0.31 4.64 62.5 250 356
6 2 × 360 1.6 0.29 6.81 180 720 318
7 2 × 330 0.3 0.31 6.74 150 600 319
8 2 × 200 2.1 0.30 5.42 100 400 335
9 2 × 330 1.5 0.30 6.77 165 660 322
10 2 × 135 4.9 0.31 5.04 67.5 270 353
Table 2. Parameters of emissions.
Power plant no. αi [t/h] βi [t/MWh] γi [t/MWh2]
1 0.0531 0.0355 0.0333

2 0.0423 0.0509 0.0459
3 0.0254 0.0605 0.0564
4 0.0236 0.0412 0.0438
5 0.0619 0.0556 0.0515
6 0.0164 0.0222 0.0260
7 0.0263 0.0591 0.0558
8 0.0210 0.0132 0.0148
9 0.0307 0.0288 0.0277
10 0.0163 0.0212 0.0256
79

Table 3. Basic parameters of cascade hydropower stations.
Power Maximal Minimal Maximal Minimal Initial

plant power output power output reservoir volume reservoir volume reservoir volume Water
no. [MW] [MW] [× 108 m3] [× 108 m3] [× 108 m3] head [m]
1 1200.00 405.20 102.57 25.99 83.95 110.70

2 1320.00 730.00 0.88 0.08 1.46 176.00
3 405.00 126.90 2.78 1.84 2.21 34.00
4 4200.00 1234.00 164.00 50.60 111.10 125.00
5 1210.00 242.00 33.50 10.40 22.00 60.80
6 566.00 201.00 9.64 2.84 6.54 22.00
7 192.00 123.00 3.40 0.65 2.00 9.70
8 600.00 213.40 9.50 3.56 6.02 19.5
Table 4. Situation of system loads in scheduling periodic.
Time Load Time Load Time Load Time Load Time Load Time Load
[h] [MW] [h] [MW] [h] [MW] [h] [MW] [h] [MW] [h] [MW]
1 7200 5 8600 9 11500 13 12200 17 12000 21 9800

2 7400 6 9500 10 11900 14 11300 18 11600 22 9600
3 7600 7 9700 11 12000 15 12300 19 11300 23 9200
4 8000 8 11000 12 12300 16 12400 20 10000 24 9000
Table 5. DPSO/Std.PSO arithmetic parameter.
DPSO Std.PSO
Parameter Value Parameter Value
Particle number 100 Particle number 100

w w(t) w (0,1)
c1 2 c1 2
c2 2 c2 2
Iteration 500 Iteration 500
Figure 2. Power output of thermal power plants.
station is lower than other power plants, and

one of the goal is to pursue the minimum coal
consumption of thermal power generation,
therefore, the units with lower coal consump-
tion rate and large capacity should assume
larger output which can effectively reduce the
coal consumption amount, thus reducing emis-
sions of pollutants.
3. It can be seen from Table 6, with the total
load settled, the water consumption, coal
consumption and pollution emissions solved
Figure 1. Power output of cascade hydropower stations. by improved algorithm are lower than them
80

For solving multi-objective optimization model,
the objective function without the need for the
determination of weighting coefficients, using
Euclidean distance and satisfaction function on
different dimensions and conflicting objectives
normalized to simplify the solution process.
For containing multi-dimensional constraint,
a large, complex nonlinear problem solving,
improved PSO has higher accuracy and faster con-
vergence speed and better accuracy than standard
particle swarm algorithm.
ACKNOWLEDGEMENTS
Figure 3. Optimal scheduling of hydrothermal com-
bined system. Firstly, I would like to express my heartfelt grati-
tude to my friend Pengfei Cheng, he give me many
Table 6. Dispatch results. ideas.
Second, I would like thank for Guangzhou Col-
DPSO Std.PSO lege of South China University of Technology and
the project “Student Research Plan:The optimiza-
f1 [×104t] 3.310 3.432 tion scheduling and benefit evaluation for wind
f2 [×108 m3] 5.534 5.613 and Hydro-thermal Power System, JY140635.”
f3 [×105t] 1.136 1.178 Last but not the least, my thanks would go to
The total output of hydropower 1.3810 1.3676 my students who helped me make the program. It
stations [×105MWh] took them a year spare time to make the program
The total output of thermal 1.0245 1.0492 and help me write the thesis.
power plants [×105MWh]
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81

An optimal space-borne Solid-State Recorder based on domestic chips
S. Li & Q. Song
National Space Science Center, Chinese Academy of Sciences, Beijing, China
University of Chinese Academy of Sciences, Beijing, China
J.W. Song, W. Wang, Y. Zhu & J.S. An

National Space Science Center, Chinese Academy of Sciences, Beijing, China
ABSTRACT: This article describes the design and implementation of a novel space-borne Solid-State
Recorder (SSR) by domestic chips which have never been used in space environment. Currently, the for-
eign high-grade chips embargo seriously restricted the development of China’s space cause. The attempt
of domestic chips in this field will change the situation. The domestic chips include a radiation hardened
CPU and three types of 3D package radiation-hardened memory chips. The structure of novel SSR is
CPU + FPGA + main storage area. The main storage area, which has the capacity of 512 GB, is made of
eight pieces of 64 GB NAND FLASH. FPGA and CPU are connected by a PCI bus, which increase the
speed of commands and state signal. The SSR is designed for a satellite and the system cascade tests with
19 payloads are finished. Its throughput is 300 Mbps and can be raised to 1 Gbps and the power is no more
than 5.4 W. Its capacity can be expanded to TB by PCI. The result shows that the SSR meets the require-
ments of practical application and the performance of which can compete with imported components.
Keywords: NAND FLASH; PCI; SSR domestic chips
1 INTRODUCTION a high-capacity storage system. Shijian-5 satellite

used SDRAM which has 64 Mbits of one chip, to
The storage system is an important component produce a 512 Mbits SSR. After that, the SDRAM
of a modern electronic system, especially in the is widely used in the space-borne SSR, for exam-
field of communications, radar and aerospace[1]. ple the series of Shenzhou. The largest SSR with
The data transmission system is the most impor- SDRAM used in space is 48 Gbit of single module,
tant link in satellite communication, whose most but it is not enough for the increasing demand of
important unit is the storage system. With the space exploration. Recently, with the rapid devel-
rapid development of China’s Space Cause, the opment of the NAND FLASH technology, it has
demand for storage system is rising. The payload the advantages of non-volatile, higher storage den-
for space surveillance, earth observation and space sity, lower cost and lower power which give it wide
exploration in the future will produce more and options to replace the SDRAM to obtain the pow-
more high-speed and high-definition data, so a erful states in the field of space memory.
high-throughput and large-capacity space-borne Because of the embargo of the space-grade,
storage system is needed. radiation-tolerant chips such as anti-radiation CPU,
Initially, a space-borne storage system was made of the developed countries, the development of
by tape drives. With the increase in integration China’s Space Cause has been held back for many
density of semiconductor memory chips, a space- years. Research on the domestic high-performance
borne storage system entered the age of Solid-State chips could meet the increasing demand of space
Recorder (SSR). The SSR used electronic compo- exploration tasks and enhance the security and reli-
nents to do all the operation instead of mechanism ability of our equipment. Developing and shows our
components[2],[3], so it is stable when hit, struck and own intellectual property rights especially in the field
shocked which is a notable advantage for applica- of space exploration, which could break the block-
tion in the field of space exploration. The earli- ade on techniques, means a lot to our country. We
est SSR in China is the SSR of Shijian-4 satellite, designed a high-speed SSR with mostly of domestic
which is composed of SRAM to attain a capacity chips, which could reach 1 Gbps and 512 GB capac-
of 2 Mbits. For the limited technology and high ity of one module. The capacity and throughput of
cost of SRAM, the storage density is so low to form whole SSR could be extended by PCI.
83

2 HARDWARE DESIGN used is a high-performance application processor
SOC based on LONGSON-1 processor[7]. It con-
2.1 The characteristic of domestic memory chips tains interrupt controllers, timers, RS232 serial
port controller, floating-point processor, PCI and
Currently, the mainstream chips used in SSR are some memory interface supporting SDRAM and
SDRAM and NAND FLASH. NAND FLASH Flash ROM. The internal frequency is 50 MHz,
chips have the largest memory density, while the while the external frequency is 100 MHz fixed
access time of SDRAM is the least among main- point 300 MIPS and floating-point 50 MIPS. To
stream space-borne memory chips. In our design, make it competent for use in the radiation harsh
we combine the two chips to achieve a high-speed environment, it has been fastened in modules. It
SSR with large capacity. In space, there are a great can stand the anti-radiation dose not less than
number of high energy particles due to which Total 168 krad, and the single particle lockout threshold
Ionising Dose (TID), Single Event Upset (SEU), of it is not less than 74 Mev ⋅ cm2/mg[8]. Therefore,
Single Event Latch up (SEL), single event func- it is qualified for satellites in all orbits.
tional interrupt, single event burnout, single event
transient and displacement damage[4] will have a
great influence on the performance of memory 2.3 Hardware design
chips. Space-borne chips must do some measures
Large-capacity storage system can be classified
against the effect. We use the chips produced by
into five modules, which are the storage mod-
Zhuhai Orbita Company. Table 1 shows the anti-
ule, the FPGA module, the computer module,
radiation property of the used memory chip which
the external interface module and buffer module,
is NAND FLASH (VDNF64G08-F), SDRAM
according to module’s function. The storage mod-
(VDSD3G48) and EEPROM (VDEE8M08).
ule is made of NAND FLASH. We use four chips
As the cost of sending a satellite into the
to do 32-bit parallel operation. The buffer module
space is rather huge, the space-borne equipment
is made of SDRAM. When data come in, they will
needs high integration. Zhuhai Orbita used 3D
be stored into SDRAM first, then transfered to
technology[5] to form one high integration chip
NAND FLASH at spare time of SDRAM. NAND
with many dies. The core memory chips in SSR
FLASH runs in 32 M clock while SDRAM runs
are NAND FLASH VDNF64G08-F. It is packed
in 64 M clock, which will enable the system get
with eight pieces of 8G NAND FLASH die to
1 Gbps throughput.
attain the capacity of 64G for one chip. It looks
The CPU module is made of LONGSON,
like a golden cube. The eight pieces in one cube
SDRAM and EEPROM, which is the core of the
share the I/O bus, power but have independent CE,
system. To make the system core reliable enough,
CLE, ALE, RE, WE.
the chips are all of anti-radiation. Moreover, the
error detection and correction are employed.
2.2 The characteristic of domestic CPU
The interface module is a key factor which will
For the embargo of high-performance CPU, the affect the versatility of the whole system. We have
CPU of most of the SSR in use is low-end products. done research on all tasks in the recent 5 years and
The highest product among most commonly used conclude the commonly used interfaces. The SSR
CPU is ERC32 with SPARC V7 core, which can needs interface to transfer data both in low-speed
only operate at 25 MPIS[6]. The CPU we use is and high-speed, and the bus interface to commu-
called LONGSON, which is designed towards the nicate with the external control unit of a whole
space application with forward design and has got system. The command and logic information of
intellectual property rights. The LONGSON we storage area are all from the bus, so it must be
Table 1. The anti-radiation property table of memory chip.
Largest
access
Specification Capacity TID NO SEL NO SEU X section Temperature time (ns)
VDNF64G08 64 G 50 kRads 50 Mev ⋅ cm2/mg 5 Mev ⋅ cm2/mg 7E−11 −55–125 ºC 25

VDSD3G48 3G 50 kRads 80 Mev ⋅ cm3/mg 2 Mev ⋅ cm2/mg 3E−11 −55–125 ºC 7.5
VDEE8M08 8M 50 kRads 80 Mev ⋅ cm /mg Read 25 Mev.
6 Read 1E-5/ −55–125 ºC 250
cm2/mg/ write 5E-4
write 10 Mev ⋅
cm2/mg
84

scheduling algorithm, and the same priority tasks
will be operated in the round-robin scheduling
algorithm. The software is designed for a real task
which will be sent to space in 2016. The main func-
tion of the management software includes the four
points below:
1. External bus communication management: com-
municates with the external control unit, receives
control commands and resolves it, does long
hold cycle test, checks the time with the whole
system, sends engineering parameters of SSR.
2. Storage Management: allocates new address for
the storage area, gives the playback command,
records the information of writing and play-
Figure 1. Functional block diagram of SSR.
back, sends erase command, manages the Bad
Block Table (BBT) for SSR.
3. Clock management: system auto-time determi-
very reliable. The dual redundant bus 1553B is used.
nation and system automatic correcting time.
In our design we use LVDS as a high-speed data
4. System maintenance: system initialisation, tis-
interface, RS422 as a low-speed data interface.
sue engineering parameters, feed the dog.
Within the SSR itself, the FPGA module will
have a lot of communication with the CPU module. The relationship between the various functional
The CPU module will resolve all the command modules is shown in Figure 2.
from the external control unit of the whole sys- The software will auto-set some related regis-
tem, and does logic management including address ters to ensure the system could boot with a stable
allocating, playback check, bad block manage- environment. The related registers will be extracted
ment and so on, for SSR. The FPGA module is from the BBT, so it will read the storage area by
responsible for all timing control of all the hard- inquiry. FPGA will gather the information in spare
ware operations in SSR. To some extent, the CPU area of NAND FLASH and send it to CPU mod-
module is the software core and the FPGA module ule for it to organise a BBT. The initialisation end
is the hardware core of the SSR. There must be command will be sent after the valid block number
many information interaction between the two, is got by the CPU. After initialisation, the software
so the bus connecting them would decide the will enter the main circle by itself. It will be run in
efficiency and flexibility of the SSR. The PCI is a the circle until a command arrives. When it gets the
local computer bus for attaching hardware devices writing command, it will search the BBT to allo-
in a computer. PCI is an initialism of peripheral cate a valid block for new data to be stored. After
component interconnect[9] and is part of the PCI one block is finished, a state register of NAND
local bus standard. The PCI bus supports the func- FLASH would be checked to verify whether the
tions found on a processor bus, but in a standard- data are stored well. If it is stored well, the infor-
ised format that is independent of any particular mation of the block will be remembered in CPU to
processor’s native bus. Devices connected to the form a Block Access Table (BAT). When the play-
PCI bus appear to a bus master to be connected back command is obtained, it will search the BAT,
directly to its own bus and are assigned addresses locate the target data stored block and sends the
in the processor’s address space[10]. It is a parallel address to FPGA module. When the erase com-
bus, synchronous to a single bus clock, which could mand is obtained, it will check the address with
reach the speed of 132 Mbps[11]. Figure 1 shows the the BBT to avoid erasing a bad block for it may
functional block diagram of SSR.
3 SOFTWARE DESIGN
SSR management software is designed based

on VxWorks, an embedded real-time operating
system. The application implementation process is
realised in the form of the operating system tasks.
Vxworks is a kind of preemptive real-time kernel
operating system, commonly used in satellites[12].
Vxworks operate the tasks by the priority Figure 2. The relationship of each module.
85

The actual playback speed can reach higher,
but the transmit speed of the transmitter unit is
150 Mbps. It is no sense to reach so much high. The
capacity and throughput also could be enhanced
by adding more modules.
5 CONCLUSION
The design proposed in this article is a high-speed,

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

Research Program’ of the Chinese Academy of
Sciences under Grant No. XDA04060300.
REFERENCES
Figure 3. Functional block diagram of SSR.
[1] L. Lei. Design and implementation of a multiple-
function storage system based on NAND FLASH.
Table 2. System parameters.
Beijing Institute of Technology. Beijing. 2008.
[2] Zhu Zhibo. Design of high speed and mass storage
Parameters Indicators
system based on NAND FLASH [J]. Modern
Size 6U electronics technique, 2011, 34(8):170–173.
[3] Song Jie, He You, Tang Xiaoming. The ultra-high
Power <5.5 W
speed radar signal real time acquisition and storage
Capacity 512 GB system based on FPGA [J]. Application of elec-
Throughput 1 Gbps tronic technique, 2005(11):18–20.
The actual playback speed 300 Mbps [4] Ningfang Song, Mingda Zhu, Xiong Pan.
Experimental Study of Single Event Effects in
SRAM—Based FPGA. Journal of Astronautics.
break the initialisation information for SSR. All 2012, 33(6):836–842.
[5] Said F. Al-sarawi, Derek Abbott, Paul D. Franzon.
the operations done by the FPGA module will pro-
A review of 3-D packaging technology, IEEE
duce an interrupt to inform the CPU module. The Transactions on Components, Packaging and
workflow of the management software is shown in Manufacturing Technology. 21(1998):2–14.
Figure 3. [6] Z.Y. Wang. The application of domestic CPU in
space computer. Chinese Academy of Sciences
National Space center. Beijing. 2006.
4 TEST AND ANALYSIS [7] McCollum, J. ASIC versus antifuse FPGA
reliability[C]. Big Sky, MT: Aerospace conference,
This SSR has been used as a storage system in 2009 IEEE, 2009:1–11.
a satellite. So far, the unit test and system cas- [8] LONGSON processor user manual. LONGSON
cade test have been completed. The test results Branch Technology Co., Ltd. 2011.07.
are good. In the test the completed core features [9] http://www.webopedia.com/TERM/P/PCI.html.
are BAT table read, update BAT after bad block [10] Hamacher et al (2002), Computer Organization,
5th ed., McGraw-Hill.
occurs, reading, writing, erasing at the same time.
[11] PCI Special Interest Group. PCI local bus
In this satellite the SSR is designed to receive data specification [J]. Kluwer Academic Publisher, 2001,
from 19 payloads in the two tanks. The playback 2(3).
data will transmit to the transmitter unit. The [12] Zhang Zengji. Design of Center Control Software of
system parameters and test results are shown in an Airborne SAR Based on VxWorks [J]. Industrial
Table 2. Control Computer, 2012(25(9)):3–6.
86

Study on additional damping controller for VSC-HVDC

to prevent low-frequency oscillation
Z.H. Wang & Y. Li

School of Electrical Engineering, Northeast Dianli University, Jilin Province, China
X.Y. He
State Grid Liaoning Electric Power Supply Co. Ltd., Liaoning Province, China
ABSTRACT: In this paper, an additional damping controller for VSC-HVDC with the structure of sin-
gle input and single output is presented. Choosing active power order of VSC-HVDC as input and active
power transferred on parallel AC line as output, the simplified opened-loop transfer function between
input and output is derived by Prony identification. Then the damping controller is designed by closed-
loop pole placement. The model of VSC-HVDC system utilizing additional damping controller is con-
structed, and the time-domain simulation analysis of an example of accessing the VSC-HVDC model is
carried out. The simulation results show that AC system damping for low-frequency oscillation is obvi-
ously increased and operation stability is improved.
Keywords: VSC-HVDC; additional damping controller; Prony identification; low-frequency oscillation
1 INTRODUCTION 2 BRIEF DESCRIPTION OF THE STUDY

SYSTEM
VSC-HVDC can fast and flexibly control active
power transferred, meanwhile it can dynamically Taking an example from reference [5] based on
compensate reactive power to AC bus and stabilize LCC-HVDC, the single line view of the study
AC bus voltage [1–3]. This can provide necessary system is shown in Figure 1, where a single gen-
reactive power support. Also this realizes optimal erator is connected to the infinite bus by VSC-
regulation of power flow during normal opera- HVDC and parallel AC line. In normal condition,
tion, rapid and emergent power support within the station 1 adopts active power control mode and
AC system and isolate fault for limiting extension reactive power control, and station 2 adopts DC
of accident. Meanwhile, the VSC-HVDC system voltage control mode and reactive power control.
could enhance the controllability and anti-distur- Utilizing dynamic adjusting loop and amplitude
bance ability to improve operation stability. limiter, which is the so-called damping control,
Prony identification is a method of solving sys- is an effective control strategy to prevent power
tem model by time-domain response data. Appli- oscillation [6–7]. Figure 2 shows that, the Pm in
cation of this method has covered several areas active power controller is a disturbance reference
such as measured data analysis of power system, value added when considering system oscillations.
on-line stability control and parameters design of It is added with stability order Pset for preventing
power system stabilizer. Therefore, it promises a power oscillation, improving the static stability of
good prospect of application [4].
This paper presents an additional damping
controller for VSC-HVDC to increase AC sys-
tem damping for swing and to improve operation
stability. The paper will first give a brief descrip-
tion about the study system. Following that the
damping controller for VSC-HVDC is designed
based on Prony identification and pole placement.
Finally, the time-domain simulation is used to
verify the effectiveness of the additional damping
controller. Figure 1. Single line view of the study system.
87

Figure 3. Closed-loop system between Pset and Pac.
Figure 2. Active power control of VSC-HVDC.

2. When the expected dominant pole is selected
as λ0, the time constant of phase compensation
is determined by Equation (3). The estimated
AC system and providing emergent power support value of damping controller gain is equal to
to keep AC system stable after disturbance. k/|G′(s)|,
3. Repeat Prony identification process after
damping controller configuration, and adjust
3 DESIGN OF ADDITIONAL DAMPING damping controller gain based on identifica-
CONTROLLER FOR VSC-HVDC tion results until the Prony identification pole
of closed-loop system is approximate to the
As shown in Figure 3, the opened-loop transfer expected pole λ0.
function between the VSCs active power set point
Pset and active power Pac transferred on parallel
AC line is represented as G(s), and the transfer 4 THE RELATIONSHIP BETWEEN DC
function of damping controller is represented as POWER FLUCTUATION AND DC
H(s). VOLTAGE FLUCTUATION
The closed-loop transfer function Gc(s) can be
expressed as When the AC system is disturbed, the DC power
G (s) regulation gives rise to DC voltage fluctuation, for
Gc ( s ) = . (1) which there is risk of overvoltage and overcurrent
1 − G ( s )H ( s ) for VSC-HVDC. To avoid this problem, an ampli-
tude limiter is required to limit the output of addi-
Based on the method of pole placement, if the tional damping controller. The maximum value
expected pole is selected as λ0, the amplitude and and minimum value of limiter can be determined
phase of H(s) at λ0 should satisfy the following by the relationship curve between DC power fluc-
equations tuation and DC voltage fluctuation.
By adding DC power fluctuation of sinusoidal
H ( λ0 ) G ( λ0 ) (2)
form with different amplitude to Pset, the corre-
arg [ H ( λ0 )] arg [G ( λ0 )]. (3) sponding DC voltage fluctuations can be measured
as shown in Figure 4. Using the relationship curve,
Then the damping controller is designed and the maximum value of DC power fluctuation is
tuned based on Equations (2) and (3). about ±17% on the condition that the maximum
The steps of utilizing Prony identification and allowable DC voltage fluctuation ±5%.
pole placement for additional damping controller
design are as follows:
5 SIMULATION ANALYSIS
1. Applying a short narrow pulse, whose Laplace
transform value is approximate to k, to the In order to verify the effectiveness of additional
input Pset, the simplified transfer function G′(s) damping control, time-domain simulation model
is derived by Prony identification of Pac output of an example as shown in Figure 1 is constructed
response, which is in Matlab/Simulink.
p Utilizing the damping controller for VSC-HVDC
bi
G′′( s ) = ∑ . (4) with structure of single input and single output, as
i =1 s − zi shown in Figure 5, the expected dominant pole is
selected as −0.20 ± j6.60. Therefore, the correspond-
Since the input is a non-ideal shock input (the ing oscillation frequency is equal to 1.05 Hz and
Laplace transform value of ideal shock input damping ratio is about 3.13%. Based on this, the
is equal to 1), the gain of real system model is parameters of damping controller are as follows:
k times to that of identified system model. T1 = 10, T2 = 10, T3 = 0.55, T4 = 0.2, K′ = 0.25.
88

Figure 4. Relationship curve of DC power fluctuation
and DC voltage fluctuation.
Figure 5. Additional damping controller for VSC-

HVDC.
Figure 7. Simulation results of generator power angle,
AC line active power and DC bus voltage.
black line represents the condition with damping

controller activated. Figure 7a,b shows that the
generator power angle and AC line active power
can rapidly recover to steady state. The DC bus
voltage of VSC-HVDC, as shown in Figure 7c, is
maintained well during DC power regulation. It is
concluded that additional damping controller for
VSC-HVDC can effectively increase system damp-
ing for active power oscillations in the AC system
and improve operation stability.
6 CONCLUSION
A simulation model of the VSC-HVDC integrated

Figure 6. The DC power and its reference of VSC- into a simple power system with single generator
HVDC in different conditions. and infinite bus is built in the Matlab/Simulink
environment. The additional damping controller
based on Prony identification is constructed and
applied to the VSC-HVDC system. Two condi-
Under steady state, the VSC-HVDC only transfers tions with the damping controller activated and
nominal active power. At t = 5 s, a three-phase fault inactivated are simulated. Simulation results show
is applied to bus i, lasting for 0.1 s, to lead to active that the VSC-HVDC can provide flexible power
power oscillation. The conditions with the damping support with no static error, so that AC system
controller activated or inactivated are simulated. damping for active power oscillation is increased
In Figure 6, the red line represents DC power ref- to improve system operation stability.
erence while the measured DC power is shown in
black. As can be seen from the graphs, the DC power
of VSC-HVDC can track its reference fast and REFERENCES
accurately. Figure 6b also shows that the amplitude
limiter of damping controller is functioned in early [1] Y.H. Li, J.Y. Yang, J.H. Zhang. Application of VSC-
stage of DC power regulation after disturbance. HVDC in Urban High Voltage Power Network.
In Figure 7, the red line represents the condi- Power System and clean Energy, Vol. 25, No. 8 (2009):
tion with damping controller inactivated while the 14–18.
89

[2] G.B. Zhang, Z. Xu, G.Z. Wang. Steady-state Model [5] Kunder P. Power System Stability and Control. New
and its Nonlinear Control of VSC-HVDC System. York: McGraw-Hill Inc, 1994, 777–781.
Proceedings of the CSEE, Vol. 22, No. 1 (2002): [6] Preece R, Almutairi A.M, Marjanovic O. Damping
17–22. of Inter-Area Oscillations Using WAMS Based Sup-
[3] G.F. Tang. High Voltage Direct Current Transmission plementary Controller Installed at VSC based HVDC
Based on Voltage Source Converter. Beijing: CEPP, Line. IEEE Power Tech. Conference, Trondheim,
2010. 2011.
[4] C. Zheng, X.X. Zhou. Small Signal Dynamic Mod- [7] W. Yao, J.Y. Wen, S.J. Cheng. Design of Wide-Area
eling and Damping Controller Designing for VSC Supplementary Damping Controller of SVC Consid-
Based HVDC. Proceedings of the CSEE, Vol. 26, ering Time Delays. Transactions of China Electrotech-
No. 2 (2006): 7–12. nical Society, Vol. 27, No. 3 (2012): 239–246.
90

Lightning surge analysis for 220 kV AC double circuit

transmission line using LPTL
Y. Ma
Laboratory of State Grid, Jiangsu Electric Power Research Institute, Nanjing, Jiangsu Province, China
C.S. Liu
Huazhong University of Science and Technology, Wuhan, Hubei Province, China
Y. Liu, G. Chen, T.X. Xie, Z.C. Zhou & F.B. Tao

Laboratory of State Grid, Jiangsu Electric Power Research Institute, Nanjing, Jiangsu Province, China
ABSTRACT: In order to analyze the main factors that influence lightning back flashover performance
of 220 kV double-circuit AC transmission lines on the same tower and guide lightning protection renova-
tion work, a lightning back flashover simulation model of double-circuit AC transmission lines on the
same tower is established by using lightning protection calculation tool ‘LPTL’ in this paper. In the model,
equivalent tower of wave impedance model with multi-conductor parameter distribution is utilized, and
leader method is using to judge the insulator string flashover as insulator flashover criterion. The light-
ning back flashover level and back flashover trip-out rate are calculated to analyze the influence of tower
height, ground resistance and soil resistivity on the tower back flashover performance, and then, a case
analysis of lightning trip-out is conducted by using LPTL. The results show that these factors have a great
impact on the performance of the tower lightning protection.
Keywords: double-circuit transmission lines on the same tower; lightning protection performance;
LPTL; simulation model
1 INTRODUCTION are more prominent [4] [5]. Therefore, an accu-

rate assessment of the performance of a 220 kV
Overhead transmission line is an important part double-circuit transmission line on the same tower
of China’s electric power system, and its state is critical to ensure safe and stable operation of the
determines whether the power system can operate power grid.
safely, reliably and stably. According to statistics of Based on transmission equipment lightning pro-
China’s high voltage transmission lines accident, tection calculation tool of Jiangsu Electric Power
transmission line trip-out accidents account for Corporation (hereinafter referred to as ‘LPTL’), a
about 40%–70% of total lines trip-out accidents double-circuit transmission line tower with counter
[1–3]. Accidents caused by lightning have become simulation model is established, and factors sensi-
one of the major failures of transmission lines. In tivity of back flashover of the 220 kV double-cir-
some areas where frequent lightning activity exists, cuit transmission line on the same tower is studied.
the probability of line accidents struck by lightning
is greater. Therefore, an accurate assessment of the
2 SIMULATION CALCULATION OF LPTL
line lightning performance is significant for design
and construction of transmission lines, especially for
2.1 Introduction of LPTL
improving the stability of power system operation.
Since a 220 kV transmission line is one of the LPTL is a software for calculation and analysis of
main transmission lines grid, thus ensuring the safe transmission line lightning protection performance.
and stable operation of 220 kV line is a major prob- LPTL allows users to create transmission lines and
lem that is placed before power workers. Currently towers, count temporal and spatial distribution of
220 kV transmission line is a double-circuit on the lightning activity along the line corridors and view
same tower which has large triggered lightning and obtain the topography of each base tower.
area and big opportunity of lightning strike, and Through the appropriate choice of calculation
the shielding failure and back flashover failure model and criterion, the lightning analysis tasks
91

are established; based on a typical transmission lightning back flashover performance of trans-
line tower, several towers or the whole line, analysis mission lines.
and evaluation results of lightning shielding and
back flashover performance can help and guide the
user to carry out lightning protection work. 2.2 Back-flashover model in LPTL
LPTL software has the following features:
In LPTL, entering basic information lines and tow-
1. manage a grid of transmission lines and towers; ers is made to complete the creation of lines and
2. grasp lightning activity of a region and the tempo- towers. In LPTL, regulation method and electro-
ral and spatial distribution of flash frequency law; magnetic transient analysis method are the main
3. grasp temporal and spatial distribution law methods to calculate the lightning back-flashover
of lightning activity of the transmission line performance, while the latter is a simplified inte-
corridor; gration model of ATP/EMTP, when modeling,
4. obtain high-resolution area and flashover den- lightning current model, the channel impedance,
sity distribution of lines to guide the grid light- line model, tower model, flashover criterion, the
ning protection work; induced voltage and grounding resistance, and
5. query and access leach base tower topography, other model parameters can be directly selected,
which is convenient for line inspection and which greatly reduce the workload of system
troubleshooting; modeling.
6. use regulation method and electrical geometric
model law and leader method to research and 2.2.1 Lightning current waveform and lightning
analyze the lightning shielding strike perfor- channel wave impedance
mance of transmission lines; The parameters of lightning current waveform
7. use regulation method and electromagnetic include: lightning current amplitude, the wave
transient analysis method to study and analyze head time and tail time. Statistical results showed
that most of the lightning current wave head time
is in the range of 1.0–5.0 μs, the average is about
2.0–2.5 μs [6]. In this paper, 2.6/50.0 μs double
exponential wave is selected as a simulation of light-
ning current source. For back flashover simulation,
lightning channel impedance is about 400 Ω.
2.2.2 Model of transmission lines

Under the impact of lightning, great changes of
the electrical parameters of line will appear com-
pared with the work frequency parameters. In the
simulation, the frequency-dependent model of
transmission line (based on domain transform) is
used, this model can calculate the line impedance
with frequency by inputing line structural param-
eters, corresponding to JMarti transmission line
Figure 1. Interface of software LPTL. model in EMTP.
2.2.3 Model of the tower

The wave impedance method is to take the injected
current wave as plane wave approximately after
lightning strikes the tower, by using the lumped
wave impedance to describe wave propagation
injection current wave in the tower, and then the
towel potential and injected component of the
voltage across the insulator strings are obtained.
Multi-wave impedance is based on the theory of
wave impedance, depending on the structure of
the tower, the method divides the tower into mul-
tiple segments wave impedance so that the tower
reflection process of current wave is more consist-
ent with the actual situation [7]. The tower multi-
Figure 2. Model parameter setting page of LPTL. impedance equivalent model is shown in Figure 3.
92

dL ⎡ u(t ) ⎤
= ku(t ) ⎢ − E0 ⎥ (5)
dt ⎣D L ⎦
In the formula, L(t) is the leader development
length (m); u(t) is the voltage (kV) on the insulator
strings; D is the gap length (m); E0 is the leader
starting field strength (kV/m); k is the fitting expe-
rience factor obtained by the experiments results,
which is related to insulator type, the applied volt-
age polarity and so on (m2/(s ⋅ kV2)). In this paper,
the simulation uses k = 1.1, E0 = 500.0 kV/m.
2.2.5 Model of grounding resistance

Impulse grounding resistance is influenced by
flowing current amplitude and frequency, show-
Figure 3. The tower multi-impedance equivalent model. ing strong nonlinear characteristics. In this paper,
In this Figure, hk is cross arm height, m; rTk is single con-
IEC recommended formula (6) is used to calculate
ductor top equivalent radius, m; RTk is multi-conductor
systems adjacent conductors spacing, m; RB is multi- grounding impedance values when impulse current
conductor systems adjacent conductor spacing, m; rB is flows [9].
single conductor bottom radius, m. ZAk is cross arm wave
impedance, Ω; ZTk is trunk impedance, Ω; ZLk bracket R0
RT = (6)
portion impedance, Ω. 1+ I Ig
1. Towel trunk wave impedance And R0 is the impulse impedance under low
frequency and low amplitude current (Ω); I is the
magnitude of the impulse current flowing through
⎛ 2 2 hk ⎞
ZTk = 60 ⎜ ln − 2⎟ (1) the grounding (kA); Ig is the smallest current ion-
⎝ rek ⎠ izing the soil (kA), which can be expressed as:
E0 ρ
And rek is equivalent radius of towel trunk. Ig = (7)
2π R0 2
(
rek = 21 / 8 rTk1 / 3rB2 / 3 ) (RTk1/ 3RB2 / 3 )
1/ 4 3/ 4
(2) where ρ is the soil resistivity (Ω ⋅ m); E0 is the field
strength when soil is ionized (kV/m).
2. Towel bracket wave impedance
2.2.6 Calculation model of induced voltage
ZLk 9ZTk (3) In this paper, the induced voltage is calculated by
the formula recommended by the State Grid Elec-
In Hara tower model, the transmission line tric Power Research Institute [10]:
length the bracket portion wave impedance is
1.5 times the trunk section. (
U i = 1.33 1.771 + 1.754 hc hc 2
3. Towel cross arm wave impedance
) ⋅ (1 − )
0.232
.
+ 1.935 × 10 −5 hc3 ⋅ I
0.1706 hc
0
(8)
2 hk
ZAk = 60 ln (4)
rAk where hc is the average height for wire-to-ground
(m); I is lightning current amplitude (kA).
And rA is equivalent radius of the cross arm,
one-fourth of cross arm width of the tower master 3 ANALYSIS OF BACK FLASHOVER
connections node. FACTORS
2.2.4 Insulator string flashover criterion A typical tower is shown in Figure 4 as the object
The leader development length crossing through for analysis, based on the model of LPTL, the fac-
the gap can be used to judge insulator string tors influencing the back flashover trip-out per-
flashover, CIGRE WG33.01 recommended leader formance of 220 kV double-circuit transmission
development rate formula [8]: line on the same tower.
93

Table 1. Impact of tower height on lightning back
flashover performance (grounding resistance is 10Ω).
Height (m) 24 30 36 42 48
Lightning back 91 86 81 76 72
flashover
level (kA)
Back flashover 0.356 0.447 0.552 0.671 0.778
trip-out rate
Figure 5. Curve of lightning back flashover levels and

back flashover trip-out rate with tower height.
Table 2. Impact of grounding resistance on lightning

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

back flashover performance
The analysis results of a typical tower grounding
resistance are shown in Table 2 and Figure 6. Under
the same height, with increase in the grounding
resistance, lightning back flashover levels reduce and
back flashover trip-out rate rises. Thus, the ground-
ing resistance has impact on lightning withstand Figure 6. Curve of lightning back flashover levels and
levels of the tower; therefore, reducing the tower back flashover trip-out rate with grounding resistance.
94

Table 3. Impact of soil resistivity on lightning back Table 4. Information of the tower topography.
flashover performance.
Number Altitude Left Right
Soil resistivity of tower (m) inclination/° inclination/°
(Ωm) 100 300 500 1000 2000
50 3.006194 0.154539 −3.09186
flashover level
(kA)
Back flashover 0.456 0.567 0.587 0.608 0.623
trip-out rate
Figure 8. Topography map of the tower’s location.
the transmission line department has lightning, the

amplitude of lightning current is 262 A; field line
patrol, we found 50 # phase-B insulator and equal-
izing ring have obvious burns. Based on the above
Figure 7. Curve of lightning back flashover levels and
information, we initially concluded that there was
back flashover trip-out rate with soil resistivity.
a trouble spot.
The calculation and analysis of the tower with
LPTL is applied, the lightning back flashover
grounding resistance is an effective measure to raise level of the tower phase B is 100.51kA, the back
the lighting back flashover level of the transmission flashover trip is 0.3995. Connected with Google
lines and to reduce the back flashover trip-out rate. earth via LPTL, the tower topography is obtained,
the results are shown in Table 4 and Figure 8.
3.3 Impact of soil resistivity property on lightning The results show that the tower location has flat
back flashover performance terrain, the location is in farmland, which is not far
from the river, and soil resistivity is low. According
The analysis results of typical tower soil resistiv- to information obtained via LPTL combined with
ity are shown in Table 3 and Figure 7. Under the results of lightning location and field patrol line,
same height, with the increase of soil resistivity, primarily the trouble was caused by lightning back
lightning back flashover levels reduce and back flashover trip-out.
flashover trip-out rate rises. Thus, the soil resistiv-
ity has impact on lightning withstand levels of the
5 CONCLUSIONS
tower; therefore, reducing the soil resistivity of the
tower is an effective measure to raise the lighting
In this paper, a lightning back flashover simulation
back flashover level of the transmission lines and
model of 220 kV double-circuit transmission line
to reduce the back flashover trip-out rate.
on the same tower by using LPTL software is estab-
lished, and on this basis, the various factors that
affect lightning back flashover performance, includ-
4 CASE APPLICATION
ing tower height, grounding resistance and soil resis-
tivity are analyzed. The conclusions are as follows:
In Jiangsu province, phase-B zero sequence over-
current segment of one 220 kV double-circuit 1. Performance of lightning back flashover is
transmission line on the same tower is acted, and weakening with tower height rising, and tower
then coincided successfully. According to lightning height is higher, the increasing magnitude of
location system records, at that time 50 # tower of lightning back flashover trip-out rate is greater.
95

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

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

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

State Grid Laboratory, Jiangsu Electric Power Company Research Institute, Nanjing, China
ABSTRACT: A fault of Metal Oxide Varistor (MOV) for series compensation capacitor banks is ana-
lyzed in this paper. The MOV is checked by visual inspection and electrical test, and the wave of fault
recorder is analyzed by incorporating the simulation. The fault is due to the discharge of the capacitor,
because the MOV is broken down while the phase–phase grounding fault appears. According to this
fault, two improvement measures (change MOV not at will, replace MOV with a long history and per-
formance degradation) are presented, so as to improve and enhance operation and maintenance situation
of the MOV.
Keywords: series compensation capacitor banks; Metal Oxide Varistor (MOV); gap; fault analysis
1 INTRODUCTION device is effectively input, the red light for switch

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

As ground-fault in a line at a 500 kV substation,
18:46 in one day, series capacitor compensation
device had operated for protecting. The device
blocks perpetually series capacitor compensation.
Line-to-earth fault is considered as external fault
for the series capacitor compensation device; three
phases of a bypass breaker of the device close.
Display on screen of the device contains:
protective operation of a series capacitor com-
pensation, operation of over current of MOV in
B phase, anti-trigger action of GAP in B phase,
command for MOV to protect bypass breaker
which is received by platform protection, perpetual Figure 1. Basic wiring diagram of the series capacitor
blocking signal of a series capacitor compensation compensation device.
97

Table 1. MOV’s parameters. have been experimented on MOV of B phase and
C phase of the series capacitor compensation
Rated voltage 118 kV device, and records of the 2 years experiment are
Maximum continuous 94 kV as follows:
operating voltage
From the test results and historical test we can
Overvoltage protection level 2.3 p.u.
know:
Unbalanced current Not exceeding 10% of
average current per set 1. DC reference voltage of the fault MOV in B
The number of paralleling 19 (including 2 spinning phase is less than non-faulty MOV and 0.75 time
sections in each phase reserve)
reference voltage of the fault MOV is increased,
The number per column in 4
all of which indicate the existence of the inter-
a MOV
The number of resistance 24
nal defect that may be do to dampness after rain
chips in a column before the day of the test, and the MOV’s seal
Capability of release of 40 kA + discharge current suffers damage.
pressure of capacitor bank 2. 2 mA DC reference voltage of the non-faulty
Production date In 2000 MOV in B phase and C phase reduces by 2%–3%
compared to historical test (code requires the
value to be no more than ±5%). This test result
may be influenced by humidity and test result is
The main elements of the compensation devices not changed after shielding.
contain: 1, capacitor bank; 2, MOV; 3, trigger gap; 3. The value of leakage current under 0.75 times
4, bypass switch; 5, damping reactor; 6, insulated reference voltage of non-faulty MOV in B phase
platform. and C phase has a marked increase compared to
The capacitor bank is the main device of the the historical records. The result relates to field
series capacitor compensation device which is used humidity as well as MOV resistor disc’s voltage–
to raise transmission capacity of the transmission current characteristic has negative temperature
line. MOV is used for limiting voltage of the capac- coefficient in low current area. Because in sum-
itor bank. Trigger gap, which does not have strong mer, the test temperature is higher than the pre-
capacity of arc blowout and needs to close the vious two times.
bypass switch or trip of line switch to quench the
arc, is used to puncture rapidly the bypass capaci-
tor bank and MOV to prevent overheating damage 3.3 MOV design requirement of the series
of the MOV and protect capacitor bank from suf- capacitor compensation device
fering overvoltage damage. Bypass breaker is used 1. MOV operates usually under 10% redundance
for switching series capacitor bank and quenching hot bank
arc by shorting gap. Damping reactor is used for Ambient temperature, measurement error,
limiting high amplitude and frequency oscillating unbalanced current, utilization rate, and so
current which is from discharge of capacitor bank on have influence on current distribution and
when breakover of trigger gap due to discharge or capacity value in the process of manufacture
bypass breaker is switched on[1]. The key param- and assembly of MOV’s resistor disc. MOV’s
eters of MOV are shown in Table 1. capacitance should consider a certain mar-
gin based on calculated value and 20% mar-
gin when calculating maximum capacity, and
3 INSPECTION AND ANALYSIS this value is used as rated capacity of resistor
OF FAULT EQUIPMENT disc[3].
In addition, because of probable damage
3.1 Visual inspections while the MOV is running, replaced new com-
From the result of visual inspection, we can see ponents are difficult to guarantee that its char-
that the MOV has broke down and the large fault acteristics match with operating components,
current flowed through the MOV that lead to inter- therefore, considering 10% margin usually in
nal high energy burst the bursting disk open so that the way of hot bank to guarantee that all MOVs
the operation of pressure release equipment and have the same characteristic[4–5].
cause damage of external insulator shed at outlet According to the ability of energy absorp-
of releasing pressure. tion per cubic centimeter from the producer, the
value of energy absorption of 17 MOV which
combines into a set of device is 56 MJ that meets
3.2 Electrical test
rated capacity 50 MJ. Considering 10% margin
A 2 mA DC reference voltage test and leakage of hot bank, each phase has two MOV sections
current test under 0.75 times reference voltage for spinning operation.
98

Figure 2. Result of fault MOV’s visual inspection.
Table 2. Test results of the fault series capacitor compensation device.
2 mA DC Leakage current test

reference under 0.75 times Field Field
Test time Equipment voltage/kV reference voltage/μA temperature/°C humidity/%
2014.7.31 Fault MOV of B phase 154 147 31 73

Non-faulty MOV of B phase 164.1–164.8 104–122 31 73
Non-faulty MOV of C phase 163.8–164.4 111–126 31 73
2014.4.10 Each section of MOV of B phase 168–169 50–70 24 20
2013.3.2 Each section of MOV of B phase 169.3–169.8 45–75 15 24
99

2. Each phase itself should have auxiliary section 4 FAULT ANALYSIS
which does not recommend misuse.
From GB/T 6115.2–2002/IEC 60143: 1994 4.1 Protection record wave analysis
Series Capacitors For Power Systems—
Protection record is as follows: 18:46:57.574, short
Part 2: Protective Equipment For Series Capaci-
circuit grounding fault between A phase and B
tor Banks we know: recommend varistor section
phase at a line (fault point is 270 km away from
should be installed and energized with other
the series capacitor compensation) two sets of
sections. This recommendation will guarantee
protective devices for fault line are rapidly oper-
that all varistors, including auxiliary sections,
ating and switching off the three-phase switch
can uniformly age and maintain current distri-
of the series capacitor compensation device;
bution deviation. Every phase will have electrical
18:46:57.574, MOV over current protection,
experience, therefore, do not recommend aux-
MOV unbalanced protection and GAP anti-
iliary sections of different phase misuse. Each
trigger protection in B phase of the compensa-
phase itself should have auxiliary section.
tion device are operating, and three-phase bypass
The series capacitor compensation device is
break switch on to stop operation of the compen-
operated for more than 10 years, and there is
sation device and the device blocks perpetually.
difference for every phase series capacitor com-
SOE incident record of the series capacitor
pensation device on GAP trigger and artificial
compensation device is shown in Table 3.
earth short circuit test. These fault MOV sec-
Fault record wave of the series capacitor com-
tions are not recommended to be used for huge
pensation device as shown in Figure 3. From the
different operating experience to avoid trigger-
record wave we know:
ing new faults.
Table 3. SOE incident record of fault series capacitor compensation.
Time Type Source Content
(a) A system
18:46:57.596 Fault MOV protection 1808-MOV over current protection in B phase is operating
18:46:57.596 Incident Platform protection 134-platform protection receives order for protecting
bypass breaker
18:46:57.825 Incident DI case 116-restor trigger signal of platform GAP in B phase
18:46:57.686 Incident MOV protection 1814-GAP anti-trigger protection in B phase is operating
18:46:57.627 Incident Platform protection 140-perpetual blocking signal of series capacitor
compensation device is effectively input
bypass breaker
bypass breaker
18:46:57.735 Incident Platform protection 126-B phase breaker switches on
18:46:57.738 Incident Platform protection 128-C phase breaker switches on
18:46:57.741 Incident Platform protection 124-A phase breaker switches on
(b) B system
18:46:57.596 Fault MOV protection 1808-MOV over current protection in B phase is operating
bypass breaker
18:46:57.596 Incident MOV protection 1820-MOV unbalance protection in B phase is operating
bypass breaker
18:46:57.686 Incident MOV protection 1814-GAP anti-trigger protection in B phase is operating
bypass breaker
bypass breaker
18:46:57.716 Incident Platform protection 140-perpetual blocking signal of series capacitor
compensation device is effectively input
100

1. The maximal current value of B phase is 70700 A device which lead to the operation of MOV
(the maximal value before it is 3227 A), and unbalance protection.
current value is more than 10000 A (constant
Establishing mold and calculate the voltage
value of over current) for four consecutive times
and current of the series compensation capaci-
which lead to operation of MOV over current
tor banks’ section while simulate the short circuit
protection. However, there is no current in GAP
grounding fault between A phase and B phase. The
of B phase that lead to operation of anti-trigger
results are as follows:
protection.
2. The value of CT test current for branch 2 of 1. The peak current of MOV in B phase is 3259.8 A
MOV in B phase is about 0.64 A (primary cur- when MOV is running normally (the peak cur-
rent is 1600 A), unbalance protection in B phase rent of fault record wave is 3227 A), and the
is operating. voltage between the two poles of GAP is 200 kV
3. After operation of MOV over current protec- which is not up to trigger condition of GAP.
tion, GAP of B phase of the compensation 2. If in one section of MOV short circuit occurred
device is triggered. This fault is actually external when external fault current flows through it, the
(short circuit grounding fault between A phase peak current of MOV in B phase is up to 66 kA
and B phase), therefore, the voltage between the (the current displayed on the fault wave picture
two poles of GAP in B phase may not be up to is 70.7 kA), the two poles of GAP are short and
trigger voltage so that the GAP does not conduct the voltage is about 0 which is much less than
and the GAP anti-trigger protection is operated. the value of trigger.
4. In the process of fault operation, the MOV
current value in B phase meets operating con-
dition of MOV over current protection, and 5 CAUSE ANALYSIS FOR FAULT
the CT does not detect current, and GAP anti- AND RECOMMENDATION
trigger protection in B phase is operating. Two
branches’ current are critical unbalance in B Combining with equipment inspection, fault record
phase of the series capacitor compensation wave and results of fault simulation, fault analysis
of the series compensation capacitor banks is as
follows:
1. Internal defects of fault MOV of the series com-
pensation capacitor banks caused MOV failure
when external fault occurs which cause rise of
current flowing through MOV.
2. While MOV failure, capacitor banks discharge
through a fault MOV which cause discharge cur-
rent is up to 70 kA that meets the constant value
of over current protection (10 kA), however, the
two poles of GAP is short and the voltage is
about 0 which much less than the value of trigger,
Figure 3. Fault MOV current of series compensation therefore, MOV over current protection is oper-
capacitor banks. ating and GAP protection refuse to operating.
Figure 4. Calculated results of current simulation for MOV external fault.
101

Through inspection of appearance and electri- with long-time-operating and degraded electri-
cal test and so on, we recommend the following: cal performance to improve operational reliabil-
ity of device.
1. Considering that there are differences for every
phase series capacitor compensation device on
GAP trigger and artificial earth short circuit
test, do not recommend to use other MOV ele- REFERENCES
ments to replace element of this fault MOV
in B phase of series capacitor compensation [1] Yang Yu-juan. Development and Characteristics of
banks. Metal Oxide Nonlinearity Resistor (MOV) for Series
Compensation Capacitor Banks [J]. Insulators and
2. There are 18 MOV sections in B phase can Surge Arresters, 2011, (243):100–106.
be used (including one auxiliary section), [2] Deng Yong-jie, Zhang Jie. Analysis of a MOV Inter-
which means the total capacity meet demand, nal Fault of Series Compensation [J]. Guangxi Elec-
but, considering that there are many similar tric Power, 2013, 36(4):72–74.
faults in china, and the MOV for series com- [3] Cheng Zhen-he. Research on the Series Compensa-
pensation capacitor banks have operated for tion Equipment Optimization in 500 kV UHV System
many years which may cause the existence of [D]. Nanjing University Of Science and Technology,
cracking (decline of DC reference voltage). 2003.
Therefore, we recommend to replace rapidly [4] Ye Bo, Cheng Zhong-wei, Huang Kang-jia. Analysis
and Diagnose of MOV Fault in Series Compen-
the fault MOV for series compensation capaci- sation Station [J]. Guangxi Electric Power, 2010,
tor banks. 133(5):55–57.
3. We cannot to do electric check on series capaci- [5] Chen Xi-peng. Study on Overvoltage of 500 kV
tor compensation device because of its particu- Series Compensator [D]. South China University of
larity, therefore, we advise that replace device Technology, 2010.
102

Experimental study of the human retinal security by LED light
Li Zhao, Liu Lu, Shu-Yan Ren, Li-Qing Geng & C.T. Li

Key Laboratory of Information Sensing and Intelligent Control, Tianjin University of Technology
and Education, Tianjin, China
ABSTRACT: Medical experiments by LED light had been done to explain the influence on visual
function. White LED was regarded as light source. Experiments about retinal security of rats had been
carried out under different illumination, and test results of flow cytometry, visual electrophysiology, light
and electron microscopy were obtained. After 24 hours under 3000 LUX light irradiation, apoptosis rate
is 87.6%. After 7 days under 500 LUX light irradiation (alternating light and dark for 12 hours), electrore-
tinography is abnormal. From the test results of light and electron microscopy, the conclusions of retinal
damage can also be observed. Experimental study of the human retinal security by LED light will provide
theoretical basis to indoor application of LED light.
Keywords: ERG; retinal security; flow cytometry; LED light
1 INTRODUCTION the photon changing in an instant to mechanical

damage tissue. Photochemical damage is patho-
The sensitivity of the human visual perception logical changes in retinal tissue which is caused by
to different wavelengths of light is different. In not obvious temperature rising, low energy and
the radiation wavelength range of light diode, relatively long time illumination.
radiation energy distribution of each different LED semiconductor light-emitting device as the
wavelength will cause adaptive visual response to fourth generation of light source will soon be widely
humans. The illumination of a point on the sur- used in indoors, which can realize lighting and com-
face is defined as the ratio of the incident flux munication functions at the same time. Exploring
and the unit area, and low illumination will cause healthy and comfortable designing methods of
eye fatigue, and high illumination will cause glare indoor LED lighting, or providing theoretical basis
and waste of electricity. Using LED lights, there and technical support is important to improve the
are two irradiation methods, which are direct and general health level of human beings and has enor-
oblique. Under these methods, human visual per- mous social benefits. In this paper, white light LED
ception is different, as that under different lengths is used as the light source to do medical research to
of exposure time. find the LED light source effect on the human vis-
Studies have shown that prolonged exposure ual function. Under different illumination, experi-
to bright light can cause adverse effects on retinal ments were made to study retinal safety of rats, and
function. Many scholars used a variety of experi- confirmed that the intensity of LED light source
mental animals to demonstrate the effects of light has a certain degree of damage to the retina.
on the retina and its mechanism [1–3]. The causes
of light impact on the retina are deduced to three
aspects, which are thermal damage, mechanical 2 THE INTERACTION PRINCIPLE
damage and photochemical damage [4–6]. Thermal OF LIGHT AND BIOLOGICAL TISSUE
damage is produced from the high energy absorbed
by the tissue, which makes local tissue temperature Rod cells and cone cells are two types of visual
to increase. When the tissue temperature exceeds cells in the human eye retina, and these cells have
a certain limit, all kinds of protein components a photosensitive substance called sensitive pig-
within the organization produce solidification and ment. Based on the mechanism of interaction
conduct damage. Mechanical damage is that tissue between light and biological tissues [7], the visual
receives strong light (such as laser) in a very short cells generate pulses by the light. These pulses are
time, and organization instantaneous changes by posted to the brain’s visual centers by the optic
103

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

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

FCM is a detection method for quantitative analy-
sis and separation of single cells or other biologi-
cal particles in function level [10]. It can analyze
tens of thousands of cells by high-speed and get
more parameters simultaneously from one cell.
Compared with the conventional fluorescent micro-
Figure 2. 3000 LUX light cell apoptosis in 24 hours.
scopy, FCM has the advantages of high speed, high
precision, and so on. The results of cell apoptosis
obtained by FCM are shown in Figures 1 and 2.
Apoptotic response is a kind of characteristic occur in the visual receptors, which produce poten-
changes that occur in the level of the retinal cells, tial changes and form nerve impulses passing to
sub-cellular and molecular. Apoptosis in the con- bipolar cells, ganglion cells, optic nerve, optic chi-
trol group was 2.44%, while in the 3000 LUX light asm, optic tract, and lateral geniculate body. Optic
irradiation after 24 hours, apoptosis was 87.6%. So radiation terminates in the cerebral cortex of the
damage is very greatly under the condition of the calcarine visual cortex. After the retina is stimu-
irradiation. lated by the full-field (Ganzfeld) flash, the sum of
electrical responses of the retina neurons and non-
neuronal cells is recorded by cornea. It represents
3.2 Visual electrophysiology
the electrical activity of the retinal cells of every
After the human eye’s retina is stimulated by light, layer. Diagram of electroretinogram (ERG) [11,12]
photochemical and photoelectric reactions will is shown in Figure 3.
104

Table 1. Dark-adapted rod reaction.
Normal 500 LUX
control group light group
b wave latency 67.87 ± 6.63 442.13 ± 40.84

B wave amplitude 86.00 ± 9.01 244.00 ± 29.83
Figure 3. Schematic diagram of ERG component.

Table 2. Dark-adapted largest mixed reaction.
Normal 500 LUX
The common clinical abnormal ERG is mainly control group light group
embodied in five different types. The amplitude
of B wave of hypertypic ERG exceeds the normal b wave latency 66.67 ± 5.55 66.29 ± 5.96
average value over 30%. a and b wave amplitude of b wave amplitude 674.00 ± 32.12 402.00 ± 25.10
low ERG decreases, and the range should be lower a wave latency 16.33 ± 2.24 17.43 ± 1.62
than the normal average value over 30%. For the a wave amplitude 242.47 ± 28.67 142.29 ± 18.42
negative wave of ERG, a wave is deep and wide, Ops total amplitude 325.07 ± 35.71 142.57 ± 17.65
and b wave is small or disappeared. For delayed-
type ERGs, a and b wave amplitude is normal,
but the peak time will delay by standard flash
recording. The composition of flat type ERG will
be submerged in the baseline noise.
In the visual electrophysiological experiments,
RolanConsult’s eye electrophysiological systems
and Retisystem 2.26 software are used to measure
ERG. Corneal electrode and the reference elec-
trode and the ground electrode are made of stain-
less steel needle.
Comparison of visual electrophysiological
parameters in the normal control group and the
group illuminated by 500 LUX continuous light
for 12 hours is shown in Tables 1 and 2, in which
the incubation period unit is ms and amplitude of
the unit is mv.
Compared with the normal control group, Figure 4. HE staining pattern of normal control group.
retinal electrophysiology dark adaptation biggest
mixed reaction a and b wave latent period of rats in
500 LUX light group were basically not changed, outer nuclear layer nucleuses arrange regularly,
but the amplitude decreased, and the rest of the and the thickness is an average of about 10∼12
wave amplitude decreased. Dark adaptation rod nucleuses. The inside and outside section struc-
response b wave amplitude decreased by 45%, and ture of photoreceptor cells is clear and colored
the largest mixed dark-adapted response of b wave uniformly, HE staining of the control group is
amplitude decreased by 14%, and a wave ampli- shown in Figure 4. Under 2000 LUX illumina-
tude decreased by 41%. Experimental results show tion, the outer nuclear layer cell nucleus became
that the ERG of the rats in 500 LUX light group thin, and arranged loosely, and the thickness is an
is abnormal. average of about 2–4 cells, as shown in Figure 5.
Experimental results show that the apoptosis of
the retinal photoreceptor cells increases in the light
3.3 Light microscopy and electron stimulation, so the thickness of the outer nuclear
microscopy experiments layer is reduced.
Dying characteristics of light microscopic exami- Electron microscopy is a typical method to
nation of biological tissue is used to show the observe the cell morphology, by which micro
morphological structure of tissues and cells, and structure of the nucleus is clear. Therefore, com-
to study the pathological changes of the disease bination of the electron microscope and dig-
and the development process. Normal rat retinal ital image processing system can be adopted to
105

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

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

light source of the retina medical security and
visual function influence mechanism research”
(No. 61178081).
The Research and Development fund “Special
LED lighting and control system design for plant
growth” (No. KJY11-10).
Figure 6. Electron microscopy results of normal control

group. REFERENCES
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(light-emitting diode) for tissue repair in diabetic rats tion with high myopia, Chinese and foreign medical
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exercise-induced skeletal muscle fatigue and skeletal mination of [J]. high myopia macular retinal thick-
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107

Analysis of the phenomenon in LFO of AC electric locomotive
J.J. Ding, Y. Tu & S.B. Gao

School of Electrical Engineering, Southwest Jiaotong University, Chengdu, China
ABSTRACT: In order to analyze the mechanism and key factors of the stability of the traction power
supply system and the high-power electric traction system which is influenced by Low Frequency Oscil-
lation (LFO), this article uses the Matlab/Simulink simulation software to build the locomotive–traction
network coupling model which contains HXD3 locomotives and traction network. By changing the length
of traction power supply arm, the number of locomotives and the condition of locomotive in full-load or
un-load, we can get different simulation results under various conditions. Combining the actual measure
results and simulation results, we can find the main reasons which cause the LFO of the electric locomo-
tive and traction network. If we let the length of the power supply section become longer, the oscillation
will be more obvious. Besides, the number of the locomotives which is running together can determine
whether the oscillation is shown. The locomotive and traction network LFO will appear when the loco-
motive is only in full load operation but not in no load operation.
Keywords: traction network; electric locomotive; LFO; stability analysis
1 INTRODUCTION 2 THE MODELING OF AT TRACTION

NETWORK
For rapidity and traffic density of trains on high-
speed passenger special railway, it may exist the In the traction network, for the AT power supply
possibility that many locomotives are accessing the mode has the advantage that not only can reduce
traction network at the same time in the same rail- the interference from electrified railway to commu-
way section. It leads to the problem that the coupling nication line but also other supply systems don’t
relationship between the electric locomotive and have, so it is used by many countries.
traction network becomes more and more serious. The three lines equivalent AT traction power
The spreading of the harmonic power flow in the supply mode in this paper includes contact wire,
traction network may cause harmonic resonance messenger wire, return line, rail and positive feeder.
between the locomotive and traction network. The contact wire and messenger wire can be sim-
On December 26, 2007, there were many loco- plified as traction line (T line). The return line and
motives affected by the Low Frequency Oscillation rail can be simplified as return circuit line (R line),
(LFO) of the traction network-voltage when they and the positive feeder line is recorded as “F line”.
are servicing together in the Hu Dong locomotive We can establish the traction network simulation
depot, and the locomotives could not work nor- module with the line model provided by Matlab,
mally because of the traction blockade. It caused the “Series RLC Branch” module and “Mutual
the locomotives can’t entry and out of the garage inductance” module in “SimPowerSystems” that
normally and disturb the traffic order seriously.
In this paper, through the establishment of
the all-parallel AT traction network model and
the multi HXD3-locomotives model, using the
Simulink simulation tool, the different conditions
of the LFO which is influenced by the different
length of power supply section and different work-
ing conditions about one or several locomotives
were simulated and analyzed. According to the
simulation results, we can reproduce the accident
in the Hu Dong locomotive depot and find the
main reasons which cause the LFO of the electric
locomotive and traction network. Figure 1. The AT traction network model.
109

can, respectively, represent self-impedance and observe the phenomenon of LFO. And through
mutual impedance. The AT transformer can be the analysis and comparing of the different simula-
realized by single-phase and two-winding trans- tion results, we can find the reasons and the related
former. Finally, the AT traction power supply factors which lead to the LFO.
system with mutual inductance can be established For the traction network, it is important to ana-
according to the requirements of the prototype lyze the influence of the current and voltage wave-
system. The model is shown in Figure 1. form of locomotive and traction network which is
caused by the change of the traction power supply
arm length from 15 km to 45 km.
3 THE MODELING OF HXD3 For the locomotive, this article analyzes the cur-
LOCOMOTIVE rent and voltage waveform of the locomotive and
traction network when there are different number
The simulation model of a locomotive in this paper of locomotives accessing the traction network,
is established with reference to the main circuit of such as one, two, and seven locomotives. Besides,
China Railway HXD3 (HXD3). The model includes through change the working state, change from
the main traction transformer, two-level rectifier full-load state to no-load state, we can observe the
bridge, modulation wave generation module, PWM appearance of the LFO.
control signal module, the intermediate DC voltage
link, the second filter, and variable resistance load.
4.1 The simulation of one locomotive working
Because the phenomenon of LFO of electric loco-
motive and traction network has close ties to the When only one locomotive is working on the trac-
rectifier circuit but not to the inverter circuit, the tion network which has the length of power supply
integral part of the locomotive model is rectifier cir- arm about 15 km and 45 km, the traction current
cuit and we can simplify the part of inverter circuit and voltage simulation waveform are shown in
and traction motor as a variable resistance load. Figures 3 and 4.
The final locomotive model is shown in Figure 2. It is easily to find that no matter the length of
The parameters of the rectifier circuit model power supply arm are 15 km or 45 km, it can’t lead
established in this section are as shown in Table 1. to the appearance of the LFO when single locomo-
tive access the traction network.
4 THE SIMULATION OF LOCOMOTIVE

4.2 The simulation of two locomotives working
AND TRACTION NETWORK COUPLING
SYSTEM Let the two locomotives access the traction net-
work in turn, setting the length of the power sup-
Through the simulation of locomotive–traction ply arm as 45 km and measure the network current
network system under different conditions, we
Figure 3. Current and voltage waveform of single elec-

tric locomotive with 15 km power supply arm.
Figure 2. The simulation model of electric locomotive.
Table 1. The parameters of the model.
Rated capacity 1400 kVA

Rated voltage input 1400 V
Rated frequency input 50 Hz
Rated voltage output 2800 V
Power factor ≥98% Figure 4. Current and voltage waveform of single elec-
tric locomotive with 45 km power supply arm.
110

and voltage. The TIME module of the circuit
breaker is set as 0.5 s, which simulate that one loco-
motive access to the system at the first, but another
access to the system delaying 0.5 s. The simulation
waveform is shown in Figure 5.
According to the result of the simulation, the
traction voltage waveform appears as sharp fluc-
tuations when the second locomotive accesses the
network. So, we can find that when the locomo-
tive accesses the network, the traction voltage
waveform will appear as oscillation lasting about
0.5 s and the difference between the maximum and
minimum value is about 10,000 V.
From 1.4 s, when the system become stable run-
ning, the voltage and current appear the light LFO Figure 6. Current and voltage waveform of seven full-
with the amplitude of 1000 V and the frequency load electric locomotives with 15 km and 45 km power
of 6 Hz. Therefore, the accessing of the two loco- supply arm.
motives will make the system become unstable and
lead to the LFO. What is more, more and more
locomotives access the traction network, the phe-
nomenon of the LFO becomes evident.
4.3 The simulation of multi-locomotives working

For reproducing the field conditions accurately,
the paper changes the number of locomotives
from one to seven to observe the waveform. In this
section, using the seven locomotives as the major
subject, we can change the power supply arm from
15 km to 45 km and change the locomotive condi-
tion from full-load state to no-load state, and get
different simulation results. Setting the locomotive
accessing time as 0, 0.25 s, 0.5 s, 0.75 s, 1 s, 1.25 s,
1.5 s.
When the locomotives are running full-load, the
resistance R of the DC circuit is set to the value Figure 7. Current and voltage waveform of seven no-
about 6.8Ω that is equal to the value when the load electric locomotives with 15 km and 45 km power
inverter circuit is running full-load. Simulating and supply arm.
analyzing the case that the length of power supply
arm equal to 15 km and 45 km, respectively.
Figure 6 shows the current and voltage wave- harmonic content of the circuit is low and the
form of the traction when the length of the power phenomenon of LFO does not appear. So, we can
supply arm is 15 km and 45 km. It is very clear understand that the full-load locomotive cannot
that the value of current and voltage is stable, the cause the LFO. When we change the working state
of the locomotives to no-load, and set the value
of the load resistance as 10,000 Ω, the waveform is
shown in Figure 7.
The above waveform shown in Figure 7 is set-
ting the power supply arm as 15 km, and another
is setting the power supply arm as 45 km. It is easy
to find that LFO appears in the two systems after
3 s. The longer the power supply arm length is, the
more increasing the amplitude of the oscillation is.
We can analyze the condition that seven loco-
motives are running together and the length of the
power supply arm is 45 km in detail.
Figure 5. Voltage waveform of two electric locomotives Figure 8 shows the traction voltage and cur-
with 45 km power supply arm. rent waveform with 45 km power supply arm
111

more the number of locomotives, the more
obvious the phenomenon of the LFO. When
the locomotives access the traction at the same
time, the current of the locomotives is in the
same phase and make synchronous change. At
this time, the locomotive and traction system
turn to synchronous state. On the one hand, the
superposition of the current of synchronous
Figure 8. Current and voltage not steady waveform
oscillation makes the traction voltage oscillate;
of seven electric locomotives with 45 km power supply
arm. on the other hand, the oscillation of the voltage
aggravates the oscillation of the current simi-
larly. It leads to the condition of the LFO.
2. Comparing the waveform when the power sup-
ply arm length is 15 km or 45 km. The length
of the traction power supply arm determines
the values of the distributed capacitance, unit
impedance, and unit inductance. So, it is the
important factor which influences the LFO.
The longer the length of the traction power sup-
ply arm is, the higher the values of distributed
Figure 9. Steady voltage waveform of seven electric capacitance, unit impedance and unit induct-
locomotives with 45 km power supply arm.
ance are. The amplitude of the LFO voltage is
larger.
3. Analyzing the simulation results when seven
length when seven locomotives are instable run-
locomotives access the traction network, we can
ning. From 0 s to 1.5 s, the locomotives access the
find that the LFO disappears when the locomo-
traction network one by one. Before 3 s, the net
tives are in full-load. On the contrary, the run-
voltage fluctuation is very large and the differ-
ning of the no-load locomotives may cause the
ence between the maximum and minimum value is
appearance of the LFO.
about 25,000 V. The overvoltage may lead to the
blockade of the traction during the time. After
3 s, the voltage waveform of traction appear the
oscillation as shown in Figure 9. The amplitude is ACKNOWLEDGEMENTS
about 2000V and the frequency is about 6 Hz, so
it is easy to see that it is similar to the waveform of The authors acknowledge the support of the
the field accident which belongs to the LFO. National Natural Science Foundation of China
(Grant Nos 50907055 and U1134205).
5 SUMMARY
REFERENCES
This paper uses the traction power supply system
and transmission system as the major research [1] Shibin Gao. Study on novel protective schemes of
object based on the Simulink software. By chang- traction power supply systems for high speed rail-
ing the length of traction power supply arm, the ways [D]. ChengDu Southwest Jiaotong University,
number of locomotives and the condition of loco- 2004:14–37.
motives in full-load or un-load, we get the differ- [2] Qionglin Zheng. Cause analysis and countermeas-
ent simulation results under various conditions ures of the HXD1 AC locomotive harmonic oscilla-
tion [J]. The World of Inverters, 2009, (05):44–45.
and analyze the necessary condition leading to the [3] Zhihua Yang, Liqin Zhu. Cause analysis and coun-
LFO. We can reach the conclusions as follows: termeasures of traction harmonic of AC locomotives
1. Through analyzing the field accident, we can [J]. Electric Locomotives & Mass Transit Vehicles,
find that the phenomenon of LFO is caused 2003, 26(02):8–11.
[4] Haitao Hu, Min Zhang, Chenghao Qian, Lei Fang.
by the condition that multi-locomotives are Research on the Harmonic Transmission Charac-
running together. Using the simulation soft- teristic and the Harmonic Amplification and Sup-
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[5] Qiling Yang. The Coupled oscillation between catenary [9] Wensheng Song, Zhiming Liu, Xiaoyun Feng.
system and the traction drive system in High-Speed Controling and Simulation of 4-Quadrant Con-
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113
CH23_25.indd 113 3/20/2015 6:15:35 PM

The prototype of fatigue damage detection by the method of Metal

Magnetic Memory Testing
X.Y. Yu
Harbin Institute of Technology, Harbin, Heilongjiang, China
X.Y. Fu
Center for Control Theory and Guidance Technology, Harbin Institute of Technology, Harbin,
Heilongjiang, China
ABSTRACT: Metal Magnetic Memory Testing (MMMT) is one of the most potential non-destructive
testing technology, which can effectively distinguish the stress concentration zone. And in most situations,
it can be used to provide early diagnosis and dynamic analysis for casing damages. Based on this method,
we create an integrated prototype equipment for detection. And the prototype is proven to be effective and
reliable through the experiment analysis.
Keywords: Metal Magnetic Memory Testing (MMMT); fatigue damage detection; anti-interference cir-
cuit; data analysis based on the Matlab
1 INTRODUCTION In Section III, we will explicate the general

design of some main modules.
1.1 General introduction In Section IV, we will make a GUI program
as a display by Matlab software and use it to
In the last few years, the non-destructive testing
prove the reliability of the prototype through the
technology has a tremendous development. But the
experiment.
traditional non-destructive testing technology still
has some limitations, such as some requirements
of the surface pretreatment or excitation source
2 SECTION II
device. With the increasing industrial level, a new
testing technology by metal magnetic memory
First of all, the magnetic signal above the surface of
is gradually discovered and becoming the main-
ferromagnet can be detected by the magnetoresistive
stream. It’s all based on the own magnetic leak-
sensor, and fast converted into the analog electrical
age field, caused by the geomagnetic field and the
signal. Then the new signal will be transmitted to the
magnetostriction in ferromagnetic products. And
signal processor through the filtering and amplifying
the abnormal magnetic signals can be detected on
circuit. And the processing signal can be sampled by
the defect location.
the data acquisition part, which has a built-in 24-bit
Based on the principle of MMMT, we have cre-
high-precision ADC. Finally, the electrical signal is
ated an integrated prototype. We use PCB to support
restored to the magnetic signal, and transmitted to
and integrate different kinds of functional modules.
the host directly through RS485 communication for
The magnetoresistive sensor with high sensitivity is
the further signal processing in GUI.
used for collecting the weak magnetic signals. And
we also design the set/reset circuit and electromag-
netic shielding to achieve anti-interference. The low-
3 SECTION III
noise amplifier circuit amplifies the weak signals.
The PIC controls the data after A/D conversion in
3.1 The sensor circuit
order to achieve the preservation, communication
and some other extensible functions. Because the working environment is under the
weak magnetic fields, we can choose the magne-
toresistive sensors with the type of Honeywell
1.2 Organization
HMC1001/1002. Configured as a 4-element
In Section II, we will show the system design block wheatstone bridge, these types of magnetoresistive
diagram of prototype and the detailed workflow. sensors convert magnetic fields into a differential
115

Figure 3. The set/reset circuit.
Figure 1. (a) Design principle diagram.
Figure 4. The filtering and amplifying circuit.

Figure 1. (b) The entity of detector part.
a magnetic switching technique can be applied to

the MR bridge that will eliminate the effect of the
magnetic history. The Set/Reset strap can restore
the MR sensor to its high sensitivity state for meas-
uring magnetic fields. This is done by pulsing a
large current through the S/R strap.
The circuit in Figure 3 generates a strong set/
reset pulse ( 4 Amp) under microprocessor control.
The S/R signals are generated from a microproces-
sor and control the P/N channel HEXFET drivers
(IRF7105). The purpose of creating the TRS and
the TSR delays are to make sure that one HEXFET
is off before the other one turns on. Basically, a
break-before-make switching pattern. And the cur-
rent pulse is drawn from the 4.7 μF capacitor.
3.3 The filtering and amplifying circuit

Figure 2. The sensor circuit. In the filtering circuit part, we decide to choose the
passive-RC low-pass filter, which makes the bet-
ter effect. And in the amplifying circuit part, we
output voltage, capable of sensing magnetic fields
choose the AD8221 chip to amplify the signal. The
as low as 30 μgauss. This MR offer a small, low
Figure 4 shows the detailed design of circuit.
cost, high sensitivity and high reliability solution
for low field magnetic sensing.
4 EXPERIMENT
3.2 The set/reset circuit
Most low field magnetic sensors can be affected We use a 3 m iron pipe with one fatigue damage for
by the large magnetic disturbing fields, which may the experiment. The damage is artificial and typical.
lead to output signal degradation. In order to The Figure 5 (a) and (b) show the waveform of
reduce this effect and maximize the signal output, the magnetic field intensity and gradient.
116

of Metal Magnetic Memory Testing (MMMT)
effectively. And based on this method, we have cre-
ated the prototype for detection. Finally the proto-
type is proven to be effective and reliable through
the experiment.
REFERENCES
[1] Dubov A.A. Principal Features of Metal Magnetic

Memory Method and Inspection Tools as Compared
to Known Magnetic NDT Methods [C]. Proceedings
of the 16th Annual World Conference on Non-
Destructive Testing, 2004 (9): 112–114.
[2] Wang B.B, Liao C.R, Shi X.C. Study on Magnetic
Flux Leakage Model and Experimental Apparatus of
Metal Magnetic Memory Testing [C]. International
Symposium on Test Automation and Instrumenta-
Figure 5. (a) The magnetic field intensity. (b) The mag- tion, 2010 (4): 1497–1503.
netic field gradient. [3] Tanasienko A.G, Suntsov S.I, Dubov A.A.
Monitoring Chemical Plant by A Metal Magnetic
Memory Method [J]. Chemical and Petroleum Engi-
We can see that the abnormal magnetic signals neering, 2002 (38): 9–10.
occur once at the same location, where is just same [4] Dubov A.A, Kolokolnikov S, Evdokimov M.
Estimation of Gas and Oil Pipelines Condition Based
as the real damage point. We repeat this experi-
on the Method of Metal Magnetic Memory [C]. 17th
ment many times, and finally get the same result. World Conference on Nondestructive Testing, 2008:
Therefore, we can prove the reliability of the 35–38.
prototype. [5] Lin J.M, Lin F.B, Lin C.J, et al. Nondestructive Test-
ing New Technology of 21 Century Magnetic Mem-
ory Metal Diagnostic Technique [J]. Proceedings of
5 CONCLUSION III International Symposium on Tribo-Fatigue, 2010:
648–650.
The stress concentration zone on the ferromag- [6] Analog Devices. ad8221 datasheet, 1–22.
netic object can be distinguished by the method [7] HMC1001 datasheet, 1–15.
117

Rotor composite faults diagnosis of asynchronous motor

based on complex power
Zhen Wang, Zhi-Fang Lin & Cheng Li

Huazhong University of Science and Technology, Wuhan, Hubei, China
Zhi Zeng
Xianning Vocational Technical College, Xianning, Hubei, China
ABSTRACT: In order to diagnose rotor composite faults of a broken bar and air-gap eccentric in
Squirrel Cage Induction Motors (SCIMs), an approach was proposed based on the complex power modu-
lus. Complex power modulus (apparent power) of SCIM’s stator was derived on the condition of normal
motor and the rotor composite faults. Theoretical analysis indicates that the fundamental component
is eliminated in apparent power, and broken bar and air-gap eccentric fault characteristic frequency are
gained, which is beneficial to the separation and diagnosis of mixed faults. Experimental results demon-
strate that the amplitude of fault characteristic frequency is high in the early fault diagnosis, which shows
the approach is effective to rotor composite faults of early fault diagnosis. The amplitude of 2sf1 raises
linearly along with the increase of broken bar for the case of the rotor composite faults, which is useful to
the quantification of the fault extent.
Keywords: Squirrel Cage Induction Motors; the rotor composite faults; apparent power; the fault char-
acteristic frequency; on-line monitoring
1 INTRODUCTION can be made into a non-immersion and suitable

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

FOR ROTOR COMPOSITE FAULTS
2.1 Complex power

Complex power is defined as [11,12]
s * (uα + ju
ui juβ )(iα jjiiβ )
Figure 1. Spectrum of stator current for the case of
three broken bars. = (uα iα + uβ iβ ) + j (uβ iα uα iβ ) (1)
119

Eq. (1) can be expressed as 2.3 The expression of apparent power for the case
of the rotor composite faults
s = p + jq , (2)
For a broken rotor bars fault of SCIM, the fault
where p is active power, and q is reactive power. characteristic frequency appears in the stator cur-
Clearly, the apparent power is expressed as rent spectrum [13].
s= p2 + q 2 . (3) f1 sff1 = f1
ksf
k k
kffb (9)
where k = 1, 2, 3…; f1, 50 Hz, is power supply fre-

2.2 The expression of apparent power under quency, and s is the slip of the motor.
normal condition For air-gap eccentric of SCIM, the fault char-
The coordinate transformation matrix is acteristic frequency appears in the stator current
spectrum [13]
⎡ 1 1 ⎤
1 − − f1 ± mffr
2⎢ 2 2 ⎥
fecc (10)
C3s 2s = ⎢ ⎥. (4)
3⎢ 3 3⎥
⎢⎣0 2 − where m is 1, 2, 3…, and s is the rotational fre-
2 ⎥⎦ quency of the motor.
When broken bars and eccentricity appear simul-
The stator voltages in three-phase coordinates taneously, currents in stator current is [13–14]
are expressed as
∞
ua U cos ωt ia I cos(ω t ) ∑ {Il ,k c ⎡⎣( − k b )t − ϕ l ,k ⎤⎦
⎛ 2π ⎞ k =1
ub U cos ωt −
⎝ ⎟
3 ⎠ + I r,k cos ⎡⎣(ω1 + kω b )t ϕ r ,k ⎤⎦}
⎛ 2π ⎞ ∞
uc U cos ωt +
⎝ ⎟
3 ⎠
(5) + ∑ {Il ,m cos ⎡⎣(ω mω r ) t − ϕ l ,m ⎤⎦
m =1
where U denotes phase voltage. Using the coordinate + I r,m cos ⎡⎣(ω1 + )t − ϕ r,m ⎤⎦}
transformation matrix, the stator voltages can be ⎛ 2π ⎞
expressed in two-phase static coordinates as follows: ib = I1 cos ω1t − ϕ − ⎟
⎝ 3 ⎠
∞
⎧ ⎡ 2π
3
U cos ωt
+ ∑ ⎨I l ,k cos ( 1 − )t − ϕ l ,k − 3 ⎤⎥
uα k =1 ⎩ ⎣ ⎦
2
⎡ 2 π ⎤ ⎫
3 + I r,k cos (ω1 kω b )t − ϕ r ,k − ⎬
uβ
2
U sin ωt (6) ⎣ 3 ⎥⎦ ⎭
∞
⎧ ⎡ 2π
and the stator currents in two-phase static coordi-
+ ∑ ⎨I l ,m cos ( − )t − ϕ l ,m − 3 ⎤⎥
m =1 ⎩ ⎣ ⎦
nates are
⎡ 2π ⎤ ⎫
+ I r,m cos (ω1 + mω r ) t − ϕ r,m − ⎬
3 ⎣ 3 ⎥⎦ ⎭
iα I1 cos(ωt ϕ ) ⎛ 2π ⎞
2 ic = I1 cos ω1t − ϕ + ⎟
3 ⎝ 3 ⎠
iβ I1 sin(ωt ϕ ) (7) ∞
⎧ ⎡ 2π ⎤
2 + ∑ ⎨I l ,k cos (ω1 − kω b )t − ϕ l ,k +
k =1 ⎩ ⎣ 3 ⎥⎦
where I1 denotes phase current and ϕ denotes ⎡ 2π ⎤ ⎫
+ I r,k cos (ω1 + kω b )t − r ,k + ⎬
3 ⎥⎦ ⎭
phase difference. Combining (6) and (7) gives
⎣
∞
⎧ ⎡ 2π
s0
3
UII1 .
U (8) + ∑ ⎨I l ,m cos ( − )t − l ,m + 3 ⎤⎥
2 m =1 ⎩ ⎣ ⎦
⎡ 2π ⎤ ⎫
+ I r,m cos (ω1 − mω r )t − ϕ r ,m + ⎬
Equation (8) indicates that the spectrum of the
⎣ 3 ⎥⎦ ⎭
apparent power has only DC component under
normal condition. (11)
120

where ω1 ± kω b = 2π f1 ± kffb ) , ω1 ± ω r = 2π (f1 ± where sd is DC component, skω b is frequency kω b
mfr), I l ,k , and ϕ l ,k are, respectively, the peak value in apparent power due to the fault frequency of
and phase of ω1 kω b ; I r,k and ϕ r,k are, respec- broken bars, and smω r is frequency mω r in apparent
tively, the peak value and phase of ω1 + kω b ; I l ,m power due to the fault frequency of air-gap eccen-
and ϕ l ,m are, respectively, the peak value and phase tric. For rotor composite fault, the fault character-
of ω1 ω r; I r,m and ϕ r,m are, respectively, the istic frequency of broken bars is kω b , and air-gap
peak value and phase of ω1 + ω r . eccentric is mω r , which is useful to the separation
Using matrix (4), currents of stator current in and diagnosis of a rotor composite fault.
two-phase static coordinates can be gained easily
3 3 EXPERIMENT RESULTS
iα I1 cos(ω1t ϕ )
2 Experiments are performed on a three-phase
∞
+∑
k =1 2
3
{
I l ,k cos ⎡⎣(ω1 kω b )t − ϕ l ,k ⎤⎦ SCIM, Y100 L1–4. A rated mechanical load was
supplied with a separately excited 2.3 kW DC
+ I r,k cos ⎡⎣(ω1 + kω b )t − ϕ r,k ⎤⎦ } generator. Motor rated speed is 1440 r/min, and
rated load is 2.3 kw. At the same time, rated volt-
∞ age is 380 V and rated current is 5 A. Validating
+ ∑
m =1
3
2
{
I l ,m cos ⎡⎣(ω1 − mω r )t − ϕ l ,m ⎤⎦ the effectiveness of this approach, different motor
fault cases have been set. The cases contain normal
+ I r,m cos ⎡⎣(ω + k r )t }
− ϕ r,m ⎤⎦ rotor with eccentricity, one broken bar with eccen-
tricity, two broken bars with eccentricity, as well
3 three broken bars with eccentricity. The following
iβ I1 sin(ω1t ϕ )
2 results can be received from Figures 2–6.
∞
+∑
k =1 2
3
{ si ⎡⎣(ω1 kω b )t − ϕ l ,k ⎤⎦
I l ,k sin
+ I r,k si ⎡⎣(ω1 + kω b )t − ϕ r,k ⎤⎦ }

∞
+∑
m =1 2
3
{
I l ,m sin ⎡⎣(ω1 − )t − ϕ l ,m ⎤⎦
+ I r,m si ⎡⎣(ω1 + kω r )t − ϕ r ,m ⎤⎦ } (12)
Combining (6), (12), and (1), active and reactive

power can be obtained
∞
3 ⎧
p U ⎨I1 cosϕ
2 ⎩
∑ ⎡⎣Il ,k cos(k
(k bt + l ,k )
Figure 2. Spectrum of complex power modulus for the
k =1
∞ case of eccentricity fault.
+ I r,k cos( kω bt − ϕ r,k )⎤⎦ ∑ ⎡⎣ ,m cos(
c ( r ϕ l ,m )
m=1
⎫
+ I r,m cos(( kω rt − ϕ r ,m )⎤⎦ ⎬
⎭⎪
∞
3 ⎧
q U ⎨I1 si ϕ ∑ ⎡⎣I l ,k sin
2 ⎩
(
i kω bt + ϕ l ,k )
k =1
∞
− I r,k si ( kω bt − ϕ r,kk )⎤⎦ ∑ ⎡⎣Il ,m si ( m rt l ,m )
m=1
− I r,m sin( mω rt − ϕ r ,m )⎤⎦ }
(13)
From (3) and (13), apparent power for the case
of the rotor composite fault can be expressed as
sb = sd + skω b + smω r (14) case of one broken bar and eccentricity.
121

to the separation and diagnosis of mixed faults.
Especially, the amplitude of the fault charac-
teristic frequency is high in the early fault diag-
nosis, which shows the approach is effective to
rotor composite fault of early fault diagnosis.
The amplitude of 2sf1 raises linearly along with
the increase of the broken bar for the case of the
rotor composite fault, which is beneficial to the
quantification of the fault extent, as is shown in
Figure 6.
4 CONCLUSION
case of two broken bars and eccentricity. In this paper, an approach is proposed based on
apparent power for detecting rotor composite fault
of the broken bar and air-gap eccentric. Theoreti-
cal analysis and experimental results indicate that
broken bar and air-gap eccentric fault charac-
teristic frequency are, respectively, kfb and mfr in
the spectrum of apparent power, thus the charac-
teristic frequency of the rotor composite fault is
separated. The amplitude of the fault characteris-
tic frequency is high in the early fault diagnosis,
for example, one broken bar, which shows the
approach is effective to rotor composite fault of
early fault diagnosis. The amplitude of 2sf1 raises
linearly along with the increase of the broken bar
for the case of the rotor composite fault, which is
useful for the quantification of the fault extent and
construction of diagnostic rules.
case of three broken bars and eccentricity.
ACKNOWLEDGMENT
The authors wish to acknowledge the contribution

of Zhi Zeng, the second author, who is also the
corresponding author of this paper.
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itoring and fault diagnosis of electrical motors—A
review. IEEE Trans. Energy Converts 20(4):719–729.
[2] Sun, L.L. Xu, B.Q. & Li. Z.Y. 2012. A MUSIC-SAA
Based Detection Method For Broken Rotor Bar
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amplitude of 2sf1 in apparent power. Electrotechnical Society 27(12):205–212.
[3] Bellini, A. 2009. Quad demodulation: A time-do-
main diagnostic method forinduction machine. IEEE
1. Figure 2 shows that the fault characteristic fre- Trans. Ind. Appl. 45(2):712–719.
quency of eccentricity is mfr in the spectrum of [4] Liu, Z.X., Yi, X.G. & Zhang, Z. 2003. On-line rotor
apparent power. Obviously, when m is 1, the fault diagnosis way based on spectrum analysis
of instantaneous power in squirrel cage induction
amplitude of characteristic frequency is highest motors. Proceedings of the CSEE 23(10):148–152.
and the fault is diagnosed easily. [5] Blödt, M., Regnier, J. & Faucher, J. 2009. Distinguish-
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gap eccentric fault characteristic frequency are, induction motors using stator current Wigner distri-
respectively, fb (k = 1) and mfr, which is beneficial butions. IEEE Trans. Ind. Appl. 45(6):1991–2000.
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[6] Arthur, N. & Penman, J. 2000. Induction machine [11] Jung, J.H. & Kwon, B.H. 2006. Corrosion model of a
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123

Commissioning and operation of Heze some leather wastewater

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

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

processing and to achieve good treatment effect
There were more than 2000 leather enterprises were little. This article introduced in detail the
which produce more than 138 million tons of whole operation of a leather sewage plant in Heze,
wastewater. Due to the large number of chemi- including primary physicochemical treatment, the
cals used in the leather production process [1], operation of the secondary biochemical treatment
leather wastewater was considered to be one of and advanced treatment.
the world’s most polluted wastewater [2]. Because
of this, governance and solving the leather waste-
water pollution were the urgent affairs of the 2 THE BASIC INFORMATION
leather industry. It has become important factors OF THE PLANT
which affect the sustainable development of the
leather industry. 2.1 Main technological processes of the plant
Leather wastewater treatment methods mainly The leather industry sewage plant mainly dis-
included physical and chemical methods [3] and poses the water produced in the process of leather
biochemical methods [4–5]. Physical and chemi- production. The design flow rate was 3000 m3/day.
cal methods mainly included flocculation precipi- Pretreatment of the plant level included coarse
tation, reverse osmosis, electrochemical, ozone and fine screen, ash sump, regulation pool and
and Fenton oxidation, etc. Biochemical methods flocculating chamber. The secondary process-
mainly included SBR, A/O, and the MBR, etc. ing mainly included primary biochemical pool
In order to make the leather wastewater meet and secondary biochemical pool. Deep process-
the processing requirements, people often used ing was Fenton and its function was to dispose
the combination of physical and chemical meth- hard biodegradable organic matter by strong
ods and biological method combined process. oxidation.
Physicochemical method is commonly used in
pretreatment or deep processing phase, and main
2.2 Leather wastewater
technology was biochemical method which could
remove most of COD and ammonia nitrogen of The design of water quality and the actual water
the wastewater. quality of leather wastewater is shown in Table 1.
At present, most studies of leather wastewater Table 1 shows that the actual water quality has
were done in a small or pilot level. Reports on the been beyond the design water quality except pH.
125

Table 1. Comparison of design quality leather wastewater and the actual water quality.
Index COD BOD NH4+-N SS Sulfide pH
Design quality 3000 2000 200 3000 60 6–10

Actual quality 2800–5400 1800–3000 188–513 2500–3400 56.3–82.5 8.9–7.7
Note: The unit is mg/L except pH.
3. THE RESULTS AND DISCUSSION
3.1 Pretreatment
Pretreatment preprocessing included coarse and
fine screen, ash sump, regulation pool and floccu-
lating chamber. The effect of primary treatment of
wastewater is shown in Figure 1.
Figure 1 shows that in the debugging process,
the removal rate of SS has been stable at more than
95%. Ten days before debugging, the flocculants
were PAC and PAM, the dosages were 300 mg/L
and 5 mg/L, respectively. Debugging results showed
that the COD removal rate of PAC and PAM was
low, which was 15%–20%. Not only that, because Figure 1. Effect of pre-treatment.
PAC has no desulfurization, the removal rate of
sulfur ions of wastewater is only about 10%. In
order to reduce the follow-up biochemical oxygen vated sludge was added to primary A/O every day
consumption of the process, reduce the process- as a kind of seed sludge. The process sustained
ing cost, starting from the 11th day, the floccu- nine days. The seed sludge came from Heze first
lant changed to ferrous sulfate and PAM and the city municipal sewage plant and the sludge concen-
dosages were 300 mg/L and 5 mg/L, respectively. tration was 100 g/L. The volume of addition was
Because the iron in ferrous sulfate ion can react 25 m3 per day. In the fifth day, the seed sludge came
with sulfur ions in waste water, starting from the from Heze third city municipal sewage plant which
11th day, removal rate of the sulfur concentration was pressure filtration activated sludge. Therefore,
in wastewater was around 95% and sulfur ion con- sludge concentration increased rapidly and there
centration in water was stable at 5 mg/L. Due to the are 4 days of 1539 mg/L and up to 5 days of
vast majority of sulfur ions in waste water has been 2516 mg/L. On the ninth day, the sludge concentra-
removed, the effluent COD was greatly reduced. tion of A/O pool has reached 3784 mg/L, and the
The removal rate was from the original 15% to adding of seed sludge was stopped. Because leather
35%. Thus, for leather wastewater, a combination wastewater has certain toxicity, the water inflow
of ferrous sulfate and PAM treatment effect was was increased step by step. In that condition, the
better than the combination of PAC and PAM. activated sludge gradually adapts to the water qual-
ity of leather wastewater. Before the commissioning
of 13th day, because of the water inflow was not so
3.2 Biochemical treatment
much, the water inflow was intermittent. Artificial
Biochemical was the core part of the sewage treat- additive glucose was added at the same time in
ment plant. In biochemical treatment, most of order to make sure of organic matter content in the
the organic matter and ammonia nitrogen was wastewater. Before the 13th day of debugging, the
removed. It included primary and secondary A/O. effluent COD and ammonia nitrogen were around
Due to large change of leather wastewater, the pri- 200 mg/L and 3 mg/L, the removal rate reached 90%
mary A/O was oxidation ditch form, and second- and 95%, respectively. From 14th day, the water
ary A/O was traditional push streaming. inflow reached 1200 m3. Compared to the 13th day,
the volume of water inflow increased by 150%. The
3.2.1 The effect of primary A/O successive way of inflowing was used. Because of
During debugging, the sewage plant sludge concen- the increase of the wastewater, the effluent COD
tration of A/O, the water inflow, the concentration and ammonia nitrogen have some fluctuation; the
of ammonia nitrogen and COD in influent and effluent COD and ammonia nitrogen were 521 mg/L
effluent are shown in Figure 2. Figure 2 showed and 13.5 mg/L, respectively, i.e. more than double
that in order to accelerate the debugging and compared to the previous data. This showed that
domestication, after the start of debugging, acti- the increase of water inflow has a certain impact on
126

water flow was reduced to 2000 m3. After reducing
the water flow, the effect of treatment was recov-
ered quickly. From the 37th day, the water flow
was 3000 m3 and the effect of treatment was not
deteriorated. Until the end of commissioning, the
operation of the system has been very stable, sludge
concentration remained at around 4000 mg/L, the
removal rate of COD and ammonia nitrogen has
remained steady at around 95%.
To sum up, at the beginning of debugging, it was
a good strategy to add a large amount of activated
sludge and carbon source. At the same time, com-
bining with the gradient of the inflow, the activated
sludge could rapidly adapt to the water quality of
leather wastewater. After the system was subjected
to shock loading, the quality of the efflux was dete-
riorated, but recovered quickly. It suggested that
oxidation ditch form has a strong impact resistance
capacity. If the water inflow was more than 50%
of the design inflow, the system will collapse. But,
after reduction of water, the effect of treatment was
recovered rapidly. In the end, the concentration of
A/O effluent COD and ammonia nitrogen was
200 mg/L and less than 5 mg/L, respectively and
removal rate reached 95% and 98%, respectively.
Figure 2. Secondary biochemical sludge concentration
in water and wastewater treatment effect. (a) Sludge con- 3.2.2 Secondary A/O
centration, water inflow, COD and ammonia nitrogen From the 21th day of debugging, secondary A/O
variation. (b) The removal rate of COD and ammonia was started. The main role of the secondary A/O
nitrogen. was to remove organic matter and ammonia nitro-
gen of wastewater further. Due to the actual opera-
tion process, nitrification was good, the ammonia
the system, leading to the reduction of removal rate of the inflow of secondary A/O was low. The func-
of COD and ammonia nitrogen. tion of secondary A/O was to remove COD. The
But then the system returns to normal soon, the result of secondary A/O is shown in Figure 3. In
removal rate of COD and ammonia nitrogen returns order to improve the efficiency of debugging, at
to more than 90%. This showed that oxidation ditch the beginning of debugging the secondary A/O
in the form of A/O process has a strong resistance also added foreign activated sludge as seed sludge.
for impact load. Even the organic load was more After adding the first time, the sludge concentra-
than double, the system would not lead to crash. tion reached 700 mg/L. In order to ensure the
On the 20th day of debugging, the water inflow was treatment effect, debugging on 26th day, more seed
increased to 1800 m3 and the system performance sludge was added. Eventually sludge concentration
was good. Because the resistance ability of impact of secondary A/O maintained at about 1500 mg/L.
was strong, the water inflow increased every 3 days.
On the 32th day of debugging, the water inflow had
reached the designed water quantity, 3000 m3 per
day. It was important to note that on the 35th day
of debugging, due to human error, the water inflow
suddenly increased to 4800 m3/d, which lasted for
about 12 h. The sludge concentration of the system
soared to more than 6000 mg/L and the color of the
activated sludge had changed from amber to dark
brown, while the DO of the aerobic pool was under
0.2 mg/L. These phenomena show that the system
was beyond the scope of affordability. Subsequent
testing also shows that under the water inflow, there
is an obvious higher effluent COD and ammo-
nia nitrogen, removal rate fell sharply. In order to
make the system quickly recover, on the 36th day, Figure 3. Secondary A/O treatment effect.
127

Table 2. Test in Fenton experimental results.
Raw water COD = 130 mg/L First Second Third Fourth Fifth
Dosage of ferrous sulfate 0.25 kg/m3 0.5 kg/m3 0.5 kg/m3 0.5 kg/m3 1 kg/m3

Dosage of H2O2 0.5 kg/m3 0.25 kg/m3 0.5 kg/m3 0.8 kg/m3 0.8 kg/m3
COD (eff) 76 mg/L 46 mg/L 40 mg/L 15 mg/L 10 mg/L
Removal rate 41.5% 64.6% 69.2% 88.4% 92.3%
Because of the concentration of wastewater was

low, the secondary A/O the COD removal rate was
not high, generally between 9% and 50%. And efflu-
ent COD was generally between 80 and 150 mg/L.
It is important to note that on the debugging 35th
day, the COD of secondary A/O inflow increases
suddenly which reached 612 mg/L. But the COD of
effluent of secondary A/O keeps within 150 mg/L.
Thus, the secondary A/O not only has the effect of
deep processing. When primary A/O has operation
problems, it could also be used as a buffer pool, to
ensure the biochemical effluent water quality.
3.3 Oxidation treatment Figure 4. COD removal rate of Fenton.

Through biochemical processing, leather wastewater
effluent COD was between 80 and 150 mg/L, which
could not meet the local COD emission standards 4 CONCLUSION
(COD < 60 mg/L). So the wastewater needed further
in-depth processing. The choice of technology was Heze, a sewage plant, uses coarse and fine screen +
Fenton oxidation. In order to improve the efficiency ash sump + regulation pool + flocculating chamber +
of debugging, we have done some tests to determine primary biological treatment+secondary biological
the reaction parameters. The experimental results treatment + Fenton oxidation process to dispose
are shown in Table 2. Table 2 shows raw water COD leather wastewater. The COD and ammonia nitrogen
was 130 mg/L, higher than the average concentration were 2800–5400 mg/L and 188–513 mg/L, respec-
of the water. The experiment was divided into five tively. Through 45 days of commissioning, start-up
groups, all the raw water add hydrogen peroxide and success and effluent COD and ammonia nitrogen
ferrous sulfate after pH to about 4, under the condi- are lower than 60 mg/L and 5 mg/L, respectively.
tion of stirring reaction for an hour. After the reac-
tion, the pH was increase back to 7, and then PAM
(3 mg/L) was added. Experimental results suggested REFERENCES
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water COD was 76 mg/L and the highest COD [1] Amel Benhadji, Mourad Taleb Ahmed, Rachida
removal rate was 92.3% which the effluent COD was Maachi. Electrocoagulation and effect of cathode mate-
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10 mg/L. Considering the actual emission standard
ter of Rou ba [J]. Desalination, 2011, 277(1–3): 128–134.
and economic factors, determination of ferrous sul- [2] Alberto Mannucci, Giulio Munz, Gualtiero Mori.
fate and hydrogen peroxide dosage of 0.5 kg/m3 and Anaerobic treatment of vegetable tannery wastewaters:
0.25 kg/m3. A review [J]. Desalination, 2010, 264(1–2): 1–8.
Fenton oxidation in the actual debugging process [3] Sajjad Haydar, Javed Anwar Aziz. Coagulation–floc-
of the effect of the secondary biochemical process is culation studies of tannery wastewater using combina-
shown in Figure 4. Figure 4 shows that the Fenton tion of alum with cationic and anionic polymers [J].
process was started on the 31th day of debugging. The Journal of Hazardous Materials. 2009, 168: 1035–1040.
secondary biochemical effluent has been relatively [4] R. Ganesh, G. Balaji, R.A. Ramanujam. Biodegra-
dation of tannery wastewater using sequencing batch
stable which could deal with the actual effect of the
reactor-Respirometric assessment [J]. Bioresource
real reaction. Within 15 days of the debugging proc- Technology, 2006, 97: 1815–1821.
ess, in accordance with the test parameters, namely, [5] G. Farabegoli, A. Carucci, M. Majone. Biological
ferrous sulfate and hydrogen peroxide, 0.5 kg/m3 and treatment of tannery wastewater in the presence of
0.25 kg/m3, respectively. The stable effluent COD chromium [J]. Journal of Environmental Manage-
within 60 mg/L, removal rate of 54–64%. ment, 2004, 71: 345–349.
128

Engineering depth treatment of pharmaceutical wastewater by

magnetization catalytic oxidation-A2O-MBR combined process
W. Zhao, B. Liu, H.D. Zhuang, K. Wang & H.D. Ji

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

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

Setting (mg ⋅ L−1) (mg ⋅ L−1) (mg ⋅ L−1) (mg ⋅ L−1) pH
Influent 3000 250 650 1100 8.5

Effluent ≤250 ≤30 ≤15 ≤5 7.0
The secondary emission standard 300 60 50 150 6∼8
129

3 PROCESS SELECTION The main residual organic pollutants in the
biochemical treated wastewater are the small
3.1 Process molecules polar organic matter with nega-
tive charge, in which the electronegative active
In view of the poor biodegradability, high concen-
points were packed in unsystematic arrange-
trations of nitrogen and SS of this kind of phar-
ment of water molecules under the normal state.
maceutical wastewater, the deep treatment process,
After magnetization treatment, water molecules
that is the magnetization catalytic oxidation-A2O-
group collapsed and rearranged according
MBR process, were proposed on the basis of tests
to the direction of magnetic field lines, which
in the laboratory and engineering experience in
reduced the collision barriers between the
pharmaceutical wastewater treatment. This proc-
polarity of organic activity and elixir molecule,
ess has significant effects on improving biodegrad-
and increased the speed and degree of chemical
ability, denitrification and phosphorus removal,
reaction significantly.
and intercepting suspended solid, and also provid-
When the effluent from secondary sedimen-
ing reference for this kind of wastewater.
tation tank flowed into the hybrid reactor, the
Process is shown in Figure 1.
processes such as combining of drugs, activat-
ing of catalyst and organic pollutant molecule
3.2 The main process description would be conducted. Then, the effluent flowed
into the catalytic polymerization reaction zone,
Technological process mainly includes the magnet-
the hard biodegradable macromolecular pol-
ization catalytic oxidation treatment unit, A2O and
lutants can be degraded into small molecules
MBR treatment unit.
through chemical oxidation, and thus improved
1. Magnetization catalytic oxidation treatment the biodegradability.
unit 2. A2O and MBR treatment unit
After biochemical reactions, there are macro- The process of degradation of organic pol-
molecular organic matters which are difficult for lutants, nitrogen and phosphorus removal of
biochemical degradation in the pharmaceutical pollutants of the wastewater would proceed in
wastewater. The establishment of this unit is to the biochemical tank. Then, the effluent would
remove part of the organic matter, as well as to flow into the membrane processing unit to
improve biodegradability of the wastewater. strengthen the biochemical function. The waste-
water treated by the membrane filtration system
can be discharged or entering the subsequent
processing system.
3.3 The main structure and design parameters

The main structure and design parameters are
shown in Table 2.
4 OPERATING RESULTS
4.1 Magnetization catalytic oxidation

treatment unit
When the effluent from the secondary sedimenta-
Figure 1. Figure of process. tion tank flowed through the magnetizer, catalytic
Table 2. The main structure and design parameters.
Serial number Structures Specifications Size Quantity Parameters
1 Sump Brick 15 × 10 × 5 m 2 HRT = 24 h

2 Catalytic oxidation pond Brick 10 × 10 × 5 m 1 HRT = 8 h
3 Sedimentation tank Brick 10 × 10 × 5 m 1 HRT = 8 h
4 Biochemical pool Brick 30 × 20 × 5 m 1 HRT = 48 h
5 Membrane pool Steel 10 × 10 × 5 m 1 HRT = 8 h
130

oxidation reaction would occur. The test and actual
engineering application indicating the catalytic
oxidation effect and biodegradability increased
significantly after magnetization. Due to the main
aim of this unit is to improve the biodegradability
but not to degrade all organic matter, less dosage
was used to save cost.
The inflow of this deep processing system is
1500 m3/d, the COD, BOD, ammonia and SS of
the inflow are 2800–3200 mg/L, 600–700 mg/L,
1000–1200 mg/L, respectively. After wastewater
is let into the magnetizing apparatus, sulfuric acid
and 0.25 kg/m3 of ferrous sulfate were used to
adjust pH to 4–5. Afterwards, 0.5 kg/m3 of H2O2
was added and reacted fully, then, NaOH solu-
tion was added to adjust the pH to be 7∼8. After Figure 3. The ratio of BOD and COD ratio.
precipitation, the COD and SS of the supernatant
can reduce to 1500–1800 mg/L and 300–400 mg/L,
respectively, whereas the BOD of supernatant rises
to 400–600 mg/L, and ammonia nitrogen almost
remains the same.
After a period of debugging, the parameters of
the magnetized catalytic oxidation unit become
stable, 30 days was selected to observe the trend
of the change of COD and BOD. As can be seen
from Figure 2, both the COD and BOD of inflow
and outflow keep stable, COD removal rate was
about 45%, and BOD increased obviously. As can
be seen from Figure 3, the ratio of BOD and COD
increased from 0.07 to 0.07, and the biodegrad-
ability improved apparently. All of which demon-
strated the potential in providing a good condition
for the subsequent biochemical unit.
Figure 4. Before and after biochemical pool COD and
4.2 A2O processing unit ammonia nitrogen concentration.
Aiming at the problem of high ammonia nitrogen
in wastewater, the A2O processing units were set up
to achieve the purpose of removing nitrogen and phosphorus and degrading organic matter at the
same time. The ammonia nitrogen content in the
wastewater is as large as 600–700 mg/L, it would
damage the activated sludge if the wastewater was
directly discharged into the biochemical system.
Thus, the inflow must be mixed with the wastewater
treated by the MBR membrane pool with volume
of 1:1 before letting into the biochemical system.
In order to maintain the best condition of alka-
linity and pH of the biochemical system, a certain
amount of NaCO3 and NaOH needs to be added
in the process of ammonia nitrogen degradation.
The local municipal sludge was adopted for the
cultivation and domestication of activated sludge
in this biochemical unit. The inflow water was
gradually increased to 1500 m3/d by four stages,
sludge quantity in the aerobic pond was main-
tained at about 6000 mg/L. Figure 4 shows the
Figure 2. Compare COD and BOD before and after data of 30 days consecutive testing after debug-
reaction. ging stability. As can be seen from Figure 4, after
131

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

pharmaceutical wastewater has characteristics
132

Study of broadband microstrip circulator using YIG single crystal
Zhi-Qun Cheng, Ya Luan, Min-Shi Jia & Xin-Xiang Lian

Key Laboratory of RF Circuit and System, Education Ministry, Hangzhou Dianzi University, Hangzhou, China
ABSTRACT: A broadband C-band microstrip junction circulator is designed in this paper, and the
design method and process are given. By using double Y-junction technology, we improve the bandwidth
of the circulator. The substrate is YIG single crystal ferrite materials. This circulator is simulated with
HFSS software. After Optimization, we get performances of the circulator, the results show that insertion
loss of circulator is less than 0.5 dB from 3.90–9.15 GHz, isolation is more than 15 dB. Meanwhile, con-
sidering the change of material properties under high frequency, we do a deviation analysis.
Keywords: ferrite; broadband; circulator
1 INTRODUCTION 2 THEORY
Ferrite circulator, as one of nonreciprocal micro- Ferrite circulator is a nonreciprocal three-port

wave components based on ferrites, plays an device and it possesses a unidirectional transmis-
important role in modern communications [1]. sion of high-frequency signal energy characteristic,
The circulators have been used in wireless com- because of using gyromagnetic ferrite material.
munications, GSM/WCADMA mobile commu- To Design a circulator, first, we must determine
nications systems, GPS, military radar, electronic the saturation magnetization of ferrite (4πMs).
warfare and other RF systems [2]. Most circulator Saturation magnetization intensity is saturated
use waveguide structure, it works as a large exter- magnetic moment of ferrite per unit volume.
nal module in circuit system rather than integrated Under normal circumstances, the higher center fre-
into circuit PCB. It is an effective and reasonable quency f0 of annular is, the bigger saturation mag-
way to reduce the size and weight of devices [3]. netization 4πMs of the ferrite materials adopted
Development of broadband technology also brings is [4]. Figure 1 shows the saturation magnetiza-
a big challenge to the circulator, how to improve the tion. It shows the relationship between saturation
bandwidth of the circulator has became an urgent
problem for RF engineers. Double Y-junction cir-
culator has a good performance on miniaturiza-
tion and bandwidth, so it becomes a hot research
direction.
In this paper, a broadband C-band microstrip
junction circulator is designed. The bandwidth
of the circulator is improved by using “double
Y-junction” technology. First, the appropriate fer-
rite materials-YIG single crystal is chosen at first.
And then, the related parameters and modeling
are set up. Finally, circuit is simulated by using
software of HFSS (High Frequency Structure
Simulator). It is analyzed that the circulator per-
formances change with permittivity and the reso-
nance linewidth of YIG material. The simulated
results show that insertion loss of circulator is less
than 0.5 dB from 3.90 to 9.15 GHz, isolation is
more than 15 dB, and VSWR is less than 1.46.
Meanwhile, deviation analysis is given out for con-
sidering the change of material properties under Figure 1. The choice of saturation magnetization
high frequency. working.
133

magnetization and the center frequency, which that the center equal model is RLC parallel circuit.
indicates the basic linear relationship: The equivalent admittance of center is following as:
4πMs ≈ 0.3f0 (MHz) (1) Gj = Gr + jωC1 + 1/jωL1 (3)
The center frequency of C band is 6 GHz, so, The small Y-junction equivalent model is LC par-
ferrite materials whose saturated magnetization allel circuit, the equivalent admittance of center is
intensity is about 1850 G is chosen with frequency
of 6 GHz. YIG gyromagnetic materials is adopted Gy = jωC2 + 1/jωL2 (4)
as the substrates of circulator, the saturation mag- Under the action of small Y-junction, equiva-
netization of materials is 1780 G, the relative dielec- lent admittance of center is:
tric constant εr equal to 15, the linewidth is 20 Oe,
dielectric loss is 0.0037. The resonance linewidth G1 = Gr + jωC1 + 1/jωL1 + jωC2+ 1/jωL2
of the material is very small, [5] which have a posi-
tive impact on developing circulator’s bandwidth = Gr + jω (C1 + C2 − 1/L1 − 1/L2 (5)
and reducing the insertion loss.
By adjust the size of small Y-junction open-
C band circulator generally works in low field
circuit line, supposing:
mode. It means that constant deviation resonance
magnetic field intensity is lower than the material
jω (C1 + C2 − 1/L1− 1/L2= 0 (6)
itself. Due to the demagnetization effect itself, fer-
rite materials’ infield is close to 0. In the design, It means that the imaginary part of center
we set the diamond as 0 to simplify the problem. impedance is nearly disappear. Pure resistance is
Another important parameter is the size of the easy to match to 50Ω in wideband.
center of the circular. The center junction radius R
can be calculated by equation:
3 DESIGN
R a λ0 ξr μ⊥ (2)
According to selection of material and calculation
of the design, double Y-junction microstrip circu-
where, “a” takes between 0.127∼ 0.293, λ0 is for the lator is designed as shown in Figure 3. Using 3D
center frequency, εr is ferrite relative dielectric con- electromagnetic field simulation software of Ansoft
stant, effective permeability μ⊥ takes between 0.5 ∼ HFSS to establish and simulate circulator model.
0.8. Finally, the center junction radius R is calcu- YIG and substrate of printed copper microstrip
lated of 2.9 mm. line are adopted in the design and microstrip line
Double Y-junction circulator is a good candidate thickness is 0.002 mm.
to get performances of miniaturization and wide Figure 4 shows the circulator’s flat structure and
bandwidth. So, it becomes a hot research direction. part parameters. The destination of the design of
[6] By adding a small Y-junction, the impedance the three different microstrip lines is to match the
of center can be adjusted. If small Y-junction
has appropriate size, the imaginary part of center
impedance is close to zero in wideband. It avoids
that imaginary part of impedance changes with
frequency and provides a precondition for broad-
band circulator. The equivalent model is given
in Figure 2. Essentially, small Y-junction is open-
circuit line, it multiples with the center. It shows
Figure 2. The equivalent circuit of Y-junction choice of

saturation magnetization. Figure 3. The model of circulator.
134

(isolation) is more than 15 dB, S11 (return loss) is
less than 15 dB at the frequency range from 3.90
to 9.15 GHz.
Microwave circuit and device is becoming
smaller. Decrease the thickness of YIG substrate
a good way to make circulator smaller. The rela-
tionship between the thickness and insertion loss
is simulated in this design. At center frequency
6 GHz, we observe the insertion loss while chang-
ing the thickness of substrate from 0.7 to 2.2 mm.
The relation between them is showed in the follow-
ing Figure 6.
The relative permittivity and the resonance
linewidth of YIG material will fluctuate in high
frequency [7]. Figure 7 shows curves of S11, S21
versus the resonance linewidth respectively at
frequency of 4, 6, 8 GHz. The bigger resonance
linewidth of the ferrite materials is, the bigger
insertion loss (S21) is. The RMSE (Root-Mean-
Figure 4. The parameters of circulator. Square Error) of S11 are 0.03656, 0.02503, 0.01966
respectively at frequency of 4, 6, 8 GHz, this shows
a good stability. Port 1 reflection coefficient (S11)
is almost constant.
Figure 5. Simulated S parameters of circulator.
Figure 6. Insertion loss at different thickness.

center junction impedance to port characteristic
impedance 50 Ω, in order to improve the device
performance, two-stage microstrip matching is
adopted and small Y-junction is added. So it can
effectively expand the bandwidth. The circula-
tor is simulated with impedance of three ports
of 50 Ω and frequency range from 3 to 10 GHz.
The physical parameters R, W1, L1, W2 and L2,
W3, L3 are optimized to obtain ideal transmission
characteristics.
After optimization, simulated results show in
Figure 5 at the frequency range from 3 to 10 GHz.
Circulator is symmetry, the performance of port 2
and port 3 is same to port 1.
The circulator works in the annular direction as
1-2-3-1 according to the S parameter simulating
result. S21 (insertion loss) is less than 0.5 dB, S31 Figure 7. Simulated S parameters at different linewidth.
135

(the black curve): the relative dielectric constant εr
is 15 and the linewidth is 20 Oe. S21 (insertion loss)
down a little and S11 have a deviation toward high
frequency on deteriorative situation.
4 CONCLUSIONS
By using double Y-junction technology, the per-

formances of bandwidth of the circulator are
improved. An ultra broadband circulator with
YIG single is successfully designed. It shows that
insertion loss of circulator is less than 0.5 dB from
3.90–9.15 GHz, isolation is more than 15 dB.
Circulator is still stable while the permittivity and
Figure 8. Simulated S parameters at different permittivity. the resonance linewidth of YIG material have a
fluctuation.
ACKNOWLEDGMENT
This work was supported by Natural Science Foun-

dation of Zhejiang Province (No. Z1110937).
REFERENCES
[1] J. Helszajn, The Stripline Circulators: Theory and

Practice, Wiley, 2008.
[2] L.Y. Tio, et al, “Novel general finite elementsolver
for gyroelectric structures,” in IEEE MTTSInt. Dig.,
vol. 1, Jun. 2003, pp. 421–424.
[3] H. Newman, D.C. Webb, and C.M. Krown “Design
and realization of millimeter wave microstrip circula-
tors,” Proc. SPIE, Vol. 2842, pp. 181–191, 1996.
Figure 9. Ideal and deteriorative S parameters. [4] W.K. Gwarek and A. Moryc, “An alternative
approach to FD-TD analysis of magnetized ferrites,”
IEEE Microwave and Wireless Component Letters,
Vol. 14, No. 7, July 2004.
Figure 8 shows the relationship between S11, [5] Lu and F.A. Fernandez, “An efficient finite ement
S21 and relative dielectric constant respectively solution of inhomogeneous anisotropicand lossy die-
at 4, 6, 8 GHz. Insertion loss (S21) increases as lectric waveguides,” IEEE Trans. Microwave Theory
relative permittivity decreases, and port1 reflection Tech., vol. 41, pp. 1215–1223, June/July 1993.
coefficient (S11) increases as relative permittivity [6] O. Zahwe, B. Abdel Samad, B. Sauviac, J.P. Chatelon,
decreases at the low frequency such as 4GHz. The M.F. BlancMignon and J.J. Rousseau, “YIG thin film
RMSE of S21 is 0.06014. The RMSE of S11 is used to miniaturize acoplanar junction circulator,” J.
2.4272. S21 and S11 change little at the high fre- of Electromagn. Waves and appl., Vol. 24, pp. 25–32,
2010.3.
quency such as 6, 8 GHz.
[7] Helszajn, J.; Apollo Microwaves Ltd., Dorval, QC,
Figure 9 shows that S parameters change with Canada; Caplin, M.; Frenna, J.; Characteristic Planes
frequency in an extreme deteriorative situation (the and Scattering Matrices of E and H-Plane Waveguide
red curve): the relative permittivity (εr) of 13.5 and Tee Junctions Microwave and Wireless Components
the linewidth of 40 Oe and in the ideal situation Letters, pp. 209–211 IEEE.
136

Decoupling mechanism for suspension laryngoscopy using a curved-

frame trans-oral robotic system
X.Y. Fu & X.Y. Yu

Center for Control Theory and Guidance Technology, Harbin Institute of Technology, Harbin, Heilongjiang,
China
J.T. Seo
Hanyang University ERICA Campus, Ansan-si, Gyeonggido, Korea
ABSTRACT: The decoupling mechanism for suspension laryngoscopy, which uses a curved-frame
trans-oral robotic system, is presented to promise enough position precision. The mechanism provides
some friction force to maintain the stiffness of the end-effector so that the clamped motion of claw does
not have influence on the shifting motion of end-effector. What is more, the structure of this decoupling
mechanism ensures that it can be adopted widely in rope-traction end-effector. From simulations and
from experiment, it is seen that the decoupling mechanism promises enough friction force to solve the
coupled motion problem.
Keywords: decoupling mechanism; trans-oral robotic surgery; surgical robot; suspension laryngoscopy
1 INTRODUCTION of the active motion part can be an appro-

priate way.
By using suspension laryngoscopy, especially in [1], The paper is organized as follows. In Section II,
various treatments [2–5] have been employed for the paper shows a possible scheme to decouple the
laryngeal disease without radical open surgery of clamping motion and shifting motion. Detailed
the hypopharynx, which results in loss of linguistic demands for the decoupling mechanism are pre-
function. What is more, “a new surgery procedure sented in Section III. In Section IV, a decoupling
which employs a curved frame as a means to guide structure is shown. Then, simulation and trail
a flexible arm for laryngeal surgery” in [6] has model is presented to show that it provides suffi-
been applied to protect the patient from second- cient friction force. Conclusions follow.
ary complication, and promises people who have
congenital problem to be conducted by suspension
laryngoscopy.
However, end-effector in [6] involves a cou-
pled motion with deviation of 10º when the
rope-traction claw closes, shown in Figure 1. It
can be obviously seen that the clamping motion
involves an extra force, leading the position of the
end-effector to deviate from the accurate point.
Then, the position precision of the end-effector
cannot be guaranteed, which may cause irredeem-
able accident in surgery.
It is apparent that this phenomenon occurs
when active motion part in [6] does not have
enough stiffness, so that clamping motion of claw
changes the position of the end-effector, which
means that the clamping motion of the claw cou-
ples with the shifting motion of the end-effector.
To solve this problem, promising enough stiffness Figure 1. Coupled motion.
137

2 SECTION II 3 SECTION III
To begin, changing the material for active motion The use of a friction force to maintain the tightness
part into the one which has enough stiffness can of the wire is a proper method to improve the stiff-
be the possible way to solve the coupled motion ness of the end-effector. However, there are several
problem. However, after changing a compara- demands for designing this mechanism.
tive high-stiffness active motion part, the cou- Firstly, an appropriate position for the decou-
pled motion still exists, which has been verified pling mechanism should not affect the process of
in experiments on an adult phantom in [6]. What surgery. Considering that the end-effector can be
is more, it is not permitted to improve the stiff- inserted into the throat, and adaptor and driving
ness infinitely, since the active motion part should modules are designed concentrated so that there
maintain enough flexibility to bend when control- is no space to install big mechanism as well, we
ler in the slave system pulls the wire to control the make an adequate position between guide pipeline
position of the end-effector. part and connecting part shown in Figure 3. It is
Then, control of the tightness of the wire can not only convenient to insert an element, but also
be an appropriate way to decouple the clamping various lengths of the guide pipeline part do not
motion of the claw and shifting motion of the have much influence on the effects of the system.
end-effector. For instance, as shown in Figure 2, Furthermore, the long tube is an ubiquitous char-
when the controller pulls the up-direction wire to acteristic for a surgical end-effector so that the
move the claw upwards, if there is enough tightness decoupling mechanism can be applied widely.
in the down-direction wire, then the end-effector Then, the mechanism should respond to the
will have adequate stiffness which will weaken the changing of the controller automatically, so that
influence, caused by the pulling force of the claw, the system can adopt a pure mechanical decoupling
on the position of the end-effector. structure by utilizing the wires for shifting motion,
Hence, it is a possible way to design an additional which promise a smart structure and a wide appli-
mechanism to keep sufficient stiffness for wires, cation in a rope-traction end-effector.
which will solve the coupled motion problem.
4 SECTION IV
By adopting lever and cam mechanism, a decou-

pling mechanism is shown in Figure 4.
Up-control wire is attached to the up-direction
wire show in Figure 4 (b), and the down-control
wire, right-control, and left-control wire are
attached to the corresponding wire as above. When
the controller pulls the claw upwards, the up-control
wire rotates the cam counter-clockwise, releases
the lever, and no compression force acts on the up-
direction wire. Meanwhile, on the opposite side,
the down wire releases the cam so that the spring
rotates the cam clockwise, compresses the lever,
and the lever compresses the down-direction wire,
providing some friction force to improve the stiff-
ness of the end-effector. Other directions have a
Figure 2. Decoupling method. similar phenomenon.
Figure 3. Position of decoupling mechanism.
138

where α is the preloading angle of the torsion
spring, and k is spring constant.
The simulation in Figure 4 (c) shows that it has
sufficient strength. What is more, the trial model
generates at most 5.76∼5.86N (weight of 588∼598g)
upwards which is enough for the end-effector to
maintain sufficient stiffness. From the experiment,
the deviation is limited to 2º. By changing the tex-
ture on the end point of the lever, it is easy to gain
more friction force.
5 CONCLUSION
For a suspension laryngoscopy using a curved-

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

Huichang Y., Jiaqi J. (2012). “Management of difficult
suspension laryngoscopy using a GlideScope® Video
Figure 4. Decoupling mechanism. Laryngoscope”. Archotolaryngol 132:1318–1323.
[2] Park Y.M., Kim W.S., De Virgilio A., Lee S.Y.,
Seol J.H., Kim S.H. (2012). Transoral robotic sur-
gery for hypopharyngeal squamous cell carcinoma:
3-year oncologic and functional analysis. Oral Oncol
J48:560–566.
[3] Hockstein et al (2005) Robot-assisted pharyngeal and
laryngeal microsurgery: results of robotic cadaver
dissections. Laryngoscope J115:1003–1008.
[4] Weinstein G.S., O’Malley B.W. Jr, Hockstein N.G.
(2005). Transoral robotic surgery: supraglottic
laryngectomy in a canine model. Laryngoscope J
115:1315–1319.
[5] Mc Leod I.K., Mair E.A., Melder P.C. (2005)
Potential applications of the Da Vinci minimally
Figure 5. Mechanical principle diagram. invasive surgical robotic system in otolaryngology.
Ear Nose Throat J 84:483–487.
[6] Young-Sik Kwon, Kyung Tae, Byung-Ju Yi,
“Suspension laryngoscopy using a curved-frame
Furthermore, from the mechanical principle
trans-oral robotic system”, International Journal of
diagram shown in Figure 5, we are able to calcu- Computer Assisted Radiology and Surgery, Volume 9,
late the compression force N acting on the wire, Issue 4, pp 535–540, July 2014.
which is,
αk a 30 × 0.1993 47
N= = × ≈ 17.56N
r b 2 8
139

Calculation and analysis on shunt coefficient of short-circuit current

inside Fuzhou 1000 kV Ultra-High Voltage substation
Bin Zhang
Department of Electrical Engineering, Tsinghua University, Beijing, China
Bin Tang
Fujian Provincial Electric Power Company Limited, State Grid Corporation of China, Fuzhou, China
Wei-Hua Ma
Communication Construction Branch, State Grid Corporation of China, Beijing, China
Jia-Yong Zou
Southwest Electric Power Design Institute, Chengdu, China
ABSTRACT: When short-circuit fault occurs inside the power substation, it is the current diffusing into
ground that really causes safety trouble. The shunt coefficient characterizes the shunt ability of grounding
grid or overhead ground wires to fault current, so it can be used for analyzing the distribution of short-
circuit current. This paper studies the shunt mechanism of short-circuit current inside the power substation,
defines the shunt coefficient suitable for engineering practice and focuses on introducing the numerical com-
putation method of shunt coefficient. The paper calculates the shunt coefficient and the current diffusing
into ground inside Fuzhou 1000 kV substation and analyzes various factors affecting the shunt coefficient.
Keywords: short-circuit fault inside substation; shunt coefficient; grounding resistance; short-circuit
current; ground potential rise
1 INTRODUCTION the basis of the design of the substation grounding

system[4]. The shunt coefficient can be obtained by
Power substation’s good grounding is the fundamen- two methods: an experience equation method and
tal guarantee of safe operation of the power system. a numerical calculation method, wherein the experi-
The power system’s short-circuit fault is generally ence equation method is simpler in model, but lower
divided into two types, i.e. substation inside and in calculation accuracy[5]; the numerical calculation
outside short-circuit fault. Compared with the sub- method is more accurate in calculated results, but
station outside short-circuit fault, the substation relatively complicated in model[6]. The paper focuses
inside short-circuit fault has a greater threat to safe on introducing the numerical calculation method.
operation of the substation and more easily results
in accidents. Therefore, the paper mainly studies the
2 CALCULATION CONDITIONS
short-circuit fault inside the substation[1].
According to the regulations of the international
2.1 Preparing the new file with the correct
standard GB/T50065-2011 “Code for Design of
template
AC Electrical Installations Earthing”[2], before the
substation grounding system is designed, not only The substation studied in the paper is Fuzhou
does the short-circuit current magnitude needs to be Ultra-High Voltage GIS Substation; there are two
checked, but also the short-circuit shunt situation of
the power system needs to be analyzed, so that the
current diffusing into ground is accurately calculated Table 1. Substation.
and a basis is provided for grounding grid design[3].
The shunt coefficient of the substation ground- Quantity of Short-circuit
transformers Capacity/MVA voltage percentage/%
ing system means a ratio of current diffusing into
ground to short-circuit fault current. The reason- 2 1000 18
able selection of the shunt coefficient is taken as
141

Table 2. Ground lines.
South Zhejiang No. 1 line Lili No. 1 line Ningde No. 1 line
Line name South Zhejiang No. 2 line Lili No. 2 line Ningde No. 2 line
Models of ground wires JLB20A-240 JLB40-150 OPGW-150

DC resistance/(Ω/km) 0.1444 0.2935 0.3300
External diameters of ground 24.8 15.8 16.6
wires/mm
Table 3. Conductors.
South Zhejiang No. 1 line Lili No. 1 line Ningde No. 1 line
Line name South Zhejiang No. 2 line Lili No. 2 line Ningde No. 2 line
Voltage level/kV 1000 500 500

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

tower, i.e. a South Zhejiang No. 1 line and a South
Zhejiang No. 2 respectively on 1000 kV side; and
there are four inlet lines which are double-loop
lines in the same tower, i.e. a Lili No. 1 line, a Lili
No. 2 line, a Ningde No. 1 and a Ningde No. 2 line
respectively arranged on 500 kV side. Two main
transformers are three-phase autotransformers.
3 CALCULATION METHOD OF SHUNT Figure 1. Path of fault current inside substation.

COEFFICIENT
3.1 Analysis on short-circuit current inside

the substation
The overhead ground wires of the power transmis-
sion line and the substation grounding grid are con-
nected, when short-circuit fault occurs inside the
substation, the fault current is provided by the phase
conductors of the line, i.e. the phase conductors are
taken as current leads, as shown in Figure 1.
When short-circuit fault occurs inside the substa-
tion, the current distribution is shown in Figure 2.
The short-circuit fault current is I0. Current Ig can
directly flow to the infinitely-remote end power
supplies from the ground through the grounding
system; and a part of current flows out of the Figure 2. Current distribution under the situation of
grounding grid through the transformer neutral short-circuit fault inside substation.
142

points and the ground wires of the high and low- matrix; and bk is independent current source vector.
voltage lines, i.e. IN, Iw1 and Iw2. When the current The node equation form in the equation (3) is:
Iw1 and the current Iw2 flowing back to the power
supplies, a part of them flows to ground through YV = b (4)
the tower grounding system, i.e. Iw12 and Iw22, and
the rest current Iw11 and Iw21 continuously flow back The fault situation can be stimulated through mod-
to the power supplies though the ground wires. ifying the above equation. The voltage of all nodes
can be obtained through solving the above equation,
and the current distribution can be obtained through
3.2 Shunt coefficient of fault current inside substituting the equation (3). The node equation
substation including the fault current is shown as follows:
The shunt coefficient can be divided into the shunt
coefficient of the grounding grid and the shunt YNV = bN I (5)
coefficient of the ground wires which respectively
characterize the shunt ability of the overhead In the equation, YN is admittance matrix of the
ground wires to the short-circuit fault current when fault-free component; bN is independent current
short-circuit fault occurs inside the substation[7]. source vector of the fault-free components and
The shunt coefficient Ksl of the ground wires is I is current vector at the joint of the system and
generally given in the IEEE standard[5], which can the fault component. The above equation can be
be expressed as: decomposed as:
⎡Y11 Y12 ⎤ ⎡V1 ⎤ ⎡ b1 ⎤ ⎡ I1 ⎤

K sl =
Iw
(1) ⎢Y Y ⎥ ⎢V ⎥ = ⎢ b ⎥ + ⎢0 ⎥ (6)
I0 IN ⎣ 21 22 ⎦ ⎣ 2 ⎦ ⎣ 2 ⎦ ⎣ ⎦
In the equation, the subscripts 1 are expressed as

In the equation, Iw is the sum of all short-circuit components connected with the fault components;
current flowing through the ground wires. The the subscripts 2 are expressed as other components
shunt coefficient Ksg of the grounding grid can be of the system; and I1 is current vector at the sys-
correspondingly expressed as: tem terminal connected with the fault components.
The above equation can be switched as:
Ig
K sg 1 K sl = (2)
I0 IN YeV1 = be I1 (7)
In the practical engineering, it is the current Ig In the equation, Ye is equivalent admittance

diffusing into ground that really causes the harm matrix of the whole system except for the fault
and bring along the safety problem. Thus the paper component; and be is equivalent independent cur-
mainly pays close attention to the current Ig diffus- rent source, i.e.
ing into ground and its shunt coefficient Ksg.
The short-circuit fault current I0 is often provided Ye Y11 − Y12Y22−1Y21 (8)
in the engineering design. The current IN flowing
through the transformer neutral points is complicated be b1 − Y12Y2−21b2 (9)
to calculate and not provided generally. Therefore, in
order to facilitate the use by designer, Ig/I0 is defined The ground potential rise of the grounding sys-
as the shunt coefficient of the grounding grid, differ- tem and the current diffusing into ground from the
ent from that regulated in the standard[8]. substation grounding grid can be obtained, and
further, the shunt coefficient can be calculated.
3.3 Calculation principle of shunt coefficient
All components in the power system can be stimu- 4 CALCULATION ON SHUNT
lated by the generalized admittance matrix[10], it COEFFICIENT IN FUZHOU
can be expressed as: SUBSTATION AND CURRENT
DIFFUSING INTO GROUND
I k YkVk bk (k , , , n) (3)
4.1 Calculation on shunt coefficient inside
Fuzhou substation
In the equation, Ik is component terminal’s cur-
rent vector; Vk is component terminal’s voltage As the tower grounding resistance may change, it
vector; Yk is component’s generalized admittance respectively takes 10Ω, 15Ω, 25Ω and 35Ω which
143

are used for calculating short-circuit current distri- Table 5. Tower grounding resistance is 15Ω.
butions and shunt coefficients on different short-
circuit sides under different substation grounding Ground wire shunt coefficient
Grounding
resistances.
resistance/Ω 500 kV side 1000 kV side
Ground Wire Shunt Coefficient under the Situa-
tion that the Tower Grounding Resistance is 10Ω. 0.5 0.548 0.545
Seen from Figure 3, the ground wire shunt coef- 1 0.582 0.579
ficient on 500 kV side and 1000 kV side linearly 1.5 0.614 0.611
increases basically along with the increase of the 2 0.643 0.640
substation grounding resistance, and the shunt 3 0.694 0.692
coefficient on 1000 kV side is slightly larger than 4 0.735 0.733
that on 500 kV side.
Ground Wire Shunt Coefficient under the Situa-
tion that the Tower Grounding Resistance is 0.5Ω.
Table 6. Tower grounding resistance is 25Ω.
The calculation results show that along with the
increase of the substation grounding resistance, the Ground wire shunt coefficient
ground wire shunt coefficient gradually increases; Grounding
and along with the increase of the tower ground- resistance/Ω 500 kV side 1000 kV side
ing resistance, the ground wire shunt coefficient
gradually and slightly decreases. A tiny difference 0.5 0.546 0.543
exists between the ground wire shunt coefficients 1 0.579 0.576
when the short-circuit fault occurs on 500 kV side 1.5 0.611 0.608
and 1000 kV side. 2 0.640 0.637
3 0.691 0.688
4 0.732 0.729

Ground wire shunt coefficient
Grounding
Ground wire shunt coefficient
Grounding
0.5 0.550 0.547
1 0.584 0.581 0.5 0.543 0.540
1.5 0.616 0.614 1 0.576 0.573
2 0.645 0.642 1.5 0.608 0.605
3 0.697 0.695 2 0.637 0.634
4 0.738 0.736 3 0.687 0.685
4 0.728 0.726
Figure 3. Ground wire shunt coefficient under the situ- Figure 4. Ground wire shunt coefficient under the situ-
ation that the tower grounding resistance is 10Ω. ation that the tower grounding resistance is 0.5Ω.
144

4.2 Calculation on short-circuit current diffusing ance on ground potential rise must be considered;
into ground inside Fuzhou substation and through carrying out reasonable resistance
reduction on the substation, the ground potential
The calculation results of short-circuit current
rise is effectively reduced, so that the substation
show that under the most common single-phase
safety is improved.
short-circuit situation, the single-phase short-
circuit current on 1000 kV side and 500 kV side
is 24.1 kA and 57.19 kA respectively. Due to a
5 CONCLUSIONS
tidy difference between the ground wire shunt
coefficients when the short-circuit fault occurs on
The paper systematically studies the distribution
500 kV side and 1000 kV side, the actual maxi-
of the short-circuit current and the calculation on
mum current diffusing into ground is analyzed
shunt coefficient when fault occurs inside the sub-
by applying the single-phase short-circuit cur-
station. The results show that:
rent, i.e. 57.19 kA on 500 kV side under the most
dangerous situation, and the ground wire shunt 1. The substation shunt coefficient is decided by
coefficient is obtained when the tower grounding current distribution in the system. The fac-
resistance is 10Ω. tors affecting the shunt coefficient include the
Seen from Figure 5, along with the increase of grounding resistance of the substation ground-
substation grounding resistance, the maximum ing grid, the grounding resistance of the tower
current diffusing into ground gradually decreases grounding device, the ground wire self imped-
and the ground potential rise gradually increases. ance, the phase conductor self impedance, the
Therefore, in the design of the substation ground- electrical parameters of the overhead ground
ing system, not only the shunt coefficient (maxi- wires and the like.
mum current diffusing into ground) needs to be 2. The ground wire shunt coefficient increases
concerned, but also the effect of grounding resist- along with the increase of substation grounding
resistance and decreases along with the increase
of the tower grounding resistance. There is a
Table 8. Relationship between short-circuit current tiny difference between the ground wire shunt
diffusing into ground in substation and grounding
resistance.
coefficients when the short-circuit fault occurs
on 500 kV and 1000 kV.
Maximum current 3. Along with the increase of substation grounding
Grounding diffusing into Ground resistance, the maximum current diffusing into
resistance/Ω ground/kA potential rise/kV ground obviously decreases, and the ground
potential rise gradually increases. Therefore, it
0.5 25.74 12.87 is necessary to carry out reasonable resistance
1 23.79 23.79 reduction design on the substation.
1.5 21.96 32.94
2 20.30 40.60
3 17.33 51.99 REFERENCES
4 14.98 59.94
[1] He Jinliang, Zeng Rong. Power system grounding
techniques [M]. Beijing, China: Science Press, 2007.
[2] China Electricity Council. GB 50065-2011 “Code for
Design of AC Electrical Installations Earthing” [S].
Beijing: China Planning Press, 2011.
[3] Cao Wei, Wang Yongsheng, Zhang Wenqing, et al.
Analysis on DC component in short-circuit current
of power grid and its influence on breaking ability of
circuit breakers [J]. Power System Technology, 2012,
36(3): 283–288.
[4] Li Qian, Jiang Yukuan, Xiao Leishi, et al.
Measurement and analysis on short-circuit current
shunt coefficient inside substation [J]. Power System
Technology, 2013, 37(7): 2060–2065.
[5] Substations Committee of the IEEE Power Engineer-
ing Society. IEEE Guide for Safety of AC Substation
Groundings [S]. New York, USA: IEEE, 2000.
[6] He Jinliang, Zhang Bo, Zeng Rong, et al. Grounding
system design of 1000 kV ultra-high voltage sub-
Figure 5. Relationship between short-circuit current station [J]. Proceedings of the CSEE, 2009, 29(7):
diffusing into ground and grounding resistance. 7–12.
145

[7] Zou Jun, Yuan Jiansheng, Zhou Yukun, et al. Uniform [9] Huang Ruifeng, Li Lin. A novel phase-coordinate
generalized double-sided elimination method and the transformer model and its application to uniform
calculation of the fault current distribution for hybrid generalized double-sided elimination method [J].
overhead-underground power lines [J]. Proceedings Proceedings of the CSEE, 2004, 24(7): 188–193.
of the CSEE, 2002, 22(10): 112–115. [10] Meliopoulos A.P., Webb R.P., Joy E.B., et al.
[8] Sun Xu, Lu Jiayu, Xu Daming, et al. Simulation test Computation of maximum earth current in substa-
of shunt coefficient of short circuit current [J]. High tion switchyards [J]. IEEE Transactions on Power
Voltage Engineering, 2001, 21(8): 77–79. Apparatus and Systems, 1983, 102(9): 3131–3139.
146

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

retraction and extension
Y.G. Liu & Y.X. Wang

School of Automation Science and Electrical Engineering, Beihang University, Beijing, China
ABSTRACT: This essay designs a kind of unbiased crank rocker mechanism with a certain tilt angle as
the reliability test device of Head-Up Display (HUD)’s retraction and extension. Divide the test motion
into several stages, build the mathematic model of angle relationship between crank and rocker, and cal-
culate the torque of the crank axle by superimposing the moment of inertia and gravity. The simulation
result shows that the whole process of HUD’s retraction and extension is relatively stable.
Keywords: reliability of HUD’s motion; unbiased; certain tilt angle; crank rocker; crank axle torque
1 INTRODUCTION characteristic may cause the inconformity of the

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

in Figure 2. AB stands for crank, BC is bar, and
CD is rocker. DC0 and DC4 are two extreme posi-
tions of the rocker. B1 and B2 are on line AD,
stand for two cranks’ special positions. When
crank AB revolves around for angle α with a
constant speed, the angle between rocker DC
and AD is β. In the motion, BC and AD may
cross, so it is analyzed by grading different stages:
Figure 1. Crank rocker mechanism used for HUD the crank rotates counterclockwise from AB1 to
motion. AB2 (α ∈ [0,π)), called stage 1; the crank rotates
147

Figure 2. Motion of the crank rocker mechanism.
counterclockwise from AB2 back to AB1 (α ∈ [π,

Figure 3. Motion of crank rocker in stage 1.
2π)), called stage 2.
Stage 1: as is shown in Figure 3. In triangles
ABD and BCD, based on the law of cosines:
h2 R2 − l 2
cos β1 = (1)
2⋅h⋅R
h2 d 2 − r2
cos β 2 = (2)
2⋅h⋅d
d2 r 2 − h2
cos α = (3)
2⋅r⋅d
By β = β1 + β2, then we obtain that
Figure 4. Motion of crank rocker in stage 2.

h r2 + d 2 r ⋅ d ⋅ cos α (4)
⎛ d − r ⋅ cos α ⎞ ⎛ 2 ⎞
β = arccos + arccos ⎜ R − r ⋅ d ⋅ cos α ⎟
⎝ h ⎠ ⎝ h⋅R ⎠
Table 1. The chosen key parameters.
(5)
Stage 2: as is shown in Figure 4. Similarly, based Group Ψ (°) r (mm) Group Ψ (°) r (mm)
on the law of cosines and β = β1 − β2: Gr 1 107 50 Gr 5 107 50
Gr 2 107 100 Gr 6 88 50
⎛ 2 ⎞ ⎛ d − r ⋅ cos α ⎞
β = arccos ⎜ R − d ⋅ cos α ⎟ − arccos Gr 3 107 150 Gr 7 73 50
⎝ h R ⎠ ⎝ h ⎠ Gr 4 107 200 Gr 8 60 50
(6)
The swing angle is constant value ψ, and the
quick return angle is 0. Then the relationship
between the length of crank (r) and rocker (R) is:
r R ⋅ sin(ψ / ) (7)
Here we choose several key parameters shown

in Table 1. Build the simulation curves by Mat-
lab software, and get the results in the graph
(Figs. 5 and 6).
We obtain the following conclusion: (a) the
motion of crank rocker eliminating the quite return
is approximate sinusoidal; (b) the total swing angle
can control in any value, and would not effected by
the length of crank, but it would be unstable in the
case of overlong. Figure 5. Simulation curves of angles (1).
148

Figure 6. Simulation curves of angles (2). Figure 7. Dynamics analysis diagram.
3 TORQUE OF CRANK AXLE Obtain torque TF from the gravity of the load:
The dynamics is analyzed as below as shown in Fig- G rr r cos(ψ 0 + β 0 − β )

TF = ⋅ ⋅ sin( β + α + γ )).
ure 7: (a) Assuming the load is much heavier than R sin γ (12)
the crank and the bar, the rocker mainly bears the
load gravity moment; (b) in the swing process, it If we consider the facing perpendicular to the
continually bears the inertial moment from the mass paper as the positive direction, so the direction of
center G. So the torque amounting to axle A mainly TF is positive;
comes from gravity and inertial moment of the load. The other stages are shown in Figure 8. First
Due to the change of direction of the gravity we calculate the gravity of the load converting into
moment and inertial moment following the change force F on the bar, the directions are all from C to
of position and direction of the rocker, we consider B; the methods of β0, ψ0, γ are similar to stage 1.
the limit positions of the rocker as the boundaries, Obtain the torque of the other stages:
and divide one cycle averagely into four periods to
analyze the bearing torque. G rr r cos(ψ 0 + β 0 − β )
TF = ⋅ ⋅ sin( β + α + γ ) (13)
R sin γ
3.1 Gravity moment of the load
The directions are positive, negative and negative.
The first period is shown in Figure 7. The swing
angle is ψ, the gravity is in negative direction of 3.2 Inertial moment of the load
Y axis, the limit C0D is the initial position of the
Similarly, divide into the same four periods.
crank, and the distance between central mass G
According to the law of inertial moment, we get
and axle D is rr. F is load gravity equating to the
inertial moment in the four stages:
force on the bar, and its direction is from C to B
along the bar. According to the moment balance: TI m ⋅ rr 2 ⋅ β (14)
F R ⋅ sin γ r ⋅ cos((ψ 0
G rr β0 β )), (8) Inertial moment directly transfers to the bar.
Considering the law of moment balance, get the
where β0 is the angle between C0D and AD, and torque in axle A:
β 0 = arccos
d 2 + R 2 − ( + )2 m rr 2 ⋅ β ⋅ r ⋅ β +α +γ )
, (9) TL = . (15)
2⋅d R R ⋅ sin γ
where ψ0 is the initial angle of the crank, and The directions are positive, positive, negative,
and negative.
ψ0 180 ψ ) / 2,
(180° (10) Superimposing the moment of inertia and grav-
ity, get the whole torque in axle A:
γ is the angle between bar and rocker, and
G rr ⋅ cos(ψ 0 + β 0 − β ) + ⋅ 2
⋅ β
l 2 + R 2 − h2 T= ⋅ r ⋅sin( β + α + γ )
γ = arccos . (11) R ⋅sin γ
2⋅l R
(16)
149

Figure 8. Four stages of the torque analysis.
Figure 10. Angle simulation curves (2).
Table 2. The chosen key parameters.
In practice, that can be avoided by adjusting the
Group r (mm) l (mm) Group r (mm) l (mm) structure parameters.
Gr 1 30 550 Gr 5 30 400
Gr 2 30 400 Gr 6 60 400
Gr3 30 250 Gr7 90 400
4 CONCLUSION
Gr 4 30 100 Gr 8 120 400
For the unbiased crank rocker mechanism with
a certain tilt angle as the reliability test device of
HUD, we build the motion model of crank and
rocker’s angles by stages. According to the simula-
tion result we find the angle curve varies nearly as
a sinusoidal wave, and the whole swing angle can
be controlled. Calculate the crank axle torque by
superimposing the moment of inertia and gravity,
and find that in the first half of the swing cycle, the
torque is nearly a sine wave, but in the last half, it
differs based on the case of size matching condition
of crank and bar. In the case of “size mismatching”,
a serious instability can occur in the whole crank
axle torque. That is of great reference value for the
structure design of reliabile simulation experiments.
Figure 9. Angle simulation curves (1).
REFERENCES
Using the relationship of α and β, and choose
parameters as shown in Table 2, and get the results Chongzhen, C. & Chunyu, Z. 2009. Unbiased Crank and
in the graph (Figs. 9 and 10). Rocker Mechanism with 90°Tilt Angle and Its Appli-
We obtain the following conclusion: (1) in the cation. Journal of Shandong University of Science and
first half of the cycle, torque of rocker is nearly Technology. Vol. 28 No. 3, 2009, 45–48.
Hongxian, W. & Caijun, X. 2010. On the Design and
a sine wave, and seldom affects the size of the
Application of a Fatigue Testing System for Landing-
mechanism; (2) in the last half of cycle, if bar is gear Retraction and Extension. Journal of Experimen-
far longer than rocker (5∼7 times), the curves of tal Mechanics. Vol. 25 No. 2, 2010, 173–180.
rocker torque are similar to the first half, but it will Jia, W. & Daohua, L. 2011. Research of Simulation Inte-
first decay and then increase a little, called “size grated Testing System for Boat Davit with Wave Com-
matching”. If the length of the bar and rocker is pensating Function. Ship Engineering. Vol. 33 No. 6,
relatively close (3–4 times), the curves will lag and 2011, 37–39.
sharply increase with appearance of instability, Xiaoyan, Y. & Zhaohui, L. 2007. New Discussion on the
called “size mismatching”. Synthesis of Crank-Rocker Mechanism with Quick
Return Characteristic. Machine Design and Research.
The mechanism is unbiased with a certain tilt
Vol. 23 No. 6, 2007, 43–50.
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reason of “size mismatching” causing instability. Vol. 36 No. 1, 2007, 39–40.
150

Study on electromagnetic loop rejection in Liaoning power grid
Kai Gao
State Grid Liaoning Electric Power Supply Co. Ltd., Shenyang, China
Zhen-Hao Wang
Northeast Dianli University, Jilin, China
ABSTRACT: Electromagnetic loop network is a particular form of network configuration in the devel-
opment of power network, which is of great importance to improving the transmission ability of a power
grid. In recent years, with the power grid expanding, the closed-loop operation problem is becoming
more and more prominent, such as the difficulty to control power flow, short-circuit current superscalar
issue and the destruction of the system thermal stability. First, the basic concepts of electromagnetic loop
network are introduced, then the basic principles and general steps of breaking up electromagnetic loop
are summed up, and finally according to the characteristics of Liaoning power network, the scheme of
electromagnetic loop rejection is designed through a multi-faceted calculation and analysis. The research
results of this paper offer theoretical basis for reasonably determining the location to break up the elec-
tromagnetic loop of the Liaoning power grid.
Keywords: electromagnetic loop network; short-circuit current superscalar; security and stability
1 INTRODUCTION the electromagnetic loops become serious poten-

tial hazards (Xiang et al. 2004). The main hidden
In recent years, with the power grid expanding, danger of the electromagnetic loop network mode
the closed loop operation problem is becoming is that large amounts of power flow pour into the
more and more prominent (Chunqing et al. 2005). lower voltage grid when the higher voltage grid is
The transmission power of urban power networks cut off, it can easily cause serious problems threat-
grows rapidly with the development of power ening the safe and stable operation of power sys-
systems. Therefore, higher voltage level transmis- tems (Shuyong et al. 2008). This operation mode
sion lines must be built in urban power networks also leads many potential problems on security and
accordingly. In this process, China’s power grids stability for power grids, such as overload, the dif-
have two typical characteristics (Wei et al. 2007): ficulty to control power flow, short-circuit current
first, the problems of short-circuit current super- superscalar issue, complexity of protection setting,
scalar are serious; second, there are many electro- and even the destruction of the system thermal
magnetic loops, which lead to the limitations of stability.
power transmission capacity. A mainstream approach of eliminating the loop
As the improvements of grid structure, it is of running is electromagnetic loop rejection to achieve
great significance to break up the electromagnetic the partitioning operation of power networks
loop network and realize the power grid hierarchi- (Canizares et al. 1993). Because of the complexity
cal division operation to enhance the economy of power system operation, multi-faceted calcula-
and safety operation of power systems. Due to the tion and analysis must be carried out before break-
complexity and diversity of power grid developing up the electromagnetic loop, comprising power
ment, how to divide the power grid is a hot topic flow calculation, stability calculation, short-circuit
deserved to explore and research (Zhao et al. current calculation, and network loss calculation.
2004). Moreover, other issues affecting the system opera-
In the early stage of high-voltage power grid tion should also be comprehensively considered
development, the power flow of high-low loop net- to make reasonable and feasible decisions (Dong
work is little. In this case, the electromagnetic loops et al. 2009). Therefore, it has an important theo-
can improve the reliability and flexibility of power retical significance and application value to study
grids. But with the development of high-level volt- the scheme of breaking up electromagnetic loop
age grid, the transmission load is increasing, and networks.
151

2 METHODS OF ELECTROMAGNETIC due to the presence of multiple subsystems
LOOP REJECTION operating independently. Each subsystem makes
construction of power grids in accordance with
2.1 Concept and causes of electromagnetic loop their own ideas and habits, which will inevitably
lead to the parallel operation situation of differ-
Electromagnetic loop refers to the lines with dif-
ent voltage levels grids.
ferent voltage levels connected in parallel loop
through the electromagnetic circuit of the con-
nected transformers (Yihan et al. 2009), as shown 2.2 Basic principles of breaking up
in Figure 1. electromagnetic loop networks
In Figure 1, the operating voltage U1 of line L1
is higher than the operating voltage U2 of line L2, The basic principles of breaking up electromag-
T1 and T2 are transformers, lines L1 and L2 consti- netic loop networks are described as follows
tute an electromagnetic loop through the magnetic (Yangyu et al. 2011).
circuits of T1 and T2. 1. The loop rejection should result in more rea-
Electromagnetic ring networks are the products sonable flow distribution. Power flows should
of the process of power grid construction. When have more flexible controllability, and be able
the high-level grid is not strong, there is rational- to adapt to the changes in various operating
ity of its existence. But when high-level grid devel- modes. It should also ensure that no element
opment is more mature, it should be considered overloads.
to break up the electromagnetic ring network to 2. The loop rejection should be able to ensure the
ensure the hierarchical partitioning operation of security and stability of power systems. The
power systems (Haihui et al. 2005). stability indexes should be compared before
The main reasons why electromagnetic rings and after breaking up the loops. If power flow
appear are described as follows: transferring caused by disconnecting the high
1. Some planning managers of power grids think voltage lines seriously affected the stability of
that the use of electromagnetic loop network power systems, it is an urgent need to breaking
operation mode can improve the reliability of up the electromagnetic loops.
the local power supply, so that the power sup- 3. After breaking up the loops, the power networks
ply network can be enhanced, and construction should have a larger anti-jamming capability to
investment in power networks can also be saved. meet the N-1 requirements.
They also think that the shortcomings of this 4. After breaking up the loops, power supplies
electromagnetic ring are relatively minor. should be reasonably allocated among supply
2. In the planning process, planners fail to conduct districts to provide sufficient reactive power
a reasonable forecasting and analysis for supply compensation for each partition.
networks, which leads to some lines not meet- 5. After breaking up the loops, each partition
ing the requirements for subsequent transmis- should have sufficient connected aisles with
sion capacity. To solve this problem, new higher reasonable distributions to timely transfer
levels of transmission lines are often added, and loads and avoid blackouts when an accident
eventually leading to the formation of electro- occurs.
magnetic ring network. 6. The short-circuit current usually decreases
3. In the operation and management of power after breaking up the loops, and then it needs
grids, management is not concentrated enough to determine that what kind of line operation
mode is most effective in reducing the short-
circuit current.
7. The network loss after breaking up the loops
must be calculated, and be compared with the
network loss before breaking up the loops.
2.3 Steps of breaking up electromagnetic

loop networks
Because of the purpose of electromagnetic loop
rejection is to solve the potential problems in
power grids, the status of power grids after should
be fully taken into account, and must not bring
new problems to the open-loop operation of elec-
Figure 1. Schematic of an electromagnetic loop. tromagnetic loop networks (Qiantu 2005).
152

The decision analysis steps of electromagnetic frequency stability. Note that the system is stable
loop rejection can be summarized as follows only when all the three stabilities remain stable.
(Xiang et al. 2004). The specific criterions are listed as follows:
Transient stability: when a power system
1. The present situation of electromagnetic loops
fails, rocking curve of relative angles in any two
under typical operating modes should be ana-
machines is synchronous damped oscillations.
lyzed, according to the actual situations of the
Voltage stability: for a disturbed power system,
power grid including supply network structure,
the load bus voltage can be restored to 0.80 pu and
network construction and future planning, and
0.90 pu above in the transient process and long-
load forecasting.
term process, respectively.
2. The weak links that may cause larger-scale
Frequency stability: the system frequency can
power flow transferring and poor stability of
be quickly restored to near the nominal frequency,
power networks when an accident occurs are
and the frequency crashes does not occur.
identified through multi-faceted calculation and
analysis under typical operating modes of elec-
tromagnetic loops. 3.3 Method of calculating short-circuit current
3. According to the principles of electromagnetic
Short-circuit current levels for the whole network
loop rejection, proper lines are selected to break-
is scanned by using the transient stability calcula-
ing up the loops. And then, several schemes of
tion procedure PSD-SWNT based on the principle
electromagnetic loop rejection are proposed
of superposition.
through the calculation and argumentation of
According to the equivalent network and the
the indicators.
normal voltage under normal operating condi-
4. The optimal scheme for electromagnetic loop
tions, the normal current of each branch can be
rejection is determined through a comprehen-
obtained. Then, by using the equivalent network
sive assessment and economic calculation of the
with identified fault components, each node volt-
candidate schemes.
age and each branch current caused by a fault can
be also obtained. And finally, by means of adding
them, the actual voltage of each node and each
3 NUMERICAL EXAMPLES
branch current after a fault can be obtained.
3.1 Introduction of examples
3.4 Scheme of electromagnetic loop rejection
The power system considered is Liaoning power
grid, covering an area of 148,000 square kilometers Anshan regional power grid is the focus of this
is a highly interconnected grid with an approxi- study, because it is currently the most serious
mate installed capacity of 39657.2 MW. The sys- region of short-circuit current superscalar issue in
tem lies in the south of Northeast power grid, and Liaoning power gird. A scheme of electromagnetic
it is the load center of the Northeast power grid. loop rejection is designed through multi-faceted
According to the power load layout and grid struc- calculation and analysis.
ture, the grid is divided into three parts: western The proposed scheme is the following lines
power system, north-central power system and should be disconnected, comprising QianGang-
southern power system. By 2015, the north-central CaoHeKou, NiuZhuang-DongChang, and Cheng
system of Liaoning grid will be from 500 kV loop Ang-HongQiBao, as shown in Figure 2.
network structures and intensive 220 kV power
grid, which leads to serious short-circuit current
3.5 Scheme checkout
superscalar issues.
In this study, the simulation software is PSD- 1. Short-circuit current level
BPA developed by China Electric Power Research According to the partition scheme, the short-
Institute, mainly comprising the power flow cal- circuit current levels in the area are shown in
culation procedure PSD-PFNT, the transient Table 1.
stability calculation procedure PSD-SWNT, the From Table 1, it can be seen that the three-
drawing procedure of geography wiring diagram phase short-circuit current of 220 kV bus in
PSD-CLIQUE, and the multi-curve comparison the ChengAng substation (the most serious
program PSD-MYCHART. substation of short-circuit current superscalar
issue in Liaoning power grid) has been reduced
from 49.38 kV to 39.05 kV, and it s single-phase
3.2 Stability criterion
short-circuit current has been reduced from
Power system stability can be divided into three 56.39 kV to 45.18 kV. Both of them are control-
types: angle stability, voltage stability, and led under 50 kA, which meets the requirements
153

determined through multi-faceted calculation and
analysis, comprising power flow calculation, stabil-
ity calculation, short-circuit current calculation,
and network loss calculation.
The simulation results show that the proposed
scheme can effectively solve the problem of short-
circuit current superscalar for Liaoning power grid.
Furthermore, the methodology of breaking up the
electromagnetic loop network may be applied to
any similar problems in engineering field.
REFERENCES
Canizares C.A, Alvarado F.L 1993. Point of collapse and

continuation methods for large AC/DC systems. IEEE
Trans on Power Systems 8(1): 1–8.
Chunqing Hou, Huiping Zheng 2005. Research on paral-
Figure 2. Schematic of the proposed scheme. lel operation of 500 kV and 220 kV power networks in
south and central part of Shanxi power grid in 2005.
Power System Technology 27(10): 80–84 (in Chinese).
Table 1. Short-circuit current levels in different opera- Dong Yang, Yutian Liu 2009. Influence of electro-
tion modes. magnetic loop in early ultra-high voltage grid.
Electric Power Automation Equipment 29(6): 77–84
Three-phase Single-phase (in Chinese).
Operation mode SCC (kA) SCC (kA) Haihui Cheng 2005. Analysis of breaking the 500/220 kV
electromagnetic circuits. Jiangsu Electrical Engineer-
Closed-loop operation 49.38 56.39 ing 24(5): 38–40 (in Chinese).
Open-loop operation 39.05 45.18 Qiantu Ruan (2005). Present situation of short circuit
current control in Shanghai power grid and coun-
termeasures. Power System Technology, 29(2): 78–83
(in Chinese).
Shuyong Liu, Qiang Gu, Lijuan Zhang, et a1 2008.
of rated breaking current for beakers and have
Research on power supply scheme based on parti-
a certain margin of safety. Therefore, the pro- tioning of 500/220 kV Tianjin power grid during the
posed scheme can effectively reduce the short- 1lth Five-Year plan. Power System Techno1ogy 32(9):
circuit current level. 51–55 (in Chinese).
2. Other checkouts Wei Pan, Wenying Liu, Yihan Yang, et a1 2007. Research
In order to properly evaluate the performance of on operating modes of 750 kV Northwest China
the presented scheme, multi-faceted calculation power grid electro-magnetically coupled with 330 kV
and analysis are carried out in this operating power grid. Power System Technology 31(15): 33–38
mode, including power flow calculation, stabil- (in Chinese).
Xiang Xia, Jun Xiong, Liexiang Hu 2004. Analysis and
ity calculation, and network loss calculation.
control of loop power flow in regional power network.
The simulation results demonstrate that the Power System Technology 28(22): 76–80 (in Chinese).
proposed scheme meets the requirements for Yangyu Hu, Hongjun Fu, Yiming Zhang, et al (2011).
power system safe operation, which has no Analysis on electromagnetically coupled loop opera-
thermal stability and N-1 problem. Moreover, tion of tie line connecting Hubei power grid and
the network loss after breaking up the loops has Henan power grid after building up of Nanyang
reduced compared with that of under the mode UHVAC substation. Power System Technology, 35(6):
of electromagnetic loop. 22–26 (in Chinese).
Yihan Yang, Lin Ai, Tong Jiang, et al 2009. Risk assess-
ment and control of electromagnetically coupled
power loop based on benefit risk function. Power Sys-
4 CONCLUSIONS tem Technology 33(7): 65–70 (in Chinese).
Zhao He 2004. A discussion on scheme of improving
The basic concepts of the electromagnetic loop structure of East China power grid to reduce short
are introduced in this paper. The electromagnetic circuit capability. Power System Technology 28(21):
loop rejection scheme for Liaoning power grid is 28–31 (in Chinese).
154

Study on effect of evaluating corrosion inhibitor for circulating cooling

water in dynamic simulation method
Yan-Ping Li
Stage Grid of China Technology College, Jinan, Shandong, China
Yong Li
Stage Grid Shandong Electric Power Company, Jinan, Shandong, China
Fang Liu
Stage Grid of China Technology College, Jinan, Shandong, China
ABSTRACT: Based on the quality of recharged circulating cooling water in power generation, the
experiment helps to choose the corrosion inhibitor and the exact relative quantity through preliminary
enrichment ratio test. Evaluating the effect on the basis of surface condition of the tube during dynamic
simulation test, fouling resistance, quality of circulating cooling water and so on, we determine the quan-
tity of corrosion during actual operation, concentration ratio and other operating parameters. The water
quality in actual operation verifies the feasibility and reliability of the evaluation method.
Keywords: circulating cooling water treatment; corrosion inhibitor; dynamic simulation method; fouling
resistance
1 INTRODUCTION Reclaimed water has been conducted advanc-

edly during pre-processing. The process is: sewage
In a coal-fired power plant designed with capacity plant effluent—lime softening—BAF—water
expansion for the 2 × 1000 MW, circulating cooling quality adjustment (adding sulfuric acid aiming at
water is recharged by local sewage treatment plant pH 8.3) -supplement for circulating cooling water.
effluent. Due to the uncertainty quality of the
recharged water, when used as supplement water,
in addition to the regular production of scaling, 2 DYNAMIC SIMULATION EXPERIMENT
corrosion, bacterium and so on, we need to pay
special attention to ammonia nitrogen and phos- 2.1 Apparatus for experiment
phorus which may cause problems. In a circulatory
The WDM-D dynamic device for simulation of cir-
cooling water system when water reaches a certain
culating water is as shown in Figure 1, the system
concentration ratio, scaling and corrosion of metal
process is shown in Figure 2.
materials occur, influencing the safe and stable
operation. Adding corrosion inhibitor is a major
means of controlling water fouling. Corrosion var-
ies with different quality of water and treatment
methods. Therefore, evaluating the practiced effect
of corrosion inhibitor is particularly important.
The purpose of this experiment is to examine
the effect of two kinds of corrosion inhibitors cho-
sen based on the early concentrate rate test when
used to current water and simulation unit opera-
tion so that the best corrosion inhibitor and other
conditions such as additive concentration can be
determined, guiding the design for the circulation
cooling water system, the determination of the
technological process, equipment selection and Figure 1. The WDM-D dynamic device for simulation
controlling operation after the production. of circulating water.
155

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

Table 1. Analyses on quality of advanced treated reclaimed water.
Residual Phenolphthalein Total Full Calcium

Item pH Conductivity Turbidity chlorine alkalinity alkalinity hardness stiffness
Value 8.21 958 μS/cm 1.2 NTU 0.25 mg/L 0 mmol/L 1.0 mmol/L 3.7 mmol/L 2.1 mmol/L
Item CODCr BOD5 Total P Activity Oil Chloride SO42− NH3-N
SiO2
Value 33.6 mg/L 2 mg/L 0 mg/L 10.8 mg/L 0.18 mg/L 154.1 mg/L 263.0 mg/L 3.3
Figure 3. Curves during experiment.

Figure 4. Fouling resistance curve.
Table 2. (When SD2316 8 mg/L is added to reclaimed water) The condition of attachment in condenser and the stable
quality of circulating cooling water after experiment.
Weight before Weight after Amount of

experiment (g) experiment (g) sediment g/m2 Appearance inspection condition
194.59 195.31 16.76 Inner surface exit with small amount of

hoary attachment which could be easily
erased. The surface of the metal is bright
like a new one, clean and smooth.
(After the operation of the experiment)yearly fouling thermal 0.58
resistance × 10–4 m2 C/W
(Test concentration ratio of stable operation) water quality of circulating cooling water
Basicity mmol/L Hardness mmol/L Calcium stiffness mmol/L Chloride mg/L pH DD μs/cm
3.95–4.2 17–18.8 10.5–11.5 749–792 8.55–8.70 4550–4600
4.2 Discussion
is stable, concluding that during the operation
1. When cooling water is concentrated to 5.5 times, in five times of concentration rate, there is no
the monitoring analyses on water quality and fouling attached to the surface of transfer.
fouling in simulated condenser indicated that 2. During the later period of experiment, con-
it turns to fouling; at that moment, by adjust- centration ratio is controlled at approximately
ing the sewage to reduce cooling water con- 4.8–5.1. Quality of circulating cooling water and
centration ratio to 5.1 times lower, the chlorine condenser tube is represented in Table 2. Draft
concentration ratio and difference between of supplementing water and circulating cooling
concentration ratio of hardness are kept less water treatment is as follows. The concentration
than 0.2, and two aspects of fouling resistance ratio can only maintain five times at maximum
value in the condenser without rising meet the when operating, and there will be a risk of foul-
standard. Quality of circulating cooling water ing when concentration ratio increases again.
157

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

Research on the impulse current dispersal characteristics

of tower grounding devices
Chang-Cheng Zhu & Tao Wang

State Grid Hubei Electric Power Research Institute, Wuhan, Hubei Province, China
Xue-Fang Tong
China Electric Power Research Institute, Wuhan, Hubei Province, China
Peng-Xiang Xing, Zhi-Qiang Feng, Hai-Liang Lu & Lan Lan

School of Electrical Engineering, Wuhan University, Wuhan, Hubei Province, China
ABSTRACT: The impulse simulation tests of a single horizontal grounding device were carried out
in the laboratory and the impulse current dispersal characteristics of grounding devices with different
lengths are analyzed in this paper. The test results are also verified by the modeling and simulation cal-
culation. Both the impulse tests and simulation calculation indicate that the impulse current dispersal
characteristics of a single horizontal grounding electrode present a U-shaped distribution along with the
grounding electrodes. The end effect, length of the electrodes, and soil resistivity are the key parameters
that affect the impulse current dispersal characteristics of grounding devices.
Keywords: transmission line; tower grounding devices; impulse current dispersal
1 TEST PROCEDURE electrode is embedded in the current measurement

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

zontal grounding electrode with length of 0.5 m
and 1.0 m tests was carried out according to the
test principle and method. Experimental data of
the two simulation models are shown in Tables 1
Figure 1. The schematic of impulse dispersal experiment. and 2, respectively. It should be noted that the
159

Table 1. Impulse current distribution of 0.5 m ground-
ing electrode.
Amplitude of impulse 0.056 0.163 0.407

current/kA
Axial current
1 0.039 0.096 0.196
2 0.023 0.065 0.141
3 0.014 0.048 0.098
Dissipating current (S1)/kA 0.017 0.067 0.211
Current ratio (S1)/% 30.36 41.10 51.84
Current ratio (S2)/% 28.57 19.02 13.51
Current ratio (S3)/% 16.07 10.43 10.57
Current ratio (S4)/% 25.00 29.45 24.08
Si: conductor segment i.
Table 2. Impulse current distribution of 1.0 m ground-

ing electrode.
Amplitude of impulse 0.132 0.322 0.642

current/kA
Axial current
1 0.095 0.199 0.355
2 0.068 0.152 0.281
3 0.035 0.083 0.155
Dissipating current (S3)/kA 0.033 0.069 0.126 Figure 2. Impulse current dispersal of single horizontal
Dissipating current (S4)/kA 0.035 0.083 0.155 grounding electrode.
Current ratio (S1)/% 28.03 38.20 44.70
Current ratio (S2)/% 20.45 14.60 11.53
Current ratio (S3)/% 25.00 21.43 19.63 as the current amplitude increases, because
Current ratio (S4)/% 26.52 25.78 24.14 spark discharge at the current injected point is
more intensive than the middle parts, which also
Si: conductor segment i. leads to more current dissipating into the earth
at the injected point.
3. It is generally believed that as the length of elec-
dissipating current in Tables 1 and 2 is the ampli-
trodes increases, the dissipating current ratio of
tude of the impulse current.
the first conductor segment is larger than the
The fitting curves of impulse current dispersal
rest segments due to inductive effect. However,
characteristics of the two grounding electrodes with
test results indicate that the dissipating current
length of 0.5 and 1.0 m are shown in Figure 2.
ratio of the first segment of 1 m grounding elec-
According to the test data and fitted curves,
trode is less than 0.5 m electrode.
impulse current dispersal characteristics can be
concluded as follows:
1. The current distribution characteristics of 0.5 m 3 THE SIMULATION STUDY OF THE
and 1.0 m grounding electrodes along with the IMPULSE CURRENT DISPERSAL
grounding electrodes present a U-shape distri- CHARACTERISTICS
bution. The impulse current flows through the
end parts of electrodes are much higher than its The impulse current dispersal characteristics of a
middle parts. single horizontal grounding electrode are calcu-
2. Dispersal current ratio at the current injection lated by CDEGS. The grounding device to be sim-
point increased more quickly than the end point ulated is a single horizontal electrode whose length
160

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

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

cate that impulse current dispersal characteris-
tics of a single horizontal grounding electrode
present a U-shaped distribution along with
the grounding electrodes. The impulse current
flows through the end parts of electrodes are
Figure 4. Injected impulse waveform. much higher than its middle parts. Besides, as
the grounding electrode is excited by the high-
amplitude impulse current, spark discharge at
Table 3. Current distribution of the single horizontal
grounding electrode. the current injected point is more intensive than
the middle parts, which also leads more current
Amplitude of dissipating current/A dissipating into the earth at injected point.
2. End effect is the dominant factor affecting
Segment 100 200 500 1000 2000 impulse current distribution of a short ground-
number Ω⋅m Ω⋅m Ω⋅m Ω⋅m Ω⋅m ing electrode. However, the impulse current
distribution becomes uniform as the length of
1 3829.5 2962.4 2418.8 2372.1 2349.6 grounding electrodes increases, which explains
2 2766.6 2278.2 2056.3 2034.3 2023.9
the resistance reducing principle of extended
3 2310.2 2007.1 1933.5 1927.8 1922.2
conductors.
4 2015.9 1909.1 1879.0 1876.6 1874.3
3. Soil resistivity also affects impulse current dis-
5 1872.7 1863.2 1856.2 1853.5 1852.6
persal characteristics of the grounding electrode.
6 1820.0 1845.4 1853.6 1854.0 1852.7
As the soil resistivity is larger than 1000 Ω ⋅ m,
7 1811.8 1850.4 1870.4 1873.2 1872.1
8 1839.7 1885.1 1912.9 1917.8 1916.9
the dissipating current flows through the two
9 1923.8 1976.0 2008.9 2015.8 2015.1 end segments are approximately equal to each
10 2227.5 2290.0 2330.0 2339.0 2338.4 other. High-resistivity soil reduces the impulse
current flowing through the injected point
161

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

Innovative design of centrifugal oil press

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

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

PRESS
The process of centrifugal oil can be divided into

three sections: solid plants conveying section, disk
fusion section, and ingress of oil section. Solid
plants are conveyed by centrifugal force rather
than friction, this is the biggest difference between
centrifugal oil press and screw oil press. The struc-
ture diagram of a centrifugal oil press is shown in
Figure 1. Figure 1. Structure diagram of centrifugal oil.
Oil plants are added into centrifugal oil press 1 represents belt pulley. 2, oil plants. 3, bearing. 4, frame.
through feed inlet, then they flow to the swivel plate 5, swivel plate. 6, material flow. 7, solid–liquid separation
along the inner cavity of the oil press. Because of screw. 8, electromotor. 9, engine base. 10, oil filter. 11,
the large centrifugal force produced by the swivel feed inlet. 12, pie mouth.
163

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

rate on delivery pressure
When rotation rate is changed from 1000 r/min
to 10,000 r/min uniformly, f1 = f2 = 0.1, α = 60°,
R = 0.15 m, influence of swivel plate’s rotation rate
on delivery pressure is obtained in MATLAB, as
shown in Figure 4.
According to Figure 4, delivery pressure is
increased when rotation rate of the swivel plate is
Figure 2. Disk fusion section. increased.
164

Table 1. Influence of conical bottom angle on delivery
pressure.
R (m)
P (MPa) 0.10 0.12 0.14 0.16 0.18 0.20
α
30° 0.45 0.69 1.19 1.21 1.99 1.98
60° 0.52 0.88 1.55 2.13 2.23 2.45
90° 0.59 1.01 1.78 2.50 3.00 3.62
Table 2. Influence of friction factor on

delivery pressure.
f1 0.1 0.15 0.3

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

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

combining the principle of centrifuge and screw
oil press. The new oil press is more productive
and has lower energy consumption than the
screw oil press, and it suits a variety of oils in
Figure 4. Influence of swivel plate’s rotation rate on
the same oil machine.
delivery pressure. 2. Delivery pressure will be increased when swivel
plate’s radius is increased. But the overall struc-
ture of the centrifugal oil press will be larger
when swivel plate’s radius is increased, which will
4.4 Influence of conical bottom angle and friction
result in a decline of manufacturing precision
factor on delivery pressure
and an increase of manufacturing cost. So swivel
When α is changed from 30° to 60° uniformly plate’s radius needs to be chosen reasonably.
and swivel plate’s radius is changed from 0.1m to 3. Delivery pressure and productivity can be effec-
0.2 m uniformly, f1 = f2 = 0.1, R = 0.15 m, influ- tively increased when swivel plate’s rotation rate
ence of conical bottom angle on delivery pressure is increased. But higher precision is needed in
is obtained in MATLAB. The delivery pressure is the centrifugal oil press when swivel plate’s rota-
shown in Table 1. tion rate is increased. So swivel plate’s rotation
According to Table 1, delivery pressure is rate needs to be chosen reasonably.
increased when conical bottom angle of the swivel 4. Delivery pressure will be increased when friction
plate is increased. factor is reduced. But the decrease of friction
When friction factor is changed from 0.1 to 0.3, factor will result in an increase of manufactur-
R = 0.15 m, α = 60°, influence of friction factor ing cost. Delivery pressure will be increased
on delivery pressure is obtained in MATLAB. The when angle of the conical bottom is increased.
delivery pressure is shown in Table 2. But productivity will be decreased when angle
According to Table 1, delivery pressure is of the conical bottom is increased. So angle of
increased when friction factor of the swivel plate the conical bottom and friction factor need to
is decreased. be chosen reasonably.
165

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

Analysis of the centrifugal oil press vibration

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

centrifugal oil press rotates at a high speed.
Then, a part of the centrifugal force is converted
to pressing force which can make oil plants into oil.
Efficiency and centrifugal force will be higher when
rotation rate is increased. But stronger vibration
will be produced when rotation rate is increased.
Therefore, analysis of centrifugal oil press vibra-
tion is very important.
2 PROFILES OF CENTRIFUGAL
OIL PRESS
Figure 1. Structure diagram of centrifugal oil.
The process of centrifugal oil can be divided into 1 represents belt pulley. 2, oil plants. 3, bearing. 4, frame.
three sections: solid plants conveying section, disk 5, swivel plate. 6, material flow. 7, solid–liquid separation
fusion section, and ingress of oil section. Solid screw. 8, electromotor. 9, engine base. 10, oil filter. 11, feed
plants are conveyed by centrifugal force rather inlet. 12, pie mouth.
than friction, this is the biggest difference between
centrifugal oil press and screw oil press. The struc-
ture diagram of centrifugal oil press is shown in
Figure 1.
3 MODELING OF NEW CENTRIFUGAL

OIL PRESS
The size of swivel plate in new centrifugal oil press

Three-dimensional model of swivel plate drawn
in Pro/e is shown in Figure 3. A cutaway view of
swivel plate is shown in Figure 4. Figure 2. Size of swivel plate.
167

Figure 6.1. One order vibration mode.
Figure 3. Three-dimensional model of swivel plate.
Figure 6.2. Two order vibration mode.
Figure 4. A cutaway view of swivel plate.
Figure 6.3. Three order vibration mode.
Figure 5. Meshing results.
4 MODAL ANALYSIS OF NEW

CENTRIFUGAL OIL PRESS
Import the three-dimensional model of swivel

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

OF NEW CENTRIFUGAL OIL PRESS
In order to further investigate the vibration of new

centrifugal oil press when it rotates at high speed,
transient dynamic analysis of new centrifugal oil
press is done in ANSYS Workbench. Figure 6.5. Five order vibration mode.
168

Figure 9.1. Directional deformation.
Figure 6.6. Six order vibration mode.

Figure 9.2. Directional velocity.
Figure 9.3. Directional acceleration.
transient structural (MBD). Results are shown in

Figure 9.
Compare Figure 8 and Figure 9. It is apparent
Figure 7. Apply rotation rate. that when the rotation rate is increased, deforma-
tion and vibration of swivel plate are significantly
enhanced.
6 CONCLUSION
Figure 8.1. Directional deformation. 1. Natural frequency of swivel plate has been

obtained based on the modal analysis made in
ANSYS workbench. According to the modal
analysis, rotation rate should be designed as far
as possible away from its natural frequency.
2. Specific vibration of swivel plate when centrif-
Figure 8.2. Directional velocity. ugal oil press rotates at a high speed has been
obtained from the transient dynamics analy-
sis made in ANSYS workbench. Vibration is
enhanced when rotation rate is increased. So
swivel plate’s rotation rate needs to be chosen
reasonably.
Figure 8.3. Directional acceleration.

REFERENCES
Three-dimensional model of swivel plate is [1] Liu Yang, Xiong Wang’e. A space optical point-
imported into transient structural (MBD) which ing mirror system random vibration analysis based
is a module of ANSYS workbench. Then, we on ANSYS [J]. Machine Design and Manufacture,
apply a speed of 1000 rad/s on swivel plate after 2010, 4.
constraints and meshing have been completed, as [2] Bai Lidong, Qin Zhongbao. vibration breaks analy-
shown in Figure 7. sis of the beam slab structure based on ANSYS [J].
Directional deformation, directional velocity, Henan Building Materials, 2011, 6.
[3] Zhu Huangang, Zhang Bao. Drill string longitudi-
and directional acceleration are selected as analy- nal vibration analysis based on ANSYS [J]. Oil Field
sis result. Then click solve, the structure analysis is Equipment, 2008, 10.
shown in Figure 8. [4] Pu Guangyi. ANSYS Workbench 12 Basic tutorials
Rotation rate of swivel plate is changed from and example explanation [M]. Beijing: China Water-
1000 rad/s to 6000 rad/s, same analysis is done in Power Publishing house, 2012.
169

[5] Liu Congcong. Centrifugal extruder solid conveying [9] B.H. Sokolov. Centrifugal separation theory and
and pressurization mechanism research [D]. Master equipment [M]. Beijing: China Machine Press,
thesis, Beijing university of chemical industry, 1986.
2007:24–38. [10] Ye Kejiang. Wu Chaohui. The energy consump-
[6] Zhao Jing, Wu Daming, Chen Weihong. Mechanism tion of the virtualization of the cloud comput-
of centrifugal extruder solid conveying experimental ing platform management [J]. Chinese Journal of
study [J]. Plastics, 2008, 37 (3) 98–100. Computers, 2012, 6.
[7] Wang Moran. MATALB and scientific computing
[M]. Beijing: Electronic Industry Press, 2003, 9.
[8] Li Wenlin, Huang Fenghong. As the development and
application of double screw cold pressing machine [J].
Chinese Society of Agricultural Engineering, 2006, 6.
170

HPLC method for determination of concentration of Nifekalant

in human plasma
X. Xie
Henan Polytechnic College, Zhengzhou, Henan, China
ABSTRACT: To establish a HPLC method for determining the concentrations of Nifekalant in human
plasma and to evaluate its pharmacokinetic characteristics. An ODS3 (250 mm × 4.6 mm, 5 μm) col-
umn was used to separate Nifekalant in plasma with a mobile phase of a mixture of ammonium acetate
(0.1 mol/L)–methanol–methyl cyanide (440: 180: 180, V/V) at a flow rate of 1 mL/min. Nifekalant was
detected at 270 nm. The linear range of the standard curve of Nifekalant was 5 ∼ 1000 ng/mL, and the
determination limit was 5 ng/mL. The extraction recoveries were more than 80%, intra-day and inter-day
relative standard deviation were less than 6.23%. The Nifekalant plasma concentrations were determined
after intravenous dosing and its pharmacokinetic parameters were calculated. The method is sensitive,
fast, and accurate. It is suitable for therapeutic Nifekalant monitoring and its pharmacokinetic studies.
Keywords: Nifekalant; HPLC; pharmacokinetics
1 MATERIALS AND METHODS 1.3 Method of pretreatment

The stock solutions of Nifekalant and Ornidazole
1.1 Instruments and reagents
at the concentration of 1 mg/mL were all dissolved
The HPLC SIL-20 A system with automatic under methanol and kept at 4ºC, respectively.
sampler (LC-10 AT) was used to separate and A liquor of 0.5 mL plasma of sample plus 40 μL
detect Nifekalant in human plasma, METTLER of IS (Ornidazole 10 μg/mL) was acidified by add-
TOLEDO AX-205 electronic balance, XW-80 A ing 50 μL of 0.1 mol/mL hydrochloric acid and
eddy mixer, PROINO high speed centrifuge, 4 mL of ethyl acetate. Then it was vortex-mixed
PK514BP ultrasonic cleaner were supplied by 2 min, centrifuged at 5000 r/min for 5 min. The
Japan SHIMADZU Company, Mettler-Toledo water phase was discarded and 4 mL of organic
Instrument (Shanghai) Co. Ltd, Shanghai phase was moved to a clean glass tube and dried
Jingke Company, American Kendro Laboratory under nitrogen in a 40 ºC water bath. The residue
Products and Germany Bandel Company, was reconstituted with 0.1 mL of mobile phase,
respectively. centrifuged for 3 min, and 20 μL of it was injected
Nifekalant hydrochloride injection and refer- for analysis.
ence substance were offered by Sichuan Baili Phar-
maceutical Factory. Chinese Drug and Biological
1.4 Corroboration of methods
Products Quality Control institute provided the
Internal Standards (IS) of Ornidazole. Methanol, Under the above conditions, the retention times
methyl cyanide and ethyl acetate were all chroma- of IS and Nifekalant were 4.689 and 9.764 min,
tographic pure grade. respectively. The blank plasma, blank plasma
spiked with IS plus Nifekalant, volunteer samples
spiked with IS are shown in Figure 1.
1.2 Conditions for chromatogram
Then 0.5 mL blank plasma was added in each
The separation was carried out with a mobile phase glass tube which contained Nifekalant at concentra-
of a mixture of ammonium acetate (0.1 mol/L)– tions of 5, 10, 20, 50, 100, 200, 500 and 1000 ng/mL.
methanol–methyl cyanide (440: 180: 180, V/V) at After dried with nitrogen, purified, injected, and
a flow rate of 1 mL/min and a stable phase of A analyzed, the regressive equation was as follows:
INERTSIL ODS3 column (250 mm × 4.6 mm, y = –0.01378 + 0.00473 x, r = 0.9999, the limit of
5 μm), 20 μL of purified sample was injected. quantity is 5 ng/mL. The linear relationship of
Nifekalant was detected at 270 nm. Nifekalant from 5 ng/mL to 1000 ng/mL is good.
171

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

(ng/mL) rate (%) RSD (%) RSD (%)
2.1 Plasma concentrations
15 89.465 2.071 6.228
of Nifekalant in each group
200 94.086 2.873 5.116
750 80.375 1.326 4.384 The average plasma concentrations of Nifeka-
lant after intravenous infusion injection of
Then 15, 200, and 750 ng/mL of Nifekalant Table 2. The Nifekalant time–plasma concentrations
were spiked in blank plasma and analyzed at the after intravenous infusion injection of 0.3 mg/kg and
above conditions. The recovery rate, intra-day, and 0.4 mg/kg (x ± SD, n = 16).
inter-day Relative Standard Deviation (RSD) were
Concentration (ng/mL)
calculated (Table 1).
Time (h) 0.3 (mg/kg) 0.4 (mg/kg)
1.5 Subject and design
0.08 230.95 ± 54.02 358.62 ± 73.98
Sixteen healthy volunteers participated in this 0.17 158.02 ± 39.85 213.16 ± 38.35
study after physical examination and laboratory 0.25 112.05 ± 25.41 175.79 ± 29.95
screening. They were asked to avoid all prescrip- 0.5 90.71 ± 26.08 133.83 ± 26.18
tion for at least 10 days before the study. Those 0.75 69.87 ± 24.70 106.81 ± 21.69
who had a history of drug or alcohol abuse or 1 49.54 ± 17.10 78.12 ± 18.20
allergy to the components of Nifekalant and those 2 26.04 ± 7.89 38.28 ± 13.47
who had concomitant drug therapy were excluded. 3 16.94 ± 6.98 22.74 ± 4.86
All subjects gave their written informed consent at 4 11.24 ± 4.11 14.19 ± 1.54
the beginning of the study and were explained the 5 6.94 ± 2.60 8.83 ± 1.41
nature of the drug and purpose of this study.
172

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

Figure 2. The Nifekalant time–plasma concentra-
curve after 6 h intravenous dripping of 0.4 mg/kg (x ±
tion curves after intravenous infusion of 0.3 mg/kg and
SD, n = 8).
0.4 mg/kg (x ± SD, n = 16).
Table 4. The Nifekalant pharmacokinetic parameters after 5 min intravenous infusion of

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

Parameters
(unit) 0.3 mg/kg 0.4 mg/kg 0.4 mg/kg
t1/2 (h) 1.54 ± 0.38 1.34 ± 0.19 1.35 ± 0.23

Tmax (h) 0.08 ± 0 0.08 ± 0 3.75 ± 1.28
Cmax (ng/mL) 230.95 ± 54.02 358.62 ± 73.98 444.30 ± 88.12
AUC0-5 (ng/mL/h) 193.53 ± 45.19 285.61 ± 46.57 2609.02 ± 498.20
AUC0-∞ (ng/mL/h) 209.90 ± 48.12 302.44 ± 50.19 2627.33 ± 499.89
MRT (h) 1.18 ± 0.15 1.13 ± 0.08 –
CL (L/Kg/h) 1.50 ± 0.35 1.35 ± 0.22 0.32 ± 0.06
V (L/Kg) 3.40 ± 1.44 2.60 ± 0.35 0.61 ± 0.15
173

A HPLC method for determining the blood con- Kamiya, J. Ishii, M. Yoshihara, K. et al. MS-551: Pharma-
centration of Nifekalant with Ornidazole as inter- cokinetical profile of a novel class III antiarrhythmic
nal standard was developed and reported. It has agent. Drug Development Research. 30 1993.37–44.
sensitivity, specialty, and precision, and suitable for Donald, K. et al. Inhibition of ATP-sensitive potassium
channels in cardiac myocytes by the novel class III
Nifekalant therapy drug monitoring and pharma- antiarrhythmic agent MS−551. Pharmacology & Toxi-
cokinetic studies. The whole experiment process cology. 77 1995. 65–70.
was smooth, no adverse reaction occurred. Kamiya, J. Ishii, M. Katakami, T. et al. Antiarrhythmic
effects of MS-551, a new class III antiarrhythmic
agent, on canine models of ventricular arrhythmia.
REFERENCES Jpn J Pharmacol. 58(2) 1992. 107–115.
Kondoh, K. Haohimoto, H. Nishiyama, H. et al. 1994.

Effects of MS-551, a new class III antiarrhythmic
drug, on programmed stimulation-induced ventricular
arrhythmias, electrophysiology, and hemodynamics in
a canine myocardial infarction model. J Cardiovasc
Pharmacol. 23(4) 1994. 675–679.
174

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

Relaxation based on Lanczos
L.M. Bo, B. Bao & Y. Xu

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

Taking the number of turns in reactor, the calcula-
Air-core reactors are commonly used in current tion is difficult because of high order matrix. So,
limiting applications, harmonic filters, reactive we use the Waveform Relaxation (WR) method
power compensators, and so on. Due to its installa- to solve the equation. WR is a decoupling tech-
tion and maintenance simple, linear, and low oper- nique of large systems, which was first applied in
ating costs, air-core reactors have been developed circuit simulation [2]. The WR method consists of
rapidly and used widely in electric power systems a “divide-and-conquer” approach, i.e., in differen-
[1]. So the research on the reactor is gradually tial equation levels WR straightaway decouples a
coming into view. While during 2010–2011, many large system into small transient subsystems. This
faults, such as insulation aging and fire occurred approach allows each decoupled subsystem to be
on the 35 kV shunt reactors in the Yunnan Power independently solved with its own time-step length
Grid. Figure 1 shows the burned severity of a and therefore latency and multi-rate behaviors of
35 kV reactor. So the safe operation of the reac- stiff systems can be effectively exploited [3]. The
tor becomes an important issue and it is helpful WR has been first used in the time domain circuit
for studying the faults of reactors to analyze the simulation by the timing simulator MOTIS [4].
This approach has later been modified and imple-
mented in other mixed-mode sim7J.latws such as
SPLICE [5], DIANA [6] and SAMSON [7]. The
particular association of relaxation with the con-
ventional numerical methods used by these simula-
tors has given rise to a new area of time domain
simulation called the timing simulation.
However, the convergence rate of WR algo-
rithms depends on the nature of coupling between
the partitioned lines. Therefore, as the coupling
between the lines increases, the number of itera-
tions required for WR convergence also increases.
To address this problem, a new WR with Lanczos
algorithm for tightly coupled interconnects is pre-
sented in this paper.
This paper is organized as follows. Section 2
describes the WR method and Section 3 describes
Figure 1. Burned severity of a 35 kV reactor. the Lanczos algorithm and takes the Lanczos
175

algorithm into the WR method during its itera- Since Lanczos’s seminal paper [12] in 1950, despite
tion. In Section 4, a detailed case is introduced to some early setbacks about the applicability of the
prove the WR method and when combined with method in computers in finite precision arithme-
the Lanczos algorithm it is more better than the tic, the method found its way into many aspects of
traditional WR. science and engineering. This method could trans-
form symmetric matrix into triple diagonal matrix
by the matrix consisting of orthogonal vectors.
2 WAVEFORM RELAXATION So, the storage occupied by the Lanczos method
is tiny and the computing speed is fast. It is very
The WR method is an iterative method for analyz- useful in solving the large sparse symmetric matrix
ing nonlinear dynamical systems in the time domain. equation. The following will introduce this method
The method, at each iteration, decomposes the sys- through solving an equation.
tem into several dynamical subsystems each of which Assume the equation we wish to solve is
is analyzed for the entire given time interval [8].
We consider dynamical systems which can be Ax = b (3)
described by a system of mixed implicit algebraic-
differential equations of the form where A is symmetric, positive definite and of order
n, x is variables, and b is constant coefficient.
⎧ F ( y , y, u ) = 0 QnT AQQn Tn , where Qn is an orthogonal matrix.
⎨ (1) Therefore, we can evaluate the inverse of A as
⎩E ( y(0 ) y0 ) = 0
1 −1
A QnTn QnT (4)
where y(t ) ∈R p is the vector of unknown variables
at time t, y (t ) ∈R p is the time derivative of y at
time t, u(t ) ∈Rr is the vector of input variables and find the exact solution
at time t, y0 ∈R p is the given initial value of y,
x A−1b QnTn 1QnT b (5)
F : R p R p Rr → R p is a continuous function,
and E ∈ R n × p , n ≤ p is a matrix of rank n such that
Ey(t ) is the state of the system at time t. Based on the Lanczos method, the circuit equa-
The relaxation process is an iterative process. For tion of the reactor could be expressed as follows.
simplicity two most commonly used types of relaxa- Figure 2 shows the structure of a reactor and
tion namely the Gauss-Seidel WR and Gauss-Jacobi Figure 2 shows the circuit model of one turn of
WR. The relaxation process starts with an initial guess the reactor. From Figure 3 the controlled volt-
of the waveform solution of the original dynamical age source um represents the coupling between the
Equations (1) in order to initialize the approximate inductances of turns, the controlled current source
waveforms of the decoupling vectors. For the GS
relaxation, the waveform solution obtained by solv-
ing one decomposed subsystem is immediately used
to update the approximate waveforms of the decou-
pling vectors of the other subsystems. In GJ WR, all
waveforms of the decoupling vectors are updated at
the beginning of the next iteration. The relaxation is
carried out repeatedly until satisfactory convergence
is achieved. This process could be expressed by the
following Equations [9–11].
F (u, v, t ) = f v1, v2 , ..., vi 1 ui , vi 1 vn , t )

(Gauss-Jacobi WR)
R
F (u, v, t ) = f u1, u2 , ..., ui 1 ui , vi 1 vn , t )
(Gauss-Seidel WR) (2)
3 LANCZOS WAVEFORM RELAXATION
The method of Lanczos is probably one of the

most influential methods of computational math-
ematics in the second half of the 20th century. Figure 2. Structure of reactor.
176

⎧ ⎡ P11 0 ⎤ ⎡ 0 P12 ⎤
⎪P=⎢ ⎥−⎢ T ⎥
⎪ ⎣ 0 P22 ⎦ ⎣ P12 0 ⎦
⎨
⎪ ⎡Q11 0 ⎤ ⎡ 0 Q12 ⎤
⎪Q = ⎢ 0 Q ⎥ − ⎢QT ⎥
⎩ ⎣ 22 ⎦ ⎣ 12 0 ⎦
Putting them into (8), we can get
n +1 n +1
⎡ P11 0 ⎤ ⎡ X1 ⎤ ⎡ 0 P12 ⎤ ⎡ X1 ⎤
Figure 3. Circuit model. ⎢ 0 P ⎥ ⎢ n +1 ⎥ − ⎢ T ⎥ ⎢ n +1 ⎥
⎣ 22 ⎦ ⎢
⎣ X 2 ⎥⎦ ⎣ P12 0 ⎦ ⎢⎣ X 2 ⎥⎦
⎡Q11 0 ⎤ ⎡ X1 ⎤ ⎡ 0 Q12 ⎤ ⎡ X1 ⎤
n n
im represents the coupling between the capacitances =⎢ ⎥ ⎢ n⎥ − ⎢ T ⎥⎢ n⎥ (9)

⎣ 0 Q22 ⎦ ⎢⎣ X 2 ⎥⎦ ⎣Q12 0 ⎦ ⎢⎣ X 2 ⎥⎦
of turns.
Through the circuit model, the KCL and KVL
equations of the reactor are If we take the first subsystem into account, then
we can put X1n +11 1 VmY1n +11,r 1 into Equation (9)
⎧ duu n
⎪⎪ C dt + Ai b = is
n +11 r 1
VmT 11VmY1 VmT ( P12 X 2n +1 r Q11X1n Q1122 X 2n )
⎨ (6)
⎪− L dii b + AT u = 0 If Tm VmT P11Vm , then
⎪⎩ dt
n
TmY1n +11,rr 1
= VmT ( P12 X 2n +1 r + 11
n
1 − 12
n
2 ),
where C is node capacitance matrix, L is branch
inductance matrix, A is incidence matrix, un, ib are
node voltage and branch current, and is is node where Tm is tri-diagonal matrix. Another subsys-
injection current. tem is just like the first subsystem.
Define
⎧ ⎡C 0 ⎤ 4 DISCUSSION AND ANALYSIS OF CASE

⎪M = ⎢
⎪ ⎣0 L ⎥⎦ Figure 4 shows a 35-turn winding and its equiva-
⎨
⎪N = ⎡ 0 A⎤ lent circuit model is shown in Figure 9. Taking
⎪ ⎢ T ⎥
⎩ ⎣A 0⎦
then Equation (6) will become

dX
X
M + NX = 0 . (7)
dt
Equation (7) could be solved by the BDF
method
⎛ M N ⎞ n +1 ⎛ M N ⎞ n
⎜⎝ + ⎟X = − ⎟X (8)
Δt 2 ⎠ ⎝ Δt
Δt 2 ⎠
If
⎧ ⎛M N⎞
⎪⎪P = ⎝ Δt + 2 ⎠
⎨
⎪Q = ⎛ M − N ⎞
⎪⎩ ⎝ Δt 2 ⎠
According to the WR method, the system is par-

titioned into two subsystems, then P and Q would
become Figure 4. 35-turn winding model.
177

into account the clarity of the circuit, only mutual
inductances and capacitances between adjacent
turns are marked in Figure 5, but it should be
noted that the mutual inductances and capaci-
tances between each turn and node are existed.
Inject the standard 1.2/50 μs lightning which is
shown in Figure 6 into the head of the winding.
Then the voltage waveforms of first to fifth turns
are shown in Figure 6.
Figure 6 shows the comparison of three meth-
ods and Figure 7 shows the iterations of WR and
Lanczos WR methods.
From the figures, the iteration of the Lanc-
Figure 7. Overvoltage waveform.
zos WR method is less than the traditional WR
method, as the precision is high. That is to say, the
Figure 8. Iterations of two methods.
convergence property of the Lanczos WR method

is better than WR without Lanczos.
5 CONCLUSION
This paper presents a new WR with Lanczos algo-

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

observer for nuclear reactor fault detection, Nuclear
Science, IEEE Transactions on, vol.49, no.3, Jun 2002:
1304–1308.
[2] Lelarasmee, E., Ruehli, Albert E., Sangiovanni-
Vincentelli, AL., The Waveform Relaxation Method
for Time-Domain Analysis of Large Scale Integrated
Circuits, Computer-Aided Design of Integrated Cir-
cuits and Systems, IEEE Transactions on, vol.1, no.3,
Figure 6. Lightning. July 1982:131–145.
178

[3] Yao-Lin Jiang, A general approach to waveform relax- [8] Lelarasmee, E., Ruehli, Albert E., Sangiovanni-
ation solutions of nonlinear differential-algebraic Vincentelli, AL., The Waveform Relaxation Method
equations: the continuous-time and discrete-time for Time-Domain Analysis of Large Scale Integrated
cases, Circuits and Systems I: Regular Papers, IEEE Circuits, Computer-Aided Design of Integrated Cir-
Transactions on, vol.51, no.9, Sept. 2004: 1770–1780. cuits and Systems, IEEE Transactions on, vol.1, no.3,
[4] B.R Chawla, H.K. Gummel and P. Kozak, July 1982: 131–145.
MOTIS—An MOS Timing Simulator, IEEE Trans- [9] U, Miekkala, O. Nevanlinna. Convergence of
actions on Circuits and Systems, Vol. CAS-22, dynamic iteration methods for initial value problem
December1975: 901–910. [J] SIAM Journal on Scientific and Statistical Com-
[5] A.R Newton, The Simulation of Large Scale Inte- puting, 1987, (8).
grated Circuits, IEEE Trans. on Circuits and Systems, [10] Olavi Nevanlinna. Remarks on Picard-Lindelöf
Vol. CAS-26, September 1979: 741–749. iteration [J]. BIT, 1989, (2).
[6] G. knout and H. De Man. The use of threshold func- [11] Miekkala U. Dynamic iteration methods applied to
tions and Boolean-controlled network elements for linear DAE systems [J] Journal of Computational
macromodeling of LSI circuits, IEEE Solid-State and Applied Mathematics, 1989, (2).
Circuits Society, Vol. SC-13, June 1978: 326–332. [12] Lanczos C. An interation method for the solution
[7] K. Sakallah and S.W. Director, An Activity-Directed of the eigenvalue problem of linear differential and
Circuit Simulation Algorithm, IEEE Proceedings integral operators. Journal of the National Bureau of
Int. Conference on Circuits and Computer, New York, Standards, 1950, 45: 255–282.
October 1980: 1032–1035.
179

The design of automatic sorting and staking system based

on PLC S7-200
L.Y. Fang & X.Y. Zhou

Guangdong AIB Polytechnic College, Guangzhou, China
F.G. Wu & X. Zhang

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

aims at these questions to discuss a new products’
According to certain principles to achieve vari- sorting—stacking system based on PLC S7-200,
ous products to move orderly is the traditional it contains the process of feeding, transportation,
sorting. Sorting operation of traditional sorting sorting and stacking. Through many experiments
is labor-intensive, time-consuming and the high- and debugging, it is confirmed that the system is
est costs process, it accounts for about 40%–60% economic, reliable and highly flexibe for differ-
of distribution center’s workload[1]. With the rapid ent sorting requirements of the production line.
development of modern science and technology, Simply modified detection sensor can achieve sort-
automated and technical processing mode gradually ing different products, the system can be applied to
replaces manual processing mode, and becomes the logistics center and sorting system of modern pro-
main way of modern sorting. It has become one of duction line.
the necessary facilities and a key factor to improve
logistics efficiency in an advanced distribution center
of developed countries[2]. For an enterprise, whether 2 SCHEMATIC DESIGN[4–10]
it is large or small, how to face fierce market com-
petition and to improve the efficiency of production Through the comprehensive analysis of various
that is the important task, so it strongly demands automatic sorting system, in this paper, the auto-
highly automated production line. PLC control matic sorting and staking system is divided into
technology, as a kind of highly automated process four parts, it contains the process of feeding, trans-
control technology, gets more and more widely used portation, sorting, and stacking of 3DM. Figure 1
in the production line. However, the PLC industry illustrates the design scheme.
in our country still belongs to the developing stage, The description of working process is as fol-
many aspects are not perfect enough, cannot be very lows: after feeding system sends out the products,
good providing technical support for the industrial the conveyor belt starts to run to send them to the
development of our country. At present, most of the end of belt. During the transportation, Sensors on
domestic automatic identification sorting system is the conveyor belt distinguish the products of black
controlled by relay, but it is poor in precision con- metal and white plastic; if they are white plastic
trol and reliability, so it brings on high failure and products, the pushing rod will push them away.
181

there is product in the hoppers, the feeding cylinder
is controlled by throttle valve. Figure 1 illustrates
the physical map of the fending system.
2.2 Transportation system[14,15]

The main functions for the transportation sys-
tem is to send the products to the end of the belt.
During the transportation, sensors on the conveyor
belt distinguish the products of black metal and
white plastic; if they are white plastic products,
Figure 1. The design scheme of automatic sorting–

staking system.
Figure 4. The physical map of 3DM.
Figure 2. Feeding system.
Figure 3. Functional block diagram of conveyor belt.
Figure 5. Physical map of diagram stacking shelves.

Meanwhile, the black metal products will be trans-
ported to the end of belt and 3DM comes and
grabs the products to stacking shelves, the next
cycle will begin after the completion of this work-
ing process. Each functional block is introduced as
follows.
2.1 Fending system[11–13]

The main functions of the feeding system is to
automatically push the products in hoppers to the
conveyor belt, Then the belt transports them to
other units. Magnetic induction sensor is used to
determine whether the feeding rod to the back stops
unit, fiber optic sensor is used to detect whether Figure 6. Structure of 3D stacking shelves.
182

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

I0.1 front stop unit of Y axis Q0.1 pulse input of Z axis
I0.2 back stop unit of Y axis Q0.2 direction of Y axis
I0.3 Origin of Z axis Q0.3 direction of Z axis
I0.4 up stop unit of Z axis Q0.4 clamping and loosening of Finger cylinder
I0.5 Down stop unit of Z axis Q0.5 scaling of fending cylinder
I0.6 Examine product Q0.6 scaling of pushing cylinder
I0.7 back stop unit of fending rod Q1.0 the red indicator light
I1.0 back stop unit of pushing rod Q1.1 the green indicator light
I1.1 The end of belt Q1.2 alarm indicator lamp
I1.2 identify posture Q1.3 forward of VFD
I1.3 Identify material Q1.4 backward of VFD
I1.4 Identify color Q1.5 High speed of VFD
I1.5 fault signal of VFD Q1.6 Low speed of VFD
I2.0 Sudden button
I2.1 start button
I2.2 stop button
183

pushing too fast. Figure 7 illustrates programs of
the feeding system.
3.2.2 The program design of 3DM[16,17]

The 3DM can move in three different axes, it is the
X, Y and Z axes, respectively. By controlling three
axes of 3DM, the products can be stacked in any
position of 3D stacking shelves. In this paper we
take the Y axis programming for example.
The position of Y axis is controlled by the servo
controller whose pulses are generated by the Q0.0
Figure 9. The flow charts of the whole PLC program.
of PLC S7-200 CPU226CN. Siemens CPU226CN

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

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

which are assessment devices of the PLC designer.
Figure 8. The program design of Y axis. The result shows that it can achieve a fully
184

automated sorting–stacking process. It also proves [8] Haval. K. 2000. Schemes to predigest the number
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efficiency of PLC. Mechanism Manufacture. and
life, safe and reliable, mute, etc. Installing pho- Automatization, 46(2): 27–29.
toelectric encoder in the output of 3PAM may [10] MLmlzkua. S. 2009. Application of PLC In Logic
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185

Study of dynamic optimized allocation policy for AGC regulation

power based on fuzzy-Q learning algorithm
H. Qian
Shanghai University of Electric Power, Shanghai, China
Shanghai University, Shanghai, China
L. Zhou, W.X. Jin & J.B. Luo

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

power information network, and other fields [1].
Automatic Generation Control (AGC) is an In [2], concerning complex nonlinear constraints
important technology to balance the power system such as generator unit rate of AGC system model
generation and load and to ensure the frequency in the process of reinforcement learning algo-
quality of the power system, security, stability, and rithm, fully embodies the Q-learning algorithm
economics of the power grid operation. In recent does not depend on the characteristic of system
years, the CPS standards is used for the assessment model. Q-learning algorithm is applied to opti-
of AGC control performance in many provinces’ mal allocation of AGC regulation capacity, and
interconnected power grid in China. This imple- regulating margin joins into the reward function
mentation means that the needs for stability and in [3]. Furthermore, the requirements for multi-
rapidity are put forward to AGC on the premise of objective control of allocation of AGC regulation
stability of the power grid. Growing expansion of capacity is considered in [1] and [4], and regulat-
power grid scale and more renewable intermittent ing cost is introduced into reward function, but
wind power and large-scale photovoltaic power the size of the weight cannot reflect environmen-
connected to the electricity grid increase the uncer- tal changing.
tainty of power grid and the random volatility of In this paper, the MDP model is established for
load. Therefore, the AGC system can be seen as an optimized allocation of AGC regulation power,
“uncertain stochastic system”. At present, a lot of and multi-objective reward function based on
research has studied periodicity AGC as a discrete- rapidity and economics of regulation performance
time Markov Decision Process (MDP). Due to the is represented. The function is divided into dead
control targets and the random sequential decision zone and regulating zone in principle, and com-
characteristics presented in the process of AGC, bines CPS standard to gain weight value of multi-
MDP theory is put forward to study the dynamic objective reward function by using fuzzy function.
optimization allocation problem for AGC regula- Then optimized allocation policy is found by the
tion capacity. Q-learning algorithm. Finally, dynamic optimized
Reinforcement issue is an important branch allocation policy for AGC regulation capacity
of machine learning, and is also an important based on reinforcement Q-learning and fuzzy mul-
method of MDP. At present, the reinforce- tiple objectives contributes to robustness and eco-
ment learning has a certain application in AGC, nomics of power systems.
187

2 MDP MODEL FOR OPTIMIZED When am = (am1, am2, …, ami ) (a ∈ A ), regulating
ALLOCATION OF AGC REGULATION capacity allocated to ith unit can be calculated by
POWER Equation (3):
System composition of AGC is shown in Figure 1. ΔPri (t ) ami ΔPr (3)

As is shown in Figure 1, optimized alloca-
tion problem of AGC regulation power can be
described as follows. Since power grid dispatching Due to the limited number of AGC units
center can access the different frequency Δf, trans- involved in regulating, so here the available action
fer capability of tie line ΔPtie in the each period set A is limited to discrete values.
of AGC control, ACE is concluded and sent to
the AGC controller, and then the total regulating 2.3 Reward function
capacity ΔPr is calculated.
Combining the actual running status of each The purpose of AGC is to maintain Area Control
units and grid condition, dispatching center Error (ACE) at zero. At the modern interconnected
obtains distribution factor of each unit by using power grid environment, to meet the requirements
optimization algorithm, such as target regulating of the CPS standard, reward function is ordered to
power ΔPri provided by each unit is obtained. reflect the tracing performance of generator units
AGC is a periodic control system, therefore, it with performance and consider economy of the
is easy to time discrete for allocation algorithm of regulation in conformity with the CPS standard as
AGC regulation power. Assume observing system far as possible.
at time t1 t2 , …tn , … , optimized allocation prob- To improve the frequency quality in optimized
lem of AGC regulation power studied as a finite allocation, dead zone of ACE is necessary to con-
quadruple MDP (called MDP) model. sider when a load disturbance occurs during a
dispatching plan. It is prescribed that maximum
MDP (S , A, R,T ) (1) reward is obtained when ACE in the scope of dead
zone which conforms to the control requirements,
whereas reward value is given by multi-objective
2.1 Possible states S
reward function when ACE in the scope of
Due to regulating capacity of AGC, units are regulating zone. Then reward function is designed
based on total regulating capacity ΔPr gained by as multi-objective piecewise function given as
AGC, and the regulating capacity of AGC unit is Equation (4):
limited, so division scope of ΔPr is limited. Thus
the discretization of ΔPr into limit state values can k
R
be got and limit state space.
⎧ ⎡ ⎛ 2
⎤
k⎞ ⎛n k⎞
n
2.2 Available action sets A ⎪ ⎢ ⎜ΔP
⎪ ⎢
Pr
k −1
k−
∑ PGi⎟ ⎜ ∑ Wi ⎟⎥
ci ΔW
Action sets A consists of distribution factor of = ⎨1 − ⎢ω1 ⎜ i =1
⎟ + ω 2 ⎜ i =1 k ⎟⎥ , ACE ≥ δ
each unit α: ⎪ ⎣ ⎝ Pb
k
⎠ ⎝ Cb ⎠⎥⎦
⎪1, ACE < δ
⎩
A = {(a11, …,, a1i ) (an1, …, ani ) |
(a
(4)
N ⎫
0 ≤ ani ≤ 1, ∑ ani = 1⎬
n =1 ⎭
(2) where ω1 is the rapidity weight of unit tracing;
ω2 is the economics weight of unit cost; ΔPr is
total regulating power; ΔPGi is actual regulat-
ing power of ith unit; ci is unit regulating cost
of each unit, yuan/MW ⋅ h−1; ΔWi is generator
power of ith unit in a control period, MW ⋅ h−1;
Pb is base power of current system, MW; Cb is
generator cost of base power, yuan; δ is thresh-
olds of ACE’s dead zone.
Through building membership function of
weight and fuzzification, weight in the multi-
objective reward function is determined. Combined
with CPS standard, the built membership function
of weight in multi-objective reward function is
Figure 1. System composition of AGC. described as follows.
188

When CPS < 100%, CPS1 assessment is unquali- Q-learning is proposed to train optimal value func-
fied, so quick response of unit is needed to restore tion to avoid calculating transition probability
CPS index to normal range. So smaller the CPS1 is, directly.
the better the membership degree is. So falling kind
membership function can be used as fuzzy con-
straints set of rapidity weight ω1, as Equation(5) 3 Q-LEARNING USED IN DYNAMIC
shows: OPTIMIZED ALLOCATION
ALGORITHM FOR AGC REGULATION
⎧1, C S1 < 100 CAPACITY
⎪ 200 − CPS1
ω1 = ⎨ , 100 < CPS1 < 200 (5)
⎪ 200 − 100
In this paper, Q-learning is studied for dynamic
⎩ 0, C S1 > 200 optimized allocation policy for AGC regulation
capacity, and AGC regulating capacity optimally
whereas when the CPS1 > 200%, the ACE is posi- allocated based on measurable information of the
tive for frequency quality of interconnected power AGC system. ΔPr is regarded as state input and the
grid. The magnitude of the ACE need not be con- state is divided according to actual AGC regula-
sidered, but only the economics is taken into con- tion capacity. The action sets consist of distribu-
sideration which means reducing relating cost as tion factor α and depend on the number of units
far as possible. As a result, the bigger the CPS1 is, specifically involved in regulation, as shown in
the greater the membership degree becomes. Then simulation example. Reward function is defined in
the rising kind membership function can be used Equation (4).
as fuzzy constraints set of economics weight ω2, In Q-learning, the Agent depends on environ-
demonstrated as Equation(6), ment state s to choose an action a at the moment
t, and it observes instantaneous reward R and new
⎧0, C S1 < 100 state s’, then updates Q according to (8) (α is learn-
⎪ CPS1 − 100 ing factor to maintain convergences)
ω2 = ⎨ , 100 < CPS1 < 200 (6)
⎪ 200 − 100 )Qt ( s, a ) + α [Rt
⎩1, CPS1 > 200 Qt (ss a ) (1 Qt s a ]
(8)
2.4 The state transition probability function When an action can be chosen by the one with
The next state s of AGC system’s dynamic fre- the maximum Q value for the current state in the
quency response is due to current state sk and Q-learning algorithm, this method is called greedy
action ak, and has nothing to do with last state. policy π#:
Although both the actions and states are limited,
the dynamic system is described by a series of π # ( ) argg max Q k ( , a ) (9)
probability models as Equation (7). a A
whereas there are risks of using this policy contin-

a
Pxy P ob ⎡⎣ xk = y xk = x,aak = a ⎤⎦ x, y X , a A uously, the Agent may be bound in the action with
(7) maximum Q value in the early training, and ignores
researching for other existing action with more Q
a
where Pxy is probability of state x transfer to state value. Therefore, the approach of probability dis-
by taking action α. Since there is not enough tributions is commonly used to choosing action in
knowledge to gain state transition probability, Q-learning. This paper adopts pursuit algorithm to
construct the selection strategy. This method first
gives the same probability to any available action
under every state, namely:
1
ps0 (a ) = , ∀a ∈ A ∀s S (10)
A
In the initial phase of learning, the algorithm

chooses the action randomly. During the process
of learning, according to the change of the Q
function form, probability distribution of each
Figure 2. Membership functions of weights. action updates as Equation (11).
189

⎧ psk +1(ag ) = psk (ag ) + β ⎡1 − psk (ag ) ⎤ unit don’t have to demonstrated in the algorithm,
⎪ ⎣ ⎦ only if add the constraint set when the simulation
⎪ k +1 is built.
⎨ ps (a ) = ps (ag )(1 − β ), ∀a ∈ A, a ≠ ag
k
⎪ k +1
⎪ ps (a ) = psk (ag ), ∀a ∈ A, ∀s ∈ S , s ≠ s (11)
⎩ 4 EXPERIMENTAL SIMULATION
AND ANALYSIS
psk (a ) represents the probability of taking action
a in the kth iteration, that is Pr ob( k ) = psk (a ). 4.1 The establishment of double areas’ simulation
β(0 < β < 1) is a constant. “explored” and “used” model for AGC control system
for enough iterations, Qk will converge the prob-
This paper adopts load frequency’s control model
ability of the optimal function Q# to 1. Finally a
in the double area interconnected system as the
matrix Q# presenting the optimal control policy is
research object and related parameters shown
concluded. Exploration policy is available for the
in Table 1. Gross rated capacity of the system
Agent in the early stages of learning policy, and
is 18,000 MW, load under normal operation is
then gradually it transitions to the use type policy.
12,000 MW, and AGC adjustable capacity is
The algorithm aims to minimize the cumula-
6000 MW.
tive variance between actual output of units and
Instead of only one equivalent unit simulat-
regulating capacity and to minimize the regulat-
ing the generation process in area 1 in the former
ing cost in a control period, yet has nothing to do
model, three units with different inertia (inertia
with backward state. So we take discount factor γ is
constant is Ts), power constrains, climbing con-
0.0001, β is 0.01, and α is 0.1. To sum up, Q-learn-
strains, and regulating cost are used for this simu-
ing algorithm based on dynamic optimized alloca-
lation model, and related parameters are shown in
tion for AGC regulation capacity is described as
Table 2. Since there is no load disturbance in area
in Figure 3.
2, one equivalent unit model remains. The simula-
Q-learning algorithm has the characteristics of
tion is based on MATLAB/simulink.
independence on the model, and thus the limit that
included the rate of regulating and capacity of
4.2 Q-learning algorithm module
For simulating the Q-learning algorithm,
MATLAB/S-function module is used. Based
on AGC regulation capacity, the state space S
is divided into 12 discrete states as (−∞, −3000],
(−3000, −2000], (−2000, −1000], (−1000, −500],
(−500, −250], (−250, 0], [0, 250), [250, 500), [500,
1000), [1000, 2000), [2000, 3000), [3000, +∞).
Actions matrix A = {(0, 0, 1.0), (0, 0.1, 0.9), (0,
0.2, 0.8), …, (0, 0.9, 0.1), (0, 1.0, 0), (0.1, 0.9, 0),
(1.0,0,0)}, and there are 66 discrete action values.
Therefore, initial Q matrix is a zero matrix con-
taining 12*66 elements, and it is typed from Y0.
Since Q-learning algorithm remain studying in
choice at the initial stage of learning, and brings
about instability to system. The search of envi-
ronment to gain the optimal action policy, there
exists strongly random of action. So before prac-
tical operation, Q-learning algorithm must be
pre-learned for a period of time, it ensures that
the Q matrix is close to the optimal matrix Q#. In
pre-learn-phase, bigger disturbance added is con-
Table 1. Parameters of double area interconnected

system.
Tg/s Tt/s TP/s R/(Hz/MW) Kp/(Hz/MW) T12/s
0.08 0.3 20 1/7200 1/360 0.545

Figure 3. Q-learning algorithm flow diagram.
190

Table 2. Related parameters of three units.
max min + −
Unit R PG PG Prate Prate cost Yuan
type TS/s Tg/s Tt/s Hz/MW /MW /MW /MW ⋅ min−1 /MW ⋅ min−1 /MW ⋅ h−1
I 180 0.1 0.3 1800 750 −750 120 −120 100

II 120 0.08 0.3 1800 750 −750 180 −180 150
III 60 0.05 0.2 3600 1500 −1500 450 −450 200
tributed to Q-learning algorithm access to actions

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

optimized function based on Q-learning
In this simulation example, besides the simula-
tion study for multi-objective piecewise optimized
function based on Q-learning discussed above,
the average allocation strategy generally adopt
by actual AGC allocation policy is introduced to
compare with, and also multi-objective controlla-
ble AGC regulation power optimization allocation
described in [6] is introduced. Then taking advan-
tage of rapidity weight, allocation factor sought
out is (0.16, 0.24, 0.6) by genetic algorithm. The
simulation is experimented to allocate the AGC
regulation capacity under the same output of
AGC controllers. Figure 5. Δf of area 1.
The curves of actual active power output under
three allocation policies are given in Figure 4.
The simulation demonstrates that all of the three
allocation policies trace the load disturbance well
under small load disturbance, yet when bigger dis-
turbance occurs, the Q-learning algorithm rises
unit output to 2000 MW in 220 s, while genetic
algorithm uses 280 s and average allocation strat-
egy uses about 350 s. Obviously, Q-learning algo-
rithm allocation embodies outstanding advantage
in rapid tracing of load disturbance.
The curves of total regulating power of AGC
under three allocation policies are given in Figure 6.
Combined with changing condition of the fre- Figure 6. Total regulation power of AGC.
quency deviation, it is demonstrated that after
adding +1000 MW load disturbance, system fre-
quency returns to allowed value due to the under- strategy. The favorable tracing performance helps
standing of tracing performance of the Q-learning recover the frequency after larger disturbance. The
algorithm. So the changing amplitude of total reg- largest error of total regulation capacity and unit
ulation power with Q-learning algorithm is smaller output is only 35% of average allocation strategy
than genetic algorithm and average allocation and 20% of genetic algorithm. It is concluded that
191

more stable total regulation power could be gained genetic algorithm are static optimization algorithms
by optimized allocation policy based on Q-learn- so that distribution factors cannot adjust accord-
ing, rather than the traditional allocation policy. ing to the variation of CPS1. So the value of CPS
The curve shows changing condition of system by using optimized policy based on Q-learning is
performance evaluation index CPS1 by using the superior than using traditional allocation policies.
three allocation policies under the above distur- When load distribution decreases to zero suddenly,
bances shown in Figure 8. It is analysis that policies value of CPS1 by Q-learning algorithm is smaller
can remain value of CPS1 within qualified scope than genetic algorithm. It is explained that because
when smaller disturbance occurs. When it comes of great output for large disturbance, ACE and fre-
a larger load disturbance at the time 3000s, ACE quency deviation are not small, so value of CPS1
is quickly expanded. For recovery ACE to nor- which was calculated by this two is small. From
mal value, optimized policy based on Q-learning the curves of CPS1 in area 2, it is concluded that
is able to gain the instantaneous reward according rapid recovery of frequency in area 1 contributes
to changes of CPS’ value to choose proper action to reduce the effect to area 2.
and controls CPS1 within qualified assessment After 1000 MW load disturbance added dur-
indicators. Both average allocation strategy and ing the time of 1000s–2000s, the cost sequence
arranged from high to low is genetic algorithm
with 44,000 Yuan, average allocation strategy
with 38 and Q-learning algorithm with 34. Since
Q-learning response quickly to big disturbance
by increasing the distribution factor of high-reg-
ulating speed-units so that recover the frequency
rapidly. Although it increases cost for the unit with
high regulating speed, it makes units with better
economics involved in regulating soon when the
frequency returns to allowed values. It is evident
that the multi-objective piecewise optimized func-
tion based on Q-learning is able to dynamically
Figure 7. ACE of area 1. adjust distribution factors in an ever-changing
operation environment of power gird.
4.4 Simulation on changing dispatching plan

As shown in Figure 8, under current dispatch-
ing plan, when disturbance which is 2000 MW
is occurred in the system, value of CPS1 in area
1 greatly reduces, and beyond 100%, the minimum
value is allowed by assessment standard. So dis-
patching plan has to be changed when big distur-
bance emerges, and more units should be involved
in regulation. In practical, variable types of units
to complete different regulation, and undertake
different regulation quantity is taken consideration
Figure 8. CPS1 curve of area 1.
into operation of AGC.
Therefore, the simulation is carried out to study
changing dispatching plan of the AGC system.
Add square waves with period is 2000s and ampli-
tude is 2000 MW to area 1. Under the first distur-
bance, Q-learning algorithm allocates power as the
consequence trained before. In the time of 3000s,
the second square wave comes, with the increase
of ACE, AGC system changes its dispatching
plan, increasing more AGC units good at rapidity
to regulation. The regulation speed of these units
increases to ±600 MW/min from ±450 MW/min.
The curves of units output and regulation power
are shown in Figures 10 and 11.
Figure 9. CPS1 curve of area 2.
192

5 CONCLUSIONS
1. Dynamic optimized allocation policy for

AGC regulation capacity based on Q-learning
and fuzzy multiple objectives could carry on
dynamic demand allocation quickly according
to load disturbances.
2. The simulation results show that multi-objec-
tives optimized policy based on Q-learning
and fuzzy could designe fuzzy multi-objectives
piecewise functions through reward function of
Figure 10. Actual output power.
Q-learning, it takes both rapidity of frequency
recovery and economics of regulation into con-
sideration to realize multi-objectives optimiza-
tion. As a result, stability of power grid and
economic effect are improved.
3. Q-learning algorithm is a kind of reinforcement
algorithm with real-time online learning ability.
It is able to adapt to the changes of operation
environment, and provide real-time allocation
action, thus improving the adaptability and
robustness of optimal allocation of the AGC
regulation power to the whole power system.
Figure 11. Total regulation power of AGC. REFERENCES
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From the diagrams (Figs. 10 and 11), Q-learning development of reinforcement learning theory in
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193

Fault diagnosis of rolling bearing based on Fisher Discriminant Analysis
Wei-Bing Zhang, Chu-Guang Liang & Gang-Cheng Li

Department of Information Engineering, Hunan College of Information and Engineering, Changsha, China
ABSTRACT: This paper presents a fault diagnosis method of rolling bearing based on Kernel Fisher
Discriminant Analysis (KFDA). The basic idea of KFDA is to map the original space into a high dimen-
sion feature space via nonlinear mapping and then extract the optimal Fisher feature vector and discrimi-
nant vector to achieve the state monitoring and fault diagnosis of rolling bearing. The experiment result
shows that the KFDA method is able to recognize the fault patterns effectively.
Keywords: rolling bearing; fault diagnosis; pattern recognition; Kernel Fisher Discriminant Analysis
(KFDA)
1 INTRODUCTION nuclear learning to FDA. Making great use of the

idea of nuclear learning methods, first by a non-
The faultdiagnosis of machine aims at extracting linear mapping Φ , it maps the data of space R d
its running characteristic parameters to identify or into a high dimensional kernel space and then does
estimate which state the system is in. By establish- the Fisher linear discriminant analysis in the high-
ing the relationship between characteristic infor- dimensional kernel space. Thus, the sample charac-
mation and status information to make an overall teristics obtained in high-dimensional kernel space
judgment, the fault monitoring or diagnostic pro- is non-linear with respect to the original space,
cedure essentially is a fault pattern recognition and which is more conducive to classification.
classification process[1].
In this, Fisher Discriminant Analysis (FDA) 2.2 Kernel Fisher discriminant analysis
is employed as the identification and classifica- and algorithms achievement for two types
tion method of rolling bearing. However, FDA is of problems
essentially a linear classification method, but the
signals of rolling bearings tend to be non-linear 1.2.1 Kernel Fisher discriminant analysis
and non-stationary. In view of this, we propose a Let be a nonlinear mapping from an input
fault diagnosis method of rolling bearing based on space to a certain feature space: Φ : X → F .
Kernel Fisher Discriminant Analysis (KFDA). By nonlinear mapping, the vector collection
in the input space X1 X 2 , …, X N is mapped to
Φ( 1 ),
), Φ((X
X 2 ), …, Φ(X N ) in the feature space. So
2 KFDA METHOD we can define the mean vector miΦ for the two types
of training samples in the feature space as
2.1 Overview
⎛ 1⎞
The paper[2] describes the linear Fisher Discrimi- miΦ = ⎜ ⎟ ∑ Φ(X ) (1)
⎝ Ni ⎠ X X i
nant Analysis (FDA) algorithm, which is a method
designed to reduce the number of feature dimen-
sions and supervise learning algorithm, in order to Ni represents the number of samples in class i
set up a subspace (composed by all the projection and N N1 + N2 , then the inter-class scatter matrix
axes). All samples meet the minimum within-class of samples SbΦ is
scatter and the maximum inter-class scatter in this
subspace. The projection coefficients of all samples SbΦ m1Φ − m2Φ )( m1Φ − m2Φ )T
(m (2)
in these projection axes are used as the feature vec-
tors of samples then making use of these feature the total with-class scatter matrix is
vectors to identify the classification for samples. 2
KFDA is thought to be a new nonlinear character- SwΦ ∑∑ X miΦ )( (X ) − miΦ )T (3)
istics extraction method produced by introducing i =1 X X i
195

Fisher discriminant analysis is done in the fea- α T Mα
ture space, the Fisher discriminant criterion is max (α ) = (11)
defined as: α T Hα
where
W T SbΦW
max F (W ) = (4)
W T SwΦW M (M1 − M 2 )(M1 − M 2 )T (12)
where W is the direction of the projection line. H ∑ Ki ( I Li )K iT (13)

Then optimal projection direction can be obtained i =1,2
from the above equation, namely

Among them, K i is a matrix of N Ni (i = , 2 ),
∗ representing the kernel matrix of type i and it
W (SwΦ )−1(m
( m1Φ m2Φ ) (5)
meets
the projection of Φ( ) on W * is ( ( )
i ) p,q k( p,Xq )
i
y W ∗T
Φ(X ) (6) (p , 2, , N ; q 1, 2, , Ni ) (14)
The formulas (1) to (6) are performed in the fea- I is a unit matrix of Ni Ni , Li is a matrix of
ture space. Due to a high dimension of feature space, Ni Ni and all its elements are 1 Ni .
or even an infinite number of dimension, it is not Essentially, in the equation (11), α is the feature
possible to directly calculate the optimal projection vector of the matrix H 1M corresponding to the
direction. Reproducing kernel theory[3] of machine largest eigenvalue. It can be directly obtained by
learning shows that the above operation can be car- the following formula
ried out by the inner product kernel function defined
by the original space, not relating to a specific non- α = H −1(M1 − M 2 ) (15)
linear mapping. So it is necessary for formula (4) to
be transformed so that it contains the inner product To obtain W*, it’s essential to make H a posi-
operation of mapped data. Inner product operation tive definite matrix. To do this, simply adding a
is represented by an appropriate kernel function. quantity μ of the matrix H, that is replacing H
with H μ = H + μ I where I is a positive definite
(X i , X j ) (X i ) (X j ) (7) matrix. Finally, in the feature space, the projection
of Φ( ) on W is converted into the projection of
k ( , X ) on α . That is
Given that W can be represented by a linear
Φ( 1 ),
), Φ((X
X 2 ), …, Φ(X N ), that is to say N
N
y W T ⋅ Φ(X ) ∑ α j k (X j , X ) (16)
j =1
W ∑α i (X i ) (8)
i =1
This indicates that the conversion gets back to
combine formula (1) and (8), then we can get the data space.
For kernel Fisher discriminant analysis method,
N Ni demarcation threshold point y0 can be selected as
1
yi W T miΦ = ∑ ∑ α j k X j , X k(ω ) )
i
Ni j =1 k =1 N1m 1Φ + N2 m 2Φ
y0 = (17)
= α Mi (i = 1, 2 )
T
(9) N1 N2
where Mi is a matrix of N × 1 and ω i stands for the where N1 and N2 represent the number of first
sample of type i . And and second type of training samples respectively,
m iΦ (i , 2 ) is the average value of each type of the
⎛ 1 ⎞ Ni
( i)j (
= ⎜ ⎟ ∑ k X j , X k( i )
⎝ Ni ⎠ k =1
) projected samples and it is a scalar, then
N
1
(i , 2; j 1, 2, , N ) (10) m iΦ =
Ni
∑ ∑α j k X j ,X ) (18)
X ∈ω i j =1
Combining all these kinds of formulas and
through a series of matrix operations and trans- At last, projecting the pending samples in the
formation, formula (4) is equivalent to optimal projection direction to obtain the value
196

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

[4] Product research and development center of FeiSi [6] Liu T.X, Zheng M.G, Chen Z.N. Application
Technology. Signal processing technology and appli- research of AR model and fractal geometry in equip-
cation using MATLAB 7. Electronic Industry Press, ment condition monitoring [J]. Journal of Mechani-
2005. cal Strength, 2010, 23(1):61–65.
[5] Ding Y.L, Shi L.D. Mechanical fault diagnosis tech- [7] Lu S. Intelligent diagnosis technology research of roll-
nology [M].Shanghai: Shanghai science and technol- ing bearing based on modern signal analysis and neu-
ogy literature press, 1994: 225–230. ral network. Ph.D. Thesis of Jilin university, 2008.
198

The voltage coordinated control strategy of the power grid

which includes large scale wind power
R. Shi, R. Jiao & Z.J. Chi

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

layer static and dynamic voltage coordinated con-
This template provides authors with most of the trol strategy of wind farms “program + online +
formatting specifications needed for preparing urgent” was proposed. In reference 5, a group of
electronic versions of their papers. All standard wind farms are the central focus; the high side volt-
paper components have been specified for three age of the step-up transformer of each wind farms
reasons: (1) ease of use when formatting individ- is the constraint: a proposal for the coordination
ual papers, (2) automatic compliance to electronic of the various wind farm reactive power regulating
requirements that facilitate the concurrent or later devices in operation was put forward. However,
production of electronic products, and (3) com- neither of them use a layered model to describe
mon Introduction. the System of Wind Power field group net reac-
The distributed generation power using renewa- tive power and voltage control coordination. This
ble energy has been a hot area of research. In recent work has played a positive role on reactive voltage
years China’s power grid structure has changed control, but it is necessary to consider the complex
dramatically; the network structure is compli- factor of the large scale wind power in the overall
cated and further requests have been advanced in grid voltage and the reactive power optimization
reactive power and voltage. China’s new energy control—from the perspective of the whole grid:
development generally has a cluster develop- it is important to solve the problem of reactive
ment, weak grid access and long distance delivery power from the local voltage to the power total
characteristics. New sources of volatility of strong, system and to put forward an advanced reactive
weak controllability, centralized access areas often voltage control strategy.
lack the support of conventional power, reactive This paper, embarking from space granularity,
power and voltage problems are likely to cause sys- proposed the strategy of System of Wind Power
tem security incidents[1,2]. field group net reactive power and voltage control
Reference 1 was considered from the view point coordination under the application background of
of the time scale as well as the response time of the the Gansu power grid.
199

2 THE GENERAL IDEA reactive voltage of the System of Wind Power field
group net, to analyse multi-level problems from
The fundamental purpose of the strategy of System the perspective of space decoupling, to propose
of Wind Power field group net reactive power and the control strategy of the System of wind turbine,
voltage control coordination is to solve the complex wind farm, wind group and network, to achieve
the objective of the safe and stable operation of
the entire network voltage and the largest wind
power output. To achieve the above-mentioned
objectives, the paper designs the general framework
of control strategy as shown in Figure 1.
The control strategy mainly consists of four
parts: the grid level control strategy, the group level
control strategy, the field level control strategy and
the wind turbine level control strategy. The basic
idea for strategy of System of Wind Power field
group net reactive power and voltage control coor-
dination is that the grid level is the highest level of
control layer; the grid level control station accord-
ing to the voltage of the weak to choose reactive
power optimization mode or voltage control mode;
the group level is the senior level of control layer;
based on the control command, it carries on the
corresponding model calculation and control tar-
gets to stand at a lower level; the field level is both
Figure 1. A control strategy for the overall frame- control layer and actuating layer; based on the pro-
work map. posed control objectives, it selects the local control
Figure 2. The strategy of System of Wind Power field group net reactive power and voltage control coordination.
200

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

Dynamic reactive power compensation devices
generally include reactors, capacitors and a static
var generator. Figure 3. Priority selection method.
According to the reactive power source con-
trol features on the table for analysis, this paper
presents the basic principles of local control:
the voltage on the rise, to avoid the frequent
1. First, make SVC regulation. The SVC control movement of the reactive power compensation
station is called first SVC, until exhaustion date device, it should stop regulation; If the forecast
SVC; of the wind power output will not register sig-
2. Secondly, the regulation of the capacitive nificantly, it should reduce the packet back to
reactance. If the SVC is exhausted or there is no sub-station reactors; and when all reactors quit,
static compensator device, then it calls for capac- it need cast capacitor by group until the voltage
itive reactance; when the voltage is too high, we qualified or capacitors all put up.
must direct back the reactors in the sub-station; 3. Transformer tap regulation.
when all reactors quit, grouping cast capacitor 4. Wind Turbine regulation. Select the followed
until the voltage controller qualified or capaci- wind turbine by priority regulated.
tors all put up. When the voltage ran in low pres-
sure critical conditions, the strategy predicted
4.2 Priority selection method
the output of wind power. If the forecast of the
wind power output is significantly reduced and The priority is shown in Figure 3.
201

5 APPLICATION CASE stable, it can be found that it takes time to settle and
the result is not perfect. The known 330 KV voltage
This research is correlated with the Jiuquan wind compliance range of [352,360], in 0 minutes in the
power base as an application platform and PSASP as voltage of each site in the Dunhuang area is unqual-
a emulated platform. Xinjiang output active power ified as shown in Figure 5. The simulation has been
0 mw to Gansu. Dunhuang area’s active power from worked with PSASP software. Based on the control
wind power accounted for 15% of its maximum strategy of this paper, all voltage sites are qualified
activity. The Dunhuang area has a light load and in five minutes, and the use of any control method
high voltage at the moment. The Dunhuang 750 KV does not make all voltage qualified after 8 minutes.
station voltage is 806.681 KV, in accordance with
the strategy of System of Wind Power field group
net reactive power and voltage control coordina- 6 CONCLUSION
tion into a voltage control mode. First determine
the group level control station, the field level control The power grid, which includes large scale wind
station and the actuating station. And based on the power, has lots of complex problems about reac-
priority selection method sort out the actions of the tive power and voltage; the strategy, combined
field level control station. The control strategy for with a variety of reactive power sources and oper-
the specific implementation plan of the Dunhuang ating characteristic analysis of multi-level prob-
area is shown in Figure 4. All controller layers of lems, analyzed this complex problem at different
each level control stations are given in detail in levels and proposed the reactive power and volt-
Figure 4; a sequential action was carried out on the age control strategy of System of Wind turbine,
field level control stations of 10 areas of Dunhuang. wind farm, wind group and network. This policy is
Therefore, it controls the voltage hierarchically conducive to the full use of wind energy resources,
according to this strategy. In this paper, the control with the domestic million kilowatts of wind power
voltage is beyond the qualified; after the voltage is base: the paper control strategy has reference to
this beautiful power based reactive power control.
REFERENCES
[1] Tapia G., Tapia A., Ostolaza J.X. Proportional-integral

regulator-based approach to wind farm reactive power
management for secondary voltage control. IEEE
Trans on, Energy Conversion, 2007, 22(2): 488–498.
[2] Kayikci M., Milanovic J.V. Reactive power control
strategies for DFIG-based plants. IEEE Trans on
Energy Conversion, 2007, 22(2): 389–396.
[3] Qiao Ying, Lu Zongxiang, Xu Fei. Coordinative
strategy for automatic voltage control of wind farms
with doubly-fed induction generators [J]. Automation
of Electric Power Systems, 2009, 33(4): 87–91 (in
Chinese).
[4] Chen Ning, Zhu Lingzhi, Wang Wei. Strategy for
reactive power control of wind farm for improving
voltage stability in wind power integrated region [J].
Proceedings of the CSEE, 2009, 29(10): 102–108 (in
Figure 4. The control strategy of the Dunhuang region. Chinese).
202

Research on predict Direct Capacitor Power Control of voltage source

PWM rectifier, applied to electric vehicle charging and discharging field
Cheng Gong, Long-Fei Ma, Zhong-Jun Chi, Wei Li, Bao-Qun Zhang & Yu-Tong Zhao
State Grid Beijing Power Research Institute, Fengtai District, Beijing, China
ABSTRACT: To improve both the steady and dynamic performance, based on the mathematical model
of the three-phase voltage source rectifier, this paper proposed a new control strategy with outer voltage
square loop and inner capacitor active power and grid reactive power loop; for this 18 non-fixed sec-
tors are divided and a scheme named predict direct capacitor power control is designed and realized by
simulation. This new control strategy achieves the goal that the capacitor active power can be controlled
directly by decoupling of the power of capacitor and load. Results of simulation prove the validity of this
method.
Keywords: PWM rectifier; predict; Direct Capacitor Power Control (DCPC); outer voltage square loop,
non-fixed sectors
1 INTRODUCTION Based on the model of the dual converter, a

new control strategy with two control loops is pro-
The three-phase voltage type PWM rectifier has posed in this paper—which is named predict direct
good prospects in fields of motor drive and new capacitor power control (P-DPC). The outer loop
energy power generation. Applied in the electric controller adopts the voltage square form to real-
vehicle, it can resolve the problem of harmonic and ise the decoupling of grid-side active power, load
achieve the two-way flow of energy. According to power and capacitor power. In the inner loop, two
different plants of the inner controller, the con- power controllers are designed, based on index
trol strategies are mainly divided into two catego- function, which minimise the error of grid side
ries, which are, the current control and the Direct reactive power and capacitor power. By designing
Power Control (DPC). Compared to the current a kind of PWM converter power observer of the
control strategy, DPC has the advantages of the bidirectional DC-DC converter, the coordination
higher power factor, lower THD, higher efficiency control of dual PWM converter is realised. Simula-
and simpler structure, which has become the talk- tion results show a good performance of the new
ing point in recent years. control strategy.
The Bidirectional DC-DC converter is the out-
put unit of the electric vehicle charging equip-
ment, which is also a kind of PWM converter. At 2 THE POWER MATHEMATICAL MODEL
present, the charging and discharging equipment OF PWM CONVERTER
of the electric vehicle is mainly composed by dual
PWM converter above. Presently, both convert- Figure 1 shows the circuit topological structure
ers of the dual PWM converter work separately. of the grid-side PWM converter. The mathemati-
When load disturbance occurs, the dynamic per- cal relationship between the phase current and
formance of the dc-link voltage is usually poor. voltages in the αβ-reference frame is shown as
A large capacitance is usually used to improve following:
the performance, which causes other problems.
In recent years, research has been conducted on diis
us is + L + ur (1)
the problems above. As to current control, current dt
feed-forward control strategy [2] [3] and direct
capacitor current control strategy [4] have been where us is the supply line voltage vector, is is the
proposed—both can improve the dynamic per- input current vector. L and R denote the induct-
formance. As for the power control, there has been ance and resistance of the inductor; ur denotes the
little relevant research. voltage vector generated by the converter.
203

3 PREDICT DIRECT CAPACITOR POWER
CONTROL
As the formulas show, the DC side capacitor power

flow will cause the DC voltage fluctuation. The
outer voltage loop, the load power and the capaci-
tance power decoupling can eliminate the distur-
bance of the capacitance power load power. As for
the power ring, if we can control the pc equals to 0
or control the rate of change and there is no energy
Figure 1. Topological structure of PWM converter. flow DC capacitor, then we can use smaller capaci-
tor in DC side to maintain constant DC voltage. In
view of the above ideas, this paper uses capacitor
According to instantaneous power theory, the power as the control target to design the control-
instantaneous active and reactive powers can be ler based on predict strategy, which is named the
expressed in the stationary αβ-reference frame Predict Direct Capacitor Power Control Strategy
as: (P-DCPC).
Power prediction models are as follows:
⎧ p = usα isα usβisβ
⎨ (2) ⎧ dp − Rp − ω L
Lq − (ur us + urβusβ ) + us2 dpl
⎩ q usβisα usα isβ ⎪ c =
⎪ dt
−
L dt
⎨ (7)
Assuming the three-phase voltage symmetrical ⎪ dq − Rq − ω Lp
L − ( urα usβ − urβusα )
balance, there are ⎪⎩ dt = L
⎧ disa Differentiating (7), we can get formula (8), from

⎪L dt = − Riisα − urα + usα which we can see the available power changes
⎪ caused by different voltage vector:
⎪ di
⎪ L sβ = − Riisβ − urβ + usβ
⎪ dt ⎧ dppc
⎪ ⎪⎪epci = dt | ur ui
⎪ dudc ⎨ (8)
⎨C = sα iα + sβiβ − iL
⎪ dt ⎪ eq = dq | u u
⎪ du ⎪⎩ i dt i
⎪ sα = −ω usβ
⎪ dt For each control cycle Ts, ui combination of dif-
⎪ ferent functions, can obtain Ts time changes in the
⎪ dusβ
⎪⎩ dt = ω usα
(3) amount of power:
⎧ n
Based on (3), differentiating (2) results in instan- ⎪Δpc = pc ( k ) pc ( k ) ∑ eepci ti
taneous active and reactive power variations: ⎪ i =0
⎨ n
(9)
⎪ Δq = q( k ) q( k )
⎧ dp − Rp − ω L
Lq − (urα usα + urβusβ ) + us2 ⎪ ∑ eqi ti
⎪ = ⎩ i =0
⎪ dt L
⎨ (4)
⎪ dq − Rq − ω LLp − (urα usβ − urβusα ) By the direct capacitance power control thought
⎪ = that, with two of the ultimate goal of power con-
⎩ dt L
trol: 1) the power flow through a capacitor is
1 dVdc2 approximately zero, so that the power is delivered
pc C (5) to the load directly by the rectifier; 2) no power
2 dx
is approximately zero to absorb from the network
The formula (6) is rewritten as the form of PI, side, so as to realise the network side unit power
where vD = vdc2 factor control. So the following design index func-
tions are chosen as follows:
* ⎛ k⎞
pc (vD − vD ) kp + i (6) W 2
Epc + Eq2 (10)
⎝ s⎠
204

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

increased or decreased boundary:
lines are divided into 18 different dynamic
⎧ ⎛ 3 3U m ⎞ sectors.
⎪ ωt | dp = ± arccos ⎜ ⎟ The three voltage vectors selection method is
⎪ dt
|u1 = 0 ⎝ 2 2udc ⎠ adopted—themain vector, auxiliary vector and
⎪ zero vector, vector selection, as shown in Table 1.
⎪ ⎛ 3 2ω Lp ⎞
⎨ωt | dq = arcsin ⎜ ⎟
According to the volt second balance principle, to
⎪ dt
|u1 = 0 ⎝ 2 3U m udc ⎠ further reduce power fluctuations, each vector time
⎪ ⎛ 3 2ω Lp ⎞ mean symmetric distribution, which is deduced as
⎪ π + arcsin ⎜ (12) follows:
⎪⎩ ⎟
⎝ 2 3U m udc ⎠
Ts
( eq2 − eq0 )Δpp + ( ep
e c0 eeppc 2 )Δq + ( eq0 epc 2 − eq2 epc 2 )
So the increased or decreased boundary of ui 2
t1 =
can be described as formula (13): eq0 epc 2 − eq1ep
epc − eq2 eeppc 0 + eq1ep
e c0 eq0 ep
eq e c1 eq2 ep
e c1
⎧ π ⎛ 3 3U m ⎞ ( eq0 − eq1 )Δpp + ( eepc1 − q + ( eq1epc 0 − eq0 ep 1 )

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

built in MATLAB. The sketch map of the system
The buck-boost circuit is used in the bidirec-
tional DC-DC converter and PI control strategy is
adopted to control the switch. Simulation param-
eters are shown in Table 2.
From Figure 4, we can see that the new strategy
this paper put forward has a better dynamic per-
formance compared toP-DPC. The fluctuation of
dc-link voltage is smaller and the speed of dynamic
response is faster when the load power changes
Figure 2. The division of switch vector function area. suddenly at P-DCPC.
205
CH43_46.indd 205 3/20/2015 5:17:54 PM

Figure 3. Sketch map of the control system. Figure 6. The wave of current and voltage when
discharging.
Table 2. Parameters for the simulation system. Figure 6 Shows the waves of the grid-side cur-
rent and voltage when discharging.
Input Filter DC DC Switching
From Figure 6, we can get the conclusion that
voltage inductor capacitor voltage frequency
us/V L/mH C/μF Udc/V fs/Hz the power factor of the gird is nearly one when
the motor is running in the state of energy con-
220 4.4 660 500 5k sumption and the power factor of the gird is nega-
tive one when the motor is running in the state of
discharging.
5 CONCLUSION
Based on the predict theory as the foundation, this

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

National High Technology Research and Devel-
opment Program (“863”Program) of China (No.
2011AA05A109).
Figure 5. Pectrums of phase A current.

REFERENCES
Figure 5 gives the spectrum analysis of the phase [1] Larrinaga A, Vidal M, Yarbide E. Predictive control
strategy for DC/AC converters based on direct power
A current at traditional P-DPC and P-DCPC above, control [J]. IEEE Transaction on Power Electronics,
which includesthe dynamic process. As is shown, 2007, 54(3): 1261–1271.
high order harmonics in both control strategies are [2] Yang Xingwu, Jiang Jianguo. Predictive Direct Power
centralised around switching frequency, which is Control for Three-phase Voltage Source PWM Recti-
easy to design suitable filters for the system. fiers [J]. 2011, 31(3): 1261–1271.
206

[3] Shang Lei, Sun Dan, Hu Jiabing, et al. Predictive [8] Ding Qi, Yan Dong-chao, Cao Qi-meng. Research
Direct Power Control of Three-Phase Grid-Connected on design method of control system for three-phase
Voltage-Sourced Inverters [J]. 2011, 26(7): 216–222. voltage source PWM rectifier [J]. Power System Pro-
[4] Wei Ke-xin, DU Ji-fei, Xiao Feng. Feed-forward Con- tection and Control, 2009, 37(23):84–87.
trol Strategy of Three-phase PWM Rectifier With No [9] Guo Wei-feng, Wu Jian, Xu Dian-guo, et al. Hybrid
Load Current Sensor [J]. East China Electric Power, Shunt Active Power Filter Based on Novel Sliding
2010, 38(3): 356–357. Mode Control [J]. Proceedings of the CSEE, 2009,
[5] Li Guangye. Research on the Integrated Control of 29(27), pp. 29–35.
Dual PWM Converters [D]. Tianjin: Tianjin Univer- [10] Wang Jiuhe, Yin Hongren, Zhang Jinlong, “Three-
city, 2011. phase voltage type PWM rectifiers with inner power
[6] Li Mingshui, Wan Jianru, Li Guangye. Research on loop and outer voltage square loop”, Journal of
power feedforward control strategy of PWM recti- University of Science and Technology Beijing, Vol.
fier [C]. 2011 4th International Conference on Power 30, No. 1, 2008, pp. 90–95.
Electronics Systems and Applications, PESA 2011, [11] M. Malinowski, M.P. Kazmierkowski, A.M.
Hong Kong, China, 2011. Trzynadlowski, “A comparative study of control
[7] Gong Cheng, Wan Jianru, Li Kunpeng. Direct techniques for PWM rectifier in AC adjustable
Capacitor Power Control of Dual PWM Converter speed drives”, IEEE Trans. Power Electron., Vol. 18,
Based on Sliding Mode Variable Structure [C]. 2012 No. 6, 2003, pp. 1390–1396.
IEEE Innovative Smart Grid Technologies, ISGT
Asia 2012, Tianjin, China, 2012.
207

Development of 2500V SMB-seagull SiC JBS diodes
G. Chen
Science and Technology on Monolithic Integrated Circuits and Modules Laboratory, Nanjing, China
Nanjing Electronic Devices Institute, Nanjing, China
Q.M. Zhang
Jinan Semiconductor Institute, Jinan, China
S. Bai
A. Liu
L. Wang & R.H. Huang

D.H. Li & Y.N. Li

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

ing high breakdown voltage and robustness in
SiC Schottky-type diodes have the potential to its fabrication are required in SiC power devices.
replace Si PiN diodes in applications such as The newly VLD (Variation of Lateral Doping)
traction or medium voltage drives. Planar SiC edge termination for 3.3 kV-rated SiC SBDs,
JBS diodes offer lower leakage-current levels and which was formed by Al ion implantation using
surge current capability when compared to simi- a resist mask having a varying thickness.[2] In the
larly rated Schottky diodes.[1] In order to obtain case of high voltage devices, guard ring with edge
the high reverse voltage with the low leakage cur- termination plays an extremely crucial role in
rent, the development of 4H-SiC SBDs is Junc- determining the breakdown voltage. The guard-
tion Barrier Schottky (JBS) diodes. In general, ring structure serves to reduce the amount of
electric field enhancement takes place at the edges field crowding at the main junction by spread-
of power devices, which leads to a breakdown ing the depletion layer past consecutively lower
voltage much lower than the ideal plane parallel potential floating junctions. The JBS structure in
209

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

2 DESIGN AND FABRICATION Tektronix 371 curve tracer and the reverse charac-
teristics were tested with an Tektronix 370 curve
The SiC JBS devices have been fabricated at Sci- tracer when the devices are packaged with SMB
ence and Technology on Monolithic Integrated seagull mode. All tests were performed at room
Circuits and Modules Laboratory, using 4H-SiC temperature.
epitaxial wafers. In the device, the n− 4H-SiC epi-
taxial layer is grown on the n+ 4H-SiC substrate.
The active layer doping level and thickness were 4 REVERSE I–V CHARACTERISTICS
the following: Nd = 4.0 × 1015 cm−3, and d = 24 μm,
respectively. Figure 2 shows typical room temperature reverse
After cleaning the n type low resistance 4H-SiC current-voltage (I–V) characteristics of the 4H-SiC
wafer, the p+ regions and the p+ guard ring edge JBS diodes. It can be seen that the guard ring
termination by using the multiple energy Al+ edge termination effectiveness is good. When the
implantation at room temperature with maxi- breakdown voltage of SiC JBS gets to 2.5 kV, the
mum energy 550 Kev and dose 5.4 × 1013 cm−2. minimum leakage current is about 6 μA (leakage
High temperature ion implantation annealing of current density 1.13 × 10−4 A/cm2). The chip1 shows
the SiC wafer coated with 8 μm thick photo resist the reverse leakage current increases as the reverse
and carbonized at 700 °C for 2 h to activate the voltage is 1100 V. However, chip2 is better and
implanted Al+ dopant was done in an Ar ambi- chip3 is the best. The breakdown voltage of chip2
ent in a graphite furnace at 1850 °C for 3 min. and chip3 begin from 1550 V and 1800 V, but they
Nickel back-side ohmic contact was evaporated all can reach 2600 V. The reason is that the SiC epi-
and annealed in N2 atmosphere at 950 °C for layer doping concentration is non-uniform.
5 min with the SiO2 layer mask on the SiC front- In the future work, we will choose the suitable
side. The anode Schottky contacts was formed distance between the guard rings based on JBS
by thermal evaporation of Ti with thickness of fabricated to improve the edge termination effec-
about 150 nm, with the subsequent annealing at tiveness and the forward current.
400 °C for 10 min. By using Ti/Ni/Ag multilayer
metal structure, the double side Ag process of
4H-SiC JBS diode is formed. A non photosensi- 5 FORWARD I–V CHARACTERISTICS
tive polyamide is as the final passivation. The SiC
JBS devices with SMB-seagull package are shown The points in Figure 3 show the forward I–V
in Figure 1. characteristic of SiC JBS devices in the on-state.
210

Figure 4. Reverse recovery time of the fabricated
Figure 2. Reverse I–V characteristics of fabricated 4H-SiC JBS diode is 29 ns.
4H-SiC JBS diodes. The reverse leakage current of the
chip3 is 6 μA at 2500 V and 37 μA at 2600 V.
Figure 5. Wafer map of blocking voltage and forward

Figure 3. Forward I–V characteristics of three chips. current yields at 2.5 kV and 2 A.
The on-state current is 2 A at VF = 1.8 V, the the switching device in the circuit, reducing total
turn-on voltage is about 0.9 V. The chip size is switching losses. However, faster di/dt and dv/dt
2.3 mm × 2.3 mm. The minimum on-state resist- can increase current/voltage overshoot.[6]
ance is 6.52 mΩ ⋅ cm2. When the forward current is The wafer map of the blocking-voltage and for-
2 A, the voltage of chip1 is 1.798 V, chip2 is 1.818 V ward current yields at 2.5 kV and 2 A measured
and chip3 is 1.804 V. The voltage (forward current on the 3-inch SiC wafer under a leakage current
2 A) of chip2 and chip3 is similar to chip1 because threshold of 100 μA. On-wafer measurements
the SiC epilayer doping concentration uniformity below 2.5 kV were conducted, for which the wafers
is good. were immersed in Fluorinert to prevent arcing. The
2 A/600 V switching tests were carried out on blocking and current yield was in excess of 50%, as
three chips. The measured reverse recovery time shown in Figure 5. The devices failed because of
of the three chips are similar 29 ns as shown in killer or process defects. The killer defect may have
Figure 4. In silicon, the reverse recovery time of originated from the downfall during the epitaxial
fast recovery schottky diodes is larger than 100 ns. growth. Another device failed because of a surface
Faster switching is positive, as it will impact on defect.[5]
211

conducting high-voltage and high-current switch-
ing test systems.
Next step is to optimize the fabrication in order
to get a lower reverse leakage and higher forward
conduction. Further work will focus on more
extensive studies of the reverse recovery waveforms
and reverse capability of the fabricated JBS diodes
at higher temperature.
ACKNOWLEDGMENT
We would like to thank all the members of wide

band department and Science and Technology
on Monolithic Integrated Circuits and Modules
Laboratory. Help received from the silicon devices
Figure 6. The reverse leakage current of 4H-SiC JBS department is also acknowledged.
diodes when blocking voltage is 2.5 kV.
REFERENCES
For the reverse I–V characteristics, a high-
voltage measurement setup was used consisting of [1] H. Bartolf, V. Sundaramoorthy, A. Mihaila, et. al.
a probe station, a 3 kV high-voltage supply and a Study of 4H-SiC Schottky Diode Designs for 3.3 kV
current amplifier. As shown in Figure 6, for almost Applications. Materials Science Forum Vols. 778–780
all the chips the reverse leakage current observed (2014) pp 795–799.
were lower than 50 μA. [2] Kohei Ebihara1, Yasuki Yamamoto, Yoshiyuki
Nakaki, et al. Designing and Fabrication of the VLD
Edge Termination for 3.3 kV SiC SBD. Materials Sci-
6 CONCLUSION ence Forum Vols. 778–780 (2014) pp 791–794.
[3] Chen Gang, Li Zhe-yang, Bai Song, Ren Chun-jiang.
Ti/4H-SiC Schottky barrier diodes with field plate
In summary, we have fabricated SiC JBS devices and B+ implantation edge termination technology.
on n+ conductive 4H-SiC substrates. The double Chinese Journal of Semiconductors, Vo1. 28 No. 9,
side Ag processes and the SMB-seagull package of Sep., 2007, pp 1333–1336.
the SiC JBS were developed and high performance [4] Runhua Huang, Gang Chen, Song Bai, et al. Simu-
of the SiC JBS device was reported. By employing lation, Fabrication and Characterization of 4500 V
a high energy ion implantation and high tempera- 4H-SiC JBS diode. Materials Science Forum Vols.
ture annealing technique, excellent characteristics 778–780 (2014) pp 800–803.
were obtained. The breakdown voltage improved [5] Dai Okamoto1, a*, Yasunori Tanaka1, Tomonori
Mizushima, et al. 13-kV, 20-A 4H-SiC PiN Diodes
to more than 2.5 kV depending on device guard
for Power System Applications. Materials Science
ring termination structure. A low reverse leakage Forum Vols. 778–780 (2014) pp 855–858.
current below 1.13 × 10−4 A/cm2 at the bias volt- [6] P.M. Gammon1a, C.A. Fisher, V.A. Shah, et. al. The
age of −2.5 kV has been obtained. The forward cryogenic testing and characterisation of SiC diodes.
on-state current was 2 A at VF = 1.8 V at 25 °C Materials Science Forum Vols. 778–780 (2014)
and 38A/cm2. The fabricated diodes can be used in pp 863–866.
212

Feature-based intelligent machining method based on NX
X.H. Zhan & X.D. Li

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

a certain extent. However, the needs of high preci-
CNC programming is one of the main contents sion shape and more complex parts for machining
in the NC machining stage, usually including con- increasing, it highlights the case for the increase
firming processing technology by model analysis; in intelligent automation programming software
achieving tool location data after computing tool (Zhang et al. 2000; Hang et al. 2009).
path; writing NC programs; production control This paper discusses the intelligent process
medium; proofread program and try to cut of and implementation method with feature-based
product. CNC programming is the entire process machining by Siemens NX software platform. This
from drawing or 3D model to the NC program. study covers the combination of the machining
CNC programming consists of a manual pro- case and the application of feature-based machin-
gram and an automatic program. Each phase ing in intelligent machining field with NX CAM.
in manual programming is entirely operatedby
human hand. This way is relatively simple, suitable
for moderately complex procedures, such as point 2 THE CONCEPT OF INTELLIGENT
processing (drilling, reaming) or simple geometric MACHINING TECHNOLOGY
shapes (plane face, square groove).
The part with the freeform surface and complex From feel to memory, from memory to thought,
cavity along with its tool path data is quite tedious, from thought to generating behavior and language,
error-prone, and difficult to proofread. That part- the processes are called intelligence. Intelligence is
can only be completed through the NC program- a goal that needs to be achieved through computer
ming. The CNC automatic program simulated 3D software. The more intelligence-aided machining
model machining on a computer, and created the software is, the greater help it provides to achieve
process operation. In the end, the program cre- more repetitive mental labour—even some given
ated the NC code which can be recognized by a tasks which the human brain cannot complete.
NC machine through postprocess. Currently, the According to the automatic identification of the
mainstream CNC machining software includes machining area, the intelligent machining base has
NX, Catia, FeatureCAM, MasterCAM, Cimatron definite ‘rules’ to specify how to automatically gen-
and so on. erate the correct tool path. These ‘rules’ comprise
With the rapid development of digital technol- the right process knowledge accumulation of
ogy and auxiliary programming techniques, com- years. Based on the rule library, the automatic pro-
pared to the traditional manual programming, gramming system identifies and assesses the model
CNC’s automatic program not only improves the continually, filters the rule library and chooses the
efficiency of production, reduceshe number of suitable process, and then completes the machining
man-made mistakes, brings in the convenience of task. (Yun & Li 2011; Zhang 2008).
213

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

Figure 2. Blank and part.
Figure 3. Process of find features.
Figure 4. Create feature process and generate tool path.
and part. Three countersunk holes need to be set Type ‘parametric recognition’, “Features to
machined. Recognize” default. Click ‘Find Features’, machin-
Step1 Open or import the model, and enter NX ing feature were recognized automatically. Only
Manufacturing. three STEP 2 HOLE features remained—all other
Step 2 Before manufacturing, the parameters of features were deleted. The process of finding fea-
the blank, part and MCS etc. need to defined first. tures is shown in Figure 3.
Step 3 Recognized features In machining feature Step 4 Create feature process. Choose three
navigator, right click on model node, execute ‘Find countersunk hole machining features in machining
Features’ command. In ‘Find Features’ dialog box, feature navigator, execute ‘Create Feature Process’.
215

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

The application of Analyze Formability-One-Step in progressive

die strip design
X.D. Li & X.H. Zhan

Zhuhai College of Jilin University, Guangdong, China
ABSTRACT: In the process of Multi-station progressive die design, firstly, one has to to design the
strip, which is to get intermediate configuration of every processing station and blank, by unfolding
product configuration reversely. Many sheet metal parts have free forrm surfaces, and the traditional
method unfolding those needs complicated hand computing and drawing, and is also very time con-
suming. For these reasons, Analyze Formability-One-Step can be an excellent option for unfolding the
free form surfaces at the stage of strip design itself. In this paper, the basic idea, hypothesis, and work-
flow of Analyze Formability-One-Step are stated and discussed. And in the analysis of cases, Analyze
Formability-One-Step is used to complete ‘Entire Unform’ and ‘Immediate Unform’ in the process of
strip design, with PDW. It is convenient to use Analyze Formability-One-Step to unfold free form surfaces
in progressive die strip design.
Keywords: progressive die; NX PDW; Analyze Formability-One-Step; strip design; sheet metal
1 INTRODUCTION 2 THE BASIC IDEA AND HYPOTHESIS OF

ANALYZE FORMABILITY-ONE-STEP
Sheet metals are the thin-wall formed parts with
same thickness and certain geometric dimension- Analyze Formability-One-Step is a forming analy-
ing, which are widely used in automobiles, ships, sis tool based on FEM (Finite Element Method).
machinery, chemicals, aerospace and other fields. It can quickly unfold the sheet metal part to get
Many relatively complicated and small sheet metal plane profile, and it can also unfold part of the
parts are produced by progressive die, which can product to get the immediate configuration. It is
complete all processing of the stamping part in a mainly used for free form surface unfolding in pro-
punching stroke. It is a kind of precise, efficient, gressive die strip designing.
high-speed, high quality and long life stamping die The basic idea of Analyze Formability-One-Step
(Y.S. Chen 2012). is that starting from the product configuration C,
The structure of the Multi-station progressive die which is the end deformation surface of the part,
is generally complicated, and seriously considering location P0 in the initial flat blank C 0 correspond-
every step is necessary to complete the work well. In ing to node P is confirmed when the boundary
Multi-station progressive die designing, confirming conditions are satisfied by using FEM. Comparing
conversion process from blank to product i.e, con- locations of nodes in blank and product, thick-
firming every manufacturing procedure detail of ness distribution, stress distribution, and strain
every station is primary. It needs to get intermedi- distribution can be gotten, as shown in Figure 1
ate configuration of every processing station and (Y.D. Bao. 2004).
blank by unfolding product configuration reversely
(Y.Q. Li & J.C. Xiao. 2012; C.H. Zhou 2007). The
traditional unfolding method of sheet metal needs
complicated hand computing and drawing, and
has a waste of time, especially for the part with free
form surfaces (X.D. Li & X.H. Zhan 2011).
In this paper, in the stage of strip design,
Analyze Formability-One-Step is used to finish the
reverse unfolding for the free form surface to get Figure 1. FEM sketch map of Analyze Formability-
the immediate configuration on the blank. One-Step.
217

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

FORMABILITY-ONE-STEP 4 ANALYSIS OF CASES
Figure 2 shows the usage procedure. When deal- Figure 3 shows a sheet metal with free form surface,
ing with the sheet metal, firstly choose the unform produced by progressive die. The contour can be
type—its type includes ‘Entire Unform’, ‘Immediate gotten by cutting scraps, and others can be gotten
Unform’, and ‘Advanced Unform’. ‘Entire Unform’ by forming process. It is a non-parametric model.
can make product configuration plate blank once. The assembly structure of strip about forming is
To get the immediate configuration and unfold shown in Figure 4.
local of the part, ‘Immediate Unform’ can finish the
work. In the process of sheet metal unfolding, it can
also add some other advanced constraints accord-
ing the fact with ‘Advanced Unform’, such as holder
force, draw bead, spring back etc.
After confirming unfolding type, choose ‘Face’
or ‘Solid’ as ‘Object Type’ and choose ‘Unform
Region’ and ‘Target Region’ of sheet metal. The
target region is the fixed portion of unfolding. In
Boundary Conditions, there are 3 kinds of con-
straints to be chosen, they are ‘Point to Point’,
‘Curve to Curve’, and ‘Curve along Curve’.
Figure 3. The sheet metal part.
Figure 2. The flow of Analyze Formability-One-Step. Figure 4. The assembly structure of strip about forming.
218

Figure 5. ‘Immediate Unform’ of Analyze Formability-One-step.
Figure 6. ‘Entire Unform’ of Analyze Formability-One-Step.
Figure 7. The formability analysis of sheet metal.
4.1 ‘Immediate Unform’ of Analyze

Make the surface shown in Figure 5(a) ‘Unform
Formability-One-step
Region’ and make the surface shown in Figure 5(b)
Make ‘Final-2’ work part, extract outside sur- ‘Target Region’. ‘Constraint Type’ is set to ‘Curve
face of the part and hide the solid body. ‘Analyze to Curve’, and click the intersecting line of target
Formability-One-Step’ will be used to unfold the region and unform region, as shown in Figure 5(c).
extracted sheet. The part’s unform type is set to Define the sheet metal’s thickness, and set ‘Surface
‘Intermediate Unform’, and ‘Object Type’ is ‘Face’. Type’ as ‘Out Surface’. Define the surface’s mesh
219

size, mesh the surface, submit the defined data to 5 CONCLUSIONS
the solver, and then get the unform contour line,
as shown in Figure 5(d). Another contour line The paper discusses the application of Analyze
can be gotten with the same method, as shown in Formability-One-Step in strip design at the
Figure 5(e). Figure 5(f) shows the worked immedi- beginning of progressive die designing. Analyze
ate configuration. Formability-One-Step is an utility unfolding tool,
which can unfold sheet metal parts, especially
those parts with free form surfaces. It can not only
4.2 ‘Entire Unform’ of Analyze
unfold whole surfaces of sheet metals to get the
Formability-One-Step
blank, but also unfold part of surface to get imme-
Make ‘Final-3’ work part, extract outside sur- diate configuration. The computed results can also
face of the part and hide the solid body. The part’s show the formability analysis of sheet metal, such
unform type is set to ‘Entire Unform’, and ‘Object as thickness distribution, stress distribution, strain
Type’ is ‘Face’, make all surfaces ‘Unform Region’. distribution, and spring back etc. In progressive
‘Constraint Type’ is set to ‘Curve to Curve’, and the die designing, Analyze Formability-One-Step is a
line in Figure 6(a) is the constraint line. Define the valid, timesaving tool to help designer finish strip
sheet metal’s thickness, and set ‘Surface Type’ as ‘Out design.
Surface’. Define the surface’s mesh size, mesh the sur-
face, submit the defined data to the solver, and then
get the unform contour line, as shown in Figure 6(a). ACKNOWLEDGEMENTS
Extrude the contour line to get the sheet metal blank,
as shown in Figure 6(b). The calculated results can It is highly appreciated that Siemens PLM software
also predict the sheet metal formability, such as provided the NX software. This work is supported
‘Thickness Distribution’ shown in Figure 7(a), ‘Stress by a grant from the Teaching Quality Project
Distribution’ shown in Figure 7(b), ‘Strain Distribu- (No. 10110208) and the ‘Three Levels’ backbone
tion’ shown in Figure 7(c). The end result of strip teacher training program of Zhuhai College of
design about forming is shown in Figure 8. Jilin University.
4.3 Analyze Formability-One-Step—Unform to

REFERENCES
designated surface
It can unform form face to designated surface with Chen Y.S. 2012. Multi-station Progressive Die Design
Analyze Formability-One-Step. The method is the Manual. Chemical Industry Press: China.
same as the above-described, and the unform result Li Y.Q. & J.C. Xiao. 2012. Progressive Die Design Tech-
is shown in Figure 9. nology Application and Instances. Publishing House of
Electronics Industry: China.
Bao Y.D. 2004. Research on One Step Inverse Forming
FEM and Crash Simulation of Auto Body Part: 14.
Ph.D. Jilin University: China.
Zhou C.H. 2007. UG NX4 Progressive Die Design
examples-From Novice to Professional. Chemical
Industry Press: China.
Li X.D. & X.H. Zhan. 2011. Study on the rapid progres-
sive die design of sheet metal with free form surface.
Advanced Materials Research. 328–330:828–831.
Figure 8. The designed strip result about forming.
Figure 9. ‘Entire Unform’ to designated surface.
220

The research on the signal reconstruction of the angular rate sensor
L.Y. Yuan, W.G. Zhang & X.X. Liu

College of Automation, Northwestern Polytechnical University, Xi’an, China
ABSTRACT: In order to improve the fault tolerance ability of the critical sensor system and avoid
the extra cost, weight and maintenance introduced by hardware redundancy, the signal reconstruction
method was designed for the pitch angular rate sensor. The signal reconstruction was implemented by the
Kalman filter with the adaptive current statistical model. The modified model can approximate the angu-
lar motion of the aircraft accurately and increase the precision of the analytic signal. The design scheme
was verified by simulation under diverse flight conditions and compared with the typical methods. The
simulation results demonstrate the effectiveness and superiority of the proposed method.
Keywords: pitch angular rate sensor; fault-tolerance design; analytic signal; signal reconstruction; cur-
rent statistical model
1 INTRODUCTION The concept borrowed from tracking theory was

used. The aircraft was treated as a noncooperative
The feedback of the angular rate signal consti- target. And the Kalman filter based on the adap-
tutes the damper loop in the flight control system tive current statistical model (denoted as ADCSM-
and influences the stability of the aircraft directly. Kalman) was designed to track the angular motion
Especially, the pitch rate signal is the critical factor of the aircraft.
to guarantee the flight safety at takeoff and land-
ing. Therefore, it is of great research significance
to employ fault-tolerant design to maintain the 2 SIGNAL RECONSTRUCTION DESIGN
operational function under failure conditions.
Signal reconstruction, analytic signal estimation 2.1 Frame of signal reconstruction design
namely, is the fundament of the fault tolerance.
The common methods of signal reconstruction The frame of the signal reconstruction design is
include the observer method, the numerical dif- depicted in Figure 1.
ference method and the tracking differentiator
method et al. However, multiple uncertainties exist q (θ r si
sin φ ))/co
/ sφ (1)
in the kinetics equations of the aircraft. The atti-
tude sensor has low the accuracy and high sam- The measurement signal of the pitch angle θ is
pling frequency. The above situations limit the input into the Kalman filter based on the adap-
application of the common methods. The small tive current statistic model. The signal of the
perturbation equations adopted by the observer pitch angular velocity θ is obtained. According
method are not rational in all parts of the flight to the relationship between the ground coordi-
envelop. And the aerodynamic derivatives are not nate system and the airframe coordinate, shown
sufficiently accurate. The numerical difference as equation (1), the signal reconstruction is
method will amplify the measurement noise. The implemented.
measurement noise will affect the output differ-
ential signal of the tracking differentiator as well, 2.2 Typical CSM-Kalman filter design
although the output differential signal is of bet-
ter quality compared to the numerical difference The current statistic model of the aircraft angular
signal. The introduction of the low-pass filter will motion is
attenuate the noise efficiently, but cause additional
delay, which degrades the primary signal in the X (k ) = Φ( k )X ( k ) U (k
( k )a + W ( k ) (2)
real-time application.
With the discussion above, a signal reconstruc- where X ( k ) = [θ θ θ]T consists of pitch angle,
tion method was proposed for the pitch rate sensor. pitch angle velocity and pitch angle acceleration.
221

The formula of the angular acceleration vari-
ance is:
⎧ 4 −π
⎪⎪ π (amax − a )
2
a ≥0
Figure 1. Frame of signal reconstruction.
σa = ⎨
2
(13)
⎪ 4 − π (a
− max − a )
2
a <0
⎪⎩ π
Φ(k), U(k) are state transition matrix and input
matrix respectively. a is the mean value of the where amax and a−max are the maximum value of the
current angular acceleration. W(k) is the discrete positive and negative angular acceleration.
noise sequence with 0 as the mean value and Q(k)
as the variance.
2.3 Modified adaptive model
⎡1 1 α T + −α T ) α 2 ⎤
( −1+ In the design of the CSM-Kalman filter, the
⎢ ⎥ parameters α, amax and a−max are pre-defined based
Φ( ) = ⎢0 1 (1 − e −αT ) α ⎥ (3)
⎢⎣0 ⎥⎦ on the experience. The model is not adaptive to
0 e −α T the variation of the aircraft angular motion and
results in the large the estimation error. The online
⎡1 ⎛ α T 2 1 e −α T ⎞ ⎤ adjustment of the maneuvering frequency α will
⎢ ⎜ −T + + ⎟⎥
⎢α ⎝ 2 α ⎠⎥ cause the instability and divergence of the tracking
⎢ 1 − e −α T ⎥ filter. According to the characteristics of the angu-
U (k ) = ⎢ T− ⎥ (4) lar motion of the aircraft, the modified model is
⎢ α ⎥ proposed based on the adaptive adjustment of the
⎢ −α T ⎥
⎣ 1 − e ⎦ angular acceleration.
The effect of the amax and a−max on the filter per-
Q( k ) = 2ασ a2 p (5) formance is analyzed first. When the absolute val-
ues of the amax and a−max take smaller values, the
In the expression of Φ(k), U(k) and Q(k), T is variance of the system noise is small. The track-
the sampling period, α is the maneuvering fre- ing accuracy of the non-maneuvering and weak
quency, p is the constant matrix related to α and maneuvering is high while the response rate of
T. With (2) ∼ (5), the state equation is established. strong maneuvering is relatively slow. When the
The measurement equation is: absolute values of the amax and a−max take larger
values, the variance of the system noise is large.
Y ( k ) = H ( k )X ( k ) + v( k ) (6) The response rate of the filter for strong maneu-
vering is fast while the tracking accuracy of the
where H ( k ) = [1 0 0 ]T is the measurement non-maneuvering or weak maneuvering is low.
matrix; v(k) is the Gaussian white noise with R(k) Therefore, the constant value in the CSM-Kalman
as the variance. When one-step estimation of the design cannot cover the various states of the angu-
angular acceleration θ( + 1 ) is treated as the lar motion.
current value a , the typical CSM-Kalman process The analytical relationship between the pitch
is indicated as follows: rate and the normal overload can be concluded
from the kinematics equations. The variation of
Xˆ ( k + 1 k ) = Φ( k )Xˆ ( k k ) + U ( k + 1)a ( k + 1) (7) the overload reflects the change of the aircraft
angular motion, shown in (14):
T
P(k k) ( k )P ( k k ) ( k ) + Q( k ) (8)
g
Δq ( s Zα* )Δnz (14)
K (k ) = P(k T
k )H (k
(k ) VZα*
[ H ( k + 1)P
)P ( k + 1 k )H T ( k
)P ) R( k + 1)]−1 (9)
The kinematics equation of the overload is:
Xˆ ( k + 1 k + 1) = Xˆ ( k + 1 k ) + K ( k + 1)η ( k + 1) (10) nz w b − g cos θ cos φ + pvb − qub (15)
η ( k + 1) = Z ( k + 1) − H ( k + 1)Xˆ ( k + 1 k ) (11) Under the non-maneuvering condition,
P(k k ) [I K ( k + 1)H
)H ( k + 1)]P ( k k ) (12) nz0 g cos θ cos φ (16)
222
CH47_50.indd 222 3/20/2015 6:22:11 PM

When the angular motion changes from the The RMSE (Root Mean Square Error) and
non-maneuvering state to the maneuvering state, MRMSE (Mean Value of RMSE) were selected as
the evaluation index.
g
Δq ≈ ( s + Zα* )( nz − nz 0 ) (17)
VZα* 1 N
RMSE ( k ) = ∑ [ x j ( k ) − xˆ j ( k )]2
N j =1
(24)
From (14) to (17), the adaptive adjustment equa-
tion of the angular acceleration variance is: M
1
S =
MRMSE
M
∑ RMSE ( k ) (25)
k =1
⎧ 4 −π
⎪⎪ π (amax a ) ⋅ μ
2
a ≥0
σ a2 =⎨ (18) N is the number of the Monte Carlo simulation.
⎪ 4 − π (a a )2 ⋅ μ a <0
xj(k) and xˆ j ( ) are true value and estimation value
− max
⎪⎩ π of the kth step in the jth simulation respectively.
M is the step number of each simulation. RMSE(k)
μ λ − exp( − λ ) (19) is the root mean square error of the kth step sam-
pling value.
λ = k1 ⋅ nz + k2 ⋅ ( nz + g cos θˆ cos φ ) (20) In order to analyze the filter performance
under different maneuvering conditions, the non-
maneuvering condition from 0 to 50 s and maneu-
where k1 > 0, k2 > 0 are constant. When the aircraft
vering condition from 50 to 55 s were selected as
angular motion is under the non-maneuvering
the contrast basis as shown in Figures 2 and 3.
condition,
The accuracy of the signal estimated by the
nz = 0 (21) Filter-TD method is the lowest. The noise level of
the input signal is relative high, which decreases the
filter performance of the Filter-TD method. The
nz + g cos θˆ cos φ ≈ 0 (22)
λ → 0, μ → 0 (23)
The filter tracks the angular motion with relative

small variance in order to improve the estimation
accuracy. When the aircraft enters the maneuver-
ing state, μ λ , the variance of the system
noise becomes larger, so the tracking capacity of
the filter is improved.
3 SIMULATION AND ANALYSIS
The ADCSM-Kalman, CSM-Kalman and the

tracking differentiator combined with two-order Figure 2. RMSE curves of the non-maneuvering
condition.
low-pass filter (noted as Filter-TD) proposed in
[4] were compared and analyzed through Monte
Carlo simulation.
The simulation conditions were set as follows:
the simulation time t = 100 s; from 0 to 50 s, the
aircraft is under level flight condition; from 50 to
70 s, the aircraft is under maneuvering condition;
the random noise with the maximum magnitude
of 0.2 is added to the measurement signal of the
attitude angle. The sampling period T = 20 ms; the
simulation number is 100.
The parameters of the algorithms were set as
follows: the common parameters of CSM-Kalman
and ADCSM-Kalman amax = 6°/s2, a−max = −6°/s2,
α = 0.01. The parameters of the adaptive angular
acceleration model k1 = −5, k2 = 0.3. Figure 3. RMSE curves of the maneuvering condition.
223

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

by the low-pass filter should be compromised. The
actual effect of accuracy improvement was limited. Li, W.Q. & Chen, Z.J. 2004. Signal reconfiguration
method for aircraft’s pitch angular rate. Flight
The two methods based on the target tracking con- Dynamics 22(2): 26–29.
cept, treat the signal noise as the random process. Xia, J. & Xu, J.J. 2013. Observer-based sensor fault
The description was relative precise. And the esti- detection and signal reconstruction method. Journal
mation accurate was improved obviously. of Beijing University of Aeronautics and Astronautics
The result of the comparison between the 39(11): 1529–1535.
CSM-Kalman and ADCSM-Kalman method were Chi, C.Z. et al. 2012. Application of Analytic Redun-
depicted in Table 1. Estimated signal of higher dancy-based Fault Diagnosis of Sensors to Onboard
precision can be gained by the latter method. The Maintenance System. Chinese Journal of Aeronautics,
ADCSM-Kalman method can adaptively adjust 25(2): 236–242.
Hou, M.M. 2006. A modified nonlinear estimator of
the angular acceleration according to the practi- LOS-angle acceleration with LOS-rate measurement
cal angular motion, which results in the better only. Aerospace Shanghai 23(5): 12–15.
performance under both non-maneuvering and Huang, W.P. et al. 2011. A nonlinear maneuver-tracking
maneuvering conditions relative to the typical algorithm based on modified current statistical model.
CSM-Kalman method. Control Theory & Applications 28(12): 1723–1728.
224

Research on the application of Beidou and GPS dual-mode

timing system in the space flight tracking ship
F. Zhang, Y.B. Ren & Y. Zhou

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

duced by by the Americans. It transmits time infor-
Time synchronization is that time in a different mation and standard signals by making use of the
place has the equal value at the same time. It is HF wave. The transmission path of the HF wave
very important to our life and national economy, is between the grand and the ionized layer, and
especially to national defense[1]. With rapid devel- then, the transmission quality is influenced by the
opment of the social productive forces and sci- ionized layer. When the ionized layer is unstable,
ence technology, the time service is more and more the influence is bigger, and the carrier frequency
widely applied. Certainly, the accuracy require- needed is higher, the synchronization precision
ment of a timing system is becoming higher and falls short of the millisecond.
higher in some specific fields. Especially, the accu- Long wave timing overcomes the shortcomings
racy requirement of a reach up to a microsecond, of HF wave. It transmits time information and
even a nanosecond in rocket launching, satellite standard signals by making use of the Long wave.
tracking and other fields. Compared to the HF wave, the covering power of
The GPS timing system with its high accuracy the Long wave is stronger, and its synchronization
and good stability is mainly used in the tracking precision measures to the microsecond.
ship. GPS is the new generation satellite navigation With the popularisation of the computer and
system, which can provides many serves includ- Internet, people calibrate the time by Internet
ing navigation, fixing position, issuing the official timing. This timing way uses the telephone line
calendar, and so on. Because it is researched and or optical fiber for the transmission medium with
produced by the United States Military, there are modem, and people use client software to calibrate
some security risks to the timing system under the time in the computer. But the synchronization pre-
influence of ideology and political factors. In order cision is low up to the millisecond.
to meet the needs of the national economy and SDH network timing implants the time infor-
defense construction of our country, Beidou (BDS) mation synchronized with Cs atomic clock to the
with independent intellectual property rights needs SDH net. The precision is more accurate than
to urgently replace GPS. Keeping this in view a tim- satellite timing in some sense. But if the multiplex
ing system based on BDS and GPS was submitted. section overhead of SDH net is cut off, the time
information would be missed.
Satellite timing is the mainstream way in the
2 TIMING WAYS INTRO information society. GPS is playing the leading
role, and its precision reaches up to the nanosec-
Up to now, there are five timing ways: HF wave ond, because every satellite is equipped with an
timing, Long wave timing, Internet timing, SDH atomic clock. In recent years, the Beidou naviga-
network timing and Satellite timing[2]. tion satellite system has developed rapidly, and the
225

stage-one BDS has finished networking, and the Interface module: converting electrical level, and
signal has covered the Asian-Pacific region[3]. At outputting 1PPS signal and IRIG-B signal.
the same time, the time service product based on In the system, BDS and GPS stand by for each
BDS is being worked on. other. It is BDS-based and is supplemented by
GPS. The BDS timing mode will be started, as
long as the BDS satellite signal is effective, in order
3 GENERAL DESIGN OF DUAL-MODE to overcome the negative impact of GPS. When
TIMING SYSTEM the BDS signal is lost, the GPS timing mode will
be started if it is effective. If both BDS and GPS
As shown in Figure 1, the system has a modu- are lost at the same time, the time keeping mode
lar design, composed of antenna element, power would be started.
divider, receiving module, data processing module,
human-computer interaction module, time keep-
ing module and interface module[4]-[7]. 4 ERROR ANALYSIS
Every module has its own function.
Antenna element: using dual-mode antenna, 4.1 Error sources of satellite navigation
and receiving GPS & BDS satellite signals at the
As shown in Figure 2, error sources of satellite
same time.
navigation include error of satellite, propagation
Power divider: amplifying signals, and sending
error of signal and error of receiver [8].
them to the GPS & BDS receiving module.
BDS receiving module: receiving, amplifying, 1. Errors of satellite include error of satellite clock,
filtering, down-converting, demodulating BDS relativistic effect and so on.
satellite signal, and outputting 1PPS signal and 2. Propagation errors of signal include delay error
time information including year, month, day, hour, of ionized layer, delay error of troposphere, and
minute and second. multipath effect.
GPS receiving module: receiving, amplifying, 3. Errors of receiver include clock error, electron
filtering, down-converting, demodulating GPS error, antenna phase center error, and delay
satellite signal, and outputting 1PPS signal and error of receiver.
time information, as the backup of BDS receiving
In practical work, we can correct error by some
module.
measures, as follows:
Data processing module: coordinating work of the
system, and outputting time information and 1PPS 1. Weakening clock error of satellite by using dif-
signal on the basis of mode selection of human- ferential technology or binomial expression.
computer interaction module and system state. 2. Reducing delay error of ionized layer by the
Human-computer interaction module: input- correcting model of ionized layer in the naviga-
ting the mode selection, and displaying time tion message.
information.
Time keeping module: using local sync source,
and generating 1PPS signal synchronized with
BDS or GPS.
Figure 1. The general structure drawing of the timing

system. Figure 2. The schematic of the satellite navigation errors.
226

3. Reducing delay error of troposphere by using and troposphere, τr is the time delay taken in by
Hopfield and Black mode. receiver antenna, antenna cable and receiver. R/c is
4. Reducing multipath effect by spatial charac- the fake time difference and can be measured. τR, τi
teristic of antenna pattern or setting restrains and τt can be computed with data supplied in the
board under the antenna. navigation message of GNSS. τr can be gained by
5. Avoiding unnecessary man-made operating calibrating the receiver. We can compute Δt.
miss, and equipping redundancy receiver.
4.3 Experimental result
4.2 Error analysis of timing
We designed the system with BD-126 development
High precision locating, velocity measurement and board, which is shown as Figure 4.
navigation can be realized by the satellite naviga- As shown in Figure 5 and Figure 6, we com-
tion system, because it is based on sophisticated pared the 1PPS signal of the dual-mode system
time measurement. In general, after observing with the 1PPS signal of GPS we are using.
four satellites, the navigation system can minutely
ensure the coordinates and speed of the receiver
antenna location and the time [1][8].
As shown in Figure 3, tGNSS is the GNSS time,
tU is the time of user clock, tSV is the time of satel-
lite clock, tU’ is the user time GNSS signal arrived
on receiver, R is the pseudorange, c is the speed of
light. Δt is the real time difference of user time and
the GNSS time as well as (1).
Δt tGNSS − tU (1)
At the same time, we know Δt is as well as (2).
R
Δt ΔtSV − τ Σ (2)
c Figure 4. The picture of BD-126 development board.
Including:
τΣ = τR + τi + τ t + τr (3)
As shown in (2) and (3), ΔtSV is time difference

of the satellite clock time and the GNSS time, τΣ
is the total time delay. τR is time delay of distance,
τi and τt is the time delay taken in by ionized layer
Figure 5. The general diagram of 1PPS signal comparison.
Figure 3. The schematic of the GNSS time measurement. Figure 6. The detail diagram of 1PPS signal comparison.
227

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228

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

bundled power as a source to participate in power planning
X.M. Cao, T.Q. Liu & X.T. Hu

School of Electric Engineering and Information, Sichuan University, Chengdu, China
Z.H. Chen, F.J. Wang & T.Y. Guan

Gansu Provincial Power Company, Gansu, Lanzhou, Sichuan Province, China
ABSTRACT: Wind power possesses intermittent and fluctuant features, resulting in the fact that the
integration of wind power is not only a power network programming problem, but also needs the enhance-
ment of the peak regulation ability. How to make wind power participate in it is the prime problem in
power planning. We use both wind power and thermal power as a source to participate in the traditional
power planning. By analyzing the 8760 hours’ wind power output data and five typical days load data
of one province, a new wind-thermal model including the restraints of the output and the ramp rate of
the thermal power unit was built. Using the Particle Swarm Optimization (PSO) algorithm, the optimal
correlation coefficient for different wind-thermal power allocation ratios was found, and then the optimal
wind-thermal power allocation ratio was worked out. In addition, the feasibility and practicability of this
method was confirmed by calculating the practical data of a certain province.
Keywords: wind-thermal bundled; power planning; wind-thermal collocate ratio
1 INTRODUCTION processed into a multi-state unit. Reference [5]

established the wind power generation system’s
In recent years, renewable energy is developing optimal planning model to the objective function
rapidly in China and wind power, as the cur- of the largest wind power output in case thewind
rent generation technology, plays an increasingly power can be fully absorbed by the grid. Reference
important role in the strategic restructuring of [6] re-examined the issue of the wind power gen-
China’s energy and power development. Since the eration system planning from the market point of
output characteristics of wind power is different view, and proposed two planning methods, includ-
from conventional hydropower and thermal power ing the objective function of the largest unit cost
(which is controlled by an external output of and unit mounting area to contribute the maxi-
wind energy), its impact cannot be ignored. This mum, and obtain a reliability index such as various
includes the conventional power scheduler opera- types of power generation units, the entire system
tion mode and the selection of spare capacity. fuel costs, lack of electricity power shortage prob-
Large-scale wind power integration puts forward ability expectations and reliability. However, these
new demands on our power supply planning studies design power schemes by only considering
theory [1]. Some scholars have studied Power Plan- wind power output characteristics, and give lit-
ning after large-scale wind power was integrated: tle consideration to the complementary charac-
Reference [2] studied the optimal expansion plan- teristics of wind power and conventional power.
ning problem using the dynamic programming The article proposed a method of Wind-thermal
algorithm for the planning period, for the limited Power ‘bundling’ participation in power balance
size of the grid system by wind farms and pho- (based on the correlation between wind power
tovoltaic cells composed of N years, keeping in and load calculation analysis) and put forward
view the meteorological data, the characteristics the power allocation ratio optimization method,
of historical load data, wind farms and pho- and made its calculations and and analysis on an
tovoltaic cells, energy costs and other factors. actual provincial grid data. The results show that
Reference [3,4] assessed the impact of investing in the method for the actual power supply planning
wind power to power planning by Wind turbines has certain reference value.
229

2 CORRELATION OF WIND POWER
OUTPUT AND LOAD
Correlation of wind power output and load under

the correlation coefficient concept of mathemati-
cal statistics was studied. Specific expression of the
correlation coefficient is as follows
n
∑( w − w )( L − L)
t =1
l= (1)
n n
∑( w − w)
2
∑( L − L)
2
t =1 t =1
Figure 2. Wind power output and daily load on the day
where, pw is wind power output of each period; pw of minimum correlation between wind and load.
is the average output of wind turbines in the study
period; pL is the load of each period; pL is the aver-
age load study period. l is at [−1,1], when it is nega- 168 days, 160 days, 150 days, 155 days, 152 days—
tive, indicating that the wind power and the load has and inversely related to the number of days was
a negative correlation; and a positive value indicates 196 days, 205 days, 215 days, 210 days, 213 days.
a positive correlation between the load; and the These results demonstrated that the number of days
greater its value indicating the larger correlation. with a positive correlation were less than the number
This article analysed the wind power output his- of days of negative correlation—indicating that the
torical data of a province 365 days, and the load, correlation between wind power contribution and
selected from five typical operation modes which the load is notgreat. The theoretical support of wind
included the early part of the year, a long sum- power participating in power balance is not strong.
mer, a short summer and a long winter as well as This paper proposes the use of wind, thermal, com-
a shortwinter. Relevance indicators of 24 hours a plementary as “playing bundle power” participate
day by statistical analysis was noted. Figure 1 is in power supply planning to participate in the plan-
the trend graph of wind power output and typical ning for wind power provides a possibility.
daily load variation on the day of the maximum
correlation between wind and load, and Figure 2 is
the trend graph of wind power output and typical 3 MATHEMATICAL MODELS
daily load variation on the day of minimum cor-
relation between wind and load. 3.1 Objective function
After calculating correlation between load and
wind power with five typical operating modes n
include the early part of the year, short winter, long
summer, short summer and long winter, it shows
∑( n n )(
) L L)
t =1
max l = (2)
that the number of days with positive correlation are n n
∑( n n)
2
∑( L L)
2
t =1 t =1
where, pn is the planning total output power of

wind and thermal bundling mode; pn is the plan-
ning average output power of wind and thermal
bundling mode; pL is the planning load to consume
wind power; pL is the average planning load to con-
sume wind power; n is the time area under study.
3.2 Constraint conditions

System constraints include upper and lower output
constraints of units, minimum time constraint of
turning on and shutting off generators, the ramp
rate constraints of units and so on.
Figure 1. Wind power output and daily load on the day Considering that conventional generators and
of maximum correlation between wind and load. the wind turbine output can not exceed the upper
230
CH49_52.indd 230 3/20/2015 4:50:04 PM

limit, so the constraint in equation (3), (4) as Particles track individual an optimum solution
follows and global optimum solution within the selected
area to search. The individual optimum solution
P min Pk ≤ P max (3) is recorded as Pi ( Pi1, Pi PiQ ) , i 1, 2, …, m.
Global optimum solution is denoted as
0 ≤ Pwind
i k ≤ Pwind
max
(4)
Pg ( Pg1, Pg Q ), i = 1,
PggQ 1, 2, …, m. (10)
min max
where, Pt , Pt is upper and lower output of
Particles update their positions and velocities
thermal power units; Pk is thermal power output
according to the following general formula
at K time; Pwiind k is wind power output at K time;
Pwimax
ind is Wind power output ceiling. vidk+1 ωvidk + c1ξ ( piidkd xidk ) + c2η ( pggd
k
d xidk )
Taking into account the economics of the plant
operation, the turning on and shutting off con- xidk+1 xidk + rvidk+
k 1
(11)
straints of thermal power units is as in equation
(5), (6): where, ω is the inertia weight; c1 is the optimal
weight coefficients tracking particle individual
T on on
Tmin (5) optimal solution history, usually a value of 2; c2
is the optimum weighting factor tracking global
off
f off
T Tmin (6) optimal solution history, usually a value of 2; , η
is a uniformly distributed random number within
where, T on, Toff expressed the operation and shut- the range 0–1; r is the constraint factor of speed
on off
f update, usually a value of 1.
down time of unit i respectively; Tmin , Tmin expressed
the minimum turning on time and minimum shut- Equation (11) is divided into three parts, the
ting down time of the unit i. first part is the inertial behavior of particles; the
The unit ramp rate constraints are second part reflects the cognitive behavioral par-
ticles; third part represents the social behavior of
− PD ≤ Pk − P( k − ) ≤ PU (7) particles, representing particles in the process of
learning community experience.
where, PU, PD expressed upper limit of the unit Particle swarm optimisation calculation process
ramp rate and lower limit of unit ramp rate is as follows:
respectively. 1. Randomly generate the initial position of each
particle, then calculate the fitness value of each
4 WIND-THERMAL ALLOCATION RATIO particle, which will take the minimum as the
OPTIMISATION METHOD global optimal solution.
2. For each particle, its fitness value is compared
4.1 Particle Swarm Optimisation method with the individual optimal solution. If the fit-
ness is excellent, the location of the particle at
Particle Swarm Optimisation from Complex Adap- this location is taken as the current best.
tive System, which Proposed by Kennedy et al 3. For each particle, its fitness and global extreme
1995 [7], is carried out in accordance with the laws is compared. If the fitness is excellent, the posi-
of movement and gather birds foraging during the tion of the particle is taken as the global optimal
resulting search algorithm simulation. location of the current population.
In the particle swarm algorithm, solutions 4. Update the position and velocity of the particles.
of the questions are represented by the position 5. Determine whether the end conditions is met
of particles, of which positions fitness good or or not. If satisfied, output the globally optimal
bad is determined by an objective function to solution, if not met, continue iteration.
evaluate. Group consists of particles composed
of n-dimensional space to search for Q under a 4.2 Wind-Thermal optimal allocation ratio
Q-dimensional search area, which the i-th particle calculation based on particle swarm
is represented as optimization algorithm
xi (x
xi1, xi xii ) i = 1, 2, …, m.
xiQ ), (8) The optimal allocation ratio of wind and thermal
based on the particle swarm optimisation algo-
The corresponding particle flight speed can be rithm calculation steps are as follows
expressed as 1. Calculation of 365 days and 24 hours daily cor-
relation of wind power and the typical daily
vi (vvi1, vi vii ) i = 1, 2, …, m
viQ ), (9) load; to sort;
231

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

8760 hours and load data, for five typical day of a
province, was used to verify the above-mentioned
method of the wind-thermal ratio configuration
method.
The correlation between wind-thermal bundled
power output and load changed with wind-thermal
power allocation ratio. The results are shown
in Figure 3, 4, 5. Figure 3 shows the correlation
between wind-thermal bundled power output and
load changed with wind-thermal power allocation
ratio on the day of minimum correlation between Figure 5. Correlation coefficient and wind-thermal
wind power and load. From Figure 3, we can see allocation ratio on the biggest correlation day.
in the correlation for early winter with typical little
loads, that three times the thermal power in wind
power was needed to make the correlation between wind-thermal bundled power output and load
reached 1.
The correlation between wind-thermal bundled
power output and load changed with wind-thermal
power allocation ratio under a day with 80% of
correlation between wind and load is as shown in
Figure 4. We can see configured thermal power of
2.1 times the wind energy can make the correlation
maximized load. Figure 5 shows the correlation
load changed with wind-thermal power allocation
ratio on the day of maximum correlation between
wind power and load. In this case, we can see con-
figured how thermal power of 1.7 times the wind
energy can make the correlation between wind-ther-
mal bundled power output and maximum load.
Because of the wind-thermal power is bun-
Figure 3. Correlation coefficient and wind-thermal dling as a power source for power planning, so the
allocation ratio on the minimum correlation day. correlation between wind-thermal bundled power
232

output and maximum load is not optimal. We REFERENCES
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This article is created with the support of Gansu
Province Electric Power Company funded project
(5227201350PM).
233

A design method of inductance-capacitance filter circuit for reducing

current harmonics of high-speed motor
Y.Q. Mo & P.J. Dong

Harbin Institute of Technology, Harbin, China
ABSTRACT: The low inductance of high-speed motor give its phase currents a high dynamic response
speed, which may also result in some control problems, such as high Total Harmonic Distortion (THD) of
stator current, high copper and core loss, and large torque ripple. This paper proposes a design method of
a three-phase inductance-capacitance (LC) filter connected to the three-phase stator windings to reduce
the stator current THD for the high-speed Permanent Magnet Synchronous Motor (PMSM). First, the
mathematical model of PMSM with LC filter is introduced. Then the design principle of the LC filter
parameters are presented by analyzing the magnitude-frequency characteristic of the PMSM system.
And, the value ranges of the parameters are introduced according to of the maximum output current
and voltage of the Pulse Width Modulation (PWM) inverter. The simulation and experimental results are
finally given to verify the effectiveness of the paper’s design.
Keywords: inductance-capacitance filter circuit; Total Harmonic Distortion; high-speed motor
1 INTRODUCTION Venkataramanan (1993) proposed a method to

add three-phase LC filter circuit between the
High-speed permanent Magnet Synchronous PWM-VSI and the motor, which can reduce the
Motor (PMSM) always has stator inductances volume and cost of the control system compared
lower than 0.5 mH due to its structural features. with the adding external inductances method.
While the low inductance characteristic is ben- Caricchi & Crescimbini (1994), Zwyssig & Kolar
eficial in improving the dynamic response speed (2009), Minshull & Bingham (2007), Minshull &
of phase currents, it may exert some adverse Bingham (2010) proposed a method of adjusting
impact on the motor control system. If this kind the Direct Current (DC) bus voltage to improve
of PMSM is driven directly by a traditional two- the stator current waveforms for brushless DC
level Pulse Width Modulation (PWM) Voltage (BLDC) motors. This method employs a half-
Source Inverter (VSI) with a switching frequency bridge DC chopping circuit whose energy is bidi-
at several kilohertz, it is difficult to regulate the rectional flowing in the front end of the PWM-VSI
stator currents effectively since the phase currents to adjust the DC bus voltage. Su & Adams (2001)
will be mixed with many higher-order harmonic adopted multilevel PWM-VSI to subdivide the
currents. output voltage and obtain more output levels,
Several methods have been proposed in order which will make the output waveform close to
to reduce the THD of the three-phase currents sinusoidal or square waveform. Current Source
for low inductance motor. The simplest one is Inverter (CSI) was also applied to the low induct-
to add three external inductances in series with ance motors. This method is always used to drive
the stator windings in order to make the equiv- BLDC (Takahashi 1994, Woolaghan 2009) since
alent value of each phase stator inductance the output of CSI is current.
larger (Zwyssig 2008, Venkataramanan 1993, This paper introduces a three-phase LC filter
Mecke 2009, Kosaka 1999, Mellor 1996, Koshio circuit to improve the stator current waveforms for
2009, Kosaka 2001). However, this method will the high-speed PMSM. The parameters of the LC
increase the volume, weight, and cost of the filter are designed based on both the purpose of
control system. Another method is to increase minimizing the stator current THD and satisfying
the switching frequency of PWM-VSI in order the maximum output current and output voltage
to regulate the currents better (De 2012). Yet, capability of the PWM-VSI. The simulation and
the switching frequency of switching devices experimental results are presented to verify the
is limited by their maximum input frequency. effectiveness of the paper’s design.
235

2 MATHEMATICAL MODEL OF PMSM
WITH LC FILTER
The control system chart of the high-speed PMSM

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

sysytem of high-speed motor turns from first order
system into third order system after connecting
three-phase LC filter to the stator windings.
3 PARAMETERS DESIGN OF LC FILTER
3.1 Minimizing stator current THD

According to equation (3), the transfer function of
the system is as follows
Ia ( ) 1 Figure 2. Relationship of characteristic curves of Φ(s)

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

1
representing (4) and (5) are shown in Figure 2. Φh (s) ≈ (7)
It can be seen from Figure 2 that these three char- Cs 2
s( LL C RL C
Cs L L )
acteristic curves coincide with each other in the LF
band. So the cut-off angular frequency ωb of the
system can be derived approximately from (5) The relationship of the characteristic curves of
(4) and (7) are shown in Figure 3.
It can be seen from Figure 3 that these two char-
L L ′ − ( L + L ′ )2 − 4R 2 L ′C R acteristic curves agree well in the HF band. So
ωb ≈ ≈ (6)
2RL ′C L L′ the natural oscillation angular frequency ωn and
236

the damping ratio ζ of the system can be derived As a result, the selection of the parameters
from (7). of LC filter should stick to the following two
principles:
L L′ 1. The resonance angular frequency ωr should
ωn = (8)
LL ′C satisfy
R L ′C ω1 ω r ω s (12)
ζ= (9)
2 L( L + L ′ ) In this way, parallel resonance can be avoided
at the fundamental frequency, and the harmonic
Thus, the resonance angular frequency ωr and currents around the switching frequency can be
the resonance peak Mr of the system can be derived effectively attenuated;
as 2. The resonance peak Mr should be designed
as small as possible to reduce the oscillation
L L′ R2 amplitude at the resonance angular frequency
ωr ω n 1 − 2ζ 2 = − (10) ωr. This can be achieved by increasing the value
LL ′C 2 L2 of the external inductance L′ in series.
4
8L
M r = 10 lg 2
(
L ′ R L ′C
R L′ R L C − R LL ′C + L L ′ ) 3.2 Considering the output current capability
of PWM-VSI
L
≈ 20 lg
RL ′ In general, the maximum output current of PWM-
VSI is less than 120% of the rated stator current
(11) of the motor, so the amplitudes of ia and i′a in
The harmonic components of the three-phase Figure 1 should satisfy the following inequality
PWM-VSI output voltage also need to be analyzed
In order to facilitate the parameter design of the LC ′ ≤ 1.2 I am
I am (13)
filter. According to W & L (2009), we can obtain
the harmonic frequencies of the output phase volt- Under the motor’s rated working condition, we
age of the three-phase PWM-VSI as nfs ± kf1, where have
fs and f1 refers to switching frequency and funda-
mental frequency respectively. When n is even, k is
a positive odd number not divided by three. Thus, ia* I q sin ωt (14)
we can come to a conclusion that the output phase
( ) ( )
2 2
voltage of the three-phase PWM-VSI contains the ′ = I q2 ω 2 LC − 1 +
I am 2
C2 + (15)
harmonics only around, but not at the integer mul-
tiples of switching frequency.
where Iq is the rated q-axis current. So Iam and I′am
can be expressed as
I am Iq (16)
( ) ( )
2 2
′ = I q2 ω 2 LC − 1 +
I am 2
C2 + (17)
By substituting (17) and (16) to (13), we can

obtain
C≤
Iq ( L Iq R Iq f
RI q f
L
LI q )
(
5ω ω L I + R I
2 2 2
q
2 2
q f
RII q +
R
2 2
f )
(18)
Eq. (18) gives the value range of the capacitance
C, during which the output current of PWM-VSI
Figure 3. Relationship of characteristic curves of Φ(s) will not exceed its permitted maximum output
and Φh(s). current.
237

3.3 Considering the output voltage capability Table 1. Parameters of the PMSM and PWM-VSI.
of PWM-VSI
Symbol Meaning Value
The maximum output voltage of PWM-VSI is
related to the DC bus voltage Udc. If the Space Udc DC bus voltage 300 V
Vector PWM (SVPWM) method is adopted to fs Switching frequency 18 kHz
control the PWM-VSI, the amplitude of the output p Number of pole pairs 1
phase voltage U′am satisfies the following equation ψf Amplitude of permanent 0.0184 Vs
magnet flux linkage
3 R Stator resistance 0.332 Ω
′ ≤
U am U dc (19) L Stator inductance 0.429 mH
3 Iq Rated q-axis current 5.13 A
ω* Rated rotor angular velocity 2000 πrad/s
Under the motor’s rated working condition, we
have
u′′a* = ( + ) (ω L′C − 1) i
2
ωt
( )
+ ω I q ω LL ′C − L − L ′ cos ωt
2
(20)
*
The amplitude U ′am can be derived from (20).
*
By substituting U ′am to (19), the value range of
external inductance L′ can be obtained when the
capacitance C is assigned with the maximum value
of (19). The larger the external inductances are,
the lower the stator current THD is, however, the
volume, weight, and cost of the system will also
increase, so the value of the external inductances
should be selected just to satisfy the demand of the
stator current THD.
Figure 4. A-phase current waveform without any filter.

4 SIMULATION AND EXPERIMENTS
This section will present the simulation and experi-

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

If the stator windings of the PMSM are directly
connected to the PWM-VSI without any filter,
a-phase current waveform is shown in Figure 4.
If the stator windings are connected with three-
phase L filter, a-phase current waveform is shown
in Figure 5.
Figure 5. A-phase current waveform with three-phase
The value of the external inductances in Figure 5 L filter (L′ = 0.32 mH).
is selected as 0.32 mH. The stator current THD in
Figure 5 is 12.47%.
From Figure 5, it can be seen that the stator characteristics of the PMSM without filter
current THD of the three-phase L filter method and with three-phase L filter are both shown in
is still high. If it is needed to reduce the stator cur- Figure 6.
rent THD further, the value of the external induct- Figure 6 shows that the cut-off angular fre-
ances should be larger. The magnitude-frequency quency decreases as the value of L′ increases, so
238

the larger the external inductances are, the more The stator current THD in Figure 7 is 4.27%.
powerful attenuation capability to high order har- By comparing Figure 5 and Figure 7, it can be seen
monic currents is achieved. In addition, the slope that the LC filter method can reduce the stator cur-
of both the characteristic curves is −20 dB/dec in rent THD more largely than the L filter method.
the HF band, which is −60 dB/dec for the LC filter Similarly, increasing the value of inductances in
method. So the L filter method has worse attenu- the LC filter will reduce the stator current THD.
ation capability to high order harmonic currents If the L filter wants to achieve the same effect
than the LC filter method. as the LC filter, the value of the external induct-
If the stator windings are connected with three- ances in the L filter method should be much larger.
phase LC filter to reduce the stator current THD, The relationship of the stator current THD and
the value of the capacitances should be selected the external inductances of the L filter method is
to satisfy (18). According to (18), the value of C shown in Figure 8.
should be less than 5.174 μF, and here we select From Figure 8, it can be seen that THD is
C = 5 μF. The value of the external inductances is reduced to 10% if the value of L′ is 0.5 mH, which
still selected as 0.32 mH. A-phase current waveform is still higher than that of LC filter method. So the
of the LC filter method is shown in Figure 7. LC filter method is much better than the L filter
method. The relationship of the stator current
THD and the external inductances of the LC filter
method when C = 5 μF is shown in Figure 9.
Figure 6. Magnitude-frequency characteristic of

PMSM without and with three-phase L filter. Figure 8. Relationship of stator current THD and
external inductances of L filter method.
Figure 7. A-phase current waveform with three-phase Figure 9. Relationship of stator current THD and
LC filter (L′ = 0.32 mH, C = 5 μF). external inductances of LC filter method (C = 5 μF).
239

It can be seen from Figure 9 that the stator cur-
rent THD is much higher at some value of L′. It is
just because at these points, the resonance angular
frequency ωr is at or near the integral multiples of
switching frequency, and the resonance peak Mr is
relatively high. So we need to design the parameters
of LC filter reasonably to obtain better perform-
ance. A ideal design criterion of the parameters of
LC filter is to make it work on the center of the
maximum flat area of the current THD curve.
4.2 Experimental results

Figure 10 is the control board which is based on
TMS320F2808 designed by Texas Instruments. The
MOSFET with the type STB20NM60 designed by
Figure 12. Experimental a-phase current waveform

with three-phase L filter (L′ = 0.32 mH).
Figure 10. The photo of control board for the

experiments.
Figure 13. Experimental a-phase current waveform

with three-phase LC filter (L′ = 0.32 mH, C = 5 μF).
SGS-THOMSON Microelectronics is selected as

the switching tube.
If the stator windings are connected with no fil-
ter, three-phase L filter, and three-phase LC filter
respectively, the corresponding phase current wave-
forms in these three cases are shown in Figure 11,
Figure 12, and Figure 13.
5 CONCLUSION
This paper presents a complete design process

of three-phase LC filter for the high-speed low
Figure 11. Experimental a-phase current waveform inductance PMSM to reduce the stator current
without any filter. THD. The parameters of the LC filter are designed
240

in consideration of both the purpose of minimiz- Mellor, P.H. & Allen, T. 1996. Hub-mounted electric
ing the stator current and satisfying the maximum drive-train for a high performance all-electric racing
output current and output voltage capability of vehicle, Machines and Drives for Electric and Hybrid
the PWM-VSI. The simulation and experimental Vehicles, pp. 3/1–3/6.
Minshull, R. & Bingham, M. 2007. A back to back mul-
results are carried out with no filter, three-phase L tilevel converter for driving low inductance brushless
filter, and three-phase LC filter respectively. Both AC machines, Power Electronics and Applications,
the results show that the LC filter method can European Conference on, pp. 1–9.
obtain the lowest stator current THD, and is the Minshull, R. & Bingham, M. 2010. Compensation of
best method of these three methods. nonlinearities in diode-clamped multilevel converters,
Industrial Electronics, IEEE Transactions on, vol. 57,
no. 8, pp. 2651–2658.
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241

Burr detection algorithm based on machine vision
Zhan Shi, Chuan-Li Xi & Hao-Lin Li

University of Shanghai for Science and Technology, Shanghai, China
Fu-Sheng Tan & Jun-Fan Yan

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

in the workpiece making it hard to clean; the mag-
In the modern machinery manufacturing industry, netic grinding method and ultrasonic method have
machinery processing occupies 60–70% of the total difficulty in removingthe burr; the electrochemical
amount of mechanical processing [1]. In the proc- method has an electrolytic effect on equipment and
ess of metal parts, especially precision products, the workpiece surface making, the surface lose its
existing processing methods can produce burrs. luster, and even affect the size and accuracy.
Burrs are mainly distributed in the workpiece edge, The existing methods basically used adopt a
corner and arris. Burr can influence the size accu- method of whole process of workpiece. It’s easy
racy, form and position accuracy, precision and to cause damage to the workpiece itself. Therefore,
surface roughness of the workpiece. It’s hard to we use image processing technology, based on
assemble, difficult to meet tolerance requirements machine vision, to detect burrs on the work-
[2–5]. Modern processing technology doesn’t allow piece. This method has fast detection speed and is
the occurance of burrs. In recent years, with the strongly accurate. Meanwhile, the algorithm can
emphasis on the burr removal, deburring methods be used to detect a deburred workpiece to judge its
have been coming out one after the other. Now deburring effect.
commonly used deburring methods are: cylinder
grinding method, Thermal deburring, and extru-
sion honing, abrasive jet deburring, magnetic 2 MEASUREMENT SYSTEM
deburring, ultrasonic deburring, electrochemical
deburring, deburring robots and so on. Figure 1 shows the flow chart of the burr detection
Although there are many methods, but each system. The image acquisition stage uses an indus-
method has its own advantages and disadvantages trial camera to acquire the contours of the burrs.
[6]. Roller grinding method has the advantages of Collected images are transferred to a computer
a simple operation, high production efficiency— to detect a burr. The stage of image processing
but the collision between workpieces can lead is divided into three parts: Image pre-processing,
to deformation and damage, and this method burr detection and pseudo burr removal.
can’t remove the hole burr in tiny structures; in The system hardware includes bracket, a 5 million
treatment of a thin wall or a lower melting point pixels grayscale industrial camera and light source.
material, Thermal deburring easily causes mate- The grayscale camera has higher accuracy to cap-
rial deformation; The extrusion honing method ture images of the edges of workpiece [7].
cannot remove a burr in a blind hole, Grinding In machine vision, the selection of the light
action on the workpiece surface affects the part’s source is very important. Light shape can be
accuracy; the abrasive jet method performance is changed according to the shape of the workpiece
243

3 ALGORITHM RESEARCH
This paper used Halcon to process captured

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

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

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

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

First, the algorithm calculates the average gray
Figure 2. Workpiece surface image. value of the filtered image: Gray_mean. Accord-
ing experiments, we selected Gray_mean/2 as the
threshold, Obtained region shown in Figure 5.
contour. The surface of the workpiece we used was Extracted region contains background of image,
smooth, the use of prospect light irradiating the but it still contains a lot of noise. So, we use con-
workpiece can produce serious specular reflection. nection operator in Halcon to separate these
Therefore, we used a low angle ring light source to
irradiate the surface. This light source had the abil-
ity to highlight the tiny fluctuation characteristics
on a smooth surface. Figure 2 shows the different
results of two light sources.
The algorithm is implemented in the machine
vision software, Halcon. This software is an image
processing database. Various image processing
algorithms can find the corresponding function
in this software. Compared with other software, it
saves the cost of products and shortens the soft-
ware development cycle. Figure 3. The original image.
244

Figure 4. Filtered image. Figure 6. Workpiece edge region.
Figure 5. Threshold region. Figure 7. Boundary extraction.
unconnected areas. This operator can divide a

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

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

3.2 Edge detection
zero crossing of the second derivative algorithm
Edge detection is a basic problem in image process- (such as Laplacian operator, LoG operator) and
ing and computer vision; its purpose is to identify so on. The new edge detection methods are the
brightness and significant change points in image. mathematical morphology method, fuzzy operator
Significant changes in properties of image usually method, wavelet analysis method, genetic algo-
reflect important events and changes in attributes rithm and so on [10].
[9]. Classical edge detection methods are the first As is widely used in image processing, the
order of the derivative maxima algorithm (such as canny edge detection operator has many excellent
245

properties. The canny operator has characteristics edge information. Image T2 extracted by the smaller
of high positioning accuracy, low error rate and threshold retains more edge information. On this
suppression false edges. The content of the algo- basis, image T2 complements missing information
rithm is as follows. of T1 till the gaps on image T1 are connected.
This system, using the Halcon software, has
3.2.1 Image filtering been integrated with the canny operator. Halcon
Any edge detection algorithms can’t behave well operator edges_sub-pix can extract sub-pixel edges.
in original data. The Gaussian smoothing fil- Extracted sub-pixel edges and partial enlarged
ter was used to remove image noise. The filter is edges are as shown in Figures 10 and 11.
expressed as:
x 2 + y2
x + m y+ m −
G ( x, y ) ∑ ∑e 2σ 2
(2)
x my m
where, m = (n−1)/2, n controls the extend of

smoothing image. A single pixel noise has almost
no influence on smoothed image.
3.2.2 Calculating the value and direction

of grads Figure 10. Workpiece edge region.
The canny operator adopts first order limited dif-
ference of 2 × 2 neighbouring area to calculate the
value and direction of grads. X and Y direction
of the first-order partial derivatives Px[i, j] and
Py[i, j] are:
Px [i, j ] = ⎛ ⎞ 2
I [i, j 1] I [i, j ]
⎝ + I [i 1, j 1] I [i 1, j ]⎠ (3)
Py [i, j ] = ⎛ ⎞ 2
I [i, j ] I [i 1, j ] (4)
⎝ + I [i
[i, j 1] I [i 1, j 1]⎠
Figure 11. Partial edges.
The value and direction of grads are:
M [i, j ] Px [i jj]]2 + Py [i
[ i , j ]2 (5)
θ [i, j ] tan −1 (Py [ , j ]//Px [i, j ]) (6)
3.2.3 Non-maximum suppression of gradient

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

The canny operator adopts the double-threshold
method to extract two images T1[i,j] and T2[i,j].
Image T1 is extracted by the larger threshold which
removes most of the noise, but also the loss of useful Figure 13. Burr partial results.
246

The canny operator achieved good results of REFERENCES
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need to remove these false edges. engineering, 2005(12).
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in the process of aluminum alloy [D]. Shanghai Jiao
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in burr formation at the exit stage of metal cutting
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used to remove the interference of arc parts. After deburring technology [D]. Dalian University of
edge detection, noise removal, the algorithm finally Technology, 2012.
gets the precise location of the burr. It can provide [7] Image and machine vision product manual [M].
accurate data for the burr removal stage. At the Beijing Lingyun Optical Technology Co., Ltd.,
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247

Numerical simulation and experimental study on the anti-overload

ability of cylindrical roller bearing in a short time
Y.G. Ni, Y. Li & S.E. Deng

School of Mechatronics Engineering, Henan University of Science and Technology, Luoyang, China
X.F. Li
Beijing Institute of Automation Control Equipment, Beijing, China
ABSTRACT: An elastic-plastic finite element model of cylindrical roller bearing under overload condi-
tion is established, analyzing the influences of different overload coefficiency on stress and strain distri-
bution of cylindrical roller bearing; the study shows: under the overload condition (with the occurrence
of “fringe effect” at the end part of roller) stress concentration increases remarkably with the increase of
load applied; the maximum plastic deformation of the contact area between bearing roller, inner ring, and
outer ring—all present a nonlinear increased trend along with the increase of radial load. The measure-
ment of permanent deformation of the bearing after static pressure test verifies the validity of the result
of the finite element analysis.
Keywords: overload; cylindrical roller bearings; elastic-plastic; permanent deformation
1 INTRODUCTION roller and raceway and have conducted an analysis

as well on the contact stress field distribution within
Overload conditions—where the working loads is rolling and raceway, providing thus a foundation
several times over the rated static load in a short for research of bearing fatigue rupture. In recent
time, usually happens in spacecraft, such as a rocket years, an exploration on the analysis of rolling bear-
engine and a steering engine drive. Thus, the selected ing elastic-plastic contact under a heavy load envi-
bearing should not only meet the dimensional ronment has been carried out by some scholars in
requirements of a small size and light-weight, but China. Zhou Wei and Zhou Hui[3] have analyzed the
also avoid the occurrence of failure under a high load distribution of angular contact ball bearing
overload operating condition in a short time. under low velocity overload conditions, the change
Under short-time high overload condition, of contact angle, and the maximum load of steel
the contact area between the rolling element and ball based on the semi-empirical Palmgren formula.
raceway is going to produce plastic deformation. Shang Zhenguo[4] et al have established a heavy load
The bearing contact force and deformation lie in turntable bearing static model considering the influ-
an elastic-plastic non-Hertz contact. The recipro- ence of supporting structure flexibility and material
cal action of rolling elements will result in a dam- plastic deformation, and analysed the inner load
age accumulation of plastic deformation. Hence, distribution and contact stress of a large-scale heavy
the low-cycle fatigue problem, caused by cycle load turntable bearing. However, the corresponding
elastic—plastic strain, should be taken into con- experimental verification is not mentioned in the
sideration when designing this kind of bearing. analysis result of the above literature.
Analytical calculation on the elastic-plastic stress- In this paper, an elastic-plastic finite element
strain of rolling contact is the foundation of reveal- model of a cylindrical roller bearing, under over-
ing low-cycle fatigue mechanism of rolling contact. load condition, is established using the nonlinear
Palmgren[1] purposed a calculation formula of point contact finite element method. The contact stress-
contact permanent deformation, according to the strain field distribution between bearing elements
data of a bearing steel indentation test done in the of different structural parameter and applied load
1940s, but the permanent deformation calculated is analysed and the conclusion on the relation
according to such formula is greater than that of the between bearing overload coefficient and plas-
deformation generated by high-quality steel modern tic deformation and between overload coefficient
rolling bearing. Branch N.A. et al[2] have established and contact stress, is obtained. The accuracy of
an elastic-plastic finite element model of bearing the model was further tested by experiments of
249

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

ANALYSIS OF ELASTIC-PLASTIC
CONTACT
Elastic-plastic rolling contact belongs to a highly

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

BEARING UNDER OVERLOAD 4 ANALYSIS OF SIMULATION RESULTS
CONDITIONS
4.1 Influence of different overload coefficient k
With the aid of ANSYS, a 3-D model of different to contact stress
kinds of cylindrical roller bearing assembly was
In the cylindrical roller bearing NU210EM, the
established in APDL. A bearing assembly finite
design of roller convexity should be designed
element model on the maximum rolling element
according to load Q Cor . If theoretical convexity
loading location is built only under applied radial
approximate value reaches 0.021, it should estab-
direction load.
lish crowned roller finite element model. Differ-
The finite element model is meshed with the
ent radial loads should be conducted respectively
SOLID 187 tetrahedron element, and the material
on finite element analysis (k = 0.2 ~ 2.5 ), and the
of bearing assembly is GCrl5. The finite element
result compared in the end.
model is shown in Figure 1.
Figures 2–3 are respectively served as the distri-
In order to avoid the occurrence of the “fringe
bution cloud chart and distribution curve of con-
effect” on both ends of the roller, the logarithmic
tact stress of NU210EM cylindrical roller bearing
profile is adopted. Considering the ending cham-
between roller and inner ring raceway, along the
fer, the equation of logarithmic profile lines is[6]:
length direction of roller under different load-
ing coefficient. It can be found that when bearing
1 − v 2 Qmax 1 endures lighter applied load, that is k < 0.5 , the
y=2 In
π E Lwe 1 − (2 x /Lwe )2 maximum contact stress will occur in the contact
(2) center due to roller logarithm generatrix convexity.
( − Lwe /2 x Lwe / 2 ) The contact stress curve of roller and inner ring
250

Figure 2. Contact stress of roller.
contact line slowly increases from the end to the

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

plastic deformation
If radial load is imposed on different kinds of
cylindrical roller bearings, the influence rule of dif-
ferent overload coefficient k to plastic deformation
of each bearing contact area will be drawn through
changing the overload coefficient k.
Figure 4 shows the influence of different over-
load coefficient k to different models of bear-
ing plastic deformation. It can be found from
Figure 4 that under the dual function of mate-
rial nonlinearity and contact nonlinearity, the
maximum plastic deformation of contact area
between bearing roller, inner ring, and outer ring, Figure 3. Contact stress distribution curve of
all present a nonlinear increased trend along with NU210EM bearing between roller and inner ring race-
the increase of overload coefficient. When the way along the length direction of roller.
value of overload coefficient k is smaller, the con-
tact plastic deformation of inner ring raceway is
greater than that of the outer ring raceway. But as an example, as is shown in Figure 4a, when k
with the increase of k value, which is the enlarge- value is smaller than 2.25, the plastic deformation
ment of radial load, the velocity of plastic defor- of inner ring will be greater than that of contact
mation generated by roller accelerates, and finally area between roller and rollaway; when k value is
the plastic deformation of roller, is greater than greater than 2.25, the plastic deformation on roller
that of the inner and outer ring. Take NU210EM will be greater than that of inner ring raceway.
251

Figure 5. Microcomputer hydraulic universal testing
machine.
Table 1. Contrast of permanent deformation between

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

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

The plastic deformation between the outer ring
raceway and roller will also be the smallest under After the static test, the permanent deformation
different external loading. of bearing should be measured with the help of a
contourgraph, and comparison analysis should be
conducted between the test results and finite ele-
ment analysis result, as is shown in Chart 1.
5 EXPERIMENTAL VERIFICATION
From the comparison above, it can be seen that
the maximum error of the finite element computed
First, a microcomputer hydraulic universal testing
result is less than 10%, which indicates that the
machine (Fig. 5) is applied for the static pressure
deformation of each bearing component calculated
test of 12 sets of NU210EM bearings. The bear-
by finite element method is relatively accurate.
ings will be divided into 4 groups with k = 2, 2.5,
3, 4 times of radial load imposed on 4 groups of
bearing in the process. After the static pressure test, 6 CONCLUSION
the permanent deformation of each bearing com-
ponents should be tested after loading through the An elastic-plastic contact finite element model of
contourgraph. cylindrical roller bearing is established by ANSYS,
252

analyzing the influence of different overload coef- Projects of Ministry of Science Technology, JPPT-
ficient k to bearing stress-strain distribution. The ZCGX1-1/5-1
conclusions drawn are the following:
1. Through the elastic-plastic finite element analy-
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test result, the error is less than 10%, it indicates ing. Luoyang.
that the plastic deformation of each bearing [7] Deng Sier. & Jia Quny. 2008. Design principle of
rollng bearing. Beijing: Standards Press.
component calculated by finite element method
is relative accurate.
ACKNOWLEDGMENTS
The authors would like to express their thanks

to the support provided by National Special
253

Numerical simulation and analysis of wavefront reconstruction

iterative method in radial shearing interference
Y.F. Wang & Z.S. Da

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

one must select the reasonable radial shearing
Radial shearing interferometry technique is an ratio, get higher accuracy and reduce the calcula-
effective method for laser wavefront measurements. tion time. In this paper, the iterative algorithm of
Since the radial shearing interferometer, without wavefront reconstruction is derived, and the wave-
setting the reference light, can be measured by a front reconstruction iterative algorithm is simu-
relatively large diameter range of temperature lated using Matlab with different shearing ratio.
lift, air flow, ground vibration and other environ- Finally the simulation results are analysed. Since
mental impacts which are not sensitive to shear, then the radial shearing interferometry telescope
than simply changing the measurement accuracy system has been based on the analysis.
is also changing, as compared to a conventional
interferometer has its own unique advantages; it
is widely used in the fields of the optical element 2 THE PRINCIPLE OF RADIAL
surface type detector, high-speed measurement of SHEARING INTERFERENCE
the pulse wavefront and beam-quality measure-
ments. Foreign scientists have earlier done a lot The radial shearing interferometer produces two
of research on the shearing interferometer[1–7] and interfering wavefronts with identical deforma-
have come up with applications in engineering. tions, but one of the wavefronts is contracted or
Many domestic scientific research institutions in expanded with respect to the other in Figure 1. The
China have added to the study of radial shearing radial shearing interference pattern or the Optical
interferometer. Chinese Academy of Engineering Path Difference (OPD) of one wavefront expanded
Physics, Sichuan University, Zhejiang University, is given by
Harbin Institute of technology, Nanjing Institute
of Technology and so on have done research in OPD( ρ , θ ) W ( ρ , θ ) − W ( βρ , θ ) (1)
the corresponding[8] field and have achieved much
success. where W is the wavefront; ρ and θ are the radial
The difficulty of radial shearing interferometer and circular coordinates, respectively; and β
is how to obtain the original wavefront informa- ( β ) is the radial shearing ratio, which is the
tion from interference fringes, which requires of ratio of the wavefront radius under test and that of
wavefront reconstruction. In order to further the the reference wavefront.
analysis of wavefront reconstruction iterative algo- If the figure in the central reference areaW ( βρ , θ )
rithm accuracy (according to the wavefront to be is well determined, the figure measurement shall
255

testing, can be done, not only to know the shape
of the wavefront, but also with the hope of get-
ting the wavefront aberration information at the
same time. Due to the high fitting precision of
the optical wavefront of the Zernike polynomial,
the orthogonality of the Zernike polynomial to
fitting polynomial coefficients are independent of
each other, to avoid the confusion caused by the
coefficient between the coupling; and the Zernike
polynomial itself has rotational symmetry, and
has good convergence for solving problems in the
process of optical design. Zernike polynomials
Figure 1. Fringe of radial shearing interference.
be accurate. However, when the central part has

errors as is usually the case, some corrections are
needed.
Here, two correction methods, the Zernike
polynomial expansion and iterative method are
proposed. Both correction methods have been
applied to fringe analysis and showed their effec-
tiveness for error correction. This research work
has mainly used theiterative method.
3 ITERATIVE CORRECTION METHOD
Multiplying β to radius ρ, the OPD is given as
OPD( βρ , θ ) W ( βρ , θ ) − W ( β 2 ρ , θ ) (2)
OPD( β ρ , θ ) W ( β ρ , θ ) − W ( β ρ , θ )
2 2 3
(3)
OPD( β ρ ,θ ) W ( β ρ ,θ ) − W ( β ρ ,θ )
3 3 4
(4)
Repeating this procedure up to i n and adding

these equations in succession, the accurate wave-
front can be calculated as
n
W ( ρ, θ ) ∑ OPD( β i ρ, θ ) W ( β n ρ, θ ) (5)
i =1
where n is the number of repeats and the term

W ( β n ρ , θ ) is converging to 0 or a small point with
increasing n.
4 NUMERICAL SIMULATION
The iterative method can be used in different Figure 2. The different iteration results under the shear-
exit pupil wavefront reconstructions. Actual ing ratio is 0.5.
256

Figure 3. The different iteration results under the shear- Figure 4. The different iteration results under the shear-
ing ratio is 0.25. ing ratio is 0.66.
have a certain relationship with the Seidel pri- where z0 is constant coefficient, z1 is inclined x
mary aberration; the aberration function is easy direction coefficient, z2 is inclined y direction coef-
with the link to the optical design, thus it is often ficient, z3 is the defocus coefficient, z4 is the astig-
used in fitting to solve optical aberration. The matic coefficient (axis direction of 0 degrees or
iterative algorithm third parts mentioned above 90 degrees), z5 is the astigmatic coefficient (axial
use the Matlab numerical calculation software for direction of 45 degree), z6 and z7 are the third-order
numerical simulation, for a different number of coma coefficients, z8 is the third-order spherical
iterations, the radial shear of different shearing aberration coefficient.
ratio situation to carry on the simulation, in order In order to make comparisons between different
to calculate the simple selection of Zernike poly- shearing ratio, we construct a distorted wavefront, we
nomial of the first eight simulation. The first eight get z0 z1 = z2 z3 = z5 = 0 , z4 = −0.85 , z6 = −0.8,
Zernike polynomials in the Cartesian coordinate z7 = 0.5, z8 = 0.069 . Getting different shearing ratio
system is represented as: of the figures are shown in Figures 2–4.
Analysis of the above simulation chart, from
W ( x, y ) z0 + z1x + z2 y + z3 ( 1+ 2 x + 2 y )
2 2 Table 1, 2, 3 we know the initial PV value of the
2 2 3 2 distortion wavefront is relatively large and can be
+ z4 ( x − y ) + z5 2 xy + z6 ( 2 x +3 x +3xy )
2 3
considered as a big wave aberration. When the
+ z7 ( 2 y + 3 yx + 3 y ) shearing ratio is equal to 0.5, the residual wave-
2 2 4 2 2 4
+ 8 (1 6 x − 6 y + 6 x + 12 x y + 6 y ) front PV value reaches 1/1000 after 6 iterations;
257

Table 1. Under different iterations residual wavefront 5 CONCLUSION
and reconstruction wavefront PV value when shearing
ratio is 0.25. In this paper, the iterative algorithm for wavefront
reconstruction is derived. Numerical simulation of
Reconstruction Residual
Shearing Iterations wavefront wavefront
the wavefront reconstruction iterative algorithm
ratio β N PV/(λ) PV/(λ) is done—by using Matlab numerical calculation
software, analysis of the influence on the simula-
0.25 0 14.9978 tion accuracyand the computational complexity
1 14.9518 0.0624 in the impact process numerical simulation with
2 4.1171 0.0156 different shearing ratio. Through the analysis we
6 9.8437 6.1035e-4 can see that, with the radial shearing ratio decreas-
ing or increasing telescope magnification, only
less iteration numbers are needed to reach high
precision. We can choose the appropriate shear-
Table 2. Under different iterations residual wavefront ing ratio so as to simplify the numerical compu-
and reconstruction wavefront PV value when shearing tation’s tedious iterative process and improve the
ratio is 0.5.
operation speed; for wavefront with large complex
Reconstruction Residual wave aberration, the estimation of PV value is very
Shearing Iterations wavefront wavefront important. According to estimates, we can obtain
ratio β N PV/(λ) PV/(λ) higher precision wavefront in finite times iteration,
and also reduce the wavefront reconstruction time
0.5 0 14.9978 needed. This has the practical value for real time
1 14.6041 0.2441 wavefront measurement system. But the algorithm
2 7.5456 0.1243 has ignored the influence of actual interference
6 7.7452 0.0078 error caused by the tilt of the system. Further work
needs to be done on this.
Table 3. Under different iterations residual wavefront REFERENCES

and reconstruction wavefront PV value when shearing
ratio is 0.66. [1] P. Hariharan, D. 1962. Interferometric measurements
of the aberrations of microscope objectives. Opt.
Reconstruction Residual Acta. 9: 159–175.
Shearing Iterations wavefront wavefront [2] P.J. Wegner, M.A. Henesian, and J.T. Salmon, et al.
ratio β N PV/(λ) PV/(λ) 1999. Wavefront and divergence of the Beamlet proto
type laser. SPIE. 3492: 1019–1030.
0.66 0 14.9978 [3] A.R. Barnes, L.C. Smith, 1999. A combined phase
1 13.5182 0.9625 near and far field diagnostic for large aperture laser
2 23.1392 0.6334 system, SPIE. 3492: 564–672.
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et al. 2000. Radial Shearing Interferometer for In-
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2002. Corneal topography measurement by means of
front PV value can reach 1/1000 after 3 iterations; radial shearing interference: Part I—theoretical con-
shearing ratio equal to 0.66, the maximum number sideration. Optik. 113 (1): 39–45.
of iterative (6 iterations) simulation reached only [6] Waldemar Kowalik, Beata Garncarz, Henryk Kasprzak.
1/100. Illustrating that radial shearing, ratio 2003. Corneal topography measurement by means of
decreasing or increasing telescope magnification, radial shearing interference: Part II—measurement
only less iteration numbers are needed to reach errors. Optik. 114(5): 199–206.
high precision. We can choose the appropriate [7] N.I Toto-Arellano, G. Rodriguez-Zurita, C. Meneses-
shearing ratio, so as to simplify the numerical Fabian, J.F V´azquez-Castillo. 2009. A single-shot
computation tedious iterative process, improving phase-shifting radial-shearing interferometer. Journal
of optics A: pure and applied optics 0457 (045704):
the operation speed. It is worth noting that, with 1–6.
the increase in the number of iterations, the PV [8] H.X, et al. 2002. Algorithm study of wavefront
value of the reconstruction wavefront with the reconstruction based on the cyclic radial shear
emergence of a local minimum, then becomes interferometer. High Power Laser and Particle Beams,
larger. 14(2): 223–227.
258

Minimization of stator loss for high speed permanent magnet motor
X.Q. Liu
Beihang University, Beijing, China
ABSTRACT: This paper presents an optimization design for stator loss of high speed permanent mag-
net motor using response surface methodology and finite element method. The current frequency of high
speed permanent magnet motor is much higher than low speed permanent magnet motor, which results
in increasing ac losses. The stator loss of high speed permanent magnet motor which accounts for a large
part of total loss includes core loss and winding loss, which has a great influence on the efficiency. The
calculation methods of core loss and winding loss are presented in this paper. Then, three optimization
variables are selected and the way of influencing the stator loss is analyzed. Finally, response surface
method combined with genetic algorithm and FEM software is adopted to minimize the stator loss. A set
of optimization variables are determined, which corresponds to minimum of stator loss.
Keywords: magnetic field; response surface method; FEM
1 INTRODUCTION of core loss is a key issue in design of permanent

magnet motor all along [1]–[3].
High-speed-motor-driven systems are widely used The core loss can be expressed as
in many applications, due to the huge advantages,
such as higher system efficiency, higher system reli- Pv K h f Bm )2 + K c fB
fBm )2 fBm )1.5
K e ( fB (1)
ability, lower size and lower weight. Due to the high
operating speed, the motor size and weight can also where, Kh is the hysteresis core loss coefficient, Kc
be reduced greatly. The loss density increases greatly is the eddy-current core loss coefficient, Ke is the
with the power density, which imposes a great impact excess core loss coefficient, Bm is amplitude of the
on the temperature rise of the motor. Additionally, AC flux component, f is the frequency. The core loss
high frequency will impose extra impact on the coefficients are derived from iron loss tester. The core
winding loss and its distribution, such as eddy cur- loss is calculated by FEM software in this paper.
rent effect, proximity effect and circulating current
effect, which may be much less remarkable in low 2.2 Winding loss
frequency occasions with the same power level.
The stator loss forms a large part of total loss of In high speed permanent magnet motor, the fre-
high speed permanent magnet motor, which has a quency of winding current is much higher than
close relation with motor efficiency and stator tem- conventional low speed motors. Compared with
perature rise. The stator loss is mainly composed the low speed motor with same power level, skin
of core loss and winding loss, which influences effect, proximity effect and circulating effect should
the efficiency greatly. Because rotor eddy current be considered especially in the design of high speed
loss is fairly small compared with stator loss and permanent magnet motor [4], [5].
the air friction loss varies to a small extent when
rotor dynamic design is finished, the other losses 2.2.1 Eddy current effect
except stator loss can be regarded as constant and The ratio of ac effective resistance Rac to dc resist-
neglected in this optimization. ance Rdc by skin effect in round conductor is known
to be [6]
2 COMPONENTS OF STATOR 4
1 ⎛ a⎞
LOSS AND CALCULATION METHOD Rac / Rdc = 1 + (2)
48 ⎝ δ ⎠
2.1 Core loss
where a is radius of round conductor, δ is skin
The core loss forms a large part of total losses depth of the conductor in a certain frequency. For
of permanent magnet motor and the calculation high speed motors, thin wires are usually adopted
259

to construct the winding. In this case, only a small On the basis of a single conductor inductance,
increase result from eddy current effect to the issue self and mutual inductances of strands in one
of winding loss [7]. branch path can be calculated [11].
One parallel branch can be equivalent to a cir-
2.2.2 Proximity effect cuit with electromagnetic coupling among the
Proximity effect is the phenomenon that the cur- strands, as shown in Figure 2. If the core loss and
rent distribution in one conductor is influenced core reluctance are neglected, the equations of
by the magnetic field generated by other conduc- voltages and currents are
tors in the vicinity. And the corresponding loss is
called proximity loss. Proximity loss generated in ⎧U rs I jω L I1 + j M I jω M n I n
one conductor depends on the dimension of the ⎪U jω M 21I1 + j L2 I 2 jω M 2 n I n
⎪ rs I 2
conductor and the frequency and amplitude of the ⎨
magnetic field in the region where the conductor is ⎪
located. The proximity loss of the conductor per ⎪⎩U rs I n jω M1n I n + j M n 2 I jω Ln I n (5)
unit length is known to be [8].
where rs is resistance of one strand; Li is self-
π d 4ω 2 Bn2 inductance of one strand in one parallel branch;
Pe = (3) Mik(i ≠ k) is mutual inductance between strand i
128ρc
and k; U, I1, I2, … In are complex numbers expres-
sion of the strand voltage and currents varying
where, d is the diameter of the conductor, ω is fre- sinusoidally; ω is the angular frequency of voltages
quency of magnetic field, Bn is the magnitude of and currents; j is the imaginary unit.
magnetic field, ρc is resistivity of the conductor. When the current in each strand are derived, the
total loss and resistance ratio of the winding can be
2.2.3 Circulating current effect determined [12].
Circulating current effect is the phenomenon of
the uneven distribution of currents among the
strands connected in parallel due to the difference
in the inductance of each strand. Circulating effect
is a different phenomenon from proximity effect,
of which the mechanisms are different. There are
also differences in the methods of reducing circu-
lating current loss and proximity loss. At a fixed
frequency, the proximity loss will be decreased
greatly with the decrease of the diameter of the
conductor and the magnetic field where the con-
ductors locate. The issue of circulating current is
discussed in [9], [10]. Even with thin wire, the cir-
culating current will exist.
At the beginning of calculation of the winding
loss considering circulating current effect, some
assumptions should be made: (a) from the finite
element analysis results, the leakage flux in conduc-
tor region is parallel with the slot opening. Thus, Figure 1. Equivalent magnetic circuit of one conductor.
1-D model is available, and the conductors will be
arranged along the slot center line. And the area
each conductor occupies is same; (b) the stands of
one coil are arranged in succession along the slot
center line, and the sequence of strands remains
unchanged; (c) three-phase windings are strictly
symmetrical.
The inductance of one conductor can be
solved by
Li = ( 1 + 2 + 3 + 4 + 5 / 2)
(4)
where Λ1, Λ2, Λ3, Λ4 and Λ5 are magnetic perme-
ance of each part, which are shown in Figure 1. Figure 2. Equivalent circuit of one parallel branch.
260

3 OPTIMIZATION VARIABLES thickness of stator yoke are kept constant, the
increase of the reserved height of stator slot will
The most effective parameters are number of lead to more core loss, due to the fact that the slot
strands in one parallel branch, stator tooth width height and tooth length increase with reserved
and reserved height of stator slot after the over- height of stator slot. However, the increase of the
all design of rotor dynamics. The parameter of reserved height of stator slot will lead to less wind-
reserved height of stator slot is shown in Figure 3. ing loss, due to the fact that the difference between
The influence of the three parameters to stator the strands decreases.
loss is introduced as follows.
3.1 Number of strands in one parallel branch 4 OPTIMIZATION METHOD

The number of strands in one parallel branch will
In the process of optimization, response surface
influence the dc resistance of stator winding. If this
method combined with genetic algorithm and the
value is small, the dc resistance will be large, as well
2-D finite element method is adopted.
as the average current density. If the number of
The response surface function can be built in
strands in one parallel branch is too large, the dc
the form of polynomial function [13], [14] or in the
resistance will be small, and the loss resulting from dc
form of base function [15]. In this paper, radical
resistance will be small. However, with the increase
basis function is adopted to construct response
of the number of strands in one parallel branch, the
surface function.
area that one branch occupies increases and the dif-
ferences of inductance between the strands which
belong to the same branch in one phase increase. 5 DESIGN OPTIMIZATION
Thus, the winding loss resulting from circulating FOR STATOR LOSS
current effect will be large. From another point of
view, with the increase of the number of strands 5.1 Motor specifications
in one parallel branch, the size and the loss of the
stator core will increase, as well as the core loss. In A high speed permanent magnet motor equipped
conclusion, there will be an optimal value for the with AMB bearings is taken as the optimization
number of strands in one parallel branch. objective, of which the specifications are shown in
Table 1.
3.2 Stator tooth width
Stator tooth width will influence the core loss and 5.2 Optimization objective and constraints
winding loss simultaneously. When stator tooth The optimization objective is the total loss of the
width is large, there is less space for the winding. stator. In this process, the thickness of stator yoke,
When stator tooth width is small, the magnetic stack length, air gap length, coil-filling factor and
field intensity and the core loss in stator tooth will rated parameters of motor are kept constant.
be large. Keeping the current density of winding
constant, the height of stator slot will be increased,
which will contribute to winding loss resulting 5.3 Range of optimization variables
from circulating current effect. In this paper, the ranges of optimization variables
are shown in Table 2.
3.3 Reserved height of stator slot
The parameters of reserved height of stator slot 5.4 The initial set of sampling points
are shown in Figure 3. When tooth width and The initial set of sampling points is composed
of 15 points, which is shown in Table 3. The first
point is the center of the design space. The follow-
ing 6 points locate in the center of surface of the
Table 1. Main design characteristics of the motor.
Parameter Value
Rotor topology Surface-mounted magnets

Rated power 315 kW
Rated speed 20,000 r/min
Figure 3. Reserved height of slot.
261

Table 2. Range of optimization variables. FEM software. The response surface function
of the stator loss with the variables of number
Parameter Range of strands in one branch, stator tooth width and
reserved height of slot can be constructed.
Number of strands in one branch (mm) [40,80]
Stator tooth width (mm) [5,13]
Once the response surface function is con-
Reserved height of slot (mm) [0,30]
structed, the minimum point of the current
response surface function can be determined by
genetic algorithm, which is (75, 5, 22.8).
After several iterations, the minimum point
Table 3. Initial set of sampling points.
of the response surface function will converge to
Number of Reserved a small space. There will be less and less differ-
strands in Stator tooth height of ence between the current minimum point and the
Number one branch width (mm) slot (mm) one before. When the difference is small enough,
the last minimum point can be considered as the
1 50 9 20 global optimum, which is (52, 5, 11) in this paper.
2 20 9 20 And the corresponding stator loss is 4.3 kW.
3 80 9 20
4 50 5 20
5 50 13 20 6 CONCLUSION
6 50 9 0
7 50 9 40 In this paper, three variables are selected to mini-
8 20 5 0 mize the stator loss. The influences of three vari-
9 20 13 0 ables are also introduced, which are different
10 80 5 0 compared with low-speed motors.
11 80 13 0
12 20 5 40
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263

Iterative Adaptive Algorithm based on the cross covariance matrix

of acoustic pressure and particle velocity
C.R. Zhang, J.F. Cheng & B.L Ma

Department of Weaponry Engineering, Naval University of Engineering, Wuhan, China
ABSTRACT: A vector hydrophone measures the acoustic pressure and particle velocity at a single point
in space, we propose a novel Iterative Adaptive Algorithm (IAA) to estimate the direction of arrival based
on the cross covariance matrix of acoustic pressure and particle velocity, called PVIAA. Due to the noise
of each channel being independent the cross covariance matrix is not affected by the noise. The algorithm
is able to cope with very low snapshot numbers and deal with the correlated sources. Simulation results
are presented to compare the performance of this method with the original IAA and L1_SVD, and this
method is shown to outperform the existing approaches.
Keywords: DOA; cross covariance matrix; IAA; vector hydrophone; L1_SVD
1 INTRODUCTION Both algorithms are able to deal with coherent

sources.
The estimation of Direction Of Arrival (DOA) A vector hydrophone measures the acoustic
is one of the most important topics of the array pressure and all three components of acoustic
signal processing, which playa a fundamental particle velocity at a single point in space [3]. Sim-
role in many applications involving radar, sonar ilarly, as with the pressure hydrophone, MVDR,
and seismic sensing. The traditional Delay-And- MUSIC, sparsity-based methods can be applied
Sum (DAS) method is the most basic approach in a vector hydrophone. Due to the noise of each
to estimate the DOA of the targets; however the channel being independent, the cross covariance
DAS method is limited by the Rayleigh limit, so it matrix is not affected by the noise, and the vector
suffers from the low resolution and high sidelobe algorithms are shown to outperform the original
level. In recent decades, many advanced techniques method.
such as MVDR and MUSIC for localization have According to the relation of acoustic pres-
achieved superresolution, but these methods can- sure and particle velocity, we propose an iterative
not deal with the related sources, and need a large adaptive algorithm based on the cross covariance
number of snapshots. But in a real situation, these matrix of acoustic pressure and particle velocity.
demands always cannot be satisfied; for example, This article is organized as follows. In section 2, we
when the targets are maneuvered, the available describe the mathematical model for DOA estima-
number of snapshots is low; when we need locate tion and the measurement of vector hydrophone.
the targets in the shallow sea, because of the multi- In section 3, we state the original IAA and PVIAA.
path effect, there will be some coherent acoustic In section 4, we give some numerical simulations
sources. Many extensions to these algorithms have and conclude the paper in section 5.
been proposed, like the spatial smoothing algo-
rithm and APES, etc.
Recently, the sparsity-based method has been
2 MATHEMATICAL MODEL
applied in DOA estimation widely; this method
has a very high resolution, and can deal with a
2.1 Direction of arrival problem
few snapshots, but there will be a bias of estima-
tions when the sources are spaced closely [1], and it The goal of source localization is the estimation
requires large computation times. Iterative Adap- the DOA of sources based on the data received by
tive Algorithm (IAA) is another method which an array consisting of a number of sensors whose
can deal with a few snapshots, and the estimation positions are known exactly. Under the farfield
is accurate [2]; its resolution is the same as MVDR assumption, K narrow band signals at location
when the number of snapshots is large enough. { 1,θ 2 ,...,θ K } impinging on a linear uniform array
265

with M sensors, the number of snapshots is N, the R pv {y p ( n )yvH ( n )} (8)
received data can be represented as:
y( ) As( ) V( ), n = 1, 2, ..., N (1) Using (6), (7) and the independence of noise
and signals, (8) can be written as:
where As(n) are signals of K sources, V(( ) ∈ M ×1
) a( 2 ), ..., a( K )] ∈ M × K is the
is noise, A [a(θ1 ), R pv E{As( n )s H ( n )AvH } {Vp ( n )VvH ( n )} (9)
array manifold matrix; if we treat the first sensor
as reference, the steering vector is: Because the noise from different channel is
independent, so the cross covariance matrix is not
j 2π d j 2π 2 d j 2π Md T affected by the noise:
a( ) = ⎡ − λ
i (θ )
sin(
λ
sin(
i ( ) −
λ
sin(θ )⎤
⎣⎢1, e , e , ..., e ⎦⎥ E{ p ( n ) v ( n )} =
H
0
(10)
(2) H H
R pv E{ ( n) ( n) v }
2.2 Measurement model of vector hydrophone

A vector hydrophone has four channels: acous- 3 IAA BASED ON THE CROSS
tic pressure and all three components of acoustic COVARIANCE MATRIX
particle velocity, according to the acoustic theory,
under the far field assumption, the relationship of 3.1 The original Iterative Adaptive Algorithm
acoustic pressure and particle velocity can be rep-
resented as: Iterative Adaptive Algorithm (IAA) is a method—
based Weighted Least Squares (WLS) estimation;
p( r,t ) it estimates the signal from all DOAs, and the esti-
v( r, t ) = − u (3) mated value was updating through the iterative
ρ0 c method.
When the algorithm estimates the signal from
where u = [cos θ cosψ , sinθ cosψ , sinψ ] , v( r, t )
T
θ j , the cost function of WLS is:
and p( t ) are acoustic pressure and particle veloc-
ity, ρ0 is the density of medium, c is the acoustic N
2
velocity, so ρ0c is a constant. θ , ψ are the azimuth ∑ y( ) j( )aa(( j )
Q−1 ( j )
(11)
and elevation of source respectively, if we only n =1
consider the X-Y plane, u = [cos θ , sin i θ ]T , and
where x Q 1 x H Q−1x , Q−1( j ) is the noise covari-
2
when there are K signals impinging the array, the
receive data of reference sensor is [4]: ance matrix:
⎡ yp ( n) ⎤ K ⎡v p ( n ) ⎤ Q 1( j ) R− j a( j )a
H
( j) (12)
⎢ y ( n)⎥ = ⎡1 ⎤ s ( n ) + ⎢v ( n ) ⎥
⎢ yvx ( n ) ⎥ k∑ ⎢u ⎥ k (4)
=1 ⎣ k ⎦
⎢vvx ( n ) ⎥
⎣ vy ⎦ ⎣ vy
v ⎦ where R is the data covariance matrix, Pj is the signal
power at angle θ j , s j ( n ) is the signal waveform that
can be estimated by solving the cost function (11):
where y p ( n ) , yvx ( n ) , yvy ( n ) are acoustic pressure
and particle velocities of X and Y velocity chan-
nels respectively, if we combine the X and Y chan- a H ( j )Q−1( j )y( n )
s j ( n ) = (13)
nels, we can get the analytical velocity: a H ( j )Q−1( j )a( j )
yvx ( n ) = e − jθ y p ( n ) + nv
yv ( n ) = yvy ( n ) − jy (5)
Using the matrix inversion lemma, (13) can be
written as:
Just as in the subsection A, the pressure and
velocity can be represented as: a H ( j )R −1y( n )
s j ( n ) = (14)
yp( ) As( ) Vp ( n ), n = 1, 2, ..., N (6) a H ( j )R −1a( j )
yv ( ) Av s( ) Vv ( n ), n = 1, 2, ..., N (7)
And then Pj can be calculated as:
jθ jθ − jθ K
where Av [ a(θ1 ), e a( 2 ), , a( K )]. 1 N 2
Then we can define the cross covariance matrix of Pj = ∑ s j ( n ) (15)
acoustic pressure and particle velocity: N n =1
266
CH55_58.indd 266 3/20/2015 6:23:35 PM

After estimating the signals at all angles on the 3.2 IAA Based on the cross covariance matrix
scanning grids, we update the covariance matrix
The IAA, based on the cross covariance matrix
by:
(PVIAA) replaces R by R pv which is calculated by
the product of the estimations of acoustic pressure
P = diag( P ) (16) and particle velocity, the PVIAA algorithm is sum-
R H
APA (17) marized in Table 2.
Where p j ( n ) , v j ( n ) are the estimations of acous-
where A is different with A, it contains the steer- tic pressure and particle velocity respectively, Pj is
ing vector at each angle on the scanning grid. The the acoustic energy flow at the angle θ j , we calcu-
covariance matrix is fed into the next iterative pro- late R pv by:
cedure; the algorithm is summarized in Table 1.
In the first iteration, the initial R is set to iden- R pv H = Adiag{[ , , ..., ]T }A H
APA (18)
1 2 NK
tity matrix and the WLS is reduced to LS—this
iteration is the same as DAS. The empirical expe- Because the noises from pressure channels and
rience is that IAA does not provide significant velocity channels are independent, the cross cov-
improvements in performance after about 15 iter- ariance matrix can inhibit the affect of noise.
ations [5].
4 NUMERICAL EXAMPLE
Table 1. The IAA Algorithm.
In this section, we compare the PVIAA with the
Initial: R = I original IAA and L1_SVD algorithm, and analyze
Repeat the affect of the number of snapshots, SNR and
For j 1 2 N
NK correlation of sources.
H −1
a ( j )R y( n )
s j ( n ) = H −1
,n 1, 2, ,N
a ( j )R a ( j)
4.1 Different number of snapshots
1 N We consider a uniform linear array with
Pj = ∑ s j ( n)
2
N
M = 16 sensors and half-wavelength spacing, and
n =1
three uncorrelated sources at 60°, 82° and 90°,
End SNR is set to 10dB, the sparsity parameter p = 2,
P = diag ([ P , P , ..., P H;
T
1 2 NK ] ); R APA the scanning grid is from 0° to 180°, the scanning
step is set to 1°. Figure 1 shows the estimations of
Until (convergence)
DOA of three algorithms in different number of
snapshots.
Figure 1 shows that IAA and PVIAA have
Table 2. The PVIAA algorithm. similar results when N = 1, but with the increas-
ing of N the resolution of PVIAA is better that
IAA, and the L1_SVD encounters location bias
Initial: R pv = I
problem.
Repeat
For j 1 2 N
NK
H −1 4.2 Coherent sources
a ( j ) R pv y p (n)
p j ( n ) = H −1
,n 1, 2, ,N We compare the estimation of three coherent
a ( j ) R pv a ( j)
sources with three unrelated sources, and N = 100,
− jθ j H −1
SNR = 0 dB.
e a ( j ) R pv yv ( n ) Figure 2 shows that the IAA and L1_SVD both
v j ( n ) = H −1
,n 1, 2, ,N
a ( j) pv ( j)
have the estimation bias problem, PVIAA can get
the accurate results.
N
1
Pj =
N
∑ p j ( n)v*j ( n) 4.3 RMSE approximation
n =1
End To compare the accuracy of estimations and stabil-

P = diag ( ); R pv
H;
APA
ity of three algorithms, Figure 3 verifies the RMSE
of different algorithms; the sources are at 82.51°
Until (convergence) and 90.51°; the results are obtained by 100 Monte
267

Figure 1. The results of three algorithm in different number of snapshots.
Figure 2. The results in different correlated conditions.
Carlo simulations in each SNR, RMSE is calcu-

lated by:
Mon 2
1
RMSE = ∑ ∑ ( j −
2 × Mon i =1 j =1
j)
2
(19)
where Mon is the number of Monte Carlo simula-

tions, we can insight from Figure 3 that PVIAA
has a better RMSE in different SNR, so PVIAA is
Figure 3. RMSE of different algorithm. more accurate and more robust.
268

5 CONCLUSION [2] Yardibi, T., et al., Source Localization and Sensing:
A Nonparametric Iterative Adaptive Approach
This paper has presented a novel IAA based on Based on Weighted Least Squares. Aerospace and
the cross covariance matrix of acoustic pressure Electronic Systems, IEEE Transactions on, 2010.
46(1): p. 425–443.
and particle velocity. The algorithm is able to work [3] Pannert, W., Spatial smoothing for localized cor-
under severe snapshot limitations and for uncorrelated sources—Its effect on different localization
related, partially correlated, and coherent sources, methods in the nearfield. Applied Acoustics, 2011.
can be applied to locate maneuvering target in 72(11): p. 873–883.
shallow water. [4] Hawkes, M. and A. Nehorai, Acoustic vector-sensor
beamforming and Capon direction estimation. Signal
Processing, IEEE Transactions on, 1998. 46(9): p.
REFERENCES 2291–2304.
[5] Stoica, P., L. Jian and L. Jun, Missing Data Recovery
[1] Malioutov, D., M. Cetin and A. Willsky, A sparse sig- Via a Nonparametric Iterative Adaptive Approach.
nal reconstruction perspective for source localization Signal Processing Letters, IEEE, 2009. 16(4):
with sensor arrays. Signal Processing, IEEE Transac- p. 241–244.
tions on, 2005. 53(8): p. 3010–3022.
269

A method to establish a continuous operational reference station

in urban districts
S.B. Wang, X.J. Du, H.J. Li & W.P. Xu

Beijing Institute of Technology, Beijing, China
ABSTRACT: With the development of GPS, CORS (Continuous Operational Reference System) has
played an important role in application areas in cities. Setting good reference stations that can supply
observation data of high quality is very difficult with high buildings and electromagnetic interference
sources standing nearby. To solve the problem, a method to establsihreference stations as well as a way,
based on observation data collected, to monitor the station are proposed in this paper.
Keywords: GPS; CORS; reference station; observation data; urban district
1 INTRODUCTION specification has been published to establish the

basic requirements for setting a reference station:
GPS technology is becoming more and more impor-
a. Observation environment’s requirement
tant in urban surveys with its fast development.
200 meters or more away from the buildings
Setting Continuous Operational Reference System
and objects that can cause a multi-path effect
with the technology of network RTK (Real Time
or electromagnetic interference; satellite visible
Kinematic) in urban districts has become the hot
angle must be more than ten degrees.
topic in GPS application area. The core concept
b. Geological condition
of the CORS is the observation data supplied by
Stations belonging to the National reference
the reference station, for which reason building a
station should be set on the stable ground,
station that can supply data of high quality is very
away from the district that is unstable or easily
important. In urban districts, satellite signals will
drowned by the rainwater. Regional station can
be kept out or refracted by tall buildings. What’s
be set depending on its environment condition.
more, the radio station and cell tower will be
c. Maintenance requirement
electromagnetic interference sources for the satel-
Network supplied for transporting observa-
lite signals, which will make the station unable to
tion data; stable and reliable power to keep the
receive complete and correct information from the
station running continuously; convenient in
satellite, resulting in bad observation data.
transportation.
In this paper, a method to set reference station
The standard above is not specific enough to
in urban districts is proposed and indicators are
guide an engineer to complete the station, for
listed to assess whether the position selected is suit-
which reason, on the basis of the specification,
able for an antenna.
a more specific way is proposed below.
This paper consists of three parts. In the first part
the method is proposed, and then the indicators for
the observation data are listed to test whether the 2.2 Procedures to set a station
point selected is suitable to build an antenna, in
the last segment an example is expressed to verify 1. Selecting proper districts to make the reference
the method proposed useful and practical. net a good geometrical configuration
Reference stations have an effective range of fifty
kilometers, depending on which we can choose
2 SELECTING PROCEDURES
three or four districts. The districts selected
AND ASSESSMENT
must be in good geometry (geographic????)
configuration. Now the main network, RTK
2.1 National specification
Technologies, are VRS (Virtual Reference
The global navigation satellite system continuously Station), MAC (Master-Auxiliary Concept), CBI
operating reference station network construction (Combined Bias Interpolation), when supplying
271

observation data for rover receiver, all this three where ρ1 and ρ2 represent pseudo-range of L1 and
algorithms need data that comes from more than L2 respectively, Φ1 and Φ2 represent carrier-phase
one station. So a good geometry configuration of L1 and L2. In addition
will make it possible for rovers to get data from
more reference stations, and it will enhance the f1 2
performance of the rover receiver as well. α= (3)
f2
2. Select the antenna point
Make a filed research on the districts selected
in the last step to make sure that, there are no IGS’s (International GPS Service) data analysis
buildings tall enough to shield the GPS signals shows that, for multi-path error, two third IGS’s ref-
and also that there is no radio station and cell erence stations’ MP1 is lower than 0.5, while MP2
tower that can affect the GPS signal. It is bet- lower than 0.75. We can use this as a criterion.
ter to collect some photos: they may be needed Cycle slip analysis: Cycle slips only emerge when
when analyzing. Make sure also that there is sta- the PLL (Phase Locking Loop) failed to track the
ble and reliable power supply to keep the station signal. The slip is counted according to the iono-
running continuously. sphere residual error; the calculating formulae is
3. Collect and process observation data shown below:
It is the most important step in the entire excer-
) j −1 ⎤⎦ / (t j − t j )
1 ⎡
cise. This step will decide whether the district
selected will be a good point for a station. In this
IOD
D1
α −1⎣
( 1 ) (
2 j 1
step we should collect observation data from the (4)

antenna founded in the last step; this data must
α ⎡
be able to reflect the satellite signals completely. IOD
D2
α −1⎣
( 1 ) (
2 j ) j −1 ⎤⎦ / (t j − t j 1 )
Consider the situation that the station runs
continuously, the ionosphere error and multi- (5)
path error change with the satellite elevation,
satellite position, ionosphere density periodi- tj means an epoch, IOD1 and IOD2 are the flags,
cally, and the GPS satellites’ period of revolu- when the flags are higher than the threshold value
tion is 11 hours and 58 minutes, while the earth’s the slip number will be added.
rotation is repeated every 24 hours. So the satel- The analysis result given by TEQC will intro-
lite distribution will repeat every 23 hours and duce a parameter o/slps, called ratio of the obser-
56 minutes. And one day’s observation will be vation and slip to show the cycle slip, while we use
good enough to evaluate the environment. another parameter to describe it.
After collecting the data, process it and ana-
lyse the result to draw a conclusion. 1000
CSR = (6)
4. Data analyse o/slps
The quality of the station’s observation data is
relevant to the multi-path error, cycle slip, integ- More than half of the IGS station’s CSR is no
rity of the data, validity and carrier-to-noise more than 5, which can be used as a criterion to
ratio. TEQC that has been developed by the evaluate the station selected.
UNAVCO Facility is used to analyse the obser- Observation integrity: The actual epochs
vation data. received divided by theory epochs makes the integ-
rity, and epochs can be calculated by the satellites
2.3 Criterions to set a station available plus the time they remain. And the integ-
rity value must be higher than 95%.
Multi-path error: Multi-path error is related
Observation validity: When an observation
to the environment of the station and the height
contains the information of C/A code, P code, L1
of the antenna. After analyzing the observation
phase, L2 phase and C/N, the data is said to be
data, the TEQC software will give out two parame-
validity, otherwise it is invalid. The value of valid-
ters MP1 and MP2 that are assumed as the compre-
ity is expressed by the observation completed and
hensive index the multi-path effect on pseudo-range
observation deleted. If the reference station can
and phase in L1 and L2 respectively:
run stable continuously, its observation invalidity
rate must be lower than 5%.
⎡ 2 ⎤ ⎡ 2 ⎤
P1 = ρ1 − ⎢1 +
MP ⎥ * Φ1 + ⎢ α − 1 ⎥ * Φ 2 (1) C/N: Carrier to Noise Ratio (C/N) is an impor-
⎣ α − 1⎦ ⎣ ⎦ tant indicator for the environment evaluation.
According to the Interface Control Document
⎡ 2α ⎤ ⎡ 2α ⎤ (ICD), GPS signal’s power is said to be −130 dbm,
P2 = ρ2 − ⎢
MP ⎥ * Φ1 + ⎢ α − 1 − 1⎥ * Φ 2 (2)
⎣ α − 1 ⎦ ⎣ ⎦ while the noise power is about −204 dbm. So the
272

ideal C/N is 44, after considering the loss inside
receiver, 40 is good enough for a receiver’s output.
3 THE ANALYSIS OF THE EXAMPLE
After detailed research, the roof of the China

Transportation Telecommunication building is
selected to be the test point. For there are no tall
buildings around the roof area, making it easy to
receive satellite signals. The reference station is
immune to electromagnetic interference as there
are no no cell and radio towers nearby. Besides,
stable power and convenient traffic condition make
the station easy to maintain. Figure 3. Analysis result of the MP2.
After the investigation and survey in this envi-
ronment, one day’s RINEX ephemeris is collected
which is then analysed by the TEQC software; the
result is shown in the picture below.
3.1 Analysis on multi-path error

Figure 1 shows that the MP1 and MP2 are 0.48 and
0.33 respectively, Figure 2 and Figure 3 below are
the multi-path error in some epochs, which show
that the multi-path error is not more than 2 meters
in most time.
After being compared with the IGS results, the
selected point’s multi-path error is good enough.
3.2 Analysis on cycle slip

Figure 4 and Figure 5 are some epochs’ iono- Figure 4. Analysis result of the ionosphere error.
sphere error and its changing ratio; the slips on
Figure 1. Sum analysis result of the RINEX data given

by TEQC.
Figure 5. Analysis result of the ionosphere error’s

changing ratio.
the second figure and the peak on the first figure

mean a cycle slip.
From Figure 2, it can be seen that the o/slps value
is 23583, which will be 0.04 after being changed to
CSR. Compared with the IGS data, o/slps do not
Figure 2. Analysis result of the MP1. happen very often.
273

3.3 Analysis on integrity 3.5 Analysis on C/N
The Figure 6 shows the analysis results on integrity, From the Figure 8, it is easy to find that most
and after calculation the result is 99.97%, which is epochs’ C/N is higher than 44, which means that
perfect for a reference station. the point selected for antenna is perfect to set up a
reference station.
3.4 Analysis on observation validity
From the Figure 7, it can be seen that the validity is 4 CONCLUSION
100%, which is perfect!
A method to set reference station in urban district
is proposed, and an example is given to verify the
method. In the analysis result of the example, the
multi-path error, cycle slip, observation integrity,
validity and C/N are qualified to be a reference
Figure 6. Result about the integrity by TEQC. station. So the conclusion can be drawn that the
method is useful and practical.
REFERENCES
Figure 7. Result about the validity by TEQC. [1] Guan Jian An 2010. Application and Certain Techni-
cal Question Research of Precise Positioning Service
Based on CORS.
[2] Li Jun & Wang Jiye 2006. Quality Checking and
Analysis on GPS Data in Northeast Asia. Geomatics
and Information Science of Wuhan University
2006(3):209–212.
[3] Liu WenJian & Yang Li 2008, Research on CORS
Reference Station Location. Geospatial Information
2008(6):6.
[4] Zhan Fan 2009. Distribution Design and Experi-
ments of FJCORS Reference Station. Geospatial
Information 2009(7):74–76.
[5] Zhao Guo Qiang & Sun HanRong 2009. Quality
checking and Analysis for Crustal Movement Obser-
vation Network of China. Urban Geotechnical Inves-
tigation & Surveying 2009(3):73–75.
Figure 8. C/N of some satellites in some epochs.
274

The research on the leak repairing method of the recoil mechanism
N. Li, W. Jiang, H.P. Guo, S. Wang & L.M. Chen

Wuhan Mechanical Technology College, Wuhan, Hubei Province, China
ABSTRACT: The recoil mechanism is the “heart”, and it is the vital part, of the artillery. The leak-
age of gas and liquid of the recoil mechanism is researched in the paper. In particular research in
this paper focuses on the liquid leakage of the recoil mechanism wall. The paper also studies the
leak repairing method I which is significant for recovering the fighting force of the equipment
quickly.
Keywords: the recoil mechanism; the leakage of gas and liquid; the leak repairing
1 INTRODUCTION 2.1 The copper obturator ring

of the thread joints is hardened
The recoil mechanism is the “heart”, and it is the
vital part of the artillery; and the 60%∼70% of the
faults are about the recoil mechanism. The recoil 2.2 Failure cause: The pressure control mainly
mechanism consists of the recoil brake, includ- in the maintenance is not in sync and the
ing the recoil fluid and the counter recoil, which copper obturator ring is hardened because of
also includes the recoil fluid and the high pressure over-use in high pressure load; this can cause
gas. The main technical requirement of the recoil deformation, making the copper obturator
mechanism are special liquid and gas. There should ring lose its sealant quality, resulting
be no leakage whatsoever of either. Also the seal- in leakage. The rubber element loses its
ing element should be reliable. However, in the elasticity, and the surface is sticky or hard and
shooting, the recoil mechanism works under high brittle, and the cracks and exfoliation arises
pressure in an environment of high temperature.
Failure cause: The rubber element—for example
Leakage of gas and liquid is the most important
the leather ring, the leather and so on is ageing,
and the most common fault. According to statis-
and the recoil mechanism is closed by the rubber
tics, the number of the faults for the entire artillery
element; if the rubber element is contaminated by
is about 50%, and seriously effects combat readi-
the acid, alkali, oil and other corrosive substances
ness and mission success. It results in the incon-
in the repair process, its swells and hardens, which
venience of the use and support of the equipment
reduces its strength and elasticity, reluting in in the
and the personnel training—thus affecting com-
leakage of the recoil mechanism.
bat effectiveness of the armed forces. Therefore,
the research on the leak repairing method of the
recoil mechanism is of great importance and 2.3 The conical surface and the room of the
significance to the Repair guarantee of the artil- opening and closing lever makes it loose
lery and the effectiveness in combat of the armed Failure cause: Mainly by the improper operation,
forces. the conical surface and the room of the opening
and closing lever are damaged, and thereby the
conical surface and the room of the opening and
2 THE FAULT PHENOMENON closing lever becomes loose resulting in the leakage
AND REASON OF THE LEAKAGE of gas and liquid.
OF GAS AND LIQUID OF THE RECOIL
MECHANISM
2.4 Acid free welding breaking
The faults of the leakage of gas and liquid of the Failure cause: Poor protection of the acid-free
recoil mechanism are mainly due to the following weld in the use of the process, and the solder
reasons. joints being subjected to the physical impact or the
275

chemical corrosion, result in the leakage of gas and out by fire extinguishers,: it also works well when
liquid from the thread junction. the tube wall corrosion of the leakage point is not
serious or the corrosion of the tube wall can be sus-
tained with the strength generated by the welding:
2.5 The liquid leakage of the recoil
this, of course, does not apply to a flammable
mechanism wall
and combustible situation. The welding mending
Failure cause: The recoil mechanism wall is dam- method is used in the case of direct welding or the
aged mainly by shrapnel in the battlefield, resulting Pasted plate welding to the leak treatment generally.
in the occurrence of the leakage of gas and liquid. The method is mainly used in weld inclusions and
abscess or stress crack micro leakage locations.
When being welded the copper hammer beats the
3 THE CONVENTIONAL welding meat to make the leak shrink before weld-
METHODS OF THE TRAP ing, and the welding effect is more obvious.
The leakage of gas and liquid of the recoil mecha-

nism can be eliminated by replacing the damaged 3.2 The capping remedy method
components such as—the copper obturator ring As shown in Figure 2, the capping remedy method
which has hardened, the rubber component which entails the top pressure support or the fixed screw,
has lost its effectiveness, the damaged conical sur- being set in the tube wall leakage positions; with
face of the opening and closing lever and so on. But this method t the top pressure sealing gasket seals
if the recoil mechanism wall is damaged, and there the leakage [2]. It is applicable in the case of tube
are no spare parts being used for their replacement, wall leakage, and when the leakage pressure is not
how does one solve the problem? The several trap- great, and also when hot welding can not be taken
ping methods of the recoil mechanism wall are. with pressure. The pressure tool used is based on
the actual shape and the size of the pressure tool
3.1 The welding mending method leak. This method is mainly applied to the corro-
sion leak site which is easy to operate. Firstly the
As shown in Figure 1, the welding mending method leakage is stopped by using a filler, the wedge, the
entails the welding of the point of leakage with the lead, the strong magnet plugging and so on, then
electrode or the iron directly to ensure the leaking the top pressing tool is set, then the sealing pad
stops [1]. This method is suitable for micro seepage section is installed, and lastly the pressing mecha-
or small quantities of leakage and the pressure is big nism is used to plug the leak.
or can be decreased: the welding ignition can be put
3.3 The hoop trap method

As shown in Figure 3, the hoop trap method is
the method in which the leakage is plugged by the
Figure 1. The welding mending method. Figure 2. The capping remedy method.
276

Figure 3. The hoop trap method.
Figure 4. Automatic strapping note glue trap method.

pipe hoop mounted to the tube wall. This is appli-
cable in the case of a tube wall leakage, also when
its leakage pressure is big, and hot welding cannot
be taken with pressure. According to the leakage
of the tube wall dimensions, the appropriate seal-
ing hoop has to be made for the leak treatment.
The method is mainly applied in the case of an
inconvenient leakage point or if it has an irregular
shape.
3.4 The fixture note glue trap method

As shown in Figure 4 and Figure 5, the principle
entails that the sealing structure is established in
Figure 5. The structure of note glue nut.
the dynamic operation of the medium and real-
ised by the fixture and the sealants [3]. The fix-
ture is the important tool of the fixture note glue
traps technique, and must meet the necessary the leakage quantity is not great, or the internal
requirements which are: (1) Sufficient mechanical pressure of the media is not too much, or when the
strength and stiffness. (2) Certain amount of space leakage of the tube wall lacks a certain thickness
to facilitate the sealant being infused, and the new and so on. The force of the hammer in use to pre-
sealing structure formed. (3) The number of injec- vent leaks should not be to hard else it will create
tion holes which are appropriate and reasonably vibrations.
structured. (4) There must be appropriate clear-
ance between both the original leak and the fixture, 3.4.2 The repair technique of the cold
and the running glue being used. Application of welding stick
the fixture note glue trap method is most widely The repair technique of the cold welding stick is
used: it is suitable to the medium of raw gas, puri- the method by which the leak point is plugged
fied gas, steam, air, acid gas factory, industrial by the adhesive curing characteristics of the spe-
water, rich solution and so on. This method is cial material. The features of this method include:
also the future development direction of the pres- convenient construction without fire, good plastic-
sure sealing technology, and many enterprises and ity, strong adaptability, high strength after curing,
research institutions are involved in its research excellent durability and so on [4].
and development. When repairs are done by welding, it needs at
least two people. Firstly a piece is cut to the size of
3.4.1 The caulking trap method the damaged part from the cold welding mud rod,
The caulking trap method is mainly suitable for then the piece is kneaded and extruded repeatedly,
defects such as the sand hole and the small hole and mixed together to form a kind of rubber mud.
and so on. The hammer, the punch and other tools Then it is flapped repeatedly, and shaped like the
beat the leak around the body, and the tube wall of damaged part: it has a thickness of 5 mm which is
the metal takes the place of the plastic deformation then finally pressed into the leak hole. The second
by the impact force, and the leak is stopped with person in this method is needed for grinding the
the plugging method. The method is suitable when cold welding mud rod with the hacksaw, after which
277

he removes residual impurities on the surface using saves large numbers of the maintenance resources,
a clean cloth. The glass aluminum tape being cut is and is significant for recovering the fighting force
stuck on the rubber mud and the excess cut away. of the equipment quickly, and also improves the
Again two people are needed in the final stages fighting capacity of the military.
in which one person presses the rubber mud and
the other daubs sealant in the corresponding edge,
2 minutes later, using the hand along the edge of REFERENCES
the sealant to ensure there is no feeling of mucos-
ity; it is reinforced using the cold sweat reinforcing [1] Hu Yi-wei. Note the Agent Type Technique with
agent, before the entire operation is completed. Pressure Seal [M]. Beijing, China Machine Press,
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4 CONCLUSION Technique [J]. Shanghai Chemical Industry, 1999,
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[3] Li Xin, Yang Mei. The Research on the Object-
This paper introduces several recoil mechanism oriented Design Method of the Pressure Seal Clamp
trap methods, and through the discussion and the [J] Lubrication Engineering, 2010, 35(8).
research, suggests the method that is feasible and [4] Huang Zhi-ming. The Key Technique of the Pressure
effective for the recoil mechanism repair work; this Seal [J]. Fujian Chemical Industry, 2003(3).
278

Image retrieval research based on feature points and affine invariant

moments
B.Q. He & Z.M. Wang

Nanchang Institute of Technology, Nanchang, China
ABSTRACT: Image retrieval is the latest rising technology thanks to the great development of com-
puter and digital information processing technology. But, how to search specific kind of images from the
multitude of resources now available is the key technology. Now, retrieval, based on the multi-data is a hot
and complex research point. In this paper, a new image retrieval algorithm is proposed, which is based on
the study of feature points and affine invariant features. This algorithm uses both local features and global
features, which can effectively overcome image translation, rotation, scaling, and affine change, and also
has higher retrieval precision and efficiency compared to traditional algorithms.
Keywords: image retrieval; affine invariant feature; spatial feature point; retrieval precision
1 INTRODUCTION the matching of Harris-Laplace points, then one

uses the Euclidean distance to complete the MSA’s
The earlier image retrieval algorithm is mainly matching. Finally, one takes the weighted formula
based on text retrieval, and later, on color, texture, to finish image retrieval.
shape and content. Because of the rich image con-
tent, a simple algorithm, without manual interven-
tion and content-based image retrieval technology, 3 ALGORITHM PROCESS
is widely used presently in the image field. It can be
divided into different ways, based on the retrieval Image retrieval process includes pre-treatment, fea-
method, such as text retrieval [1–2], texture feature ture extraction, description and matching.
retrieval [3–4], and shape retrieval [5–6]. But by
only using one kind of feature for image retrieval,
one discovers the precision and efficiency are not
ideal; so the existing algorithms are mostly based
on feature’s fusion.
After researching the existing algorithms at
home and abroad, this paper proposed a new image
retrieval method, which is based on the fusion of
the feature points and invariant moments.
2 ALGORITHM DESIGN
In this paper the algorithm implementation proc-

ess is as shown in Figure 1.
First, the image should be pre-processed—in-
cluding filtering and graying. Then one extracts
the Harris-Laplace corners [8] and MSA moments
[9]. After feature extraction, the next step is fea-
ture matching. Annular histogram [10] is a good
method of describing corners, and the Delaunay
Triangulation net [11] is also a good method to
describe corners. In this paper, through the combi-
nation of annular histogram and DT net to realise Figure 1. Algorithm flowsheet.
279

3.1 Image pre-processing
Due to the fact that a colour image has large
amounts of data and noise, it is not easy to han-
dle, so the first step is graying. This paper has
used the weighted formula in article [12] for gray-
ing, and then used 3 × 3 median filtering template
to denoise. The pre-treatment result is shown in
Figure 2.
3.2 Feature extraction

In this study, the extracted features include Figure 3. Harris-Laplace corners.
Harris-Laplace corners and MSA affine invariant
moments, by adopting the algorithms of reference
literature [8] and [9].
Figure 3 is the extraction result of Harris-Laplace
3.2.1 Harris-Laplace corner extraction corners.
The process of extracting Harris-Laplace corners
is a complex process. Firstly, use the formula (1) to 3.2.2 MSA feature extraction
calculate Gauss scale space construction of differ- The MSA feature has good translation, rotation,
ent scale factors: scale invariance and excellent full affine invariance.
Literature [9] introduced the MSA affine invari-
L ( x, σ n ) I (x ) * G ( n) (1) ant feature extraction algorithm. In the image any
fourth points that can be expressed by three arbi-
Then use formula (2) to calculate Harris second- trary points are not collinear, as formula (4):
order matrix for each layer of scale space.
Uαβ X 0 + α X1 X 2 β (X 2 X0 ) (4)
( μx ,σ I , D ) σ DG (
2
I)
where (α , β ) is coefficients, X 0 is the origin point.
⎡L2x ( ,σ D ) y( ,⎤ D)
×⎢
x
⎥ (2) Define f ′ X ′ ) = f TX
T t ), Uαβ can be
⎢Lx Ly ( ,σ D ) 2 ⎥
y( , D ) ⎦
expressed as formula (5):
⎣
X 0 + α TX
TUαβ = TX X1 TX
X0 β (TX 2 − TX
X 0 ) (5)
where L2x Lx × Lx L2y = Ly Ly , Lx Ly = Lx Ly ,
σD σI.
Next, calculate the Harris corner response in The equation stays the same in spite of random
scale-space image: affine transformation; therefore the coefficient was
defined as MSA affine invariant moments.
R det( μ ( x,σ l D )))) − k ttrace 2 ( μ ( x,σ l , D )) (3)
3.3 Feature description
where k = 0.04 ~ 0.06 . 3.3.1 Circular histogram
In each layer of scale image, if the point corner Circular histogram makes the image divide into a
response value is greater than the other 8 points’ plurality of rings; then count the number of corner
value of the 3*3 window and is greater than a points in each ring to describe the corner feature.
certain threshold, it is a Harris-Laplace corner. Suppose f x, y ) is one digital image expression,
( xi , yi ) is the centroid for all the image pixels in the
ring I, and can be expressed as:
1 1
xi =
Ai
∑ x yi =
Ai
∑ y (6)
( x , y )∈Ai y ∈Ai
( x y)
After normalisation, the annular histogram has

translation, rotation and scale invariance. As you
can see in Figure 4, the number of corners in each
Figure 2. Pretreatment. ring will stay the same.
280

distance [16] and others. Euclidean distance is
one most common used algorithm; because of
simple calculation, easy implement, and high effi-
ciency, it is widely used in feature matching. This
paper uses Euclidean distance for matching MSA
feature:
n
Sf ∑ ( M i − M j )2 (8)
i =1
In the formula Mi and M j are the MSA features

extracted from different images.
Figure 4. Delaunay net.
Table 1. Flowers’ retrieval result.
Figure 5. DT net description.
3.3.2 Delaunay triangulation

Harris-Laplace corner’s distribution is complex,
which can not be directly used for information
description, therefore one needs a specific method.
DT network is a collection of triangular series but
with no overlap, and the circumcircle of these tri- Table 2. Elephants’ retrieval result.
angles do not contain any other point of the plane.
3.4 Feature matching

Because this paper has used a variety of matching
methods, it needs to use different similarity meas-
ures [13] for feature matching, including annular
histogram, DT net and MSA feature.
This paper uses the triangular gap evaluation
method presented by literature [11]. Suppose there
are two triangles ABC and A′ B ′C ′, then the simi-
larity of two angles A and A′ is:
⎛π
Sa = cos3
⎝2
( − d a b )⎞⎠ (7)
1
− ( a b )2
(a
, σ = aP / 3 , P = 50%.
2
where d (a, b ) e 2
Common distance methods include Euclid-
ean distance [14], cosine value [15], Mahalanobis
281

Table 3. The contrast of three methods.
Rn (%) Pn (%) T (s)
Images M1 M2 M3 M1 M2 M3 M1 M2 M3
Face 99.52 98.47 79.08 97.26 97.32 65.24 1.0345 0.9417 1.2350
Trademark 99.75 99.27 75.89 98.38 96.32 64.67 1.0417 0.9546 1.6354
Car 97.51 95.45 58.69 86.04 77.84 41.87 0.9673 0.9048 1.4115
Elephant 98.35 96.28 84.46 90.56 85.76 67.21 0.9773 0.9275 1.4375
Landscape 97.72 92.28 75.18 90.69 85.09 69.53 0.9588 1.0602 1.4579
Flower 98.97 95.10 70.39 93.69 86.30 76.32 1.0270 0.9817 1.4863
*M1, M2, M3 is three different methods.
4 EXPERIMENTS AND RESULTS retrieval algorithm, based on the MSA affine

ANALYSIS invariant features and Harris-Laplace corners.
Through the contrast of retrieval experiments,
In this paper the experimental environment is this algorithm has better comprehensive properties
Windows XP system under the software of Matlab than the histogram and DT net retrieval method,
R2009a, CPU Intel Core 2 Quad 2.66 GHz, 4 GB making up for the deficiencies of only using annu-
memory’s computer. Image database downloaded lar histogram and DT net. The experiments’ result
from the Internet, includes the common charac- shows that this algorithm has a good retrieval
ter, animal, vehicle, trademarks and other images; result on character, animal, trademarks and natu-
this paper used Photoshop to process 20 images, ral scenery images.
and divided them into two groups. The first group
includes 10 images after translation, rotation
and scale changes after treatment- and 90 images
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without processing; the second group includes 10
images after adding noise, distortion and occlu- [1] J.M. Corridoni, A. Del Bimbo, P. Pala. Image
sion: the other 80 images are without processing. retrieval by color semantics [J]. Multimedia Sys-
Then respectively it use this method for image tems, 1999, 7(3): 175–183.
retrieval experiments to carry out on the two [2] Sangoh Jeonga, Chee Sun Wonb, Robert M. Graya.
groups of images. Image retrieval using color histograms generated by
In order to prove this algorithm’s advantage, Gauss mixture vector quantization [J]. Computer
separately use DT net and the annular histogram Vision and Image Understanding, 2004, 94(1–3):
to carry out retrieval experiments on 200 images in 44–46.
this library. Table 1 is the flowers’ retrieval result; [3] Ganar A.N., Nagpur, Jambhulkar S.M.
Enhancement of Image Retrieval by Using Colour,
Table 2 is the elephants’ retrieval result. From the Texture and Shape Features[C]// International Con-
analysis based on experimental results, although ference on Electronic Systems, Signal Processing
the images passed a variety of transformations, and Computing Technologies. Nagpur, India: IEEE
including scale, rotation, occlusion, distortion, Press, 2014: 251–255. [10.1109/ ICESC.2014.48].
and other transformations, the performance of [4] X.Y. Wang, B.B. Zhang, H.Y. Yang. Content-based
this algorithm is better than the other two. image retrieval by integrating color and texture fea-
The evaluation factors of image retrieval algo- tures [J]. Multimedia Tools and Applications, 2014,
rithm include recall rate, precision and retrieval 68(3): 545–569.
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283

Research on Electric Vehicle development in Beijing
L. Zhang, M.Y. Pan, Z.J. Chi & Y.X. Chen

State Grid Beijing Power Research Institute, Beijing, China
X.N. Kang
Huazhong University of Science and Technology, Hubei, China
ABSTRACT: The development of an Electric Vehicle (EV) without exhaust emission is beneficial to
improve serious air pollution in Beijing, as well as meet daily commuting needs of citizens. In order to
rapidly expand personal users, several barriers and countermeasures to EV development are analysed and
proposed. Investigation and survey are implemented to measure customer needs, and recommended EV
and Electric Vehicle Supply Equipment (EVSE) developing models are given. In the end two application
cases about the personal EV promotion project and time-share rent are introduced, and the feasibility of
proposed models is incipiently verified.
Keywords: Electric Vehicle (EV); Electric Vehicle Supply Equipment (EVSE); developing model; barrier
and countermeasure
1 INTRODUCTION hand, few personal EVs are used due to multiple

reasons.
Beijing, also known as Peking, is the capital of This paper focuses on the study of personal EV
the People’s Republic of China and is one of the and EVSE developments in Beijing. Several barri-
most populous cities in the world, with a popula- ers and countermeasures to EV development are
tion of twenty-one millions and motor vehicles of analysed and proposed. According to the investi-
over five million (2014). In recent years, serious gation of EV customer needs, recommended EV
air pollution leading to the photochemical smog is and EVSE developing models are given. At the end
troubling this great capital. Traffic emission con- two application cases are introduced and the feasi-
tributes 22.2% to its air pollution. Motor vehicle bility of proposed models is incipiently verified.
exhaust emission becomes a major ingredient in
the creation of smog in Beijing [1].
Electric Vehicles (EVs) provide a range of 2 BARRIERS AND COUNTERMEASURES
important benefits—from reducing greenhouse gas TO EV DEVELOPMENT
emissions to minimizing dependence on petroleum.
As a result, many municipalities such as Beijing are A series of EV purchase subsidies and tax-free pol-
working toward creating policies and programs that icies have been released in Beijing during the past
encourage EV ownership and usage. The national years. However, the market for personal EVs suf-
and Beijing local governments would subsidize fers from slow market sales growth. The reasons are
maximum 60,000 RMB respectively and exempt varied and complex. The effect factors of personal
the purchase tax to the personal EV buyer [2]. EV development contain (are not limited to) the
The local government also released the “license- performance of the electric vehicle and power bat-
plate lottery” policy to limit purchasing traditional tery, charging convenience, purchase and upkeep
gasoline vehicles. Meanwhile, EV is much easier to costs and business models. A SWOT analysis on
apply for a new license-plate registration. Beijing EV development is shown as Figure 1.
Nowadays, there are 75 charging and battery
swap stations and 2870 Electric Vehicle Supply
2.1 Barriers identification
Equipment (EVSE) outlets in Beijing. These EV
infrastructures mainly provide services for pub- Range anxiety and charging convenience are
lic transportation which include battery electric important factors for the customer to use Battery
buses, taxis and sanitation trucks. On the another Electric Vehicle (BEV). The maximum mileage
285

Table 1. Charging types according to national
standards of China.
Rated Rated
Type voltage (V) current (A)
AC level 1 250/440 16
AC level 2 250/440 32
DC level 1 750 125
DC level 2 750 250
Figure 1. SWOT analysis on Beijing EV development.

Determining payment system for electricity
usage and billing models.
Insurance coverage for EVSE.
for most of the BEVs is between 80 kilometers to
Distance from assigned parking to superior
160 kilometers, especially for Tesla Model S, which
power supply or panel.
is upto 500 kilometers. In order to meet daily com-
Electrical capacity of superior electric source.
muting needs of drivers, it is necessary to develop
Communication scheme in underground park-
a convenient charging network. Customers could
ing area.
charge at home, at the workplace, a public sta-
Subsidy to EV maker or driver.
tion and etc. According to the national standards
of China, the charging types of EVSEs include The resident requires approval from the land-
two AC charging interface ratings and two DC lord or property management of the residence
fast charging interface ratings, as shown in to carry out the installation of EVSE. In most
Table 1 [3–4]. practical cases, Landlords and Homeowners
Actually, it is troublesome for the individual Associations (HOAs) usually reject approv-
customer to install EVSE, because of issues of ing installations and charging at parking places
charging equipment cost, constant parking bay because of the complicated technical aspects—
and available superior power supply. It is the pre- such as details regarding the responsibility for
ferred choice for customer to use an AC charging the safety of electrical equipment and electricity
spot at home or at the work place. Incomplete sta- usage. There is still a general lack of knowledge
tistics indicate that 62.5% of EV customers install about costs related to EVSE installation, elec-
EVSE at home, and most of them live in single- trical capacity, and code compliance, which is a
family houses. It is worth noting that the majority significant hurdle, for parties wishing to install
of Beijing residents live in Multi-Unit Dwellings EVSE in MUDs, to overcome. The statistical data
(MUDs). Compared to single-family homes, it is by a project of EV drive test indicates that 20%
more difficult and uncertain for multi-unit build- of applicants whose home parking bay meets the
ing to install EVSE. conditions of EVSE installation are rejected by
Barriers can involve difficulty and cost for the property management.
different EV customers; however, there are two
main complications: Issues stemming from the
2.2 Proposal countermeasures
involvement of multiple stakeholders (difficult
negotiations), and increased capital costs resulting The research on the existing barriers and policies
from the size of the structure and its electrical sys- urge us to propose new policies to deal with EV
tem (physical limitations). A third complication is charging challenges mentioned above.
the lack of policies designed to encourage property The existing policies and measures in Beijing
management to support home-charging in MUD. include:
Currently, only EV drivers or EV makers are
Subsidising both EV purchasers and EVSE
allowed to obtain the related subsidies, but build-
installation cost.
ing management could play a key role in providing
EVSE manufacturer provide services to solve
EVSE access for residents since they may be able to
installation and negotiation with property man-
achieve economies of scale with multiple installs.
agement or electric power company.
Main barriers that exist for MUD are summa-
The electric power company undertakes obliga-
rized as follows:
tions to the work and cost of capacity increasing
Approval for installation from property manage- and improvement to superior power supply.
ment of residence. Determine reasonable billing models and con-
Pay for charging equipment and installation cost. cessional electricity pricing.
286

The latest policy, to be released soon enacts that range and route is regular within 30 kilometers in
Charge Service Operator (CSO) can get electric- the city center area, and less than 100 kilometers.
ity pricings and service charge from EV custom- Analysis results are shown as Figure 3.
ers. Home-charging will execute the cheap resident Most of users charge the vehicle at home, and
electricity pricing. later charge at the work place. Customers who are
The proposed policies and measures include: unable to install EVSE at home have to charge in
the near by public station. The survey about charg-
Subsidising the property management of resi-
ing places to users is shown as Figure 4.
dence, and encourage landlords wanting to add
Majority of potential purchasers prefer charging
charging as an amenity.
in the public stations according to the analysis of
Develop a guide explaining the variety of
accumulated statistical data. And the first choice is
installation/utilization/cost recovery schemes for
absolutely home-charging at a private parking bay.
EVSE installations.
In a word, charging convenience is the critical factor
Employ an informed mediator to assist with dif-
to consider all the time. The survey to potential pur-
ficult negotiations between residents and prop-
chasers about charging place is shown as Figure 5.
erty management.
Consider expanding and adding flexibility to
pertinent Green Building Code requirements of
EVSEs.
3 CUSTOMER NEEDS
AND RECOMMENDED
DEVELOPING MODELS
3.1 Customer needs

An investigation and survey to EV customers
are implemented to help us confirm their needs
and user experience. Respondents include sixteen Figure 3. Daily driving range to BEV users.
BEV users and one hundred potential purchasers.
Nowadays, most of Beijing EV customers are the
middle-income or high-income groups. They are
“license-plate lottery” rigid demand for the car,
since they need to take kids to school and cannot
get a license-plate of a gasoline motor.
Charging convenience is the primary factor for
potential purchasers to decide whether to buy a
BEV. And purchase price, drive safety and license-
plate lottery are later factors to consider. The sur-
vey result on purchase decision factors is shown as
Figure 2.
BEV users usually make detailed route planning Figure 4. Daily charging places to BEV users.
due to the driving range limitation. Daily driving
Figure 2. Purchase decision factors to potential Figure 5. Expectation charging places to potential
purchasers. purchasers.
287

3.2 Recommended developing models subscription model offers an end-to-end solution
for installation, permitting, maintenance, and
According to the survey results above, some sugges-
repair of the charging equipment as well as unlim-
tions on the public stations are proposed as follow:
ited public charging for a fixed monthly fee [5].
Establish public EVSEs in the supermarkets, Customers are responsible for home electricity use.
shopping malls, theaters, parks and other public Customers can request charging equipment for
places. their home parking bay and access to public charge
Establish ancillary EVSE in the government, points. NRG also collaborates with property own-
state-owned enterprises, institutions and univer- ers or managers to wire and pre-wire parking spaces
sity campus opening to personal EVs. Off-peak in multi-unit dwellings or workplaces for potential
parking at night would increase the use ratio of customers. This subscription model removes the
EVSEs and benefit personal EV customers who upfront cost for the customer, in addition to offer-
live nearby. ing a single point of contact.
The distribution distance of public charging sta- Another business development model is EV
tion should be within three kilometers. More time-share rent such as Zipcar or Car2 go in
AC or DC fast EVSEs should be built in public North America and Europe. Customers no
charging stations, and AC slow EVSEs might be longer suffer the high purchase price of EV, and
built at home. drive and pay conveniently. Compared with the
In order to fast expand EV to personal cus- traditional car rental service, time-share rent has
tomers, convenient home-charging is the most two remarkable characteristics: one is that the
favoured, and public charging is an effective and customer can rent and back the car in any urban
important measure—and then EV time-sharing parking place, and second, use fees are counted
rent is the promising new business model. by minute. It has been a favoured and fashionably
The existing EV development model is shown driving experience for a lot of young people to
in Figure 6. Government gives all the subsidies to rent electric vehicles.
the EV maker to lower the selling price, and a par-
tial subsidy to EV purchaser for the construction
4 APPLICATION CASES IN BEIJING
cost of EVSE. Manufacturers install and maintain
EVSEs, and electric power company takes respon-
4.1 EV drive test project for personal customers
sibility for the EVSE connection to the grid. In
addition, personal EV purchasers can be exempt In order to further improve the quality and user
from the purchase tax. experience of the ActiveE, BMW Group cooper-
A CSO that provides operation service of ated with Beijing Electricity Power Company and
EVSEs is necessary for customers. NRG’s eVgoSM put in place the BMW ActiveE, a purely electri-
cally powered vehicle project in Beijing. Twenty
trial users have been selected from 851 applicants.
The main factors influencing the selection result
include: own a fixed indoor parking place, agree-
ment with property management of residence,
own residential property rights, and are willing to
pay the monthly rent. On the final selection step
for 80 applicants to confirm the EVSE installa-
tion condition, 18.75% of applicants’ parking
places cannot achieve the installation, and 20%
of applicants cannot gain the agreement with
property management of residence. It indicates
Figure 6. The existing EV development model.
that available parking place and agreement with
property management are mainly barriers for the
home-charging installation. The installation proc-
esses of EVSE by all the stakeholders are shown
in Figure 8.
A BEV rent pilot project has been implemented
in Tsinghua Science Park for over a year. The
charging station includes seventeen AC charging
spots and three DC fast charging spots, and six-
teen electrical vehicles for rent. The rent schemes
Figure 7. EV time-share rent in North America and consist of time-share rent and long time rent, as
Europe. shown in Table 2.
288

It shows that a BEV can fully satisfy customers’
daily needs. Because the charging station is built at
the work place, drivers usually use charging spots
in the daytime. Statistical analysis on the use ratio
of charging spots reveals that the annual utiliza-
tion hours of AC spot is 868.7 hours and DC fast
spot is only 138.7 hours. The limited number of
rental EVs result in the low use ratio of charging
equipments. The survey result on requirements of
EV tenants is shown in Table 3.
Figure 8. The installation processes of EVSEEV rent
pilot project.
5 CONCLUSIONS
Table 2. Rent schemes for BEV. Based on investigation and research results, con-
clusions about EV development issues are summa-
Price rised as fellow.
Scheme RMB Beijing is particularly well positioned to be a
leader in fleet transition to EVs. The city has many
Time-share rent
Per two hours 59
densely populated areas and many of the city’s
Per four hours 99 drivers rely on personal vehicles for commutes that
At night hours (18:30–8:30) 99 are within the battery range of EVs currently on
Long time rent
the market. In addition, the region’s poor air qual-
Per one week 999 ity produces a strong incentive to reduce vehicle
Per one month 3999 emissions. More beneficial policies should be pro-
gressively released in future.
EV can meet the demand of daily commute for
office workers or housewives. It is incipiently veri-
Table 3. Requirements of EV tenant.
fied by the user demand investigation and statisti-
Applicants Rental users cal analysis on the practical projects.
Features (N = 150) (N = 20) Available parking place and agreement with
property management are mainly barriers for the
Rental purposes drive to work; home-charging installation. Public charging should
take kid to be rapidly developed, and measures of legislation,
school; financial incentive as well as effective negotiation
interests between stakeholders should be taken.
Daily driving range 20–100 km 20–50 km New and emerging EV business models are
Distance to work 10–50 km 20–30 km worth developing. EV time-share rent is a prom-
Range expectation Above 200 km Above 180 km ising business model that will help primeval EVs
Charging time – 9:30 am–16:00 pm
rapidly promote.
Charging duration – Within one hour
expectation
REFERENCES
[1] Zhang Jize, Liu Jingran, Kong Yibao. The correlation

of vehicle emission and haze phenomenon in Beijing
[J]. Northern Environment, 2013, 11: 115–117.
[2] Gu Ruilan. Study on the Fiscal and Taxation Policies
to Promote the Development of China’s New Energy
Vehicles Industry [D]. Beijing: Research Institute for
Fiscal Science, Ministry of Finance, 2013.
[3] Connection set for conductive charging of elec-
Figure 9. EV rent pilot project in Beijing. tric vehicles-Part 2: AC charging coupler [S]. GB/T
20234.2-2011.
[4] Connection set for conductive charging of elec-
Analysis on the EVs use data indicates that a car tric vehicles-Part 3: DC charging coupler [S]. GB/T
averagely daily drives 31 kilometers, and charges 20234.3-2011.
0.6 times per day, then consumes 7.8 kWh electric- [5] Emerging Electric Vehicle Business Models [R]. NPC
ity power which DC fast charging account for 30%. Future Transportation Fuels Study, 2012.
289

Lubrication performance analysis of three axial-grooved gas-lubricated

journal bearing with micro grooves
Y.J. Lu & F.X. Liu

School of Mechanical and Instrumental Engineering, Xi’an University of Technology, Xi’an, P.R. China
Sate Key Laboratory for Strength and Vibration of Mechanical Structures, Xi’an Jiaotong University,
Xi’an, P.R. China
Y.F. Zhang
School of Printing and Packaging Engineering, Xi’an University of Technology, Xi’an, P.R. China
C. Tian & M. Li
School of Mechanical and Instrumental Engineering, Xi’an University of Technology, Xi’an, P.R. China
ABSTRACT: Lubrication performance of three axial-grooved gas-lubricated hydrodynamic journal

bearing with micro grooves was investigated. Parabolic micro grooves were textured on the surfaces of
the pads of three axial-grooved gas-lubricated hydrodynamic journal bearing and a mathematical model
of the dimensionless gas film thickness of the gas-lubricated bearing was established. The dimension-
less steady Reynolds equation was solved by the finite element method, and then the nonlinear gas film
pressure distribution was obtained. The numerical results showed that the finite element method for solv-
ing the steady Reynolds equation of three axial-grooved gas-lubricated hydrodynamic journal bearing is
effective, and the dimensionless load-carrying capacity can be increased and the friction coefficient can be
reduced when micro grooves are textured on the surfaces of the pads of the gas-lubricated bearing.
Keywords: axial-grooved gas-lubricated bearing; finite element method; surface texturing; load-carrying
capacity; friction coefficient
1 INTRODUCTION the textured surfaces have an important influence

on the lubrication performance of journal bearing.
The gas-lubricated journal bearings have been Fu et al. [8] investigated the hydrodynamic lubri-
widely used in the rotating machinery [1–4]. The cation performance of conformal contacting sur-
gas is dragged into the clearance between the bear- faces with parabolic grooves by multigrid method.
ing and the rotor, and then a hydrodynamic gas film The results revealed that the geometric shapes of
is formed when the rotating machine works. The parabolic grooves have a significant impact on the
gas film can provide high stiffness, but is never bro- hydrodynamic lubrication. In this paper, the finite
ken down during starting, running, and stopping. element method is employed to solve the steady
More recently, many scholars have paid attention Reynolds equation of three axial-grooved gas-
to surface texturing. Blatter et al. [5] applied a laser lubricated journal bearing with parabolic grooves,
ablation technique to fabricate the surface of sap- and then the effect of the orientation, dimension-
phire plates for studying the effect of the patterns less depth, width and distance of parabolic grooves
of grooves on the sliding friction. Experimental on the dimensionless load-carrying capacity and
results showed that wear could be reduced by an friction coefficient is investigated.
appropriate size and form of the micropattern.
Ogawa et al. [6] examined the effect of dimple
2 SYSTEM EQUATION
and groove textures on the tribological properties
of slideways and has concluded that the friction
2.1 Steady governing equation
coefficient can be reduced by texturing dimples
of the gas-lubricated journal bearing
and grooves on the contacting surface. Tala-ighol
with three axial grooves
et al. [7] studied the tribological performance of
the contacting surface by optimizing the geometric Figure 1 shows schematic diagram of the gas-
parameters of textured surfaces. It was found that lubricated journal bearing with three axial grooves.
291

2. Gas pressures at the both ends of the bearing
are equal to the ambient pressure pa.
3. Gas pressure is continuous at λ = 0.
2.2 Dimensionless load-carrying capacity

and friction coefficient
The finite element method is employed to solve
the dimensionless Reynolds equation of the
gas-lubricated journal bearing with three axial
grooves. Equation (1) is written in the following
form:
⎡ ∂ ⎛ ∂P ⎞ ∂ ⎛ 3 ∂P ⎞ ∂( PH ) ⎤
∫∫ ⎢ ∂ϕ ⎜⎝ PH
3
⎟ + ⎜⎝ PH ⎟⎠ − Λ ⎥
Ω ⎣ ∂ϕ ⎠ ∂λ ∂λ ∂ϕ ⎦
×δ ϕdλ = 0 (2)
where δP is the variation of P, Ω is the computa-

Figure 1. Calculation coordinate for axial-grooved tional domain of the gas film.
hydrodynamic gas-lubricated journal bearing. Integration by parts and Green’s theorem are
used to solve equation (2), and then equation (3)
is obtained.
⎡ H 3 ∂P 2 ∂(δ P ) H 3 ∂P 2 ∂(δ P ) ∂(δ P ) ⎤

∫∫ ⎢ 2 ∂ ϕ ∂ ϕ
+
2 ∂ λ ∂ λ
− ΛPH
∂ϕ ⎦
⎥
Ω ⎣
× dϕ d λ = 0
(3)
The pressures of the gas-lubricated journal

bearing with three axial grooves are equal to posi-
tive values at any instant.
The rectangular element with four nodes is
Figure 2. Local coordinates for calculation in a rectan- described in Figure 2. The shape function in the
gular element. rectangular element can be written as
The dimensionless steady Reynolds equation of 1 1

N1 (1 ξ )(1 ) N2 =
), (1 ξ )(
) 1 − η )),
the gas-lubricated journal bearing with three axial 4 4
grooves is described as follows: 1 1 (4)
N3 (1 ξ )(1 ) N 4 = (1 − ξ )(
), ).
4 4
∂ ⎛ ∂P ⎞ ∂ ⎛ 3 ∂P ⎞ ∂( PH )
PH 3 + ⎜ PH ⎟=Λ (1)
∂ϕ ⎜⎝ ∂ϕ ⎟⎠ ∂λ ⎝ ∂λ ⎠ ∂ϕ where ζ and η are the local coordinates of each
element.
where P = p/pa is the dimensionless pressure dis- By using the coordinate transformation method,
tribution, pa is the ambient pressure, H is the the relationship between (ζ, η) and (ϕ, λ) can be
dimensionless gas gap between the journal and the expressed as:
bushing, ϕ and λ are the coordinates for calculation
which are shown in Figure 2, Λ = ( μ / pa ) (R / )2 2 2
ζ ϕ − ϕ 0 ), η = ( λ λ0 ). (5)
is the bearing number. l1 l2
The boundary conditions of the dimensionless
Reynolds equation are stated as follows:
where l1 and l2 are the length and width of each
1. Gas pressure along the axial grooves is equal to element respectively, (ϕ0, λ0) is the coordinate of
the ambient pressure pa. computational grid center.
292

2.3 Geometric shape of the textured pad ⎧ 2
⎪ 4 H g ⎡ϕ ϕ s ⎤
⎢ ⎛ϕ ϕ s ⎞ 1 ⎥
⎪H 0 H g − W 2 ⎢− fix
A textured pad of three axial-grooved gas-lubricated
⎪ i W Wg⎥
journal bearing with parabolic micro grooves is
H (ϕ , λ ) = ⎨ g
⎣ ⎝ W ⎠ 2 ⎦
shown in Figure 3. ϕ s + n2W ϕ ϕ s n W Ws
⎪
The gas film thickness of any point in the tex- ⎪
tured pad is H(ϕ, λ). ⎪⎩H 0 others
When 0 ≤ γ ≤ 900,
(7)
⎧ ⎧⎡ 1 ⎤⎫
2
where
⎪ 4H g ⎪⎪⎢⎣ttan γ (ϕ − ϕ s ) 2 L2 λ ⎥⎦⎪⎪
⎪H 0 + H g − ⎨ ⎬
⎪ Wg
2
⎪ccos γ − ⎛ n + 1⎞ W 1 Ws ⎪ ⎡ 1 ⎤
⎪ ⎪⎩ ⎝ 1 2⎠ 2 ⎪⎭ ⎢⎣tan γ (ϕ − ϕ s ) − 2 L2 − λ ⎥⎦ cos γ
⎪ n1 fix
f ,
⎪ λ1 < λ < λ2 W
⎪ 2
H (ϕ , λ ) = ⎨ ⎧⎡ 1 ⎤⎫
⎪H + H − 4 H g ⎪⎪⎢⎣λ − γ (ϕ − ϕ 0 ) + L2 ⎥⎪
2 ⎦⎪
⎪ 0 g 2 ⎨ ⎬
Wg ⎪cos γ − nW − g W ⎪
⎪
⎪ ⎪⎩ 1
2 ⎪⎭
⎪ λ3 < λ < λ 4
⎪
⎪
⎩H 0 others
(6)
When γ = 90 , 0
Figure 3. Schematic diagram of parabolic micro- Figure 4. (a) Dimensionless load-carrying capacity ver-
grooves textured on the pads of axial-grooved gas- sus different textured pads; (b) friction coefficient versus
lubricated bearing. different textured pads.
293

ϕ − ϕs 115°, the groove width angle of the bearing ς is 5°,
n2 fix
f , the clearance of the bearing c is 3.0 × 10−5 m, the
W
gas viscosity μ is 1.8 × 10−5 Pa⋅s, the radius of the
1 journal R is 0.05 m, the width-to-diameter ratio is
λ1 γ (ϕ ϕ s ) − − ( n1 + 1) sec γ ,
2
2
0.9, the rotating speed ω is 1500 rad/s, the bearing
1 number Λ is 4.44, β is 62.5°, θ is 0°.
λ2 γ (ϕ ϕ s ) − 2 − ( n1W + Ws )sec γ , Figure 4 shows the dimensionless load-carrying
2 capacity and friction coefficient over the textured
1 pad for the case of γ = 60°, Hg = 1, Wg = 0.05 and
λ3 γ (ϕ ϕ ) − 2 + 1 sec γ , Ws = 0.05. The load-carrying capacity can be
2
increased and the friction can be reduced by textur-
1
λ4 γ (ϕ ϕ s ) − 2 + 1 s γ + Ws
sec γ, ing micro grooves on an appropriate pad. Figure 5
2 shows the load-carrying capacity ratio Fav = (Fy−
Fy0)/Fy0 and friction coefficient ratio μav = (μ−μ0)/μ0
fix is rounding a number towards zeros. for the case of Λ = 1, Λ = 4.44, Λ = 10 and Λ = 15,
respectively. Figure 6 shows the load-carrying
capacity ratio Fav = (Fy−Fy0)/Fy0 and friction coef-
3 NUMERICAL EXAMPLES ficient ratio μav = (μ−μ0)/μ0 for the case of bd = 0.5,
AND RESULTS bd = 1, bd = 2, respectively. Fy and μ is the dimen-
sionless load-carrying capacity and friction coef-
The detailed parameters of the bearing are listed ficient respectively when the pad is textured. Fy0
as follows: the bushing arc angle of the bearing α is and μ0 is the dimensionless load-carrying capacity
Figure 5. (a) Load-carrying capacity ratio versus differ- Figure 6. (a) Load-carrying capacity ratio versus differ-
ent bearing number; (b) friction coefficient ratio versus ent width-to-diameter ratio; (b) friction coefficient ratio
different bearing number. versus different width-to-diameter ratio.
294

and friction coefficient respectively when the pad Foundation of Shaanxi Province of China (Grant
is untextured. It is found that the load-carrying No. 2013JQ7008).
capacity of three axial-grooved gas-lubricated
journal bearing can be still increased and the fric-
REFERENCES
tion can be also reduced by selecting appropriate
pad and texture parameters with the variation of [1] Wang C.C., 2012, “Bifurcation and nonlinear
the bearing number and the width-to-diameter in dynamic analysis of united gas-lubricted bearing sys-
Figure 5 and Figure 6. tem,” Comput. Math. Appl., 64(5): 729–738.
[2] Lu Y.J., Zhang Y.F., Shi X.L., Wang W.M. & Yu L.,
2012, “Nonlinear dynamic analysis of a rotor system
4 CONCLUSIONS with fixed-tilting-pad self-acting gas-lubricated bear-
ings support,” Nonlinear Dyn., 69(3): 877–890.
Lubrication performance of three axial-grooved [3] Zhang Y.F., Hei D., Lü Y.J., Wang Q.D. & N. Müller,
gas-lubricated journal bearing with micro- 2014, “Bifurcation and chaos analysis of nonlinear
rotor system with axial-grooved gas-lubricated jour-
grooves is investigated. The mathematic model nal bearing Support,” Chin. J. Mech. Eng., 127(2):
of the dimensionless gas film thickness of the 358–368.
gas-lubricated bearing with micro-grooves is built [4] Zhang Y.F., Zhang S., Liu F.X., Zhou C., Lu Y.J. &
and the finite element method is employed to ana- N. Müller, 2014, “Motion analysis of a rotor sup-
lyze the dimensionless load-carrying capacity and ported by self-acting axial groove gas bearing system
friction coefficient versus different textured pads, with double time delays,” Proc IMechE Part C J.
and the load-carrying capacity ratio and friction Mech. Eng. Sci., DOI: 10.1177/0954406214523581.
coefficient ratio versus different bearing numbers [5] Blatter A., Maillat M., Pimenov S.M., Shafeev G.A.,
and width-to-diameter ratios. The results show Simakin A.V. & Loubnin E.N., 1999, “Lubricted slid-
ing performance of laser-patterned sapphire,” Wear,
that the load-carrying capacity can be increased 232(2): 226–230.
and the friction coefficient could be reduced when [6] Ogawa H., Sasaki S., Korenaga A., Miyake K.,
micro grooves are textured on the surfaces of the Nakano M. & T. Murakami, 2010, “Effects of sur-
pads of the gas-lubricated bearing. face texture size on the tribological properties of
slideways,” Proc IMechE Part J J. Eng. Tribol.,
224(9): 885–890.
ACKNOWLEDGEMENT [7] Tala-Ighil N., Fillon M., and Maspeyrot P., 2011,
“Effect of textured area on the performances of a
hydrodynamic journal bearing,” Tribol. Int., 44(3):
This work is supported by National Natural Science 211–219.
Foundation of China (Grant No. 51375380), Open [8] Fu Y.H., Ji J.H. & Q.S., Bi, 2012, “Hydrodynamic
Project of State Key Laboratory for Strength lubrication of conformal contacting surfaces with par-
and Vibration of Mechanical Structures (Grant abolic grooves,” ASME J. Tribol., 134(1): 210–218.
No. SV2014-KF-08), National Natural Science
295

A new configuration of current source converter applied in HVDC
J.Y. Zhao, F.M. Zhang & F.G. Liu

School of Electrical Engineering, Hebei University of Technology, Tianjin, China
Y.H. Liu
Faculty of Electric Power, Inner Mongolia University of Technology, Hohhot, China
ABSTRACT: Due to the defect of the slow fault response and higher power loss of the Voltage Source
Converter (VSC), this paper proposed a novel Current Source Converter (CSC) which could solve these
problems. The new topology, with Multi-Level Current Reinjection CSC (MLCR-CSC), is based on the
DC-ripple reinjection concept. It adds an auxiliary control circuit to the traditional 12-pulses converters
which is used in IGBT as extra main switches. MLCR-CSC is a very attractive way of transmission as it
generates lower THD on the AC-side and realises Zero Current Switching technology (ZCS) and runs at
a high power factor. The advantages and disadvantages of VSC and CSC are shown first. Then is intro-
duced the DC-ripple reinjection concept and the new topology; this is followed by a detailed analysis of
the harmonic elimination theory and discusses the control strategy. MLCR CSC can realise ZCS, use thyr-
istors as the power device, ensure the safety and stability of the phase communicating, low THD and high
power factor, which was effective certificated in HVDC transmission by Matlab/-Simulink at the end.
Keywords: DC-ripple reinjection; MLCR-CSC; lower THD; ZCS; high power factor
1 INTRODUCTION bulk reactive power in operation. CSC has been

widely applied because of its rapid fault response
High Voltage Direct Current (HVDC) power and lower power loss than VSC.
transmission had developed for many years, This paper presents a novel multi-level reinjec-
which solves lots of tricky problems that Flex- tion CSC which is constituted of a traditional
ible AC Transmission System (FACTS) is not 12-pulse convertor and an auxiliary injection cir-
able to handle. It is widely accepted that HVDC cuit based DC-ripple reinjection concept. Due to
transmission system can provide a cost-effective the difficulty in generatinga practical reinjection
solution compared to traditional AC transmis- current from theoretical research; MLCR CSC has
sion in applications. HVDC also has the follow- no actual engineering except laboratory studies.
ing advantages: the smaller line active loss, not While, the new topology can realize lower THD,
restricted by system stability limit, little interfer- ZCS and high power factor, it will be a very attrac-
ence between DC connected to grid, the suitablity tive scheme in HVDC transmission.
for the sea bottom transmission and the involve-
ment of the high-voltage direct current transmis-
sion which will not increase the original power 2 DC-RIPPLE REINJECTION CONCEPT
system short circuit current capacity.
HVDC converters consist of VSC and CSC, Generalised DC-ripple reinjection technology
which are classified by the energy storage [11–14] is investigating a DC-ripple current into
component. VSC [1–5] can transmit power trans- the neutral point of the converter transformer,
mission in four quadrants. It can realise harmonic through a single-phase bridge transformer con-
eliminates and is self-commutated and greatly nected DC side, and the injected current exists as
improves the system stability. High speed charge times harmonic current three in approximate rec-
and discharge between gate and source presents tangle phase current waveform.
produces larger loss. CSC [6–10] has good eco- The single bridge three-phase converter pro-
nomic benefits in high power and long distance duces a ripple voltage at the DC output, with a
transmission. The typical CSC can work in two period of (1/6) T, where T is fundamental frequency.
quadrants and bidirectionally transmit active power However, each DC pole has a non-sinusoidal rip-
in an HVDC project; its drawback is consumption ple voltage of period (1/3) T. The principle of DC
297

ripple reinjection is applicable to the line com- When the thyristors of the reinjection converter
mutated three-phase current source converter are fired. 30 degrees after the firings of the main
bridge and the circuit configuration is shown in converter valves, the waveforms in Figure 2 result.
Figure 1. The converter transformer constitutes The triple frequency commutations of the reinjec-
star-connected on the converter side. It requires tion bridge also combine with the DC output volt-
an auxiliary single-phase transformer with two age to produce a twelve pulse voltage waveform.
primary windings connected to the common mode The result is that the original six-pulse converter
DC ripple voltage via blocking capacitors. This configuration has been converted to a 12-pulse
transformer provides the commutating voltage for converter system from the point of view of AC and
a single-phase full-wave rectifier connected to the DC system harmonics.
secondary windings. The output of the reinjection
converter is connected in series with the DCoutput
of the six-pulse converter bridge. 3 MLCR-CSC TOPOLOGICAL
The reinjection transformer secondary current STRUCTURE AND OPERATING
consists of quasi-rectangular 60 degrees DC cur- PRINCIPLE
rent pulses, the magnitude of which is determined
by the main converter DC current and their phase MLCR-CSC topological structure is shown in
position is always in synchronism with that of the Figure 3. In the pulse multiplication scheme
main converter current. These current pulses, after described above, the magnitude and duration of
being appropriately altered by the injection trans- the reinjection steps were optimised to achieve
former ratio, are added to the otherwise conven- maximum harmonic cancellation, which, as already
tional DC current output of the main converter and explained, for the five-level reinjection configura-
channeled to the appropriate phases of the main tion provides 60-pulse conversion. However, this
converter current by the conducting thyristors. reinjection waveform does not completely cancel
the converter valves currents during the commuta-
tion and, therefore, turn-off devices are still needed
to provide self-commutation.
Next is shown that the use of a non-optimal
reinjection waveform can force a ZCS condition for
an interval of 6 degrees (or 333us at 50 Hz) during
the commutation. This should permit the outgo-
ing thyristors to recover their blocking capability
and thus make the conventional thyristors converter
self-commutating. To achieve the ZCS condition
the quality of the AC and DC voltage waveforms
is somewhat reduced (from the optimum 60 to
48 pulse for the five-level reinjection scheme).
It is therefore possible to achieve self-
commutation, as well as pulse multiplication, using
Figure 1. Bridge rectifier with ripple reinjection. conventional thyristors for the converters and
IGBTs for the reinjection switches. This alternative
Figure 2. Current waveforms for the converter of

Figure 1. Figure 3. Five-level current reinjection CSC.
298

Table 1. Reinjection switching combinations and 7-level reinjection current.
On-state switches windings ratio Ij1 I1 Ij2 I2
Spj1/Snj1 n0: n1 + n2 + n3 Idc 2Idc −Idc 0

Spj2/Snj2 n0: n2 + n3 0.66Idc 1.66Idc −0.66Idc 0.33Idc
Spj3/Snj3 n0: n3 0.33Idc 1.33Idc −0.33Idc 0.66Idc
Spj0/Snj0 0 0 Idc 0 Idc
Spj4/Snj4 n0: n3 −0.33Idc 0.66Idc 0.33Idc 1.33Idc
Spj5/Snj5 n0: n2 + n3 −0.66Idc 0.33Idc 0.66Idc 1.66Idc
Spj6/Snj6 n0: n1 + n2 + n3 −Idc 0 Idc 2Idc
gives the thyristors converter a similar flexibility as

a forced commutated VSC, i.e. the ability to con-
trol both the DC voltage and current, with a lead-
ing or lagging power factor, as well as reducing the
harmonic content. In other words, it combines the
benefits of the robust and efficient conventional
converter and the controllability of the advanced
self-commutated technology. This is an important
breakthrough that should give greater flexibility to
thyristors-based HVDC transmission [15–18].
4 CONTROL STRATEGIES
The primaries of the two single-phase transform- Figure 4. Simulation dc current on the DC-side.
ers are connected across the DC BUS through
DC blocking capacitors (C). The DC current (Idc)
flows through the reinjection IGBTs, load induct-
ance Ldc, and the load. It is modified into AC
waveforms in the secondary windings of the rein-
jection transformer with the help of reinjection
switches (Sp1/Sn1, etc). These currents are coupled
to the reinjection transformer primary winding to
form multi-level currents Ij1 and Ij2, which com-
bine with Idc to shape DC bus currents I1 and I2
into multi-level waveforms. This reinjection cir-
cuit generates seven current steps in I1 and I2.
Six levels are generated due to reverse connected
switches (Sp1/Sn1 to Sp6/Sn6), and one additional
level is obtained by firing Sp0/Sn0 when Ij1 and Ij2
are both zero. Table 1 shows the corresponding Figure 5. Simulation of SLCR-CSC on the AC-side.
relationship between I1 and I2, Ij1 and Ij2 with the
corresponding reinjection IGBT on-state. The
reinjection transformer is a one-phase four-wind- 10 °, 20 ° and 30 ° AC-side current waveform and
ing transformer with transformer turns ratio n3/ harmonic spectrum analysis.
n0 = 0.33, n2/n0 = 0.33, n1/n0 = 0.33.
5.1 Current zero switching
and eliminating harmonics
5 SIMULATION RESULT
At 0.05 seconds, Ij1 reaches maximum amplitude,
This section mainly verified the topological struc- the dc side current IBΔ is zero which provides Δ
ture, eliminating harmonics and high power factor bridge commutation switch off at Zero Current
operation. It significantly includes MLCR—CSC Switching (ZCS) conditions; At 0.06 seconds, Ij2
current zero switching, eliminating harmonic, and reaches maximum amplitude, the DC side current
7 level current reinjection CSC firing at angle 0 °, IBY is zero which provides Y bridge commutation
299

switch off at Zero Current Switching (ZCS)
conditions. Thus the converter can commutate
without the assistance of a turn-off pulse or a line
commutating voltage, i.e. it can be of the conven-
tional thyristors type.
Figure 3 expresses 7 level current reinjection
CSC simulation result, the interface transformer
secondary side Y bridge connection generates
7 level DC current reinjection IBY, the interface
transformer secondary side Δ bridge connection
generates 7 level dc current reinjection IBΔ. On the
secondary side of the transformer Y bridge ac out-
put current IaY conducts 120 °, Δ bridge AC output
current IaΔ conducts 120 ° either. Due to secondary Figure 8. Firing at 20°, a SLCR-CSC current waveform
side Y and Δ coupling the interface transformer, it Spectrum analysis on AC-side.
obtains a phase alternating current at primary side
of transformer which is formed by the multilevel
and infinite similar to sine wave.
5.2 AC-side current waveform

and harmonic spectrum analysis
In order to further verify the convertor AC side har-
monic content and excellent characteristic of high
Figure 9. Firing at 30°, a SLCR-CSC current waveform

Spectrum analysis on AC-side.
power factor operation, 7 level current reinjection

AC side current harmonic waveform and spectrum
analysis is simulating firing at angle 0 °, 10 °, 20 °
and 30 ° as follows.
Figures 6–9 presented a SLCR-CSC current
Figure 6. Firing at 0°, a SLCR-CSC current waveform waveform Spectrum analysis on AC-side with dif-
Spectrum analysis on AC-side. ferent triggering angle which is reaching an ideal
sine wave. Among them, firing at 0 °, THD is
3.59% on AC side; firing at 10 °, THD is 3.58% on
AC side; firing at 20 °, THD is 3.63% on AC side;
firing at 30 °, THD is 3.55% on AC side. The main
characteristic harmonic is 3, 5, and 13, 25 times.
It obviously showed that THD is extremely strict
accordance with the harmonic requirements stand-
ards of the state grid.
6 CONCLUSIONS
MLCR CSC has been shown to provide fast

dynamic response. Additionally, it shows no signs
of commutation failure in the main bridge thyris-
Figure 7. Firing at 10°, a SLCR-CSC current waveform tors for the operating conditions with the help of
Spectrum analysis on AC-side. MLCR circuit. It is also known that MLCR-CSC
300

can realise ZCS, using thyristors as the power [8] R. Li, S. Bozhko, and G. Asher, “Frequency control
device, ensure the safety stability of the phase design for offshore wind farm grid with LCC-HVDC
communicating, low THD and high power factor. link connection,” IEEE Trans. Power Electron., vol.
Therefore, MLCR CSC will play an important role 23, no. 3, pp. 1085–1092, May 2008.
[9] R.B. Gimenez, S.A. Villalba, J.R. D’Derlee, S.B.
in HVDC. Perez, and F. Morant, “Diode-based HVDC link for
With the shortcomings of MLCR CSC it is dif- the connection of large offshore wind farms,” IEEE
ficult to find an entirely appropriate reinjection Trans. Energy Convers., vol. 26, no. 2, pp. 615–626,
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301

Application of high-order grey forecast model in the short-term load

forecasting
X.Y. Huang & L. Yang

College of Electrical Engineering, Zhejiang University, Hangzhou, Zhejiang Province, China
ABSTRACT: Taking into account the characteristics of exponential growth and periodic variation of
power load, a third-order short-term load forecasting model based on grey prediction theory is proposed.
This paper gives the introduction of grey forecast method and expounds on the main steps of the power
system short-term load forecasting. By numerical example, this paper verifies the probability and validity
of this method. Simulation results show that the proposed method is effective and practicable.
Keywords: power system; short-term load forecasting; grey prediction theory; third-order model
1 INTRODUCTION forecasting, especially short-term ones, several

numbers of papers have made a certain degree of
Load forecasting is one of the most important improvement. In [1], the least square support vec-
foundations for the power system planning, power tor regression algorithm is combined with the Grey
generation programming and economic operations. model to improve its accuracy. In [2], a criterion
Accurate short-term electrical load forecasting is of abrupt change of weather factors is established
usually in favor of the timely and reliable decision to correct local distortion points. In [3], the corre-
of load supply and is of great significance for the sponding relation between the Grey model param-
safe and reliable operation of the power system as eters and BP network weights is established to
well as the development of the national economy. enhance the forecasting accuracy of medium and
However, as the power load cannot be accurately long-term power load forecasting under the condi-
controlled in nature, the best effective method is tions of small sample data. Reference [4] sets up an
to research historical data and explore suitable ant colony Grey model, which is combined with a
methods combined with the current situation and neural network model. However, training the neu-
information. Grey Theory is one of the practical ral network usually takes a long time. Due to the
theories in load forecasting. changes in the input data is not the desired result
The Grey System Theory is essentially to turn most times; it will require multiple training, which
some known data sequence regularly from a scat- is not applicable for the timeliness requirements of
tered state through accumulating technology, and short-term or ultra-short-term load forecast.
then use differential equations to fit, and seek the This paper mainly proceeds from the variation
future development of the state of research sub- rules of short-term power load, combined with
jects after fitting curves to predict. When the load the characteristics of the high-order of the Grey
is in strict accordance with exponential growth, prediction model, and proposes a relatively strong
this method has advantages such as high predic- timeliness prediction method. Analysis shows that
tion accuracy, less sample data, simple calculation, the method is in sync with the construction of the
testability and so on. The ordinary Grey forecast- Grey model and has a theoretical basis. Finally the
ing model has some shortcomings, such as it has paper demonstrates the correctness and effective-
failed to consider the exponential and cyclical ness of the proposed method.
regularity of load data at the same time, while the
second-order discrete sequence of the Grey model
can only represent one of the characters in expo- 2 THIRD-ORDER GREY FORECASTING
nential and periodic. MODEL
At present, there are many domestic and inter-
national papers on the use of the Grey model to Power system load forecasting is a procedure which
solve power system load forecasting problems. As firstly establishes relevant models based on histori-
the traditional Grey model has some flaws in load cal data of power load and its influencing factors,
303

and then uses the model to forecast the future According to the definition of the derivative,
power load data scientifically. there is
Short-term load indicates the traits of both
randomness and uncertainty, and the prediction dx x(t + t ) x(t ) Δx
accuracy of load is affected by the history, weather, = lim = lim
dt Δtt → 0 Δt Δt → 0 Δt
(6)
date, forecasting models, and social events, etc. Due
to the impact of various factors, short-term load is If expresses in the form of discrete representa-
manifested as non-stationary random process in tion, the upper equation turns into a differential
time series. But the impact of system load factors equation:
in most of regularity, which provides a method for
load forecasting. Δx x( k + ) − x( k )
This paper, starting from the general, proposes = = x( k + ) − x( k )
a third-order grey forecasting model in short-term Δt k k (7)
load forecasting. Assuming that the original data is
a string of discrete series which is time-varying but According to the above definitions of the deriv-
interrelated, we need to firstly smooth the origi- ative and the discrete form, and combined with Eq.
nal data. The purpose of the original data series (4), there is
smoothing is primarily weakening the impact of
outliers, and substantially strengthening the trend dx ( ) Δx ( )
of the original series. = lim = lim ( x ( ) ( k + 1) x ( ) ( k ))
dt Δtt → 0 Δt Δt → 0
One of the most commonly used smooth-
ing methods is the moving average smoothing ≈ x ( ) ( k + 1) (8)
method. Its arithmetic averages the value of sev-
eral adjacent moments, and then denotes the proc- d 2 x (3) d ⎛ dx (3) ⎞ x(2) (k 2) − x(2 ) ( k )
essed N-dimensional historical electric load data = ⎜ ⎟ = lim
dt dt ⎝ dt ⎠ Δt → 0 Δt
sequence as x ( ), that is
≈ x (1) ( k + 2) (9)
( ) ( )
x {x
{x ( k ), k = 1, 2, …, N } (1)
d 3x (3) d ⎛ d 2 x (3) ⎞ x (1) ( k 3) x (1) ( k 2)
= ⎜ ⎟ = lim
Processing through a cumulative procedure, the dt dt ⎝ dt ⎠ Δt → 0
2 Δt
pre-processing data sequence will generate a new ≈ x( ) ( )
data sequence, that is
(10)
( )
x {x ( k ), k = 1, 2, …, N }
{x ( )
(2) Mark x( k ) as the generated value of the k-th
k ( ) point, there is
In the above equation, x ( k ) = k∑=1 x (i ), define
( )
{ ( ) } as the r-th generation of sequence, then we x( k ) = γ 1x ( ) ( k ) + γ 2 x ( ) ( k ) (11)

can get the relationship after r-th accumulated gen-
erating as follows
When γ 1 γ 2 = 0.5 , the generating happens in
k adjacent values, and the generated value is called as
x(r ) (k ) = ∑ x(r )
(i ) (3) neighbour equal weights generated value. Take the
i =1 neighbour equal weights generated value of x ( ) as
the average value of k and k + 1, that is
Obviously x ( r ) ( k ) can be decomposed as:
1 (3)
k k −1
( ( k + 1) (3)
( k )) (12)
2
x (k ) = ∑ x
(r ) (r )
(i ) = ∑ x (r )
(i ) + x (r )
(k )
i =1 i =1
Use 1/ 2( x (3) ( 1) + x (3) ( )))) instead of x(t),
= x ( k − 1))
(r ) ( )
(k ) (4)
( )
x ( k ) instead of dx /dt d , x( ) (k ) instead of
2 2 ( )
( /dt
/dt ), x ( ) instead of d 3x / dt 3, and then
Assuming the load sequence satisfy three-order substitute into the Eq. (5) and get
differential equation, then
x( ) (k ) ax ( ) ((k
k ) bx ( ) ( k )
3 2
d x d x dx 1
+a 2 +b + cx(
cx(tt ) d (5) + c (x( ) (k ) x ( ) ( k )) d (13)
dt 3 dt dt 2
304

According to the upper equation, when Solving the equation above, B and YN can be
k , , …, N − 3 , we get the following equations obtained. Take B and YN into Eq. (13) and obtain
⎧x ( ) ( ) ax ( ) ( ) bx ( ) ( ) xˆ (0) ( k + 3) = − ax (1) ( k + 2) − bx (2) ( k + 1)

⎪
⎪ 1 1
− c ( x ( ) (2)) x ( ) ( )) d − c x (3) ( k + 1) + x (3) ( k ) + d (21)
⎪ 2 2
⎪ ( )
⎪x ( ) = −ax a ( ) ( ) bxb ( )( ) This equation is the Grey prediction of spe-
⎪
⎪ 1 cific equations of third-order differential equation
⎨ − c ( x ( ) (3)) x ( ) ( )) d (14) form.
⎪ 2
Reuse the regressive reduction equation and Eq.
⎪
⎪ ( ) (4), then get
⎪x ( N ) = − ax ( N − 1) −
( ) (2)
( N − 2)
⎪ 1 x(r ) (k ) = x(r ) (k ) − x(r )
(k ) (22)
⎪ − c ( (3) ( N − 2 ) + (3) ( N − 3)) + d
⎪⎩ 2
Reverse derivation, and find the original data in
each data class in accordance with the difference
Define degree of the price, weather forecast and other fac-
tors, and finally plus the class averages to get the
YN BN A (15) predictive value of power load.
where
3 STEPS OF LOAD FORECASTING
⎡x( ) ( ) ⎤
⎢ ( ) ⎥ Steps of power system load forecasting are shown
YN = ⎢
x ( ) ⎥ in Figure 1.
(16)
⎢ ⎥
⎢ ( ) ⎥
⎢⎣ x ( N ) ⎥⎦
4 EXAMPLE ANALYSIS
⎡a ⎤
⎢b ⎥ According to the above model derivation, use this
A=⎢ ⎥ (17) model to forecast the short-term power load of
c
⎢d ⎥
⎣ ⎦
⎡ 1 () ⎤
⎢ −xx ( ) − ( x ( ) + x (1))
( ) ( ) ( )
x ( ) 1⎥
2
⎢ ⎥
⎢ −xx ( ) ( ) ( )
x ( )
1 (3)
− ( (2)
(3)
(1)) 1⎥
⎢ 2 ⎥
BN = ⎢ ⎥
⎢ ⎥
⎢ 1 (3) ⎥
⎢ (1) − ( (N − 2) ⎥
⎢ −xx (
(2)
1) x ( 2) 2 1⎥
⎢⎣ + x (N
( )
)) ⎥⎦
(18)
Then, use the least squares method to estimate
the sequence A and get the approximate solution
of least squares A. Rewrite Eq. (15) as
YN = BN Aˆ + E (19)
Define E as the error term. Then the approxi-

mate solution of least squares A is
Aˆ = ( BT B )−1 BTYN (20) Figure 1. Flow chart of steps of load forecasting.
305

Table 1. Load forecasting results.
Traditional BP network Third-order grey model
Real value Predictive Relative Predictive Relative

Time (h) (MW) value (MW) error (%) value (MW) error (%)
0 73.5 74.61 1.512 72.30 1.633

1 60.4 61.45 1.744 59.58 1.358
2 57.3 56.52 1.358 56.54 1.326
3 53.7 52.75 1.772 54.27 1.061
4 53.1 54.07 1.818 52.39 1.337
5 52.6 51.22 2.620 53.56 1.825
6 55.3 56.14 1.511 56.00 1.266
7 59.7 60.52 1.374 60.63 1.558
8 65.6 66.46 1.305 66.49 1.357
9 83.5 82.34 1.389 82.53 1.162
10 88.1 89.84 1.978 86.99 1.260
11 95.1 93.10 2.104 93.63 1.546
12 91.0 92.28 1.409 92.83 2.011
13 84.3 81.78 2.988 85.88 1.874
14 84.5 83.33 1.386 83.18 1.562
15 86.8 87.96 1.337 85.67 1.302
16 86.5 88.20 1.971 85.34 1.341
17 87.6 86.03 1.789 89.01 1.610
18 86.7 87.72 1.173 88.70 2.307
19 87.3 88.65 1.548 88.78 1.695
20 87.9 89.09 1.348 89.23 1.513
21 99.6 98.53 1.072 98.59 1.014
22 97.0 100.35 3.455 95.82 1.216
23 83.5 82.33 1.400 84.66 1.389
Average relative 1.723 1.480
error (%)
each point of time in a single day. The original data

comes from the load data of the past three months
from a power supply bureau. In order to reduce the
fluctuation of load sequence and improve the accu-
racy of forecasting, it is necessary to separate the
weekday load data and weekend data. In this paper,
use the weekday load data as the base. Use Matlab
R2010b software programming to complete the
simulation process. The prediction results of third-
order grey model are compared with traditional BP
network model. The prediction results are shown in
Table 1. And the relative error comparison between
the two models is shown in Figure 2.
Compared with the traditional BP network
model, the error of the third-order Grey model is
smaller and more stable. The average error of the
prediction results is about 1.480 percent, reaching
the prediction accuracy. We can conclude that the
third-order discrete series of Grey model method
has higher prediction precision and better predic- Figure 2. Error comparison between two models.
tion effect.
306

5 CONCLUSION [6] Zhang Cheng, et al. 2013. Middle and long term
power load forecasting based on grey discrete
The Grey prediction model has some shortcomings Verhulst model’s theory. Power System Protection
which cannot consider the exponential and cyclical and Control. 04:45–49.
[7] Zhang Jingzhi, et al. 2007. Establishment of third
regularity of load data. Meanwhile, the second- order grey neural network model and its applica-
order Grey model can only take into account one tion. Modern electronic technology. 01:141–143.
characteristic of the load data. Therefore, this [8] Li Ying, et al. 2002. Application of GM(1,1)
paper proposes a third-order Grey discrete series improved model in the electric power load fore-
model, which can take into account both the char- casting. Journal of Guilin Institute of Technology.
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model is suitable in power system load forecast- [9] Liao G.C. & Tsao T.P. 2003. Integrating evolving
ing, and is able to improve the accuracy of the fuzzy neural networks and tabu search for short
prediction. term load forecasting. Transmission and Distribu-
tion Conference and Expositon. IEEE PES: China.
7555–762.
[10] Jin M., et al. 2012. Short-term power load forecast-
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307

Offshore wind power scale development trends and related

policy research
Y. Zeng
Key Laboratory of Smart Grid of Ministry of Education, Tianjin University, Tianjin, China
J.S. Luo & X.L. Wang

New Institute, Gouda, The Netherlands
P. Song, H.W. Huang & H.L. Bao

State Grid Shanghai Municipal Electrical Power Company, Shanghai, China
ABSTRACT: In this paper, the scale development trends of offshore wind power were predicted and
analysed in terms of the offshore wind power’s scale potential, combined with the history and current
status of all the major countries’ offshore wind power research. On this basis, we studied the related poli-
cies of offshore wind power and summarised the characteristics and experiences of the major countries’
offshore wind power policies in the world. Then we analysed the relevant policies of our country and came
up with relevant recommendations. So it has good reference value.
Keywords: offshore wind power; scale development; policy; power grid
1 INTRODUCTION has accumulated a lot of experience in construc-

tion and operation, formed a complete industrial
As an important form of renewable energy, wind chain and has developed a relatively complete set
power has many features such as it has abundant of relevant laws, regulations and policies on devel-
reserves, is renewable, is widely distributed, has opment of wind power [8–9]. To promote offshore
almost no pollution and so on, making it an impor- wind power technology development, the National
tant direction for renewable energy development [1]. Energy Board announced China’s relevant devel-
The development pace of wind power in China is opment plan; in 2015 the total offshore wind power
fast. The new wind turbine installed capacity in 2012 installed capacity should reach 5 million kw and
were 12960 MW, the cumulative installed capac- in 2020 reach 30 million kw; the relevant depart-
ity of wind turbines was 75324 MW, which were ments have organized an offshore wind power con-
both ranked first in the world [2–3]. However with cession bidding. The State Grid Corporation has
the rapid growth of China’s wind power installed developed a standard grid connection of offshore
capacity, onshore wind resources were less and less, wind power and typical electricity access system
leading to the wind turbine market growth rate design, for participation in the development of off-
falling sharply. In addition, due to the limitation shore wind power projects actively. For instance,
of current large-scale wind power grid transmis- Luneng company is involved in the Jiangsudongtai
sion capacity, the situation of abandoned wind is offshore wind projects. All of these will help to lay
severe; consuming onshore wind power has become a very good foundation for the development and
the biggest obstacle to wind power development. construction of China’s offshore wind power, so
Compared to onshore wind, offshore wind is good that the next few years will be the golden period of
quality, close to the traditional load centers, easy to offshore wind power development [10].
be consumed by power grid, which eliminates the However, compared with onshore, offshore wind
problems of long-distance transmission; so in the power technology is more difficult and faces more
future wind farm construction will be transferred new challenges [11–12]. For the benefit of offshore
from land to the ocean [4–6]. wind power development and construction, we
So far, China’s wind power is mainly onshore; should explore the offshore wind power develop-
offshore wind power is still in its infancy [7]. Over ment mechanism actively, to formulate a suit-
the years, the development of onshore wind power able development and construction management
309

approach and also related policy measures for off- development goals of the major European coun-
shore wind power. tries in 2020.
2.4 The development potential

2 OFFSHORE WIND POWER
of offshore wind power of China
SCALE DEVELOPMENT TRENDS
According to estimation, the offshore wind energy
2.1 Gradual decline in the cost resources that can be developed is twice more than
of offshore wind power onshore in China, whose wind energy reserves are
much higher than onshore and the space for future
With the increasing offshore wind farm installed
development is huge.
capacity, expanding the size of the fan size and fan
According to China’s Twelfth Five-Year renew-
arrangement, maturing technology of development,
able energy plan, it is estimated that the installed
transportation and installation of high-power fan,
capacity of offshore wind farms in China will reach
offshore wind power costs and operating costs are
5 GW in 2015, and it will reach 30 GW in 2020.
in gradual decline, so offshore wind power will be
The next five years, offshore wind farms of China
further developed.
will enter the accelerating development period.
Before 2020, several million kW class offshore
2.2 The scale and unit capacity wind farms will be built in Jiangsu, Shanghai,
of wind farm increases constantly Shandong and other sea areas, and the 10 million
kW class power wind base in Jiangsu and Shandong
The British offshore wind farm London array first coastal areas will be initially formed. In other sea
phase 630 MW project, with the largest installed areas, the main focus will be on building dozens of
capacity in the entire world, was put into operation 100 MW class offshore wind farms.
in February, 2012.
The demonstration offshore wind farm first
phase project with installed capacity of 150 MW 3 RESEARCH ON POLICY SCHEME
built by Guodian Longyuan Corporation in OF OFFSHORE WIND FARM
Rudong, Jiangsu province, which was put into use
in December, 2011, is the largest built offshore A favourable policy environment is able to promote
wind farm in China. the rapid development of the offshore wind power
China Huarui Wind Power Corporation under- industry, and can lead to the decrease in offshore
took the central budget investment project of wind power investment cost, which may further
China National Energy Board, the 10 MW-class promote the development of offshore wind power
large offshore wind power generators development industry. Now the offshore wind power industry
and demonstration project. The project will build has entered a good development model.
the world’s first, largest 10 MW-class large offshore
wind power generators and be installed in the coastal
area of Jiangsu Province for demonstration. 3.1 Analyses on policies of offshore wind farm
Government policies for offshore wind power
2.3 The trend of world offshore industry involve four aspects, including energy
wind farm scale development policy, approval process, financial support and grid
connection.
According to the European Wind Energy Asso- Many countries, such as Denmark, England,
ciation’s calculation, the installed capacity will Germany, China, America and so on, have spe-
reach 180 GW, of which the offshore wind is about cifically made policies for offshore wind power
80GW. Table 1 shows the offshore wind power industry. From the current development status of
offshore wind power industry, and their develop-
ment pace of offshore wind power is much faster,
Table 1. The offshore wind power development which also shows the importance of offshore wind
goals of major European countries in 2020. incentive policies.
Policies that may affect the development of off-
Country Installed capacity shore wind power industry can be divided into two
categories: the direct policies and indirect policies.
British 47,000 MW
German 10,000 MW
Direct policies are those that have a direct impact
France 6,000 MW
on the local wind power industry development;
Holland 6,000 MW indirect policy is mainly aimed at promoting
investment in wind farm projects and, providing a
310

good environment and development space for local the UK offshore wind farm grid: its cost comes
wind power industry. from transmission fees levied by the wind farm
Direct policies mainly include: compulsory developers. Germany requires grid companies
localization rate, preferential policies for local wind to bear transmission line construction costs of
generator manufacturing and localization rate, tax offshore wind power and the mainland grid,
incentives, certification and inspection system as while in Netherlands, the developer takes charge
well as research, development and demonstration of offshore grid.
projects, which could promote the development of For developers in Denmark, the UK and
local offshore wind industry, improve the localiza- Germany, upfront costs and financial risks are
tion rate of equipment, reduce the cost of wind gen- reduced, while in the Netherlands, the develop-
erators, improve the reliability of wind generators, ment costs have greatly improved.
and promote the development of offshore wind 4. Establish fan quality certification, and use the
power technology. Through the involvement of gov- standardized system
ernment, more funds will be attracted to be invested The EU has established an offshore wind turbine
into the offshore wind power construction project. technology standardization quality certification
Indirect policies that can be taken to involve: system. This could help consumers build confi-
fixed price policy, mandatory renewable energy dence in the offshore wind turbine products and
targets, government tender or concession policy, thus help form a stable demand for wind turbine
fiscal incentives, green power markets and so on. products. Usually, attractive local wind power
Using these policies one can provide a long-term market is a precondition to promote the develop-
and certain profit electricity price space, reduce ment of wind turbine manufacturing localization,
exploitation risk of offshore wind power, encour- and the wind turbine technology standardization
age investors and manufacturers of offshore wind quality certification system is good for promoting
power industry to provide long-term investment, the formation of the local wind power market and
inspire electricity suppliers be active in offshore thus for promoting the development of the local
wind power construction and encourage electricity wind turbine manufacturing industry. In addition,
users to support offshore wind power development to some extent for emerging countries to develop
by purchasing green energy. wind, power, establish nationally appropriate
wind turbine technology standardization quality
certification system can also protect the domestic
3.2 Operational experience of national
wind turbine manufacturing industry.
offshore wind power policy
1. Implement a fixed price policy, and tender for
3.3 Present policies of offshore wind power
the concession
in China and related suggestions
Denmark, Germany and other countries have
a stable, profitable fixed price policy to pro- Some laws and regulations which are related to
mote investment in the country’s offshore wind offshore wind power in our country are published
farm construction project, while the United by the government. Some of them are specifically
Kingdom implements government-led offshore for offshore wind power construction. At the same
wind power concession projects. time, enterprises related to offshore wind power
2. Simplify service procedures; the use of one-stop also introduced some enterprise standards and
service enterprise management rules. The laws and regu-
Denmark’s one-stop service is big leader lations including Renewable energy law, develop-
in this. The Danish Energy Agency (DEA) as ment guidance catalogue of the renewable energy
the sole competent authority greatly simplifies industry, The eleventh five-year plan of renewable
the workflow of Denmark; successful bidder energy development, Offshore wind power devel-
applicants can obtain a license from the DEA’s opment and construction management interim
office. The British established Offshore Renew- measures, Offshore wind power development and
able Energy Approval Unit (ORCU) for permit construction management interim measures for
applications. the implementation details, The Twelfth Five-Year
3. Extends onshore grid; distributes grid costs Plan for wind power technology development.
reasonably The development of offshore wind power in
Denmark and the UK take offshore wind farms China has just begun and the laws and regulations
grid as an extension from the onshore area to are not perfect. For example, as for project exami-
the sea. Denmark make the grid cost socializa- nation and approval, the existing laws and regu-
tion, the Transmission System Operator (TSO) lations are published for oil and gas, or shipping
and System Operator (SO) is responsible for requirements. These laws and regulations may seri-
investments of planning and implementation in ously hinder the development of the offshore wind
311

power, make the examination and approval proce- wind and policy system. Foreign experiences are also
dure very complex and full of uncertainty, increas- referred. The report gives a rational policy system of
ing the cost and time of the project and eventually offshore wind power in China. These proposals aim
increase the risk of failure of the project. Besides, as a guide to national policy to help the state grid
at present as our country adapts the franchise bid- company learn about the the trends of offshore wind
ding policy for grid purchase price and the lowest development, to make the rights and obligations of
bidder has higher weight, it will inevitably make the parties involved clear, to create good conditions
some powerful enterprises depress electricity price for offshore wind power industry development and
in order to be able to get the offshore wind power to promote its healthy development.
bidding rights and management rights; eventually
it will harm the development of offshore wind.
ACKNOWLEDGEMENT
For the sake of the healthy and orderly devel-
opment of China’s offshore wind power, foreign
This paper is supported by National Nature Science
advanced experiences are also referenced, the fol-
Foundation of China (51337005) and the project
lowing suggestions are put forward:
of State Grid Corporation of China for Key Tech-
1. At the beginning of the offshore wind power nologies of Offshore Wind Farm Development
development, the government should publish and Integration.
some policies to support the offshore wind
power development. Laws and regulations sys-
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312

A power response characteristics equivalent model for the hybrid energy

storage system
P. Chen, F. Xiao, X.W. Wang & H. Yang

State Key Laboratory of Advanced Electromagnetic Engineering and Technology, Huazhong University of
Science and Technology, Wuhan, China
Z.L. Yang & L.J. Wang

State Grid Hubei Electric Power Company, Wuhan, China
ABSTRACT: Aiming at the different power response characteristics between the battery and super-
capacitor for the hybrid energy storage system in the distributed generation system, this paper puts
forward a power response characteristics equivalent model for the hybrid energy storage system. In the
model, the transfer function is used to describe the power response characteristics for the battery, super-
capacitor and power converter system. Then, control strategies of the hybrid energy storage system are
used to analysis the model in simulation. The results show that the equivalent model can accurately reflect
the power response characteristics of the hybrid energy storage system.
Keywords: hybrid energy storage system; power response characteristics equivalent model; control
strategies
1 INTRODUCTION In order to make a research on the stabiliz-

ing function of power fluctuation by the storage
The output power of distributed power (such as energy system, scholars established different kinds
photo-voltaic power and wind power) is affected of models for the energy storage system. Generally
enormously by the external environment factors, speaking, the modeling of energy storage system is
showing the characteristics of instability and composed of three aspects: battery, SC and power
randomness. After they are accessed to the power converter system. The circuit models of both are
grid distributively in high density, their fluctuating established respectively in [3,4], based on the circuit
power might present a tremendous influence on characteristics of battery and SC, which reflected
the main power grid, with the consequence of har- the charge/discharge characteristics of theirs pref-
monic pollution and system’s unstable operation. erably. Reference [5] established a circuit model of
For this reason, it can stabilize the power fluctua- power converter system and conduct an in-depth
tion of the main power grid by the connection of study on its control algorithm as well. For the single
energy storage system, so as to improve the power energy storage system of battery, in [6,7] the battery
quality and system stability. The traditional bat- was simulated by adopting the general battery simu-
tery provides the advantages of high energy den- lator, based on which designing a control strategy.
sity, easy operation and maintenance. But the Reference [8,9] set up the DC bus type topology of
disadvantages are its low power density, short hybrid energy storage system, in which battery and
cycle life and slow velocity of charge/discharge SC were connected by bi-directional DC converter
response. As a new type of energy storage ele- and fulfilled the grid connection of DC bus by the
ments, Super-Capacitor (SC) has the virtue of high use of power converter system, and also designed
power density, long cycle life and high efficiency the control strategy of bi-directional DC/DC con-
of charge/discharge. Nevertheless, because of the verter and power converter system correspondingly.
relatively low energy density, it will reach the limit A detailed circuit model of hybrid energy storage
within a short period of time. As a consequence, if system in AC bus type is built in [10], then by the use
mixing battery up with SC to constitute a hybrid of filter, distributed the power commands of hybrid
energy storage system, it can make full use of the energy storage system between the battery and SC to
advantages of both to improve the performance of achieve the function of stabilizing the power fluctu-
energy storage system and stabilize the power fluc- ation of in hybrid energy storage system effectively.
tuation of system effectively. By means of analyses on control model of power
313

converter system, Reference [12] developed the sim- will use the structure in common AC bus type, as
plified model of power response characteristic of shown in Figure 1.
power converter system, yet lacking the analyses on In Figure 1, the battery was connected directly
power response characteristic of battery and SC. to the AC bus via PCS. SC and bi-directional DC/
To sum up, in the majority of studies on the DC converter were linked together, then connected
energy storage system nowadays, a detailed circuit in parallel to the AC bus via PCS. This kind of
model of energy storage system will be built at first topology structure is conducive to extend and easy
and then the control strategy of it will be tested. to be joined up by the AC load [5].
Because of complex circuit models of energy stor-
age system, the circuit models of battery and SC
cannot accurately reflect the response character- 3 EQUIVALENT MODEL OF POWER
istic on power correspondingly. In addition, the RESPONSE CHARACTERISTIC OF
circuit models of battery, SC and power converter HYBRID ENERGY STORAGE SYSTEM
system used by researchers are usually different,
which has a negative effect to compare the power The power response characteristic of energy stor-
tracking effects of hybrid energy storage system age system is not only related to its element but also
with different control strategies. closely related to the control strategy of PCS. Ref-
Therefore, considering the disadvantages of the erence [12] takes the control strategy of PCS into
exiting circuit model for energy storage system, account and derives the power response character-
this paper established the equivalent model for istic of PCS. When studying the real-time power
power response characteristic of hybrid energy tracking process of energy storage system, PCS
storage system based on the response character- power control process can be simplified as 1 order
istic of reference power executed by battery, SC dynamic model, which is shown in Figure 2.
and power converter system, which was aimed at In Figure 2, Pset–p and Qset–p is the active and
the hybrid energy storage system in AC bus type. reactive power reference command value of PCS,
Then the power equivalent model was tested by dif- Pp and Qp is the actual input and output power, Tp
ferent kinds of hybrid energy storage system con- is the power response time constant of PCS.
trol strategies in PSCAD. The simulation results Because of the huge difference in response speed
proved the power equivalent model for the hybrid of the reference power between battery and SC, at
energy storage system raised by this paper, with the same power reference level, the response speed
the advantages of simplicity and reliability, could of SC is faster, usually it has a power response
be used to check out the effectiveness of hybrid time of 10 ms level, while battery of 100 ms level
energy storage system control strategies rapidly. [6]. In a practical application, the power response
time of power converter system is in 10 ms level.
The power response time of all three is shown in
2 STRUCTURE OF THE HYBRID ENERGY Figure 3.
STORAGE SYSTEM
There are various kinds of topology structures of

hybrid energy storage system [11], in this paper, we
Figure 2. Equivalent control diagram of the PCS.
Figure 1. The structure diagram of the hybrid energy Figure 3. The power response time of SC-PCS and
storage system. Battery-PCS.
314

response characteristics to reference power.
Wherein the power response of Battery-PCS is
slow, and its model’s power response time constant
is large; but SC-PCS responses fast and the time
constant is small. So this paper adopts transfer
Figure 4. The structure diagram of the power response
function to describe power response process of
characteristics. hybrid energy storage system and establish a com-
plete hybrid energy storage system power response
characteristics equivalent model.
In Figure 3, the power response time of PCS is
tp which is small, and the power response time of
the battery and SC is tb and tsc respectively. Now 4 CONTROL STRATEGY
this paper connects battery and PCS together to
be Battery-PCS, whose power response time is tb–p, For the response characteristics equivalent model
and tb–p= tb + tp; Accordingly, the power response of hybrid energy storage system, this paper adopts
time of SC-PCS is tsc–p, and tsc–p = tsc + tp. Therefore, a low-pass filter on the active power reference
the significant difference between battery and SC instruction of hybrid energy storage system, con-
on the power response time is the main reason that siders the low-frequency component of active
causes Battery-PCS and SC-PCS’s differences on power reference instruction as reference power
response characteristics of reference power, and instruction of Battery-PCS and its high-frequency
PCS’s access increases the power response time component as reference power instruction of SC-
tp and their delayed response effect of reference PCS, and takes into account the overcharge and
power fixedly. over-discharge protection and maximum charge/
For the battery and SC and PCS are nonlinear discharge power limit control of energy storage
units, it’s difficult to obtain their precise math- elements. And through input and output power
ematical expression on response characteristics. To in real-time computing, the state of charge of the
describe the delayed effects and simplify the equiv- energy storage system is
alent process of power response, and test hybrid
t
energy storage system control strategy quickly and
efficiently, this paper puts forward a power equiva- QSOC _ b QSOC _ b
∫ Pb
− 0
p (t )dt
p p0 (3)
lent model for the hybrid energy storage system, Eb p_N
which adopts transfer function to consider the t
response characteristics of the complex circuit to
QSOC _ sc QSOC _ sc
∫ Psc − p (t )dt
− 0
reference power as simple first-order inertia link to p p0 (4)
Esc − p N
express its power response process. The response
process of energy storage system to reference For hybrid energy storage system of traditional
power in Figure 3 is equivalent to Figure 4. circuit model, there are Battery-PCS and SC-PCS’
For the power response equivalent process of reference power instructions through the same
SC-PCS above, its mathematical expressions in the method. The battery’s terminal voltage changes
complex frequency domain is showed as follows. little, so we could adopt power control on the
Battery-PCS directly, and considers Battery-PCS
Psc − p ( s ) = Psc
sc p _ ref
e ( s ) ⋅ G sc p (s) (1) reference power instruction as targets of PCS
1 power tracking.
Gsc − p ( s ) = (2) The terminal voltage of SC changes a lot in the
1 + sT
Tsc − p
charge/discharge process, so connecting bidirec-
tional DC/DC converter between the SC and PCS,
where, Psc − p ref represents reference power of SC-
and coordinating and switching control for bidi-
PCS, and Psc–p expresses its actual input and out-
rectional DC/DC and PCS.
put power, and Gsc–p(s) is equivalent to its power
response process, and tsc–p is its power response 1. When the reference power Psc − p ref > 0 (SC
time constant and indicates its tracking delayed discharges), PCS is in the inverter operation.
degree to power. tsc–p values 3tsc–p on account of The way that DC voltage of PCS is controlled
the tracking time of first-order inertia link in the by bidirectional DC/DC maintains PCS’ stable
Figure 3. DC voltage and ensures that it works properly;
As shown in Figure 3, the power response char- meanwhile, PCS adopts power control to track
acteristics equivalent model of SC-PCS above the reference power instruction of SC-PCS.
also applies to Battery-PCS, the power response 2. When the reference power Psc − p ref < 0 (SC
time constant in the model reflects their different charges), PCS is in rectification work status.
315

And PCS control its DC voltage to maintain its Test 1 and the control method of literature [10]
normal work. Meanwhile, the power control on to test the model partly. Literature [10] takes into
bidirectional DC/DC converter is used to track account the charge/discharge state of battery and
the reference power instruction of SC-PCS. SOC values of SC, adjusts filter time constant of
the low-pass filter in real time and coordinates
the overcharge and over-discharge protection and
maximum charge/discharge power limit control for
battery and SC energy storage system to optimize
5.1 Parameter settings
the regulating capacity of the whole system. In the
Test 1: Compare the power response situations trial, set the low-pass filter time constant initial
of traditional hybrid energy storage system cir- value Tf0 = 5, and the filter time constant Tf varies
cuit model (model ) and response characteristics between [2,8]. Set the normal operating voltage of
equivalent model (model ) of hybrid energy stor- the battery as [500 V, 550 V], whose initial value of
age system. In simulation, the inherent delay time SOC is 0.7; set normal operating voltage of the SC
of PCS is tp = 60 ms, and the power response time of as [100 V, 400 V], whose initial value of SOC is 0.8,
battery is 100 ms level, and set the power response and energy storage element parameters of the bat-
time constant of Battery-PCS as Tb–p = 0.1; the tery and SC are shown in Table 1.
power response time of SC is 10 ms level, and set Setting the power response characteristics equiv-
the power response time constant of SC-PCS as alent model of hybrid energy storage system and the
Tsc–p = 0.015 ; low-pass filter values Tf0 = 5. circuit model system of traditional hybrid energy
Test 2: Compare the power tracking effect of storage with the control model in PSCAD. Simula-
hybrid energy storage system under different con- tion time of the system is 9 s. For convenient, ana-
trol strategies. Based on the hybrid energy stor- lyzing the reference active power and actual active
age system power equivalent model, this paper power in simulation time [70 s, 73 s]. The simula-
uses control strategies (control strategy ) of tion results are obtained as shown in Figure 5.
Table 1. The main parameters of energy storage element.
Parameters Qsoc min Qsoc max Qsoc low QSOC high Pmax/W EN/(kW⋅h)
Battery 0.1 0.99 0.4 0.8 ±50 10

SC 0.2 0.95 0.4 0.8 ±50 0.4
Figure 5. The situation of the hybrid energy storage Figure 6. The situation of the Battery-PCS power
system power tracking. tracking.
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Figure 5 shows that the tracing results for refer-
ence active power of the power response charac-
teristics equivalent model of hybrid energy storage
system and the circuit model system of traditional
hybrid energy storage are basically uniform. From
Figure 6 and Figure 7 analysis, two kinds of model
of SC-PCS power command tracking the situa-
tion is basically the same, because the power of
SC-PCS traditional circuit model of SC response
time is very short, can be ignored, its response to Figure 9. The filtering time constant for control
the reference power is mainly embodied in the strategy .
power of the PCS response characteristics; While
the two Battery-PCS models’ power tracking is
slightly different mainly because of the Battery-
PCS traditional circuit model can not effectively
reflect the battery power response characteris-
tics of power battery, the PCS response also just
reflects the power of the PCS response character-
istics. The reason of the two Battery-PC models’
power response characteristics different is that
traditional hybrid energy storage system circuit Figure 10. The SOC of the battery and SC.
model’s problem. The simulation results show that
the proposed hybrid storage energy system power
response characteristics model can better reflect the energy storage system response characteristics
of the reference power.
Based on power response characteristics equiva-
lent model for the hybrid energy storage system,
using the control strategy 1 and control strategy 2
to control the system. The simulation results are
obtained as shown in Figuers 9 and 10.
Figure 9 shows that the change progress of
hybrid energy storage power response characteris-
tics model’s low pass filter time constant using the
control strategy 2. While using the control strategy
1, the time constant is a constant.
In the control strategy 1, the energy storage ele-
ment’s variation range is wider. That illustrate the
use of control strategy 2 can effectively reduce the
charge/discharge depth of energy storage element,
which can consistent with the design purpose of
control strategy 2.
The power response characteristics equivalent
model for the hybrid energy storage system is effec-
tive. And the power response characteristics model
can quickly test the validity of the hybrid energy
storage system control strategies.
Figure 7. The situation of the SC-PCS power tracking.

6 CONCLUSION
Aiming at the hybrid energy storage system with

the AC bus, this paper puts forward a power
response characteristics equivalent model for the
hybrid energy storage system. The model accu-
rately reflects the hybrid energy storage system’s
power response characteristic. Based on that, using
different hybrid energy storage system control
Figure 8. The SOC of the battery and SC. strategies to test the model. The results show that
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power response characteristics equivalent model [7] Katsuhisa Yoshimoto, Nanahara, Koshimizu. New
for the hybrid storage energy system proposed in Control Method for Regulating State-of-Charge of
this paper is simple and effective. a Battery in Hybrid Wind Power/Battery Energy
In following study, based on the present model, Storage System, Power Systems Conference and
Exposition, 2006. PSCE ‘06.2006 IEEE PES.
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and used in engineering. Application of hybrid energy storage system of
super-capacitors and batteries in amicrogrid [J].
Automation of Electric Power Systems, 2010,
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318

The research for power allocation strategy of the hybrid energy storage
units in distributed generation system
Z.L. Yang
P. Chen
State Key Laboratory of Advanced Electromagnetic Engineering and Technology,
Huazhong University of Science and Technology, Wuhan, China
L.J. Wang & Y.H. Wang

F. Xiao, X.W. Wang & H. Yang

State Key Laboratory of Advanced Electromagnetic Engineering and Technology,
ABSTRACT: Aiming at the hybrid energy storage units with AC bus lines in distributed generation sys-
tem, this paper puts forward a power allocation strategy for the hybrid energy storage units. The method
retarded the over-charge/over-discharge phenomena of the energy storage units by adjusting the SOC
values of the energy storage units in a certain range, through the power command of low-pass filter’s
effective distribution between the battery and super-capacitor, according to the SOC value of the battery
and super-capacitor. At the same time, it took the state of charge/discharge into account, adjust the filter
time constant to ensure that the SOC value of the energy storage units is maintained in a certain range.
In PSCAD, the simulation results prove the effectiveness of power allocation strategy in hybrid energy
storage units.
Keywords: hybrid energy storage units; low pass filter; power allocation strategy
1 INTRODUCTION A hybrid energy storage units can make full use of

the advantages of both to improve the perform-
When the output power in distributed generation ance of energy storage system and stabilize the
system is connected to the power grid, its fluctu- power system fluctuation effectively.
ating power might present a tremendous influence In order to improve the operation and the control
on the grid, with the system’s unstable operation. performance of the energy storage units, Reference
For this reason, it can stabilize the power fluctua- [6] proved that hybrid energy storage units could
tion of the main power grid by the connection of improve its ability of power output by taking
energy storage units, so as to improve the power advantage of both battery and SC. References [7,8]
quality and system stability. There are many types build DC bus energy storage units model. In this
of energy storage units, usually including two model, the battery connected SC through bidirec-
kinds: energy type storage units, such as the bat- tional DC/DC converter, then connect the DC bus
tery, provides the advantages of high energy den- via Power Converter System (PCS). This model
sity with easy operation and maintenance. But the used the mul-hysteresis control to make energy
disadvantages of low power density, short cycle storage system flexible, but the DC bus is not con-
life and slow velocity of charge/discharge response ducive to extend. According to the filter of power
are also obvious. Power type storage units, such as signal’s filter processing for power signal and the
Super-Capacitor (SC), flywheel energy storage, has measured battery State Of Charge (SOC, State Of
the virtue of high power density, long cycle life and Charge), References [9,10] took the capability of
high efficiency of charge/discharge. Nevertheless, the energy storage units into account, then adjust
because of the relatively low energy density, it the time constant of the filter to make an adjust-
will reach the limit within a short period of time. ment on charge/discharge power regulating of the
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battery. Because this system only used a structure acutely. SC used first-order RC model to simu-
of single battery storage unit, it was difficult to late its charge/discharge process, while PCS of
make response of high frequency components of three-phase voltage rectifier/converter. Then PCS
power signals accurately. By the power command designed its control strategy to improve the charge/
of low-pass filter’s effective distribution between discharge process of battery and SC. Bi-directional
the battery and SC, Reference [12] pointed out that, DC/DC converter was linked between SC and
based on the use of hybrid energy storage units PCS, which could transfer power between them
with AC bus type topological structure, it could effectively.
have a realization SOC value of SC optimization
adjustment by adjusting the filter time constant, in
consideration of the SOC value of the battery and 3 CONTROL STRATEGIES FOR THE
the SC and the state of charge/discharge. However, HYBRID ENERGY STORAGE UNITS
the units have a lack of optimal adjustment for the
SOC value of the battery. As the voltage of battery and SC changes dif-
On the basis of existing research, aiming at the ferently when charging/discharging, this paper
AC bus type of the hybrid energy storage units, this designs corresponding control strategies for them
paper made a research of the power allocation strat- with input/output active instruction given by the
egy of hybrid energy storage units. The first mission energy storage units, and ignores reactive power
is to identify the determination of equivalent model support of the energy storage units for the grid.
of battery, SC and PCS; Then, for the shortcomings The battery’s port voltage changes little in the
of traditional hybrid energy storage power alloca- charge/discharge process, and the DC voltage of
tion strategies in control system, it made a design of PCS can maintain the normal operation of the
power allocation strategy with variable filter time PCS. So this paper adopts power control on the
constant based on the SOC value of the battery Battery-PCS directly, and considers Battery-PCS
and the SC and the state of charge/discharge of reference power instruction as targets of PCS
the two; Finally, through PSCAD simulation, the power tracking whether PCS works in rectifier or
results proved the effectiveness of power allocation inverter status.
strategy in hybrid energy storage units.
1. When the reference power of SC-PCS Psc* − p > 0,
the SC is in a discharged state that PCS works in
2 STRUCTURE OF THE HYBRID ENERGY the inverter operation. The bidirectional DC/DC
STORAGE UNITS is controlled to stabilize DC voltage of PCS to
ensure the normal working in the inverter status;
This paper uses the structure in common AC bus at the same time, the power control of PCS is used
type, which is conducive to extend. The battery to track the reference power Psc* − p of SC-PCS.
is connected directly to the AC bus via PCS. SC 2. When the reference power of SC-PCS Psc* − p < 0,
and bi-directional DC/DC converter are linked SC is in a charged state that PCS works in the
together, then connected in parallel to the AC bus rectifier operation. And the DC voltage con-
via PCS, as shown in Figure 1. trolled by PCS maintains its normal work.
In this paper, the battery used PNGV model Meanwhile, the current control on the bidirec-
because the battery in wind power need charge/ tional DC/DC converter is used to track the ref-
discharge frequently, and the current fluctuated erence power Psc* − p of SC-PCS.
4 A POWER DISTRIBUTION STRATEGY

BASED ON THE SOC AND CHARGE/
DISCHARGE STATUS OF ENERGY
STORAGE UNITS
4.1 Power allocation

According to the characteristics of hybrid energy
storage units architecture, the low-pass filter per-
forms filtering on the active reference instruction
of hybrid energy storage units and considers its
low-frequency components as the reference power
Pb* p of Battery-PCS and high frequency compo-
nents as the reference power Psc* − p of SC-PCS. The
Figure 1. The structure diagram of the hybrid energy expressions in the complex frequency domain are
storage units. as follows.
320

1 Due to the limited capacity of energy storage
Pb* p ( s ) = *
PHESS (s) (1) units, the way that tries to minimize the SOC vari-
1 + sT
Tf ation range of energy storage units can relieve the
sT
Tf overcharge and over-discharge phenomenon to
Psc* − p s ) = PHES
HESS ( s ) − Pb − p ( s ) =
* * *
PHESS (s) some extent. The SOC value of energy storage
1 + sT
Tf units is divided into three zones as shown below,
(2)
and [ SOC low , high ] is the normal working zone
where, Tf is the filtering time constant of the low- of energy storage units.
pass filter, and its value is determined by fluc- To control the SOC value of the lithium battery
tuation band active reference instruction and the and SC to maintain the value at the target zone
energy storage capacity of battery and SC. C low ,
[ SOC high ] , it is necessary to judge charge-
Due to the limited capacity, the battery and SC discharge state of battery and SC, and the region
are easily in over-charge and over-discharge states of SOC value comprehensively.
in practical work which cause damage of energy If Pb* p 0, Psc* − p > 0, which means that Battery-
storage units. Therefore, this paper takes into PCS and SC-PCS are in a discharged state, in
account the overcharge and over-discharge protec- this case the SOC value of energy storage units
tion and maximum charge-discharge power limit becomes smaller, and tends to return to the target
control of energy storage units. And through the zone [ SOC low ,
C low high ] , so Tf remains unchanged.
input-output power in real-time computing, the If Pb* p 0, Psc* − p < 0, the Battery-PCS is in dis-
state of charge of energy storage units is charged status and the SC-PCS is in charged status.
At this moment. The control objectives should be
t
Cb p (t ) = SOC
SOC Cb
∫ Pb
− 0
p (t )dt
(3)
to increase discharge power of the battery, reduce
charge power of the SC, and decrease the filtering
p0
Eb p_N time constant of low-pass filter, so T f T f 0 − ΔT f .
t
If Pb* p 0, Psc* − p > 0 , the Battery-PCS is in
Csc − p (t ) = SOCsc
SOC
∫ Psc − p (t )dt
− 0 (4)
charged status and the SC-PCS is in discharged
sc p0 status. The control objectives should be to increase
Esc − p N discharge power of the SC and reduce charge
power of the battery, so T f T f 0 + ΔT f .
Among them, SOC Cb p (t ) and SOC Csc − p (t ) are If Pb* p 0, Psc* − p < 0 , which means that Battery-
the real-time SOC value of the battery and SC; PCS and SC-PCS get charge instruction and are
SOCCb p 0 and SOC Csc − p 0 are their initial value in a charged state. The way that changes the filter-
respectively; Pb p (t ) and Psc − p (t ) are their real- ing time constant directly can’t make an optimal
time input-output power respectively; Eb p _ N adjustment of the charge/discharge power between
and Esc − p N are their energy storage capacity them. Therefore, the charge power should be both
respectively. reduced in the meantime, and the reference power
adjustment formula are as follows:
4.2 Control criterion
To further alleviate the overcharge and over- ⎧ ⎧⎪ SOC Cb p ⎫⎪
Cb p max SOC
⎪Pb* p( ) Pb* p max ⎨0, ⎬
discharge status of energy storage units, this ⎪⎪ ⎪⎩ SOC
Cb p max SOC
Cb phigh ⎪⎭
paper regulates the filtering time constant of the ⎨
low-pass filter by feedback through the SOC value ⎪ * ⎧⎪ SOC
Csc− p SOCsc− p ⎫⎪
− SOC
and charge/discharge status of battery and SC to ⎪Psc− p = Ps*c− p max ⎨0, ⎬
⎪⎩ Csc− p max − SO
⎩⎪ SOC S Csc− phigh ⎭⎪
adjust the charge/discharge power of battery and
SC in real-time and improve the power allocation (5)
strategy of hybrid energy storage units. The larger
the filtering time constant Tf of the low-pass filter
is, the smaller the cut-off frequency fc Tf
is, the wider spectrum the SC are assigned, there-
fore, the larger power the SC charges/discharges
and the less charge/discharge power the battery
decreases; On the contrary, the smaller the filter-
ing time constant is, the larger power the battery
charges or discharges and the less charge/dis-
charge power the SC decreases. Thus, changing
the value of the filtering time constant can adjust
the charge/discharge power of battery and SC in
real time. Figure 2. Zoning the energy storage units SOC.
321

Table 1. The control results of the filtering time constant and power adjustment.
SOC regional judgment State of charge and discharge Tf
SOC b ≥ SOC
Cb phigh ; * * Tf no change
p
Pb p 0, Psc − p > 0
SOC sc − p SOC sc − phigh
Pb
* *
0, Psc − p < 0 Tf Tf 0 − ΔTf
p
*
Pb p 0,
*
Psc − p >0 Tf Tf 0 + ΔTf
Pb
* *
0, Psc − p < 0 Formula (5)
p
SOC b ≥ SOC
Cb phigh ; * Tf Tf 0 − ΔTf
p
Pb p >0
SOC sc − p SOC sc p
< SOC sc phigh
Pb
*
<0 Tf Tf 0 + ΔTf
p
SOC b ≥ SOC
Cb phigh ; * * Tf Tf 0 − ΔTf
p
Pb p 0, Psc − p > 0
SOC sc − p SOC sc − plow
* * Tf no change
Pb p 0, Psc − p < 0
* * Formula (6)
Pb p 0, Psc − p > 0
* * Tf Tf 0 +ΔTf
Pb p 0, Psc − p < 0
SOC
Cb SOC
Cb phigh ; * Tf Tf 0 + ΔTf
plow b p
Pb p >0
Pb
*
<0 Tf Tf 0 − ΔTf
p
Target area Any charge and discharge status Tf no change
SOC
Cb SOC
Cb phigh ; * Tf Tf 0 − ΔTf
plow b p
Psc − p > 0
*
Psc − p < 0 Tf Tf 0 + ΔTf
SOC b < SOC

Cb plow ; * * Tf Tf 0 + ΔTf
p
Pb p 0, Psc − p > 0
* * Formula (7)
Pb p 0, Psc − p < 0
* *
Tf no change
Pb p 0, Psc − p > 0
Pb
* *
0, Psc − p < 0 Tf Tf 0 − ΔTf
p
SOCli SOC low _ li ;

Pb
*
>0 Tf Tf 0 + ΔTf
p
SOC sc − p SOC sc p
< SOC sc phigh
Pb
*
p <0 Tf Tf 0 − ΔTf
SOC b < SOC
Cb plow ; * * Formula (8)
p
Pb p 0, Psc − p > 0
Pb
* *
0, Psc − p < 0 Tf Tf 0 + ΔTf
p
Pb
* *
0, Psc − p > 0 Tf Tf 0 − ΔTf
p
Pb
* *
0, Psc − p < 0 Tf no change
p
322

Table 2. The main parameters of energy storage units.
Parameters SOCmin SOCmax SOClow SOChigh Pmax/W EN/(kW ⋅ h)
Battery 0.1 0.99 0.4 0.8 ±50 10

SC 0.2 0.95 0.4 0.8 ±50 0.4
Among them, Pb* p( ) is the reference power of

Battery-PCS after power adjustment, and Psc* − p( )
is the reference power of SC-PCS after power
adjustment.
According to the type, SOC region and charge/
discharge status of energy storage units, there can
be 36 different kinds of working conditions of bat-
tery and SC as shown in Table 1.
In the table, the power adjustment formula (6)
(7) (8) and the power adjustment formula (5) adopt Figure 3. Variable low pass filtering time constant in
the similar way to adjust the charge/discharge ref- Test 1.
erence power of the energy storage units.
⎧ ⎧⎪ by using low pass filter. The over-charge and over-

SOC Cb p ⎫⎪
Cb p max SOC
⎪Pb* p( Pb* p max ⎨0, ⎬ discharge protective control and maximum power
)
⎪⎪ ⎪⎩ SOC
Cb p max SOC
Cb phigh ⎪⎭ limit control of charge/discharge are used respec-
⎨ tively to battery and SC.
⎪ * ⎧⎪ SOC SOCsc− p min ⎫⎪
Csc− p − SOC Test 2 uses the hybrid energy storage units power
⎪Psc− p = Ps*c− p max ⎨0, ⎬ allocation strategy which proposed in this paper.
⎪⎩ Csc− plow − SO
⎩⎪ SOC S Csc− p min ⎭⎪
Considering the battery and SC’s SOC value and
(6) their charge/discharge state. Time constant of low
pass filter is adjusted all the time. In order to opti-
⎧ ⎧⎪ SOC
Cb p SOCCb p min ⎫⎪ mize the storage elements’ regulating ability and
⎪Pb* p( ) Pb* p max ⎨0, ⎬ relief the storage elements’ charge/discharge state.
⎪⎪ ⎩⎪ SOC
Cb plow SOC
Cb p min ⎭⎪
The initial time constant is set to T f 0 = 5 . Filter
⎨ time constant changes between [2,8]. Normal
⎪ * ⎪⎧ SOC
Csc− p SOCsc− p ⎪⎫
− SOC
⎪Psc− p = Ps*c− p max ⎨0, ⎬ working voltage of battery is between [500 V, 550
⎪⎩ ⎩⎪ SOC
C sc− p max − S O
OC
Csc− phigh ⎭⎪ V]. The initial SOC value is 0.7. Normal working
voltage of SC is between [100 V, 400 V]. The ini-
(7) tial SOC value is 0.8. Parameters of battery and SC
energy storage units are shown in Table 2.
⎧ ⎪⎧ SOC
Cb p SOC Cb p min ⎪⎫
⎪Pb* p( ) Pb* p max ⎨0, ⎬
⎪⎪ ⎩⎪ SOC
C b plow SOC
Cb p min ⎭⎪
5.2 Simulation results
⎨
⎪ * ⎧⎪ SOC SOCsc− p min ⎫⎪
Csc− p − SOC The simulation time is 90 s. The simulating step
⎪Psc− p = Ps*c− p max ⎨0, ⎬ Δt = 10us. In order to analyze conveniently, the ref-
⎪⎩ Csc− plow − SOC
⎪⎩ SOC OCsc− p min ⎪⎭
erence power and real input power of simulation
(8) time [80 s, 83 s] is extracted to analyze. The simula-
tion results are obtained as shown in Figure 3.
Figure 3 is the change progress of low pass filter
in test 2. According to the battery’s SOC value and
SC’s SOC value and their charge/discharge state,
5.1 Parameters setting
we can get the comprehensive judgment.
In order to verify the correctness of the hybrid From the analysis of Figure 4, 5, 6, the power
energy storage units power allocation strategy, this tracking ability of Battery-PCS and SC-PCS are basi-
paper build the hybrid energy storage units model cally the same, with using the two kinds of control
and the modular of hybrid energy storage units strategies. Power allocation strategy of hybrid energy
power allocation strategy in PSCAD. storage units, which is proposed in this paper, is right.
In the simulation, setting two contrast test: test From the analysis of Figure 7, battery’s SOC
1 is basic control strategy. The power is distributed value is working in normal region. In the test 1,
323

6 CONCLUSION
According to hybrid energy storage units with the

AC bus type, this paper proposes the variable filter
time constant power allocation strategy which basic
on battery’s and SC’s SOC value and their charge/
discharge state. The power allocation strategy can
adjust the SOC value of battery and SC compre-
hensively, and reduce the change region of the SOC
value, and reduce the charge/discharge phenome-
non of energy storage units to some extent.
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324

Research on the control of temperature of batch reactors

by multi-media in the reactor jacket
H.B. Li, D.Y. Feng & H. Liu

Mechanical Engineering and Automation College, Liaoning University of Technology, Jinzhou, China
ABSTRACT: Addressing the need of temperature control of batch reactors, which makes a great differ-
ence in multi-section reaction temperature, the jacket process with which heating or cooling multi-medium
was designed, and liquid hot-or-cold mediums with similar properties which share the temperature con-
trol valve and to simplify the system structure. The design of the jacket medium auto-identifying, auto-
emptying and auto-switching control system, solved the problems of a complex operation process, low
efficiency and an error-prone factor when a multi-medium switches to manual operation. By using the
memory valve operation to identify the current media of the jacket, it worked out the difficulties of sensor
measuring various medium components. The influencing factors at the time of emptying the jacket was
analysed, the relation of emptying time with the pressure of compressed air was associated, and the emp-
tying end was determined on the basis of the time, to solve the problems of detection of emptying end-
point in multi-medium and complex conditions. The practical application shows that the system has the
advantages of a simple structure, medium high efficiency switching as well as high safety and reliability.
Keywords: batch reactor; auto-switching; medium identification; emptying jacket
1 INTRODUCTION 2 THE DESIGN OF JACKET MULTI

MEDIUM SWITCHING PROCESS
In the production process of the batch reactor,
the reaction temperature conditions were always The temperature response amplitude of the dif-
changing by the reaction process. Single heating ferent process steps was different to a great degree
or cooling medium was difficult to meet the needs in the batch reactor reaction process of a good
of temperature control when the reaction tem- chemical company. According to the analysis of
perature amplitude in different stages was great, the process, the jacket needed to switch 4 kinds
so the technical needs of the temperature was met of hot-or-cold medium in a production cycle,
by changing the different heating or cooling medi- for example, steam, hot water, cooling water and
ums in the jacket at different stages of the reaction brine ice (calcium chloride). Different medium
temperature. pressed the current medium in the jacket back to
Due to the complex process of multi medium, its storage tank by using compressed air before
multiple valves, complex operation process and switching: this was named the jacket “empty”
the low efficiency of manual switching jacket operation, which included air used for emptying
medium, the swift need of process temperature and emergency water. 6 different mediums were
control could not be met, and different mediums connected by the jacket and these mediums were
confused each other easily because of the false strictly prevented from mixing in the switching
operation, which lead to production losses. In process of different mediums. Various mediums
this article, addressing the needs of temperature all had supply and return valves (Emergency
control of batch reactor of a good chemical com- water and cooling water shared the backwater
pany, the jacket multi medium switching process and return circuit to discharge in the circulating
was designed, the automatic switching control pool). The liquid medium was good for filling
was introduced, and the functions of the former the jacket when entering from low and discharg-
medium in jacket such as automatic identifica- ing from high. The steam and compressed air
tion, emptying and switching were embedded in entered from the upper part of the jacket and
the DCS control system and applied to a practical the steam condensate water discharged from the
process: as a result production efficiency and reli- bottom of the jacket. In order to simplify the
ability were improved. system, all kinds of liquid mediums went into
325

Figure 1. The flow diagram of reactor jacket medium.
the jacket through the common temperature

control valve to bring out the automatic control
Figure 2. The structure of the control system.
of temperature; because the difference between
the performance parameters of low pressure
steam and fluid state was great, the steam tem-
perature control valve was used independently 4 THE DESIGN OF CONTROL SYSTEM
to control the temperature. The switching pro-
cess of reaction jacket multi medium is shown in 4.1 The program structure
Figure 1. S7-300 step procedures use the modular structure
It can be seen from Figure 1 that to complete to make the functions of the clamping sleeve cur-
a switch of different medium it needs operating rent media recognition, jacket pressure air opera-
many valves accurately. For example, the operation, medium switch and emergency management,
tion of switching from cooling water cooling to ice etc into different FC logic block. In the produc-
water cooling it needed 4 steps—such as closing tion process controlling FC function, different
the supply or loop of cooling water, connecting FC functions are called according to temperature
the emptying loop, closing the emptying loop and controlling technology in the process, so that the
switching to the ice water circulation loop, Fur- jacket medium can switch automatically. The mod-
thermore, it needed to operate 14 times to complete ular structure of the procedure is easy to cooper-
the switching valve, which had the advantages of ate each other, convenient debugging. Because the
low efficiency in manual operation and were error logical block calls conditionally, and can improve
prone. So it was necessary to use the automatic the utilization rate of CPU. The program structure
control. medium switch is shown in Figure 3.
4.2 The automatic identification strategy

3 THE HARDWARE CONFIGURATION
of the jacket medium
OF CONTROL SYSTEM
To realise the automatic switching of the jacket
The multi section temperature control system of medium, firstly the media in the jacket need to be
batch rector was a part of the production line of identified accurately, so that the current media in the
the DCS system: the DCS system consisted of a jacket can be moved back to the storage tank by the
Siemens S7-300PLC control station and operation circulation loop without medium confusion. In order
station based on WinCC. to make the operation of emptying of the jacket
The automatic emptying program which was medium safe and reliable, the final pass into the jacket
embedded in the DCS system controlled the medium must be accurately identified, no matter if
pneumatic valve by the S7-300 control station to one is producing normally or stopping producing for
consist different medium circulation loops, realis- repairing and operating manually or automatically.
ing the identification, emptying and switching of The medium of public project in the jacket
the jacket medium, and achieved the automatic includes steam, hot water, cooling water and brine
temperature control of different processes by ice and so on. But substance sensors are difficult to
the common control valve entered in the jacket. identify the current medium in the jacket. Through
The structure of the control system is shown in the research and analysis, the recognition strategy
Figure 2. to judge the current media in the jacket according
326

the jacket medium was needed. Emptying opera-
tion was the key of medium safety switch. The key
of jacket emptying operation was to determine the
emptying terminal accurately, to prevent mixing of
different medium.
Because the medium included organic and inor-
ganic substances and mixtures and other com-
ponents, the operating parameters included low
temperature, high temperature and different pres-
sure conditions, there were varies of composition
and parameters. And the medium in the reactor
intermittent operation of pipeline flowed unstead-
ily, always causing pipeline vibration, and the
action of the compressed air in the liquid medium
was prone to bubbles; the jacket condition was very
Figure 3. The structure of the program. complex and this brought in a lot of uncertain fac-
tors to determine the endpoint of emptying.
The conventional terminal of the emptying was
to the state of valve open position feedback when that the liquid switch detected the jacket, which
the medium went into the jacket (supply) valve. was prone to misdescription, causing misjudg-
Just when the state of the open position of some ment of the jacket emptying. Through the research
medium valve was effective, it could be regarded and analysis and field test, taking the emptying
that the jacket passed into this medium. The pro- operation time as the judgment standard of jacket
gram design set identifier of the jacket medium emptying terminal was an economical and feasible
to identify the medium in the jacket, when the scheme.
identifier of different mediums was 1, it could be According to the pipeline energy balance
determined that it was this medium that in the between jacket entrance and medium storage
jacket. The last operation of the medium supply entrance, the following formula was derived
valve could be identified rapidly and accurately
with this method, and it was then that the jacket P1 1 2 P2 1 2
current medium could be deduced. The identifica- + u1 = + u2 ∑ hf
ρ 2 ρ 2 (1)
tion strategy might misjudge in two situations: (1)
When the supply valve of some medium opened
but did not reach the right position. Because PLC In the formula, P1 is the pressure of compressed
had not received the state feedback signal of the air for the jacket, Pa; P2 is the medium storage tank
valve to a right position, the program could not entrance pressure, P2 = 0 (gauge pressure) Pa; u1 is
judge the valve operation and the actual medium the flow rate of the liquid in the jacket entrance,
in the jacket would not change, that is why there u1 ≈ 0 m/s; u2 is the flow rate of the liquid in the
was a misjudgment. (2) Opening another valve for storage tank entrance, u2 = u, m/s; u is the flow rate
the medium artificially in the field when emptying in the pipe; is the total resistance of pipeline.
was in the process of operation, causing different The flow rate of the system changed little, for
mediums to mix, at this time; automatic recogni- the circulation loop that had a certain structure
tion program still went on emptying through the (k is constant).
original medium. Consolidation formula (1) to get
Condition (1) belonged to the valve failure, the P1 ⎛ 1 ⎞ 2
program would send the alarm for processing. = +k u (2)
When the processing was completed, the normal ρ ⎝2 ⎠
recognition would return; Condition (2) belonged
to illegal operation, which was strictly prohibited Type (2) can be written as
in the production. Therefore, the probability of
error was small, and this kind of misjudgment had u P1
not appeared in the practical application.
emptying time is proportional with the velocity
of the fluid in the circulation loop, then
4.3 Jacket automatic emptying
4.3.1 The terminal judgment of emptying θ = K P1 (3)
Called the program of jacket emptying to empty the
current medium in the jacket first when switching K is a constant.
327

4.3.2 The logic of jacket emptying
The logic of Jacket emptying was designed into an
independent FC function, to be called for the pro-
duction process when the temperature changed.
The current medium in the jacket needed judging
first to execute the emptying.
Through closing the valve of the current
medium, the opening or closing of the valve on the
corresponding circulation, the pathway for com-
pressed air and the medium storage tank was for-
mulated, followed by the opening of the valve of
compressed air to emptying. Closing of the valve
of compressed air was done when it reached the
terminal time of emptying. The subprogram of
jacket emptying is shown in Figure 4.
4.4 The switching of jacket medium

When the technological needs of the production
process required a medium heating or cooling, the
program would judge whether the sub-program
should be called according to the identifier of the
current medium in the jacket.
The operation condition of medium switching
was that the current medium in the jacket and the
medium needed to switch were common or to be
air in the jacket, once the current medium in the
jacket and the medium needed to switch were dif-
ferent, the program would operate emptying auto-
matically and when it was completed, medium
switching would work automatically.
5 CONCLUSIONS
The jacket of batch reactor is needed to transfer into

multi hot-or-cold medium to meet the requirement
of temperature control in the production process.
1. The liquid mediums share the temperature con-
trol valve in the jacket multi-media switching
processes.
Figure 4. The flow chart of the program for emptying 2. By using the memory valve operation to real-
jacket. ise intelligent identification of current media,
which does not add any hardware. Its structure
is simple and reliable and it has not seen miscar-
To get the emptying time coefficient K of reac- riage of justice in the practical application.
tor in different structures through field experiment, 3. The emptying end is determined on the basis of
and calculate the emptying end time according to the time, to solve the problems of the difficul-
formula (3), then consider a certain safety margin ties of sensor measuring components in multi-
to be the basis of the judgment for the terminal of medium and the complex conditions, which
jacket emptying. simplify the system structure.
328

Three-phase voltage source PWM rectifier based on space-vector

algorithm and one-cycle control
Long-Fei Ma, Cheng Gong, Zhong-Jun Chi & Jia-Mei Cao

State Grid Beijing Power Research Institute, Fengtai District, Beijing, China
Lin Zhu
School of Electrical Engineering and Automation, Tianjin University, Tianjin, China
ABSTRACT: The traditional three-phase voltage source PWM rectifier has a complicated structure and
can easily produce harmonic voltages. Based on the study of PWM rectifier control algorithm in a single
week, the control law of three-phase voltage source PWM rectifier is deduced, and the vector mode of
one-cycle control algorithm is proposed in this paper. According to the grid voltage cycle which is divided
into six power frequency intervals, in each interval a separate one-cycle control model is established. This
strategy can reduce the switch tube cut-off frequency, at the same time it also does not need a multiplier,
and its control law is easy and can work at a constant frequency. On the basis of the analysis, modeling
on the simulation and experimental study, the results show that it has good dynamic response and static
performance, and has a high power factor and low current distortion.
Keywords: one-cycle control; space-vector; PWM rectifier; fixed frequency; without multipliers
1 INTRODUCTION of the amount charged in a switching cycle track

changes in a given reference can be converted into
In the electric vehicle charging field, with the a linear non-linear switch. And because the tech-
advantages of the grid side current harmonic, nology of one-cycle control, both in steady-state
the low unit power factor, energy bidirectional and transient charged amount it can keep track
flow and constant DC voltage, the PWM rectifier given reference value changes, which can in switch-
has been gradually getting attention; this is espe- ing cycle perturbations can effectively resist the
cially in the research of V2G, V2H, where it has power supply side, eliminate the steady-state and
been used in the research of application. Direct transient errors. Literature [3] is used showing these
Current Control with the advantages of fast advantages to build a resettable integrator, RS flip-
dynamic response is widely used in many control flop, a comparator structure, control mode with-
methods [1]. At present, the methods of direct out multipliers, no power supply voltage detector,
current control are: average current, hysteresis and its experimental study to prove the rightness
current, forecast current and so on; these control of the above conclusions. Based on literature [3],
methods require using of multipliers to produce and literature [4] it proved the One-cycle control
the command current signal. The three-phase and SPWM equivalence relation, and researched
PWM rectifier is a system of multi-input multi- the desigin methods of the controller parameters.
output and time-varying strongly coupled—so Literature [5] and [6] used the algorithm of space
nonlinear distortion generated by the multipliers vector control and one-cycle ontrol method in the
will cause system instability and harmonic distor- grid inverter. Using the space vector algorithmand
tion of input current [2]. reducing the number of turn-off switches within a
So literature [3] proposed a new type of three- cycle time, reduced losses and improved the effi-
phase voltage-type PWM rectifier control method ciency of the system.
that is the one-cycle control. One-cycle control was Based on the above literature, through studying
a new control method proposed by American pro- the three phase voltage PWM Rectifier of one-
fessor Keyue M Smedley and Cuk in the1990s. It cycle and deriving the control law, derive a space-
is a non-linear control technology, Achieve decou- vector mode controller of one-cycle, combining the
pling control of three-phase PWM Rectifier use the space vector control method and one-cycle, divid-
control that resettable integrator enables the use ing the grid voltage in six intervals according tothe
329

frequency cycle, establishing a separate one-cycle 1
control model in each interval. One-single mode uNo (uAN + uBN + uCN ) (4)
3
controller of space-vector has the advantage of
no multiplier, simple structure, constant frequency Take formula (2), formula (4) into formula (1):
operation, simple control and its only two switch
groups working in each interval, reducing switch- ⎧ 1
ing losses and improving efficiency. Finally com- ⎪usa uAN − (uAN + uBN + uCN )
3
pleting experimental research of one-single mode ⎪
⎪ 1
controller of space-vector verifies the theoretical ⎨ usb uBN − (uAN + uBN + uCN ) (5)
analysis. ⎪ 3
⎪ 1
⎪ usc uCN − (uAN
A + uBN + uCN )
⎩ 3
2 CONTROL THEORY
The rectifier at the same bridge arm of the two
2.1 Mathematical model with one-cycle control switches are turned on in a complementaryset.
PWM Rectifier switching cycles is Ts; the duty ratio
Figure 1 is the topological structure of PWM
is di(i = a, b, c): the switch Sa2, Sb2, Sc2 the conduction
rectifier.
time in each clock cycle is daTs, dbTs, dcTs; the above
The device is an ideal device; it ignored the phe-
three switches, Sa1, Sb1, Sc1 the conduction time in
nomenon of magnetic saturation etc, the relation-
each clock cycle is da’ = (1 − da)Ts, db′ = (1 − db)Ts,
ship between the voltage in Figure 1.
dc′ = (1 − dc)Ts. So a, b, c with respect to the point
N of the voltage is:
⎧uAo = uAN + uNo
⎪
⎨ uBo = uBN + uNo (1) ⎧uAN ( da )udc
⎪u = u + u ⎪
⎩ Co CN No ⎨ uBN ( db )udc (6)
⎪u ( dc )udc
⎩ CN
The switching frequency is much larger than
the frequency of supply voltage, so the inductance Take the formula (6) into the formula (5), get
value is relatively small; the voltage across can be the result of a matrix form. The equation can be
negligible, there: obtained by the relationship of the duty cycle and
power phase switching voltage:
⎧uAo usa
⎪ ⎡ 2 1 1 ⎤
⎨ uBo ⎢− 3
usb (2)
⎪u 3 3 ⎥ ⎡d ⎤ ⎡usa ⎤
⎩ Co usc ⎢ ⎥ a
⎢ 1 2 1 ⎥⎢ ⎥ 1 ⎢ ⎥
− db = ⎢usb ⎥ (7)
⎢ 3 3 3 ⎥ ⎢ ⎥ udc
usa, usb, usc are the three phase voltage power ⎢ ⎥ ⎢⎣ dc ⎥⎦ d ⎢
⎣ usc ⎥⎦
supply. ⎢ 1 1 2
− ⎥
In Figure 1, Grid voltage three-phase equilib- ⎢⎣ 3 3 3 ⎥⎦
rium, so ua + ub + uc = 0, added the three equations
of the Formula (1), get that: The formula (7) shows that the coefficient
matrix is a singular matrix, without an only solu-
uAo + uBo + uCo = uAN + uBN + uCN + 3uNo = 0 (3) tion of the equation, the general solution can be
expressed as:
⎧ usa
⎪d a k1 + k2
⎪ udc
⎪ usb
⎨d b k1 + k2 (8)
⎪ udc
⎪ usc
⎪ dc k1 + k2
⎩ udc
k1, k2 are the undetermined coefficients, take

formula (8) into formula (7), getting the range of
Figure 1. Topological structure of PWM rectifier. k1, k2:
330

⎧ k2 = −1 2.2 Model space-vector mode
⎪ of one-cycle control
⎨ usi usi
⎪ u < k1 < 1 + u (i a, b, c ) (9) From literature [6] we know that One-Cycle Con-
⎩ dc dc
trol of the space vector model has divided the grid
voltage frequency voltage into six regions, Within
From the nature of voltage-type PWM Recti- each region, only two of the switches have been in
fier, so usi < udc (i = a, b, c), take the formula (9): working condition, reducing the switching losses
and improving the system’s efficiency.
⎧ k2 = −1 (10) The coefficient matrix in the formula (7) is a sin-
⎨ gular matrix, so the equation is not unique. So set
⎩0 k1 2
the di (i = a, b, c) is 0 or 1; get to determine the value
of the other two.
Achieve unity power factor, the need to satisfy In Figure 2, A frequency cycle of three phase
every phase inductor current to follow the corre- voltage is divided into six regions, setting the di
sponding phase voltage sinusoidal variation, the (i = a, b, c) is 0 or 1 in each regions; get a set of solu-
equation is: tions of the equation; Determine the mathematical
model of one-cycle control in a specific region.
⎧usa isa Re In the 0 ∼ 60°, Set db = 1, db′ = 0, so Sb2 is in a con-
⎪ ducting state in this region, Sb1 is in the off state;
⎨usb isbRe (11)
⎪u isc Re
set db = 1; take formula (11) into formula (7):
⎩ sc
⎧ ⎡1 − da ⎤ ⎡2 1 ⎤ ⎡isa ⎤
Re is the equivalent input resistance of the ⎪U m ⎢
− ⎥ = Rs ⎢1 2 ⎥ ⎢ i ⎥ (14)
circuit, isa, isb, isc is the three-phase inductor ⎨ ⎣ 1 d c⎦ ⎣ ⎦ ⎣ sc ⎦
current. ⎪ d =1
⎩ b
take formula (10), formula (11) into the formula
(8) can be obtained:
Um = Rsudc/Re, By controlling the duty cycle da,
dc to satisfied the formula (14), So that each phase
⎧ da ⎛ d ⎞
⎪Rs isa = U m U m = U m ⎜1 − a ⎟ inductor current isa, isc to follow the corresponding
⎪ k1 ⎝ k1 ⎠ phase voltage usa, usc, so isb follow usb, achieve unity
⎪⎪ db ⎛ d ⎞
power factor.
⎨Rs isb = U m U m = U m ⎜1 − b ⎟ (12) The other five control models can be obtained
⎪ k1 ⎝ k1 ⎠ in the same method; each model is substantially
⎪ d ⎛ d ⎞ similar, so it can be summed up as the same form:
⎪ Rs isc = U m − U m c = U m ⎜1 − c ⎟
⎪⎩ k ⎝ k1 ⎠
1
⎧ ⎡1 − d p ⎤ ⎡ 2 1 ⎤ ⎡i p ⎤
⎪U m ⎢ ⎥ = Rs ⎢ ⎥⎢ ⎥ (15)
Um = Rsk1udc/Re, Rs is the sampling resistor of ⎨ ⎣1 − d n ⎦ ⎣1 2 ⎦ ⎣ in ⎦
the circuit. ⎪
The formula (12) is the one-cycle control ⎩ dt = 1
method’ mathematical model of the three phase
PWM voltage rectifier. It describes the relation-
ship between each phase inductor current and
the DC voltage and the corresponding switch-
ing duty ratio. The frequency Switch-off is much
larger than the frequency of the grid-side power,
so Um can be seen as a constant. In a switching
cycle Ts, the expression form of the integral for-
mula (12) is:
⎧ 1 daTs
⎪Rs isa = U m τ ∫0
U m dt
⎪
⎪ 1 dbTs
τ ∫0
⎨Rs isb = U m U m dt (13)
⎪
⎪ 1 dcTs
⎪ Rs isc = U m τ ∫0
U m dt Figure 2. Power supply voltage power frequency divi-
⎩ sion chart.
331

Dp, dn, dt represent the duty cycle of different 3 SIMULATION AND EXPERIMENTAL
switch, to different areas, ip, in, dp, dn, dt have been ANALYSIS
given different assignments. Figure 1 shows the dif-
ferent areas of the inductor current and the switch Through the above theoretical analysis, a system
to select the operating state: simulation model is built in Matlab/Simulink, as
In Table 1 represents that the switch has always shown in Figure 4. The parameters of the system
been in the conduction state, while 0 represents off simulation model are as follows: AC power supply
state. voltage in the network side us = 220 V, filter induct-
In the combination of Table 1 with equation (15), ance L = 3.2 mh, DC capacitor C = 2000 F, the load
a one-cycle control circuit based on vector mode in the DC side is 60o, when t = 0.4 s a 120o load is
of PWM rectifier could be achieved. Literature [7] added suddenly, power frequency is 50 Hz, switch
shows that the use of a single reset integrator, com- frequency 10 kHz.
pared with each phase current using an individual Figure 5 is the waveform of a three-phase cur-
reset integrator, can automatically eliminate the rent in the network side and the waveform of a
impact of the variable integration time constant phase voltage and a phase current of PWM recti-
on the line side current, and thus has better adapt- fier in the steady state; as shown in the Figure 5,
ability of parameters, so that in this circuit a single the waveform of three-phase current is good and
reset integrator is used. As shown in Figure 3, the symmetrical. Following with a phase supply volt-
circuit structure is divided into four parts: (1) region age, a phase current variants is sinusoidal, whose
determining circuit, which determines the region THD is 2.73%; from literature [8] we can see that
of power supply voltage vector; (2) multiplexing the power factor could be go up to 0.99. As shown
circuit, depending on the regions an appropriate in Figure 6, we can see that the variation of cur-
input supply current is selected; (3) single-cycle rent is not obvious when load is added suddenly,
control core circuit, including adders, two compa- which is still symmetrical and could reach a stable
rators, a reducible integrator and two RS triggers, state in a short time. A phase current could follow
and the integration time constant is set to switch a phase voltage as sinusoidal variation when load
cycle; (4) output logic selection circuit; the Sp, Sn is added suddenly, and a DC voltage could be re-
are assigned to correct switch separately. stabled and reachreference value in a short time.
As shown in Figure 7, we can see that compared
with the traditional control of PWM rectifier, the
state of high frequency switch reduces at the same
Table 1. Voltage vectors of space-vector algorithm and
one-cycle control.
Region ip in Sa1 Sa2 Sb1 Sb2 Sc1 Sc2
0∼60° ia ic !Sp Sp 0 1 !Sn Sn

60∼120° −ib −ic 1 0 Sp !Sp Sn !Sn
120∼180° ib ia !Sn Sn !Sp Sp 0 1
180∼240° −ic −ia Sn !Sn 1 0 Sp !Sp
240∼300° ic ib 0 1 !Sn Sn !Sp Sp
300∼360° −ia −ib Sp !Sp Sn !Sn 1 0
Figure 4. System of PWM rectifier.
Figure 3. The control circuit of PWM rectifier. Figure 5. The wave of current and voltage.
332

the wastage of the switch tube and improving the
efficiency of the system. In addition, experiments
verify that the rectifier power factor reaches up
to 0.99, the power factor closes nearly to unit 1,
and low current distortion is achieved; simultane-
ously the DC output voltage is stable and has good
dynamic response when there are load variants.
So this technology has a very good application
prospect.
ACKNOWLEDGEMENT
In this paper, the research was sponsored by the

National High Technology Research and Devel-
opment Program (“863” Program) of China
(No. 2011AA05A109).
REFERENCES
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333

Joint positioning method with radar based on wavelet entropy
Hui Yu, Jun Liu, Min Wang & Rong Guo

State Key Laboratory of Astronautic Dynamics, Xi’an, China
Xi’an Satellite Control Center, Xi’an, China
Yue Yang
Xi’an Jiaotong University, Xi’an, China
ABSTRACT: In order to obtain full trajectory parameters, multiple-radar tracking and positioning
technologies are often adopted in the exterior trajectory measurement system. Addressing the problem
that visible positioning deviation is, in the local time segment, caused by the restriction of radar station
distribution, a joint positioning method based on wavelet entropy is presented in this paper. Firstly, radar
signal is expanded in multiple frequency bands by using a wavelet multi-scale transformation. Then the
index weight of each single device is determined according to the wavelet entropy discriminance and vari-
ation coefficient method. Finally, the results of fusion positioning are obtained with the use of wavelet
reconstruction. The effectiveness and reliability of the algorithm is verified by processing of real data. The
results show that this method can improve the accuracy of trajectory calculating results.
Keywords: exterior trajectory measurement; wavelet transform; joint positioning; wavelet entropy;
coefficient of variation
1 INTRODUCTION multi-resolution of the wavelet to find the weights

of the stability and precision of the positioning
In the spacecraft flight testing task, modern radar characterization. Then the final fusion results are
is regarded as the main outer trajectory tracking obtained through using the wavelet reconstruction.
measurement equipment, which has target limi- The results show that this method will b on
tations that directly affects the correctness and the basis of the effective absorption of useful
accuracy of the flight trajectory calculating. With information. It is a kind of effective and feasible
the development of China’s space technology, the multi-sensor information fusion method, which
precision of exterior trajectory measurement and has a good practicability in the post-highprecision
orbit determination needs to be higher and higher. data processing.
If only a single device is used for target tracking,
it is difficult to get an accurate state estimation.
2 WAVELET ANALYSES AND WAVELET
Therefore, the optimal estimation of the final flight
ENTROPY
trajectory parameters is obtained with the full use
of different data sources. Radar joint positioning
2.1 Wavelet analysis
means that the target positioning measuring data
from more than one radar and different stations Wavelet analysis is a more flexible method of signal
are fused to form the newer and better target posi- analysing and processing. Wavelet has the charac-
tioning information. teristic of good space locality, which can not only
Wavelet entropy[1–3] is a method with a new extract the signal from overall characteristics, but
measurement sequence complexity, which is the also reflect the instantaneous signal changes in a
combination of wavelet analysis and information local time or frequency domain—especially for
entropy. the processing of non-stationary and nonlinear
In this paper, the wavelet entropy theory is signals[4].
introduced to the exterior trajectory data process- Give a time series of signal x(t ), for discrete
ing system in an explorative mode to perform wavelet decomposition and at the decomposition
target positioning solution. Later the characteris- scale j, the high frequency detail coefficient dj(t)
tics of different equipment positioning resulting and low frequency approximation coefficient aj(t)
in error at different scales are analysed by using are extracted. The signal components are Dj(t) and
335

Aj(t) through a single branch reconstruction, the short abnormal signals can be found in the Wavelet
original signal can be represented as transform based on the definition of Wavelet
entropy.
J Suppose that E {E1, E2 , , EJ } represents
x(t ) = ∑ D j (t ) + AJ (t ) (1) energy value in each frequency band after the sig-
j =1 nal x(t ) is decomposed according to formula (1),
formula (3) can be obtained as follows[7]:
where J is decomposition layer. For convenience,
J
usually make AJ (t ) = DJ +1(t ) , then get the formula
pi ( E ) = Ei ∑ Ei (3)
J +1 i =1
x(t ) = ∑ D j (t ).
j =1 where pi ( E ) is the Wavelet variance in the scale i.
J
∑ pi ( E ) = 1 can be obtained clearly.
i =1
2.2 Information entropy Combined with the definition of information
Information entropy[5] means the uncertainty of entropy, the Wavelet energy spectrum entropy of
the random variables, or random events in the signals can be gotten according to formula (2):
form of statistics. Assume that the system may J
have m different states, and the probability of each
state is respectively p1 p2 , …, pm , which meets the
HWE ∑ pi ( E ) l pi ( E ) (4)
i =1
conditions: m
0 pi 1 i = 1, 2, , m ; ∑ p i = 1.
i =1 3 RADAR DATA JOINT POSITIONING
The Shannon entropy of the system is defined BASED ON WAVELET ENTROPY
as:
In the task of aerospace measurement and control,
m
due to the restriction of its own design and the
H ( x ) = − ∑ p i ln pi (2) external environment, the measurement results in
i =1
high elevation and overhead paragraphs has clear
deviation[8]; combination weighting must be per-
That is the presence of state probability and its
formed with the use of multi radars to get the opti-
product of logarithm and the opposite.
mal estimation for final trajectory parameters. If
the difference between the standard trajectory and
2.3 Wavelet Entropy the positioning results of a radar is smaller, the cal-
culated results will have the higher credibility, and
The Wavelet Entropy[1–3,6] (WE) theory was pro-
the data will have higher importance. According to
posed by Blanco in 1998 on the basis of the Wave-
the mentioned above, you can see that the weight
let transform, which is the combination that a
shows that the characteristic plays a significant role
signal is based on multi-scale energy spectrum.
in the judgment and decision. Wavelet entropy can
And its basic idea is to process the Wavelet trans-
well reflect the reliability of eachradar positioning
form coefficient matrix into a probability distribu-
result. Therefore, the Wavelet transform, entropy
tion sequence, and to reflect the degree of sparse
and weight are combined in this paper to discuss
coefficient matrix with the sequence of Entropy.
the application of Wavelet entropy in a more multi
That is to analyze the order degree of the distribu-
radar joint positioning.
tion of the signal probability. Because the Wavelet
If there are m radars to measure targets respec-
entropy is a combination of the unique advantages
tively, the positioning data of flight vehicle can be
of an irregular abnormal signal for Wavelet trans-
obtained from the i radar in the period of k, that
form and the statistical properties of the signal
is Xi(k) ( i 1, , m; k , …, n ). The standard
complexity for information entropy, it has now
trajectory data is X 0 ( k ) , and X 0i ( k ) represents
become a very active research field, both at home
the difference sequence between X i ( k ) and X 0 ( k ).
and abroad. Its application domain is very wide.
The joint positioning from m radars means that the
In the traditional statistical analysis method,
optimal estimation are determined according to
the entropy is often directly computed according
the contained information from X1( k ), , X m ( k ) .
to the probability distribution of the signals. But
The steps of this algorithm are described as
if the abnormal signals have small amplitude and
follows:
short duration, the proportion of the signal statis-
tical distribution is small, then Wavelet transform 1. The sequence of Xi(k), X0(k), X 0i ( k ) can be
can enlarge the local features. Therefore, small and decomposed by using the multi-resolution of
336

wavelet. In engineering applications, a very qj k
yj k = j 12 J (6)
important problem is how to select wavelet n
function. Because the Daubechies wavelet ∑ qj k
(dbN) is orthogonal and tight, as well as being k =1
sensitive to irregular signal, the effective analy- 1 n
sis and comprehensive ability can be provided To calculate the mean value y j = n ∑ y j ,k and
k =1
to the signals. Through the testing and analys- 1 n
ing of different methods, it is considered that standard deviation s j = 2
∑ ( y j ,k y j ) ,
n 1 k =1
the Daubechies wavelet is ideal for the data then to calculate the corresponding coefficient
processing of exterior trajectory. Therefore,
Wavelet transform of the differential signal is of variation[9]:
performed by using db3. Figure 1 stands for sj
differential signal wavelet decomposition of a uj = (7)
radar and standard trajectory. yj
From Figure 1, it can be seen clearly that the
real and different scale fluctuations are decom- The weight coefficient is determined as
posed with wavelet analysis method. And the follows:
characteristic of the signal can be retained uj
effectively. θj = m (8)
2. According to formula (5), the wavelet transform
coefficient D j ( k ) of each measuring device is
∑ ju
j =1
standardised in order to eliminate the influences
of different units and different metric. 3. According to the formula (3), the Wavelet vari-
ance of different radar positioning data is cal-
min D j k )
0
D j ( k)
k)
0
max D j k ) − D j ( k ) culated respectively in various scales, and the
qj k =
j j Wavelet entropy based on the corresponding
0 0
k)) + λ max D j (k
Dj k ) − Dj (k k Dj (k ) energy calculation sequence distribution is cal-
j
culated as follows:
(5)
J
( , , , n)
HWEi ∑ pi ( E ) l pi ( E ) (9)
i =1
where λ is distinguish coefficient. And λ = 0.5 is
usually used in engineering applications. 4. Based on the principle of linear minimum mean
D 0j D 0j (1), D 0j D 0j ( n )} is the wavelet square error, a weighted fusion is performed
transform coefficients of standard trajectory for the entropy at each level for single radar by
data. using weight θj and a group of fusion results are
D j {D j (1),), D j ( ) D j ( n )} is the wavelet obtained. θj can highlight the contribution to
coefficients of the data from each radar. the joint positioning made by good tracking of
As to q j k normalized processing is performed single radar.
as follows: 5. Wavelet entropy of each layer after data fusion
should be calculated, and the Wavelet entropy
weighting should be performed to the coef-
ficient at each layer based on wavelet inverse
transform formula. Meanwhile, the original
frequency positioning results should be recon-
structed as the final joint positioning results.
During the exterior trajectory post-processing, data

is often processed with the use of weight average
algorithm. The comparison and analysis between
the current method and the method adopted in
this paper is performed as follows.
Considering the high precision of differential
Figure 1. The differential radar signal wavelet GPS data positioning, the GPS results are regarded
decomposition. as standard trajectory. The current method and
337

the new method are respectively used in fusion
processing of three radars in a task. The difference
curve between the standard trajectory and the tra-
jectory of the two methods is shown as Figures 2
and 3. From the figures we can see, the trajectory
determined by using weight average algorithm
begins to deviate after 520 seconds. Compared
with the standard trajectory, its deviation is obvi-
ous. With the use of new method, the occurrence of
this situation can be effectively avoided. Through
the reasonable distribution of the weights, the tra-
jectory follows a trend-stationary compared with
the standard trajectory, which greatly reduces the Figure 4. Position accuracy curve in X direction.
influence on calculating trajectory brought about
by the results of the abnormal single device posi-
tioning to ensure the reliability of the trajectory.
The accuracy parameters obtained from two
methods are shown as Figures 4 and 5. The results
have shown that the new method can effectively
improve the precision of trajectory.
In order to get better application effect of evalu-
ation algorithm, Mean Absolute Error (MAE) and
Root Mean Square Error (RMSE) are introduced
to measure the accuracy of the algorithm[10]. The
specific results are presented as Table 1.
1 n
MAE = ∑ ξt − ξˆt
n t =1
(10) Figure 5. Velocity accuracy curve in X direction.
Table 1. Statistical results calculated by different

methods.
Current method New method
MAE RMSE MAE RMSE

Position (m) (m) (m) (m)
X direction 104.87 132.28 63.76 79.65

Y direction 272.12 328.57 78.58 108.43
Figure 2. Difference curve of X direction of coordinate. 1 n

RMSE = ∑ (ξt − ξˆt )2
n t =1
(11)
where ξt is the estimated value, ξˆt is the standard

trajectory data.
From the statistical results we can see, the error
indicators of weight average method is bigger than
the new method, which shows that this method is
superior to the traditional weight average algorithm.
5 CONCLUSION
In the tasks of spacecraft flight control, the dif-

Figure 3. Difference curve of Y direction of coordinate. ference positioning result often appears between
338

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express our appreciation for the support and direc- the Wavelet Entropy Index of Structural Damage
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339

Optimal design of locking pin for surface AUVs launcher under

uncertainty
S.Q. Yang
Kunming Shipborne Equipment Research and Test Center, Kunming, China
ABSTRACT: Locking pin is one of the most important units in surface AUVs launchers; its reliability
and life impact directly on the reliability of the AUVs launch. In optimisation design of locking pin, a
lot of uncertainties affect its reliability. In this Paper, Reliability-Based Design Optimisation (RBDO) is
proposed to handle the locking pin design under two kinds of uncertainties and the First-Order Reliabil-
ity Method (FORM) is used to calculate reliability of its performance functions. Finally, an engineering
example is used to illustrate the proposed model for the locking pin of the lock mechanism in surface
AUVs launcher.
Keywords: locking pin; surface AUVs launcher; reliability-based design optimization; ROFM
1 INTRODUCTION [1–2]. Aleatory uncertainty is related to inherent

variability and is efficiently modeled using the
The Surface AUVs (Autonomous Underwater Vehi- probability theory. Epistemic uncertainty describes
cles) launcher is a device that can launch AUVs for subjectivity, ignorance or lack of information and
surface ships. The Locking pin is one of the most it can be reduced with an increased state of knowl-
important units in the surface AUVs launcherand edge or collection of more data. In the determinis-
its reliability and life impact directly on the reliabil- tic optimisation design, uncertainties are accounted
ity of the AUVs launch. The design of the locking for through the safety factor to ensure the quality
pin is one of the important aspects of the surface of the end product. However, there are two disad-
AUVs launcher. But the complex working condi- vantages. First, since the safety factor is empirical,
tions make its design and modeling very difficult. different engineers maybe using different safety
Every parameter in the locking pin has significant factors. Second, the safety factor cannot provide
influences on the locking pin, stability and tire a quantitative measure of safety margins in design
service of the lock mechanism. At the same time, and are not quantitatively linked to the influence
the traditional design method usually causes more of different design variables and their uncertainties
redundancy than that being required to ensure the on the product performance. In order to overcome
reliability. In the design and manufacturing proc- the disadvantages of deterministic optimisation
ess of the locking pin there are many uncertain- design, a new direction for design under uncer-
ties which may ultimately impact the reliability and tainties, Reliability-Based Design Optimisation
safety of the product. Uncertainty is ubiquitous (RBDO), is proposed. How to deal with uncertainty
in any stage of the locking pin development, and in engineering is one of the big challenges. So far,
they are considerable and cannot be controlled. RBDO has been studied in many literatures and
Uncertainty impacts the locking pin performance applied in engineering design [3–10]. Since there
significantly and the locking pin may suffer great are many failure modes for a product, system reli-
risk and bring about a catastrophic consequence ability should be calculated. In other words, there
without carefully quantifying such uncertainties. are many reliability constraints in design optimiz-
Therefore, it is important to quantify and analyze sation. The same design variables maybe appear
the uncertainty during the design procedure of the in the different reliability constraint. Therefore,
locking pin. the relationship among the reliability constraints
Uncertainties may come from many aspects, is not easy to determine. In addition, the calcu-
such as environment, manufacturing, incomplete lations of the failure modes are known or can be
knowledge and so on. They can be classified in identified, because of the large number of poten-
two general types: Aleatory (stochastic or random) tial failure modes for most practical structures;
uncertainty and epistemic (subjective) uncertainty there ise difficulty in obtaining the sensitivity of
341

the performance function, and the mutual correla- temperature is a random parameter for a gear
tions among failure modes. The search for efficient design problem.
computational procedures for estimating system The typical RBDO model can be formulated as
reliability has resulted in several approaches such follows:
as bounding techniques, the Probabilistic Network
Evaluation Technique (PNET), and direct or adap- min f (d,μ X )
d,μ X
tive Monte Carlo Simulations (MCS) [11]. RBDO
is a nonlinear optimisation problem with probabi- s.t. X P ) } [Ri ] , i = 1, 2, …, ng
Pr{{ i (d,X,P
listic inequality constraints. So far, many RBDO d k d k d ku , k 1, 2, , m
l
methods have been developed to deal with struc- μsl ≤ μs ≤ μsu , s 1, 2, , n (2)
tural component’s design for improving compu-
tational accuracy and efficiency, such First Order
where dlk and duk are lower and upper bounds of
Reliability Method (FORM), Sequential Optimi-
deterministic design variable dk, respectively, and
sation and Reliability Assessment (SORA) [12–13],
μlk and μuk are lower and upper bounds of the
among others.
mean of Xs, respectively.
In this paper, uncertainties in the locking pin
It is difficult or even impossible to obtain the
design are analysed, and then we try to use the
analytical solution to Eq. (1). In this paper, we use
RBDO method to design the locking pin of the
the First Order Reliability Method (FORM) to cal-
lock mechanism in the Surface AUVs launcher. At
culate the reliability. The computation procedure is
the same time, FORM is executed to calculate the
given as follows.
locking pin reliability with multiple failure modes.
The central idea of FORM is to linearise the
The rest of this paper is organized as follows.
constraint function g(d,X,P) at its limit state (inte-
Section 2 provides a brief introduction to RBDO.
gration boundary) g(d,X,P) = 0 at a point that has
The mechanical model of the locking pin for sur-
the highest probability density. Then the probabil-
face AUVs launcher is presented in Section 3. Sec-
ity can be easily calculated. In this paper, we assume
tion 4 presents an engineering example to illustrate
all the random variables in (X,P) are independent.
the proposed optimisation model. Finally, some
With this assumption, the three steps involved in
conclusions are given in Section 5.
FORM are as follows.
Step 1: Transform the original random variables
2 GENERAL KNOWLEDGE ABOUT RBDO
from X-space to U-space (standard normal vari-
ables) by Rosenblatt transformation.
RBDO is a typical probabilistic engineering design
Step 2: Search the MPP (Most Probable Point)
method and has been increasingly used in engi-
in U-space and calculate the reliability index
neering applications. In other words, RBDO can
β. The MPP search algorithm uses a recursive
be considered as a specific optimisation design
formula and is based on the linearization of the
where the minimum cost-type objective is sought
performance function. To reduce the accuracy
while the reliability requirement is maintained.
loss, choose the expansion point which has the
In structural optimisation, reliability is defined
highest contribution to probability integration.
as the probability that the performance function
At the MPP, the performance function has max-
(also called limit state function) is greater than or
imum probability density on g(U) = 0, which is
equal to 0, i.e. g(d,X,P) ≥ 0. RBDO ensures that the
the shortest distance point in u-space form the
reliability of a product satisfies the required reli-
origin to the limit-state surface, and the shortest
ability. Calculation of reliability is given by
distance is β.
Step 3: Calculate reliability R = Φ(β).
Pr{gi ( ) } ∫ fX,P ( p)dxdp (1)
gi ( )≥0
3 THE MECHANICAL MODEL
where fX,P(X,P) is the joint probability density
function of (X,P); d is the vector of deterministic The lock mechanism in surface AUVs launcher
design variables, for example, the number of teeth mainly consists of a lift tumbler (including a half
of a gear; X is the vector of the random design cone hole), a right tumbler (including a half cone
variables; whose mean values μX are to be deter- hole), bearing shaftand locking pin. The structure
mined. For example, the width and diameter of of the locking pin in the lock mechanism is given
a gear could be random design variables. P is the in Figure 1, including a half-moon pin cap and a
vector of random parameters. Random param- cone pin rod. In Figure 1, γ is the half taper angle
eters P are out of designer’s control and sometime of the cone pin rod, d is the minor diameter of the
called noise factors. For example, the random cone pin rod, h is the height of the cone pin rod.
342

Pr{ 2 ( , d , h)) [ bs ] bs } [R2 ] (6)
where [σbs] is the allowable compressive stress
of the locking pin, P is the total pressure of the
compressive plane, Abs is the effective area of
the compressive plane (Abs = (d + h ⋅ tanγ)⋅h/2),
[R2] is the required reliability of the locking
pin compressive strength.
c. Reliability constraint of the locking condi-
tion of self-lock
Figure 1. The structure of the locking pin in the lock
mechanism.
{ 3 ( , d , h)) ta
tan } [R3 ] (7)
where μ is the steel friction coefficient, [R3]

In the surface AUVs launcher, the cone pin rod’s is the required reliability of the locking pin
reliability and life impact directly on the reliability self-lock.
and life of the locking pin. At the same time, its The mechanical model of the design of the lock-
volume determines the volume of the whole lock ing pin surface AUVs launcher under uncertainty
mechanism. Thus, the locking pin should be less is formulated in Eq. (8).
than a certain size. In order to minimise the vol-
ume of the locking pin and satisfaction of reliabil- min f π (( / )2 (t n γ
(d / ) (tan /2 )
ity, and to better utilise the information available, γ ,d , h
the reliability-based design optimisation of the + (tan γ 2
/2 ) ) / 3
locking pin should be conducted. Since the vol- st. c1 d h g1(γ , d , h )} − [R1 ] ≥ 0
ume of the locking pin is in relation to the half c2 (γ , d , h ) g2 ( d )} − [R2 ] ≥ 0 (8)
taper angle of the cone pin rod (γ, continuous var-
iable), the minor diameter of the cone pin rod (d, P { 3 (γ , d , h )} − [R3 ] ≥ 0
c3 ( d ) Pr{
continuous variable), and the height of the cone dl ≤ d du
pin rod (h, continuous variable), respectively, so
the design variables will consist of d = [γ, d, h]. The
volume of pin rod of locking pin is considered as 4 DESIGN EXAMPLE
the objective function to be minimised, and it is
given In this paper, we design the locking pin that is one
of the most important units in the surface AUVs
min f π (( / )2 (t n γ
(d / ) (tan /2 ) launcher with least frequency use, design life of 20
γ ,d , h
years and locking pin material is 40Cr, condition-
+ (tan γ 2
/2 ) ) / 3 (3)
ing and quenching (48∼55HRC), required reliabil-
ity is 0.99.
In this design problem, the inequality con- In the context of model based design, uncer-
straints are as follows: tainty is the difference between the model predi-
1. Interval constraint of the design variables cation and reality, and in designing the locking
pin in this paper, parameters or variables that are
dl d = [ d h] ≤ du (4) available to quantify uncertainty using probability
l u distributions are given in Table 1. A mathematical
where d and d are lower and upper bounds of
optimization model of the locking pin is formu-
design variables d, respectively.
lated according to the Eq. (7).
2 Reliability constraints
By using the proposed optimisation method,
a. Reliability constraint of the locking pin shear
the optimal results can be pursued, as described in
strength
Table 2 and Figure 2. In this case, the desired reli-
Pr{ 1( , d , h)) [ ] } [R1 ](5)
ability is 0.99.
From Table 2, one seesthat the area computed
where [τ] is allowable shear stress of the from the reliability-based design optimisation
locking pin, Q is internal forces of the reduces by 45.31% compared to that of the origi-
shear plane, A is area of the shear plane nal design. The smaller area of the locking pin
(A = (d + h ⋅ tanγ)⋅h), [R1] is required reliabil- can reduce the weight of the locking mechanism.
ity of the locking pin shear strength. From Figure 2, we can find that all the reliability
b. Reliability constraint of the locking pin com- of the locking pin performance functions in this
pressive strength paper meet the design requirement so appropriate;
343

Table 1. Parameters and their corresponding and epistemic uncertainties in designing the lock-
distribution. ing pin of Surface AUVs Launcher. Furthermore,
an engineering example is presented to verify the
γ—half taper angle of cone pin rod (°) γ∼N(γ, 0.2) appropriate of the proposed optimisation model
d—minor diameter of cone pin rod d∼N(d, 0.5) for designing the locking pin.
(mm)
h—height of the cone pin rod (mm) h∼N(h, 1)
Q—internal forces of the shear Q∼N(65000,
plane (N)
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20000)
P—total pressure of the compressive P∼N(65000,
[1] Oberkampf W., Helton J. & Sentz K., 2001. Math-
plan (N) 20000)
ematical Representations of Uncertainty, AIAA
[τ]—allowable shear stress (MPa) [τ]∼N(400, 50) Non-Deterministic Approaches Forum, no. AIAA
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μ—the steel friction coefficient μ ∼ N(0.12, 0.03) tainty, and Information, Prentice–Hall, Englewood
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reliability-based optimization, Engineering Struc-
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d (mm) 14.5 11.2 36, no. 4, pp. 628–637.
h (mm) 33.2 30.5 [6] Tu J., Choi K.K. & Park Y.H., 1999. A new study on
f (mm3) 5.54 × 103 3.03 × 103 reliability-based design optimization, ASME Jour-
nal of Mechanical Design, vol. 121, pp. 557–564.
[7] Du X. & Chen W., 2001. A most probable point
based method for uncertainty analysis, Journal of
Design and Manufacturing Automation, vol. 4, no. 1,
pp. 47–66.
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framework for optimization under uncertainty
using inverse reliability strategy, ASME Journal of
Mechanical Design, vol. 126, no. 4, pp. 562–570.
[9] Wang Z.L., Huang H.Z. & Du X., 2010. Optimal
design accounting for reliability, maintenance, and
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functions. reliability assessment by method of moments, Engi-
neering Structures, vol. 10, no. 3, pp. 1341–1342.
[12] Du X. & Chen W., 2004. Sequential optimiza-
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the locking pin.
5 CONCLUSIONS
In this paper, we used reliability-based design opti-

mization method to deal with aleatory uncertainties
344

A low temperature drift and heavy load bandgap reference voltage

with adjustable output
Xin Xu & Jun Jiang

Sichuan Institute of Solid State Circuits, Chongqing, China
ABSTRACT: The development direction of bandgap voltage in low temperature drift, heavy load and
can be adjusted. This paper presents a novel single-stage reference source; this source has adjustable
output voltage, and reduces the effect of the offset voltageand overcome the non-adjustable of former
references. This reference source can carry heavy load, has the same compensation coefficient with regular
structure and has good Power Supply Rejection Ratio (PSRR).
Keywords: low temperature drift; bandgap reference voltage; adjustable output
1 INTRODUCTION are the input of the amplifier, and drive the upper
of R1 and R2, which can make point X and point
Low temperature coefficient and heavy load with Y stable in approximate equal voltage. The refer-
adjustable output reference is important whether ence voltage can be obtained at the output of the
in ADC, DAC, DC-DC and any other integrated amplifier. According to the analysis of Figure 2,
circuits. VBE1 − VBE2 = VTlnn can be obtained, so the current
The bandgap reference source has performs well flow through the right branch is VTlnn/R3; the out-
in all kinds of reference voltage source circuits at put voltage is
present and it can be low temperature coefficient.
In order to get a low temperature drift and heavy VT ln n
V VBE 2 + (R3 R2 )
load bandgap reference voltage with adjustable R3
output, it is necessary to improve the structure of ⎛ R ⎞
the typical bandgap voltage reference source or put = VBE 2 VT ln n ⎜1 + 2 ⎟ (1)
forward a new bandgap structure. ⎝ R3 ⎠
This paper proceeds according to the stability
of temperature drift and the adjustable of output;
it proposes a new structure based on the typical
bandgap voltage source.
2 BASIC PRINCIPLE
Consider the circuit in Figure 1, the assumption

here is the base current can be neglected, the tran-
sistor Q2 is composed of n parallel transistor units,
and Q1 is one transistor cell. Assuming VO1 and
VO2 are equal, then VBE1 = RI + VBE2, RI = VBE1 −
VBE2 = VTlnn. So VO2 = VBE2 + VTlnn, this means:
if lnn = 17.2, VO2 can be used as a temperature
independent reference.
Figure 1 needs to make two changes to be a
practical circuit. First of all, VO1 = VO2 must be
ensured. Secondly, lnn = 17.2 which makes the
value of n too large, so the item of R = VTlnn must
be increased in appropriate proportion. As shown
in Figure 2, the circuit is an actual circuit which
can realise these two functions. Here, VX and VY Figure 1. The principle of voltage generation.
345

Figure 3. The bandgap reference structure.
Figure 2. The actual circuit in Figure 1.
3 IMPROVED BANDGAP
VOLTAGE REFERENCE
The traditional bandgap reference has poor load

ability and the output can’t be adjustable. This
paper presents a bandgap reference with improved
structure which can realise high load and adjust-
able output.
Figure 3 is the bandgap reference structure
block diagram presented in this paper. The circuit
contains an internal start-up branch, constant cur-
rent source, the internal bandgap reference, error
amplifier, power transistors and over-current pro-
tection and so on. The circuit has maximum load Figure 4. The principle diagram of the circuit.
capacity of 60 mA, output 10 V, and 7.5 V, 5 V and
2.5 V voltages through the external program.
The main function of this circuit is to transfer
the input voltage to precision reference voltage. This circuit is a typical bandgap structure; the
The circuit consists of a bandgap reference with area ratio of transistor Q1 and Q2 is 8:1, the value
high temperature stability. Through program- of ΔVBE is in proportional to the temperature, the
ming the external pin to set up the ratio of resis- VBE of transistor Q2 is a negative temperature
tors, this circuit can accurately output 10 V, 7.5 V, coefficient, by setting the ratio of R2∼R4 and R1,
5 V or 2.5 V reference voltage with 0.1% accuracy. the bandgap reference voltage VBG can close to
Different output voltage value can be obtained by zero temperature coefficient. If the temperature
setting different partial pressure ratios. compensation is good, the value of VBG is about
When power supplies from pin 8, the branch of 1.223 V which is determined by the following
J1, Q8, Q9, Q5, Q10 and R13 will be powered on, formula:
J1 is a pinch off resistance, which is equivalent to
a N-JEFT, when J1 is powered on, there is current 2(R2 R3 || R 4 )
VREF VBE + ΔVBE (2)
flow through Q5 and Q14, Q14 and Q15 are current R1
mirror, so Q15 will be conducted, then the circuit will
work. When the output is stable, the emitter voltage The collector of Q1 and Q2 are respectively
of Q5 is lower than Q4, so Q5 will be turned off. connected to the non-invert input and the invert
input of the error amplifier, because of the virtual
ground function of the error amplifier, the col-
3.1 The bandgap reference
lector voltage of Q1 and Q2 are approximately
The function of bandgap reference in this circuit equal.
is to provide a stable reference voltage. The simpli- When R7 = R8, the bias current of Q1 and Q2
fied schematic diagram is shown in Figure 5. are equal to ΔVBE/R1.
346

4 SIMULATION AND LAYOUT
In this paper, the simulation is based on 40 V, 6 inch

technology. The temperature drift of adjustable
voltages are as follows—the Temperature coeffi-
cient is very good at each output.
The bandgap can load about 60 mA current.
Figure 9 presents the layout of the circuit the size
Figure 5. The schematic diagram of the internal band-

gap reference.
3.2 Error amplifier

The input stage of the differential amplifier is
composed of NPN transistors Q3 and Q4; the
Figure 6. 8 V output of the bandgap.
base voltage of Q3 and Q4 is decided by the
current of Q1 and Q2 and the resistances R5
and R6. When the base voltage of Q3 and Q4 is
determined, the work current can be determined
by R12.
The lateral PNP transistor Q14, Q15 and Q16
are current mirror, Q14 and Q15 are the active
loads of Q3 and Q4, Q16 provide drive current
for the output power transistors. The substrate
PNP transistors Q12 and Q13 provide current
amplify as buffer. The pinch-off resistance J2
works as a N-JFET in pinch-off region which
provide drive current for the output transistors,
the output impedance of J2 has great impact on
the current regulation. The open-loop gain of the
error amplifier is determined by the following
formula:
Figure 7. 1.18 V output of the bandgap.
g β β rOUT
AV ≈ m (3)
1 + r10 / r11
The capacitance C1 and resistance R14 are

used for the frequency compensation of the error
amplifier; large capacitance can improve the sta-
bility and reduce the noise of the circuit, but will
increase the start-up time.
3.3 Over-current protection

The over-current protection circuit is composed of
a transistor Q22 and a resistor R18, If the voltage
drop on R18 is larger than the threshold voltage of
Q22, Q22 will turn on to take away the drive cur-
rent of power transistor. Figure 8. Load characteristics of the bandgap.
347

5 CONCLUSION
This paper proposes a new bandgap structure

which can achieve high current load capacity
according to connect power transistor at the out-
put of the error amplifier and at the same time,
by setting different feedback resistance ratio, it can
get different outputs.
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before.
348

Analysis of energy coupling between the computer chassis

and electromagnetic pulse
J. Liu, Y.F. Wang, Z.X. Chen & C.D. Yu

Beijing Institute of Special Electromechanical Technology, Beijing, China
ABSTRACT: In order to study the coupling distribution of interior space for chassis and electromag-
netic pulse energy coupling with key devices, the method of simulation is used to research the electromag-
netic coupling and the results is analysed. The threshold of energy coupling and damage effect of key
devices obtained in the situation of electromagnetic pulse, which provide a theoretical basis for the design
of the internal structure of the chassis layout and key devices.
Keywords: electromagnetic pulse; energy coupling; damage
1 INTRODUCTION is 10000 V/m. The coupled energy to the computer

through the aperture portion of the slit inside the
Electromagnetic pulse has proven to be a seri- center of the chassis and the maximum power
ous threat for the computer. The time-domain density value of power, drive and hard disk can be
of the electromagnetic pulse characteristics has obtained by simulation.
a steep leading edge and narrower pulse width;
frequency-domain features cover a wide frequency
band. Strong electromagnetic pulse is generated
by the electromagnetic pulse weapons aperture to
electronic penetration inside the device through
antennas, cables, and so on. Electromagnetic
pulse is transformed into energy, in the form of
spatial variation of high current or high voltage
transmission to sensitive parts inside the device.
Because the role of high density in a very small
portion of the fragile, the high-density energy
caused damage to electronic components and
integrated circuits. Because electromagnetic pulse
device to an electronic system can be described
as all-pervasive, studying the effect of strong
electromagnetic pulse damage with apertures
chassis designing, not only provides the basis for Figure 1. Schematic diagram of the standard chassis.
information warfare combat and maintenance of
electronic equipment, but also for the theoretical
basis for electromagnetic protection and electro-
magnetic compatibility.
This article focused on the damage effects research

of electromagnetic pulse on the computer. A sche-
matic diagram of the standard chassis is shown in
Figure 1.
Because the Gauss pulse belongs to UWB, it is
used for simulation in this section. The maximum
rise time of UWB is 0.5ns and the field strength Figure 2. Chassis-section of YOZ.
349

Figure 4. Energy coupled into the power by hole of
number 1.
Figure 3. Power density distribution of chassis in dif-

ferent times.
Figure 5. Energy coupled into the power by hole of
number 2.
It can be seen from the chassis power density dis-
tribution shown in Figure 3, that with the increas-
ing of time, the energy coupled into the chassis
is dispersed. The main energy density is formed
around the motherboard, power supply, optical
drive and hard disk.
2.1 Energy coupling analysis of the power

Pulse energy is mainly coupled into the power
through holes 1, 2 and 3, so the total energy cou-
pled into the power can be obtained. The energy
coupled to power through hole 1, 2, 3 and the total
energy coupled to power are shown from Figure 4
to Figure 7.
By analysing the energy coupled into power, the
following conclusions can be obtained: Figure 6. Energy coupled into the power by hole of
number 3.
1. The energy coupled into the hole is closely
related to the seam area of supply; the larger the
area, the greater the energy coupled into power; 3. Energy coupling apertures from Figures 4-7
2. From Figures 4-7, the energy coupling apertures can be obtained; the energy coupled into power
can be obtained and the time from the begin- through hole 1 is about 4.9 × 10−8 J, through
ning of coupling to reach the maximum value is hole 2 is about 1.8 × 10−8 J, through hole 3 is
about 2ns; about 2.0 × 10−7 J and the total coupled energy
350

Figure 9. The total power density in the center of the
CD-Rom hole.
Figure 7. The total energy coupled into the power.
Figure 10. The energy coupled into the CD-Rom.
The energy coupled into the CD-Rom can be

obtained by simulation:
Figure 8. The strength of the magnetic field in the
center of CD-Rom hole. 1. The energy coupled into the optical drive is
greater than the energy radiated outward; the
total power density is not gradually smaller in
the center of the hole, but the increase—cycle
is 2.7 × 10−7 J, much larger than the energy
decreases.
threshold of integrated circuits, logical card
2. By the variation of curve in Figure 10 it shows
and other computer electronic components.
that the energy coupled into the CD-Rom
In this case, the UWB pulse will cause serious
reaching 3.0 × 10−9 J, which is much larger than
damage to the power electronic components.
the threshold value 4.0 × 10−10 J. Therefore, the
electromagnetic pulse indicates a great distur-
2.2 Energy coupling analysis of the CD-Rom bance and damage effect on integrated circuits
and electronic components of the CD-Rom.
This section describes the discipline that such
electromagnetic pulse energy has coupled into
the CD-Rom of the computer. The magnetic field 2.3 Energy coupling analysis of the chassis
that has big value in the center of chassis formed
The energy coupled into chassis by different holes
strong oscillation; the oscillation amplitude of
and the total energy coupled into the chassis is
the reflected is smaller than the incident. It can
shown from Figure 11 to Figure 15.
be seen from Figure 8; the strength of magnetic
By analysing the simulation results, the follow-
field in the center of CD-Rom hole also formed
ing conclusions can be obtained:
strong oscillations, but the amplitude of the oscil-
lation is almost the same as the incident. The 1. Due to polarisation properties, the energy coupled
total power density in the center of the CD-Rom into the chassis by holes 9,10 and 11 are relatively
hole and coupling energy diagram are shown in small, which had weak interference on the logic
Figures 9 and 10. card and the integrated circuit of computer.
351

Figure 11. The energy coupled into the chassis by hole Figure 14. The energy coupled into the chassis by cool-
of number 9. ing holes of board.
Figure 12. The energy coupled into the chassis by hole Figure 15. The energy coupled into the chassis by holes.
of number 10 and 11.
old of the normal work of the computer, which

would cause serious damage to the logic cards,
the integrated circuits and the memory core.
3 CONCLUSIONS
Through the research of this paper, the value of

energy coupled into the chassis and key devices
under the condition of electromagnetic pulse were
obtained. The value of coupled energy in power is
about 2.7 × 10−7 J, in CD-Rom is 3.0 × 10−9 J and in
Figure 13. The energy coupled into chassis by hole of the chassis is about 6.0 × 10−7 J. Compared to the
number 12. normal working value, the value of energy coupled
into the chassis is much larger, which would cause
serious damage to the key devices.
2. The energy of electromagnetic pulse coupled
into the chassis is mainly by the cooling hole of
board and hole 9. The value of energy is about
6.0 × 10−7 J, much larger than the energy thresh-
352

Analysis of electromagnetic shielding effectiveness of the chassis

with holes under different polarization directions
Q.B. Deng, C.D. Yu & Z.P. Lian

ABSTRACT: In order to study the shielding effectiveness of the chassis with holes under different
polarization directions of electromagnetic pulse, the discipline of shielding effectiveness with opening
size of the chassis under condition of polarization directions were obtained; the research can provide a
theoretical basis for the design of the chassis structural.
Keywords: electromagnetic pulse; polarization direction; shielding effectiveness
1 INTRODUCTION selected as the excitation source; the polarization

direction along the positive Z-axis is parallel to the
The electromagnetic shielding has proven to be long side of the chassis. The model of the chassis is
a useful way to protect electronic equipment shown in Figure 1.
from attacking of the electromagnetic pulse. For the current status of the development of
Electromagnetic shielding effectiveness is usually electromagnetic pulse weapons, such as the fre-
expressed as the shielding effect method. The big- quency generated by electromagnetic pulse bombs
ger the electromagnetic shielding value, the better is mainly less than 2 GHZ. Take the electromagnetic
the shielding effectiveness. Electromagnetic shield- pulse spectrum as the carrier band (step 1 KHZ),
ing is one of the most effective protection methods radio frequency section (step 1 MHZ), micro-
to prevent electrical equipments and systems from wave section (step 0.02 GHZ), in which the fre-
the attacking of the electromagnetic pulse. quency of microwave segment is selected between
300 MHZ∼2 GHZ. The frequency of the micro-
wave segment is chosen for simulation, the curve
2 SIMULATION AND ANALYSIS of shielding effectiveness in center of the chassis is
shown in Figure 2. It can be seen from the figure,
In this section, after a statement of the basic prob- that the electromagnetic shielding is oscillated with
lem, various situations involving possibility knowl- the frequency of the microwave section.
edge are investigated: first, an entire chassis model
is proposed; then the relationship between shield-
ing effectiveness and polarization direction is stud-
ied; lastly, simulation results are analysed.
2.1 Model of the chassis

The following situations are defined for
simulation. The size of the chassis is:
485 mm × 190 mm × 430 mm. Apertures are
located in the rear center of the chassis. Ideal con-
ductor material is selected to make the chassis, so
transmission of electromagnetic waves impact on
shielding effectiveness can be ignored. Only the
energy coupled from the aperture should be con-
sidered impacting on the shielding effectiveness.
Air is selected as material between the chassis
and cabinet; radiation boundary is set in order to
simulate an infinite occupied space. Plane wave is Figure 1. Chassis model and boundary conditions.
353

Figure 4. The relationship between shielding effective-
ness and side length under frequency of 1.22 G.
Figure 2. The curve of shielding effectiveness in center

of chassis.
Figure 3. The relationship between shielding effective- Figure 5. Angle of incident schematic diagram.
ness and radius under frequency of 1.22 G.
2.2 Apertures sizes impact on the shielding

effectiveness of chassis
Firstly, the radius of holes impacting on the chas-
sis shielding effectiveness is studied. The frequency
of 1.22 GHZ is chosen for example to research
the relationship between shielding effectiveness
of chassis and the radius of holes. The minimum
radius value of holes is 1 mm, the maximum
radius value of holes is 40 mm, 0.5 mm is chosen
as the step length. Simulation results are shown in
Figure 3.
Then, the length of square holes impacting on Figure 6. Schematic of different polarization directions.
the chassis shielding effectiveness is studied. The
frequency of 1.22 GHZ is chosen for example to
under a certain frequency, the following conclu-
research the relationship between shielding effec-
sions can be obtained:
tiveness of chassis and the length of holes. The
minimum length value of holes is 1 mm; the maxi- 1. It can be seen from the above curves, under the
mum length value of holes is 10 m, 1 mm is chosen resonant frequency, the radius of holes from 1 mm
as the step length. Simulation results are shown in to 40 mm, the maximum shielding effectiveness of
Figure 4. the chassis is less than 10 dB; the length of holes
By analysing the relationship between shielding from 1 mm to 100 mm, the maximum shielding
effectiveness of the chassis and the size of holes effectiveness of chassis is less than 15 dB.
354

of the chassis under angle of incidence (0, 30).
of chassis under angle of incidence (0, 0).



2.3 Polarization direction impact on the

Figure 9. The curve of shielding effectiveness in center shielding effectiveness of chassis
When the angle of incidence (θ, φ) in different com-
binations chassis, the shield effectiveness of different
shielding effectiveness is shown as the following:
2. At a fixed frequency, the shielding effective-
The following conclusions can be obtained
ness is not linearly related to the pore size,
through the above simulation analysis:
shielding effectiveness is poor due to coupling
apertures in the situation where the side length 1. In the situation of θ = 0, frequency less than
is small. 1.25 GHZ, the chassis has a relatively good
355

of the chassis under condition of φ = 0. Figure 16. The curve of shielding effectiveness in center
of the chassis under condition of φ = 90.
2. At different θ, the chassis has the worst shielding

effectiveness when θ = 90; the value of shielding
effectiveness with the increase of the maximum
peak angle becomes larger.
3. At different φ, the chassis has the worst shielding
effectiveness when φ = 0; the value of shielding
effectiveness with the decrease of the maximum
peak angle becomes larger.
3 CONCLUSIONS
By studying the shielding effectiveness of chassis
openings at different polarization directions, the
shielding effectiveness in the center of the chassis
under different conditions of angle of incidence is
obtained. In the situation of same frequency, the
shielding effectiveness is not linearly related to the
pore size; shielding effectiveness is poor due to cou-
pling apertures when the side length is small. When
θ is changing, the chassis has the worst shielding
effectiveness in the situation of θ = 90; the value
of shielding effectiveness with the increase of the
maximum peak angle becomes larger. When θ
is changing, the chassis has the worst shielding
effectiveness in the situation of φ = 0; the value
of shielding effectiveness with the decrease of the
maximum peak angle becomes larger.
shielding efficiency in situation of any φ of the

pulse; frequency more than 1.25 GHZ, the chas-
sis shielding effectiveness becomes relatively
poor, with overall shielding effectiveness of the
chassis is downward trend.
356

Analysis of characteristic parameters of pulse impact

on the electromagnetic coupling of the chassis
C.D. Yu, Z.X. Chen, Y.F. Wang & J. Liu

ABSTRACT: In order to study the different characteristic parameters of the impact of the electro-
magnetic pulse on energy coupling space inside the chassis, the method of simulation is used to research
the discipline of electromagnetic coupling in the condition of different pulse characteristics. The cou-
pling energy variation with time is obtained under different characteristic parameters of electromag-
netic pulse.
Keywords: electromagnetic pulse; energy coupling; characteristic parameter
1 INTRODUCTION 2.1 Strength of magnetic field in the center of

chassis with different pulse width
The electromagnetic pulse can be coupled through Detail on pulse width is discussed in later sections.
a variety of ways to make electronic components The pulse width such as 0.2 ns, 0.5 ns, 1 ns, 2 ns,
and equipment subject to interference and damage. 4 ns are chosen for analysing. The results of simu-
The protection technology of the electromagnetic lation are shown from Figure 2 to Figure 6.
pulse has gradually become a hot issue in today’s
research. The characteristic parameter is the con-
crete manifestation of the electromagnetic pulse,
which can cause varying degrees of damage to
electronic information equipment with different
characteristic parameters. Therefore, the study is
of variation characteristic parameters changed in
different conditions on energy coupling of infor-
mation equipment, not only by the modern infor-
mation technology of electronic warfare equipment
for the assessment, but also for the electromagnetic
protection of electronic information equipment
theory.
By adjusting characteristic parameters such as pulse

width, pulse rise and frequency, the simulation of
different pulses can be done. This paper has taken
pulse width as an example to research the charac-
teristic parameters influencing the magnetic field
of the chassis. The criteria of the chassis chosen
for research are, size of the hole is 20 mm × 30 mm
and polarization direction of pulse parallel to the
short side of the hole. The amplitude of pulse is
10000 v/m, direction is vertical incidence. Chassis
model and boundary conditions are shown in
Figure 1. Figure 1. Chassis model and boundary conditions.
357

Figure 5. Relationship between the strength of the
magnetic field and time in the center of chassis with pulse
width is 2 ns.
Figure 2. Relationship between strength of the mag-
netic field and time in the center of chassis with pulse
width is 0.2 ns.

width is 4 ns.
width is 0.5 ns. 2. The narrower the pulse width is, the shorter
the time attain the first maximum peak of the
energy coupled into the chassis. If taking the
pulse width 0.2 ns for example, the first great
peak time is about 1.32 ns.
2.2 Strength of the magnetic field in the center

of the holes with different pulse width
In this part, the strength of the magnetic field in
center of the holes with different pulse width is dis-
cussed. The results of simulation are shown from
Figure 7 to Figure 10.
Results of simulation are given and following
conclusions are obtained:
1. The narrower the pulse width, the stronger the
Figure 4. Relationship between the strength of the energy coupled into the center of chassis. The
magnetic field and time in the center of chassis with pulse narrower the pulse width is, the more likely to
width is 1 ns. be caused is the intensity enhancement of the
field. If taking the pulse width 0.2 ns as exam-
ple, the strength of the magnetic field coupled
Through the mentioned simulation results
into the chassis is much larger than the incident;
above, the following conclusions can be obtained:
the stronger the magnetic field coupled into the
1. The wider the pulse width is, the harder the center of holes, the greater the intensity of the
pulse coupled into the chassis through holes; field coupled into the chassis.
358

Figure 7. Relationship between the strength of the Figure 10. Relationship between the strength of the
magnetic field and time in the center of the hole with magnetic field and time in the center of the hole with
pulse width is 0.2 ns. pulse width is 2 ns.

magnetic field and time in the center of the with pulse
width is 0.5 ns.
Figure 11. Schematic diagram of energy coupled into

hole and chassis.
time to reach minimum is 0.62 ns, the interval is

half width 0.1 ns.
If taking the pulse width of 0.2 ns for example,
Schematic diagram of energy coupled into hole
Figure 9. Relationship between the strength of the and chassis are shown in Figure 11.
magnetic field and time in the center of the hole with Through the Fast Fourier Transform, Spectro-
pulse width is 1 ns. gram of energy coupled into the center of the chas-
sis with different pulse width is the following:
Spectrogram in the center of the chassis with
2. The narrower the pulse width, the energy cou-
different pulse width is shown from Figure 12 to
pled into the center of hole between the first
Figure 16. Through the mentioned simulation results
maximum value and the first minimum value
above, the following conclusions can be obtained:
close to half of the width. If taking the pulse
width 0.2 ns as example, the value of first time 1. The narrower the pulse width, the richer the
to reach maximum is 0.52 ns, the value of first high-frequency component of the spectrum.
359

Figure 15. Spectrogram in the center of the chassis with
Figure 12. Spectrogram in the center of the chassis with pulse width is 2 ns.
pulse width is 0.2 ns.
Figure 16. Spectrogram in the center of the chassis with

Figure 13. Spectrogram in the center of chassis with
pulse width is 4 ns.
pulse width is 0.5 ns.
obtain the maximum value of the strength of

the magnetic field. With a pulse width of 0.2 ns,
the frequency at the maximum strength of mag-
netic field is about 7 GHZ; with a pulse width of
0.5 ns, the frequency of the maximum strength
of magnetic field is about 3.5 GHZ; with a pulse
width of 1 ns, the maximum value of strength
of magnetic field is approximately 1.76 GHZ.
3 CONCLUSIONS
Figure 14. Spectrogram in the center of the chassis with By analysing the variation of different character-
pulse width is 1 ns. istic parameters such as pulse width of the elec-
tromagnetic pulse, the influence of energy coupled
into chassis is deduced. The narrower the pulse
The pulse width becomes twice as much as width, the stronger the energy coupled into the
the original; the high-frequency component center of chassis and the richer the high-frequency
becomes about ½ of the original. component in the spectrum. The wider the pulse
2. The wider the pulse width, the lower the fre- width, the lower frequency of the coupling energy
quency of the pulse coupled into the chassis to reaches the maximum value.
360

A new type of control method for the variable-speed wind turbines

based on the PID neural network
T. Li
School of Electrical Engineering, Southeast University, Nanjing, China
School of Electronics and Information, Jiangsu University of Science and Technology, Zhenjiang, China
X.Y. Hou
H.Y. Lin
Q.Y. Liu
Hulun Buir College, Hulun Buir, Hailar, China
L. Zhao
Shan Dong Water Polytechnic, Rizhao, Shandong, China
H.J. Liu
ABSTRACT: An effective maximum power point tracking control method can improve the wind energy
conversion efficiency; however, as the control tasks become more complex, the traditional MPPT control
technology can not satisfy the complex control task of wind turbines. Addressing the shortcomings of the
traditional PID control method, a new kind of PID neural network controller for the maximum power
point tracking control of variable speed wind turbine is designed. Firstly, the model of the wind turbine
is set up, and the structure of the PID neural network controller is given. Secondly, the wind generator
torque of the wind turbine is regulated by the PID neural network controller by training the weights of the
neural network. Finally, the simulation platform for the control system is built up, and results show that
the method can track the maximum wind energy and improve the work efficiency of the wind turbine.
Keywords: NN; PID; PID neural network; MPPT; wind turbine
1 INTRODUCTION the trial method; when the running of the system is

affected by wind speedor is impacted by the influ-
With the increasing amount of wind energy uti- ence of other interferences, then the PID regulator
lisation, maximum power point tracking control loses its control flexibility.
technology has gradually become the focus of Neural network control technology is widely
attention[1–3]. Variable-speed wind turbine is one of used because of its advantages in dealing with
the most import wind turbines in which the gen- nonlinear systems/conditions and uncertainty:
erator speed can follow the change of the wind neural network is now gradually being applied to
speed[4–5]. Since the uncertainty of the wind, causes the field of wind power control[11–13]. The neural
a strong nonlinear impact on the wind turbine, network control is one of ANN’s common control
it is hard to improve the dynamic characteristics method. It is often difficult to establish an accu-
of the system. In order to solve the problem the rate plant model in the industry; a unique choice
MPPT control method are being studied closely by is provided by the neural network control to deal
the experts at home and abroad, and a series of with the unknown dynamic of nonlinear systems,
effective methods[6–10] have been put forward—one and it has provided an effective solution to solve
of which is the PID control. However, tuning the maximum power point tracking problems. The
parameters of the PID controller needs the use of PID neural network and the variable speed wind
361

power generation control system is combined in
this paper; an intelligent torque control method
for variable speed wind power generation system is
designed. Take the rotor speed of the wind power
generator and the speed reference values of PID
neural network as the input values, and use the
output value of the PID neural network to regu-
late the torque of wind power generator, which
make wind turbines runon the optimal power curve
and by which the maximum wind energy capture is
achieved. Finally, the verification test of designed
controller is carried out on the platform of Dspace;
the results show that the method can capture the
maximum wind energy, and the efficiency in the
utilization of the wind is improved.
Figure 1. Power coefficient and tip speed ratio.

2 PID NEURAL NETWORK CONTROL
FOR THE VARIABLE SPEED WIND
TURBINE
The structure of DFIG-based wind turbine includes

wind wheel, gear box, wind generator, AC/DC con-
vertor, grid, etc. The model of DFIG-based wind
turbine can be expressed as equation (1–4):
1
Pwt ρπ R 2v3C p ( ) (1)
2
1
Γ wt = ρπ R3v 2CΓ ( ) (2)
2
C p (λ β ) λCΓ ( λ , β ) (3)
R ⋅ Ωl Figure 2. Structure of PID neural network.
λ= (4)
v
where, Pwt is power of wind wheel, Γwt is torque of Hidden layer: hidden layer includes three neu-
wind wheel, CΓ is torque coefficient, λ is tip speed rons, proportional element, integral element, differ-
ratio, β is blade pitch angle, R is radius of wind ential element. The sum of input weight which in
2
wheel, ρ is density of air, v is wind speed. hidden layer neurons is neti 2 ∑ y j1 ⋅ wiij 2 , i = 1, 2, 3,
j =1
As is shown in Figure 1, when the wind speed wij2 is the input weights of the i-th neurons which in
is below the rated value, the control goal of wind the hidden layer. The output function neuron is:
energy conversion system is to get the optimal value The state of proportional element is:
of tip velocity ratio λ and the maximum value of
power coefficient Cp. u 21( k ) = net 21 (5)
The structure of PID neural network
controller[14–16] is shown in Figure 2. PID neural
The state of integral element is:
network controller includes input layer, hidden
layer and output layer. The input layer consists of
u 2 2 ( k ) = u 2 2 ( k 1) + net 2 2 (6)
two neurons. The hidden layer consists of three
neurons. The output layer consists of one neuron,
where, The state of differential element is:
Input layer: two inputs of neural network x11,
x21, where, x11 is the speed reference value Ωhref of u 23 ( k ) = net 23 ( k ) − net 23 ( k 1) (7)
wind turbines. x21 is the actual rotational speed Ωh
of wind turbines. The output of the input layer is: Output layer: the output layer includes one
y j1 = f 1 nnet1 j ) , j = 1, 2. The state function of neu- neuron. The sum of neurons input weight is
rons is u1 j ( k ) = net1 j . netl 3 yi 2 ⋅ wli 3 , wli 3 is the input weights of the
i =1
362

Figure 3. Structure of PID neural network controller
for the generator torque.
y and l = 1. The
l-th neurons which in the output layer,
output of the output layer is yl 3 f 3 ( net 3l ), the yl 3
is the torque reference value of wind generator
g ΓGref.
The state function of neurons is u3l k ) = net 3l. The
output functions of input layer and hidden layer are
f1, f2, which are Tansig function. The output func-
tion of output layer is f3, which is purelin function.
The choice of initial weights: the initial
weights
g from input layery to hidden layer are:
2
11 + 1, w12 2 1, w212 + 0.1, w22 2 = − 0.1, w312 =
−1, w32 2 −1. The initial weights from hidden layer
to output layer are: the output ratio of PID con-
troller kP, integration kI, differentiation kD. Figure 4. Dspace platform of PID NN control system
The error back propagation algorithm of sys- for variable-speed wind turbines.
tem: the weight value of PID neural network can
be adjusted by error back propagation algorithm,
the network training target:
m
/ ∑ [ytp
Et (p ) = 1/m yop ]2 (8)
p=1
where, ytp is desired output of neural network,

which is the speed reference value of wind tur-
bines Ωhref. yop is actual output of neural network,
which is the rotating speed of wind turbines Ωh, m
is the number of samples. The weights of the back-
propagation process are adjusted by the negative
gradient algorithm with momentum factors.
As is shown in Figure 3, the structure of PID
neural network controller for the variable speed Figure 5. Wind speed.
wind turbine is given, the inputs of the PID neural
network are reference of wind generator speed Ωhref
and wind generator speed Ωh, output of the PID
neural network is the reference output of the wind
generator torque ΓGref, which is taken as the input
of the variable-speed wind turbine.
3 SIMULATION RESULTS
As is shown in Figure 4, the Dspace platform of PID

neural network control system for variable-speed
wind turbines is given, the platform mainly include
wind turbine module, the Dspace neural network
module, computer monitoring module, etc.
The wind speed output is shown in Figure 5.
From the output results of the experiment, as
shown in Figure 6 and Figure 7, we can see that Figure 6. Generator power (Kw).
363

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This work has been supported by A Project [13] Hui, L. & Shi, K.L. & McLaren, P.G. 2005. Neural-
Funded by the Priority Academic Program Devel- network-based sensorless maximum wind energy cap-
opment of Jiangsu Higher Education Institutions ture with compensated power coefficient. IEEE Trans-
(PAPD), A Project Funded by the Dr Foundation actions on Industry Applications 41(6): 1548–1556.
of Jiangsu University of Science and Technology [14] Li, M. & Yang, C.W. 2006. A modified PSO learning
under Grant NO. 635031303 and A Project Funded algorithm for PID neural network. Proc. 2006 Chinese
by Jiangsu University of Science and Technology Control Conference. Beijing, 7–11 August 2006.
under Grant NO. 633031304, A Project Funded by [15] Shu, H.L. & Shu, H. 2007. Simulation study of
PID neural network temperature control system
the National Natural Science Fund under Grant
in plastic injecting-moulding machine. Proc. 2007
NO. 51307074, A Project Funded by the Postdoc- International Conference on Machine Learning and
toral Key Research Fund of Southeast University Cybernetics, Hong Kong, 19–22 August 2007.
under Grant NO. 1116000185, A Project Funded [16] Shu, H.L. 2006. PID Neural Network and Its Control
by the Postdoctoral Science Foundation of Jiangsu System. Beijing: Beijing National defense industry
Province under Grant NO. 1301005B. Press.
364

Research on the control method for the torque of wind generator

based on data-driven
T. Li
X.Y. Hou
H.Y. Lin
L. Zhao
Shan Dong Water Polytechnic, Rizhao, Shandong, China
H.J. Liu
Q.Y. Liu
Hulun Buir College, Hulun Buir, Hailar, China
ABSTRACT: Looking at the actual wind turbines in the wind farm, wind turbines are typically time-
varying, strong-coupling and too complex to build a precise mathematical model; a method is proposed
to improve the capture efficiency of wind energy. On the basis of related data for the wind energy conver-
sion system, including power, wind power generator, wind speed, wind generator torque, rotor speed, data
driven control does not need to establish a model of the controlled object, by the advantage of which
the data drive controller for maximum wind energy capture of the wind turbine is designed, tip speed
ratio is regulated by controlling the torque of the generator, and the wind energy utilization coefficient is
improved.
Keywords: torque; data driven; DFIG; generator; MPPT; wind turbine
1 INTRODUCTION The Data driven control theory[9–15] has gradu-

ally become a hot subject for of experts at home
With the increasing amount of the use of wind and abroad; its advantage is for the complex non-
energy, wind turbine control technology is becom- linear system, whose model is unknown, and the
ing a hotspot of attention[1–4]. In recentyears, the related control law is taken from the process data
experts at home and abroad have conducted in- of the controlled object: the method has been suc-
depth research on the wind turbine control system, cessfully applied to many fields, such as flight con-
and put forward a series of effective methods. trol, pattern recognition, robot control.
However, when the actual operation of wind tur- A model of a wind turbine, based on DFIG,
bines in the wind farm are often influenced by is built in this paper, as is the design of the data
the uncertain factors, the conversion efficiency of driven controller with the neural network com-
wind energy will be greatly reduced. If offline or pensation for wind turbines; also designed is the
online data generated by the wind turbines in the data drive controller for maximum wind energy
wind farm are fully utilized, it will greatly improve capture of the wind turbine, the tip speed ratio is
the efficiency of conversion of wind energy, and regulated by controlling the torque of the genera-
bring new challenges to improve the dynamic char- tor, and the wind energy utilization coefficient is
acteristic of wind turbines[5–8]. improved.
365

2 MPPT CONTROLLER WITH NEURAL ⎧y (N )T Qy (N ) ⎫
NETWORK ⎪ ⎪
J = ε ⎨ N −1 ⎬ (7)
2.1 Model of DFIG-based wind turbines
⎩ k =0
(
⎪+ ∑ (k )
T
(k ) + (k )T )
(k ) ⎪
⎭
A model of DFIG-based wind turbines is shown
in Figure 1, which includes the wind wheel, driven-
chain, DFIG, grid, etc. 1. The relevant data of wind energy conversion
Model of DFIG-based wind turbines can be system is deduced by the SCADA system:
expressed as: 2. Output and input data of the control system
can be expressed as (8) and (9):
1
Pwt ρπ R 2v3C p ( ) (1)
2 ⎡ u( k ) L u( k L ) ⎤
⎢ ⎥
1 V = ⎢u p k + p ) L u p ( k + p L )⎥ (8)
Γ wt = ρπ R3v 2CΓ ( ) (2) ⎢ ⎥
2
⎢⎣ y k ) L yL ( k L ) ⎥⎦
C p (λ β ) λCΓ ( λ , β ) (3)
Y ⎡⎣ y1 ( k p) L yL ( k p + L ) ⎤⎦ (9)
R ⋅ Ωl
λ= (4)
v 3. According to the equation (10) to get P1, P2 and
the matrix Tp, let p = N + 1, the Markov param-
where, Pwt is power of wind wheel, Γwt is torque of eters Mi, i = 1, 2, …, N of wind energy conver-
wind wheel, CΓ is torque coefficient, λ is tip speed sion system can be obtained from the Tp.
ratio, β is blade pitch angle, R is radius of wind
wheel, ρ is density of air, v is wind speed.
( )
+
⎡ P1 Tp P2 ⎤⎦ YV T VV T (10)
⎣
2.2 Data-driven control based on neural network
The DFIG wind energy conversion system can be where, P1 = Op ((Bp + MTp), P2 = −OpM, M = −Ap
expressed as: Op+, B p ⎡⎣ A p −1B L A B B ⎤⎦ .
4. Substituting Mi into the equation (11) to cal-
y( k ) f ( x( k ), u( )) (5) culate the data-based control gain GW(k), i = 1,
2, …, N.
where, x(k) is the n-dimensional state quan-
tity, u(k) is n-dimensional input quantity, y(k) is
n-dimensional measured output, by solving the (
GW ( k ) = − R θ ( k + )T (k
(k + )
−1
control function u(k): × g ( k + )) θ ( k )T (k + ) (11)
u( k ) = f ⎡{Mi }1 , Q, R, u( k )),, y k 1) ⎤
N
(6)
⎣ ⎦ 5. According the equation (12) to get the xˆ Wc ( k ) ,
taking the column vector from second row to
where, Mi, = CA(t−1) B, i = 1, 2, …, N, A, B, C is the (N − k + 1)l row as the state vector xWc(k) of
the unknown parameters vector, the performance controller.
index function can be expressed as:
Figure 1. Structure of DFIG-based wind turbines. Figure 2. Structure of neural network compensator.
366

⎡ 0l ⎤
xˆ Wc ( k ) = ⎢⎢ Il (N − k ) ⎥ O x( k )
⎥ p
⎢⎣ 0 l ⎥⎦
⎡ 0l ⎤
= ⎢⎢ Il (N − k ) ⎥ (P u ( k − p)
⎥ 1 p
⎢⎣ 0 l ⎥⎦
+ P2 y p ( k − p )) (12)
6. According the equation (13) to calculate the

control input u:
U( ) W ( k ))xWcc ( k ) (13)
Figure 5. Wind speed.
7. The system output y(k) can be derived from the
control quantity u(k − 1), and the next control
input u(k + 1) can be calculated by using the
control input of the next time u(k) and the sys-
tem output y(k).
Figure 3. Structure of data-driven controller based on

neural network.
Figure 6. Output results.
8. As is shown in Figure 2, by taking e(k), e(k – 1),

y(k − 1) as the input of neural network compen-
sation controller, the control input of next time
Figure 4. Platform of Xilinx System Generator for NN Δunn(k + 1) can be obtained, circulating into the
controller of DFIG-based wind turbine. step (2).
367

3 SIMULATION RESULT REFERENCES
As is shown in Figure 3, structure of data driven [1] Li, T. & Shen, Y.X. & Ji, Z.C. 2012. Research on
controller based on neural network is given, λr A Novel MPPT Control Method for Variable-
is the reference input, λ is actual input, the error Speed Wind Power Systems. Research Journal of
between them is e(t), which is the input of the data Applied Sciences, Engineering and Technology 4(16):
2712–2715.
driven controller. [2] Nguyen, H.M. & Naidu, D.S. 2010. Advanced con-
As shown in Figure 4, the platform of the Xilinx trol strategies for wind energy systems: An overview.
System Generator for NN controller of DFIG- Proc. Power Systems Conference and Exposition,
based wind turbine is given; the platform includes Phoenix, 20–23 March 2011.
wind turbine module, signal processing module, [3] Li, T. & Ji, Z.C. 2012. Data Driven Control for Wind
Xilinx virtex-5 platform module, Matlab/system Energy Conversion System Output Power based on
generator module, etc. Neural Network Compensator. Journal of Control
The wind speed output is shown in Figure 5. As Science and Engineering 2012: 1–8.
is shown in Figure 6, from the output results of [4] Li, T. & Ji, Z.C. 2011. Intelligent Inverse Control to
Maximum Power Point Tracking Control Strategy
the experiment, from (a)–(b), we can see that tip of Wind Energy Conversion System. Proc. 2011
speed ratio and wind energy utilisation coefficient Control and Decision Conference, Mianyang, 23–25
are more stable with the control method proposed May 2011.
than that with traditional one. [5] Andrew, K. & Zhang, Z.J. & Li, M.Y. 2010.
Optimization of Wind Turbine Performance
with Data-Driven Models. IEEE Transactions on
4 CONCLUSION Sustainable Energy 1(2): 66–76.
[6] Andrew, K. & Zhang, Z.J. 2011. Adaptive Control
In order to overcome the shortcomings of the data of a Wind Turbine with Data Mining and Swarm
drive control method, one can use the data driven Intelligence. IEEE Transactions on Sustainable
control method based on neural network compen- Energy 2(1): 28–36.
sation, to enhance the performance of the MPPT [7] Andrew, K. & Zheng, H.Y. 2010. Optimization of
control system for the WECS, by determining the Wind Turbine Energy and Power Factor with an
Markoff parameter of the wind energy conversion Evolutionary Computation Algorithm. Energy
35(3): 1324–1332.
system. Secondly, the system—, the MPPT control [8] Andrew, K. & Zheng, H.Y. & Zhe, S. 2010. Power
system for the DFIG-based WECS, whose output Optimization of Wind Turbines with Data Mining
is adjusted by controller gain. Finally, neural net- and Evolutionary Computation. Rnewable Energy
works of different training rulers are used to train 35(3): 695–702.
the compensator, and thenthe results obtained are [9] Tian, X.M. & Chen, G.Q. & Chen, S. 2011. A Data-
compared. The method is relatively simple; it’s easy Based Approach Formulti Variate Model Predictive
industrial implementation can effectively reduce the Control Performance Monitoring. Neurocomputing
wind energy conversion system speed fluctuation, 74(4): 588–597.
increase the security of wind turbine operationand [10] Van, H.J, & De, J.B. & Steinbuch, M. 2007. Direct
Data-Driven Recursive Controller Unfalsication with
capture the maximum wind energy. A good guide Analytic Update. Automatica 43(12): 2034–2046.
in the application of doubly fed wind energy con- [11] Guardabassi, G.O. & Savaresi, S.M. 2000. Virtual Ref-
version system is provided. erence Direct Design Method: An off-line Approach
to Data-based Control System Design. IEEE Trans-
actions on Automatic Control 45(5): 954–959.
ACKNOWLEDGMENT [12] Hou, Z.S. & Huang, W.H. 1997. The Model-Free
Learning Adaptive Control of a Class of SISO
This work has been supported by A Project Nonlinear Systems. Proc. 1997 American Control
Funded by the Priority Academic Program Devel- Conference, Albuquerque, 4–6 June 1997.
opment of Jiangsu Higher Education Institutions [13] Lee, C.M. & Narayanan, S. 2003. Emotion Recogni-
(PAPD), A Project Funded by the Dr Foundation tion Using a Data-Driven Fuzzy Inference System.
of Jiangsu University of Science and Technology Proc. European Conference on Speech Communica-
under Grant NO. 635031303 and A Project Funded tion and Technology, Geneva 31 August 2003.
by Jiangsu University of Science and Technology [14] Spall, J.C. & Cristion, J.A. 1998. Model-Free
Control of Nonlinear Stochastic Systems with Dis-
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NO. 51307074, A Project Funded by the Postdoc- [15] Hou, Z.S. & Yan, J.W. 2009. Model Free Adap-
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Province under Grant NO. 1301005B.
368

Construction of robustly stable interval polynomial
T.A. Ezangina, S.A. Gayvoronskiy & S.V. Efimov

National Research Tomsk Polytechnic University, Tomsk, Russia
ABSTRACT: The paper presents an original algorithm to determine the intervals of characteristic
polynomial coefficients, which ensure its robust stability. This algorithm is built in conditions that pro-
vide linking indexes of stability and oscillation with interval coefficients of the characteristic polynomial.
The paper reviews application of the algorithm for determination of the interval settings in a robust
PID-controller. Performance of the algorithm was tested by construction of localization regions of the
roots of the interval polynomial upon the determined intervals of the controller parameters.
Keywords: interval characteristic polynomial; coefficient parameters of quality; interval-parametric

synthesis, robust controller
1 INTRODUCTION The inverse problem—determining intervals

of coefficients of characteristic polynomial—is
A great importance to the theory of robust control also important to the development of automatic
presents the Kharitonov’s theorem, which allows to control systems with interval parameters. Here,
assess stability of polynomials with coefficients vary- we are interested in robustly stable polynomi-
ing within the known intervals. To analyze the robust als, i.e., their roots lie in the left half-plane under
stability, testing an infinite number of polynomials any changes in the coefficients of polynomials.
is not required but, instead, we check the stability Figure 1 shows mapping of variations in the coef-
of only four Kharitonov’s polynomials composed ficients of the characteristic polynomial onto
of the extreme values of coefficients, in alternating the root plane for the case of a robustly stable
pairs (two minimum and two maximum values) [1]: polynomial.
Determination of admissible variation range for
P1( s ) = p0 + p1s + p2 s 2 + p3s3 + ..., coefficients of the characteristic polynomial can
solve the problem of interval-parametric synthesis
P2 ( s ) = p0 + p1s + p2 s 2 + p3s3 + ...,
of robust controllers, whose configurable settings
P3 ( s ) = p0 + p1s + p2 s 2 + p3s3 + ..., are included linearly in the coefficients of the char-
P4 ( ) = p0 + p1s + p2 s 2 + p3s3 + ..., acteristic polynomial.
The objective of this study is to develop a
method for determining the interval coefficients
of the characteristic polynomial, which provide its
robust stability.
2 ALGEBRAIC CONDITIONS FOR

STABILITY AND OSCILLABILITY
OF THE INTERVAL POLYNOMIAL
Let there be given an interval polynomial:
P ( s ) = [ pn ]s n + [ pn − 1 ]s n −1 + ...[ p0 ], (1)
were pi ≤ pi ≤ pi ( pi is the lower limit, pi —the

Figure 1. Mapping the polyhedron of coefficients. upper limit).
Sufficient conditions for robust stability and
The reported study was partially supported by RFBR, robust oscillability can be obtained on the basis
research project No 14-08-31031. of coefficients pi [2–3]. Let us introduce the
369

coefficient parameters of stability λi [2–3] formed pz2
by the quadruples of the adjacent polynomial δz δd , z 1, n − 1, (3)
coefficients (1): pz 1 pz +1
[ ][ i +2 ]
where δd is an admissible oscillation index deter-
[ λi ] = i
, i 1, n 2. mined from Figure 2.
[ i ][ i +1 ]
Robust stability and robust oscillability of the
interval characteristic polynomial can be estimated
Definition 1. The interval automatic control upon the conditions (2) and (3).
system is stable if the following conditions are
satisfied
3 THE ALGORITHM FOR DETERMINING
pi pi + 2 INTERVALS OF POLYNOMIAL
λi λ * , i 1,nn 2, λ * ≈ 0, 465 (2)
pi pi +1 COEFFICIENTS
Suppose that at least two leading coefficients of the

Stability domains constructed upon these con-
characteristic polynomial (1) are known. By apply-
ditions will be located inside the exact stability
ing conditions (2) and (3), we construct a system of
region found by any necessary and sufficient con-
inequalities to determine the unknown intervals for
dition. Restriction of this field is insignificant and
the characteristic polynomial coefficients
occurs through discarding points, which refer to
systems with a minor stability factor.
Let us consider coefficient parameters δz [2–3] ⎧ pi pi + 2
⎪ λi pi pi +1 λ * , i n 2, n 3, ...1 λ * ≈ 0, 465;
that characterize the tendency of a system to oscil- ⎪
late. Parameters δz are dimensionless and are called ⎨
⎪δ = pz2
oscillation indexes. Same as λi, these parameters
are linked in a very simple way with coefficients of ⎪ z p p ≥ δ d , z n 1, n , ...1.
⎩ z −1 z +1
the transfer function of a linear system. Parameter
δz is determined by coefficients of the characteris- (4)
tic polynomial (1), as follows Through algebraic transformations conducted
on the basis of the system (4), we obtain expres-
[ pz2 ] sions for the limits of coefficients pi
[δ z ] = , z = 1,n
, − 1.
[ z 1 ][ z +1 ]
λ * pi pi + 2
Sufficient condition for a given degree of oscil- pi = ,i g − 1, g 2 0 g=n k (5)
pi + 3
lability is formulated on the basis of oscillation
indexes δz [2–3]. To locate the roots of the interval
characteristic polynomial (1) in a given angular pz +1 2
Pz = ,z g, z g − 1, ...0, g n−k (6)
sector ±ϕ, we must select controller settings, which δ d pz + 2
would enable the following conditions
λ *δ d pi + pi +1
pg = ,i g, g 1 0 g=n k (7)
pi + 2
Relying on the expressions (5)–(7), an algo-

rithm for determining the interval coefficients that
ensure robust stability of the interval polynomial is
generated. The block diagram of this algorithm is
demonstrated in Figure 3.
The algorithm includes the following steps:
1. Setting the constant coefficients of the polyno-
mial and the admissible oscillation index δd.
2. Verification of the fulfilled conditions (2) and
(3) for the known coefficients of the interval
characteristic polynomial.
3. Solutions for (5), (6), finding the maximum
Figure 2. Dependence between the sector of root loca- values of pi and selecting the minimum pi value
tion and δd value. from this set of values.
370

P ( s ) = [ p6 ]s 6 + [ p5 ]s5 + [ p4 ]s 4 + [ p3 ]s3
+ [ p2 k2 )]s 2 + [ p1( k1 )]s1 + [ p0 ( 0 )],
where [p6] = [a5], [p5] = [a4], [p4] = [a3], [p3] = [a2], [p2] =
[a1] + b[k2], [p1] = [a0] + b[k1], [p0] = b[k0].
To solve this task, we elaborate the system in the
form (4):
⎧ p0 k0 ) p3
⎪λ1 = ≤ 0, 465;
⎪ p1 k1 ) p2 k2 )
⎪
⎪ p1 k1 ) p4
⎪λ2 = p k ) p ≤ 0, 465;
⎪ 2 2 3
⎪
⎪λ = p2 k2 ) p5 ≤ 0, 465;
⎪ 3 p3 p4
⎪
⎪
⎪λ = p3 p6 ≤ 0, 465;
⎪ 4 p4 p5
⎪
⎪ p12 ( k1 )
⎪
δ
⎨ 1 = ≥ 1.45;
⎪ p0 ( k0 ) 2 (k( k2 )
⎪
Figure 3. Block diagram of the algorithm for determin- ⎪ p22 ( 2 )
ing the interval coefficients. ⎪δ 2 = ≥ 1.45;
⎪ p1( 1 ) p3
⎪
⎪ p32
δ
⎪ 3 p ( ) p ≥ 1.45;
=
4. Solution for (7) and determination of the mini- ⎪ 2 2 4
mum limit for pi. limit pi. ⎪ 2
⎪δ = p4 ≥ 1.45;
⎪ 4
p3 p5
⎪
4 APPLICATION OF THE ALGORITHM ⎪ 2
IN THE INTERVAL-PARAMETRIC ⎪δ = p5 ≥ 1.45;
SYNTHESIS OF THE ROBUST ⎪ 5
p4 p6
⎩
CONTROLLER
Assume that the automatic control system has a According to the developed algorithm, we
certain controlled object check that conditions (2), (3) for λ4, δ4, δ5 are
fulfilled:
b
Wco = = 0, ⎧ p3 p6
[ a5 ]s5 + [ a4 ]s4 + [ a3 ]s3 + [ a2 ]s2 + [ a1 ]s1 + [ a0 ] ⎪λ4 = = 0.101 ≤ 0, 465;
⎪ p4 p5
were[a5] = [0.5; 1], [a4] = [11.5; 12], [a3] = [46.5; 47], ⎪
[a2] = [107.5; 108], [a1] = [121; 122], [a0] = [25; 90], b = ⎪ p42
3.2 and PID-controller Wc ( ) ( k2 s 2 k1s1 k0 )/ss . ⎨δ 4 = ≥ 1.66;
⎪ p3 p5
We need to determine the setting intervals of ⎪
PID-controller: k0, k1, k2, which provide that the ⎪ p52
automatic control system is robustly stable and ⎪δ 5 = p4 p6
≥ 5.62;
conditions for oscillability and accuracy at given ⎩
δd = 1.45, Dw = 1, where Dw—is quality of the sys-
tem are satisfied. Since these conditions are satisfied, we proceed
We write the interval characteristic polynomial to determining the limits of unknown coefficients
of this system, as follows p2(k2), p1(k1), p0(k0), aided by the conditions (5)–(7).
371

For this purpose, we start with defining the upper
limit of the coefficient p2(k2)
⎧ 0.465 p3 p4
⎪ p2 k2 ) = = 193.7;
⎪ p5
⎨
⎪ p32
⎪ p2 k2 ) = = 169.57
⎩ δ d p4
From the set of obtained values, we select the

minimum value p2(k2) = 169.57.
Then, we calculate the lower limit of p2(k2),
according to the algorithm
0.465δ d p3 p3
p2 k2 ) = = 166.5
p4
Figure 4. Regions of root localization.
Similarly to finding the upper limit of the coeffi-
cient p2(k2), we calculate the maximum limit p1(k1) Thus, the system under discussion will remain
robustly stable at any PID parameter values within
⎧ 0.465 p2 k2 ) p3 the found ranges.
⎪ p1 k1 ) = = 177.41; This result is checked by constructing the locali-
⎪ p4
⎨ 2 zation regions of the roots and the interval poly-
⎪ p k ) = p2 k2 ) = 177.41 nomial (Fig. 4).
⎪ 1 1
δ d p3
⎩
Then we calculate the minimum limit p1(k1) 5 CONCLUSION
0.465δ d p2 k2 ) p2 k2 ) This research paper presents an algorithm for

p1 k1 ) = = 176.3 determining the coefficient intervals of the char-
p3 acteristic polynomial that ensure its robust stabil-
ity, developed on the basis of robust expansion
Further, we determine the maximum limit of the coefficient method. This algorithm can be
p0(k0) applied to determine the interval settings of robust
controllers. The operating performance of this
⎧ 0.465 p1k1 p2 algorithm is verified on the example of interval-
⎪ p0 k0 ) = = 126.441; parametric synthesis of robust PID-controller.
⎪ p3
⎨
⎪ p12 k1
p
⎪ 0 0k ) = = 126.441 REFERENCES
⎩ δ d p3
[1] Polyak B.T. & Scherbakov P.S. Robust stability and
The lower limit of p0(k0) is found from the value control. Moscow: Science, 2002, p. 303.
of quality factor [3] [2] S.A. Gayvoronskiy & T.A Ezangina. Bundled Soft-
ware for the Desing of Interval Dynamic Systems.
Da0 Applied Mechanics and Materials. Vols. 446–447
p0 k0 ) = k0b = 25 k0 = = 7.813. (2013), pp. 1217–1221.
b [3] S.A. Gayvoronskiy & T.A Ezangina. Robust con-
trol of complex dynamic units with interval param-
From the expressions of coefficients p2(k2), eters. Systems and Computer Science (ICSCS), 2013
p1(k1), p0(k0) and by applying the rules of inter- 2nd International Conference on 26–27 Aug. 2013,
val arithmetic we find the setting limits for PID- Villeneuve d’Ascq, France, PP. 201–204.
controller
k0 = [7.813; 39.51];
k1 = [ ];
k2 = [13 92 15 17 ].
372

A MEMS digital seismometer with new structure
J. Guo & S.H. Xu

Institute of Geology and Geophysics, Chinese Academy of Sciences, Beijing, China
ABSTRACT: A MEMS (Micro Electro Mechanical Systems) digital seismometer with a new structure
is designed and developed; this includes the seismic sensor, weak signal detecting and feedback circuit,
digitalized unit, controlling circuit, data communication unit and power supply circuit. As the force feed-
back circuit of MEMS sensor is introduced, the dynamic range and the small signal recognition ability
is significantly improved, which makes such seismometers a substitution for traditional products; it is
especially suitable for single seismometer receiving techniques. With no orientation and limited axial dis-
turbance, MEMS digital seismometers are easy to constitute as a mutually orthogonal three-component
digital seismometer.
Keywords: MEMS; seismometer; ASIC
1 INTRODUCTION been conducted and products have been released

both in China and other countries. For example,
MEMS, the abbreviation of Micro Electro ION, a US company, developed the VectorSeis
Mechanical Systems, is a super micro mechanical three-component digital seismic sensor in 1999,
component with the ability of electronic induc- and Sercel, a French company, introduced the
tion or reaction. MEMS can be mass-produced MEMS digital seismic sensor—DSU unit. In this
at a comparatively low cost with a process similar article, a new seismometer with MEMS + AD type
to semiconductor production. Currently, MEMS will be introduced; it is different from the exist-
components are widely used in automation equip- ing MEMS seismometer and has certain technical
ment (such as airbag sensors and many types of advantages.
pressure sensors of engines) and computer compo-
nents (such as the nozzle of ink-jet printers and the
hard disk pickup heads). As the MEMS technique 2 THE INTEGRAL STRUCTURE DESIGN
is developed and is maturing, it is now used in seis- OF THE SEISMOMETER
mometers for seismic exploration.
Out of the inherent mechanical characteristics, Figure 1 is the block diagram showing the prin-
the traditional moving-coil geophones presently ciple of the new MEMS digital seismometer.
widely used domestically and abroad, have low There are 6 main units: MEMS seismic sensor
sensitivity, limited dynamic range (around 60 dB), (MEMS), weak signal detecting and feedback cir-
narrow frequency band (10∼200 Hz), poor anti- cuit (ASIC), digitalized unit (AtoD), controlling
interference ability and huge weight and volume. circuit (CPU), data Communication unit (C) and
However, with the dynamic range up to 120 dB, Power supply circuit (P). The integral structure
the latest seismic instruments cannot be fully (see Figure 2 for reference) is constituted by the
utilized. Compared to the regular moving-coil up cover, the outgoing cable, the circuit board, the
simulation geophones, MEMS digital seismom- sensor core, the shell and the tail cone, the digital-
eters show advantages which include low weight, ized unit (AtoD), the controlling circuit (CPU),
broad frequency band, wide dynamic range, little the data Communication unit (C) and the Power
aberration, strong anti-interference ability and so supply circuit (P) are incorporated onto one circuit
on: they will definitely substitute the moving-coil board. The MEMS seismic sensor (MEMS) and
simulation geophones most widely used currently. weak signal detecting and feedback circuit (ASIC)
MEMS digital seismometers are especially suit- are integrated on one Aluminum alloy core, which
able for single seismometer high density sampling has the same size with and can be interchanged
techniques. with the regular moving-coil core. The difference
In view of the great technical advantages of is that the regular moving-coil core does not need
MEMS digital seismometers, relative research has power supply, but both MEMS seismic sensor and
373

ASIC circuit need power supply. That’s why a pair
of power supply circuit, besides a pair of signal
circuits, is needed between the MEMS seismic sen-
sor core and the circuit board. The circuit board
and MEMS seismic sensor core are encapsulated
in the plastic shell by the up cover, and the sensor
core extraction electrode is connected to the circuit
board. The 48 V power supply is adopted, and the
digital seismometer should work regularly when the
voltage is decreased to 27 V. There are 2 pairs of out-
going cables from the circuit board, one of which is
connected with the outside power source to provide
power for the circuit board, and the other will be the
data line. The tail cone will be installed at the bot-
tom of the shell as the grounding component.
3 THE STRUCTURE AND FUNCTION

OF EACH MODULE
MEMS digital seismometers adopt the sandwich

structure of 3 layers of silicon wafers with a spe-
cial bonding process. Compared with the sandwich
structure of 4 layers of silicon wafers adopted
internationally, the process is simple and the yield
rate is high. The double-sided beam mass structure
Figure 1. Principle block diagram of MEMS digital with 8 beam supporting and up-to-bottom symme-
seismometer. try for monolithic fabrication, as well as the once
forming technology, not only simplified the fabri-
cation process, but also greatly decreased the
thermal noise and the cross axis sensitivity. The
reliability of the MEMS sensors produced with
the said design and process will definitely improve,
and the rate of loss will obviously reduce.
The weak signal detecting and feedback circuit
(ASIC) adopts low noise capacitance signal enlarge-
ment technology, especially the simulated force
feedback circuit to increase the signal noise ratio,
which helps detect the weak signal and enlarges
the dynamic range of the sensor to 110 dB, sat-
isfying the requirement of high-accuracy seismic
exploration. The introduction of a feedback circuit
greatly improves the small signal recognition abil-
ity, the technical indexes of which reach interna-
tional advanced level. MEMS digital seismometers
of both ION and Sercel adopt digital force feed-
back pattern. The advantage is that controlling
and recording is available and flexible. Domestic
MEMS digital seismometers at earlier stage do not
have feedback circuits, which leads to the result of
limited dynamic range (less than 90 dB) and poor
detecting ability of weak signals. The characteris-
tics of the adopted simulated force feedback pat-
tern include quick responding and simple circuit
structure. This is the major difference with other
MEMS digital seismometers in the world.
Figure 2. Integral structure sketch of MEMS digital The MEMS seismic sensor is directly connected
seismometer. and integrated with the weak signal detecting and
374

feedback circuit (ASIC). Since the output signal of instrument mainframe system, receiving the con-
the MEMS seismic sensor is very weak, the sen- trolling command of the mainframe and conduct-
sor should be closely connected to the weak sig- ing the uploading of sampling data. It should be
nal detecting circuit to avoid loss. So The MEMS consistent with the data communication protocol
seismic sensor is directly connected with the weak of the mainframe system.
signal detecting and feedback circuit (ASIC), and
both parts are integrated into one. Such a connec-
tion can avoid the need for transmission via cable of 4 CONCLUSION
the simulated signal, keep the effective content of
the weak signal and improve the anti-interference This MEMS seismometer has the dynamic range
ability. of up to 110dB and largely improved small signal
The digitalized unit (AtoD) provides pre- recognition ability; i is especially suitable for sin-
amplification, Δ-Σ modulation, digital filtering gle seismometer receiving techniques. After mass
and other functions. It also provides 24 digits A/D production, the cost will be effectively controlled,
conversion accuracy. Programmatic configuration and it will surely be the substitution of traditional
of the pre-amplification gain at 0 dB, 6 dB, 12 dB, seismometers.
18 dB, 24 dB, 30 dB or 36 dB, as well as 4, 2, 1, 0.5 With no orientation and limited axial distur-
or 0.25 sampling rate can be realized. AtoD can bance, the digital seismometers described in this
employ either the A/D conversion suite CS3301 A, article can easily constitute a mutually orthogo-
CS5373 A and CS5378 produced by Cirrus Logic nal three-component digital seismometer. It will
or AD1282 chip by TI. Both products are specified be obtained when three MEMS seismic sensors
chips for seismic exploration and widely used in are orthogonally integrated on one Aluminum
seismic exploring instruments. MEMS digital seis- alloy core.
mometers of both ION and Sercel adopt digitalisa-
tion scheme with ASIC circuits. In this invention,
ASIC circuits only complete the low noise capaci- ACKNOWLEDGEMENTS
tance signal enlargement and the simulated force
feedback, which has wider pre-amplification gain This work is supported by the Chinese National
and higher conversion accuracy and is suitable for 863 Program (2012 AA061102) and by R&D of
the utilisation in different areas. Key Instruments and Technologies for Deep
The controlling circuit (CPU) is embedded Resources Prospecting (the National R&D
CPU. It controls the digitalised unit to complete Projects for Key Scientific Instruments), Grant
the analogue-digital conversion and controls the No. ZDYZ2012-1-06-03.
data communication unit to realise the communi-
cation and transmission of data with the seismic
instrument system; it also controls the power sup- REFERENCES
ply circuit (P) to realise the power supply for the
MEMS seismic sensor, the weak signal detecting [1] Llobera A., Plaza J.A., and Salinas I., etc. Charac-
and feedback circuit (ASIC), the digitalised unit terization and passivation effects of an optical accel-
(AtoD), the controlling circuit (CPU) and the data erometer based on antiresonant waveguides IEEE
Communication unit (C). The controlling circuit Photonics Technology Letters. 2004, 16(1): 233∼235.
[2] J. Dakin and B. Culshaw, Optical fiber sensors II:
(CPU) adopts a C51 or ARM series embedded Systems and applications, Artech house, Boston and
CPU, the most energy saving chip; provided that London, 1996.
it can fulfill the function of controlling the digi- [3] J. Guo, G.Q. Ma, etc. MEMS-based digital geophone
talized unit, the data communication unit and the and its application. Petroleum Geophysical Explora-
power supply circuit. tion, 2005, 44(4): 348∼351.
The data communication unit (C) provides the
data communication function with the seismic
375

A type of real-time vibration monitoring system based

on Ethernet and RS-232
S.H. Xu & J. Guo

Institute of Geology and Geophysics, Chinese Academy of Sciences, Beijing, China
P.P. Li
CNOOC Research Institute, Dongcheng, Beijing, China
ABSTRACT: This article describes a method to implement the vibration monitoring system by the
Ethernet and RS-232 serial port communication working together. Through real-time analysis of the first
arrive and energy information from the sensor vibration data, the monitoring system can give us the source
location and energy intensity. The system comprises a central station and a number of monitoring stations
which are spread out in the monitored area and constituted LAN, using Ethernet. In the system, RS-232
will be responsible for the real-time transmitting of the second pulse signal from the GPS module, to each
of the distributed real-time vibration monitoring stations. Then by Ethernet the monitoring stations pro-
vide and send sampling data of the vibration signal and GPS pulse signal to the central station. Then the
central station will synchronise the vibration data from all the monitoring stations, based on pulse signals,
and finally locate the vibration source and calculate the vibration energy. The system uses a simple appa-
ratus to meet the application requirements. The system is reliable and has good applicability.
Keywords: vibration monitoring; RS-232; GPS second pulse
1 INTRODUCTION some areas such as inside a mine or seriously covered

ground. By considering the system cost and it’s flex-
Vibration monitoring system is a kind of widely ibility in use, we want to design a new kind of moni-
used digital system with a combination of digital toring system in which the connection is between the
communications, sensors and other embedded sys- division vibration monitoring stations and the cen-
tems technology. In some applications, the real- tral station is LAN—and the collection data of every
time calculation of vibration location and energy is vibration monitoring station is strictly synchronised.
required. The general method is to work within the The traditional LAN network synchronisation
monitored area to be dispersed, in a certain number method is generally by 1588 agreement, which will
of laid (at least 4) vibration monitoring stations need higher requirements for the system hardware
(or monitor), with each monitoring station being and software, and the implementation is more com-
responsible for the analog to digital conversion of plex. Compared with Ethernet, RS-232 is a kind of
the vibration sensor and real-time transmission to low grade serial communication with a small and
the central station, which is responsible for stor- fixed delay. In this system a TCP/IP is used for the
ing and processing data. The pre-requisites of data communication between the central station and
solver are: vibration data from each distributed col- the distributed monitoring, which completes the
lection stations is acquired in strict time synchronisa- entire control and vibration data backhaul. At the
tion, the error should be less than half the sampling same time, due to the current embedded systems
rate, such as when the sampling rate is 4 K and syn- which are usually backed with perfect Ethernet
chronisation accuracy should be more than 125 us. supportability, this system is easy to develop.
The cause for data collection not synchronized gen-
erally includes two things: time is not synchronised
2 THE STRUCTURAL DESIGN
between different distributed systems and Ethernet is
OF MONITORING SYSTEM
not fixed for time delay. A variety of methods can be
used to synchronise data collection, such as the use
2.1 The topological structure
of a high-precision clock and time server; in addition
GPS synchronisation is a frequently used synchroni- The schematic structure diagram of the vibration
sation method. GPS synchronisation is fantastic in monitoring system is shown in Figure1. Part is
377

from the GPS module is not present in any network
node in the system. All distributed monitoring sta-
tions and the host system use the original RTC time,
only high-precision GPS module second pulse signal
is used to synchronise vibration signals between the
various distributed monitoring stations. According
to the working principle of the monitoring system,
the exact time of occurrence of the vibration is not
required. For the solution of the vibration position
information calculation, as long as the vibration
data in the data solver using various monitoring sta-
tions are relatively synchronised (synchronisation
accuracy less than the sampling rate) to each other
can be calculated by the exact spatial position of a
vibration point. The time of vibration is defined by
the system time in the central station.
Figure 1. Vibration monitoring system topology
diagram.
2.2 Design of distributed monitoring station
Figure 2 is a schematic diagram of the structure of
a central station which is responsible for control- distributed monitoring station; CM is the control
ling the entire system, including the recovery and unit of distributed monitoring station, using AM9
storage of data, and data demodulation comput- as the core control chip, with a high frequency, high
ing work. Part is a fiber optical Ethernet switch, processing speed, low power consumption, and
responsible for the Ethernet connection between perfect Ethernet supportability. The AD module
the central station and the distributed monitoring is an analog-digital conversion collection module
stations. Part is the GPS timing module, which with a four-channel data acquisition, each station
comprise a GPS antenna and a GPS receiver. using four Cirrus Logic’s CS5373 chip; with high
The timing module can output second pulse sig- collecting precision, maximum sampling rate can
nals and timing information through a serial port. be up to 4 K. FPGA is also used to be responsible
When you first start the time module, four or more logic timing control and data processing functions
satellites signals are needed to receive to complete of AD conversion. When the monitoring stations
positioning and timing; after the positioning is work, the first three AD channels are connected
completed, even if only one GPS satellite signals with three-component sensors responsible for col-
can be received, the timing can work properly. lecting the vibration signals on the Z, X, Y three
Part is a serial port to fiber conversion module, directions. The fourth channel is used to connect
which is responsible for translating the GPS sig- the serial port signal output via FOM2 module;
nals from the electrical type to optical type. Part its output signal is a 1PPS pulse signal of seconds.
is a light switch. When the distributed monitoring In every serial-fiber conversion module FOM2 of
station and central station need to be connected in each distributed monitoring station the input and
parallel, part is needed to divide the second pulse output terminals were short-circuited; the output
optical signal from part into multiple access for
each monitoring station. Part and part rep-
resent the distributed monitoring stations and
three-component geophone connected which are
connected to the monitoring stations.
The optical cable which is used to connect each
monitoring station should have at least three cores,
one pair for Ethernet, one for RS232 transmission.
It should be noted that, unlike the conventional
optical communication port, in the present system,
RS-232 communication is only responsible for
sending the PPS signal from the GPS module to
each monitoring station. Each monitoring station
is without signal returns, so a one-way transmis-
sion fiber optic cable is sufficient.
Although GPS is used in the monitoring system
described herein, the timing information output Figure 2. Distributed monitoring station structure.
378

distribution of fiber access the next station, used
as an input. The power module supply power man-
agement for other modules provides digital 3.3 V,
5 V, and 2.5 V analog power supply and is with a
12 V DC power input terminal.
During the test, the GPS module pulse signals,
simultaneously, access to two channels in one dis-
tributed monitoring station, a direct input, and
another channel, through two serial photoelectric
conversion modules and cable transmission. Two
pulse rise times of the signal to start at the acqui-
sition beginning have a difference of one sample
point (2.5 K sampling). After being collected for
24 hours, the error will generally accumulate to
three sampling points, but the delay and the cumu-
lative is all consistent for every distribution station.
So, after we complete the data aligning accord-
ing to the PPS signal’s pulse rising edge the col-
lected three components vibration data are time
synchronised.
It should be noted that the delay of Ethernet is
far less than 1 s, that is, it can be controlled within a
second pulse signal. Therefore, the second pulse sig-
nal can be used to time corrected. After powering Figure 3. The actual collection data.
on each distribution station the host system releases
the Ethernet command to detect the connection
status with the distribution stations and after that excited vibration using a hammer around station
determine the connection is normal, and then start one, is shown in Figure 3. A total of 16 channels,
sending commands to start AD and return col- which 4, 8, 12, 16 channels are for GPS pulse sig-
lecting data. This gives an additional advantage of nals. Figure 3 is the data conducted after the syn-
using the methods described herein RS232 assist- chronisation correction according to the second
ant pulse signal synchronised with the vibration pulse. From the three-component vibration sensor
data for all the distributed monitoring station does sampling data of the four distribution stations,
not need to add additional time information. Of the vibration reaches chronological order in line
course, this requires two premises as a guarantee. with the position of the distribution relationship.
First, the sample data of four channels in every dis- The experimental data were repeatedly hammering
tributed monitoring station is strictly synchronized. processed, after system solver, the vibration point
Secondly, each distributed monitoring station will position and measured position have an error less
send sampling data packets to the central station in than 2 meters. This shows that when performed the
the period of the same second pulse. real time vibration data acquisition and synchroni-
zation methods described herein method proved to
be accurate and reliable.
3 PRACTICAL EFFECT ANALYSIS
We did an actual data acquisition experiment using 4 CONCLUSIONS

a central station and four distribution stations.
Four distribution stations are serially connected By using low-cost and simple Ethernet equipment
using a fiber optic cable which has four cores, and method we can complete the real-time vibration
two for Ethernet connections with the central sta- data transmission and high-precision time synchro-
tion through the fiber optic switch. One fiber core nisation. Unlike ordinary GPS timing in distributed
which is used to receive GPS pulse signal from systems, in our system the GPS signal is only given
RS-232 serial is connected to the GPS timing mod- by the central station. That is as long as the central
ule through the serial-fiber converter. The moni- station has a normal function of GPS timing, the
toring area is a cement ground with 40 multiplied entire system can complete time synchronisation.
by 40 meters. Four monitoring stations are located Compared with other timing synchronisation
in the four corners of the monitored area. Surface method such as the time server and other high-
vibration propagation velocity is about 300 meters precision clock, data synchronisation method
per second. The acquired sample data from the described herein has the most simple structure and
379

is the least expensive. It is quicker in some local Projects for Key Scientific Instruments), Grant
area network system, particularly with the use of No. ZDYZ2012-1-06-03.
fiber-optic connections in a LAN system with a
complete layout of the monitoring system. Optical
REFERENCES
cable with more than three cores can be used to
complete the connection of the system. [1] B.M. Gurbuz. Upsweep Signals With high Frequency
Next we can try to add the second pulse signal Attenuation and Their use in the Construction of
to the normal vibration acquisition channel, and Vibroseis Synthetic Seismograms. Geophysical Pros-
then only three channels are necessary in every pecting 1982, Vol. 30: p432–443.
monitoring station. Equipment cost and the power [2] Lee, Kyung Chang, Lee, Suk. Performance evaluation
consumption can be further reduced. of switched Ethernet for real-time industrial commu-
nications. Computer Standards and Interfaces, 2002,
24(5): p411–423.
ACKNOWLEDGEMENTS [3] Decotignie, Jean-Dominique. Ethernet-based real-
time and industrial communications. Proceedings of
the IEEE, Industrial Communication Systems 2005,
This work is supported by the Chinese National 93(6): p1102–1117.
863 Program (2012AA061102) and by R&D of [4] Hopler, Robert B. A history of the development of ins-
Key Instruments and Technologies for Deep truments for measuring vibrations of the earth part 4.
Resources Prospecting (the National R&D Journal of Explosives Engineering, 2006, (1): p38.
380

Study on the transient voltage stability of distribution systems

considering large-scaled dispersed EV charging
Y.X. Chen & Z.J. Chi

Beijing Power Test Research Institute, Beijing, China
P.W. Zheng & X.N. Lin

ABSTRACT: As an increasing amount of Electric Vehicles (EVs) are connecting to a power distribu-
tion system via charging devices, the load of power system will become heavier and more unpredictable.
This may lead to serious risk for the security and stability of the system’s operation. In this paper, the
quantitative influence that EV charging loads may bring to the transient voltage stability of distribution
system is studied. It also analyses the security and stability status of power system integrated with large-
scaled EV loads. In order to indicate the margin of transient voltage stability of distribution network, an
index is proposed. This index is represented by a relative value of slip, considering the torque-slip property
of induction motor load. Furthermore, simulation analysis and calculations are carried out to study the
transient voltage instability condition, focused on the dispersed charging scenario of large-scaled EVs.
The result shows that the index proposed is capable of reflecting the profound effect of large-scaled EV
loads on the transient voltage security of distribution network.
Keywords: electric vehicle; dispersed charging; transient voltage stability margin; voltage slip
1 INTRODUCTION growth in charging loads and the influence on the

voltage, loss, harmonic waves and load unbalance
With the reducing of primary energy sources such of power grid. Hotspots also lie in the assistant
as fossil energy, expending the usage scope of a services that EVs can offer to the operation of a
secondary energy such as electric power will be put power system such as reactive compensation, load
on agenda. Thus, as a significant element of it, the support, spinning reserve and frequency regulation
popularisation of the electric vehicle is attracting etc. [3–5] In view of this, considering dynamic loads
great attention. Using new energy automobiles to represented by different connecting proportions of
replace the fuel consumption and traditional vehi- induction motors, slip margin of induction motor
cles, and replacing fossil fuels by electrical energy, load is used to reflect the transient stability mar-
are the only long-term solution to the future traf- gin. Then transient voltage stability of distribution
fic situation. Large-scaled charging stations are network under different scenarios can be studied.
needed in order to meet the wide spread of electric By constructing the typical model of distribution
vehicles. However, the result of [1–2] shows that an network and the charging model of EV loads, the
EV charging station is a typical power electronic quantitative effect on the transient voltage stability
device of a large power base and high current, of distribution network brought by dispersed EV
which could bring profound influence to the stabil- charging loads of different penetrations, are thor-
ity of the transient voltage of the power system. oughly examined.
For the distribution network which contains much
induction motor load, the connection of large-
2 ANALYSIS OF ELECTRIC VEHICLE
scaled EVs will lead to different degrees of effects
CHARGING SCENARIO
to the transient voltage stability of distribution
AND CHARGING MODEL
network based on the location, the capacity and
the pattern of grid-connecting.
2.1 Electric vehicle charging scenario analysis
Current studies of the security and stability of
the power system with which electric vehicles are There are three types of electric vehicle charging
connected, mainly focus on the influence on the modes, i.e. conventional charging mode, quick
generating capacity configuration due to massive charging mode and battery swapping mode.
381

valley time; beneficial for management
achievable; reducing car cost; facilitate

According to their usages and requirements, dif-
Relatively low; charging at valley time is

is achievable; difficult to manage and
ferent modes are adopted for the corresponding
Relatively low; charging at valley time
Relatively high; difficult to charge at

vehicles. For private cars, company and institution
vehicles, conventional charging mode is gener-
unified battery management,

Charging and operating costs
maintenance and recycling

ally adopted. As to buses and taxis, quick charg-
ing mode or battery swapping mode are more
appropriate. The corresponding equipment for the
charging modes mentioned above are a household
and maintenance
DC charging spot, charging stations and battery
swap station respectively. Comparison for the three
maintain
kinds of infrastructures are shown in Table 1.
The focus of this research is on the analysis of
transient voltage instability of distribution net-
work under dispersed charging scenario. In this
scenario, a penetration rate ρ is used to produce
charging pile (5 kw)

EV charging load value for each load bus by multi-
Relatively low; about
determined by the
Very high, about ten

construction scale
plying ρ with the active power of the original load
million RMB for

Construction costs
¥20,000 for one

buses and allocating the product to each bus of the
Relatively high;
one station
distribution network.
2.2 EV charging model analysis

As with the specific battery charging process, the
strategy generally adopted nowadays is the so-
Private cars; company

called constant current-constant voltage two-stage
charging. In the first stage when battery State of
and institution
Buses, taxis and
Buses, taxis and

Charge (SOC) is relatively low, a constant cur-
private cars
private cars
rent charging method is selected. Later on, when
Target user
the battery voltage reaches the maximum allow- vehicles

able value, it changes to constant voltage charg-
Comparison of charging spot, charging station and battery swap station.
ing method to avoid damage to the battery due to

over-current. The charging power and charging
Charging duration
duration required for the first stage was far greater

About 30 minutes
than the second one. Therefore, the constant cur-

5–10 minutes
rent charging stage is the only consideration in this

6–10 hours
paper when analysing the effect of charging facili-

ties on the transient voltage stability of distribu-
tion network.
2.2.1 Battery model

Suitable construction
Research shows that the most commonly adopted

residential areas
City center; along

Traffic-intensive
vehicle battery models are the internal resistance

areas; along
model, Thevenin model, fourth-order model,

Parking lots;
highways
highways
PNGV model, GNL model and so on. The

occasions
Thevenin model concerned both the capacitive and

resistance characteristic of the battery. It’s the most
representative battery model which can describe the
complete transient characteristics [6]. The Thevenin
centralized
centralized
Large-scaled
Large-scaled
model is presented in Figure 1, where the ideal

charging
charging
charging
Dispersed
voltage source Uoc is the open circuit voltage of bat-

Type of
service
tery and RTo is the internal resistance. The parallel

capacitor CTp and resistance RTp externalize the
transient characteristics of battery.
infrastructure
Battery swap
2.2.2 Main circuit structure and control

Charging
Charging
Charging
station
station
Table 1.
strategy of the charger

spot
With the development of PWM rectifier technology,

the bidirectional converter which utilizes IGBT as
382

the Total Harmonic Distortion (THD) of grid-
connected current for charging facility should be
less than 1%, which is fully considered in the simu-
lation afterwards.
3 TRANSIENT VOLTAGE STABILITY

MARGIN INDEX OF DISTRIBUTION
NETWORK CONSIDERING THE
EFFECT OF INDUCTION MOTORS
Existing research [7–10] determines the short-term

Figure 1. Thevenin model of battery. large disturbance voltage stability of power system
by analysing the dynamic stabilisation of induc-
tion motor loads after the disturbance. According
to literature [9] in which an analytical assessment
approach for the transient voltage stability of a
load bus is proposed, the critical clearing time tc
is adopted to reflect the transient voltage stability
degree of the load bus containing induction motors.
The analytical calculation formula is as follows:
Sdec 2 H ( sc − s ) − Sdec
tcm tc − = (1)
Tm Tm Tm
where 2H is the inertia time constant of the induc-

Figure 2. Electrical schematic of the EV charger. tion motor; s0 and sc means the initial slip and the
critical slip respectively; Sdec represents the decel-
eration area after fault is cleared and Tm indicates
the load torque.
Taking into account the indication role of the
critical slip sc, i.e. the unstable slip under small
disturbance, on transient voltage stability degree,
a margin index η for transient voltage stability is
proposed in this paper:
scm − smax
η= (2)
scm
Figure 3. Schematic diagram of charger control.
the main power device can not only achieve conver-

sion under unity power factor but also has excellent
control of the waveform of grid-connected current.
Meanwhile, four-quadrant operating is achievable
as well. So recently it has gradually started taking
the place of traditional phase-control rectifiers.
The electrical schematic of the EV charger adopted
in this paper is shown in Figure 2.
A coordinated control strategy by combining
AC-DC unit control with DC-DC unit control,
which ensures the constant DC bus voltage and
the constant battery current separately, is selected
to achieve a stable recharging process for EV bat-
teries, as shown in Figure 3. According to the code
requirements by national standard GB 19939-2005, Figure 4. Torque-slip curves of the general motor model.
383

where scm is the corresponding critical slip at the So, based on the inherent load of each node PL,
time epoch when terminal voltage reaches its mini- the active and reactive power of EV load Pev and
mum [11] after the fault is removed. smax is the max- Qev can be calculated according to the power fac-
imum slip after the clearance of the fault and it can tor PF. The charging power of each EV is set as
be obtained by time-domain simulation. 180 kW, and the power factor of charger is 0.95
for simulation.
Then, based on the aforementioned EV charg-
4 SIMULATION AND ANALYSIS ing model, an assembly charging model is estab-
OF THE IMPACT OF LARGE-SCALED lished and connected to the distribution power
EV DISPERSED CHARGING system. Meanwhile, by utilizing the transient volt-
ON TRANSIENT VOLTAGE STABILITY age stability margin index η considering induction
IN DISTRIBUTION SYSTEM motor load, the quantified influence of EV load
connection on transient voltage stability margin of
4.1 Simulation configuration the distribution system can be calculated.
As is shown in Figure 5, a 14 node distribution net-
work system model [12] is built based on the plat- 4.2 Simulation results
form of Simpower system in Matlab/Simulink. For When EVs are not connected and the fault is set
the full consideration of the potential influences to occur at 2.0 s, it is discovered by time domain
of different connection penetration of EVs on the simulation that node N8 of the distribution net-
transient voltage stability of distribution network, work is the first load bus to lose stability at 2.1035 s.
a large disturbance of three-phase short circuit Therefore, node N8 is the most stability-vulnerable
fault is set to occur at point A1 in this paper. load bus. In the following discussion, node N8 will
First of all, EV charging penetration ρ is be regarded as the reference node which can meas-
defined as: ure the transient voltage stability of the entire dis-
tribution network.
Pev When considering a dispersed charging scenario
ρ= (3)
PL where EV load penetration ρ = 10%, the simulation
is carried out with the fault occurring at 2 s and
where PL is the active power of each load bus cleared at 2.08 s. Results are listed in Table 3 where
and Pev is the active power of EV load connected. the maximum slip Smax of each node of the distri-
bution system, the calculated unstable slip greater
value Scm and the transient voltage stability margin
index η are included.
It can be seen that node N8 and N9 are more
likely to lose stability. Comparing it to the situation
Table 2. Load parameters of distribution network.
Branch
number I II III
Commercial Industrial Residential

Load type load load load
Proportion of comprehensive load

Static load 35% 25% 50%
Induction 65% 75% 50%
motor load
Parameters of induction motor loads
H 1.5 3.2 4.7
s0 0.0113 0.0050 0.0076
Rs 0.035 0.029 0.064
Xs 0.094 0.067 0.137
Xm 2.8 3.8 3.0
Rr 0.048 0.009 0.059
Xr 0.163 0.17 0.167
Figure 5. 14 node distribution network.
384

Table 3. Transient voltage stability margin EV charging scenarios, the evolution of transient
index of each node at 2.08 s when EV load voltage stability margin is shown in Figure 7.
penetration ρ = 10%.
Node
number Smax Scm η
5 CONCLUSION
1 – – – As can be seen from the simulation results, with

2 0.0470 0.237 0.802 the increase of EV load capacity connected, the
3 0.0628 0.0893 0.297 change of transient voltage stability margin index
4 0.0236 0.310 0.923 of industrial load branch II which contains node
5 0.0453 0.253 0.821 3, 8, 9, 10 and 11 is the most obvious. The access
6 0.0685 0.293 0.766 of large-scaled EV load will bring challenges to
7 0.0352 0.464 0.924 the transient voltage security of the dynamic load
8 0.0717 0.0797 0.101 which is of high power value and load rate in
9 0.0677 0.0825 0.179 industrial loads. The change of commercial load
10 0.0527 0.103 0.488 branch I which contains node 2, 5, 6 and 7 is rela-
11 0.0335 0.381 0.912 tively insignificant compared to branch II and the
12 0.0233 0.316 0.926 change of residential load branch III which con-
13 0.0235 0.297 0.921 tains node 4, 12, 13 and 14 is the smallest. Further
14 0.0281 0.225 0.875 simulation reveals that when 30% penetration
rate of EV dispersed charging load is connected
to the test distribution system, after the large dis-
turbance of fault occurring in 2 s and cleared at
2.08 s, node N9 will lose its stability.
This paper analyzes different EVs charging sce-
narios and simulates focusing on dispersed charging
mode. According to the transient voltage stabil-
ity margin index considering the effect of induc-
tion motor in distribution network, the impact
of various penetrations large-scaled EV dispersed
charging on transient voltage stability of distribu-
Figure 6. Slip change tendency of node N8 with EV tion system is quantified. Result shows that the
load connected. access of large-scaled EV loads will bring profound
impact and challenge to the transient voltage secu-
rity of the power distribution system, especially to
the feeder with high dynamic load components.
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CSEE. 2012. 32(4):1–10.
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386

Fault diagnosis and failure rate analysis of power transformer based on

cloud relation space model
Li-Juan Guo & Song-Mei Tao

Electric Power Research Institute, Guangxi Power Grid Corporation, Nanning, China
ABSTRACT: In order to solve the problem of randomness and fuzziness in the sample of power trans-
former fault diagnosis and failure rate analysis, a new fault diagnosis and failure rate analysis method
for power transformer, based on a cloud relation space model, is proposed. By using a cloud generator
to analyse total dissolved gas content and percentage of dissolved gas in transformer oil, building cloud
combination, and getting a new cloud fault diagnosis model by establishing the relation space between the
fault type and cloud combination. Failure rate can be deduced by analysis of the relation space. The result
of the research proves the effectiveness and reliability of this method.
Keywords: power transformer; fault diagnosis; failure rate; cloud model; relation space
1 INTRODUCTION done by establishing relation space between the fault

type and cloud combination.
Power transformers are important equipment in
power systems. Any fault in the power transformer
may lead to the interruption of the power supply. So 2 DATA ANALYSIS BASED
it is of vital importance to detect the incipient fault UPON CLOUD THEORY
of the transformer as early as possible. Diagnosis
of potential faults concealed inside power trans- 2.1 Cloud theory
formers is the key of ensuring stable electrical Cloud theory merges fuzziness and randomness
power supply to consumers. Conditioned monitor- values expressed by natural language, and consti-
ing and software-based diagnosis tools are central tutes the relationship between the qualitative and
to the implementation of efficient maintenance quantitative. The Cloud model is based on two
management strategies for many engineering appli- theories—probability theory and fuzzy set theory.
cations, including power transformers. Dissolved And it portrays a unified concept of random-
Gas Analysis (DGA) has been widely recognized as ness, fuzziness and relevance, through a specific
an effective diagnostic technique for power trans- algorithm for constructing. Cloud theory is an
former faults detection. In the past years, various uncertainty transformation model between quali-
fault diagnosis techniques have been proposed. But tative concepts and quantitative values. The Cloud
these methods only consider the fuzziness of date, model consists of three digital characteristics:
ignoring the randomness of date. The traditional expectations, entropy, super entropy. Expectations
cloud model can be better for taking the fuzzi- (Ex) indicates the cloud distribution center; Entropy
ness and randomness into account, but is lacking (En) describes the fuzziness of the concept. Super
the diagnostic capacity to normal samples and the entropy (He) reflects the uncertainty of the Cloud.
study about the relationship among samples.
This paper presents a new transformer fault diag-
nosis method based on the cloud model. The sample 2.2 Data analysis
data of dissolved gas in transformer (H2, CH4, C2H6,
C2H4 and C2H2) can be transformed into percentage At first, pre-process the date of fault transformer
of each gas and total dissolved gas content. Then, oil dissolved gas.
the sample was transformed into multiple qualitative
cloud concepts through the cloud model. Simplifying hi
Hi = (1)
the database by determining the dissolved gas sample hmax
data belongs to their corresponding cloud concepts. gij
Building cloud combination, and getting the cloud Gij = (2)
fault diagnosis and failure rate analysis model can be hi
387

where Hi is value of total dissolved gas after nor- transformation, n is the number of the cloud, ε is
malized, hi is value of total dissolved gas before the maximum error in the transformation process.
normalized, hmax is the maximum value of each gas. The local maximum points of the frequency distri-
Gij is percentage of gas j in sample i, gij is the exact bution are center of date, and their position are the
value. Then the sample i can be expressed as (Hi, expectations in this paper.
Gi1, ……Gi5). Using this method to analyse C2H4% and total
Analysis of the frequency distribution of five gas. The specific algorithm is as follows:
kinds of gases and total dissolved gas content.
Figure 1 is frequency distribution of total dissolved 1. Find each peak point in Figure 1 and Figure 2,
gas, Figure 2 is frequency distribution of C2H4%. and define the coordinate values as Exi.
Then, this paper uses the cloud transforma- 2. Calculate Eni of each cloud model, and calcu-
tion algorithm based on the peak of the cloud to late probability density function of each cloud
y functi
( Exi )2 / ( Eni )2
processing the frequency curve. The algorithm can model fi x ) = e −(x
(x
. The results are
extract the cloud concept distribution form the shown in Figure 3 and Figure 4.
sample data. 3. Calculate Hei of each cloud model by reverse
cloud algorithm. Then, the cloud model is rep-
⎧ n resented as C(Exi, Eni, Hei). The cloud model of
⎪ f x ) → ∑ (ai * c( Exi , Ennii , H ei )); H2%, CH4%, C2H2% and C2H6% can bededuce-
⎪ i =1 din the same way.
⎨ n
⎪0 < f x x)) − ∑ (ai * c( Exi , Eni , H eeii )) < ε (3) According to the Figure 3 and Figure 4, parts
⎪
⎩ i =1 of the cloud model are too close, and some cloud
models are covered by each other. The duplication
where f(x) is frequency distribution function, and unnecessary of cloud model can cause much
ai is amplitude, c(Exi, Eni, Eri) is a cloud after
Figure 3. Superposition of gas curves of the cloud

models after cloud transformation.
Figure 1. Frequency distribution of the dissolved gas.
Figure 4. Superposition of C2H4% curves of the cloud

Figure 2. Frequency distribution of C2H4%. models after cloud transformation.
388

hardship in data partitioning. So, simplifying the μik = {μiCCX μiCX μiCCX μiCX μiCCX μiCX } (5)
state space is necessary.
Considering the peak of cloud model and
where μik is correlation of each elements of train-
human cognitive characteristics, this paper uses
ing sample i and the cloud combination k. For
the cloud merging algorithm to merge some cloud
example, μiCx2 is correlation of H2% in sample i
models when the distance is too close. For C2H4%,
and cloud Cx2.
the number of cloud models becomes 4 from 9 by
using the cloud merging algorithm. ( i1 − ExCx 2 )
2
−
Analysis of the cloud model of H2%, CH4%, 2
C2H2%, C2H6% and total gas by the same algorithm. μiCCX 2 = e 2 EnCx 2
(6)
The final cloud model is show in Table 1.
where gi1 is H2%, ExCx2 is expectation of cloud of
Cx2, EnCx2 is entropy of Cx2.
2.3 Relation space Partial relation space of cloud combination
Use 500 samples (x1, y1), (x2, y2)……(x500, y500) as to fault diagnosis is shown in Table 2. Such as
training samples, and yi = Y = {1,……,6} is diag- the cloud combination k(1,2,2,2,5,3) means
nostic results, Y1—Healthy, Y2—Low energy total gas cloud C1, H2% cloud C2, CH4% cloud
discharge, Y3—High energy discharge, Y4—Low C2, C2H6% cloud C2, C2H4% cloud C5, C2H2%
temperature overheat, Y5—Middle temperature cloud C3.
overheat, Y6—High temperature overheat.
The training samples can be used to construct
a relation space between cloud combination and 3 FAULT DIAGNOSIS AND FAILURE
diagnostic result. RATE ANALYSIS MODEL
μkj ∑ i ( μik ) (4) Get the fault diagnosis and failure rate analysis
model by building the relation space. The correla-
yi j
tion of test sample and diagnostic results can be
where μkj is correlation of the cloud combination k deduced by the relation space from the cloud com-
(CX1, CX2, CX3, CX4, CX5, CX6) and fault type j. bination to fault diagnosis.
Table 1. Ex and En of cloud models.
H H2% CH4% C2H6% C2H4% C2H2%
Ex En Ex En Ex En Ex En Ex En Ex En
0.01316 0.06580 0.05170 0.06400 0.02190 0.043015 0.01360 0.0169 0 0.02105 0 0.004564
0.15000 0.03197 0.28100 0.08180 0.15000 0.054600 0.06365 0.01604 0.08000 0.04881 0.01200 0.002960
0.30535 0.08271 0.53487 0.06814 0.25979 0.035105 0.12648 0.01732 0.26365 0.07854 0.02188 0.003044
0.5000 0.02866 0.93803 0.06525 0.3500 0.03199 0.19480 0.02646 0.52212 0.06510 0.03382 0.005068
0.77091 0.14079 \ \ 0.47229 0.09358 \ \ 0.71798 0.04859 0.04956 0.005754
\ \ \ \ 0.08656 0.007279
Table 2. Partly relation space of cloud combination to fault diagnosis.
Cloud Low energy High energy Low temperature Middle temperature High temperature
combination Healthy discharge discharge overheat overheat overheat
(1,2,2,2,5,3) 5.13E-06 4.13E-12 1.61E-13 9.64E-12 1.19E-13 4.24E-12

(1,2,2,1,3,1) 1.44E-09 9.52E-07 3.86E-10 1.13E-08 4.88E-09 1.20E-09
(2,3,1,2,3,4) 2.58E-08 5.72E-11 2.22E-04 7.83E-09 6.17E-10 1.61E-16
(5,2,1,4,1,3) 4.21E-09 8.08E-09 3.86E-10 2.42E-06 6.10E-07 9.39E-07
(3,3,5,3,3,1) 2.85E-08 4.55E-09 3.83E-10 6.83E-08 2.50E-07 2.58E-10
(5,1,5,2,5,3) 1.36E-09 4.13E-12 1.61E-13 9.64E-12 1.19E-13 1.17E-05
(5,1,3,3,5,4) 1.13E-10 2.73E-10 5.91E-08 1.51E-06 3.85E-06 2.81E-04
389

Table 3. Test samples.
Gas contents Probability

True
H2 CH4 C2H6 C2H4 C2H2 Y1% Y 2% Y 3% Y4% Y5% Y6% state
80.6 8.9 5.3 4.7 0.3 89.9528 0.32150 8.30375 0.00332 0.00958 1.40899 1
23.7 1.9 0 1.5 0 99.3332 0.00232 0.06833 0.00018 0.00178 0.59414 1
14.67 3.68 10.54 2.71 0.2 94.4253 0.74125 3.55581 0.83350 0.01025 0.43387 1
85 26 17 17 48 0.03157 73.0326 26.6473 0 0.28838 0.00005 2
44.09 13.64 2.64 20.89 20.21 2.06768 68.9153 17.5222 4.95468 1.47632 5.06377 2
57 13 0.1 11 12 0.09754 2.88564 78.5044 0.00577 0.01009 18.4964 3
293 50 13 115 120 1.20438 1.01794 93.0368 0.17571 0.00664 4.55849 3
20.9 10.5 11.5 18.1 1.4 2.73044 0.02466 5.70288 55.0442 32.2722 4.22556 4
150 130 35 95 0 0.45383 0.05263 0.42264 65.9439 19.9351 13.1918 4
49.2 33.2 15 49.9 1.4 0.74336 2.05240 0.04778 25.1438 66.4104 5.60215 5
247.7 148.7 78.7 192.7 0.9 0.32329 0.46642 0.28596 2.46449 65.9537 30.5061 5
147.2 20.7 10.9 76 6 0.00073 0.00036 0.05918 0.64174 1.53037 97.7675 6
45.3 32.4 14.8 97.1 6 0.00099 0.00087 0.08338 0.58703 1.18005 98.1476 6
f( )= ∑ μk μkkj (7) This model have a high accuracy, and intuitive

result representation.
y yj
Then, normalized all the correlation.

REFERENCES
fi x )
pi = 6
i = 1, 2, ..., 6 (8) Sun Caixin, Chen Weigen, LI Jian. 2004. The fault diag-
∑ fi x ) nosis technology and electrical equipment online
monitoring gas in the oil. BEI JING: Science Press.
i =1
Zheng Hanbo. 2012. Study on condition assessment
and intelligent fault analysis for power transformers.
where Pi is the probability to state i (Healthy, Low Chongqing, China: Chongqing University.
energy discharge, High energy discharge, Low tem- Guo Yinchen, Song Qiong, FAN Xiuling. 2013.
perature overheat, Middle temperature overheat, Transformer fault diagnosis based on semi-supervised
High temperature overheat). The possibility of classifying method. High Voltage Engineering. 39(5):
healthy is P1. 1096–1100.
He Zheng, He Biao. 2012. The application of cloud model
in fault diagnosis in power transformers. Journal of
4 EXAMPLE Anhui Electrical Engineering Professional Technique
College, 17(1): 4–9.
Zhang Yiyi, Liao Ruijin, Yang Lijun. 2012. An assess-
This paper analysed 500 training samples, and uses ment method for insulation condition of power
13 samples to test the cloud relation space model. transformer based upon cloud mode. Transactions of
The test results are shown in Table 3. For most China Electrotechnical, 27(5): 13–20.
of samples, diagnostic accuracy rate was close to Zhou Quan, Xu Zhi, Liao Ruijin, et al. 2013. Insulation
100%. Partly results are ambiguous, but the prob- condition assessment of power transformer bushing
ability to true state is more than 50%. based on cloud model an kernel vector space model.
High Voltage Engineering, 39(05): 1101–1106.
Li Deyi. 2005. Uncertainty artificial intelligence. BEI
5 CONCLUSIONS JING: China national defense press.
Zhou Quan, Sun Chao, Liao Ruijin, et al. 2013.
Multiple Fault Diagnosis and Short-term Forecast of
The data of dissolved gas in transformer is trans-
Transformer Based on Cloud Theory. High Voltage
formed into multiple qualitative cloud concepts Engineering, 40(05): 1453–1460.
through the cloud model, which is consistent with Li Xingsheng, Li Deyi. 2003. A new method based on
human’s cognition better. And the problem of data cloud model for discretization of continuous attributes
partitioning at the boundary is effectively solved. in rough sets. Pattern Recognition and Artificial
Cloud model can keep the multiplicity of data. Intelligence, 16(1): 33–37.
390

Analysis on technical innovation and regional disparities growth

of China
Jun Xiong
Jiangsu Institute of Commerce, Nanjing, China
Wen-Wu Zhang
Nanjing University of Finance, Nanjing, China
ABSTRACT: Optimising distribution of innovative capitals and promoting collaborative innovation

are important ways to achieve regional coordinated development in China. Using panel data of 30 China’s
provinces during the period of 1990∼2010, this paper studies effects of innovation agglomeration on the
industrial agglomeration and economic growth.
Keywords: innovation agglomeration; local knowledge spillovers; Chinese regional disparities; regional
collaborative innovation
1 INTRODUCTION referenced the knowledge production function of

Duranton and Puga (2003) and Zvi (1979). We syn-
The uneven regional development of China has thetically measured both the degrees of innovation
increasingly become a prominent contradiction. agglomeration and regional knowledge spillover
How to effectively reduce the development gap effects, from three aspects, including production,
between less-developed areas and developed areas transfer and accumulation of knowledge. Both
has become a pressing issue for a coordinated eco- existing innovations that were represented by pat-
nomic development for China. The policy mak- ents and knowledge diffusion factors like technol-
ers of less-developed regions, are more concerned ogy exchange and patents transfer etc. have been
about how to achieve the regional economic considered, while the future innovation elements
growth. Economic theorists have offered a lot of like human capital etc. have also been introduced;
research and many interpretations on “Economic 2) In order to comply with China’s development
Growth”. From the neoclassical growth theory, reality, this paper has taken into consideration the
which focuses on exogenous factors of improve- cost differences of regional knowledge diffusion
ment, to the endogenous growth theory which and empirically analysing the impacts that both
emphasises on the technological progress in the innovation agglomeration and regional knowledge
economic system, economic growth has always spillover effects, have on regional economic growth;
been an important topic amongst economic moreover, evidence of China’s economy has been
theorists. With the fourth revolution of monopo- provided as an empirical study of the spatial eco-
listic competition and increasing returns, and a nomics theory from the perspectives of innovation
new perspective, spatial economics has provided a agglomeration and its spatial effects.
theoretical tool and empirical method for people Based on the above discussion, the structure of
to study the differences in economic growth and this paper is organised as follows: In the second
spatial economy. part, the econometric model will be set with a data
Compared with previous studies, this paper description. The resulting analysis of the econo-
tries to make some extensions from the follow- metric model will be carried out in the third part;
ing aspects: 1) We used Chinese economic statis- and a conclusion will be given in the final.
tics and science & technology statistics during the
period of from 1990–2010; the related indicators,
2 METHODOLOGY
as degrees of innovation agglomeration of China’s
provincial regions and regional knowledge spillo-
2.1 Empirical model and variables
ver effects, have been built and measured. Unlike
the previous studies, which chose a single indica- The differences between the spatial structure of
tor to measure the innovation capacity, we have industry and regional economic growth are the
391

results of interaction among multiple variables, regional innovation central city in this paper.
including innovation agglomeration, local knowl- The logarithm of initial level of GDP per capita
edge spillovers, etc. The result cannot be achieved has been introduced into explanatory variable
by using an ordinary linear model or through veri- as it was treated in the traditional literature, i.e.
fying the impact of a single variable. Therefore, we ln gdp0 in the above expression, for observing
use the ideas and methods of Kesidou and Romijn if “conditional convergence” exists in regional
(2008) for reference in examining the relations economic growth. For controlling the impact
between local knowledge spillovers and the inno- that the government intervention has on eco-
vation output of enterprises, and run the empirical nomic growth, the government spending as a
test from the industrial clusters’ aspect as well as share of GDP gov has been introduced. In this
the economic growth aspect. model, the subscript i also stands for regions,
Z is regional dummy variable for innovative
a. The econometric models of the spatial structure
zoning, and ε is error term.
of industry
We have used the model of Ellison, Glaeser and
Kerr (2008); the dependent variable is the vari- 2.2 Data source
able that reflects the characteristic of industrial
In the light of data availability, the time span in
clusters, and the independent variables are the
this paper is 1990–2010; the required data for
factors with influences on industrial space that
innovation agglomeration, local knowledge spillo-
have been focused on in this paper, which include
vers and economic growth are mainly retrieved
innovation agglomeration and local knowledge
from “China Statistical Yearbook on Science and
spillovers, etc. The concrete model is:
Technology” (1991–2011), “China Statistical Year-
Aggloi = α + α1kpi + α2lksi + α3iksi + θZj + ε book” (1991–2011) and “China Population &
Employment Statistical Yearbook” (1991–2011);
In the above expression, the explained vari- the data of instrumental variables is mainly from
able Agglo is the degree of spatial concentration “China Compendium Of Statistics 1949–2008”,
of the manufacturing industry; the explanatory which takes 30 provinces and relevant items as
variable kp is the degree of innovation agglom- observation samples; the range of data is 27 prov-
eration; lks is the effects of local knowledge inces and 3 municipalities in total. In order to
spillovers, to measure the relevance of learning ensure the consistency and accuracy of data, we
and transfer degree within the region. In order have adjusted the inconsistent statistical data, and
to observe the impact of effects of knowledge use the online database of the China Economic
spillovers more comprehensively, we introduce Information Network to supplement the missing
the variables of effects of international knowl- data, for making the data complete and reliable as
edge spillovers for reference and comparisons, possible. Considering the impact of spatial factors,
iks represents international knowledge spillo- the data such as geographic distance and areas of
vers, the subscript i stands for regions, and ε is some provinces and cities have been used in this
error item. paper as well; innovation geographical distance
b. The extended model of economic growth data has been mainly obtained through using the
The second focus of this paper is observing the distance measurement function of Google Earth
impact that the factors like innovation agglom- 7.0 software database, and the areas of provinces
eration, local knowledge spillovers, etc. have on and cities are from the published land areas in the
the regional economy. Based on the economet- Central People’s Government website as standards.
ric model of Barro (2000), which uses cross-
sectional data to study the determinants of
economic growth, our model is as follows: 3 RESULT ANALYSIS
dgdpi = β + β1kpi + β2lksi + β3geoim + β4lngdpi0 3.1 Measurement strategy

+ β5govi + γZj + ε
We have an empirical regression on the relations
among innovation agglomeration, knowledge spill-
The dependent variable dgdp is the annual
overs and regional economic growth. Equation (a)
growth rate of GDP per capita; the meanings
and (b) have set the basic regression models; now
of independent variable kp and lks are the same
the regression has been set as follows:
as in the model (a); as the impact of spatial
factors has been taken into consideration, geo 1. According to the data in posession, in order to
represents the geographic locations of innova- examine the robustness of the estimation results,
tion where the area is, which has been presented we use the method gradually and add control
by the distance from this area to the nearest variables into the regression equation. When
392

control variables was added, if the symbol of lks have on manufacturing industrial agglomera-
regression coefficient stays unchanged, even if tion and regional economic growth of China are
the statistical significance is reduced, it will still all positive, and at 5% level of significance. As
be regarded as there’s no fundamental change in we gradually introduce control variables, though
statistical significance, and the robustness of the the coefficient values vary within a certain range,
results can be verified. there’s no substantial change in impact symbols
2. For testing the validity of instrumental vari- and significance, which show a high robustness
ables, we separately carry out “under-identi- of the model. Moreover, after adding the control
fication test”, “weak identification test” and variables, the R-squared has increased, which has
“over-identification test”, and report the cor- further enhanced the explanatory result of the
responding statistics of Anderson canonical equation.
correlations LM statistic, Cragg-Donald Wald In the equation of industrial agglomeration,
F statistic and Sargan statistics with concomi- the impact coefficients of innovation agglomera-
tant probabilities, to indicate the effectiveness tion kp and local knowledge spillovers lks are sig-
of selected instrumental variables. nificantly positive, which indicate that technology
innovation and knowledge spillovers are the two
important factors for promoting the spatial struc-
3.2 Results of estimation and measurement
tures of China’s industry to agglomerate, and this
Table 1 shows the estimation results of equation also coincided with the general rules of spatial eco-
(a) and (b) that were obtained by using ordinary nomic theories and economies of agglomeration.
least squares with fixed effects. As can be seen from In the equation of economic growth, innovation
the table, the coefficients of impact that innova- agglomeration kp and local knowledge spillovers
tion agglomeration kp, local knowledge spillovers lks also show positive effects on promoting regional
Table 1. Fixed effects OLS estimation results.
Agglo dgdp
Var (1) (2) (3) (4) (1) (2) (3) (4)

** ** ** ** ** ** **
kp 1.063 1.041 0.922 0.917 2.137 1.932 1.761 1.819**
(0.092) (0.086) (0.021) (0.049) (0.106) (0.094) (0.083) (0.152)
lks 0.314** 0.262** 0.247** 0.201** 1.141** 1.066** 0.936** 0.901**
(0.044) (0.036) (0.013) (0.027) (0.031) (0.067) (0.054) (0.038)
iks 0.437** 0.381* 0.322 0.274* −0.536* −0.481 −0.358* −0.377**
(0.056) (0.042) (0.055) (0.012) (0.011) (0.108) (0.050) (0.022)
gov 0.209*** 0.197*** 0.189** 0.186**
(0.017) (0.032) (0.011) (0.014)
geo −0.113** −0.104** −0.097** −0.088**
(0.023) (0.011) (0.007) (0.009)
ln gdp 0.264* 0.203* 0.182* 0.177*
(0.039) (0.041) (0.022) (0.017)
ln FDI 0.146** 0.126*** 0.248** 0.332 0.316 0.348
(0.011) (0.024) (0.044) (0.121) (0214) (0.137)
K 0.213 0.241 0.193** 0.213**
(0.141) (0.096) (0.041) (0.034)
MARK 0.102* 0.259** 0.135** 0.149**
(0.019) (0.046) (0.028) (0.015)
φ 0.214* 0.105*
(0.047) (0.036)
ZD 0.101* −0.137*
(0.018) (0.013)
C −0.164* −0.157** −0.116** −0.093** 0.176* 0.113** 0.0.107** 0.089**
(0.031) (0.029) (0.019) (0.012) (0.062) (0.037) (0.015) (0.021)
R2 0.5163 0.5228 0.5479 0.6022 0.4974 0.5247 0.5369 0.5578
Obs 651 609 609 609 651 609 609 609
Notes: Values in brackets are standard deviations. ***, **, * separately represent that levels of statistical significance are 1%,
5% and 10%. Under the regression coefficients, data in parentheses is the standard deviation of the regression coefficients.
393

economic growth. To some extent, this has proved agglomeration and knowledge spillover effect
that technology innovation and knowledge spill- from the two aspects of industrial agglomeration
overs play important roles in local economic and economic growth. The results can be sum-
growth. As local knowledge spillovers involve marized as: firstly, during the year 1990∼2010,
inter-regional innovation diffusion and technology the significant characteristics of innovation
dissemination, which indirectly reflect the neces- agglomeration existed in 31 provinces and cit-
sity that inter-regional technology sharing and ies of China, though agglomeration disparities
innovation collaborating have for optimising spa- between regions are more obvious, and show the
tial economic structure. It is noteworthy that, as a “Matthew Effect” cycle varying in eastern, cen-
comparative variable, the impact that international tral and western provinces; knowledge spillover
knowledge spillovers has on industrial agglomera- effect show obvious locality characteristics, there
tion and regional economic growth show reverse are strong knowledge spillovers between adja-
effects. The import of international technology cent provinces. Secondly, after using instrumental
has promoted industrial agglomeration, but also variables to control the endogeneity, innovation
has divided the speed of inter-regional economic agglomeration and local knowledge spillovers
growth. But the significance of this coefficient is have shown a significant and steady effect on
not stable in the results, and we still need to intro- promoting the spatial concentration of industry
duce the instrumental variables in order to con- and regional economic growth, which means the
firm the significance of results. Besides, the impact higher the degree of innovation agglomeration
that geographic innovation variable geo has on is, the stronger the knowledge spillover effect is,
regional economic growth is significantly negative, and the higher the degree of regional industrial
which shows strong spatial differences. The coef- agglomeration will be, the faster the speed of
ficient of variable ln gdp0 is positive which meas- economic development will be. However, the geo-
ure conditional convergence by introducing initial graphical agglomeration gaps and the distance-
GDP per capita has passed the test at 10% level decay of knowledge spillover effect also imply
of significance. This indicates that China’s regional a tendency of the increase in spatial economic
economic growth had no “conditional conver- disparities. In addition, geographic locations of
gence” characteristics (at least during the past innovation, government spending, foreign direct
years of 1990–2010). The variable of government investment, regional trade freedom and market
spending gov has a significant effect on promoting competition environment are the important influ-
the economic growth, which indicates that regional encing factors for spatial economic structure and
economic growth largely relies on local government regional economic growth too.
investment and fiscal expenditures. To be sure, the
above coefficient symbols and significance need to
be carefully re-checked after introducing instru- REFERENCES
mental variables and overcoming the endogeneity.
[1] Duranton, G. & Puga, D. (2003). Microfoundations
of Urban Agglomeration Economies: C.E.P.R.
4 CONCLUSION Discussion Papers.
[2] Zvi, G. (1979). Issues in Assessing the Contribu-
While considering the characteristics of geo- tion of Research and Development to Productivity
graphical limitations of China’s innovation spa- Growth. Bell Journal of Economics, 10(1), 92–116.
tial agglomeration and knowledge spillovers, we [3] Kesidou, E. & Romijn, H. (2008). Do Local Knowl-
edge Spillovers Matter for Development? An Empiri-
focus on the impact that innovation agglom- cal Study of Uruguay’s Software Cluster. World
eration and local knowledge spillovers has on Development, 36(10), 2004–2028.
China’s economic space disparities. This paper [4] Barro, R.J. (2000). Inequality and growth in a panel
has applied cross-year provincial panel data of of countries. Journal of Economic Growth, 5(1),
China, and investigated the impact of innovation 5–32. doi: 10.1023/a:1009850119329.
394

Editor
Sheng MECHATRONICS ENGINEERING
AND ELECTRICAL ENGINEERING
Mechatronics Engineering and Electrical Engineering

The 2014 International Conference on Mechatronics Engineering and
Electrical Engineering (CMEEE2014) was held October 18-19, 2014 in
Sanya, Hainan, China. CMEEE2014 provided a valuable opportunity for
researchers, scholars and scientists to exchange their new ideas and
application experiences face to face together, to establish business or
research relations and to find global partners for future collaboration.
The papers in this book are selected from more than 500 papers
submitted to the 2014 International Conference on Mechatronics
Engineering and Electrical Engineering (CMEEE2014). The book is
divided into 4 sections, covering the topics of Mechatronics, Electrical
Engineering, Control and Automation and Other Engineering. The
conference will promote the development of Mechatronics Engineering
and Electrical Engineering, strengthening international academic
cooperation and communications.
Editor
Ai Sheng
an informa business

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What was the conference about?

What was the conference about?

What topics were covered in the papers presented?

What topics were covered in the papers presented?

MECHATRONICS ENGINEERING AND ELECTRICAL ENGINEERING

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Mechatronics Engineering and

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© 2015 Taylor & Francis Group, London, UK

Typeset by V Publishing Solutions Pvt Ltd., Chennai, India

Published by: CRC Press/Balkema

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

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Battlefield situation cognition system based on big electronic reconnaissance

FM.indd v 4/3/2015 5:20:05 PM

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Author index 395

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CMEEE 2014 committee

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

Jihe Zhou, Professor, Chengdu Sport University, China

FM.indd xiii 3/20/2015 4:55:23 PM

Battlefield situation cognition system based on big electronic

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

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

1 INFORMATION BATTLEFIELD 2 BATTLEFIELD SITUATION COGNITION

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

Figure 3. Networked electronic reconnaissance system

CMEEE_book.indb 2 3/20/2015 4:09:53 PM

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

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

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

B.P. Wang & Y.J. Wang

Keywords: coal-rock interface recognition; digital image procession

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

2.1 Sample image acquisition

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

The images were collected in Xinglong Zhuang

Figure 2. The hardware connection diagram.

in a selected neighbourhood (mask, template,

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

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

This work was supported by the National

Table 1. Comparison of the statistical characteristics. REFERENCES

Coal is black. The grey value is relatively low

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The application of Dijkstra algorithm based on multi-weighted

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

Keywords: weight distribution; shortest path; Dijkstra algorithm

1 INTRODUCTION 1.1 Weight distribution

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Main target Source End Mean of transportation

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

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