ICCIEA 2020 IOP Publishing

Journal of Physics: Conference Series 1817 (2021) 012025 doi:10.1088/1742-6596/1817/1/012025

Effect of Partial Shading on a PV Array and Its Maximum

Power Point Tracking Using Particle Swarm Optimization

Mehrun Nisa1, Marya Andleeb2, Farhad Ilahi Bakhsh3

1,2,3
Department of Electrical Engineering, National Institute of Technology Srinagar, Srinagar
(J&K), India.

Email: [email protected]

Abstract. The maximum power point (MPP) of a Solar Photovoltaic (SPV) array varies with
temperature and irradiation. Shadow of various objects falling on a certain portion of the SPV
array causes partial shading condition (PSC) which results in the formation of hot spot. Thus,
reducing the power (output) by 33% on a single cell in addition to the occurrence of various
peaks on a P-V curve. To detect global maxima among the multiple peaks is a challenge for
researchers. Hence, different Maximum Power Point Tracking (MPPT) techniques are used to
overcome this challenge. In this paper, the impact of partial shading on SPV array has been
analysed and the Particle Swarm Optimization (PSO) based MPPT technique is used to obtain
global maxima under partial shading conditions. The MPPT controller is incorporated with a
converter (boost) to vary the input voltage as per the duty cycle of the switch generated by PSO
algorithm-based controller.

Keywords. Maximum power point tracking (MPPT), Solar photovoltaic (SPV) array, hot spot,
partial shading, Particle Swarm Optimization (PSO), Partial Shading (PS), Partial Shading
Condition (PSC).

1. Introduction
The ever-expanding power demand is amongst the most significant issues in the power sector. Most of
the sector uses conventional sources of electrical energy like natural gas, oil, coal, etc., that cause
various kinds of pollutions including air pollution, acid rain, and the production of greenhouse gases
giving rise to abnormal climatic changes. However, sustainable resources of energy like tidal, wind
and solar are clean, free, and are abundantly available in nature and hence rivalling with conventional
energy sources. Among these sustainable resources of energy, solar energy is utilised through Solar
photovoltaic (SPV). Many researchers are working on SPV power system for the generation of
electricity due to its advantages, which include high efficiency, cleanliness, less maintenance
requirement, free operation, ecological inexhaustibility and energy sustainability [1]-[7]. The PV
system has a noteworthy improvement over the past few decades but the main disadvantage is the high
cost of installation. Therefore, the system should be employed at its Maximum Power Point (MPP) at
given irradiance which is conceivable through the incorporation of the Maximum Power Point
Tracking (MPPT) technique. The MPP of SPV array alters with temperature and irradiation. Under
normal operating conditions, the output of SPV array has a single peak. However, the shadow of
various objects falling on the SPV array causes partial shading condition (PSC). Due to partial shading
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ICCIEA 2020 IOP Publishing
Journal of Physics: Conference Series 1817 (2021) 012025 doi:10.1088/1742-6596/1817/1/012025

(PS), hot spot is created in the SPV array, which reduces its power output and results in the formation
of multiple peaks at the output. To detect global maxima among these peaks is a challenging task for
researchers presently. Different MPPT techniques have been presented by the researchers for
overcoming this challenge [8]-[34].
Sundareswaran and Palani [8] presented a combined Particle Swarm Optimisation (PSO) and Perturb
and Observe (P&O) approach to detect MPP during PSC, PSO shows better efficiency when compared
to P&O approach. Lian et al. [9] has presented MPPT approach based on P&O together with PSO,
again here PSO shows better efficiency. Ishaque et al. [10] have given a detailed report on MPPT
procedure with direct control for SPV system under PS with PSO. On an average, the suggested
method is 99.5% efficient. Miyatake [11] has given a report on an interesting MPPT approach by
employing PSO, to achieve control of SPV array with one pair of current and voltage source. On an
account of the multi-dimensionality of the algorithm, it is employed to find global MPP even when the
PSC is complex. Lodhi et al. [12] has given a report on PSO to achieve global MPP in SPV system
under PSC. It presents MPPT technique based PSO approach for extraction of global MPP system.
The suggested PSO technique when performed appropriately during PSC pointed the global MPP for
achieving a better comparison with INC method during PSC. Diana and Sudah [13] presented a paper
on MPPT of PV system by PSO. The paper gives a brief concept of PSO. In this paper by using a DC -
DC converter one can observe both the boosted voltage and the required power (output). The SPV
panel acts as the voltage source to the boost converter and its pulses are given by the pulse generator
which reduces the complexity and improves efficiency of the circuit. Wei et al. [14] reported on an
improved PSO based strategy for SPV arrangement. The specified method tracks MPP with greater
speed accompanied by the fluctuations.
Algarin et al. [15] presented the tracking of MPP using fuzzy Logic MPPT controller for SPV
arrangement. In this paper, all the components of PV system were modelled in MATLAB /Simulink
environment. The fuzzy controller shows better performance during sudden change in temperature in
comparison to the P&O controller, which is subjected to considerable power loss. Alajmi et al. [16]
presented MPPT based on FLC considering three stages of operation. In first step the P-V curve is
examined, under uniform and partial shading. In second step position of local peak are stored, and in
third P&O is used for detecting the global peak. Input changes in power, current and change in
maximum power are fed to fuzzy controllers. The membership function is applied to each input and
then if-then rule is applied. In every step the output duty cycle is updated. Masoum and Sarvi [17]
have presented a report on a new Fuzzy based MPPT for photo voltaic application. The proposed
fuzzy tracker is naturally robust to atmospheric alterations. Considerable increase in solar power
output (350%) is achieved. The fuzzy tracker has high accuracy under different operating conditions,
performs online adaptive search of solar panel maximum power, does not require any external sensor
or a dummy solar panel for detecting temperature and solar intensity.
Selvan et al. [18] presented a report on simulation of Fuzzy Logic Control (FLC) based MPPT
approach for SPV system and concluded that SPV system becomes more efficient if MPPT controller
with Fuzzy Logic is incorporated in the SPV system. Eltamaly [19] presented modelling of Fuzzy
logic controller (FLC) for SPV MPPT. Detecting the MPP by employing the FLC provides an accurate
mechanism for detecting MPP surprisingly in altering climatic conditions. Raziya et al. [20] presented
MPPT procedure based on P&O approach for SPV system under PSC. MPP detecting efficiency was
realized to be 84.90%. Fazal et al. [21] presented revised P & O MPPT approach for PSC. The
proposed MPPT algorithm reduces the tracking time and minimize the oscillation at the maximum
power point. Batineh [22] presented an article on an intelligent MPP using FLC under severe weather
condition. The efficiency of detecting global maxima was realized to be 96% with FLC. Hashim et al.
[23] has given a report on the achieving fast and accurate MMPT approach by designing dc-dc boost
converter in standalone SPV arrangement. The method was successful in acquiring the specified
approach. Chao et al. [24] presented a multi core PSO operation for MPPT of a distributed SPV
arrangement under PSC. The PSC is identified by using one-diode and multiple-peak power (output)
condition similar to SPV array is observed while simulating the characteristics. The time to detect
global MPP was observed to be almost 1.3 seconds.

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ICCIEA 2020 IOP Publishing
Journal of Physics: Conference Series 1817 (2021) 012025 doi:10.1088/1742-6596/1817/1/012025

Reddy et al. [25] has given a report on analysis of P&O MPPT approach under uniform and PSC. The
simulation shows that the suggested P & O procedure is easy to execute with boost converter system
and the better detecting capability is achieved even under the varied and unvaried irradiation
conditions are employed. Because of this simplicity of implementation and fast response, the P & O
algorithm with Boost converter system combination can be extended in the grid-connected PV system
applications. Khaled et al. [26] presented a PSO based technique for PS detection for PV system. The
result shows the effectiveness of the proposed technique. Hajighorbni et al. [27] presented an
evolution of Fuzzy logic subset effect on MPPT for photovoltaic system. The work compares different
fuzzy subsets to detect the most efficient subset used for FLC. The second subset was observed to be
the best fuzzy subset which detected MPP in minimum time with high efficiency. Ramaprabah et al.
[28] detected MPP during PSC of SPV system using Fibonacci search methodology with FLC. The
introduced approach was able to detect global peak for all condition. safumi et al. [29] presented PSO
approach to track maximum power point during shading condition with a voltage and current sensor
connected in the load side to measure converter losses and the generated power by SPV arrangement.
The introduced scheme is capable of detecting the global MPP under PSC (complex) also. The time
taken by the approach to detect the global MPP was observed to be 1 to 2 s.
Alonso et al. [30] presented MPPT method consisting of a traditional P & O approach but with second
stage able to detect aberrations on the SPV generator curve for global MPP tracking. The approach
was able to find the real MPP with high speed and accuracy under any circumstance. Patel and
Agarwal [31] presented MPPT approach for SPV arrangement under PSC. The approach works along
with dc-dc converter to detect GP and feedforward control scheme is used to increase the GP detecting
speed. The MPP detecting time with this controller is about one-tenth of the time taken by the
conventional controller. Kim and Kim [32] presented an MPPT approach to detect the global point
under PSC. The introduced scheme includes enhancement of profile searching and hence improving
tracking performance. Murtaza et al. [33] has presented a report on activation of bypass diode (BD) in
MPPT technique for SPV arrays during PSC. The advantages of this technique are the new voltage can
be limited and voltage steps can be intelligently calibrated. The method shows better results as
compared to the past introduced MPPTs. Simulations reveal that the method ensures convergence to
the global maxima. It is observed that the efficiency of the building integrated SPV plant is over 96.6
% with this approach. Ahmed and Masafumi [34] presented an interesting MPPT approach for PV
application under PS insolation condition. The introduced technique enables wide-range search to
detect global MPP and extraction of more power from SPV array under PSC as compared to the other
methods. The method ensures fast and accurate response.
In the paper, the impact of PS on SPV array is observed in MATLAB/Simulink. Under different
shading patterns, SPV array characteristics are modelled in the form of I-V graphs. By analysing the
graph, it leads to various important observations which are summed up in the following statements. In
order to prevent hotspot formation during PS, bypass diodes are used across each module. The hot
spots occur as the voltage (reverse) across the shaded module increases. The shaded module gets
completely damaged if the power dissipation exceeds the maximum power capability resulting in an
open circuit [4]. It is observed that a considerable amount of power loss occurs due to the PS and
formation of multiple peaks at the output. Various MPPT algorithm techniques such as P&O,
Fibonacci Search Method, PSO, Artificial Neural Network (ANN), FLC, etc. are used to obtain global
maxima from multiple peaks under PSC. Here, PSO approach is used to achieve the global maxima.
This paper is segregated into six sections. Section 2 defines the characteristics of SPV arrangement
under PSC and normal condition. Section 3 describes the design of a SPV system. Section 4 presents
the MPPT technique using PSO algorithm. Section 5 shows the analysis and discussion of the SPV
system under PSCs. Finally, section 6 concludes the presented work.

2. SPV System Characteristics

The SPV system operates under two conditions i.e. normal condition and PSC (PSC). These
conditions are explained below:

2.1. Normal Condition

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ICCIEA 2020 IOP Publishing
Journal of Physics: Conference Series 1817 (2021) 012025 doi:10.1088/1742-6596/1817/1/012025

Ipv

Rs
Id

Iph Vd Rp Vph

Figure 1. Circuit with a single diode for the system (SPV).

Figure1 represents a circuitry for the SPV system having a diode, a current source, and two resistors,
which are directly influenced by solar irradiance and temperature. The operation of SPV system varies
with open-circuit voltage (Voc) and short circuit current (Isc). These values are provided by the
manufacturer of the cell. Normally, the voltage (output) of a cell lies between 0.5 V - 0.9 V, thus the
power (output) of a solar cell is quite low, which is not sufficient for practical applications. Therefore,
the cells are connected in series to form a module. These modules connected in series is called a string,
which increases the voltage. The strings connected in parallel is called an array, which increases the
current. The output of the module is given in Eq. (1):
𝑉𝑝𝑣 +𝐼𝑝𝑣 𝑅𝑠
𝑞( ) 𝑉𝑝𝑣 +𝐼𝑝𝑣 𝑅𝑠
𝐼𝑝𝑣 = 𝐼𝑝ℎ − 𝐼01 [ 𝑒 𝑁𝑠 𝐴𝐾𝑇𝑘
− 1] − 𝑅𝑝
=0 (1)

Where, 𝑉𝑝𝑣 & 𝐼𝑝𝑣 are (output) voltage and current, respectively. 𝐼𝑝ℎ is photocurrent and 𝐼01 is diode
current (saturation). A refers to ideality factor of diode; q is electron’s charge (q = 1.602*10-19 C) and
K signifies the Boltzmann constant. In Eq. (1), usually 𝑅𝑝 has a high value to reduce the high-power
losses in a solar module during low generated current. The value of 𝑅𝑠 is usually taken small, as high
value reduces the short circuit current. Figure 2 shows the output characteristic (I-V characteristics and
P-V (characteristics) of SPV module with different solar irradiation levels. From Figure 2, it is clear
when the solar irradiation levels are high the current and thus power output of the SPV module is
large.

Figure 2. Characteristics (I-V and P-V) of SPV system under normal condition.

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ICCIEA 2020 IOP Publishing
Journal of Physics: Conference Series 1817 (2021) 012025 doi:10.1088/1742-6596/1817/1/012025

2.2. Partial Shading Condition

The phenomenon partial shading (PS) happens when a shadow of various objects falls on a definite
portion of the module within an array of the SPV system. Hence, the array receives diverse irradiance
level. The 𝐼𝑠𝑐 of the array is related to degree of irradiance, due to which shaded module starts
generating less current whereas the un-shaded module keeps on working at a higher photocurrent. As
the modules are series connected, the current through it must be equal but due to PS, the shaded
module acts as a load with the reverse voltage across it, therefore, maximum output power from the
array reduces. If reverse voltage across shaded module swells it leads to avalanche breakdown
resulting in a hot spot. To overcome the above disadvantage, bypass diodes (BD) are connected across
each module. The BD turns on when the reverse voltage across it exceeds barrier potential, thereby
provides an additional path for the flow of current. Because of the initiation of bypass diode, the
current through the string is not the same one as during PSC. Now the string carries the current
produced by the un-shaded cell or module only. This results in formation of various local maxima at
the output of SPV array. These various local maxima of the P-V curve under PS depends on the 𝑁𝑠
(no. of series connected modules) and activation of the bypass diode. Figure 3 shows a string having
four modules in series. The modules are operated at constant temperature (25ºC) and different solar
irradiation (500, 800, 1000, 1000), respectively. The no. of cells in series (in a module) are 72 with the
open-circuit voltage (of a module) equivalent to 50.93V and the short circuit current of 6.2A.

Figure 3. SPV string under partial shading effect.

Figure 4. Characteristics (I-V) of a single string undergoing PS phenomenon.

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Journal of Physics: Conference Series 1817 (2021) 012025 doi:10.1088/1742-6596/1817/1/012025

Figure 5. Characteristics (P-V) of a single string undergoing PS phenomenon.

Figure(s) 4 and 5 shows I-V and P-V curves of the SPV string, respectively. In Figure 4, starting from
4𝑉𝑜𝑐 to 3𝑉𝑜𝑐 , the current in the string equals the shaded current generated by module 4. At 3V oc, the
bypass diode of module 4 operates and now current in string equals the shaded current of module 3. At
2𝑉𝑜𝑐 , the bypass diode of module 3 operates, and the current start raising which equals the current
generated by module 2. The string now behaves as module 2 in series. At 𝑉𝑜𝑐 bypass diode of module
2 operate and now the current in string is equivalent to the non-shaded current produced by module 1.
Accordingly, the power variation curve of SPV string is presented in Figure 5.

3. Design of a SPV System

In this section, the design of various components has been discussed.

3.1. Design of Boost Converter

The Boost converter is controlled by the MPPT controller (using PSO algorithm) in order to detect
MPP. It also increases the output voltage in addition to power. The converter consists of a switch
(which operates at high frequency), an inductor, a capacitor and a diode. The MPPT controller changes
the duty cycle of the converter switch so as to deliver maximum power to load at voltage higher than
input terminal voltage.

3.1.1. Modes of Operation

Boost converter operates in both modes (charging and discharging).

3.1.1.1. Mode-I (Charging)

In this mode, switch is closed and current from the source flows to the inductor, thus increasing
inductor current. The diode operates in reverse bias condition and the necessary load demand is
sufficed by discharging of the capacitor.

3.1.1.2. Mode-II (Discharging)

In this mode of operation, diode operates in forward bias condition and the switch remains open. As
the inductor starts discharging, it along with the source supplies power to the capacitor to satisfy or
meet the demands of the load. The voltage gain of the converter is:
𝑉0 1
𝑉𝑖𝑛
= 1−𝐷 (2)

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Journal of Physics: Conference Series 1817 (2021) 012025 doi:10.1088/1742-6596/1817/1/012025

Where, 𝐷 represents the duty cycle.

From above expression one obtains,

𝑉𝑖𝑛 = 𝑉0 (1−𝐷) (3)

𝑜𝐼
𝐼𝑖𝑛 = 1−𝐷 (4)

3.2. Design of a Resistor

𝑅𝑖𝑛 = 𝑅𝑜 (1−D)2 (5)

The Eq. (5) shows the correlation between the load resistance and the internal resistance of array
where D is the converter duty cycle. To obtain the maximum power from array, the resistance of load
should be greater or equal to the internal resistance of the SPV array. Because the value of duty cycle
varies from 0 to 1, the internal resistance of array is given by:

𝑉𝑖𝑛 𝑉𝑜(1−𝐷) 𝑉𝑜
Rin = 𝐼𝑖𝑛
= 𝐼𝑜/(1−𝐷) = 𝐼𝑜
(1 − 𝐷)2 (6)

It gives,

𝑅𝑖𝑛 = 𝑅𝑜 (1−D)2 (7)

The maximum power tracking will fail if the condition (Ro≥ 𝑅𝑖𝑛 ) is not fulfilled.

3.3. Design of an Inductor

The purpose of designing an inductor is to maintain volt-second balance of converter and to reduce
ripple in the output current. A large value of inductor results in the low ripple output current, but here
a lower inductor value is preferred due to its high cost. Inappropriate use of inductor results in ripple at
the output. To operate the converter in continuous conduction mode, 𝐼𝑚𝑖𝑛 ought to be greater than
zero. Also, the calculation of inductor current is done at a maximum value of power under uniform
irradiation i.e.1000W/m2

𝐼𝑚𝑖𝑛 > 0 (8)

L > D(1-D)2 RT/ 2 (9)

Substituting T=1/f, one obtains

L > D(1-D)2 R/ 2f (10)

From Eq. (10) it is clear that high switching frequency means low inductor value. Here, the value of R
is between 𝑅𝑚𝑖𝑛 and 𝑅𝑚𝑎𝑥 i.e. 𝑅𝑚𝑖𝑛 < 𝑅 < 𝑅𝑚𝑎𝑥 . Also, for variable output and duty cycle, it is
required to have maximum value of D i.e. 𝐷𝑚𝑎𝑥 .

3.4. Design of a Capacitor

The expression for required capacitance is given by:

C > D/Rf (∆𝑉𝑜𝑢𝑡 /∆𝑉𝑜𝑢𝑡, 𝑚𝑎𝑥) (11)

Where, ∆𝑉𝑜𝑢𝑡 is the ripple present in the output voltage.

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Journal of Physics: Conference Series 1817 (2021) 012025 doi:10.1088/1742-6596/1817/1/012025

4. MPPT using PSO

Owing to the low efficiency of the SPV systems, various methods are practiced to increase the
efficiency while balancing the generation with the load demand properly. To obtain maximum
possible power from a varying source of generation, MPPT is used with its controlling technique. The
MPPT controller is incorporated with boost converter to achieve the maximum power from the array
which is delivered to load. Various methods for controlling MPPT are P&O, PSO, FLC, Fibonacci line
search, etc. In the paper, MPPT control is done using PSO technique.

4.1. PSO Algorithm

The PSO was first presented by James Kennedy and Russell Eberhart in 1995. It is population based
stochastic approach and was influenced by social behaviour of birds flocking or fish schooling. Due to
its rapid convergence, simple structure, fast convergence ability and ease of implementation, PSO
technique has been studied by several researches for MPPT application. This method starts with
initialization of a group of random particles (solutions) and search for optima by updating generation.
In every iteration particle are updated by following two best values. The first one is the Pbest i.e.
personal best position achieved by each particle and it is updated in each iteration, and the second one
is Gbest i.e. global best obtained by any particle in the group. When the two best values are found, the
particle updates its position and velocity with Eq(s). 12 and 13.
𝑉𝑖𝑘+1 = 𝑤 × 𝑉𝑖𝑘 + 𝑐1 × 𝑟1 [𝑃𝑏𝑒𝑠𝑡 − 𝑥𝑖𝑘 ] + 𝑐2 × 𝑟2 [𝐺𝑏𝑒𝑠𝑡 − 𝑥𝑖𝑘 ] (12)
𝑥𝑖𝑘+1 = 𝑥𝑖𝑘 + 𝑉𝑖𝑘+1 (13)
Where, the Vi (velocity) indicates the step size, w is inertia weight, c1 and c2 are called learning factors,
r1 and r2 are random values that lie within 0 to 1 and xi represent position of particles. In the above
equations, position can be replaced with duty cycle and the velocity act as a step size to D. The
flowchart of PSO is shown in Figure 6.

Initialization of PSO
parameters, random
initialization of
particle position and velocity

Evaluate the fitness function

for each particle for local and
global best solution

Update the velocity of each Time iteration

particle K=k+1

Update the position of each

particle

Is the stopping
criteria satisfied?

Stop

Figure 6. PSO Algorithm Flowchart.

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ICCIEA 2020 IOP Publishing
Journal of Physics: Conference Series 1817 (2021) 012025 doi:10.1088/1742-6596/1817/1/012025

5. Analysis and Discussion

The analysis of the developed SPV system is done in this section and the obtained results are
discussed.

Figure 7. Simulation layout of SPV system.

The Figure 7 represents the developed SPV system executed in MATLAB/Simulink, composed of a
single string having three modules, boost converter and the PSO controller. The code for PSO
algorithm is created in S-function builder. The frequency (switching) of converter is 50KHz. Value of
converter parameters is c1=10e-6, c2=0.4676e-3, L=1.1478e-3. Figure(s) 8 and 9 shows the P-V and I-
V characteristic during different irradiance level, respectively.

Figure 8. Characteristics(P-V) under PSC

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Journal of Physics: Conference Series 1817 (2021) 012025 doi:10.1088/1742-6596/1817/1/012025

Figure 9. Characteristics (I-V) under PSC

From Figure 9, evidently, that the power (output) at the SPV string has three peaks, among which two
are local maxima and one is global maxima. Hence, the PSO algorithm should detect the global
maxima. The output power, voltage & current of the SPV system is shown in Figure(s) 10, 11 and 12,
respectively.

Figure 10. Power of SPV system using PSO.

Figure 11. Voltage of PV system using PSO.

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Journal of Physics: Conference Series 1817 (2021) 012025 doi:10.1088/1742-6596/1817/1/012025

Figure 12. Current of SPV system using PSO.

Figure 13. Power Output from boost converter.

Figure 14. Voltage output of boost converter.

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Journal of Physics: Conference Series 1817 (2021) 012025 doi:10.1088/1742-6596/1817/1/012025

Figure 15. Current Output of boost converter.

From Figure 10, it is clear that the maximum power achieved by PSO algorithm during PSC is
637.4W at a voltage of 148V (Figure 11). From Figure 11, it is evident that the output voltage is boost
up to 179.3V. The power, voltage and current output of the boost converter are presented in Figures(s)
13, 14 and 15, respectively.
From Figure13, it is evident that at t = 0.3s, the output power of the boost converter is almost equal to
the MPP. Expectedly, the output voltage (Figure 14) and current (Figure 15) of the boost converter are
high at that instant. Moreover, the boost converter continuously tracks the MPP using PSO algorithm.
Thus, the MPP during PSC is successfully tracked by using PSO algorithm in the MPPT for developed
SPV system.

6. Conclusions
The paper focuses on the maximum power point tracking (MPPT) of a solar photo-voltaic (SPV)
system under PSCs. Under PSC, multiple peaks are developed at the output of P-V curve. To detect
global maxima among the multiple peaks is quite difficult. For this, Particle Swarm Optimization
(PSO) based MPPT controller is developed. The SPV system including PSO based MPPT controller is
modelled in MATLAB/Simulink. The MPPT controller is incorporated with boost converter to vary
the input voltage as per the duty cycle of the switch in order to track the MPP. The result shows that
the developed PSO based MPPT controller successfully detects the MPP of the SPV system under
PSCs.

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