Advances in Green Energy Systems and Smart Grid

Kang Li
Jianhua Zhang
Minyou Chen
Zhile Yang
Qun Niu (Eds.)
Communications in Computer and Information Science 925
Advances in Green Energy

Systems and Smart Grid
First International Conference on Intelligent Manufacturing
and Internet of Things and 5th International Conference on Computing
for Sustainable Energy and Environment, IMIOT and ICSEE 2018
Chongqing, China, September 21–23, 2018
Proceedings, Part III
123
Communications
in Computer and Information Science 925
Commenced Publication in 2007
Founding and Former Series Editors:
Phoebe Chen, Alfredo Cuzzocrea, Xiaoyong Du, Orhun Kara, Ting Liu,
Dominik Ślęzak, and Xiaokang Yang
Editorial Board
Simone Diniz Junqueira Barbosa
Pontifical Catholic University of Rio de Janeiro (PUC-Rio),
Rio de Janeiro, Brazil
Joaquim Filipe
Polytechnic Institute of Setúbal, Setúbal, Portugal
Igor Kotenko
St. Petersburg Institute for Informatics and Automation of the Russian
Academy of Sciences, St. Petersburg, Russia
Krishna M. Sivalingam
Indian Institute of Technology Madras, Chennai, India
Takashi Washio
Osaka University, Osaka, Japan
Junsong Yuan
University at Buffalo, The State University of New York, Buffalo, USA
Lizhu Zhou
Tsinghua University, Beijing, China
More information about this series at http://www.springer.com/series/7899
Kang Li Jianhua Zhang
•
Minyou Chen Zhile Yang

•
Qun Niu (Eds.)
Advances in Green Energy

Systems and Smart Grid
First International Conference on Intelligent Manufacturing
and Internet of Things and 5th International Conference on Computing
for Sustainable Energy and Environment, IMIOT and ICSEE 2018
Chongqing, China, September 21–23, 2018
Proceedings, Part III
123
Editors
Kang Li Zhile Yang
The University of Leeds Shenzhen Institute of Advanced Technology
Leeds Chinese Academy of Sciences
UK Shenzhen
China
Jianhua Zhang
North China Electric Power University Qun Niu
Beijing Shanghai University
China Shanghai
China
Minyou Chen
Chongqing University
Chongqing
China
ISSN 1865-0929 ISSN 1865-0937 (electronic)

Communications in Computer and Information Science
ISBN 978-981-13-2380-5 ISBN 978-981-13-2381-2 (eBook)
https://doi.org/10.1007/978-981-13-2381-2
Library of Congress Control Number: 2018953020
© Springer Nature Singapore Pte Ltd. 2018

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Preface
This book constitutes the proceedings of the 2018 International Conference on Intel-
ligent Manufacturing and Internet of Things (IMIOT 2018) and International Confer-
ence on Intelligent Computing for Sustainable Energy and Environment (ICSEE 2018),
which were held during September 21–23, in Chongqing, China. These two interna-
tional conference series aim to bring together international researchers and practitioners
in the fields of advanced methods for intelligent manufacturing and Internet of Things
as well as advanced theory and methodologies of intelligent computing and their
engineering applications in sustainable energy and environment. The new conference
series IMIOT is jointly organized with the well-established ICSEE conference series,
under the auspices of the newly formed UK-China University Consortium in Engi-
neering Education and Research, with an initial focus on intelligent manufacturing and
sustainable energy.
At IMIOT 2018 and ICSEE 2018, technical exchanges within the research com-
munity took the form of keynote speeches, panel discussions, as well as oral and poster
presentations. In particular, two workshops series, namely the Workshop on Smart
Energy Systems and Electric Vehicles and the Workshop on Communication and
Control for Distributed Networked Systems, were held again in parallel with
IMIOT 2018 and ICSEE 2018, focusing on the two recent hot topics of the integration
of electric vehicles with the smart grid, and distributed networked systems for the
Internet of Things.
The IMIOT 2018 and ICSEE 2018 conferences received 386 submissions from over
50 different universities, research institutions, and companies from both China and UK.
All papers went through a rigorous peer review procedure and each paper received at
least three review reports. Based on the review reports, the Program Committee finally
selected 135 high-quality papers for presentation at the IMIOT 2018 and ICSEE 2018.
These papers cover 22 topics and are included in three volumes of the CCIS series,
published by Springer. This volume of CCIS includes 30 papers covering 5 relevant
topics.
Located at the upstream Yangtze basin, Chongqing constitutes the most important
metropolitan area in the southwest of China. It has a glorious history and culture and
serves as a major manufacturing center and transportation hub. Chongqing is also
well-known for its spicy food and hotpot, attracting tourists and gourmets from around
the world. In addition to academic exchanges, participants were treated to a series of
social events, including receptions and networking sessions, which served to build new
connections, foster friendships, and forge collaborations. The organizers of
IMIOT 2018 and ICSEE 2018 would like to acknowledge the enormous contribution
of the Advisory Committee, who provided guidance and advice, the Program Com-
mittee and the numerous referees for their efforts in reviewing and soliciting the papers,
and the Publication Committee for their editorial work. We would also like to thank the
editorial team from Springer for their support and guidance. Particular thanks are of
VI Preface
course due to all the authors, as without their high-quality submissions and presenta-
tions the conferences would not have been successful.
Finally, we would like to express our gratitude to our sponsors and organizers, listed
on the following pages.
September 2018 Fusheng Pan

Shilong Wang
Mark Price
Ming Kim Lim
Kang Li
Yuanxin Luo
Yan Jin
Organization
Honorary Chairs
Fusheng Pan Chongqing Science and Technology Society/Chongqing
University, China
Shilong Wang Chongqing University, China
Mark Price Queen’s University Belfast, UK
General Chairs
Ming Kim Lim Chongqing University, China
Kang Li Queen’s University Belfast, UK
Advisory Committee Members

Erwei Bai University of Iowa Informatics Initiative, USA
Zhiqian Bo China Xuji Group Corporation, China
Tianyou Chai Northeastern University, China
Phil Coates Bradford University, UK
Jaafar Elmirghani University of Leeds, UK
Qinglong Han Swinburne University of Technology, Australia
Deshuang Huang Tongji University, China
Biao Huang University of Alberta, Canada
Guangbin Huang Nanyang University of Technology, Singapore
Minrui Fei Shanghai University, China
Sam Ge National University of Singapore, Singapore
Shaoyuan Li Shanghai Jiaotong University, China
Andy Long University of Nottingham, China
Dong Yue Nanjing University of Posts and Communication, China
Peter Taylor University of Leeds, UK
Chengshan Wang Tianjin University, China
Jihong Wang University of Warwick, UK
Xiaohua Xia Petoria University, South Africa
Yulong Ding University of Birmingham, UK
Yugeng Xi Shanghai Jiaotong University, China
Sarah Supergeon University College London, UK
Derong Liu University of Illinois, USA
Joe Qin The Chinese University of Hong Kong, Hong Kong, China
Savvas Tassou Brunel University London, UK
Qinghua Wu South China University of Technology, China
Yusheng Xue China State Grid Electric Power Research Institute, China
Jiansheng Dai King’s College London, UK
VIII Organization
I-Ming Chen Nangyang Technological University, Singapore

Guilin Yang Institute of Advanced Manufacturing Technology, Ningbo,
China
Zhuming Bi Indiana University Purdue University Fort Wayne, USA
Zhenyuan Jia Dalian University of Technology, China
Tian Huang Tianjin University, China
James Gao University of Greenwich, UK
Weidong Li Coventry University, UK
Stan Scott Queen’s University Belfast, UK
Dan Sun Queen’s University Belfast, UK
International Program Committee

Chairs
Yuanxin Luo Chongqing University, China
Yan Jin Queen’s University Belfast, UK
Local Chairs
Xuda Qin Tianjin University, China
Fuji Wang Dalian University of Technology, China
Yingguang Li Nanjing University of Aeronautics and Astronautics, China
Adam Clare University of Nottingham, UK
Weidong Chen Shanghai Jiaotong University, China
Rui Xiao Southeast University, China
Furong Li Bath University, UK
Min-Sen Chiu National University of Singapore, Singapore
Petros Aristidou University of Leeds, UK
Jinliang Ding Northeastern University, China
Bing Liu University of Birmingham, UK
Shan Gao Southeast University, China
Mingcong Deng Tokyo University of Agriculture and Technology, Japan
Zhengtao Ding The University of Manchester, UK
Shiji Song Tsinghua University, China
Donglian Qi Zhejiang University, China
Wanquan Liu Curtin University, Australia
Patrick Luk Cranfield University, UK
Guido Maione Technical University of Bari, Italy
Chen Peng Shanghai University, China
Tong Sun City University London, UK
Yuchu Tian Queensland University of Technology, Australia
Xiaojun Zeng The University of Manchester, UK
Huaguang Zhang Northeastern University, China
Shumei Cui Harbin Institute of Technology, China
Hongjie Jia Tianjin University, China
Youmin Zhang Concordia University, USA
Organization IX
Xiaoping Zhang University of Birmingham, UK

Peng Shi University of Adelaide, Australia
Kay Chen Tan National University of Singapore, Singapore
Yaochu Jin University of Surrey, UK
Yuchun Xu Aston University, UK
Yanling Tian University of Warwick, UK
Organization Committee
Chairs
Congbo Li Chongqing University, China
Minyou Chen Chongqing University, China
Adrian Murphy Queen’s University Belfast, UK
Sean McLoone Queen’s University Belfast, UK
Special Session Chairs

Qian Tang Chongqing University, China
Xin Dai Chongqing University, China
Johannes Schiffer University of Leeds, UK
Wenlong Ming Cardiff University, UK
Publication Chairs
Zhile Yang Chinese Academy of Sciences, China
Jianhua Zhang North China Electric Power University, China
Hongjian Sun Durham University, UK
Trevor Robinson Queen’s University Belfast, UK
Publicity Chairs
Qingxuan Gao Chongqing University, China
Junjie Chen Southeast University, China
Brian Falzon Queen’s University Belfast, UK
Ben Chong University of Leeds, UK
Secretary-General
Yan Ran Chongqing University, China
Dajun Du Shanghai University, China
Rao Fu Queen’s University Belfast, UK
Yanxia Wang Queen’s University Belfast, UK
Registration Chairs
Guijian Xiao Chongqing University, China
Shaojun Gan Queen’s University Belfast, UK
X Organization
Program Committee Members

Stefan Andreasson Queen’s University Belfast, UK
Andy Adamatzky University of the West of England, UK
Petros Aristidou University of Leeds, UK
Vijay S. Asirvadam Universiti Teknologi Petronas, Malaysia
Hasan Baig University of Exeter, UK
Lucy Baker University of Sussex, UK
John Barry Queen’s University Belfast, UK
Xiongzhu Bu Nanjing University of Science and Technology, China
Jun Cao University of Cambridge, UK
Yi Cao Cranfield University, UK
Xiaoming Chang Taiyuan University of Technology, China
Jing Chen Anhui University of Science and Technology, China
Ling Chen Shanghai University, China
Qigong Chen Anhui Polytechnic University, China
Rongbao Chen HeFei University of Technology, China
Weidong Chen Shanghai Jiaotong University, China
Wenhua Chen Loughborough University, UK
Long Cheng Chinese Academy of Science, China
Min-Sen Chiu National University of Singapore, Singapore
Adam Clare University of Nottingham, UK
Matthew Cotton University of York, UK
Xin Dai Chongqing University, China
Xuewu Dai Northeastern University, China
Li Deng Shanghai University, China
Mingcong Deng Tokyo University of Agriculture and Technology, Japan
Shuai Deng Tianjin University, China
Song Deng Nanjing University of Posts and Telecommunications, China
Weihua Deng Shanghai University of Electric Power, China
Jinliang Ding Northeastern University, China
Yate Ding University of Nottingham, UK
Yulong Ding University of Birmingham, UK
Zhengtao Ding University of Manchester, UK
Zhigang Ding Shanghai Academy of Science and Technology, China
Dajun Du Shanghai University, China
Xiangyang Du Shanghai University of Engineering Science, China
Geraint Ellis Queen’s University Belfast, UK
Fang Fang North China Electric Power University, China
Minrui Fei Shanghai University, China
Dongqing Feng Zhengzhou University, China
Zhiguo Feng Guizhou University, China
Aoife Foley Queen’s University Belfast, UK
Jingqi Fu Shanghai University, China
Shaojun Gan Queen’s University Belfast, China
Shan Gao Southeast University, China
Organization XI
Xiaozhi Gao Lappeenranta University of Technology, Finland

Dongbin Gu University of Essex, UK
Juping Gu Nantong University, China
Zhou Gu Nanjing Forestry University, China
Lingzhong Guo Sheffield University, UK
Yuanjun Guo Chinese Academy of Sciences, China
Bo Han Xi’an Jiaotong University, China
Xuezheng Han Zaozhuang University, China
Xia Hong University of Reading, UK
Guolian Huo North China Electric Power University, China
Weiyan Hou Zhengzhou University, China
Liangjian Hu Donghua University, China
Qingxi Hu Shanghai University, China
Sideng Hu Zhejiang University, China
Xiaosong Hu Chongqing University, China
Chongzhi Huang North China Electric Power University, China
Sunan Huang National University of Singapore, Singapore
Wenjun Huang Zhejiang University, China
Tan Teng Hwang University College Sedaya International University, Malaysia
Tianyao Ji South China University of Technology, China
Yan Jin Queen’s University Belfast, UK
Dongyao Jia University of Leeds, UK
Jongjie Jia Tianjin University, China
Lin Jiang University of Liverpool, UK
Ming Jiang Anhui Polytechnic University, China
Youngwook Kuo Queen’s University Belfast, UK
Chuanfeng Li Luoyang Institute of Science and Technology, China
Chuanjiang Li Harbin Institute of Technology, China
Chuanjiang Li Shanghai Normal University, China
Dewei Li Shanghai Jiao Tong University, China
Donghai Li Tsinghua University, China
Guofeng Li Dalian University of Technology, China
Guozheng Li China Academy of Chinese Medical Science, China
Jingzhao Li Anhui University of Science and Technology, China
Ning Li Shanghai Jiao Tong University, China
Tongtao Li Henan University of Technology, China
Weixing Li Harbin Institute of Technology, China
Xiaoli Li Beijing University of Technology, China
Xin Li Shanghai University, China
Xinghua Li Tianjin University, China
Yunze Li Beihang University, China
Zhengping Li Anhui University, China
Jun Liang Cardiff University, UK
Zhihao Lin East China University of Science and Technology, China
Paolo Lino University of Bari, Italy
Bin Liu University of Birmingham, UK
XII Organization
Chao Liu Centre national de la recherche scientifique, France

Fei Liu Jiangnan University, China
Guoqiang Liu Chinese Academy of Sciences, China
Mandan Liu East China University of Science and Technology, China
Shirong Liu Hangzhou Dianzi University, China
Shujun Liu Sichuan University, China
Tingzhang Liu Shanghai University, China
Wanquan Liu Curtin University, Australia
Xianzhong Liu East China Normal University, China
Yang Liu Harbin Institute of Technology, China
Yunhuai Liu The Third Research Institute of Ministry of Public Security,
China
Patrick Luk Cranfield University, UK
Jianfei Luo Chinese Academy of Sciences, China
Yuanxin Luo Chongqing University, China
Guangfu Ma Harbin Institute of Technology, China
Hongjun Ma Northeastern University, China
Guido Maione Technical University of Bari, Italy
Marion McAfee Institute of Technology Sligo, Ireland
Sean McLoone Queen’s University Belfast, UK
Gary Menary Queen’s University Belfast, UK
Gillian Menzies Heriot-Watt University, UK
Wenlong Ming Cardiff University, UK
Wasif Naeem Queen’s University Belfast, UK
Qun Niu Shanghai University, China
Yuguang Niu North China Electric Power University, China
Bao Kha Nyugen Queen’s University Belfast, UK
Ying Pan Shanghai University of Engineering Science, China
Chen Peng Shanghai University, China
Anh Phan Newcastle University, UK
Meysam Qadrdan Imperial College London, UK
Donglian Qi Zhejiang University, China
Hua Qian Shanghai University of Engineering Science, China
Feng Qiao Shenyang Jianzhu University, China
Xuda Qin Tianjin University, China
Yanbin Qu Harbin Institute of Technology at Weihai, China
Slawomir Raszewski King’s College London, UK
Wei Ren Shaanxi Normal University, China
Pedro Rivotti Imperial College London, UK
Johannes Schiffer University of Leeds, UK
Chenxi Shao University of Science and Technology of China, China
Yuntao Shi North China University of Technology, China
Beatrice Smyth Queen’s University Belfast, UK
Shiji Song Tsinghua University, China
Yang Song Shanghai University, China
Hongye Su Zhejiang University, China
Organization XIII
Guangming Sun Beijing University of Technology, China

Tong Sun City University of London, UK
Xin Sun Shanghai University, China
Zhiqiang Sun East China University of Science and Technology, China
Wenhu Tang South China University of Technology, China
Xiaoqing Tang The University of Manchester, UK
Fei Teng Imperial College London, UK
Yuchu Tian Queensland University of Technology, Australia
Xiaowei Tu Shanghai University, China
Gang Wang Northeastern University, China
Jianzhong Wang Hangzhou Dianzi University, China
Jingcheng Wang Shanghai Jiaotong University, China
Jihong Wang University of Warwick, UK
Ling Wang Shanghai University, China
Liangyong Wang Northeastern University, China
Mingshun Wang Northeastern University, China
Shuangxin Wang Beijing Jiaotong University, China
Songyan Wang Harbin Institute of Technology, China
Yaonan Wang Hunan University, China
Kaixia Wei NanJing XiaoZhuang University, China
Lisheng Wei Anhui Polytechnic University, China
Mingshan Wei Beijing Institute of Technology, China
Guihua Wen South China University of Technology, China
Yiwu Weng Shanghai Jiaotong University, China
Jianzhong Wu Cardiff University, UK
Lingyun Wu Chinese Academy of Sciences, China
Zhongcheng Wu Chinese Academy of Sciences, China
Hui Xie Tianjin University, China
Wei Xu Zaozhuang University, China
Xiandong Xu Cardiff University, UK
Juan Yan University of Manchester, UK
Huaicheng Yan East China University of Science and Technology, China
Aolei Yang Shanghai University, China
Dongsheng Yang Northeastern University, China
Shuanghua Yang Loughborough University, UK
Wankou Yang Southeast University, China
Wenqiang Yang Henan Normal University, China
Zhile Yang Chinese Academy of Sciences, China
Zhixin Yang University of Macau, Macau, China
Dan Ye Northeastern University, China
Keyou You Tsinghua University, China
Dingli Yu Liverpool John Moores University, UK
Hongnian Yu Bournemouth University, UK
Kunjie Yu Zhengzhou University, China
Xin Yu Ningbo Institute of Technology, Zhejiang University, China
Jin Yuan Shandong Agricultural University, China
XIV Organization
Jingqi Yuan Shanghai Jiao Tong University, China

Hong Yue University of Strathclyde, UK
Dong Yue Nanjing University of Posts and Communications, China
Xiaojun Zeng The University of Manchester, UK
Dengfeng Zhang University of Shanghai for Science and Technology, China
Huifeng Zhang Nanjing University of Posts and Communications, China
Hongguang Zhang Beijing University of Technology, China
Jian Zhang State Nuclear Power Automation System Engineering
Company, China
Jingjing Zhang Cardiff University, UK
Lidong Zhang Northeast Electric Power University, China
Long Zhang The University of Manchester, UK
Qianfan Zhang Harbin Institute of Technology, China
Xiaolei Zhang Queen’s University Belfast, UK
Xiaoping Zhang University of Birmingham, UK
Youmin Zhang Concordia University, USA
Yunong Zhang Sun Yat-sen University, China
Dongya Zhao China University of Petroleum, China
Guangbo Zhao Harbin Institute of Technology, China
Jun Zhao Tianjin University, China
Wanqing Zhao Cardiff University, UK
Xingang Zhao Shenyang Institute of Automation Chinese Academy
of Sciences, China
Min Zheng Shanghai University, China
Bowen Zhou Northeastern University, China
Huiyu Zhou Queen’s University Belfast, UK
Wenju Zhou Ludong University, China
Yimin Zhou Chinese Academy of Sciences, China
Yu Zhou Shanghai Tang Electronics Co., Ltd., China
Yunpu Zhu Nanjing University of Science and Technology, China
Yi Zong Technical University of Denmark, Demark
Kaizhong Zuo Anhui Normal University, China
Sponsors
Chongqing Association for Science and Technology, China

Shanghai University, China
Organizers
Chongqing University, China

Queen’s University Belfast, UK
Organization XV
Co-organizers
Southeast University, Beijing Institute of Technology, Dalian University of Technol-

ogy, Harbin Institute of Technology, Northwestern Polytechnical University, South
China University of Technology, Tianjin University, Tongji University, Shanghai
University, University of Birmingham, Cardiff University, University College London,
University of Nottingham, University of Warwick, University of Leeds.
Contents – Part III
Clean Energy
Research on Refined Load Forecasting Method Based on Data Mining . . . . . 3

Yawen Xi, Junyong Wu, Chen Shi, Xiaowen Zhu, Ran An, and Rong Cai
Water Level Control of Nuclear Power Plant Steam Generator Based on

Intelligent Virtual Reference Feedback Tuning . . . . . . . . . . . . . . . . . . . . . . 14
Zhi Han, Hu Qi, Ling Wang, Muhammad Ilyas Menhas, and Minrui Fei
Characteristics Investigation for Hydro-Mechanical Compound

Transmission in Wind Power System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
GuoQin Huang, ShaQi Luo, Bo Hu, and Jin Yu
A Novel Wind Power Accommodation Strategy Considering User

Satisfaction and Demand Response Dispatch Economic Costs. . . . . . . . . . . . 36
Jie Hong, Xue Li, and Dajun Du
Research on Operational Reliability of Digital Control Device

of Nuclear Pressurizer Based on Dynamic Fault Tree. . . . . . . . . . . . . . . . . . 46
Hong Qian, Yaqi Gu, Gaofu Yu, and Shanjin Wu
Electric Vehicles
Research on Torsional Vibration Suppression of Electric Vehicle Driveline. . . . 61

Zhanyong Cao, Feng He, Huilin Li, and Zhu Xu
Exploring a Sustainable Business Routing for China’s New Energy

Vehicles: BYD as an Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
Yun Lin, Jie Li, Xingjun Huang, Zhen Guo, Yi Sun, and Runzhi Zhang
Large-Scale Electric Vehicle Energy Demand Considering Weather

Conditions and Onboard Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
Simin Luo, Yan Tian, Wei Zheng, Xiaoheng Zhang, Jingxia Zhang,
and Bowen Zhou
Siting and Sizing of Distributed Generation and Electric Vehicle

Charging Station Under Active Management Mode . . . . . . . . . . . . . . . . . . . 94
Weilu Shan, Xue Li, and Dajun Du
Real-Time Adjustment of Load Frequency Control Based on Controllable

Energy of Electric Vehicles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Yan Li, Qian Zhang, Chen Li, and Chunyan Li
XVIII Contents – Part III
An Orderly Charging and Discharging Scheduling Strategy

of Electric Vehicles Considering Demand Responsiveness . . . . . . . . . . . . . . 116
Wenrui Xie, Qian Zhang, Huazhen Liu, and Yi Zhu
Energy Saving
Technological Updating Decision–Making Model for Eco–Factory

Through Dynamic Programming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
Erheng Chen, Huajun Cao, Kun Wang, Salman Jafar, and Qinyi He
A Configurable On-Line Monitoring System Towards Energy

Consumption of Machine Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
Pengcheng Wu, Yan He, Ming K. Lim, Yan Wang, Yulin Wang,
and Linming Hu
Research on a Multi-scenario Energy Efficiency Evaluation Method

for an Industrial Park Multi-energy System. . . . . . . . . . . . . . . . . . . . . . . . . 151
Chao Shi, Wenzhong Gao, Liting Tian, and Lin Cheng
Green Supply Chain Management Information Integration Framework

and Operation Mode Analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
Zhou Zhou, Kaihu Hou, and Hui Zhang
Design of Temperature Monitoring System with Low Power Consumption

for High Voltage Electrical Equipment. . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
Hongqing Wang, Minjie Zhu, Yining Bi, Xiaohui Liu, and Haiping Ma
Energy Storages
FRA and EKF Based State of Charge Estimation of Zinc-Nickel Single

Flow Batteries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
Yihuan Li, Kang Li, Shawn Li, and Yanxue Li
An Approach to Propose Optimal Energy Storage System in Real-Time

Electricity Pricing Environments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
Shiqian Ma, Tianchun Xiang, Yue Wang, Xudong Wang, Yue Guo,
Kai Hou, Yunfei Mu, and Hongjie Jia
The Electrochemical Performance and Applications of Several Popular

Lithium-ion Batteries for Electric Vehicles - A Review . . . . . . . . . . . . . . . . 201
Xuan Liu, Kang Li, and Xiang Li
A Large-Scale Manufacturing Method to Produce Form Stable Composite

Phase Change Materials (PCMs) for Thermal Energy Storage at Low
and High Temperatures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214
Zhu Jiang, Guanghui Leng, and Yulong Ding
Contents – Part III XIX
Power System Analysis
Research on Smart Grid Comprehensive Development Level Based

on the Improved Cloud Matter Element Analysis Method . . . . . . . . . . . . . . 225
Chengze Song, Junyong Wu, Meiyang Shao, Liangliang Hao,
and Lin Liu
Distributed Accommodation for Distributed Generation – From the View

of Power System Blackouts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 236
Boyu Liu, Bowen Zhou, Dianke Jiang, Ziheng Yu, Xiao Yang,
and Xiangjin Ma
A New Out-of-Step Splitting Strategy Based on Compound Information . . . . 247

Youqiang Xiao, Hangpeng Ni, Wen Qian, Tao Lin, and Ruyu Bi
Risk Assessment of Voltage Limit Violation Based on Probabilistic

Load Flow in Active Distribution Network. . . . . . . . . . . . . . . . . . . . . . . . . 253
Jing Dong, Xue Li, and Dajun Du
Power Consumption Strategy in Smart Residential District

with PV Power Based on Non-cooperative Game . . . . . . . . . . . . . . . . . . . . 264
Chunyan Li, Wenyue Cai, and Hongfei Luo
Design of Low-Resonance Fast Response DC Filter for Enhancing Voltage

Quality of DC Distribution Network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274
Jianquan Liao, Yuhao Wen, Qianggang Wang, and Nianchen Zhou
Analysis for the Influence of Electric Vehicle Chargers with Different

SOC on Grid Harmonics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284
Qi Sheng, Minyou Chen, Qiang Li, Yingxiang Wang,
and Muhammad Arshad Shehzad Hassan
Generation Capacity Planning with Significant Renewable Energy

Penetration Considering Base-Load Cycling Capacity Constraints . . . . . . . . . 295
Jingjie Ma, Shaohua Zhang, and Xue Li
A Multiple Model Control Method of Coal-Fired Power Plant

SCR-DeNOx System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306
Jianhua Zhang, Bin Jia, Ben Zou, Xiao Tian, and Chunyao Liu
Communication Network Planning with Dual Network Coupling

Characteristics Under Active Distribution Network . . . . . . . . . . . . . . . . . . . 314
Zhiqiang Fu, Xue Li, Dajun Du, and Sheng Xu
Author Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325

Clean Energy
Research on Refined Load Forecasting Method
Based on Data Mining
Yawen Xi1(&), Junyong Wu1, Chen Shi1, Xiaowen Zhu1, Ran An1,
and Rong Cai2
1
Electrical Engineering School of Beijing Jiaotong University,
Haidian District, Beijing, China
[email protected]
2
ABB China Research Institute, Chaoyang District, Beijing, China
Abstract. Load forecasting is a basic work of power system dispatching. With

the rapid development of smart grid technology, the accuracy of load forecasting
is put forward by increasing demand. Fusion load, weather and other multi-
sourced data, a refined load forecasting method of support vector machine
(SVM) based on data mining is proposed. Firstly, the history load data is
clustered and the operation days are divided into six categories. Then, the load
data and weather data such as humidity and temperature are fused together, a
refined load forecasting model based on data mining is proposed. And the
parameters of the model are optimized globally. Forecasting the load of a
prefecture-level city in Zhejiang Province in 2013, the load prediction error of
sampling point and daily average load forecasting rate are used as indexes to
evaluate the prediction accuracy, the prediction results show that the prediction
accuracy of the support vector machine (SVM) refined load forecasting method
based on historical data and real-time influencing factors proposed in this paper
is significantly higher than that of the traditional load forecasting method.
Keywords: Load forecasting Data mining Support Vector Machines (SVM)

Forecasting accuracy
1 Introduction
Load forecasting is an important basis for the safe and stable operation of power system
and is also a basic work of planning and dispatching of power system. Traditional load
forecasting methods include extrapolation, exponential smoothing, correlation analysis,
regression analysis, time series, Kalman filter and gray system. Modern load fore-
casting methods include artificial neural networks [1], support vector machines [2, 3],
wavelet transforms [4, 5], and fuzzy regression. Each method has unique advantages
and obvious shortcomings. Applications of data mining technology to screen historical
data and combine with the existing load forecasting method is a new trend of load
forecasting.
Project Supported by ABB China Research Institute (No. ABB20171128REU-CTR).

K. Li et al. (Eds.): ICSEE 2018/IMIOT 2018, CCIS 925, pp. 3–13, 2018.
https://doi.org/10.1007/978-981-13-2381-2_1
4 Y. Xi et al.
In literature [6], many factors that affect power system load fluctuation are fused by
using multi-kernel function to build support vector machine forecasting model, the
forecasting results show that this method can effectively improve the speed and
accuracy of load forecasting. Literature [7] uses the load similarity date and meteo-
rological similarity day as training samples to reduce the dimensionality of input
variables and eliminate a large amount of redundant data. Literature [8] proposes a
short-term intelligent combined forecasting method for power system based on the
combination of gray model and support vector machine regression algorithm.
In this paper, firstly, the daily attribute law of load is tapped by using data mining
technology, corresponding forecasting models are established for different attribute
dates (different clustering categories) respectively, the load data and weather data such
as humidity and temperature are fused as the input sample of a model. Next, the load
data and weather data used in this paper come from a prefecture-level city in Zhejiang
Province. Since Zhejiang Province is located in the southeast coastal zone and the
summer rain and heat are in the same period, it is necessary to fully consider the local
geographical location and climatic conditions, analyze the correlation between each
influencing factor of the weather and the load, highlight the main weather factors and
ignore the secondary weather factors so as to improve the prediction accuracy. Finally,
the global search of c and g is carried out for the parameters of SVM to find the best
parameters.
2 Data Collection and Preprocessing

2.1 The Processing of Bad Load Data
The processing methods for a single bad data: according to the smoothness of the load
curves of the power system, the load data of the abnormal point is obtained from the
average of the last load data and the next load data of this point. And the processing
methods for continuous multiple bad data: according to the similar characteristics of the
load curves of power system, trying to find a way to replace the similar load curve by
the adjacent date of the neighborhood, and if it cannot be found, it will be eliminated
directly.
2.2 The Interpolation Processing of Weather Data

The original load data is 96 sampling points a day, and the original weather data is 24
sampling points a day. In fact, support vector machines (SVM) need multi-point load
data correspond to multi-point weather data when modeling. Therefore, the existing
weather data needs to be interpolated preprocessing, this paper adopts triple spline
interpolation.
2.3 The Quantization of the Type of Weeks and Holidays

This paper quantifies the type of weeks as A = {1, 2, 3, 4, 5, 6, 7}, and 1 to 7 corre-
sponds to Monday to Sunday. And the holiday attributes are quantified as B = {0, 1, 2},
Research on Refined Load Forecasting Method Based on Data Mining 5
where 0 represents the holiday, and 1 represents the day after the holiday, and 2 rep-
resents other dates except these two types.
2.4 The Normalization of Sample Data

In this paper, the simple linear normalization is used, and the transformation formula
can be calculated as follows:
xi xmin
yi ¼ ð1Þ
xmax xmin
In the formula, yi is the input sample data after normalization processing, xi is the
input sample data after pretreatment, xmin is the minimum value in the sample after
preprocessing, and xmax is the maximum value in the sample after preprocessing.
3 Analysis of Regular Characteristics of Load

3.1 The Regular Characteristics of Day Load
The typical daily load curve has two peaks of “morning peak” and “evening peak”. The
time of emergence of morning peak and evening peak is exactly the same with people’s
living rules and working hours, and the daily morning peak and evening peak are
mostly fixed, which provides convenience for us to analyze user’s power consumption
rule. Typical daily load curve is shown in Fig. 1.
130
120
110
100
Load(MW)
90
80
70
60
50
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
Time(hour)
Fig. 1. Typical daily load curve
3.2 The Regular Characteristics of Week Load

The regular characteristics of week load is mainly manifested in the following two
points: one is that the load curves of weekdays and weekends are roughly the same, the
daily load curve has two peaks of “morning peak” and “evening peak”. The second is
that the load of the weekends is significantly lower than that of the weekdays, the
reason is that the proportion of industrial load in the local load is relatively large, the
factory will shut down on weekends, so the load will decrease. Taking the load data for
the second week of 2011 in Zhejiang Province to analyze the regular characteristics of
6 Y. Xi et al.
the week load, the red lines represent the load curves from Monday to Friday, the blue
lines represent the load curves on weekends, as shown in Fig. 2.
140
130
120
110
100
Load(MW)
90
80
70
60
50
40
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
Time(hour)
Fig. 2. Load curves in one week (Color figure online)
3.3 The Regular Characteristics of Holiday Load

The changes of load of different holidays is roughly the same, and it is not necessary to
analyze all the holidays. Taking the load data of a certain region in Zhejiang Province
in 2010, 2011 and 2012 as an example to draw the load curves of the National Day for
three consecutive years, as shown in Fig. 3. It can be seen from the figure that the load
curves of National Day in different years are roughly the same, and the load before and
after the annual festival is significantly higher than that of the National Day.
160
140
120
100
Load(WM)
80
60
40
9.30 10.1 10.2 10.3 10.4 10.5 10.6 10.7 10.8
Time (day)
Fig. 3. Load curves during the National Day in 2010, 2011, 2012
4 Correlation Analysis of Load and Influencing Factors

of Weather
In addition to the regular characteristics of load, the influence of the weather, such as
temperature and humidity, on the load cannot be neglected [9]. The correlation degree
between the influencing factors of weather and load is analyzed quantitatively. Pearson
correlation analysis is used to analyze the correlation from two time dimensions. First,
from the perspective of the whole year, the Pearson correlation analysis is carried out
with the annual load and weather data of a certain region in Zhejiang Province in 2012,
the results of quantitative analysis are shown in Table 1. From Table 1, it can be seen
that the influence of temperature and humidity on load is larger than other factors.
Second, from a seasonal perspective, as Zhejiang Province is located in the southeast

coastal area, belonging to the subtropical monsoon climate, rain and heat are over the
same period. Pearson correlation analysis is conducted on the summer load and weather
data of a certain region in Zhejiang Province in 2012, the quantitative analysis results
are shown in Table 2. As can be seen from Table 2, the correlation between temper-
ature, humidity and load is particularly significant in summer, that is, the effect of
temperature and humidity on load is very large.
Table 1. Correlation analysis of annual load and its influencing factors in 2012
Correlation coefficient Load
Temperature 0.476
Humidity −0.382
Rainfall 0.040
The wind speed of two minutes 0.147
The wind direction of two minutes 0.003
Table 2. Correlation analysis of summer load and its influencing factors in 2012
Temperature 0.758
Humidity −0.557
Rainfall −0.115
The wind speed of two minutes 0.074
The wind direction of two minutes 0.083
In fact, in the summer of Zhejiang Province, the early summer is hot and humid
with more rain. And the midsummer is sunny and hot with little rain, which is the
hottest time of the year. That is, the correlation between summer rainfall and load is
also strong, but the results of the analysis are not obvious. Therefore, taking the
summer load and weather data in a certain region in Zhejiang Province in 2012 as an
example, the weather conditions are classified to further analyze the correlation
between summer rainfall and load. The results of the analysis are shown in Table 3.
Table 3. Correlation analysis of summer load and rainfall in 2012

Rainfall (Temperature around 23°, Humidity around 90%) 0.627
Rainfall (Temperature above 27°, Humidity below 85%) −0.045
8 Y. Xi et al.
5 Establishing Support Vector Machine Load Forecasting

Model Based on Data Mining
5.1 The Selection of Clustering Methods and Numbers
The basic clustering methods include clustering method based on partition, clustering
method based on hierarchy, clustering method based on density and clustering method
based on grid. The most commonly used clustering methods are k-means clustering and
stepwise clustering. Because k-means clustering needs to specify the value of k in
advance, and when the amount of data is not large, the initial grouping largely
determines the result of clustering. And stepwise clustering can output the number of
arbitrary specified clusters by generating the distance matrix. Therefore, this paper
chooses the step clustering method based on Euclidean distance.
At present, there is no good method to select the number of clustering, only through
continuous attempts. By the author’s own attempt, when the number of clustering is
selected to be 6, it is basically guaranteed that each clustering result contains a certain
number of sample. The 6 categories are: weekdays, weekends, national legal holidays,
and festivals other than the national statutory holidays (such as Christmas, etc.), the first
day after the holidays and special days (such as the G20 Summit).
5.2 The Principle of Support Vector Machine

The basic principle of support vector machine [10–12] for load forecasting is that for the
training samples set fxi ; yi gli¼1 , the input samples are xi 2 Rn , the output values yi 2 R
are corresponding to the input samples, l is the number of training samples. The goal of
SVM [13] is to find the regression function from input space Rn to output space R:
y ¼ f ðxÞ ¼ ðx xÞ þ b ð2Þ
In the formula, x 2 Rn is the weight, xi 2 Rn are the input samples, and b 2 R is the
threshold.
For linear regression problems, according to the statistical theory, SVM determines
the regression function by minimizing the target, that is:
l

P
Min 2 kxk
1 2
þ C te þ 1
l fi þ fi
i¼1
s:t:ððx xi Þ þ bÞ yi e þ fi ð3Þ
yi ððx xi Þ þ bÞ e þ fi
fi 0; e 0
In the formula, e is the non-sensitive loss function, fi and fi are the relaxation
ðÞ ðÞ
factors. For the constraint conditions, ai , ai , gi , gi , b 0, the regression function of
SVM based on Lagrange algorithm is:
X
l
f ðxÞ ¼ ðai ai Þkðxi xÞ þ b ð4Þ
i¼1
In this paper, the radial basis function with relatively good prediction effect is
selected as the kernel function of SVM [13–15].
5.3 The Selection of Best Parameters c and g by Cross Validation

Regarding the optimal selection of SVM parameters [16, 17], there is no internationally
recognized a good uniform method, the commonly used method is to let c and g in a
certain range of values, for the selected c and g, the training set is used as the original
data set and the K-CV method is used to obtain the mean square error of the training set
under this set of c and g.
The best parameters c and g chosen by K-CV are shown in Fig. 4.
Best c=1 g=2 CVmse=0.00063433
0.8
0.6
MSE
0.4
0.2
0.2
0.4 0
0.2
0.6
0.4
0.8 0.6
log2g 0.8
1 1 log2c
Fig. 4. Selection of the best parameters c and g by K-CV
As can be seen from Fig. 4, in the process of selecting the best parameters c and g,
the c and g can be searched throughout the grid, so that the mean square error can
fluctuate within a range of 0 to 1. The best pair of parameters selected by cross
validation is: c = 1, g = 2.
6 Example Verification
6.1 Input the Sample Data
In this example, the load data and weather data such as temperature and humidity in a
certain region in Zhejiang Province in 2012 are selected as training samples. With
January 9, 2013 as the forecasting date, a corresponding support vector machine load
forecasting model is established for the attribute of the forecasting day.
10 Y. Xi et al.
6.2 The Evaluation Indicators of the Prediction Result

Taking the sampling point load forecasting deviation rate Ei and the daily average load
forecasting accuracy rate Ad as the evaluation indicators to measure the prediction
effect, the formulas are as follows:
Sampling point load forecasting deviation rate Ei :
Li:f Li
Ei ¼ 100% ð5Þ
Li
Table 4. The daily average load forecasting rate of various forecasting methods
Load forecasting methods Weekday Weekend Holiday
ARMA 88.66% 86.55% 87.67%
Traditional SVM 93.57% 92.53% 92.45%
The method proposed in this paper 97.41% 97.24% 97.16%
In the formula, Ei represents the load forecasting deviation rate (%) at i moment,
Li:f represents the load forecasting value (MW) at i moment, and Li represents the
actual load value (MW) at i moment.
Daily average load forecasting accuracy rate Ad :
Ad ¼ ð1 RMSEÞ 100% ð6Þ

sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
1X n
RMSE ¼ E2 ð7Þ
n i¼1 i
In the formula, Ad represents the load forecasting accuracy (%), RMSE represents
the daily load forecasting bias root mean square, Ei represents 15-min load forecasting
bias (%) at i moment, n represents the daily actual assessment points.
6.3 Results Analysis

Table 4 shows the load forecasting results of three typical operating days, that is, the
daily average load prediction accuracy of three major load on weekday (2013.01.09),
weekend (2013.02.16) and holiday (2013.06.12). And the prediction results are com-
pared with the classical time series method and the traditional support vector machine
load forecasting method.
As can be seen from Table 4, compared with the classical time series method and
traditional SVM load forecasting method, the load forecasting method proposed in this
paper that combines historical data and real-time influencing factors can improve the
prediction accuracy by 5% to 10%.
Because of the limited text, this paper gives a detailed description of the load
forecasting results for the weekday (2013.01.09). The comparison between the pre-
diction results of the three load forecasting methods and the actual load is shown in
Fig. 5.
Fig. 5. Comparison between the prediction results of three kinds of load forecasting methods
and the actual load
From the comparison of the four load curves in Fig. 5, whether the smoothness of
the overall load curve or the predicted value of a single load point which is adopted the
load forecasting method of support vector machine based on historical data and the
real-time influencing factors proposed in this paper is much better than the traditional
support vector machine load forecasting method and time series load forecasting
method.
In order to compare the prediction accuracy of the three prediction methods more
intuitively, as shown in Fig. 6, the curves in this figure show the absolute value of the
load prediction bias of 96 sampling points adopting three different prediction methods.
From Fig. 6, it is clear that for the 96 sampling points load forecasting on January
9, 2013, which adopt the load forecasting method of support vector machine method
based on historical data and real-time influencing factors, the absolute values of the
load prediction deviation rates are mostly below 5%, and concentrate in the vicinity of
3%. The absolute values of the deviation rates of the 96 sampling points prediction
methods of the traditional support vector machine are basically above 5%, which
Fig. 6. Comparison of the absolute values of predicted deviations by three forecasting methods
12 Y. Xi et al.
concentrate near 8%. The absolute values floating range of the load forecast deviation
rates of the 96 sampling points of the time series load forecasting method are larger,
and the mean value is about 13%.
Through the example analysis, it verifies the effectiveness of the load forecasting
method of support vector machine based on historical data and real-time influencing
factors, which improves the prediction accuracy significantly.
7 Conclusion
In this paper, the load data, temperature, humidity and other weather data are fused to
propose a load forecasting method of support vector machine based on data mining,
conclusions are as follows:
(1) According to the multi-source information such as load and weather, using cor-
relation analysis and clustering algorithm, the operation days are divided into
several categories, and the prediction models are respectively established to
effectively improve the accuracy of load forecasting.
(2) Global optimization of the core parameters of support vector machine can also
improve the prediction accuracy.
(3) The results of a practical example show that compared with the traditional support
vector machine and time series load forecasting method, the method proposed in
this paper can improve the load prediction accuracy by about 5% to 10%.
Due to the different load characteristics, geographical locations and weather con-
ditions in different regions, the clustering results and model parameters obtained
may not be the same. Therefore, load forecasting models must be adapted to local
conditions which can effectively improve the accuracy of load forecasting.
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Water Level Control of Nuclear Power Plant
Steam Generator Based on Intelligent Virtual
Reference Feedback Tuning
Zhi Han1, Hu Qi2, Ling Wang1(&), Muhammad Ilyas Menhas1,3,

and Minrui Fei1
1
Shanghai Key Laboratory of Power Station Automation Technology,
School of Mechatronics Engineering and Automation, Shanghai University,
Shanghai 200072, China
{hanzhi,wangling,mrfei}@shu.edu.cn,
[email protected]
2
Shanghai Power Construction Testing Institute, Shanghai 200031, China
3
Department of Electrical Engineering,
Mirpur University of Science and Technology, Mirpur A.K., Pakistan
Abstract. The steam generator is one of the most important equipment in

nuclear power plants. The water level control of steam generators is a chal-
lenging problem due to its complicated characteristics. This paper studies a
novel intelligent virtual reference feedback tuning method based on human
learning optimization (IVRFTH) and applies it to the water level control, in
which the optimal controller can be directly designed without knowing the
mathematical model of the controlled object. The simulation results show that
the developed IVRFTH surpasses the standard IVRFT method with the intro-
duction of human learning optimization (HLO). As IVRFTH is easy to design
the optimal controller without the model information, it is very promising for the
engineering application.
Keywords: Intelligent VRFT Human learning optimization Steam generator

Water level control Data-driven control
1 Introduction
The steam generator system in the nuclear power plant is a complex control system,
which is non-linear and non-self-balancing [1]. The safe and stable operation of the
steam generator is directly related to the normal operation of the nuclear power plant
[2]. Gu proposed a novel control strategy in combination of active disturbance rejection
technology with multimodel-based control, and the method can quickly eliminate
interference under different load conditions, which can realize accurate dynamic control
for the water level of steam generator [3]. Tan proposed a simple gain-predetermined
water level control system, which has the advantages of simple structure and easy
implementation [4]. Le proposed an adaptive backstepping method and designed a
cascade control structure to reduce the influence of load disturbance in the feedwater
flow on the water level control, which kept the steam generator water level safe [5].

https://doi.org/10.1007/978-981-13-2381-2_2
Water Level Control of Nuclear Power Plant Steam Generator 15
Besides, various advanced methods, such as fuzzy control [6] and neural networks
control [7], were proposed.
However, due to its complex characteristics, it is still difficult for the safe and stable
operation of the steam generator. Moreover, the modelling of the real system needs to
be complemented by various empirical relationships. Consider that, a novel data-driven
control method called IVRFT is integrated with Human Learning Optimization
(HLO) has been proposed in the paper. In the presented IVRFT based on HLO method
(IVRFTH), IVRFT [8] can design the controller directly by using a set of I/O data,
which avoids the necessity of modelling and consequently significantly reduces the
effort of the controller design and dodges the risk of degrading the performance of
controllers caused by the error of the model. Then the introduction of HLO can effi-
ciently find the optimal controller based on IVRFT and achieve the ideal control
performance for the water level system.
The paper is organized as follows. The optimal controller design based on the
IVRFTH is presented in Sect. 2. Then the IVRFTH is applied to the water level control
of the steam generator and its performance is validated in Sect. 3. This paper is ended
with the final conclusion.
2 Intelligent Virtual Reference Feedback Tuning Based

on HLO
2.1 Intelligent Virtual Reference Feedback Tuning

Intelligent VRFT is an improved control method based on the standard VRFT and
meta-heuristics [9, 10]. VRFT can design the controller through only a set of system
I/O data without knowing the mathematical model of the controlled object [11].
The idea of VRFT is shown in Fig. 1.
Fig. 1. Model reference scheme of VRFT.
The objective of VRFT is to design a controller to minimize the function given in

Eq. (1).

Pðz1 ÞCð z1 ; hÞ 1 2
JMR ðhÞ ¼
1 þ Pðz1 ÞCð z1 ; hÞ M z
ð1Þ
2
16 Z. Han et al.
Since the controlled object Pðz1 Þ is unknown, the objective function JMR ðhÞ cannot be
directly derived. Assume that a set of I/O data {u(t), y(t)} (t = 1, 2, … L, L is the data
length) of the controlled object is obtained from the field, then virtual input signal
evir ðtÞ can be calculated given a reference model M ðz1 Þ as Eq. (2)
evir ðtÞ ¼ r vir ðtÞ yðtÞ ¼ M 1 ðz1 ÞyðtÞ yðtÞ ð2Þ
where M 1 ðz1 Þ is the inverse of M ðz1 Þ. An expected controller should generate u

(t) when it is fed by evir ðtÞ. The principle of VRFT, as shown in Fig. 2, is to identify the
controller Cðz1 ; hÞ parameters by using the controller’s virtual input and output sig-
nals so that the objective function, i.e. Eq. (3), is minimized.
1X N
uðtÞ Cðz1 ; hÞevir ðtÞ2
JVRFT ðhÞ ¼ ð3Þ
N t¼1
Fig. 2. Control principle of VRFT.
Obviously, in the objective function of VRFT, i.e. Eq. (3), there is no control
performance indicator and it is not practical to design an optimal controller. However,
as revealed by Fig. 1, the designed close-loop control system by VRFT approaches the
reference model M ðz1 Þ. Considering the widely used reference model in VRFT as
Eq. (4)
ð1 AÞz1 d
Mðz1 Þ ¼ z ð4Þ
1 Az1
where A is the adjustable parameter, d is the time-delay. Inappropriate reference models

will directly impair the performance of the final designed controller. If the parameter
A value is too small, the VRFT method may fail; and if the A is too large, the dynamic
response index of the system will become unsatisfactory. It is obvious that the con-
troller designed with the reference model having a smaller A will have better dynamic
performance when the VRFT is guaranteed to be valid.
Since the reference model and the controller interact with each other, and the small
variation of the reference model parameter has the profound influence for the system, it
is difficult to manually set an ideal reference model. Thus, IVRFT [8] is used to design
the optimal controller, in which the objective function is re-defined as Eq. (5),
JIVRFT ¼ JVRFT ðhÞ þ k A ð5Þ
where k is the weight of parameter A. To ensure that Jvrft plays a major role in this
fitness function for the validness of VRFT, the k value should be small enough. The
optimization of the objective function of IVRFT needs meta-heuristic algorithms [8].
Therefore, the choose of meta-heuristics in IVRFT is very important as it directly
determines the performance of the designed controller.
2.2 Human Learning Optimization

Human Learning Optimization (HLO) was first proposed by Wang et al. [12].
The HLO algorithm is very simple to implement, and previous works show that it has
superior optimization performance on various problems such as scheduling, deceptive
problems [12–15]. Therefore, HLO is used to solve IVRFT to improve the control
performance in this paper.
2.2.1 Initialization
HLO is a binary algorithm, and each bit represents a basic component of human
knowledge to be learned. An individual in HLO can be coded as Eq. (6), and each bit is
randomly initialized to 0 or 1.

xi ¼ xi1 xi2 . . . xij xiM 1 i N; 1 j M ð6Þ
where xi is the ith individual, N is the number of individuals in the group, and M is the
dimension of the solution [12].
2.2.2 Learning Operators
(1) Random Learning Operator

People will constantly try new strategies to get better solutions. This process is
often random because they do not know which strategy is better. Mimicking this
random learning strategy, HLO performs the RLO as Eq. (7) to search new knowledge,

0; 0 r 0:5
xij ¼ Randð0; 1Þ ¼ ð7Þ
1; else
where r is random number between 0 and 1.

(2) Individual Learning Operator
In the process of learning, humans consciously or unconsciously memorize and
store useful experiences to guide the following research, which can improve the effi-
ciency of learning when encountering the same or similar problems. HLO emulates this
individual learning strategy of humans and implement ILO as Eqs. (8) and (9).
18 Z. Han et al.
xij ¼ ikipj ð8Þ

2 3 2 3
ikdi1 iki11 iki12 iki1j iki1M
6 ikdi2 7 6 iki21 iki22 iki2j iki2M 7
6 7 6 7
6 .. 7 6 .. .. .. .. 7
6 . 7 6 . 7
ikdi ¼ 6 7 ¼ 6 . . . 7; 1 p T ð9Þ
6 ikdip 7 6 ikip1 ikip2 ikipj ikipM 7
6 7 6 7
6 .. 7 6 . .. .. .. 7
4 . 5 4 .. . . . 5
ikdiT ikiT1 ikiT2 ikiTj ikiTM
where ikdi is the individual knowledge database (IKD) of the ith individual, and ikdipj is
the jth bit of the pth best solution stored in the IKD. T represents the IKD size.
(3) Social Learning Operator
In a social environment, humans can significantly improve the learning efficiency
by sharing knowledge. To improve the performance, HLO performs SLO as Eqs. (10)
and (11) to simulate the social learning of humans,
xij ¼ skqj ð10Þ

2 3 2 sk sk12 sk1j sk1M
3
skd1 11
6 skd2 7 6 sk21 sk22 sk2j sk2M 7
6 . 7 6 7
6 . 7 6 .. .. .. .. 7
6 . 7 6 6 . . . . 7
7; 1 q H;
SKD ¼ 6 7¼ 1jM
6 skdi 7 6 sk skq2 skqj skqM 7
6 . 7 6 7
q1
4 . 5 6 4 .. .. .. .. 7
5
. . . . .
skdH skH1 skH2 skHj skHM
ð11Þ
where SKD denotes the social knowledge database (SKD), and skdi represents the ith
best knowledge saved in the SKD.
In summary, HLO generates new candidates by executing RLO, ILO, and SLO as
Eq. (12):
8
< RLO; if 0 \ rl \ pr
Xij ¼ ILO; if pr \ rl \ pi ð12Þ
:
SLO; if pi \ rl \ 1
where rl is a random number between 0 and 1. HLO performs RLO, ILO, and SLO,
with the probability pr, (pi-pr), and (1-pi), respectively.
2.2.3 Updating of the SKD and IKD

After all the individual has completed the study, HLO calculates the fitness value of the
new solution and update the IKDs and SKD. If the fitness value of the new candidate
solution is better than the fitness value of the worst solution in the corresponding
individual IKD, the new candidate solution is retained. The SKD is updated in the same
way [12].
2.3 Water Level Control Based on IVRFTH

PID controllers are widely used in the nuclear power plants, and therefore this paper
uses IVRFTH to design the optimal PID controller for the water level control.
The PID controller can be represented as Eq. (13) [8]:
uðkÞ ¼ uðk 1Þ þ Kp ½eðkÞ eðk 1Þ þ Ki eðkÞ þ Kd ½eðkÞ 2eðk 1Þ þ eðk 2Þ
ð13Þ
And it can be formulized as Eq. (14):
Ki
Cðz1 ; hÞ ¼ Kp þ þ Kd ð1 z1 Þ ð14Þ
1 z1
Then the virtual output signal can be calculated as Eq. (15):
Ki 1 z1 d
uvir ðz1 Þ ¼ ½Kp þ þ Kd ð1 z1
Þ ½ z y ð15Þ
1 z1 ð1 AÞz1
The parameterization is expressed as Eq. (16):

2 3
Kp
uvir ðz1 Þ ¼ uT ðtÞh ¼ up ðtÞ ui ðtÞ ud ðtÞ 4 Ki 5 ð16Þ
Kd
where up ðtÞ, ui ðtÞ, ud ðtÞ are the coefficients of control parameters Kp , Ki , Kd ,

respectively. They are calculated as Eqs. (17)–(19):
1
up ðtÞ ¼ ½yðt þ d þ 1Þ yðt þ dÞ ð17Þ
1A
1
ui ðtÞ ¼ ½yðt þ d þ 1Þ ð18Þ
1A
1
ud ðtÞ ¼ ½yðt þ d þ 1Þ 2yðt þ dÞ þ yðt þ d 1Þ ð19Þ
1A
With the collected I/O data, and the Kp, Ki, Kd and A given by HLO, the fitness of each
controller, i.e. JIVRFT, can be computed and used for the optimization of the controllers.
The procedure of IVRFTH is as follows:
Step 1: Sample a set of input and output data {u(t), y(t)};

Step 2: Set the parameters of HLO;
Step 3: Set the search ranges of Kp, Ki, Kd, and A;
20 Z. Han et al.
Step 4: Randomly generate the initial population, calculate the fitness function of
each initial solution, and initialize the IKDs and SKD;
Step 5: Execute the learning operators of HLO as Eq. (12) to generate new
candidates;
Step 6: Calculate the fitness of new candidates, and update the IKD and SKD;
Step 7: Check whether the algorithm satisfies the termination condition; If the
condition is reached, output the optimal solution found by HLO; otherwise,
return to step 5.
3 Simulation and Analysis
When the nuclear power unit is in daily operation, the water level of the steam gen-
erator must be monitored and controlled so that it is within the operating limits. When
the water level deviates from the set normal range, it will directly affect the safety and
economic operation of nuclear power plant [3].
In the paper, IVRFTH is applied to control the water level system of steam gen-
erators as Eq. (20) [16]. Note that IVRFTH, as well as the standard VRTF and IVRFT,
does not need any model information for the design of controller. The model here is
only used to generate the input and output data for IVRFTH and evaluate the perfor-
mance of the designed controllers later.
0:0164
GðsÞ ¼ e9:0234s ð20Þ
8:6663s þ 9:0234
To verify the performance of the IVRFTH, IVRFT [8], the Z–N method [17], and
the model-based optimal PID controller design with HLO (MPID) are used for a
comparison. The fitness function, as Eq. (21) [18], is adopted in MPID,
Fit ¼ w1 Tup þ w2 IAE þ w3 OS ð21Þ
where Tup stands for the rise time, IAE stands for the integral of absolute error, and OS
stands for the overshoot. w1, w2, and w3 are the weights of rise time, IAE, and over-
shoot in the fitness function, respectively, and the values are set to 1, 1, 5000 as
recommended in [8].
The control performance of all the methods are depicted in Fig. 3, and the per-
formance indexes are shown in Table 1. The results show that the Z-N method cannot
achieve an expected performance on the water lever control system. The studied
IVRFTH has better performance than the standard IVRFT, which has faster rise time
and smaller IAE. IVRFTH is a little inferior to MPID since the latter is designed with
the perfect model and directly by using the performance criteria as the fitness function.
However, the performance of IVRFT is very close to MPID and it is better than MPID
with 1% model error. Considering a perfect model of steam generators is impractical to
be constructed in real nuclear power plants, IVRFTH have its advantages in terms of
the ideal control performance and ease of implementation.
Fig. 3. Response curves of all the control methods
Table 1. Control performance of various water level control methods

Methods Tup IAE OS
IVRFTH 58 36.44 0
IVRFT 59 37.62 0
MPID 56 35.34 0
MPID with 1% model error 61 39.03 0
Z-N 322 126.81 0
4 Conclusions
The water level control is a challenging problem for the steam generator operation in
nuclear power plants due to its complex characteristics. The difficulty of modelling
would cause significant performance loss for the model-based control methods in real
applications. Therefore, IVRFTH is studied and applied to the water level control,
which can directly design the optimal controller with a set of input and output data. The
simulation results indicate that IVRFTH achieves better control performance with the
introduction of HLO. Considering that IVRFTH can easily achieve the ideal control
performance without model information, it is promising to be applied to water level
control of the steam generator and other engineering objects.
22 Z. Han et al.
Acknowledgments. This work is supported by National Natural Science Foundation of China

(Grant No. 61633016 & 61703262), Key Project of Science and Technology Commission of
Shanghai Municipality under Grant No. 16010500300 and 15220710400, Shanghai Sailing
Program under Grant No. 16YF1403700, and Natural Science Foundation of Shanghai
(No.18ZR1415100).
References
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Characteristics Investigation for Hydro-
Mechanical Compound Transmission in Wind
Power System
GuoQin Huang1,2(&), ShaQi Luo1,2, Bo Hu1,2, and Jin Yu1,2

1
State Key of Laboratory of Mechanical Transmission,
Chongqing University, Chongqing 400044, China
[email protected]
2
College of Mechanical Engineering, Chongqing University,
Chongqing 400044, China
Abstract. Aiming at the problem of variable speed constant frequency (VSCF)

in wind power system, a design scheme of power split type compound hydraulic
mechanical continually variable transmission (HMCVT) used in wind power
system is proposed. With variable speed input and constant speed output as the
premise, the design scheme combines the characteristics of hydraulic high
power density, stepless speed change and mechanical high efficiency by means
of power split. Its static speed and efficiency properties are theoretical analyzed.
Combined with the actual working conditions, the Matlab/Simulink software is
used for modeling the HMCVT wind power system, dynamic simulation and
analysis. Finally, the transmission test platform had been built, and the exper-
imental data and simulation results are basically the same. The results show that
the HMCVT wind power system can realize VSCF. Its dynamic characteristics
are good, and efficiency can be stabilized at around 87%.
Keywords: Wind power generation VSCF HMCVT

Speed regulation characteristics Efficiency
1 Introduction
The research and utilization of new energy has become the focus of attention all over
the world. At present, the cost of wind power is close to the cost of thermal power
generation. However, in the whole wind power industry, it is urgent to optimize the
technology of wind power system to ensure that the initial cost and maintenance cost
are reduced under the premise of high efficiency, sustainability and stability of the
whole system [1].
Doubly fed VSCF wind power system has many shortcomings, such as large
excitation current, high excitation loss, expensive electrical equipment and difficult to
troubleshoot. Some scholars began to turn to the hydraulic transmission chain suitable
for wind power system [2, 3], and put forward hydraulic circuits made up of hydraulic
pumps and motors for the purpose of asynchronous power generation and voltage
stabilization, but the efficiency was only 72.9%. The existing vehicle hydrostatic
transmission is applied to the wind power generation system and the turbine [4].
https://doi.org/10.1007/978-981-13-2381-2_3
Characteristics Investigation for Hydro-Mechanical Compound Transmission 25
The drawback is the low efficiency. In order to make up for the low efficiency of the
hydraulic circuit, a power diverting transmission system [5], which is composed of the
mechanical branch and the servo branch, is put forward, but the cost of the servo motor
is also high. In order to solve the problem of low efficiency of hydraulic loop, a
mechanical-hydraulic transmission which can be used in wind power system is put
forward, but the efficiency is still low in some stages [6]. In China, the input and output
coupling transmission for wind power is proposed by Zhejiang University, but the
speed range of the input coupling transmission is narrow [7].
The HMCVT proposed in this paper can be applied to wind power, and has
achieved the following points:
1. VSCF. When the wind speed fluctuates, it adjusts the transmission ratio of the
hydraulic branch by adjusting the displacement ratio e of the variable pump, so as to
keep the output shaft speed constant. Based on the dynamic characteristics of the
transmission, it is possible to reduce the capacity of the converter or even replace it.
2. High power and high efficiency. Based on the high power density of the hydraulic
circuit and the high efficiency of the mechanical circuit, the efficiency of the
HMCVT can reach 90%, and it is generally stable at about 87%, which is higher
than the static pressure transmission and hydraulic torque converter.
3. The structure is compact. In view of the high power density of the hydraulic system,
the HMCVT will be more compact than other transmission structures. And it is
cheaper than power electronic converters.
2 Mathematical Modeling of HMCVT Wind Power System
2.1 Structure and Principle of HMCVT Wind Power System

Flowchart of HMCVT wind power system is shown in Fig. 1. The electronic com-
ponents such as the rectifier are cancelled. The main principle of the work: by changing
the displacement ratio of the hydraulic pump, the continuous adjustment of the
transmission in a large range is realized, which means that the transmission can realize
the variable speed input and the constant speed output.
Fig. 1. Flowchart of HMCVT wind power system
The structure of HMCVT is shown in Fig. 2. It consists of an input shaft n1, two
planetary gear trains (PGT) A1 and A2, a hydraulic circuit and an output shaft n0. There
are 6 types of connection for each PGT. Therefore, the transmission system has 36
26 G. Huang et al.
kinds of structure. The structure shown in Fig. 2 has the advantages of high efficiency,
wide speed range and no power cycle.
np nm
i1
i2
i0 n7 i3
n2 n4 n6
n3 n5
n1 n0
A1 A2
Fig. 2. Structure of HMCVT
In this system, the energy captured by the wind wheel flows into the HMCVT
through the gear box. After the energy flows through the input PGT A1, the energy
flows into the hydraulic circuit and the mechanical circuit respectively. The energy is
converged by the output PGT A2 and the output shaft n0 is kept at the constant speed.
2.2 Characteristics Analysis of HMCVT

The speed governing characteristic of HMCVT is defined as the ratio iHM of the speed
n0 to the speed n1, which varies with the displacement ratio e of pump to motor.
The relationship between the speed equation of the three components of the PGT
and the HMCVT scheme shown in Fig. 2:
8
>
> n1 þ A1 n3 ð1 þ A1 Þn2 ¼ 0
< n þ A n ð1 þ A Þn ¼ 0
5 2 4 2 6
ð1Þ
>
> n4 ¼ i0eni13i2
:
n5 ¼ i0 i3
n3
A1 and A2 are the characteristic coefficient of the two PGT. n1 is the input shaft, n2
is the output shaft, n3 is the connection shaft, n5 is the input shaft of the output PGT, n6
is the output shaft of the output PGT, n4 is the connection shaft.
The speed governing characteristic equation of the HMCVT can be deduced from
the formula (1):
n3 i1 i2 þ A2 ei3
iHM ¼ ¼ ð2Þ
n1 ð1 þ A1 Þði1 i2 þ A2 ei3 Þ A1 ð1 þ A2 Þi0 i1 i2 i3
By adjusting the displacement ratio e of the variable displacement pump and the
quantitative motor, the stepless speed regulation function can be realized.
The efficiency of the HMCVT is defined as the ratio of output shaft power to input
shaft power.
PO M O nO MO
gHM ¼ ¼ ¼ iHM ð3Þ
PI M I nI MI
The efficiency characteristics of the HMCVT can be obtained from the formula (2)
and (3).
MO nO ð1 þ A1 ÞðA2 ei3 þ i1 i2 gH Þ A1 ð1 þ A2 Þi0 i1 i2 i3 gH

gHM ¼ ¼ iHM ð4Þ
MI n I i1 i2 gH þ A2 ei3
2.3 Mathematical Model of Hydraulic Circuit

The model of pump-controlled speed adjustment system should be based on the flow
equation of the pump, and the continuous equation of the high pressure oil flow and the
balance equation of the motor and the load, so as to establish the transfer function of the
hydraulic circuit. The flow equation of the pump:
Qp ¼ Dp xp Cip ðph pl Þ Cep ph ð5Þ
Where Dp is the output flow of the pump, xp is the pump input angle speed, Cip and
Cep are the internal and external leakage coefficient of the pump, respectively. ph and pl
are the pressure of high and low pressure cavity, respectively.
The flow continuity equation of the high pressure cavity of the system:
dhm VO dpp
Qp ¼ Cim ðph pl Þ þ Cem ph þ Dm þ ð6Þ
dt be dt
Where Cim and Cem are the internal and external leakage coefficient of the motor, Vo
is the total volume of the pump and motor, pp is the output pressure of the variable
pump, be is the elastic modulus of the hydraulic oil, and Dm is the displacement of the
hydraulic motor.
The balance equation between the motor and the load torque:
d 2 hm dh
Dm ðph pl Þ ¼ J þ Bm m þ Ghm þ T ð7Þ
dt2 dt
Where J is the moment of inertia of the motor, Bm is the viscous damping coeffi-
cient of the hydraulic oil, and T is the output torque of the motor.
28 G. Huang et al.
Combined Eqs. (5)–(7), the transfer function of hydraulic circuit can be obtained
after Laplace transform:
Dp np
DC2m ð1 þ bVeOCsÞT
nm ¼ ð8Þ
Dm
VO J
be D2m s3 þ ðDCJ2m þ Bbme DV2mO Þs2 þ ð1 þ BDm2mC þ bGV 2 Þs þ D2
O
e Dm
GC
m
Where C is the total leakage coefficient of the pump controlled motor system, and
np is the speed of the variable pump. Neglecting some minor factors and using the
displacement ratio e(s) as input, the transfer function of the system can be obtained:
nm ðsÞ np
¼ ð9Þ
eðsÞ s2
x2C
þ 2nx s þ 1
C
C
qffiffiffiffiffiffiffi
Where xc is hydraulic natural frequency, xc ¼ be D2m
Vo J ; nc is damping ratio,
qffiffiffiffi pffiffiffiffi
nc ¼ 2DCm bVeoJ þ 2D
Bm
m
Vo
be J .
2.4 Wind Wheel Model

To study the transmission characteristics of the wind power system, the wind turbine
must be modeled. The power absorbed by the wind wheel is determined by formula
(10) [8]:
1
P ¼ Tx ¼ Cp qpR2 v3 ð10Þ
2
Where P is the power of the wind wheel, W; T is the output torque of the wind
wheel, Nm; x is the angular velocity of the wind wheel, rad/s; q is air density, kg/m3;
R is the radius of the wind wheel, m; V is wind speed, m/s; Cp is the power coefficient
of the wind wheel. Equation (11) can be obtained, because of k = Rx⁄v (k is tip speed
ratio):
Cp
T¼ qpR3 v3 ð11Þ
2k
It is known that the cut-in speed of a wind wheel is vxin = 3.5 m/s, the cut-out
speed is vxe = 25 m/s, and the speed range of wind wheel is 9.0–17.6 r/min [9]. The
output characteristic of the wind turbine can be obtained by power coefficient in article
[8] and formula (10) and (11). The output characteristics of the wind wheel can be
obtained by interpolation method.
P ¼ 12627n4 þ 861710n3 21595379n2 þ 2365535898n 957532875 ð12Þ
T ¼ 120581n3 þ 8228726n2 206220686n þ 2258751445 9143765420=n ð13Þ
where n is the speed of the wind wheel, r/min.

3 Simulation and Analysis

3.1 Simulation of the HMCVT Model
The static characteristics of HMCVT are analyzed through theoretical models. In order
to study its dynamic characteristics, computer simulation is an effective method. Using
Matlab/Simulink software, modeling and dynamic simulation and analysis of HMCVT
wind power system are carried out. The system model is shown in Fig. 3.
Fig. 3. Simulation model of wind power system
The 3D model of the transmission prototype is shown in Fig. 4, and the moment of
inertia of each rotating part is derived by Inventor, and the inertial elements are added
to the Simulink model.
Fig. 4. 3D model of transmission prototype
The Simulink model is composed of mechanical branch and hydraulic branch,

taking into account the rotational inertia of the transmission, using the Proportion
Integration Differentiation (PID) controller to adjust the displacement e in real time. For
example, Fig. 5 is the block diagram of the control system.
30 G. Huang et al.
Fig. 5. Block diagram of control system
3.2 Static Simulation of HMCVT

Figure 6 is the speed regulation characteristic curve, in which the theoretical curve is
obtained by formula (2). From Fig. 6, it can be seen that the range of iHM is about 0.2–
2.14 (about 10 times),with the change of e. The WD70-1500 wind power system with a
capacity of 1.5 MW, its cut-in speed is vxin = 3.5 m/s, and cut-out speed vxe = 25 m/s,
so the speed change is 7.14 times. Based on this speed regulation characteristic, the
capacity of the converter can be reduced or even replaced completely, and the speed
range of cut-in and cut-out can be widened simultaneously. The speed characteristics of
the simulation are basically consistent with the theoretical speed governing charac-
teristics. Due to the leakage of high pressure oil and viscous friction of the gear, the
output shaft speed is slightly lower than the theoretical value, that is, the speed char-
acteristic of the simulation is slightly lower than the theoretical value.
2.2
2
1.8
Speed Ratio iHM
1.6
1.4
1.2
1 Theory i H M
0.8
Simulation i
0.6 HM
0.4
0.2
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Displacement Ratio e
Fig. 6. Theory and simulation speed regulation characteristic curve
The efficiency characteristic curves are shown in Fig. 7, where the theoretical curve
is obtained by formula (4). From the theoretical efficiency characteristic curve, it can be
seen that the efficiency of HMCVT can keep around 87%, when the iHM stay around
0.2–2.14. The efficiency of HMCVT is higher than that of torque converter 80% [3, 10].
In Fig. 7, simulation curves show that the efficiency of the theoretical analysis
decreases with the increase of e, when the displacement ratio is between 0 and 0.27.
The reason is that the hydraulic power diversion ratio increases with the increase of e,
that is, the mechanical circuit power with high efficiency falls down, so the overall
efficiency declines. However, in the theoretical analysis, the volumetric efficiency and
Fig. 7. Theory - simulation efficiency curves
the counter torque caused by load are not considered, so as to there are some different
between theoretical and simulated analysis. In the simulation, when e is very low, the
counter torque of the output shaft passes through the PGT A2 to the hydraulic motor,
which makes the motor have a reversal trend and hydraulic leakage, so there is a certain
amount of energy loss at the motor. However, with the increase of e, the power of the
hydraulic circuit increases gradually, and the load of the motor is constant, so the
influence of the energy loss at the motor is gradually weakened, and the overall
efficiency is gradually rising. When e is between 0.27 and 1, the simulated and theo-
retical efficiency are basically the same, and the efficiency increases slowly with the
increase of e. The reason is that the hydraulic power diversion ratio decreases with the
increase of e, that is, the mechanical circuit power with high efficiency rises, so the
overall efficiency increases.
The static simulation results show that the simulation results of speed governing
characteristics and efficiency curves are basically consistent with theoretical analysis
conclusions. The speed regulation characteristic is not only wide and good linearity, but
also easy to adjust and control speed. The volumetric efficiency and hydraulic leakage
caused by reverse torque make simulation efficiency very low when e is very low.
However, theoretical analysis does not consider hydraulic leakage. The overall devel-
opment trend is still the same. The efficiency of the main work section is about 87%.
3.3 Dynamic Simulation of HMCVT Wind Power System

Taking 1.5 MW VSCF doubly fed induction generator as an example, the synchronous
speed of generator is 1500 r/min, that is, output shaft n0 = 1500 r/min. The cut-in and
cut-out of 1.5 MW typical wind power are 3.5 and 25 m/s. The wind speed of cut-in
and cut-out are extended to 3.5 and 28 to test the performance of HMCVT wind power
system. Wind speed data are provided by a company whose measuring time ranges
from 21:00 to 13:00 the next day.
32 G. Huang et al.
Figure 8 shows the dynamic characteristics of the generator’s speed when the
measured wind speed signals are input. At the initial stage of running, there are 1.8%
fluctuations in 51 s. Then the wind speed fluctuates from the initial 3.5 m/s to 27 m/s,
and the maximum peak is 28 m/s. The simulation results show that the fluctuation of
the transmission shaft is kept within 0.57%, and the error is in 0.5 Hz to meet the
standard of grid connected power generation. It shows that wind speed almost has no
effect on speed of output shaft when the wind speed fluctuate between the cut-in and
cut-out.
x 10 3
1.51 36
1.5 32
Generator Speed r/min
1.49 28
Wind Speed m/s

1.48 24
Generator Speed
1.47 20
Wind Speed
1.46 16
1.45 12
1.44 8
1.43 4
1.42 0
0 2 4 6 8 10 12 14 16
Time h
Fig. 8. Response curve of measured wind speed signal
Figure 9 is the efficiency curve of the measured wind speed signal. The efficiency
of the whole system are about 88.32% in the low wind speed section (means 3.5–
15 m/s), and about 85.95% in the high wind speed section (means 15–27 m/s). Because
of the gradual increase of wind speed, iHM of the transmission decreases, that is,
e decreases, so the efficiency gradually decreases, which is consistent with the theo-
retical analysis results.
1 40
0.8 32
Generator Speed r/min
Wind Speed m/s
0.6 Efficiency 24
Wind Speed
0.4 16
0.2 8
0 0
0 2 4 6 8 10 12 14 16
Time h
Fig. 9. Efficiency curve of measured wind speed signal

The simulation results of actual wind speed signals show that the system has good
dynamic quality. The accurate control of rotating parts with large inertia still has a fast
response speed, and its robustness is good in normal operation. Even if the wind speed
fluctuates between 3.5 to 28 m/s, the output shaft can fluctuate within 0.57%, and the
efficiency is stable at about 85.95–88.32%. All simulation results are consistent with
the theoretical analysis conclusions.
3.4 Test and Study of HMCVT

Figure 10 shows a HMCVT test platform, the left is a driver, the middle is the
HMCVT, and the right is dynamometer. The experiment mainly tests its speed regu-
lation characteristics to verify the comprehensiveness and effectiveness of the simu-
lation strategy.
Fig. 10. Transmission test platform
The experimental data were measured by the test platform. And the Simulink model
of the hydraulic mechanical composite transmission was established by the same
simulation strategy, and the speed regulation characteristic curve of the output coupling
type was obtained as shown in Fig. 11. The experimental data are generally lower than
the simulation results about 2.64%, because that the influence factors are not fully
considered in the simulation, but the change trend is basically the same.
0.2
0.18
0.16
Speed Ratio iHM
0.14
0.12
0.1
Test
Simulation
0.08
0.06
0.3 0.35 0.4 0.45 0.5 0.55 0.6 0.65 0.7 0.75 0.8
Displacement Ratio e
Fig. 11. Speed regulation characteristics

34 G. Huang et al.
From the above, the simulation data of the hydraulic mechanical composite
transmission is basically consistent with the experimental data. And the same simu-
lation strategy are adopted in the HMCVT and the hydraulic mechanical composite
transmission. It shows that the simulation strategy can simulate the real test environ-
ment effectively and comprehensively.
4 Conclusion
According to the actual working condition of the wind power system, the design of the
HMCVT is put forward. Based on the principle of compound transmission, the theo-
retical analysis of the HMCVT is carried out. Modeling and dynamic simulation and
analysis of HMCVT wind power system are carried out.
Theoretical analysis and simulation results show that the speed range of the
transmission is large, and VSCF can be realized in the range of cut-in and cut-out wind
speed. The maximum overshoot is 1.8%, which means that the dynamic characteristics
are good. The engine speed can be stabilized at rated speed and the fluctuation is less
than 0.5%, which means that the stability is good. The efficiency of HMCVT at low
wind speed is about 88.32%, and the efficiency is about 85.95% at high wind speed.
This paper proves that the HMCVT can be used in wind power generation and has a
good application prospect. Nevertheless, the reliability of system control is a complex
problem for large inertial systems, which needs further study.
Acknowledgments. This paper is supported by the National Natural Science Foundation of

China (No. 51375507).
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A Novel Wind Power Accommodation
Strategy Considering User Satisfaction
and Demand Response Dispatch
Economic Costs
Jie Hong, Xue Li(B) , and Dajun Du
School of Mechatronical Engineering and Automation, Shanghai University, Shanghai

200072, China
[email protected]
Abstract. This paper is concerned with wind power accommodation

strategy by considering user satisfaction and demand response dispatch
economic costs. Firstly, price-based demand response dispatch economic
costs model and user satisfaction model are established, which are incor-
porated into a multi-objective optimization model. Then, multi-objective
function is transformed into single objective function by the normal-
ized method, which is solved by the sequential quadratic programming
method. Finally, simulation is operated on the modified IEEE-30 nodes
distribution network, and simulation results show that the proposed
strategy can successfully eliminate the wind fluctuations in a certain
range.
Keywords: Price-based demand response · User satisfaction · Wind

power fluctuation · User price elasticity coefficient
1 Introduction
Since the global energy shortage and the environmental pollution continue to
aggravate, it is necessary to change the social energy structure [1]. To solve
the problems, renewable energy has been employed rapidly [2,3], but the inter-
mittent of renewable energy poses a challenge to the safe and stable operation
of large-scale power grids. However, demand response as a highly-controllable
virtual resource is an effective strategy for responding to renewable energy fluc-
tuations. Thus, the paper focuses on demand response strategy to accommodate
wind power fluctuations. With respect to the application of demand response
technology for wind power accommodation, there exist some research results.
For example, a real-time optimal scheduling model is established in [4], which
aims at minimizing the dispatch economic costs on the power grid side. Based
on the objective function of the lowest power cost and minimum load fluctua-
tion, two phases demand response is constructed to optimize the user electricity
c Springer Nature Singapore Pte Ltd. 2018

https://doi.org/10.1007/978-981-13-2381-2_4
A Novel Wind Power Accommodation Strategy 37
consumption behavior in [5,6]. The demand response behavior of users to time-

sharing price is analyzed by obtaining user load demand response matrix in [7].
The above researches are not concerned with dispatch economic costs and
user satisfaction simultaneously when wind power accommodation strategies are
developed. To solve the above problems, this paper is concerned with wind power
accommodation strategy by taking the price-based demand response dispatch
economic costs and user satisfaction into account. Then, multi-objective func-
tion is transformed into single-objective function by normalized method, and
sequential quadratic programming method is used to acquire the amount of
interactive response. Simulation confirms the feasibility and effectiveness of the
proposed strategy.
The rest of this paper is organized as follows: price-based DR dispatch eco-
nomic costs and user satisfaction model is given in Sect. 2. Section 3 presents
demand response model and its solution method. Simulations are given in Sect. 4,
following the conclusion in Section. 5.
2 Price-Based DR Dispatch Economic Costs and User

Satisfaction Model
2.1 Price-Based DR Dispatch Economic Costs Model
According to the current electricity price or incentive mechanism, user changes
their power consumption mode to better match the demand for power with
the supply [9]. In general, demand response fall into two categories: price-based
demand response and incentive-based demand response. The former refers to
the customer changing the electricity consumption mode or the power demand
according to the current nodal price. The latter refers to the DR implementing
agency motivates users to reduce their loads when the reliability of the system
is affected or the electricity price is high.
With respect to price-based demand response, the electricity price affects the
customers’ power consumption, which can guide the customer to use electricity
more reasonably. After price-based demand response is carried out, the electricity
price and load of each node maybe changed [4]. Thus, the corresponding changes
(i.e., Ci ) in electricity sales income on the power grid can be expressed by
Ci = Pl,i × ci − Pl,i0 × ci0 , (1)
where Pl,i0 and ci0 are the load and the electricity price of the ith node before
demand response respectively, Pl,i and ci are the load and the electricity price
of the ith node after demand response [10], and
Pl,i = αi ci + βi , (2)
where αi , βi are the price elasticity coefficients.

Next, the amount of demand response can be calculated by
ΔPl,i = Pl,i0 − Pl,i . (3)

38 J. Hong et al.
According to different price-based DR response modes, the unbalanced power

of the system is distributed to a plurality of different DRs to get the expected
amount of price-based DR involved in grid interaction. The corresponding price
signal for different price-based DRs is given in [4], i.e.,

N N
wind
s.t. ΔPl,i = ΔPwindi , (4)

i=1 i=1
where N , Nwind are the number of nodes and wind farms, and ΔPwindi is the
wind power fluctuation.
Substituting (2) and (3) into (1), (1) can be re-written as
1 βi − 2Pl,i0
Ci = ΔPl,i
2
+ ΔPl,i . (5)
αi αi
Therefore, demand response dispatch economic costs can be calculated by the
inverse of changes in grid side electricity sales income before and after demand
response:
Cr = −Ci . (6)
Demand response dispatch economic costs (6) will be employed in the fol-
lowing demand response model.
2.2 User Satisfaction Model

After the above price-based DR dispatch economic costs model is constructed,
the impact of electricity consumption on the customers’ lives is also considered.
It reflects the users’ comfortableness, which can be described by the satisfaction
model [5], i.e.,
max S,
S = γ1 ε + γ2 θ, (7)
γ1 + γ2 = 1,
where ε is electricity comfort satisfaction, θ is electricity expenses satisfaction, S
denotes user satisfaction, γ1 , γ2 are the coefficients and balance the relationship
between ε and θ. Furthermore, how to calculate ε and θ is given as follows:
(1) Electricity expenses satisfaction θ. Electricity expenses satisfaction is to
reflect the user’s attention to the electricity cost. It can be expressed as

N
(ci0 Pl,i0 − ci Pl,i )
θ= 1+ i=1 . (8)

N
ci0 Pl,i0
i=1
(2) Electricity comfort satisfaction ε. Except for the users’ electricity

expenses, the users’ comfortableness is also considered importantly. It can be
computed by

N
|Pl,i0 − Pl,i |
i=1
ε=1− , (9)

N
Pl,i0
i=1
where N is the number of nodes.
3 Demand Response Model and Its Solution Method

3.1 Demand Response Model
Objective Function. Load demand response sets demand response capacity

of each node with load is μ times of its own load, demand response capacity of
node without load is not more than μ times the entire system load. According
to the nodal price of the ith node at the tth instant. The spatial load response
is based on the maximize user satisfaction and the minimize demand response
dispatch economic costs. The model is as follows:
maxS,

N (10)
min Cr , r = 1, 2...NRL ,
r=1
where S is user satisfaction; Cr is dispatch economic cost of the rth price-based

demand response, and NRL is the total number of price-based demand response.
Constraints. Constraints are divided into equality constraints and inequality

constraints.
(1) Unbalanced power caused by the fluctuation of wind power is distributed
to many nodes that participate in the demand response, i.e.,

N N
wind
s.t. ΔPl,i = ΔPwindi , (11)

i=1 i=1
where N are the number of system nodes, Nwind is the number of wind farms,
ΔPwindi is the amount of wind power fluctuation of the ith wind farm, and ΔPl,i
is the amount of interactive response of the ith node.
(2) Constraint of demand response capacity. It shows that the user-side
demand response capability is limited to a certain extent, i.e.,
PDi
min
PDi PDi
max
, (12)
where PDi is the load of the ith node; PDi

min
, PDi
max
are the lower and upper bound
of the load of the i node after the demand response.
th
40 J. Hong et al.
(3) Branch flow security constraints. After demand response, it must ensure
that the flow of each branch is within the allowable safety range, i.e.,
Pl,i min Pl,i Pl,i max , (13)
where Pl,i is the power flow of the lth branch, Pl,i min and Pl,i max are the lower
limit and the upper limit of the lth branch, respectively.
(4) Node voltage security constraints. After the demand response is carried
out, the node load changes will cause the node voltage to change. In order to
avoid the occurrence of node voltage threshold crossing, the node voltage after
the demand response must be limited, i.e.,
Ui min Ui Ui max , (14)
where Ui is the voltage of the ith node, Ui min and Ui max are the lower and upper
limit of the node voltage of the ith node.
3.2 Multi-objective Optimization

In order to solve the above multi-objective optimization problem. The min-
max normalization method is used to normalize two objective functions, and
sequential quadratic programming method is used to acquire the amount of
interactive response. The normalization method is as follows:

m
fi −fi min
min F = wi fi max −fi min ,
i=1

m (15)
wi = 1,
i=1
where fi is the objective function, fi min and fi max are the maximum and min-
imum values of the objective function, respectively. According to the order of
magnitude difference between the maximum and minimum of satisfaction and
the difference between maximum and minimum of dispatch economic costs, the
normalized weight of satisfaction function is set to 0.01, and the weight of dis-
patch economic costs is set to 100.
3.3 Solution of the Model
It’s known that demand response dispatch economic costs is a quadratic func-
tion of the amount interactive response, Therefore, the objective function and the
constraint of the demand response are transformed into the objective function
and the constraint with the amount of interactive response as a variable. Further-
more, the bi-objective function is transformed into a single-objective function by
the above normalized method to solve the problem.
Transformation of the Optimization Model. Therefore, the above model

is transformed into a model with the amount of interactive response ΔPl,i as
independent variable.
(1) Price-based DR dispatch economic costs
1 βi − 2Pl,i0
Cr = − × ΔPl,i
2
− × ΔPl,i . (16)
αi αi
(2) Electricity expenses satisfaction. Substituting (2) and (3) into (8), (8)
can be re-written as
N

2
ci0 Pl,i0 − α1i (Pl,i0 − ΔPl,i ) + αβii (Pl,i0 − ΔPl,i )
θ = 1 + i=1 . (17)

N
ci0 Pl,i0
i=1
(3) Electricity comfort Satisfaction. Substituting (3) into (9), (9) can be re-
written as

N
|ΔPl,i |
i=1
ε=1− . (18)

N
Pl,i0
i=1
(4) Demand response constraints. For nodes with loads: they can be flexibly
increased or decreased on the original basis, i.e.,
− μPDi ΔPl,i μPDi , (19)
For nodes without load: they can not reduce the load and can only increase the
load on the original basis load, i.e.,
0 ΔPl,i μPDi , (20)
where μ is the capacity of demand response.

(5) Branch flow security constraints: since all nodes of the entire system
participate in the demand response, they will have an impact on the flow of a
branch, i.e.,

N
Pl,i min Pl,i0 + ΔPl,i(j) Pl,i max , (21)
r=1
where ΔPl,i(j) is the impact of nodes involved in price-based demand response on

the lth branch from the ith node to the j th node, N is the number of price-based
demand response.
The nodal price in the system is the Lagrange multiplier before the power
flow equation in the optimal power flow model [8], so each nodal price can be
obtained by solving the optimal power flow.
42 J. Hong et al.
4 Simulation Example
The calculation model used in this example is an modified IEEE-30 nodes distri-
bution network [10]. The entire solution process is shown in Fig. 1. Four equal-
valued wind farms are connected to the 13th , 20th , 26th , 30th nodes, it is demon-
strated in Fig. 2. The wind farm consists of 30 doubly-fed inductive wind gen-
erators, and each doubly-fed inductive wind turbine has a rated capacity of 600
KW.
Fig. 1. Improved IEEE-30 power system Diagram
4.1 The Influence Analysis of Different Wind Power Fluctuation

Coefficients
All nodal prices of the system are calculated every 3 h at a time interval, and
the time 1 is taken as an example. The other times are similar. According to the
user’s degree of emphasis on two kinds of satisfaction, two kinds of satisfaction
weights are set, e.g., the electricity comfort satisfaction degree weight is set to
0.1 and the electricity expense satisfaction rate is 0.9, respectively. The optimiza-
tion results of two models are obtained under different wind power fluctuation
conditions.
It can be found from Table 1 that when the fluctuation of wind power contin-
ued to increase, it basically remains stable at around 7% in model 1, it’s better
than that in model 2.
It can be seen from Fig. 3 that different nodes have different demand response
elasticity coefficient and demand response capacity, different nodes have different
the amount of interactive response.
Fig. 2. Interactive response volume of each node of the two models
Table 1. Comparison of model 1 and model 2 results. (Note: wind power fluctuation
coefficient(WPFC), wind power fluctuation(WPF), user satisfaction(US), DR dispatch
economic cost(DRDEC), power grid income variation(PGIV).)
WPFC WPF US DR DEC PGIV

model 1 model 2 model 1 model 2 model 1 model 2
0.79 12.4 1.076 1.076 226.3 226.6 −226.3 −226.6
0.90 6.12 1.108 1.111 79.4 81.4 −79.4 −81.4
1.10 −6.12 1.152 1.181 −205.5 −196.8 205.5 196.8
1.26 −16.0 1.206 1.237 −427.6 −411.3 427.6 411.3
1.33 −20.0 1.219 1.238 −515.4 −478.4 515.4 478.4
1.41 −25.0 1.237 1.266 −623.5 −578.9 623.5 578.9
1.49 −30.0 1.262 1.295 −729.3 −680.1 729.3 680.1
According to Fig. 4, the load of each node compared with that before the
demand response. The nodal prices such as the 1th , 6th , 11th , 25th , and 28th
nodes in the entire system decrease significantly, and the corresponding node
loads also increase.
4.2 The Effect Analysis of Different Capacity of Demand Response
It can seen that for model 2, as the capacity of demand response increases, the
maximum degree of user satisfaction also increases, and the amount of power
grid income variation on the grid side also increases in Table 2.
44 J. Hong et al.
Fig. 3. Comparison of node loads for various nodes in the system before and after
demand response
Fig. 4. Before and after demand response, the node electricity prices of each node in
the system
Table 2. Comparison of model 1 and model 2 results.
DRC WPF US DRDEC PGIV

model 1 model 2 model 1 model 2 model 1 model 2
0.05 −20 1.1722 1.1872 −493.8 −480.9 493.8 480.9
0.10 −20 1.2198 1.2381 −515.5 −478.4 515.5 478.4
1.15 −20 1.2601 1.1971 −532.9 −372.5 532.9 372.5
1.20 −20 1.2946 1.2011 −546.6 −323.9 546.6 323.9
5 Conclusion
In this paper, a novel wind power accommodation strategy by taking the
price-based demand response dispatch economic costs and user satisfaction into
account is proposed. This strategy aims at minimizing scheduling cost and maxi-
mizing user satisfaction, then multi-objective function is transformed into single-
objective function by normalized method, and sequential quadratic programming
method is used to acquire the amount of interactive response. Finally, simulation
results show that demand response capacity will have an effect on the elimination
of wind fluctuations and the proposed strategy can successfully eliminate cer-
tain range of wind power fluctuations. In the future, the detailed classification of
demand-side loads will be considered, and different demand response strategies
will be made for different types of loads.
Acknowledgment. This work was supported in part by the National Science Foun-
dation of China (Nos. 61773253). The Project of Science and Technology Commission
of Shanghai Municipality (Nos. 15JC1401900, 17511107002, 14JC1402200).
References
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research framework. Autom. Electric Power Syst. 38, 1–11 (2014)
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Research on Operational Reliability of Digital
Control Device of Nuclear Pressurizer Based
on Dynamic Fault Tree
Hong Qian, Yaqi Gu(&), Gaofu Yu, and Shanjin Wu
Shanghai University of Electric Power, Shanghai 200090, China

{qianhong.sh,Yaqi_acient}@163.com, {yugaofu002,
fragrantwu}@126.com
Abstract. The digital pressure control device of Pressurizer, which is equipped

with the input Module of selecting median from four inputs, was used as the
research object, then a fault tree including static part and dynamic part of
the device is established. Next, the Method of Markov was used to analyze the
dynamic part. The overall fault tree was analyzed according to the overall logic.
And then the Bayesian method is used to obtain the current reliability index of
the equipment based on the DCS operating data as input value of the fault tree.
Finally own capability and the effect on entire device of input module of
selecting median from four inputs is evaluated from the value of reliability and
importance, the result shows that the input module is relatively highly
optimized.
Keywords: The logic of selecting median from four inputs Dynamic fault tree
Bayesian analysis The evaluation of reliability Digital control device of
nuclear pressurizer
1 Introduction
In the power plant control system, the input of analog quantity generally adopts the
method of multi-point measurement and taking median value. Thermal power plant
adopts the logic of selecting median from three inputs, such as the level measurement
of the deaerator [1] and so on. In nuclear power plants, advanced nuclear reactors
generally use the logic of selecting median from four inputs [2], the digital control
device of Pressurizer, which is equipped with the above logic, was used as the research
object in this article. There are two points to be analyzed, point one is the reliability of
input Module of selecting median from four inputs, point two is about increased
reliability of the entire control device after using the input module.
At present, there are many studies on reliability of digital control device, but most
of them are based on historical data or factory data. In fact, the reliability index of
equipment will change with the rise of running time, so the reliability evaluation based
on the initial index value is inaccurate. Based on the operating data of DCS, Bayesian
analysis is used to obtain more accurate reliability index in this article.

https://doi.org/10.1007/978-981-13-2381-2_5
Research on Operational Reliability of Digital Control Device 47
Reliability analysis methods include failure mode and impact analysis, reliability
block diagram, fault tree modeling and so on. Literature [3] verified the feasibility of
Monte Carlo method in fault tree modeling and simulation of nuclear power plant
safety system. Literature [4] used the method of MFM (multi-layer flow model) to
analyze DCS of nuclear power plants. The fault tree was used in literature [5] to model
nuclear power protection system. The above methods don’t apply to the failure mode
related to the sequence of failure of each device. The input module of selecting median
from four inputs adds a backup channel compared with the three-input, the backup
channel enters signal instead of failed preferred channel, but it only replaces one
preferred channel to ensure accuracy, so the failure of the input module must be linked
to the sequence of the failure of each channel. This article introduces a dynamic fault
tree, which takes the sequence of failure into account.
2 The Configuration of Digital Control Device of Pressurizer
The function of Pressurizer is to maintain the primary circuit pressure of nuclear power
at 15.5 MPa, so that the power plant will not encounter emergency shutdown and
safety valve operation under the condition of normal load transients and the turbine
dumping the entire load. Pressurizer control principle shown in Fig. 1.
Fig. 1. Principle diagram of pressure control of pressurizer
According to Fig. 1, Digital Pressure Control device of Pressurizer is configured as

follows, a pair of redundant controllers, a pair of redundant power, four input cards to
avoid secondary faults and the six output cards. Hardware structure is shown in Fig. 2.
The on-site pressure signals P1/P2/P3/P4 are transfered to DPU via four input
cards. Pressure signals processed is converted into control command in DPU and
transfered to field devices via output cards. The logic of four-input is shown in Fig. 3.
48 H. Qian et al.
Fig. 2. Hardware structure of digital pressure control device of pressurizer
Fig. 3. The logic diagram of selecting median from four inputs
According to Fig. 3, the entire logic is divided into two parts of the backup channel
access and two out of three decisions. The first part determines whether backup channel
needs to be put in. First step is to determine whether there are deviation alarms for
signal values of channels. Second step is to determine if the following conditions are
true: one of the three preferred channels is detected a deviation alarm, backup channel
and the other two preferred input channels aren’t detected a deviation alarm, if these
happen, the faulty channel is switched to the backup channel. The second part makes
two out of three decisions for the final three channels. If there are deviation alarms in
two or more channels, the input module is faulty and the operator inputs pressure
measurement from the immediately preceding moment. Otherwise, the median of three
channels or the average of two channels is output.
3 Bayesian Calculation of Failure Rate of DCS Equipment

3.1 The Reliability Index of DCS Based on Field Data
Yj ðtÞ indicates the running status of device, which is obtained from the real-time
database. t indicates running time of device. When Yj ðtÞ ¼ 1, the equipment operates
normally. When Yj ðtÞ ¼ 0, the equipment fails, failure time Ti Yj ¼ t that indicates the
i-th fault time of device Yj is recorded in days, months and years.
Mean Time Between Failures (MTBF) of the device is defined as (1).
X
n
MTBFjYj ¼ ½ ðTi þ 1 jYj Ti jYj Þ þ MTBF0 jYj =n ð1Þ
i¼1
In the formula, MTBF0 jYj indicates initial MTBF of device Yj .

Failure rate is a common reliability index for engineer. It refers to the number of
failures per unit time during operating, which is expressed as k = N/T, where T is
running time of the device, and N is the number of failures during T.
The tub curve can reflect the relationship of failure rate and running time. The DCS
is considered to be in valid period in the article, so failure rate is constant and subject to
exponential distribution, and k = 1/MTBF is true. The failure probability function of
device is FðtÞ ¼ 1 ekt , and the reliability function is RðtÞ ¼ 1 FðtÞ ¼ ekt .
3.2 Bayesian Estimation Method for Failure Rate of DCS Equipment

Bayesian method regards parameter to be estimated as a random variable of a prior
distribution. According to prior distribution of parameters to be estimated and sample
observation value, posterior distribution is obtained. The mathematical expectation of
the posterior distribution is the Bayesian estimate of parameters to be estimated.
Given that DCS device complies with exponential distribution. Assuming that the
MTBF of a device is known as 168900, the failure rate is 5:92 106 , it means that the
device’s prior information is (5.92, 1000000).
(1) Determine the conjugate prior distribution of failure rates for devices, it is the
Gamma distribution, CðkjZ0 ; s0 Þ.
(2) Based on the properties of conjugate distribution and the Bayesian formula, the
posterior distribution is obtained, it is CðkjZ0 þ Z1 þ . . . þ Zn ; T0 þ T1 þ . . . þ Tn Þ
if there are n batches of field data (Zi, Ti) (i = 1, 2, …, n).
50 H. Qian et al.
(3) Calculate the value of point estimate for reliability R as formula (2).
Pn
0 P n 1 Zi
T i¼0
B i¼0 i C
0 B
R ¼@ C ð2Þ
P
n A
tþ Ti
i¼0
Where t is the given task time. The posterior mean of failure rate is shown in (3).
P
n
Nþ Zi
i¼0
kBayes ¼ Pn ð3Þ
T þ Ti
i¼0
In the formula, T is the number of hours of the n + 1th operation of device and N is
the cumulative number of failures in T hours.
4 Modeling Dynamic Fault Tree
Digital Pressure Control Device of Pressurizer includes controllers, power supplies,

input and output modules. Any device failure will cause pressure control failure.
Therefore, the relationship of them is OR logically.
Specific to each module, the power and the controller are configured redundantly.
The relationship between the primary and the backup is AND logically. For actuators,
such as spray valve and heater, output cards connected to different actuators are log-
ically OR, and output cards connected to same actuators is logically AND.
The input module uses four parallel channels. First input module is considered to be
faulty when there are two faults in the three final channels, which is represented by a
2/3 AND. Second according to Fig. 3, there are two failure modes for a single channel:
one is that the preferred channel fails and the backup channel also fails. Two is that
channel I2 or I3 has failed before channel I1 fails. The backup channel is used to
replace channel I2 or I3, and it cannot replace two channels at the same time, so
channel I1 must be faulty. The relationship between two failure modes is OR logically.
It can be seen that failure mode two is related to the failure sequence of three preferred
channels, so Priority AND Gate is introduced in the article. The fault tree model is
shown in Fig. 4 based on the above analysis.
Fig. 4. The fault tree of digital pressure control device of pressurizer
5 Dynamic Fault Tree Analysis Based on Markov Process
5.1 Markov Process

If the transition probability is independent of the start time when a Markov chain X(t)
transforms from state i at time u to state j at time u + t [6], the Markov chain is
homogeneous, the transition probability is only related to time difference t. Pij is used
as the elements of the transition probability matrix P, so the transition rate matrix is
A = P − U, where U is the same order identity matrix of P.
52 H. Qian et al.
The equation of state is P0 ¼ A P, where P is the column vector of the probability

of each state and P′ is the column vector of the probability derivative of each state. The
failure probability can be obtained by solving the equation.
5.2 Qualitative Analysis of Dynamic Fault Tree Based on Markov

Process
The failure mechanism of the priority AND gate is: when the basic events occur from
left to right, the system output event is a fault, and if the basic event occurs from right
to left, the output event is normal [7]. The priority AND gate is transformed func-
tionally into Markov chain as shown in Fig. 5.
Fig. 5. Markov form of priority AND gate functionally
With the channel I1 fault as the top event, the state Fa corresponds to the occur-
rence of top event, the state Op corresponds to the nonoccurrence of top event, you can
get two Markov chains as follows, 00—10—Fa/00—01—Op. Among them, “00”
indicates that card I1, I2, and I3 are normal, “10” indicates that card I2 or I3 fails and
card I1 is normal, and “01” indicates that the card I1 fails and I2 or I3 is normal.
5.3 Quantitative Analysis Based on Markov Dynamic Fault Tree

In this paper, assuming that the card failure rate is k4 , the state transition diagram of the
dynamic fault tree can be obtained as shown in Fig. 6.
Fig. 6. State transition diagram of priority AND gate

According to Fig. 6, the state transition rate matrix is as (4),

2 3
2k4 k4 2k4 k4 0 0
6 0 k4 0 k4 0 7
6 7
A¼6
6 0 0 2k4 0 2k4 7
7 ð4Þ
4 0 0 0 0 0 5
0 0 0 0 2k4 k4
The matrix of the differential equation P0 ¼ A P is shown in (5).

2 0
3 2 32 3
P0 ðtÞ 2k4 k4 2k4 k4 0 0 P0 ðtÞ
6 0 7 6 76 P ðtÞ 7
6 P1 ðtÞ 7 6 0 k4 0 k4 0 76 1 7
6 7
6 0 7 6 76 7
6 P2 ðtÞ 7 ¼ 6 0 0 2k4 0 2k4 76 P2 ðtÞ 7 ð5Þ
6 0 7 6 76 7
6 P ðtÞ 7 6 76 7
4 3 5 4 0 0 0 0 0 54 P3 ðtÞ 5
0
P4 ðtÞ 0 0 0 0 2k4 k4 P4 ðtÞ
Let the initial condition be ½ P0 ð0Þ P1 ð0Þ P2 ð0Þ P3 ð0Þ P4 ð0Þ ¼

½1 0 0 0 0 .
Using matlab to solve Eq. (7), the probability for g2 to occur is shown in (6),
1 2
p ¼ k4 =ð2k4 þ k4 Þeð2k4 þ k4 Þt ek4 t þ 2k4 =ð2k4 þ k4 Þ ¼ e3k4 t ek4 t þ ð6Þ
3 3
6 Reliability Evaluation of Pressurizer Digital Control Device
6.1 Digital Control Device of Nuclear Pressurizer Reliability Calculation

According to formula (8), combined with the logical relationship in Fig. 4, the failure
probability of the input module G4 can be found as (7).
1 1
f4 ðtÞ ¼ f1 ðek4 t e3k4 t þ Þ ½1 ð1 ek4 t Þ2 g2
3 3 ð7Þ
1 1
f2ðek4 t e3k4 t þ Þ ½1 ð1 ek4 t Þ2 þ 1g
3 3
According to the logic relationship in Fig. 4, the failure probability of the static
fault sub-block G3 can be obtained as (8).
f3 ðtÞ ¼ 1 ½1 ð1 ek3 t Þ2 3 ð8Þ
Finally, according to the logical relationship of the entire fault tree, the reliability of
the Pressurizer digital control device can be found as (9).
54 H. Qian et al.
FðtÞ ¼ 1 ½1 f1 ðtÞ ½1 f2 ðtÞ ½1 f3 ðtÞ ½1 f4 ðtÞ ½1 f5 ðtÞ ð9Þ
In the (11), f1 ¼ ð1 ek1 t Þ2 represent operator station failure probability, f2 ðtÞ ¼

1 2ek2 t þ e2k2 t represent controller failure probability, f3(t) represents output
module failure probability, that is (8), f4(t) represents input module failure probability,
that is (7), f5 ðtÞ ¼ 1 2ek5 t þ e2k5 t represent power failure probability.
6.2 Reliability Evaluation of Digital Control Device of Pressurizer

6.2.1 Analysis of Reliability Value
In this paper, the Digital Control Device of Pressurizer is configured for input module
of selecting median from four inputs. Compared with three inputs, a backup card is
added so that when one of three preferred cards fails, it can be switched to
backup. When two cards fails, the first faulty card can be switched to backup card and
only one input card fails finally, input module can still work normally. As for three
inputs, if there are two faulty channels, input module fails. Both configuration schemes
meet the single-failure principle, but the former is obviously more reliable. Next
reliability analysis will be expanded from the quantitative point of view.
Table 1 shows the operation failure records of each DCS device. The initial MTBF
and the initial failure rate of the known devices are shown in Table 2.
Table 1. Failure report

Device Start time Failure time
DPU 2008/10/10 2013/05/05
Power 2008/10/10 2013/08/08
Card O3 2008/10/10 2014/09/01
Table 2. Failure rate

Device MTBF Failure rate
DPU 3671428 2.72 10−7
Power 1638461 6.1 10−7
Input card 434782 2.3 10−6
Output card 1836661 5.44 10−7
Operator station 1369863 7.3 10−7
According to online data of the equipment, the failure rate of each equipment is
corrected by the method of Bayesian analysis in real time, it can be concluded as
follows: operator station k1 ¼ 7:3 107 , controller k2 ¼ 2:8 107 , output card
k3 ¼ 6:11 107 , input card k4 ¼ 2:3 106 , power k5 ¼ 6:5 107 .
Substituting the above data into the Eqs. (7) and (5), you can obtain the reliability
versus time function of digital control device and the input module using the logic of
selecting median from four inputs, and you can compare it with the three inputs.
Figure 7 shows the comparison of the reliability of two input configurations.
Fig. 7. Reliability comparison
It can be seen from Fig. 7 that after adding the common backup card, the reliability
of the logic of selecting median from four inputs is significantly higher than before, and
the reliability of the entire digital control device has also been improved.
6.2.2 Analysis of Importance Value

The degree of importance analysis is an important part of the reliability analysis. It is
used to represent the contribution to the probability of occurrence of the top event when
the cut set of a component or system fails. This paper uses probability importance to
analyze reliability.
The importance of the bottom event is the difference in the probability of occur-
rence of the top event when the probability of the bottom event is 1 and 0 [8], which is
shown in (10).
Dgi ðtÞ ¼ g½1i ; Fi ðtÞ g½0i ; Fi ðtÞ ð10Þ
The importance of the basic event reflects the degree of influence of occurrence of
the basic event on the top event. It can be used to find weak points of the system and
improve the reliability of system. At the same time, the lower the degree of importance,
the lower possibility of the entire system failure caused by the component failure, it
shows that the design is more optimized.
56 H. Qian et al.
According to formula (10), the importance value of input cards can be calculated
and recorded in Table 3.
Table 3. Comparison of importance value

Years of The logic of selecting median from three The logic of selecting
operation inputs median from four inputs
Preferred Backup
card card
1 0.07074301 0.004156598 0.00424807
2 0.1328582 0.01609563 0.01671802
3 0.1871326 0.03480098 0.03657841
4 0.23429 0.05907566 0.06262562
5 0.2749956 0.08765473 0.09347692
6 0.3098607 0.1192886 0.1277146
7 0.339446 0.1528012 0.1639868
8 0.3642663 0.1871282 0.2010716
9 0.3847932 0.2213383 0.2379134
10 0.4014588 0.2546433 0.2736377
11 0.4146587 0.2863981 0.3075504
12 0.4247545 0.316095 0.3391279
According to Table 2, the importance value of the input card has been declined after
adopting the logic of selecting median from four inputs compared with the former, it
means that possibility of Pressurizer pressure control failure caused by single input card
failure is declined, it proves that the logic of selecting median from four inputs is more
highly optimized and increases reliability of the entire control device. In addition, as
running time increases, the importance difference between two input schemes becomes
smaller and smaller, because performance of card is degraded, the advantages logically
are no longer significant, but in the first decade of operation, the optimization of the
logic of selecting median from four inputs is much better than the three-input logic.
7 Conclusion
This paper mainly aims at the Control Device of Nuclear Pressurizer, uses the dynamic
fault tree modeling to analyze and evaluate the reliability of logic of selecting median
from four inputs, and studies the influence of the input logic on the reliability of overall
device. For the switching relationship between preferred channel and backup channel,
the priority AND gate are introduced. Then the dynamic fault tree is transformed into a
Markov chain for quantitative calculation. The calculation result compared with the
three-input logic show that the logic of selecting median from four inputs is superior to
the three-input logic in improving reliability of system. In addition, this paper calculate
current failure rate of devices by Bayesian considering operating data to make evalu-
ation result more accurate.
Acknowledgments. This work was partially supported by Shanghai Science and Technology
Committee (Grant No. 18020500900), National Natural Science Foundation of China (Grant
No. 61503237), Shanghai Natural Science Foundation (Grant No. 15ZR1418300) and Shanghai
Key Laboratory of Power Station Automation Technology (Grant No. 13DZ2273800).
References
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Technol. 14, 76–78 (2015)
2. Zhang, E.B.: Analysis of the implementation and characteristics of AP1000 regulator pressure
automatic control logic. China Hi-Tech Enterp. 33, 46–48 (2013)
3. Wang, X.K., Yang, X.H., Liu, G., et al.: Application of probabilistic safety assessment in
nuclear power plant protection system. East China Electr. Power 38, 725–729 (2010)
4. Chen, W.Q.: Research on Reliability Analysis Method of DCS in Nuclear Power Plant Based
on MFM. Harbin Engineering University (2013)
5. Zhou, S.L., Liu, Y.Y., Du, W.: Reliability analysis of digital reactor power control system in
nuclear power plant based on fault tree method. Nucl. Sci. Eng. 33, 419–428 (2013)
6. Qian, H., Luo, J.B., Jin, W.J., et al.: Reliability evaluation of DEH system optimization based
on dynamic fault tree. China Electr. Power 47, 92–96 (2014)
7. Li, Y.F.: A New Method of Dynamic Fault Tree Analysis for Complex Systems and Its
Application. University of Electronic Science and Technology of China (2013)
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Plants. North China Electric Power University (2014)
Electric Vehicles
Research on Torsional Vibration Suppression
of Electric Vehicle Driveline
Zhanyong Cao, Feng He(&), Huilin Li, and Zhu Xu
School of Mechanical Engineering, Guizhou University, Guiyang 550025,

Guizhou, China
[email protected]
Abstract. In order to suppress the torsional vibration caused by electric vehicle

low-damping characteristic, a driveline simulation model was constructed in
Matlab/Simulink based on permanent magnet synchronous motor(PMSM) using
vector control strategy. A fuzzy self-tuning PID controller was designed to
improve speed feedback and robustness of motor controller. The results show
that the dynamic characteristics of electric vehicle driveline can be revealed
effectively by electro-mechanical coupling method. The application of fuzzy
logic method to tune PID controller can contribute a lot to solve torque ripple
problem caused by mutation load and mutation control signal.
Keywords: Electric vehicle Vector control Torsional vibration

Fuzzy self-tuning
1 Introduction
In order to improve the power efficiency of driveline, most electric vehicle cancels
clutch and torque converter which is the damping parts of whole system comparing
with traditional fuel vehicle. The experimental results show that sudden increase of
motor torque will cause the shock of transmission shafts resulting in vehicle starting
shaking [1]. For solving such torque ripple problems, researchers carried out a lot of
research on torque transfer characteristics of electric vehicle driveline.
Zhang Lijun studied the shaking phenomenon of a hybrid electric vehicle when
starting, the reason and control method of this vibration are put forward through road
test and modeling experiment using finite element method [2]. Aiming at researching
the abnormal noise of an electric vehicle driveline caused by sudden clutch joining, R
Turnbull studied the effect of vertical load on the noise [3]. Ma proposed a torque ripple
model of permanent magnet synchronous motor through bench test, and analyzed the
mechanism of torque ripple by orders [4]. Considering that hybrid electric vehicle
driveline removed clutch and torque converter, A kind of controller which can control
the output torque of wheel is designed by Syed [5].
The powertrain of electric vehicle is different from that of fuel vehicle, and its
mechanical part has low damping characteristic. Some scholars put forward that on the
basis of synthetically considering the motor performance and vehicle application, the
output torque ripple of motor can be restrained, the robustness of its control system can
be improved, and the power output quality of driveline can be optimized [6].
https://doi.org/10.1007/978-981-13-2381-2_6
62 Z. Cao et al.
Aiming at optimizing the performance of motor control system, the torque ripple of
electric vehicle driveline was restrained based on Matlab-Simulink, the torsional
dynamics model of vehicle driveline was built, and the simulation experiment was
carried out through studying the relationship between input resistance of driveline and
intention of driver. A PID controller using fuzzy self-tuning method was designed, and
the output curves of driveline using these controllers were compared and analyzed.
2 Torsional Vibration Model of Electric Vehicle Driveline
PMSM is the power source of electric vehicle powertrain. DC power is supplied from
battery pack, and is converted to 3 intersections by the inverter to drive PMSM
afterwards. After that, the output torque of motor is transmitted through transmission
shaft to wheel. The torsional vibration simulation model of driveline is established by
electro-mechanical coupling method. As shown in Fig. 1, the model includes two parts:
electrical part and mechanical part.
Fig. 1. Electric vehicle driveline
2.1 Vector Control Strategy for PMSM

In 3-phase coordinate system of PMSM, the rotor magneto-electric structure of syn-
chronous motor is asymmetric, and the mathematical model is a set of nonlinear time -
varying equations related to the instantaneous position of rotor, which is unfavorable
for analysis and control of motor. Through Clark and Park transformations, equation
can be transformed into d - q coordinate system.
The formulas of Clark transform and Park transform without zero sequence com-
ponent are as follows:
" #2 3
iA
ia 2 1 1
pffiffi2
12
pffiffi 4 i 5
¼ B ð1Þ
ib 3 0 23 23 iC

id cos h sin h ia
¼ ð2Þ
iq sin h cos h ib
By means of Clark and Park coordinate transformation presented in Fig. 2, current

in three-phase winding is equivalent to current in two-phase rotating winding, which
Research on Torsional Vibration Suppression of Electric Vehicle Driveline 63
can reduce coupling factor between parameters, simplify the mathematical model of
system, and facilitate control and analysis of motor.
Fig. 2. Clark and Park transformation
Output torque of motor under d-q shafting is given by:
3
Te ¼ p wf iq þ Ld Lq id iq ð3Þ
2
Considering electric vehicle needs stable constant torque under starting condition,
equation is obtained when id = 0:
3
Te ¼ pwf iq ð4Þ
2
2.2 Torsional Dynamics Model of Driveline

Refer to an electric vehicle, the transmission ratio i is 3. 227, the radius of tire r is 25.
675 cm. The torsional vibration model of driveline is simplified to a second-order
damped torsional vibration system. The two equivalent moment of inertia are electric
shaft and main drive shaft [9], which is displayed in Fig. 3.
Fig. 3. Equivalent torsional dynamic model of driveline
Under high speed condition, driving resistance is mainly air resistance and rolling
resistance.
64 Z. Cao et al.
1
Fair ¼ v2vehicle cd qA ð5Þ
2
Ff ¼ G f ð6Þ
rtire
Tre ¼ ðFair þ Ff Þ ð7Þ
i
The model does not consider gear clearance, pavement response, tire deformation
and other factors. The stiffness of spring k is 2000 N*m/rad and the damping coeffi-
cient c is 2500 N*m*s/rad.
Mathematical model of mechanical part is as follows:
" € # " #
J1 0 h1 c c h_ 1
þ
0 J2 h€2 c c h_ 2
ð8Þ
k k h1 Te
þ ¼
k k h2 Tre
The natural frequencies of system are given by:

sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ffi
1 1
x1 ¼ 0; x2 ¼ k þ ¼ 39:3 Hz
J1 J2
3 Fuzzy Self-tuning PID Controller
In order to improve the control performance of system, a fuzzy self-tuning PID con-
troller is designed in the speed loop of motor controller.
3.1 Fuzzy Self-tuning PID Control Principle

Traditional PID controller has no self-tuning ability and can not adjust its parameters
according to the change of external conditions. Fuzzy self-tuning PID controller, which
can identify the variation of input variables and adjust parameters simultaneously, can
be used to control more complex systems. By simulating the process of human brain
and making full use of practical experience of operators, fuzzy control controller can
adjust the parameters of PID controller online and control complex nonlinear system
effectively.
A typical fuzzy PID control system is shown in Fig. 4.
Fuzzy PID controller takes deviation e, deviation change rate ec as input variable
while using kp, ki and kd as output variables. Its working principle is based on
traditional PID controller. According to the established fuzzy logic rules, input e and ec
are treated with fuzzy processing and fuzzy operation respectively. The result of
operation is sent into PID controller to realize the adjustment of PID parameters.
du/dt
fuzzy fuzzy reasoning
measure
defuzzification
PMSM
PID controller
system
-
Fig. 4. Fuzzy PID controller
3.2 Membership Function and Fuzzy Rules

Through selection of quantization factor, basic domain of e, ec, kp and ki can be
zoomed into fuzzy domain and the fuzzy sets is defined as {NB, NM, NS, Z0, PS, PM,
PB}, corresponding to 7 vague words {negative big, negative median, negative small,
zero, positive small, positive median, positive big}. The range of domain is [–3, 3], and
the quantization level is {–3, –2, –1, 1, 2, 3}.
When setting PI controller parameters kp, ki, the relationship of them with devi-
ations and deviations changing rate must be considered, and generally meet the fol-
lowing principles:
(1) when e is large, a large kp should be selected to achieve rapid response of system,
and a small ki should be selected to reduce the overshoot of system by reducing its
integral effect;
(2) when e and ec are at middle level, kp should be reduced appropriately, and the
value of overshoot ki should be moderate to prevent excessive overshoot in
system
(3) when e is small, it is necessary to increase kp and ki to reduce static error.
Based on above principles and after a lot of simulation debugging, the fuzzy rule
table is obtained in Tables 1 and 2.
Table 1. kp fuzzy rule

e ec
NB NM NS ZO PS PM PB
NB PB PB PM PM PS ZO ZO
NM PB PB PM PS PS ZO NS
NS PM PM PM PS ZO NS NS
ZO PM PM PS ZO NS NM NM
PS PS PS ZO NS NS NM NM
PM PS ZO NS NM NM NM NB
PB ZO ZO NM NM NM NB NB
66 Z. Cao et al.
Tab. 2. ki fuzzy rule

e ec
NB NM NS ZO PS PM PB
NB NB NB NM NM NS ZO ZO
NM NB NB NM NS NS ZO ZO
NS NB NM NS NS ZO PS PS
ZO NM NM NS ZO PS PM PM
PS NM NM ZO PS PS PM PB
PM ZO ZO PS PS PM PB PB
PB ZO ZO PS PM PM PB PB
4 Simulation Results and Analysis
The power driveline model of electric vehicle is built based on Matlab-Simulink, as

shown in Fig. 5. In driving mode, vehicle controller obtains the control value of vehicle
motor by identifying driver’s intention and chassis power. Because of complex road
condition during vehicle driving, driver needs to operate accelerator pedal frequently,
and the whole vehicle control system needs to satisfy driver’s control feeling during
acceleration. Consequently, the speed feedback and robustness of motor control system
should be very reliable.
Fig. 5. Simulink model
Figure 6 shows the speed tracking of driveline model based on traditional PID
speed loop and fuzzy self-tuning PID speed loop respectively. The target speed of
model is simulated at 2000 r/m, and an additional interference of 100 N*m is set at 0.
1 s. The control system using fuzzy self-tuning PID has advantages of fast speed
feedback and low overshoot. After interference, the tracking accuracy of fuzzy PID is
lower than that of traditional PID due to wide basic domain of deviation E, but tracking
speed of both is within allowable error range.
The control ability of traditional PID speed loop is invariant because of fixed value
of KP and KI. If motor load changes, the output torque will fluctuate greatly. Figure 7
show the output torque of driveline. model based on fuzzy self-tuning PID and tra-
ditional PID in 0-2000 r/m acceleration process and additional interference respec-
tively. Fuzzy self-tuning PID can obviously restrain torque ripple in case of vehicle
load signal mutation. Its peak torque is 142 N*m, which is 17% less than that of
traditional PID controller.
Fig. 6. Speed tracking
Figure 8 is phase current in motor controller. It can be seen that phase current
distortion amplitude is smaller and attenuation is faster based on fuzzy self-tuning PID
in case of control signal mutation at 0. 02 s and 0. 1 s.
FFT analysis is used to analyze the torque output data of system after 0. 1 s. The
torque harmonic frequency on drive shaft is mainly concentrated in 0–100 Hz and
3700–4000 Hz. High frequency harmonic is generated by inverter switching signal in
motor controller, while low frequency harmonic is generated by current distortion in
controller. The output torque of model using fuzzy self-tuning PID is 2. 942 N*m at
40 Hz, which is only 78% of that of traditional PID model.
68 Z. Cao et al.
Fig. 7. Driveline output torque
Fig. 8. Controller phase current based on traditional PID and Fuzzy PID
5 Conclusion
(1) Established simulation model effectively reflects the torsional vibration charac-
teristics of electric vehicle power transmission system and provides a theoretical
basis for further optimization of power output quality of transmission system.
(2) The design of fuzzy self-tuning PID controller can significantly improve speed
feedback and robustness of motor controller, and improve the control performance
of vehicle controller.
(3) The speed loop using fuzzy self-tuning PID can attenuate torque ripple caused by
sudden change of load and control signal, reduce peak torque, and contribute a lot
to solve the problem of torque ripple caused by electrical control.
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Exploring a Sustainable Business Routing
for China’s New Energy Vehicles:
BYD as an Example
Yun Lin1(B) , Jie Li2 , Xingjun Huang1 , Zhen Guo1 , Yi Sun2 ,

and Runzhi Zhang1
1
College of Mechanical Engineering, Chongqing University,
[email protected]
2
School of Automotive Engineering, Chongqing University,
Abstract. The purpose of this paper is to explore the sustainable route

of China’s new energy vehicles with sustainable business model. It is
based upon a case study of the new energy vehicles leader: BYD. In
order to compare the different periods of business model of the exam-
ple, business model canvas and triple layered business model canvas are
proposed. Through the use of case studies drawn from real-world situa-
tions, BYD improve its technology to capture the market, innovate its
business model to break the bottleneck. Other companies should learn
from the merits of BYD’s new energy vehicles development. The origi-
nality of the paper is that we compare the Business model canvas and
Triple layered business model canvas and present a sustainable business
approach, triple layered business model canvas, for new energy vehicle
firms.
Keywords: Sustainability · China’s new energy vehicles

Business model canvas · Triple layered business model canvas
1 Introduction
China is experiencing a rapid growth in new energy vehicles sales since 2000.
Chinese government has issued several policies to encourage the production and
purchase of new energy vehicles, planning to expand the new energy vehicles
industry. However, it seems that private households have difficulties in finding
new energy vehicles offerings sufficiently attractive. Therefore, it indicates busi-
ness model innovations which are important complements to technology innova-
tions should also be explored.
Business model innovation provides a potential way to re-conceptualize the
purpose of the firm and the value creating logic, and rethink perceptions of value.
As suggested by Stubbs and Cocklin [1] Porter and Kramer [2], the assertion is
https://doi.org/10.1007/978-981-13-2381-2_7
Exploring a Sustainable Business Routing for China’s New Energy Vehicles 71
that with careful business model redesign it is possible to more readily integrate
sustainability into their business for mainstream businesses, design and pursuit
sustainable business from the outset for new start-ups. Therefore, setting up a
sustainable business model of China’s new energy vehicles has been emerged as
an important innovation.
This article uses the triple layer business model canvas (TLBMC) which
builds on Osterwalder and Pigneur [3] original business model and allows for the
incorporation of the triple bottom line in the process of business model design
and innovation to communicate sustainable business model innovation of NEVs
in China. Therefore, the study objectives are the following: establish the triple
layer business model canvas on a specific firm, compare the original business
model canvas and TLBMC, sum up the sustainable route for NEVs firms in
China.
2 Methods
The method of this study sought to analysis sustainable business model by col-
lecting existing cases and extracting necessary rules and conditions. We selected
China’s leader companies in the new energy vehicles industry-BYD as the exem-
plar case study. The steps proposed in Fig. 1 are followed below.
Fig. 1. Logic diagram
3 Results
The evolution of BYD’s business model innovation has gone through two stages.
The first stage is the fuel vehicle entering the market stage. The second stage is
the new energy vehicle entering the market stage. As a result of the amount of
information, we here summarize the business model canvas (Fig. 2)at the early
stage and the three layer canvas (Figs. 3, 4 and 5) of BYD’s new energy vehicles
at the current stage.
72 Y. Lin et al.
Fig. 2. The business model canvas of BYD traditional fuel vehicles
Fig. 3. The triple layered business model canvas’s economic layer of BYD NEVs
Fig. 4. The triple layered business model canvas’s environmental layer of BYD NEVs
Fig. 5. The triple layered business model canvas’s social layer of BYD NEVs
3.1 The Previous Fuel Vehicles Business Model
We believe that to describe a business model on economic layer can be done well
by the nine modules, which demonstrate the logic of a company’s searching for
profit.
Customer segments. This module describes the different target groups and agen-
cies a company wants to obtain and expect to serve. At early stage, When BYD
enters the automotive industry, it uses the low-end car to make up for the gap
in the market. The final customer of BYD’s fuel car is the medium and low-end
individual customer.
Value propositions. This module describes the provision of products and ser-
vices that create value for a customer group. BYD insists on the talent as the
fundamental management mode, with the imitation innovation as the technical
path, with low cost and high quality as the competitive advantage.
Channels. This module describes how an organization can communicate and

connect with its client base to convey its value proposition to them. BYD vehicles
are available online and offline. And BYD innovate the new marketing model
“mobile 4 S shop”, which basically ensures the function of the“4S shop”. Because
of its special “mobile” nature, the sales and service will infiltrate to a wider Local.
Customer relationships. This module describes the model of a company’s cus-

tomer relationship established for a particular customer group. BYD establishes
customer-centric development strategy, and establishes a car association to main-
tain customer relations. In addition, BYD provides an online community, set up
Che Youhui for users to exchange knowledge.
Revenue streams. This module represents the cash earnings of an organiza-

tion receives from each customer group. Early sales profit is the main source of
income, gradually began to have a patent using income. BYD based on decom-
position non-patented technology, has been widely used in the form of low cost
high efficiency rapidly to own their own core technology, and apply for patent
technology.
Key resources. This module describes the most important assets needed to
ensure the smooth running of a business model. BYD implements humanis-
tic management. In addition, BYD attaches great importance to technological
innovation and has initiated “imitation innovation”.
Key activities. This module describes the most important things that need to be
done to keep your business model up and running. The main business includes the
production of traditional fuel vehicles and related parts. BYD also improves the
convenience and efficiency of automobile manufacturing by vertically integrating
vertical supply chains while effectively reducing manufacturing costs.
74 Y. Lin et al.
Key partnerships. This module describes the network of suppliers and partners
needed to keep a business model running smoothly. BYD’s alliance with core
suppliers to weaken the bargaining ability of suppliers. Safeguarding the rights
and interests of investors has been a priority for BYD since its listing.
Cost structure. This module describes the full cost of running a business model.
The costs of BYD are mainly by research and development costs, manufacturing
costs, labor costs.
3.2 The New Energy Vehicles Business Model
The Business Model of BYD’s New Energy Vehicles Based on

Economic Layer. A sustainable business model on economic layer is based
on the business model canvas. The TLBMC elements of the economic layer are
used to describe the sustainable business model of BYD new energy vehicles.
Customer segments. BYD propose “bus electrification” strategy first to replace

the traditional vehicles with new energy vehicle, and making bold innovations
in the business model. Currently BYD’s new energy vehicle products cover
seven conventional fields including private vehicles, taxis, buses, coaches, logis-
tics trucks, urban sanitation trucks, and construction trucks. What’s more, the
governments are also its target customers.
Value propositions. BYD always adheres to the “Technology-Based and

Innovation-oriented” development philosophy. Currently BYD has established
the Central Research Institute, the Auto Engineering Research Institute, the
Electric Power Research Institute, the Truck and Special Vehicle Research Insti-
tute and the Light Rail Transit Research Institute, and has a total of approxi-
mately 20,000 sophisticated technical experts in hardware, software and testing.
Channels. BYD NEVs are still mainly sold through distributors. As the current
company’s new energy vehicle product categories are not yet abundant, BYD
now uses BYD’s traditional car sales channels.
Customer relationships. As in the early days, BYD provides an online commu-

nity, set up Che Youhui for users. BYD also invested large sums of money each
year for the club’s integral reward program and riders’ activities in all regions.
Collaborate with customers to meet customer needs.
Revenue streams. The revenue of BYD new energy vehicles mainly come from
two sides, one is sales revenue, the other is government subsides. The government
provides strategic support to the NEVs industry through tariffs, subsidies and
tax incentives. However, royalties are also part of the revenue streams.
Key resources. Based on the knowledge reserve of imitative innovation, BYD

eventually leads to the path of independent innovation. As of 31 December
2016, BYD has accumulatively applied for 15,772 patents in China and 3,272
patents overseas. What’s more, BYD adheres to the “people-oriented” principle
in its human resources management, encourages employees to achieve technical
innovation.
Key activities. BYD adhere to its own brand, independent research and develop-
ment (R & D), with a complete industrial chain from R & D and design to create
vehicles. The production of vehicles is still one of the key activities of BYD. With
the development of new energy vehicles, battery production has become a major
part of the new energy vehicle business.
Key partnerships. BYD seek to form a closed cycle for the suppliers’ life cycle
management and create an efficient, collaborative, win-win supply chain plat-
form, and collaborate with customers to meet customer needs. What’s more,
BYD join research and technical cooperation with research institutions or aca-
demics. The government’s subsidies and support for new energy vehicles have
made BYD a partnership with the government.
Cost structure. Same as in the early days, the costs of BYD are mainly by
research and development costs, manufacturing costs, labor costs. However, BYD
invested more money to research and development design for new energy vehicles.
The Business Model of BYD’s New Energy Vehicles Based on Envi-

ronmental Layer. The environmental layer of the TLBMC builds on the life
cycle perspective of environmental impact. The primary objective of the envi-
ronmental layer of the TLBMC is to assess how the organization generates more
environmental benefits than environmental impacts. BYD’s first electric car, E6,
was used as a research representative for data analysis.
Functional value. The functional value describes the focal outputs of a service
(or product) of the organization being reviewed [4]. It simulates the functional
unit in a life cycle assessment, which is a quantitative description of the service
performance of the product system being investigated [5]. In this paper, the
evaluation of the functional unit is a car driving 600,000 km. New energy vehicles
throughout the life cycle of energy consumption and the main air pollutant
emissions, including CO2 , NOx , SOx , CO, VOC, CH4 [6].
Value propositions. BYD always adheres to the “Technology-Based and

Innovation-oriented” development philosophy. Currently BYD has established
the Central Research Institute, the Auto Engineering Research Institute, the
Electric Power Research Institute, the Truck and Special Vehicle Research Insti-
tute and the Light Rail Transit Research Institute, and has a total of approxi-
mately 20,000 sophisticated technical experts in hardware, software and testing,
76 Y. Lin et al.
who are engaged in the research and development in the areas of new materials,
automobile, new energy and rail transit and actively promote the progress of the
industry.
Materials. In the manufacturing process of the body material, 11 kinds of mate-

rials such as steel, iron, aluminum, copper, magnesium, glass, plastic, rubber,
carbon fiber, nickel and platinum are considered. Assuming all steel are ordinary
steel, all aluminum alloy is ordinary aluminum, copper, rubber, plastic and glass
are regardless of model and species.
Production. The production component captures the actions that the organi-
zation takes to create value [4]. Using the GREET paint production, vehicle
painting, vehicle assembly energy consumption, battery production energy con-
sumption and emissions data, the total energy consumption of the automobile
manufacturing stage are calculated synthetically. For BYD E6, 16.2 million KJ
of energy consumption are produced during the car’s manufacturing phase.
Supplies and out-sourcing. Supplies and out-sourcing represent all the other
various material and production activities that are necessary for the organization
to be functional, but not “core” [4]. For BYD E6, in the available data of the
vehicle manufacturer, most of the impacts of supplies and outsourcing such as
machines and energy were included in the use phase.
Distribution. Thus within the environmental layer, it is the combination of the

transportation modes, the distances traveled and the weights of what is shipped
which is to be considered. For BYD E6, distribution involves the shipment and
packing of parts. In this paper, considering energy consumption and major air
pollutant emissions in the manufacture, use and decommissioning phases of new
energy vehicles, while consider the influence of the transportation process, mainly
from the suppliers to the manufacturer, from the assembly line to the dealer, and
from the consumers to the auto scrap yard [7].
Use phase. According to the “Mandatory Vehicle Scrapping Standards”, the car
travel 600,000 km that is scrapped standards, it is assumed that the car life cycle
mileage of 60 million km, regardless of the length of time. For BYD E6, the use
phase consists of two elements, electricity production and vehicle driving. The
use phase generates 13.6 billion KJ of energy consumption, 97.4 million grams
of CO2 ,19.1 thousand grams of CO,48.1 thousand grams of SOx ,57.2 thousand
grams of NOx ,157 thousand grams of dust,125 thousand grams of CH4 , and 8.33
thousand grams of VOC.
End-of-life. When the new energy vehicles reach the retirement age, some of the
materials can be recycled after dismantling. Due to the lack of standard of car
scrapping in China, the data of disassembly energy consumption is poor, so the
data of GREET model is adopted that apart a 1360 kg of small passenger car
required 1,476,090 KJ of energy consumption, dismantling a 2,098 kg of BYD
E6 required 2,277,085 KJ of energy consumption.
Environmental impacts. The environmental impacts components extend the

organizational impacts to include the organization’s ecological costs [4]. For BYD
E6, its environmental impacts can point to its largest contributor, the use stage
with 13.6 billion KJ of energy consumption.
Environmental benefits. Environmental benefits refer to the amount of conven-

tional pollutants and CO2 emissions that can be reduced in the life cycle using
alternatives. Compared to traditional fuel-powered vehicles, a unit of E6 can
save fuel consumption by 14,120 litres, and reduce carbon dioxide emissions by
32 tons, sulfur dioxide emissions by 0.62 tons and nitrogen oxide emissions by
0.18 tons each year.
The Business Model of China’s New Energy Vehicles Based on Social

Layer. A key social aspect of TLBMC is to extend the original business model
canvas through a stakeholder approach to both capture the interplay between
stakeholders and the organization [4].
Social value. Social value reflects the aspect of an organization’s mission, and
its focus is more broadly to create benefits for stakeholders and society [4]. BYD
strives to enhance the interest of government, shareholders, customers, employ-
ees, suppliers, partners and other stakeholders through innovative technology,
products and management and sound commercial operation, seeking to earn the
trust and respect of all stakeholders.
Employee. The employees’ component provides a space to consider the role of

employees as stakeholders in the core organization. BYD advocates “human-
nurturing before goods-building” and emphases staff development. The quality
and skills of staff are enhanced through training.
Governance. The governance component captures the organizational structure

and decision strategy of an organization. The board convenes general meetings
regularly and reports its recent work, supervises the overall operation and strate-
gic development, and makes decision on the company’s operation direction and
investment plans; establish and complete a modern and standard organizational
structure and enhance the efficiency and quality of investment decisions.
Communities. Economic relationships are built with business partners, while

establishing social relationships with suppliers and local communities. BYD will
train suppliers, in addition, BYD will organize seminars, join research projects
and technical cooperation with research institutes. Not only cooperate with gov-
ernment, but also participate in community projects and non-governmental orga-
nizations meetings with non-governmental organizations and communities.
Social culture. The societal culture component recognizes the potential impact
of an organization on society as a whole. BYD’s strong corporate environmen-
tal and social responsibility and contribution to industrial development can be
interpreted as a culture of accountability.
78 Y. Lin et al.
Scale of outreach. Scale of the outreach describes the depth and breadth of the
organization’s relationship with stakeholders over time. The global footprint of
BYD new energy vehicles covers 190 cities in 43 countries and regions until
February 29, 2016.
End-users. The end user is the “consumer” value proposition. For BYD, the
end-user often happens to be the taxis, buses, coaches operators, government
business, logistics, storage and transportation and other special areas of users,
and low-end individual users. In the social canvas, BYD seeks to provide value
by meeting the user’s need in terms of energy saving and battery life mileage.
Social impacts. The social impacts partly solve the social cost of the organiza-
tion. The development BYD new energy vehicles may impact on the relationship
with the traditional automobile suppliers. Part of the traditional automobile sup-
pliers is facing transition with the popularization of new energy vehicles.
Social benefits. Social benefits are the active social value creating aspects of the
organization’s action. BYD advocates “creation made man first” concept, pay
attention to the cultivation of the employees, to improve the quality and skills
of the staff.
4 Comparison and Discussion

4.1 Comparison of the Results
As shown in Fig. 6, the final results of the business models differ in various
ways. Comparing to BYD fuel vehicles business model, the sustainable business
model of new energy vehicles considers the environmental and social factor. The
environmental layer supports the identification of opportunities to prevent pol-
lution and reduce resource consumption through systematic analyses [5]. Based
on the relationships of the stakeholders, the social layer stronger social bene-
fits through the impact of strategic decision-making. Therefore, the sustainable
business model provides three different interpretations. Furthermore, business
strategies differ at different stages.
In contrast to the BMC of BYD fuel vehicles, where the customers are indi-
vidual users, in the TLBMC of BYD new energy vehicles the combination of the
mass market and public sector represent the impact of different actors on the
business model. In addition, the use phase on the environmental layer includes
some consideration of the client’s material resource and energy saving though
use. End user is the person in terms of energy saving and battery life mileage at
present stage.
BYD, after imitative innovation, will eventually be able to move toward
independent innovation. BYD has established three research and development
systems: Shenzhen Academia Sinica, Electric Power Research Institute and
Automotive Engineering Research Institute. For sustainable business model of
BYD NEVs, energy for process and machine production support the organi-
zation competitive advantage within the environmental layer. Similar to this,
non-governmental organizations and communities are also considered for social
value. Therefore, the sustainable business model of BYD NEVs not only consider
“core” to the organization but also non-core to support the organization’s value
creation.
Fig. 6. Comparison of business model at different stages
4.2 Sustainability Implications of Case
The research has shown how BYD concretely put in place different business
strategies at different stages. The case confirms that the correctness of the cur-
rent sustainable business model to implement the sustainable development goals.
The case study demonstrates the applicability of the sustainable business
model on the new energy vehicles, involving economic value, ecological value
and social value. It also enables the other new energy vehicle firms to establish
their business model in an effective and efficient way.
With the unprecedented speed at which customers’ needs and behaviors are
changing, a company’s ability to rapidly adapt or generate innovative business
models is critical to success. At present, new energy vehicles in the promotion
period. The new energy vehicle firms should innovative ecological environment.
Besides, the case confirms that the sustainable business model is valuable
for new energy vehicles firms. Analyzing the sustainable business model of new
energy vehicles should emphasize adding value while reducing costs, reducing
environmental pollution and increasing social benefits.
5 Conclusion
The objective of this paper is to analysis the China’s new energy vehicles sus-
tainable business model with the triple layered business model canvas. The case
study confirms that the sustainable business model is valuable for new energy
vehicles, and suggest that new energy vehicle firms should improve technology to
80 Y. Lin et al.
capture the market, reduce the pollution and increase social benefits. The case
study demonstrates the importance of innovation in order to find the suitable
way of the new energy vehicles in particular period. What’s more, the application
of the TLBMC, a sustainable business model approach, in the case study demon-
strate its applicability and efficacy. In contrast to BMC, the TLMBC offers a
sustainable perspective on business model.
Acknowledgements. This work was supported in part by the National Social Science
Fund of China (Grant No. 18BJY066), Fundamental Research Funds for the Central
Universities (Grant No. 106112016CDJXZ338825), Chongqing key industrial generic
key technological innovation projects (Grant No. cstc2015zdcy-ztzx60009), Chongqing
Science and Technology Research Program (Grant No. cstc2015yykfC60002).
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Large-Scale Electric Vehicle Energy Demand
Considering Weather Conditions and Onboard
Technology
Simin Luo1, Yan Tian1, Wei Zheng2, Xiaoheng Zhang3,

Jingxia Zhang3, and Bowen Zhou3(&)
1
Guangzhou Power Supply Bureau, Guangzhou 440100
Guangdong Province, China
[email protected], [email protected]
2
State Grid Huludao Electric Power Supply Company, Huludao 125000,
Liaoning Province, China
[email protected]
3
College of Information Science and Engineering, Northeastern University,
Shengyang 110819, Liaoning Province, China
[email protected], [email protected],
[email protected]
Abstract. Accurate knowledge of the state-of-charge (SOC) parameter esti-

mated for electric vehicle (EV) batteries is of particular importance when cal-
culating the EV energy demand. Many factors and methods have been proposed
for SOC estimation. However, often methods focus on the battery itself rather
than customer usage and related factors. This paper proposes a EV energy
demand estimation method based on SOC, where onboard power electronics and
weather conditions are considered. A practical mathematical model is proposed
for large-scale EV provision in which a correction factor is included for cal-
culation of actual maximum range. Typical values from real EVs and statistics
are used to exemplify the model in a case study. The results presented in the
paper indicate that with inclusion of weather factors and use of onboard tech-
nology, electricity consumption is greater and consequently the actual range of
an EV is shortened and the EV energy demand is quantitatively increased.
Keywords: Electric Vehicle (EV) State-of-Charge (SOC) Energy demand

Weather condition Onboard technology
1 Introduction
The state-of-charge (SOC) battery parameter provides a measured equivalent of the

conventional fuel gauge for a battery electric vehicle (BEV) or plug-in hybrid electric
vehicle (PHEV). The SOC indicates availability of the electric vehicle (EV) and helps
customers manage their journeys, in much the same way as assessment of fuel in the tank.
The remained SOC, also regarded as the initial SOC before charging, is one of the most
important factors to determine the charging and discharging behavior of EVs. Many
methods have been used to determine SOC since it cannot be measured directly [1].

https://doi.org/10.1007/978-981-13-2381-2_8
82 S. Luo et al.
These methods can be grouped into three categories: electrochemistry-based, electric-

based and a practical approach.
The electrochemistry- and electric-based methods can be considered as detailed
approaches, meaning that several factors relating to battery chemistry and character-
istics are considered. Electrochemistry methods [2–4] consider factors such as the types
of electrolytes and electrodes, current density, ion concentration, and energy density.
Electric-based methods [2–7] include battery parameters such as external voltage,
current, temperature and efficiency. In both instances, SOC estimation is model-based
requiring multiple inputs with a single (SOC) output.
Several other methods using, for example, the Thevenin Theorem [2], Neural
Networks [5], Integral (Coulomb Counting Method) [6] and Kalman Filter [5, 7] are
adopted for modelling.
In a practical approach, only the travel distance is considered [8, 9]. Thus, if SOC is
assumed to drop linearly with distance, then after one day travel, SOC is reduced by
ð1 d=dR Þ, where dR is the maximum range of the EV and d is the daily travel
distance. A practical approach is considered a feasible basis for EV charging and
discharging management in terms of sustainable power system operation and vehicle-
to-grid (V2G) provision, since the number of factors – used in a more detailed method –
is significantly reduced, thereby lessening the computational burden required for large-
scale EV provision: a practical method need only consider the stochastic and inter-
mittent characteristics of EVs, which includes the start charging time and initial SOC.
Moreover, detailed approaches are usually adopted for individual EV SOC estimation.
With large-scale EV integration, the accuracy and computational efficiency of detailed
approaches require careful implementation, which may result in errors and time delays
in a real-time context.
At present, EVs are characterized by: the maximum range (mi) and battery capacity
(kWh); both are considered in Table 1. The maximum range is usually evaluated by
practical testing, however onboard power electronics, device energy needs and weather
conditions can impact energy consumption.
Table 1. Maximum range and battery size of EV

Max range (mi) Battery size (kWh)
Tesla Model S 300 85
Nissan Leaf 100 24
BMW i3 100 19
Mitsubishi i-MiEV 100 16
Ford Focus 100 23
Honda Fit 124 20
Volkswagen e-Golf 94 26.5
BYD e6 188 57
BYD Qin 125 35
DFM Venucia e30 109 24
Data from websites
Large-Scale Electric Vehicle Energy Demand 83
It is apparent that onboard technology, such as air conditioning and entertainment

devices, is often used to render a journey more flexible and pleasant. Usage of these
electrical devices can dramatically reduce battery charge levels during travelling [10].
However, the mathematical impact is not clarified. Weather has previously been
considered for renewable energy sources [11–13] and traditional vehicles [14], how-
ever limited work to date has discussed the impact of weather on EV SOC estimation.
Leahy and Foley [14] provide a simple model which encompasses weather conditions
however this has been discussed theoretically with no clear expression in a model.
Jayaweera and Islam [15] have considered weather conditions in PHEV charging and
discharging modelling, by arranging them in three categories: normal, moderate and
severe. The weather categories are generated from a Gaussian distribution, but do not
relate to actual and prevailing weather conditions. Wu et al. [16] explore the rela-
tionship between the driver’s choice of “in-city routes” and local weather. The weather
conditions are classified as clear, partly cloudy, cloudy, and rain. The data obtained is
from real statistics but there is only one vehicle and the trips are only daily commutes.
Several other papers [17–19] evaluate battery performance under different temperature
conditions.
Therefore, it can be summarized from published work to date: (1) the use of
onboard electronic devices and weather conditions are seldom considered; and
(2) weather conditions are usually considered theoretically or ideally, which provides
uncertainty.
This paper quantizes the impact of weather conditions and onboard consumption
and estimates large-scale EV energy demand. A practical approach is adopted to
determine the initial SOC after one day travel to indirectly estimate the energy demand.
This paper is organized as follows: Sect. 2 discusses the quantization of weather
conditions and onboard technology. Section 3 provides a mathematical expression for
SOC, in which a maximum range is obtained. The probability density function
(PDF) of initial SOC after one day travel is determined and typical values of
influencing factors are presented. Finally, a case study is included in Sect. 4.
2 Quantization of Weather Conditions and Onboard

Technology
2.1 Onboard Technology
In a conventional vehicle, onboard technology is powered by the vehicle battery, which
is concurrently charged by the diesel or petrol fueled engine. In EVs however, all
energy is supplied by the vehicle battery, including all system electronics, air condi-
tioning, navigation aids and lights. Typical power requirements of various onboard
electronic devices are listed in Table 2.
The total power consumed by electronic devices is expressed as,
Pele ¼ gAC PAC þ gCD PCD þ gNav PNav þ gScr PScr þ gILi PILi þ gELi PELi ð1Þ
84 S. Luo et al.
Table 2. Power levels of typical onboard electronic devices

Symbol Power (kW)
Air conditioning PAC 3–5
CD player/Radio PCD 0.03–0.1
Navigator PNav 0.02–0.2
Screen PScr 0.05–0.2
Internal lights PILi >0.01
External lights PELi 0.01–0.05
Data from websites
where g is the usage percentage of each device. The usage percentages can be obtained
from statistics or real-time records.
2.2 Weather Conditions

It is apparent that people are more likely to use a car during rain or low temperatures
[14]. Based on statistics and reasonable assumptions, day-ahead EV employment can
be predicted using accurate weather forecasting, from which EV SOC after one day
travel and EV capacity can be obtained.
In published work two parameters are frequently used to describe the probabilistic
feature of EVs: the number of trips per day n; and the average travel distance per trip dt .
It is obvious that the daily travel distance d is the product of n and dt . The probability
density functions (PDF) of n and dt are Fn and Fdt . However, there are two challenges
in the application of Fn and Fdt :
(1) n and dt are usually not independent variables under different weather conditions.
When it is raining, people are more likely to travel by cars and public transport
rather than bicycle, which leads to an increase in both n and dt [14];
(2) There is lack of statistical data for n and dt under different weather conditions.
There is also little statistical data for d as well, but reasonable assumptions are
made in the following discussions and case study.
Therefore, two parameters are proposed to describe weather under seven different
conditions: (1) daily travel distance d and (2) daily average travel speed va . The PDF
for d is periodic for weekdays and the weekend, as a consequence of the different trips.
d is provided by the PDF as shown in Fig. 1, which is described as [8]
1
gðd; l; rÞ ¼ pffiffiffiffiffiffi eðln dlÞ =2r
2 2
ð2Þ
d 2pr
where l is the loge mean and r is the standard deviation of the corresponding daily
travel distance probability density distribution, d [ 0.
Weather conditions include temperature, precipitation and wind. Typical values
from UK statistics of these factors are listed in Table 3 [20]. Reasonable assumptions
[21, 22] have been made due to lack of statistical data for some weather conditions.
Fig. 1. PDF of daily travel distance
Table 3. Typical values of weather factor

va (mi/h) l r
Normal day 18.42 3.20 0.6528
Low temperature 16.78 3.35 0.6499
High temperature 19.09 2.99 0.6584
Light precipitation 18.01 3.26 0.6523
Heavy precipitation 15.64 3.35 0.6499
Soft wind 18.15 3.22 0.6517
Strong wind 17.52 3.34 0.6505
l and r are not only affected by weather conditions but also by the statistical
uncertainty. For example in 2008, the average (per annum) travel distance of private
cars in Ireland was 16,376 km: in Dublin (capital city) travel distance was 12,886 km,
while in more rural areas of the country, 17,241 km was the average travel [14]. Due to
a lack of available statistical data, this paper has used published national statistical data
for this case study.
3 A Customer-Based EV SOC Estimation Method
3.1 Mathematical Model

In this proposed method, a practical approach has been adopted in which it is not
necessary to include the more extensive parameter set of detailed models. A practical
consideration minimises computational burden (minimal parameterization), but
importantly, provides a scalable solution in terms of large-scale EV integration and the
necessity to develop information rapidly to reduce potential impacts on power system
infrastructure through EV connection. Assuming that the capacity of EV battery packs
is EB , the SOC is estimated as,
86 S. Luo et al.
SOC ¼ ðEB Ptot d=va Þ=EB ¼ 1 ðPtra þ Pele Þ d=ðva EB Þ

¼ 1 ½EB =ðdR =va Þ þ Pele d=ðva EB Þ ¼ 1 ðEB =dR þ Pele =va Þ d=EB ð3Þ
¼ 1 ð1=dR þ Pele =va EB Þ d ¼ 1 d=dRR
where dRR is the actual maximum range and dRR ¼ 1=ð1=dR þ Pele =va EB Þ; Ptra is the
average power consumption for traction; Pele =va EB is the correction factor with respect
to customer-based factors. EB =dR is the energy consumption of an EV travelling per
unit distance; Pele =va is the energy consumption of onboard technology and electronic
devices per unit distance; 1=dR is the SOC consumption of the EV travelling per unit
distance; Pele =va EB is also the SOC consumption of onboard technology and electronic
devices per unit distance. In (3) the power loss is neglected and Ptra is assumed to be
linear negative proportional to time.
3.2 Analysis of the Proposed Method

It is obvious that the longest possible travel distance for an EV is in the best interests of
the user. However, while raw figures of available distance provide one measure of
confidence for vehicle range, a more reliable basis for any confidence is accurate
knowledge of battery capacity (cf. fuel remaining in the tank). Furthermore, accurate
monitoring of onboard unit consumption can limit battery drain by load reduction or
periodic connection. Thus, the problem can be considered as the minimization of the
energy consumption (of onboard technology and electronic devices). The ratio of
energy consumption of electronic devices with EV travelling is
e ¼ ðPele dR Þ=ðva EB Þ ð4Þ
For a certain EV, Pele is determined by statistics; dR and EB are determined by

battery pack parameters; the other variable is daily average travel speed va . From (4) it
can be determined that with a higher average travel speed, the ratio is smaller. Thus,
taking into account (1), with less consumption, the ratio is smaller.
There are three variables in (3) which are Pele , va and d, hence partial differentiation
with respect to each variable renders,
@SOC=@Pele ¼ d=va EB ð5aÞ

@SOC=@va ¼ Pele d v2a EB ð5bÞ
@SOC=@d ¼ ð1=dR þ Pele =ðva EB ÞÞ ð5cÞ
Since all the parameters in (5a–5c) are positive, @SOC=@Pele \0, @SOC=@va [ 0,
and @SOC=@d\0.
Therefore, as a brief conclusion, when onboard technology and device consumption
is less, the daily average travel speed is higher and the daily travel distance is shorter.
The longer the trip lasts, the longer the duration of power consumption by electrical
loads, thus the higher the required energy by the electrical devices. In this work, it is
assumed that the energy consumption by traction is independent on the vehicle’s speed
within the range given in Table 3. In comparison to raw estimates of travel distance,
often based on vehicle manufacturer’s specifications and published statistical data (e.g.,
Table 1) the effective travel distance of an EV will be shortened. It should also be
noticed that battery degradation, which can influence battery capacity EB , has not been
included in this study, but its inclusion will be the subject of future work.
3.3 PDF of Initial SOC After One Day Travel

Taking (3) into (2), it can be derived that,
1
hðSOC; l; rÞ ¼ pffiffiffiffiffiffi
dRR ð1
n SOCÞ 2pr . o
exp ½lnð1 SOCÞ þ lnðdRR Þ l2 2r2 ð6Þ
The combined impact of multiple EV charging and/or discharging in a certain time

interval at a certain power level can be modelled by (6) to provide a cumulative profile
[23]. Time intervals and power levels can be determined by default values and the
number of EVs calculated by optimization functions with certain objects considered.
Partial differentiation of (6) with respect to l, r, and dRR are given in (7a–7c)
below,
@h lnð1 SOCÞ þ lnðdRR Þ l lnðd Þ lnðdm Þ

¼h ¼h ð7aÞ
@l r2 r2
( ) ( )
@h 1 ½lnð1 SOCÞ þ lnðdRR Þ l2 1 ½lnðd Þ lnðdm Þ2
¼h 1 ¼h 1
@r r r2 r r2
ð7bÞ

@h 1 lnð1 SOCÞ þ lnðdRR Þ l
¼h 1
@dRR dRR r2
1 lnðd Þ lnðdm Þ
¼h 1 ð7cÞ
dRR r2
where dm is the mean distance. Discussions of the influences of l, r, and dRR on h are
given in Table 4.
From Table 4 it can be determined that the PDF of battery SOC after one day travel
is strongly affected by the parameters of this model as well as the initial SOC. Based on
previous researches, the probabilities are calculated as the sum of the products of h and
the number of EVs. However, the number of EVs is obtained by an optimization
solution [25]. Moreover, the above parameters are usually calculated from statistics or
defaults.
88 S. Luo et al.
Table 4. Influences of the parameters in PDF

Conditions Partial differential Parameters changes PDF changes
d\dm @h=@l\0 l" h#
d [ dm @h=@l [ 0 l" h"
d=dm \er or d=dm [ er @h=@r [ 0 r" h"
er \d=dm \er @h=@r\0 r" h#
d=dm \er
2
@h=@dRR \0 dRR " h#
d=dm [ er
2
@h=@dRR [ 0 dRR " h"
" and # mean increasing and decreasing respectively.
4 Case Study
In this case study, a maximum travel distance of approximately 80 miles is assumed for
EVs with a typical 25 kWh lithium-ion battery [24]. Thus, dR ¼ 80 mi and
EB ¼ 25 kWh. Three cases are considered as follows:
(1) Case I: Normal day without usage of onboard technology or electronic devices;
(2) Case II: Normal day with limited use of onboard technology and devices;
(3) Case III: 10% usage of onboard technology and devices under different weather
conditions as follows: III-A: Low temperature; III-B: High temperature; III-C:
Light precipitation; III-D: Heavy precipitation; III-E: Soft wind; III-F: Strong wind;
4.1 Case I
In this case, dRR ¼ dR ¼ 80, Pele ¼ 0. The PDF of initial SOC after one day travel is
shown in Fig. 2(a).
(a) (b)
Fig. 2. (a) PDF of initial SOC in normal day, (b) PDF of initial SOC in normal day with
onboard electronic devices in use
Figure 2 can be regarded as an SOC-axis reflection of Fig. 1 since it is simply

calculated by 1 d=dR . Figure 2 also demonstrates the discussion on (5c).
4.2 Case II
In this case, the power levels in Table 2 were set as moderate values. Thus, Pele ¼ 4:28
if g is assumed to be 100% for different devices. Then, dRR ¼ 45:88. The PDF of initial
SOC after one day travel is shown in Fig. 2(b).
From Fig. 2(b) it can be seen that there is a slight curtailment when the SOC is
small. The curtailment indicates that use of onboard technology and devices could
significantly reduce the EV maximum range.
Figure 3 provides the trend of maximum ranges with the change of device usage,
demonstrating the discussion in (5a). It is apparent that air conditioning consumes the
greatest energy, if used throughout a trip; hence the vehicle distance is reduced to 60%
of effective range. Other onboard devices, in comparison, have less impact on con-
sumption rendering 4.6% reduction in vehicle range. Therefore minimizing the use of
air conditioning in particular will limit the reduction of actual EV range.
Fig. 3. Maximum range with device usage
4.3 Case III

Substituting the values in Table 3 into (3), (4) and (6), the PDFs of initial SOC under
different weather conditions are obtained in Fig. 4.
Fig. 4. PDFs under different weather conditions

90 S. Luo et al.
Fig. 5. Maximum ranges under different Fig. 6. Daily EV energy demand

weather conditions
Cases III-A, D and F have similar performances since the parameters do not vary
significantly. In terms of actual weather conditions, it means that the travel patterns
under low temperature, heavy precipitation and strong wind are similar. There are
slight curtailments when the SOC is small, which can barely be seen from this figure. It
will be illustrated in Fig. 5.
During light precipitation (Case III-C) and soft wind (Case III-E), the PDFs are
close to the PDF in normal day due to similar travel patterns.
Case III-B shows that during high temperature there will be more capacity left in
the EV battery based on the data in Table 3, meaning that people are more likely to use
other transport to substitute EVs, which has the same conclusion in [14].
Figure 4 demonstrates the discussion in Table 4. The integrals of each curve in
Fig. 4 are able to show the EV employment under various weather conditions. For
example, the integral of Case III-B from 0% to 80% is smaller than that of Case III-A.
It means that the initial SOC is higher when the temperature is higher, which also
indicates that there is less EV use.
It should be noted that the different percentages of onboard technology and elec-
tronic device use are not related to different weather conditions in this case due to a lack
of statistical data.
Figure 5 provides the maximum ranges under different weather conditions. Based
on the data in Table 3, the cases are ordered with the increase of va also demonstrating
the discussion in (5b), such that the effective travel distance rises with the increase of
daily average travel speed.
4.4 Impact on EV Daily Energy Demand

The daily energy demand under different weather conditions with different levels of
onboard technology and devices usage (0%–100%) is shown in Fig. 6. UK 2020 EV
scale is considered [25].
From Fig. 6 it can be seen that EV energy demand increases with use of onboard
technology and devices. In comparison with Fig. 6 it can be concluded that shorter
effective range results in higher energy demand. Furthermore, both onboard technology
and weather conditions influence EV daily demand, which consequently affect EV
optimal charging and discharging [23].
5 Conclusions
The EV is considered a viable solution to offset excess consumption of fossil fuels for
human transport. Many global countries are actively encouraging large-scale EV
provision, though the most significant user concern is the actual range of commercial
EVs. This paper connects the EV battery SOC with daily travel distance and estimates
the EV energy demand by including customer-based factors, such as the level of
onboard technology, electronic devices and prevailing weather conditions. The PDF of
the initial battery SOC and actual maximum range of EV can be obtained. A correction
factor is used in the SOC estimation method to include onboard energy consumption.
Typical values of the parameters for PDFs under various weather conditions are given
based on published statistics and basic assumptions of use. Moreover, the influence of
basic onboard consumption patterns has also been analyzed.
The PDFs of the SOC under various weather conditions and the influences of
customer-based consumption on EV maximum range have been exemplified in a case
study. The results quantitatively show that with inclusion of onboard consumption, the
actual travel range of an EV is reduced. Air conditioning in particular is a dominant
onboard consumer and its use may reduce the maximum practical range to 60% of
projected distance. Thus, minimizing air conditioning usage can extend the actual EV
range. This paper has also established that a reduction in the use of onboard electronic
devices, higher daily average travel speed, and a shorter daily travel distance will result
in a higher (initial) SOC, thus providing a greater range thereafter.
The PDFs under low temperature, heavy precipitation and strong wind are similar,
and the PDFs under light precipitation and soft wind are close to the PDF in a normal
day. This is because the travel patterns under these weather conditions are similar.
Furthermore, other transport is likely to be used to substitute EVs when outside tem-
peratures are hot.
Both onboard technology and weather conditions influence EV daily energy
demand. EV energy demand increases with use of onboard technology and devices.
A shorter effective range results in higher energy demand.
Acknowledgments. This paper was supported by the National Natural Science Foundation of
China (61703081), and Natural Science Foundation of Liaoning Province (20170520113).
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Siting and Sizing of Distributed Generation
and Electric Vehicle Charging Station
Under Active Management Mode
Weilu Shan ✉ , Xue Li ✉ , and Dajun Du

( ) ( )
Shanghai Key Laboratory of Power Station Automation Technology, Shanghai University,

Abstract. This paper is concerned with bi-level joint planning model of distrib‐
uted generation (DG) and electric vehicle charging station (EVCS) siting and
sizing under active management (AM) mode. Firstly, the joint planning model
including DG and EVCS is established by taking the lowest annual comprehen‐
sive cost as the upper level objective. Then, the lower level model optimizes DG
output curtailment by taking the uncertainty of load, EVCS charging load, and
the intermittent DG output of wind farm and photovoltaic generator into account.
According to the bidirectional interaction of upper and lower levels, the bi-level
planning model is optimized by biogeography-based optimization (BBO) and
primal-dual interior point method (PDIPM) respectively. Finally, simulation is
operated on the revised IEEE-33 nodes distribution network, and simulation
results show that the joint planning of DG and EVCS can obtain better planning
scheme.
Keywords: Distributed generation (DG)

Electric vehicle charging station (EVCS)
Biogeography-based optimization (BBO) · Joint bi-level planning
1 Introduction
With the rapid development of the energy market and increasing attention to environ‐
mental protection, distributed generation (DG) and electric vehicle (EV) with clean
advantages are playing an increasingly key role in the distribution network, which is the
development trend of the power industry [1, 2]. A large number of DG and EV are
accessed to distribution network, which present a severe challenge to the existing passive
management model. Consequently, active management (AM) mode is proposed, where
DGs and electric vehicle charging station (EVCS) are treated as part of the distribution
network. However, it is necessary to study the joint optimal planning of DG and EVCS
under AM mode.
Some research works have been proposed to the siting and sizing of DG and EVCS
in the active distribution network (ADN). Considering the uncertainty of intermittent
DWG, optimal planning of batteries in the ADN is presented, and the model is solved
by a hybrid tabu search/particle swarm optimization (TS/PSO) algorithm [3]. It is

https://doi.org/10.1007/978-981-13-2381-2_9
Siting and Sizing of Distributed Generation and Electric Vehicle 95
assumed that DG can provide the critical loads of the distribution system by reallocating
after some accident, and a hierarchical approach is proposed to assess the impact of
changing of the distribution system in power system risk assessment [4]. The siting and
sizing model of EVCS is established by taking lowest annual comprehensive cost as the
objective considering the service radius of EVCS and environmental factors [5]. A cost-
effective model is proposed to optimal the siting of EVCS, which can provide the best
returns on investment while also meeting critical service requirements [6]. However,
these studies are not concerned with the joint planning of DG and EVCS.
To solve these problems, a bi-level joint planning model of DG and EVCS siting
and sizing under AM mode is established by taking the uncertainties of EVCS charging
load, wind turbine generator (WTG), photovoltaic generator (PVG) and load into
account. The upper planning aims at DG and EVCS joint planning with the goal of
minimizing annual comprehensive cost, and the lower planning optimizes DG output
curtailment. Furthermore, the upper and lower models are solved by biogeography-
based optimization (BBO) and primal-dual interior point method (PDIPM), respectively.
The rest of this paper is organized as follows: the models of EVCS charging load,
WTG, PVG, and load are given in Sect. 2. Section 3 presents the bi-level joint planning
model and solution method for siting and sizing of DG and EVCS. Simulations are given
in Sect. 4, following the conclusion in Sect. 5.
2 Modeling of EVCS Charging Load, WTG/PVG and Load
To describe the uncertainty of EVCS charging load, WTG, PVG and load, this paper
divides 24 h a day into 24-time intervals for the accurate description of the input random
variable and uses different models to describe the random variables.
2.1 EVCS Charging Load Model
According to the relevant experimental research, the charging and discharging power
of EV can be approximately obeyed normal distribution [7], and the charge and discharge
power can be expressed by normal distribution:
Pv ∼ N(𝜇v , 𝜎v2 ), (1)
where Pv is the active power of EV charging demand; 𝜇v and 𝜎v2 are the mean and standard
deviation of the EV charging demand, respectively.
2.2 WTG/PVG and Load Models
Consider that the wind speed and light intensity are subjected to two parameters Weibull
distribution [8] and beta distribution [9], PVG active power output PPVG and WTG active
power output PWTG can be expressed as:
96 W. Shan et al.
{
PPVG,r S∕Sr , S ≤ Sr ,
PPVG = (2)
PPVG,r , S > Sr .
⎧ 0, v < vci , v > vco ,

⎪ v − vci
PWTG =⎨ P , v ≤ v ≤ vr , (3)
v − vci WTG,r ci
⎪ r
⎩ PWTG,r , vr < v ≤ vout .
where PPVG,r and PWTG,r are the rated output power of PVG and WTG, Sr is the rated
light intensity, Vci is cut-in wind speed, Vco is cut-out wind speed, Vr is rated wind speed.
The load can be described by normal distribution [10]:
Pload ∼ N(𝜇p , 𝜎p2 ), (4)
where Pload is the active load, 𝜇p and 𝜎p2 are the mean and standard deviation of the load,
respectively.
3 Bi-level Planning Model and Solution for Siting and Sizing of DG

and EVCS Under AM Mode
The main barrier for reaching the higher levels of DG in distribution network is the node
voltage limit exceeding [11–13]. In order to overcome the above obstacle, two AM
methods are used: (1) DG output controlling. The output of DG is adjusted by load at
various times. (2) On-load-tap-changer (OLTC): OLTC maintains the network voltages
within defined limits by actively changing the tap-changer setting at primary substation.
Then, a bi-level DG and EVCS siting and sizing joint planning model under AM
mode is proposed, and the model takes the minimum annual comprehensive cost of DG
and EVCS as the upper level planning objective. Furthermore, based on the siting and
sizing of DG and EVCS, the lower level model optimizes DG output curtailment.
3.1 Upper Level Planning Model
The planning objective of the upper level model is shown as:
minFtotal = Finv,DG + Finv,EVCS + FOM,DG + FOM,EVCS + Floss + FAM − FU , (5)
where Ftotal is the annual comprehensive cost, Finv,DG and Finv,EVCS are the installation and
investment cost of DG and EVCS, respectively, FOM,DG and FOM,EVCS are the annual
operation and maintenance cost of DG and EVCS, Floss is the annual active losses cost
of the distribution network; FAM is the cost of AM and FU is the environmental subsidies
of the renewable DG. Finv,DG, Finv,EVCS, FOM,DG, FOM,EVCS, Floss, FAM and FU can be calcu‐
lated by:
∑ r(1 + r)n
Finv,DG = Xinv,DG wDG,i , (6)
i∈NDG
(1 + r)n − 1
∑ r(1 + r)n
Finv,EVCS = (Xinv,EVCS
1
+ Xinv,EVCS
2
wEVCS,i ) , (7)
i∈NEVCS
(1 + r)n − 1
∑∑
FOM,DG = 365 XOM,DG PDG,i,t Δt, (8)
t∈T i∈NDG
∑ ∑
FOM,EVCS = 365 XOM,EVCS PEVCS,i,t Δt, (9)
t∈T i∈NEVCS
∑
Floss = 365 Xloss Ploss,t Δt, (10)
t∈T
∑∑
FAM = 365 XAM PDG,i,t Δt,
(11)
t∈T i∈NDG
∑∑
FU = 365 XU PDG,i,t Δt, (12)
t∈T i∈NDG
where NDG and NEVCS are DG and EVCS installation nodes, respectively; Xinv,DG is the
installation and investment cost of unit DG; wDG,i is the installation capacity at the
candidate node i of DG; r is the discount rate, taking 10%; n is the economic life, taking
1 2
20 years; Xinv,EVCS and Xinv,EVCS are fix and variable investment cost of EVCS, respec‐
tively; wEVCS,i is the installation capacity at the candidate node i of EVCS; T = 24h;
XOM,DG and XOM,EVCS are the operation and maintenance cost of unit of electricity by DG
and EVCS; PDG,i,t and PEVCS,i,t are the charging load of the DG and EVCS at the candidate
node i in period t ; Δt is the time interval, taking 1 h; Xloss is the electricity price; Ploss,t
is the electricity losses in period t ; XAM is the AM cost of unit of electricity by DG; XU
is the environmental subsidies of unit of electricity by renewable DG.
The constraints of upper level planning model can be described as:
(1) DG penetration constraint:
∑ ∑
wDG,i = 𝛽 Lj , (13)
i∈NDG j∈Nnode
wDG,i = wWTG,i + wPVG,i , (14)
where, wWTG,i and wPVG,i are the installation capacity at the candidate node i of WTG
and PVG, respectively; 𝛽 is the DG penetration; Lj is the load peak of the load node i .
(2) DG installation constraint:
wDG,imin ≤ wDG,i ≤ wDG,imax . (15)

98 W. Shan et al.
(3) EVCS installation constraint:
wEVCS,imin ≤ wEVCS,i ≤ wEVCS,imax . (16)
3.2 Lower Level Planning Model
The lower level model is a typical optimal power flow (OPF), and the objective is to
minimize DG output curtailment, which can be shown as follow:
∑∑
min Pcur,i,t , (17)
t∈T i∈NDG
where Pcur,i,t is the active power curtailment of DG.

The constraints of lower level planning model can be described as follows:
(1) Common network constraint:
∑
Pis = Ui Uj (Gij cos 𝜃ij + Bij sin 𝜃ij ), (18)
j∈i
∑
Qis = Ui Uj (Gij sin 𝜃ij − Bij cos 𝜃ij ), (19)
j∈i
Uimin ≤ Ui ≤ Uimax , i ∈ Nnode , (20)
Sij ≤ Sijmax , ij ∈ Nline , (21)
where, Pis and Qis is active power and reactive power of node i respectively; Ui is the
voltage of node i ; j ∈ i represent all the nodes that directly connected with node i ; Gij
and Bij are the real and imaginary part of node admittance matrix; 𝜃ij is phase angle
difference between the nodes i and j; Nnode is a set of system nodes; Sij is the power flow
of branch ij; Nline is a set of system branches.
(2) On-load tap-changer (OLTC) transformer tap adjustment constraint.
Tkmin ≤ Tk ≤ Tkmax , k ∈ NT , (22)
where, Tk is the position of transformer tap; Nnode is a set of OLTC branches.

(3) DG output curtailment constraint.
Pmin
cur,i,t
≤ Pcur,i,t ≤ Pmax
cur,i,t
, i ∈ NDG . (23)
3.3 Bi-level Planning Model

The upper level planning is the sub-problem of siting and sizing for DG and EVCS, and
the lower level planning is the sub-problem of optimizing DG output curtailment. While
the upper level model transfers the DG and EVCS planning scheme to the lower level,
and the lower level model optimizes DG output curtailment, then, the lower model passes
the optimized DG output value to the upper model.
The upper level optimization is solved by the BBO [14, 15], BBO was proposed to
solve optimization problems, and it is one of the fast-growing nature-inspired algorithms
for solving practical optimization problems. BBO includes migration operator and
mutation operator, the structure flow chart of the BBO is shown in Fig. 1, and the details
are described in [14].
Initial population Y Output the optimal scheme

Termination
Fitness metrics
condition reached?
Mutation Migration
operator operator
Fig. 1. Structure flowchart of BBO.
Begin
Input data of the bi-level planning model
Parameter initialization of BBO, and generate initial

planning for DG and EVCS
Calculate minimum removal of DG output and load

according to the PDIPM
Calculate the upper planning objection function value BBO

based on the lower planning objection function value migration
fed back to the upper model and mutation
N
Termination condition reached?
Output the optimal DG and EVCS planning scheme
End
Fig. 2. Flow chart of solving the bi-level DG and EVCS planning

100 W. Shan et al.
The lower level is solved by the PDIPM [16], Monte Carlo simulation (MCS) [17]
is used for the uncertainties sampling of EVCS charging load. Then, WTG, PVG, and
load, then, the DG output curtailment can be calculated by PDIPM, which is the lower
level objective value.
The BBO and PDIPM are used to solve the upper and lower level planning, respec‐
tively, the whole process is shown in Fig. 2.
4 Simulation Results
4.1 Study Introduction
The case used for siting and sizing of DG and EVCS is IEEE-33 nodes system as shown
in Fig. 3 [18]. The example is a 12.6 kV system and the planning is fixed to 20 years.
The rated wind speed, cut-in and cut-out wind speed are 14 m/s, 3.5 m/s, and 20 m/s
respectively; power factor is 0.95; the rated light intensity is 1000 W/m2; load and EVCS
charging load square variance are both 0.1; MCS hits are 500. Installation and investment
cost of DG and EVCS are set as 400 $/kW and 443 $/kW. Fix and variable investment
cost of EVCS are set as 285.71 and 714.29 $/kW. Operation and maintenance costs of
WTG, PVG and EVCS are set as 0.05 $/kWh, 0.03 $/kWh, and 0.09 $/kWh. Electricity
purchasing price is 0.08 $/kWh, AM cost for WTG and PVG are both 0.01 $/kWh, the
environmental subsidies for WTG and PVG are both 0.04 $/kWh.
19 20 21 22
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18
26 27 28 29 30 31 32 33
23 24 25
Fig. 3. 33 nodes distribution power system of IEEE
There are three candidate nodes of WTG in the distribution system, which are the
nodes 8, 12 and 17. Three candidate nodes of WTG are nodes 5, 25 and 30, and six
candidate nodes of EVCS are the nodes 4, 8, 12, 15, 25, and 30. The rated capacity of
unit DG is 10 kW, access limit is both 10 of WTG and PVG. DG penetration is less than
10%, and the EVCS charging load requirements is 600 kW.
The typical load curve of EVCS is based on the data in [19], and the 1440 charge
load points are normalized and averaged for each hour. The charge load per hour is
shown in Fig. 4.
Ratio (EVCS charging load)

1
0.8
0.6
0.4
0.2
0
0 4 8 12 16 20 24
Hour
Fig. 4. Typical charging profile of EVCS
4.2 Analysis of the Results

Apply the above mentioned bi-level model to the case as scheme 1. For comparative
analysis the effects of the DG and EVCS joint planning, scheme 2 is done under the
same parameters, and the DG and EVCS are individual planning in scheme 2.
The DG and EVCS siting and sizing planning results for scheme 1 and scheme 2 are
shown in Tables 1 and 2, respectively. It is known from Table 1 that the DG access
capacities for schemes 1 and 2 are 370 kW and 310 kW, respectively, compared with
scheme 2, the DG access capacity of scheme 1 is increased by 16.35%, so the joint
planning of DG and EVCS can improve the access capacity of DG. From Table 2,
schemes 1 and 2 access to 5 EVCSs (nodes 4, 8, 15, 25, and 30) and 6 EVCSs (nodes
4, 8, 12, 15, 25, and 30), respectively. However, the total access capacity of both schemes
is 600 kW, which meets the EVCS charging load requirements.
Table 1. The DG planning results of two schemes

Node number (DG capacity/kW) Total capacity (kW)
Scheme 1 8(80),12(80),17(100),5(60),25(50),30(0) 370
Scheme 2 8(50),12(20),17(30),5(80),25(60),30(70) 310
Table 2. The EVCS planning results of two schemes

Node number (EVCS capacity/kW) Total capacity (kW)
Scheme 1 4(118),8(110),12(0),15(73),25(150),30(149) 600
Scheme 2 4(103),8(128),12(56),15(70),25(136),30(107) 600
The relevant expenses of two schemes is shown in Table 3. The annual comprehen‐
sive cost of scheme 1 is 95.92 thousand dollars less than scheme 2, and the annual active
losses cost of scheme 1 is 3.15 thousand dollars less than scheme 2, which show that
joint planning of DG and EVCS can save the total cost of DG and EVCS planning,
reducing the active power loss of active distribution network.
102 W. Shan et al.
Table 3. The relevant expenses of two schemes

Item Cost (One thousand dollars)
Scheme 1 Scheme 2
Finv,DG 17.94 15.62
Finv,EVCS 218.06 252.46
FOM,DG 62.19 45.70
FOM,EVCS 177.64 179.07
Floss 147.16 150.31
FAM 16.82 14.81
FU 48.34 42.58
Ftotal 519.47 615.39
Figure 5 compares the node voltage under two schemes at the same time, the
maximum voltage amplitude allowed by each node is 1.1 p.u., and the minimum voltage
amplitude allowed is 0.9 p.u. The node voltage of scheme 1 is better than that of
scheme 2, so the joint planning of DG and EVCS can improve the node voltage of
distribution network.
1.15
Scheme 1
1.1 Scheme 2
Voltage amplitude(p.u.)
1.05
0.95
0.9
0.85
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33
Node number
Fig. 5. The node voltage of two schemes
5 Conclusions
In this paper, a bi-level joint planning model of DG and EVCS under AM mode is
established. The siting and sizing model of DG and EVCS is proposed by taking lowest
annual comprehensive cost as the upper level objective, and the upper level is solved by
BBO. Then, based on the upper level planning, the lower level model optimizes DG
output curtailment, and is solved by PDIPM. The experimental results of the IEEE-33
nodes distribution network show that the joint planning of DG and EVCS can obtain the
better planning scheme.
The energy storage system access distribution network has put forward the new
challenge to ADN planning, it is necessary to carry on the comprehensive planning from
many aspects such as power grid stability, and the influence on power quality. Therefore,
how to evaluate power quality and put forward measures to improve power quality is
also a worthy research problem in the future.
Acknowledgments. This work was supported in part by the national Science Foundation of China
under Grant No.61773253, and project of Science and technology Commission of Shanghai
Municipality under Grants No. 15JC1401900, 14JC1402200, and 17511107002.
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Real-Time Adjustment of Load Frequency
Control Based on Controllable Energy
of Electric Vehicles
Yan Li1, Qian Zhang1(&), Chen Li2, and Chunyan Li1

1
The State Key Laboratory of Power Transmission Equipment and System
Security and New Technology,
[email protected]
2
EHV Power Transmission Company of China Southern Power Grid,
Guangzhou 510620, China
Abstract. The time-varying characteristics of electric vehicle (EV) controllable

energy and the rationality of frequency regulation (FR) task allocation have
significant influences on participating in system FR. Considering the various
types of EV, the controllable quantities and the real-time controllable energy of
EVs are simulated and calculated. On the basis of the real-time changes of EV’s
controllable energy, the real-time allocating scheme of system FR coefficient is
put forward. The simulation results show that the real-time adjustment of load
frequency control (LFC) model based on dynamic controllable energy of EV can
effectively suppress the system frequency deviation; under the same total battery
energy, the electric private car participates in the system FR for the longest time,
the real-time controllable energy of which is the largest; the real-time allocating
ratio of system FR has a wide range of fluctuation, and the FR effect under real-
time allocation mode is better than that under the fixed allocation mode.
Keywords: Electric vehicle Controllable energy Load frequency control

Dynamic change Real-time allocation
1 Introduction
With the implementation of energy saving, emission reduction and low-carbon eco-
nomic policies, renewable energy sources will occupy a larger proportion in the grid.
Due to high climbing rate of traditional regulation unit, power system respond slowly
to the frequency fluctuations caused by intermittent fluctuations of renewable energy.
Therefore, a number of researches about solar, wind energy and energy storage tech-
nology participating in system FR began to arise.
As a branch of energy storage technology, the EV has good prospects for partic-
ipation in system FR due to large-scale development of EVs. The continuous
improvement of V2G technology makes the operability of EVs participating in system
FR increases. By adjusting the charging and discharging power, EVs can suppress the
frequency fluctuations caused by intermittent energy sources such as wind and solar
energy [1]. Efficient frequency support can be provided in smart grid by utilizing fleet

https://doi.org/10.1007/978-981-13-2381-2_10
106 Y. Li et al.
of EVs which act as controllable loads and closely coordinate with aggregators and
charging stations [2, 3]. The controllable energy of EV affected by its own traffic
attributes varies with the time of day, and the varying controllable energy of EV further
affects the system FR at varying times.
Considering the traffic characteristics and state transition characteristics of EVs, this
paper presents a real-time controllable energy calculation method. On this basis, the
real-time allocating scheme of system FR is proposed to analyze the influence of real-
time controllable energy of EVs of different types on participating in the system FR.
With constraints of real-time controllable energy and charging/discharging power, EVs
can share the pressure of traditional regulation unit. Because EV’s participation in FR is
a way to make full use of existing energy storage resources, EV energy storage
resources should be given priority in the allocation of FR tasks. So according to the
real-time changes of EV’s controllable energy, the real-time allocation scheme of
system FR coefficient is proposed to improve the rationality of FR task allocation. The
simulation results show that the proposed methods are correct and effective.
2 Dynamic Model of EV’s Controllable Quantity
In-controlled state refers to that the EV changes from idle or charging state into
controllable state depending on its SOC, and out-controlled state refers to that the EV
changes from controllable state into idle or charging state. In a day, the controllable
quantity of EVs in the region changes dynamically with the transition of the EV’s state.
Combing with the driving rules of EVs [4], the changing characteristics of EV’s
controllable quantity is analyzed.
t0 is defined as the starting time, and the initial number of controllable EVs at t0 is
N0 . The number of controllable EVs at t, Nc ðtÞ, is defined in (1) below,
Nc ðtÞ ¼ N0 þ Nin ðtÞ Nout ðtÞ ð1Þ
The cumulative number of EVs under in-controlled state and out-controlled state at
time t, Nin ðtÞ and Nout ðtÞ, can be calculated by (2) and (3),
X
t
0
Nin ðtÞ ¼ Nin ðjÞ ð2Þ
j¼t0
X
t
0
Nout ðtÞ ¼ Nout ðjÞ ð3Þ
j¼t0
0 0
where Nin ð jÞ and Nout ð jÞ is the number of EVs under in-controlled state and out-
controlled state at every moment j, respectively, which can be gained through statistical
analysis of EV’s timetable of transforming into and out of controlled state.
Real-Time Adjustment of Load Frequency Control 107
t1 and T2 are defined as plug-in time into grid and EV’s necessary charging duration
to meet the condition for participating in FR, respectively. Therefore, the time when EV
transforms into controllable state t3 is calculated as (4),
t3 ¼ t1 þ T2 ð4Þ
where T2 is determined by the characteristics of battery and charging power. It is

assumed that lithium-ion battery is adopted.
Lithium-ion battery charging power Pev (kW) and battery SOC (100%) change with
the increase of charging duration h (hours) as follows [5],
8
< 29:25h 0 h 0:222
Pev ¼ 6:5 0:222 h 4:43 ð5Þ
:
11:4h þ 57 4:43 h 5

SOC ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 0 h\4:43
21:43h
ð6Þ
41:34 h þ 0:85 4:43 h 5
It can be derived from the Eqs. (5) and (6) that the relation between Pev (kW) and
battery SOC (100%) can be expressed by (7),
8
< 1:36SOC 0 SOC\4:76
Pev ¼ 6:5 4:76 SOC\95 ð7Þ
:
66:69 6:67 103 SOC 2 95 SOC 100
Then T2 can be obtained through (8),

8
> ðSOCm SOC0 ÞEev
< gev 1:36SOC 0 SOC0 \4:76
T2 ¼ ðSOCm SOC0 ÞEev
4:76 SOC0 \SOCm ð8Þ
>
: gev 6:5
0 SOC0 SOCm
where Eev (kWh) is the battery capacity of single EV and ηev is the charging efficiency.
It is assumed that discharging power is equal to Pev and discharging efficiency is equal
to ηev. The discharging power is set to be positive.
The time when EV leaves controllable state t4 contains two state transition sce-
narios. One scenario is that the EV breaks away from grid directly, changing into
driving state; the other is that when the SOC cannot meet the owner’s driving need, the
EV will transform into charging state before the travel. Considering the time margin, t4
equals to EV’s planned departure time minus charging duration.
Through simulating each EV’s time parameters mentioned above by Monte Carlo
method [6], the controllable quantities of EVs can be calculated.
108 Y. Li et al.
3 Dynamic Model of EV’s Real-Time Controllable Energy
The real-time controllable energy dynamic model of EVs is determined on the basis of
controllable quantity dynamic model of EVs. At time t, the real-time controllable
energy of EVs in the region, Ec ðtÞ (MWh), can be calculated as follows,
E c ðtÞ ¼ E0 þ Ein ðtÞ E out ðtÞ E LFC ðtÞ ð9Þ
where E0 (MWh) is EV’s initial controllable energy at time t0 and Ein ðtÞ (MWh) is the
energy increment brought by EVs under in-controlled state as shown in (10) and (11)
respectively, and 1/1000 is the unit conversion coefficient,
1
E0 ¼ SOCm N0 Eev ð10Þ
1000
1
Ein ðtÞ ¼ SOCm Nin ðtÞEev ð11Þ
1000
Eout ðtÞ (MWh) is the energy reduction brought by EVs under out-controlled state.
As the synchronization control method of SOC in [7] is adopted, the SOC of each EV
battery is approximately equal to the average SOC of all controllable EVs. Thus, Eout ðtÞ
can be calculated by (12),
Nout ðtÞ
Eout ðtÞ ¼ ðE0 þ Ein ðtÞ ELFC ðtÞÞ ð12Þ
N0 þ Nin ðtÞ
ELFC ðtÞ (MWh) is the energy change brought by controllable EVs participating in
system FR during the period from t0 to t, as shown in (13),
Z t
1
ELFC ðtÞ ¼ Pa ðsÞds ð13Þ
3600 t0
Fig. 1. Real-time controllable energy dynamic model of EVs

where DPa ðtÞ (MW) is the actual FR power output of all controllable EVs, and the
discharging/charging power is set to be positive/negative.
To sum up, the model of the total controllable energy of all controllable EVs in this
region is shown in Fig. 1.
4 Real-Time Adjustment Model of FR Coefficient
EV’s participation in FR is a way to effectively utilize the existing energy storage

resources as well as reduce the waste of resources from traditional units. So the uti-
lizing of EV energy storage is put in priority in the allocation of FR tasks.
In the process of FR, the variation of the EVs’ controllable energy affects the power
allocation for system FR. Kev ðtÞ is the ratio coefficient of EV’s FR power output, which
is adjusted in real time with changed in the controllable energy as shown in (14),
8
< Kev
d
ðt Þ Df \0
Kev ðtÞ ¼ Kev
c
ðt Þ Df [ 0 ð14Þ
:
0 Df ¼ 0
When Df ðtÞ\0=Df ðtÞ [ 0, EVs discharge to participate in FR, as in (15, 16 and

17),
(
Ec ðtÞ
Ec ðtÞ Ecmax ðtÞ
d
Kev ðt Þ ¼ Ecmax ðtÞ ð15Þ
1 Ec ðtÞ [ Ecmax ðtÞ
(
Ecmax ðtÞEc ðtÞ
Ec ðtÞ Ecmax ðtÞ
c
Kev ðt Þ ¼ Ecmax ðtÞ ð16Þ
0 Ec ðtÞ [ Ecmax ðtÞ
DPev ðtÞ ¼ Pdev ðtÞ Kev ðtÞ ð17Þ
where Kevd
ðtÞ=Kevc
ðtÞ is the ratio coefficient of EV’s discharging/charging power output
for FR; Pdev ðtÞ (MW) is obtained from system frequency deviation signal Dƒ(t) through
PI control, representing the power output required for FR; DPev ðtÞ (MW) is the FR task
allocated to EV by the system; Ecmax ðtÞ is the upper limit of real-time controllable
energy of EVs, as shown in (18),
1
Ecmax ðtÞ ¼ SOCmax Nc ðtÞEev ð18Þ
1000
DPV2G1 ðtÞ (MW) is EV’s power output for up-regulation, as in (19),

DPV2G1 ðtÞ ¼ min DPev ðtÞ; Pdlim ðtÞ ð19Þ
110 Y. Li et al.
where Pdlim ðtÞ (MW) is the limit of controllable EVs’ discharging power, as in (20),
1
Pdlim ðtÞ ¼ Nc ðtÞPev =gev ð20Þ
1000
DPV2G2 ðtÞ (MW) is EV’s power output of for down-regulation, as in (21),

DPV2G2 ðtÞ ¼ max DPev ðtÞ; Pclim ðtÞ ð21Þ
where Pclim ðtÞ (MW) is the limit of controllable EVs’ charging power, as in (22),
1
Pclim ðtÞ ¼ Nc ðtÞPev gev ð22Þ
1000
In summary, EV’s power output for FR DPV2G(t) can be expressed by (23),

8
< DPV2G1 ðtÞ Df \0
DPV2G ðtÞ ¼ DPV2G2 ðtÞ Df [ 0 ð23Þ
:
0 Df ¼ 0
Traditional units and EVs coordinate to participate in FR. DPg ðtÞ (MW) is the FR
task allocated to traditional units, as shown in (24),

Pdev ðtÞ Kg ðtÞ Kev ðtÞ 6¼ 0
DPg ðtÞ ¼ ð24Þ
0 Kev ðtÞ ¼ 0
Fig. 2. Output model of controllable EVs in FR

where Kg ðtÞ is the ratio coefficient of traditional unit’s FR power output, as in (25),

1 Kev ðtÞ Df 6¼ 0
K g ðt Þ ¼ ð25Þ
0 Df ¼ 0
The output model of controllable EVs in FR is shown in Fig. 2, which illustrates

the process of EV’s participation in system FR. The input of this model contains Nin ðtÞ,
Nout ðtÞ and Dƒ(t). The output of this model is DPV2G ðtÞ, the response power of all
controllable EVs in the region. The SOC of EVs is maintained at a high level to ensure
the driving need of EVs and avoid excessive discharging/charging.
5 Case Simulation Analysis
5.1 Analysis of Controllable Energy Changes

This paper analyzes the frequency stability of a two-area interconnection system [8–10]
containing wind power, which is affected by the dynamic changes of EV’s real-time
controllable energy. As electric taxi almost stays in driving state in a whole day, it is
not suitable for participation in FR, thus only electric private car, electric official
vehicle and electric bus are considered. The basic capacity of the entire power system is
set to be 1000 MVA and the basic frequency is 50 Hz.
As driving rules are different, EVs of various types participate in system FR in
different time periods. In order to compare different FR effects of various EV types, it is
assumed that the total energy of various types of EVs is set to be the same:
12000 30 kWh. Scenario 1: The number of electric private cars is 12,000; Scenario 2:
The number of electric buses is 2,000; Scenario 3: The number of electric official
vehicles is 12,000; Scenario 4: The number of electric private cars, electric buses and
electric official vehicles is 4000, 667 and 4000, respectively. And the ratio of various
types of EVs in Scenario 4, Kcar:Kbus:Koff is 0.0667:0.0667:0.0667. The ratio of
capacity of traditional unit and EVs is set to be 0.8:0.2.
The dynamic change of EV’s controllable quantity in single area on working day is
shown in Fig. 3. As the unified scheduling management is adopted, outside working
hours, electric buses and electric official vehicles are connected to grid to participate in
system FR. The controllable quantity of electric private cars on working day is maximum
thus has the largest potential to participate in FR. The overall trend of controllable energy
curve is roughly the same as the controllable number curve in Fig. 3, but the two curves
are slightly different since EVs will participate in FR through charging and discharging.
Real-time controllable energy in four scenarios are shown in Fig. 4(a–d), where with V2G
and without V2G represent that EVs participate in FR or not, respectively. It can be seen
that real-time controllable energy of EVs with V2G fluctuates more than without V2G.
This is because when frequency increases/decreases, EVs charge/discharge for FR so that
the real-time controllable energy increases/decreases, which reflects the active role of EVs
in LFC model.
112 Y. Li et al.
3
Bus
Controllable number of
2.5
Official vehicle
EVs/ten thousand
2 Private car
Total EVs
1.5
1
0.5
0
12:00 14:00 16:00 18:00 20:00 22:00 24:00 2:00 4:00 6:00 8:00 10:00 12:00
Time
Fig. 3. Controllable number of EVs
Controllable energy of electric

electric private cars (MWh)
350 200
Controllable energy of
official vehicles(MWh)
300
150
250
200 100
150 withV2G 50 withV2G
100 withoutV2G withoutV2G
50 0
12:00 14:00 16:00 18:00 20:00 22:00 24:00 2:00 4:00 6:00 8:00 10:00 12:00 12:00 14:00 16:00 18:00 20:00 22:00 24:00 2:00 4:00 6:00 8:00 10:00 12:00
Time Time
(a)Scenario1 (c)Scenario3
250 300
Controllable energy of
electric buses (MWh)
Controllable energy
of total EVs(MWh)
200 withV2G 250 withV2G

withoutV2G 200 withoutV2G
150
150
100
100
50 50
0 0
12:00 14:00 16:00 18:00 20:00 22:00 24:00 2:00 4:00 6:00 8:00 10:00 12:00 12:00 14:00 16:00 18:00 20:00 22:00 24:00 2:00 4:00 6:00 8:00 10:00 12:00
Time Time
(b)Scenario2 (d)Scenario4
Fig. 4. Controllable energy of EVs
In period 7:30–9:30 and 17:00–23:00 of Scenario 1, with EV owners commute to

work, there is a large fluctuation in controllable energy caused by the changes of
controllable quantity. In the rest of time in a day, the fluctuation of controllable energy
is due to the participation in FR, and real-time controllable energy of electric private
cars is maintained at about 300 MWh. In Scenario 2, electric bus’s real-time control-
lable energy starts to increase at 23:00 and jumps to zero at 5:30. In Scenario 3, electric
official vehicle’s real-time controllable energy starts to increase at 18:00 and jumps to
zero at 6:00. Scenario 4 is the sum of real-time controllable energy of three types of
EV, which fluctuates greatly.
5.2 Analysis of Frequency Regulation Effect

As private EVs have a relatively large quantity and remain connected to the gird for
relatively long time, private EVs are taken as an example to analyze the influence of the
dynamic change of EV’s controllable energy on system FR. Figure 5 shows the allo-
cation ratio of the real-time system FR power. According to the real-time change of EV
controllable energy and frequency deviation, the system FR allocation ratio changes in
real time. When Ke ðtÞ 6¼ 0, Ke ðtÞ þ Kg ðtÞ ¼ 1, as shown in Fig. 5. In the period of
1:30–2:30, Ke ðtÞ equals the minimum value of the allocating ratio of EVs, while Kg ðtÞ
equals to the maximum value of allocating ratio of units. Since the frequency deviation
fluctuates around the reference value of 50 Hz, Ke ðtÞ varies between Ked ðtÞ and Kec ðtÞ
correspondingly.
0.03 0.04
The FR output of EVs(p.u.)
0.02
traditional units(p.u.)
0.02
The FR output of
0.01
0
0
-0.02
-0.01
-0.02 -0.04
-0.03 -0.06
12:00 14:00 16:00 18:00 20:00 22:00 24:00 02:00 04:00 06:00 08:00 10:00 12:00 12:00 14:00 16:00 18:00 20:00 22:00 24:00 02:00 04:00 06:00 08:00 10:00 12:00
Time Fixed allocation Real-time allocation Time Fixed allocation Real-time allocation
(a) Private Electrical Vehicles (b) Traditional units
Fig. 5. System power of frequency regulation
System FR power output and system frequency deviation are shown in Figs. 5 and
6, respectively. The fixed allocation in Fig. 6 means that the allocation ratio between
the private EV and the traditional unit is fixed and it is set to 3:7. The real-time
allocation means adopting the real-time adjustment strategy proposed in this paper. In
the period of 22: 00–02: 00 (the next day) in Fig. 6, under the fixed ratio allocation
mode, the power output of EVs is much lower than it under the real-time allocation
mode, while the power output of traditional units is more than it under the real-time
allocation mode. In the corresponding time period of Fig. 5, both Ke ðtÞ and Kg ðtÞ keep
around 0.8 in half of the time, respectively. Therefore, private electric cars are able to
provide a large amount of power output. However, private electric cars only provide
30% of the FR power output under fixed allocation mode, less than that under real-time
allocation mode, which means that the power output of the traditional unit needs to
increase correspondingly. In the corresponding time period of Fig. 6(a), the system
frequency deviation under the real-time allocation mode is less than under the fixed
allocation mode, indicating that the FR effect under the fixed allocation mode is worse
than that under the real-time allocation mode. In addition, the root mean square value of
the system frequency deviation with and without V2G in Fig. 6(b) are 0.01022 Hz and
0.01263 Hz, respectively, which indicates that the FR effect is obviously better when
EVs participate in FR.
System frequency deviation(Hz)
System frequency deviation(Hz)
0.04 0.04
0.02 0.02
0 0
-0.02 -0.02
-0.04 -0.04
12:00 14:00 16:00 18:00 20:00 22:00 24:00 02:00 04:00 06:00 08:00 10:00 12:00 12:00 14:00 16:00 18:00 20:00 22:00 24:00 02:00 04:00 06:00 08:00 10:00 12:00
Time Fixed allocation Real-time allocation Time With V2G Without V2G
(a) Fixed Allocation and Real-time allocation (b) Real-time Allocation
Fig. 6. Frequency deviation
6 Conclusion
The basic function of an EV is as a driving tool used by people, so the utilizing of EVs
must take into account the randomness and convenience of EV users. Only EVs in the
controllable state are able to respond to the system FR control signal and provide FR
service to the grid. In this paper, the dynamic characteristics of EV’s real-time con-
trollable energy are discussed, and the system frequency control model considering the
dynamic changes of EV’s controllable energy is established, and the effect of EVs
114 Y. Li et al.
participating in system FR are analyzed. Through case simulation, the following

conclusions can be obtained:
(1) the proposed real-time controllable energy model takes into account the traffic rules
and driving needs, which is relatively in accordance with the actual situation and
ensures the basic function of EV;
(2) Under the same total battery energy, private electric cars participate in the system
FR for the longest time and provide the largest amount of real-time controllable
energy among various types of EVs;
(3) In the FR strategy considering real-time allocation based on the real-time con-
trollable energy of EVs, the FR effect is better than the fixed allocation mode, and
the fluctuation range of the system FR real-time allocation ratio is relatively large.
Acknowledgment. This work was supported by the National Natural Science Foundation of
China (51507022).
References
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power fluctuation by distributed generation in micro grid. Elect. Eng. Japan 163(2), 22–29
(2008)
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An Orderly Charging and Discharging
Scheduling Strategy of Electric Vehicles
Considering Demand Responsiveness
Wenrui Xie1, Qian Zhang1(&), Huazhen Liu2, and Yi Zhu1

1
State Key Laboratory of Power Transmission Equipment and System Security
and New Technology (Chongqing University), Chongqing 400044, China
[email protected]
2
Guangdong Power Grid Corporation Foshan Power Supply Bureau, Foshan
528000, China
Abstract. In the research of Vehicle-to-grid (V2G), the large-scale EVs needs

to be aggregated to participate in the charging/discharging strategy. Aiming at
the problem of electric vehicles (EVs) in aggregator participating in dispatching
plan, this paper proposed an orderly scheduling strategy of the EV in the
aggregator (Vehicle-to-Aggregator, V2A). Under the condition of real-time
price, an index evaluation system of the EVs has been established, which
consider the randomness and credit of EV users. This paper first analyzed the
impact of the declaration information on the schedule plan. With the consid-
eration of declared scheduling capacity, EV user’s credit, battery loss and the
degree of participation as the evaluation index, the evaluation index system of
the EV aggregator is proposed. Then, the weight of each index is determined,
which uses the method of combination weighting based on the Accelerated
Genetic Algorithm. Then the scheduling priority of EVs in the aggregator can be
obtained. Finally, combining with the dispatching plan of power grid, the actual
scheduling capacity of aggregators at different nodes in each period is deter-
mined. The simulation results show that the strategy proposed in this paper can
consider the influence of various indexes of EVs on schedule, and effectively
realize the dispatching plan for aggregators.
Keywords: Electric vehicles Combination weighting Real-time price

Charging and discharging dispatching plan Scheduling strategy
1 Introduction
Under the background of the world’s energy crisis, environment and economic crisis,
EVs have been highly valued by various countries and social enterprises because of the
obvious advantages of low pollution and low carbon emissions [1]. With the increase in
the number of EVs, The V2G technology has been introduced. With the rational
schedule of EVs, the power grid not only reduces the negative impact of EVs on grid,
but also gains economic benefits [2–4].
A lot of researches were about how the EV aggregator played a role in the power
grid scheduling. It’s unrealistic to dispatch all the vehicles directly by dispatching

https://doi.org/10.1007/978-981-13-2381-2_11
An Orderly Charging and Discharging Scheduling Strategy 117
center of the power grid. The concept of EV aggregator and the hierarchical control
method reduce the number of EVs that the power grid needs to dispatch directly [5].
However, most of the studies remain on the level of the EV aggregator, but the rational
and orderly scheduling strategy of the individual behavior of each vehicle needs to be
formed. Therefore, it is of great significance to further study the rational and orderly
arrangement of all EVs in the aggregator to participate in the power grid scheduling
(V2A) [6].
On the other hand, the concept of demand side response can be applied to optimize
the interaction between users and the power grid [7]. This paper also analyzes the
impact of demand side response on EV charging and discharging schedule.
This paper aims at the problem of orderly schedule of individual EVs participating
in the dispatching interaction plan in the EV aggregator, then analyzes the influence of
the user’s declaration information on the dispatching plan for the vehicle aggregator. At
the same time, the impact of demand side response on EV charging and discharging
schedule is analyzed. Based on this, considering the real time tariff, the EV evaluation
system with multiple indicators is established. Then the weight of the system is solved
by the optimal combination weighting method. Finally, an ordered control strategy of
EV aggregator considering demand side response is proposed.
2 The Index Evaluation System Model of EV Aggregator
2.1 Factors Affecting the Scheduling Strategy of EV Aggregator

Before the users respond to the dispatching plan, the EV aggregator must collect
several information about EVs like declaration information, battery loss and so on. At
the same time, the grid will determine real-time scheduling based on history records
and information reported by aggregator.
(1) Declaration Schedulable Capacity
According to the user’s declaration information, schedulable period Td and
schedulable capacity Sd can be obtained, and Sd is calculated by Eq. (1).
Sd ¼ SB:max SB:min ð1Þ
where SB:max and SB:min indicate maximal and minimal energy of an EV during an
schedule respectively, which can be calculated based on the state of charge
(SOC) limits set by the user and the battery capacity of the EV.
(2) The Credit of Electric Vehicles Participating in the Dispatching Plan
In order to take the situation of electric vehicles that violate the dispatching plan
into account, the concept of credit membership is introduced into the schedulable
capacity calculation. If an EV suddenly connects or leaves the grid outside of the plan,
its declaration capacity will be included in the schedulable capacity based on the
proportion of the credit degree of the user. The specific expression of the credit degree
is as follows:
118 W. Xie et al.
8
Sd < 1 q qup
q ¼ ¼ Sd qdown q qup ð2Þ
Sh : Sh
0 q qdown
where Sh means day-ahead average declaration capacity, and S d means day-ahead
average actual scheduled capacity. When the credit degree is large enough, the value is
1, and if it is too small, the value is 0.
(3) The Demand Response of EV Users
The charging or discharging behavior of EVs is a kind of demand response. EV
users can make their own consumption according to the price signal or incentive
mechanism. Therefore, this paper considers the economic benefits of EVs participating
in V2G to describe the degree of responsiveness of EV users.
① The Response of EV to Electricity Price Mechanism
The response to the electricity price refers to the user’s choice of period, and the
transfer of the electric load from the high-price period to the low-price period to reduce
the cost of electricity [8].
The change of electricity price will cause the change of the demand of the user, so
the electricity price elasticity is adopted to express the response degree of the user to
the electricity price mechanism. That is, the ratio of the degree of electricity price
change to the degree of electricity change in a certain period, as shown in Eq. (3).
DS=S ðDS=TÞ=ðS=TÞ DP=P

e¼ ¼ ¼ ð3Þ
Dp=p Dp=p Dp=p
where S, DS respectively indicates the amount of electricity and its relative increase. p,
Dp respectively indicates the amount of price and its relative increase. The higher the
price, the lower the electricity.
② The Response of EV Users to The Grid Incentive Mechanism
Sometimes the system cannot satisfy user’s charging requirements, or the discharging
capacity cannot meet the grid dispatching plan. The grid will compensate and adjust the
load through incentives, which means that EVs will charge or discharge out of the
dispatching plan.
Users can voluntarily choose whether to respond to the incentive of the system.
If EV users are willing to participate in demand side response, the response of EV users
to the grid incentive mechanism can be defined:
Ce ðtÞ Cp ðtÞ
d¼ ð4Þ
Cp ðtÞ
where Cp ðtÞ means the charging cost of EVs, and Ce ðtÞ means the income of incentive
mechanism.
For the charging plan, when the required charging capacity is not reached, the
incentive income includes the interruption compensation and the price difference after
the transfer to a lower price period. For the discharging plan, the incentive income is
consist of battery compensation, extra discharging income and compensation.
Thus, the degree of demand responsiveness that defines the participation of EV
users in grid dispatching plans is:
l ¼ ae þ ð1aÞd ð5Þ
where a is proportion factor and can be calculated by the entropy weight method.
Equation (5) indicates the degree of response of the EV user to the electricity price
signal or the incentive mechanism.
2.2 The Index Evaluation System Model

For a single EV, it can only select one of the charging or discharging state to declare in
a single period. Based on the analysis of the factors affecting the EV to participate in
scheduling, an index evaluation system is established. In order to make sure that the
aggregator’s charging and discharging plan is consistent with the grid real-time
scheduling as much as possible, the sum of variance of scheduling capacity and
planned capacity is further minimized. It also enables a smoother fluctuation caused by
large-scale EV. The entire process is shown in Fig. 1.
Fig. 1. Flow chart of orderly scheduling strategy for EV aggregator
In order to eliminate the dimension effect of each evaluation index and make the
modeling universal, the index should be normalized. Suppose xij is the evaluation value
of the j object for the i index, and rij is the value after the normalization of xij . The

resulting R ¼ rij KN can be used as a fuzzy evaluation matrix
120 W. Xie et al.
8 xmax xij
< Cost index: rij ¼ xmax
ij
xmin
ij ij
xij xmin ð6Þ
: Benefit index: rij ¼ ij
ij xij
xmax min
ij =xij
where xmax min
refers to the maximum/minimum value of the same index.
Each index will be weighted to obtain the basis of EV scheduling. Among them, the
larger the schedulable capacity, the higher the user credit, the higher demand
responsiveness and the smaller the battery loss will be scheduled first.
3 An Orderly Scheduling Strategy Using Optimal

Combination Weighting Method for Electric Vehicle
Aggregator Based on Accelerating Genetic Algorithm
3.1 Determining Comprehensive Weight Based on Optimized

Combination Weighting of Deviation Function
In the decision analysis theory, because different evaluation methods are difficult to
identify the better one, it is necessary to make full use of the information contained in
the various methods to obtain a satisfactory weight solution. This paper uses the
optimal combination weighting method based on the accelerating genetic algorithm to
solve the problem.

Wc ¼ h1 w1 þ h2 w2
ð7Þ
h1 þ h2 ¼ 1
where Wc ¼ ðWc1 ; Wc2 ; . . .WcK ÞT is attribute combination weighting coefficient vector,

and h1 ; h2 are combination coefficient.
The comprehensive evaluation value is:
X
K
Uj ¼ Wci rij ; j ¼ 1; 2. . . ð8Þ
i¼1
In order to determine the attribute combination weight vector Wc , the absolute value
of the deviation is introduced:

djn ¼ Wci wni rij ð9Þ
where djn denotes the absolute value of the deviation between the weight of the nth
weighting scheme and the weighting of the combined weighting method for the jth
evaluation object.
In order to comprehensively utilize the subjective and objective weights of each
evaluation index the deviation between the evaluation result under the optimal com-
bination weights and the evaluation result under subjective and objective weights is
supposed to as small as possible for all indicators of all evaluation targets. So, by
solving the minimization of the absolute sum of the weighted deviations to estimate the
optimal combination weights, the following model can be constructed:
N X
X K
minf ¼ min ajw1 ðiÞ Wci jrij þ ð1 aÞjw2 ðiÞ Wci jrij ð10Þ
j¼1 i¼1
X
K
s:t: Wci ¼ 1; Wci 0 ð11Þ
i¼1
3.2 Electric Vehicle Orderly Scheduling Considering Index Evaluation

System
After the index evaluation system is modeled and solved by optimal combination
weighting method, the index weight and the comprehensive evaluation value can be
obtained. Then the order and schedulable capacity in different period of every single
EV in the aggregator can be obtained. However, to avoid the system fluctuation caused
by the insufficient or excessive power provided by the aggregator during a certain
period, in the orderly scheduling strategy, the schedulable capacity of the EV should
also be adjusted to meet the given dispatching plan. So, for a certain EV aggregator:
!2
X
Td X
Nt
minDP ¼ min Pn ðtÞ PEV ðtÞ ð12Þ
t¼1 n¼1

where Pn ðtÞ is the actual power of the nth EV at period t; Nt is the total number of
scheduled EVs; PEV ðtÞ is the dispatching plan at period t.
8
>
> Nc ðtÞ Ncmax ðtÞ ; Ndc ðtÞ Ndc max
ðtÞ
>
> NPc ðt Þ
max
NcPðtÞ
>
>
>
< Pc;n ðtÞ Pc;n ðtÞ
s:t: n¼1 n¼1
max ð13Þ
>
> NP
dc ðt Þ Ndc ðtÞ
P
>
> P ð t Þ Pdc;n ðtÞ
>
> dc;n
>
: n¼1 n¼1
Ncmax ðtÞ þ Ndc max
ðtÞ Ntmax
where Ncmax ðtÞ and Ndc max

ðtÞ are the number of all EVs that declare the
charging/discharging plan, respectively; Ntmax is the total amount of EVs at period t;
Pc;n ðtÞ, Pdc;n ðtÞ are the charging/discharging power of the n-th EV during the period t,
respectively.
122 W. Xie et al.
4 Case Studies
In order to verify the superiority of the proposed strategy, this strategy is applied to the
6-node system in [9]. The optimal first-level plan of grid-side are obtained using the
model in [10].
The node 4 in certain period which requires EVs to discharge 3.98 MW as an
auxiliary service is selected as the case with the priority scheduling strategy. Assume
the number of EVs participating in the schedule in node 4 is 265. For ease of man-
agement, the aggregator organizes the day-ahead information for each EV and divides
the EVs participating in the schedule into 30 fleets. EVs in the same fleet have the
similar characteristics. The real-time declaration information can be obtained through
the declaration information. The Monte Carlo method is used to simulate the SOC
information of 30 fleets, and the declaration information is based on a variety of actual
situations that may occur.
With the EV fleet’s day-ahead participation information under dispatching plan
provided by aggregator, users’ participation degree can be calculated at time 17
through the entropy weight method, so the participation degree in the period is:
l ¼ 0:5541e þ 0:4459d
According to the parameter information above, the evaluation value of each

parameter is obtained, which is standardized by Eq. (6), as shown in Table 1.
Table 1. Normalization results of decision matrix of each EV fleet

Fleet 1 2 3 … 28 29 30
Sd 0.51 0.10 0.65 … 0.71 0.31 0.68
q 0.99 0.94 0.90 … 0.93 0.80 0.96
l 0.65 0.20 0.62 … 0.76 0.80 0.34
Br 0.21 0.17 0.21 … 0.24 0.16 0.24
The subjective weights and objective weights of each index are obtained according
to the weighting methods, then the comprehensive weighting coefficient of each
indicator is obtained by the optimized combination weighting method based on
accelerated genetic algorithm. The weight of sd , q, l, Br is 0.1583, 0.3198, 0.3322,
0.1897, respectively.
Then the result of priority dispatching plan of 30 eV fleets of node can be obtained,
as shown in Table 2. Through the Table 2, the value of dispatching priority of each EV
fleet can be obtained. Combining the results of Table above, we can see that:
(1) If EVs’ declaration capacity is too low, the grid will give them a low priority in the
initial stage of the plan (e.g. the fleets numbered 2, 4, 9, 10, 12, etc.).
(2) The comprehensive weight coefficient of the two indicators of user credit and
responsiveness is higher, so the fleets whose comprehensive evaluation value in the
Table 2. Priority and schedulable capacity of EV fleets (kW)
Schedule order 1 2 3 4 5 6 7 8 9 10
Uj 0.743 0.737 0.720 0.707 0.696 0.679 0.675 0.660 0.657 0.654
EV fleets 16 25 19 28 20 11 22 21 6 1
Declaration capacity 123.051 170.495 143.706 205.942 125.900 150.72 193.2 130.8 119.82 91.44
Schedulable capacity 112.132 170.495 137.471 192.516 115.880 134.416 178.026 107.025 110.691 90.799
considering q
Schedule order 11 12 13 14 15 16 17 18 19 20
Uj 0.639 0.637 0.605 0.604 0.603 0.590 0.583 0.580 0.572 0.552
EV fleets 15 3 5 23 29 8 24 7 30 13
considering q
Schedule order 21 22 23 24 25 26 27 28 29 30
Uj 0.530 0.489 0.436 0.416 0.403 0.356 0.337 0.276 0.076 0.005
EV fleets 27 14 17 2 4 26 12 18 10 9
considering q
An Orderly Charging and Discharging Scheduling Strategy
123
124 W. Xie et al.
above two indexes in declaration information is more than 0.5 will be scheduled in
advance (e.g. the fleets numbered 16, 25, 19, 28, 20 and so on).
(3) If EVs actively participate in scheduling, their battery loss will be slightly higher.
Although they will get more V2G compensation, the grid and EV users should be
aware that in order to protect the EVs, it is not appropriate to participate in
scheduled charging and discharging frequently.
When EVs participate in power grid dispatching plan, their declaration information
and day-ahead participation record are the key to determining the real-time dispatching
order. Then the real-time schedulable capacity in each period can be obtained, and
further adjusted according to the dispatching plan of the power grid to reduce the
impact of large-scale EVs connecting to grid and finally realize real-time orderly
scheduling strategy. The priority and schedulable capacity of EV fleets can be calcu-
lated, also shown in Table 2.
250
Declaration discharge capacity of EV fleet
Adjustable capacity condisering credit
Actual schedulable capacity

200
150
Capacity / kW
100
50
0
0 5 10 15 20 25 30
EV fleet number
Fig. 2. Comparison of capacity of each fleet in aggregator.
From Table 2, it is known that the total schedulable capacity of the aggregator
considering credit is 3.134 MW, which cannot meet the grid dispatching plan capacity
(3.98 MW). in this case, the demand response is used to guide high-priority vehicles to
continue to provide electricity within their own acceptance margins, so it is necessary
to further adjust the schedulable capacity and the actual scheduled situation of EVs to
achieve the consistency with the grid dispatching plan as much as possible. The results
are shown in Fig. 2.
The actual schedulable capacity after adjustment is 3.681 MW, which is closer to
the dispatching plan. The shortage is reduced from 0.846 MW to 0.299 MW.
Combined with Table 2 and Fig. 2, we can get:
(1) Although some EVs have more declaration capacity during the period, if their
credits are too low, they will not be invoked basically when considering credit.
(e.g. fleets numbered 9, 10). Some less creditworthy EVs (e.g. fleets numbered 12,
17 and 24) are incompletely scheduled.
(2) At the same time, some fleets (e.g. number 25, 28, 22, 30 and 27) have a slightly
higher actual scheduled capacity than their declaration capacity. Users’ EV are can
voluntarily choose to schedule more capacity than the declared capacity within the
accepted range to obtain more profits.
(3) In fact, the EVs located behind schedule have lower priority. When there are large-
scale EVs, these EVs will not be considered in the scheduling process. This is
consistent with the results shown in Fig. 2.
Due to the large number of vehicles and longer scheduling periods, the present
example only selects a node for a certain period as an example to simulate the orderly
scheduling strategy proposed in this paper to verify its feasibility. Actually, the
aggregator collects EV declaration information for multiple periods and has different
scheduling arrangements for each period. Therefore, when there are a lot of mature data
of EVs participating in the grid scheduling strategy, continuous real-time dispatching
plans can be obtained.
5 Conclusion
This paper aims at the problem that in order scheduling strategy of large-scale EVs,
each EV can’t be scheduled by grid directly, considers the EV’s characters, and pro-
poses an orderly scheduling strategy for EV aggregator under the condition of real-time
electricity price. The strategy uses the declaration scheduling capacity, credit degree,
battery loss, and users’ participation degree as the evaluation indexes to establishes the
evaluation index system of EV aggregator. The comprehensive weight of each index is
determined by the optimization combination weighting method, which is based on the
accelerated genetic algorithm. Then each EV’s scheduling priority in the aggregator
can be obtained, and the actual scheduling capacity of the aggregator at different
periods is determined. Finally, combined with the power grid scheduling plan, adjust
each EV schedule in the aggregator to be consistent with power grid dispatching plan
as much as possible, and reduce the impact of large-scale EV integration on the
stability of power system.
Acknowledgment. This work was supported by the National Natural Science Foundation of
China (51507022).
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Energy Saving
Technological Updating Decision–Making
Model for Eco–Factory Through Dynamic
Programming
Erheng Chen1, Huajun Cao1(&), Kun Wang1, Salman Jafar1,

and Qinyi He2
1
State Key Laboratory of Mechanical Transmission,
[email protected]
2
Pittsburgh Institute, Sichuan University, Sichuan 610207, China
Abstract. As the key subject of the green manufacturing system, the con-
struction of eco–factory has become an important content in order to achieve the
sustainable development of enterprises. In this paper, a technological updating
decision-making model is established based on dynamic programming (DP) for
eco–factory. Firstly, the evaluation index system for eco–factory is established.
Secondly, the local weight and global weight of each index are calculated based
on analytic network process (ANP) and Delphi method. Finally, the decision–
making model of eco-factory is established to find the optimal investment plan
by using the method of logarithmic fitting and DP. The ANP and Delphi method
present a great potential in solving complex and ambiguous problems and the
decision-making based on DP can obtain the better ecological benefits through
an example of a foundry factory, therefore the feasibility of the proposed method
is proved.
Keywords: Eco-factory Ecological benefits Analytic network process

Dynamic programming Decision-making
1 Introduction
A plenty of non–renewable resources are used in the economic construction and it leads
to the increasing exhaustion of resources and serious environmental pollution in
developing countries. Therefore, the green manufacturing is the inevitable trend of
sustainable development. The technologies of green manufacturing is important
research areas with significant potential impact on human lives today and even more in
the future [1].
The eco-factory is a key part of building the green manufacturing system.
According to “Made in China 2025”, the eco-factory is defined as “the factory that
realizes the intensive use of land, harmless raw materials, cleaner production, waste
recycling and low–carbon energy”. The eco-factory concept with clean manufacturing
solutions for green products represents the present high end in factory design [2]. In the
current competitive and regulated landscape, manufacturing enterprises struggle to
improve their performances, encompassing environmental as well as economic
https://doi.org/10.1007/978-981-13-2381-2_12
130 E. Chen et al.
objectives, toward sustainable manufacturing and the future eco–factories [3]. Research
on eco-factory will help to set the benchmark in the industry, guide and standardize
factories to implement green manufacturing, and take the social responsibility for green
development. Eco–factories will enable the quantum leap in integrating environmental
issues in factory planning and factory operations [4].
Evaluation is the basis of decision-making, and selection of evaluation method is
crucial. In the introduction of ecological concept to manufacturing, many evaluation
methods are presented. An integrated analytic hierarchy process is used for eco –
industrial parks to multi–objective optimization for resource network synthesis [5].
May G pointed that the energy management will become a way toward eco-factory of
the future and research should focus more on the opportunities that human participants
in a manufacturing system can foster change toward eco–factories [6]. The single
simulation model combined discrete event simulation, material flow analysis, and life
cycle assessment was presented in eco-factory for sustainable decision-making [7].
There are more evaluation methods for eco–industrial parks and manufacturing sys-
tems, and less research on eco-factory.
The decision-making is very important in order to establish the eco-factory. The
dynamic programming was applied to calculate optimal decision sequence and maxi-
mum total profits in resource allocation of factory production line [8]. Aiming at the
reliability allocation problem of series manufacturing system’s reliability design, the
dynamic programming (DP) method was adopted to solve the reliability allocation
problem under the existing constraints [9]. The DP model is adopted by addressing the
division of investment allocations of production lines [10]. However, few scholars have
studied the investment decision based on DP in the construction of eco-factory.
In this paper, the ecological benefits evaluation and investment decision of eco-
factory are combined to find the investment decision plan when the ecological benefits
are greatest. The weight of each indicator is determined through the analytic network
process (ANP) and Delphi method based on the reasonable evaluation index system.
The ecological benefits as the comprehensive index are calculated quantitatively by DP
in order to put forward the optimal investment decision scheme to update the factory.
2 Ecological Benefits Evaluation Index System
In order to describe and evaluate the green manufacturing ability and level of the
factory scientifically and quantitatively, as well as to strengthen the decision man-
agement, it is essential to establish a set of evaluation index system which can be
designed reasonably and practically.
The evaluation index system for factory was constructed according to the opinions
provided by experts from relevant fields, some standards, and policies of the govern-
ment, which includes green manufacturing technology (B1), green manufacturing
process (B2) and resources and environment effect (B3), along with eight quantitative
sub–criteria, and the ecological benefits (A1) is target. The ecological benefits evalu-
ation index system is illustrated in Fig. 1.
B1 reflects the green level of the factory relative to the early production technology,
and mainly includes the green technology (C1) and green processes (C2). C1 indicate
Technological Updating Decision–Making Model for Eco–Factory 131
Green Technologies
Green Manufacturing
Technology
Green Processes
Green Materials
Green Manufacturing Ecological
Cost Green equipment
Process Benefits
Green Products
Energy Consumption
Resources and Environment
Water Consumption
Effect
Main Pollutants
Investment Primary Index Secondary Index Target
Fig. 1. The ecological benefits evaluation index system
the imported number of energy saving and emissions reduction technology. C2 indicate
the number of process transformation during establishing the factory.
B2 reflects the green degree in the process of factory production, mainly including
green materials (C3), green equipment (C4) and output of green products (C5). C3
indicate the quantity of green materials used. C4 indicate the quantity of high efficiency
and energy saving equipment used. C5 indicate the value of green products.
B3 reflects the comprehensive green level about resources and the ecological
environment during factory production process, and the energy consumption (C6),
water consumption (C7) and the main pollutants (C8) are used as secondary indicators.
C6 indicates energy consumption per unit product, including electricity, natural gas,
and compressed air and so on. C7 indicates water consumption per unit product. C8
indicate the environmental pollutants produced by the unit product, mainly including
waste solid, waste water and waste gas and so on.
The framework of ecological benefits evaluation index system is constructed in this
paper, which can calculate the ecological benefits of the factory after obtaining the
global weight of each index.
3 DP Decision-Making Model
Since the ecological benefits evaluation index system has been established for by
considering the characteristics of factory, the method of decision-making is employed
which consists of two parts. The first part is the weight determination using ANP and
Delphi. The second part is the optimal resource allocation through DP method.
3.1 Determine the Weight of Indexes

In ecological benefits evaluation index system, the relationship between the indicators
is complex, such as the use of green materials can not only reduce energy consumption,
water consumption and environmental pollution but also improve the production value
of green products. ANP, which is developed based on analytical hierarchy process
(AHP), is more suitable to describe the interaction between elements [11, 12]. Because
132 E. Chen et al.
of dependence and feedback of different indexes, this paper implemented ANP to

determine the relative weight coefficient of each evaluation index. In the structure
model of ANP, it is not independent between groups and elements, but can be inter-
related and influenced [13].
(1) Dimensionless treatment
The each index is processed under dimensionless treatment in ecological benefits
evaluation index system in order to compare the different casting plants.
0
xpq
xpq ¼ sum : ð1Þ
xpq
In Eq. (1), xpq represents the dimensionless value of the index q relative to the
0
sample p. xpq represents the original value and xsum
pq represents the total value.
There are positive and negative indicators in the ecological benefits evaluation
index system of the factory. For instance, the ecological benefits will be improved
when C2 becomes big and C6 becomes small, so C2 is a positive index and C6 is a
negative indicator. Therefore, in order to make the later data processing easy and
convenient, a unified index is needed through the Eq. (2).

xpq positive index
x00pq ¼ 1
negetive index : ð2Þ
xpq
(2) Calculation of weighted supermatrix

In the structure model of ANP, the elements of control layer contain A1, A2, , AN.
The supermatrix W will be obtained under the criteria of AN, as shown in expression
(3).
2 3
W11 W12 W1N
6 W21 W22 W2N 7
W ¼6
4
7: ð3Þ
5
WN1 WN2 WNN
AN as a criteria and the importance of each element set is compared to other element
sets, also then a weighted matrix is formed, as shown in expression (4).
2 3
a11 a1N
A ¼ 4 5: ð4Þ
aN1 aNN

¼ W
Building a matrix W ij , whose elements are denoted by W
¼ aij Wij : W
is
the weighted supermatrix.
Super Decision (SD) is used to input the judgment matrix and output the weighted
supermatrix and the limit supermatrix [14]. The weights of ecological benefits evalu-
ation indexes under the respective criteria are obtained from the limit supermatrix.
3.2 DP of Resource Allocation

Suppose the total investment is a, considering the construction of the project, there are
m investment allocation schemes marked as dt. The total investment effect is evaluated
by n casting plants, and when the investment xw is assigned to the casting plant w, the
corresponding investment effect is gw(xw). The question now is how to allocate
investment to make the total ecological benefits best, and it is the resource allocation
problem. The DP is good at solving resource allocation [15].
(1) Phase and state
The problem is transformed into a multi–stage investment decision-making process.
The variables in the description phase are called phase variables and are expressed in
k. With each casting plant as a stage, in other word, k = w. The investment is con-
sidered to assign to n casting plants, that is, there are n stages, k ¼ 1; 2; ; n: In this
paper, the k presents three casting plants.
The state is described by a variable sk, which represents the number of investment
allocated to the casting plant from the kth to the nth. The evolution of the system from
one stage to the next is completely determined by the state and decision of the system at
this stage, regardless of the system’s previous state and decisions.
(2) Decision and state transfer equation
When the state of each stage is determined, decisions are made to determine status
of the next stage, described by the decision variable xk, indicating the number of
investment allocated to build the kth casting plant. The values are often within a certain
range, which is called a set of permitting decisions, used Dk(sk) as representation, and it
is defined as follows:
Dk ðsk Þ ¼ fxk j0 xk sk ; xk 2 fdt gg: ð5Þ
The state variables of k + 1 are written according to the state variables and decision
variables in the kth phase, namely:
s k þ 1 ¼ s k xk : ð6Þ
(3) Optimal index function

The decision is Dk(sk) when the state is sk, vk(sk, Dk) reflects the kth casting plant, it
is the index function of phase k and described as follows:
Vk ðsk ; xk Þ ¼ vk ðsk ; xk Þ þ Vk þ 1 ðsk þ 1 ; xk þ 1 Þ: ð7Þ

134 E. Chen et al.
The optimal index function fk (sk) represents the maximum ecological benefits
obtained by allocating investment of sk to casting plant from the kth one to the nth one.
The basic equations of DP are listed below:
(
fk ðsk Þ ¼ max ½vk ðsk ; xk Þ þ fk þ 1 ðsk þ 1 Þ
0 xk s k : ð8Þ
fn þ 1 ðsn þ 1 Þ ¼ 0
Calculations are based on the reverse algorithm, the maximum ecological benefits
of the factory is expressed in the equation f1 (s1).
4 Case Study
In this paper, an example of a casting factory is analyzed. The green upgrade of the
casting factory is expected to cost 50 million. The investment decisions are made for
eco–factory according to the ten–year capital investment and the ecological benefits of
three casting plant.
ANP is used to establish the network structure model of the ecological benefits
indicator system with SD software, and its detail specifications as shown in Table 1.
Table 1. Indicators explanation and correlations between indicators

Index Index explanation Correlativity
C1 Energy saving and emissions reduction technology in C1!C2,C4,C5,
melting, die–casting and machining, etc. C6,C7,C8
C2 Total process: melting, transport and heat preservation, high– C2!C5,C6,C7,
pressure casting, remove waste scrap, shot blasting, C8
machining, cleaning
C3 Water recycling, aluminum recycling, waste heat recovery C3!C1,C2,C4,
C5,C6,C7,C8
C4 Special equipment, general equipment, electromechanical C4!C1,C2,C5,
equipment, industrial control equipment, etc. C6,C7,C8
C5 The value of green products C5!C1,C2,C3,
C4,C6,C7,C8
C6 Power consumption, gas consumption C6!C1,C2,C3,
C4
C7 Water consumption C7!C1,C2,C3,
C4
C8 Waste gas and waste water, etc. C8!C1,C2,C3,
C4,C6,C7
5 Result and Discussion

(1) Determine the weight of indicators at all levels
Due to the different degree of influence of each index to ecological benefits, the
experts rated the relationship between the indicators on a 1–9 scale. Input the judgment
matrix between the element groups and the judgment matrix between the indexes in the
SD software, the global weight of the secondary indexes is shown in Fig. 2.
Fig. 2. Global weight of the secondary indexes in evaluation index system
(2) Determine the relationship between investment and ecological benefits

The ecological benefits of the three casting plants can be obtained by combining
global weights of the secondary indexes after the ten–year historical data are processed
with dimensionless processing, as shown in Table 2.
Table 2. The former ten years of investment and ecological benefits for casting plant
Casting plant (D1) Casting plant (D2) Casting plant (D3)
Investment A1 Investment A1 Investment A1
(104 RMB) (104 RMB) (104 RMB)
2007 364.13 5.1053 224.04 3.2027 458.39 6.5528
2008 455.57 5.528 276.78 3.3776 535.41 6.746
2009 617.83 6.1495 380.14 3.7219 588.74 7.1655
2010 756.45 6.7062 467.53 4.1971 777.77 7.8151
2011 823.12 6.9156 556.27 4.3839 827.28 8.1087
2012 904.08 7.2113 627.96 4.6369 1138.12 8.9863
2013 1023.83 7.5472 741.19 4.8983 1256.45 9.3798
2014 1204.63 7.961 856.91 5.2706 1290.32 9.5702
2015 1392.71 8.5662 920.42 5.2283 1516.47 9.9219
2016 1592.62 8.9535 1039.42 5.4082 1753.24 10.6837
136 E. Chen et al.
The growth rate of ecological benefits is gradually slowing down through com-
paring the data in Table 3, so the relationship between investment and ecological
benefits is obtained based on logarithmic fitting by MATLAB, and the corresponding
ecological benefits can be obtained, as shown in Table 3.
Table 3. The relationship between investment and three casting plants

Investment/million RMB D1 D2 D3
10 7.55 5.37 8.73
20 9.37 6.43 10.85
30 10.43 7.05 12.08
40 11.19 7.49 12.96
50 11.78 7.83 13.64
(3) DP of investment allocations

Based on the relationship between the investment and the ecological benefits of
three casting plants, the problem is divided into three stages (k = 1, 2, 3) based on the
DP. The optimal investment allocation scheme is obtained, as shown in Fig. 3.
Fig. 3. The optimal investment scheme for ecological benefits
It can be seen from Fig. 6 that the optimal solution is obtained when x*1= 2, x*2= 1,
x*3=2. In other words, the investment of D1 is 20 million RMB, the investment of D2 is
10 million RMB, and the investment of D3 is 20 million RMB. Its optimal value of
ecological benefits is 25.59.
6 Conclusion
In this paper, the investment allocations decision-making of a factory have been

modelled through ANP and DP under the ecological benefits evaluation index system.
The following conclusions may be drawn:
(1) The local weight and global weight of each index in ecological benefits evaluation
index system are calculated based on ANP and Delphi method. The method can
effectively deal with the complex relationship between each element group and
indexes, and improve the accuracy and reliability of evaluation for eco-factory.
(2) The decision-making model of eco-factory is established to find the optimal
investment plan by logarithmic fitting and DP. The optimization of ecological
benefits problem is divided into three stages, and the global optimal allocation plan
is obtained through finding the optimal solution for each stage, respectively. This
method presents the higher theoretical value and practical significance.
(3) An example analysis shows that 50 million funds are divided into 20 million, 10
million and 20 million to D1, D2, and D3 respectively. Its optimal value of eco-
logical benefits for the factory is 25.59. This distribution scheme can improve the
ecological benefits of the factory, so the feasibility of this method is verified.
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A Configurable On-Line Monitoring System
Towards Energy Consumption of Machine
Tools
Pengcheng Wu1, Yan He1(&), Ming K. Lim1, Yan Wang2,

Yulin Wang3, and Linming Hu1
1
The State Key Laboratory of Mechanical Transmission, Chongqing University,
Shazheng Street 174, Shapingba, Chongqing 400044, China
[email protected]
2
Department of Computing, Engineering and Mathematics, University of
Brighton, Brighton BN2 4GJ, UK
3
School of Mechanical Engineering, Nanjing University of Science and
Technology, Nanjing 210094, China
Abstract. The environmental impacts of manufacturing systems can be

improved by reducing the energy consumption of machine tools. To meet the
requirements for reducing energy consumption of machine tools, it is critical to
monitor and analyze energy usage of machine tools. However, machine tools are
composed of multiple energy consumers and the requirements towards moni-
toring energy of machine tools are different. This paper proposes a configurable
on-line monitoring system to obtain energy data for the specific energy con-
sumption components of machine tools, which can be used to analyze energy
characteristics considering different energy monitoring requirements and dif-
ferent machine tools. The case study of the system implemented in lathe and
machining center shows that the system can be used to monitor energy con-
sumption of different types of machine tools and satisfy different monitoring
requirements of energy consumption. The results can provide a better under-
standing of energy and support refined energy management in the manufacturing
system.
Keywords: Machine tools Energy consumers Configurable on-line

monitoring system
1 Introduction
The global environment is getting worse. Manufacturing consumes substantial amounts

of energy and has measurable impact on environment [1]. Over one third of global
energy consumption are related with manufacturing industry [2, 3]. Machine tools
plays an important role in manufacturing industry, nearly one third of energy is con-
sumed by industry, besides, far more than half of energy in industry is consumed in
machining processes [4, 5]. Reducing energy consumption of machine tools can sig-
nificantly improve environmental impacts of manufacturing systems.

https://doi.org/10.1007/978-981-13-2381-2_13
140 P. Wu et al.
To meet the requirements of reducing energy consumption, it is vital to quantify

energy usage of machine tools. Many researches have been done by using theoretical
modeling method to quantify the energy usage of machine tools. Kara et al. presents an
empirical model to characterize the relationship between energy consumption and
process variables for material removal processes [6]. Herrmann et al. presents an
innovative energy oriented simulation model for planning of manufacturing systems
[7]. He et al. proposes a modeling method of task-oriented energy consumption for
machining manufacturing system [8]. However, due to the complexity of machine
tools, many unknown parameters such as mechanical friction, plastic and elastic
deformations, and the resulting heat losses in the theoretical models are difficult to
obtain [9].
In the context, energy monitoring systems often have been used to quantify energy
consumption of machine tools. Delgado-Gomes et al. presents a real-time data
acquisition and monitoring system to acquire the total energy consumption of machine
tools [10]. Mourtzis et al. presents an energy consumption estimation method based on
real-time shop floor monitoring via wireless sensor networks to get the energy con-
sumption of machine tools [11]. Chiotellv et al. presents a concept for real-time
analysis of electrical power based on data stream analysis, and event-driven system
approaches has been developed and implemented as a software application [12].
Machine tools, especially modern CNC machines are always composed of multiple
motors and auxiliary components, energy consumption can vary strongly during pro-
duction activities [13]. During machining process, different energy-consumed com-
ponents of machine tools works cooperatively to guarantee the constant machining
processes. However, the previous study mainly focused on the total energy con-
sumption or the energy consumed by the specific components. Few study focuses on
the monitoring of different energy consumed components while considering the dif-
ferent requirements towards monitoring the machine tools.
This study presents a configurable on-line monitoring system towards energy
characteristics of machine tools. The system can be used to obtain energy data of
multiple energy consumers while taking into account different requirements about
monitoring energy consumption of machine tools. The system is conducted on the
CJK6136C lathe machine tool and HAAS VF5/50 X milling machine tool, the energy
consumption of different components of the machine tools under different state have
been analyzed, the energy efficiency of machine tools is also discussed.
2 The Problem Description for the Configurable Energy

Monitoring of the Machine Tools
The machine tools are composed of energy consumers, and different energy consumer
has different energy characteristic in different state of machining processes. The
requirements towards monitoring machine tools are decided by the types of machine
tools and the demands of the users.
In this paper, the state of machine tools during machining is divided into three
parts, the air-cutting state, basic state, cutting state. The basic state is state of readiness,
which is that the machine tool is turned on, the control system, spindle system is in a
A Configurable On-Line Monitoring System Towards Energy Consumption 141
state of readiness. The air cutting state is the state that includes spindle rotation and
feeding, cutting without load. The cutting state is the state of cutting with material
remove [14]. This division is to better understand the energy composition of machine
tools.
Different machine tools have different energy consumers. Table 1 shows an
example for the energy-consumed components of a typical of three-axis CNC machine
tools [13]. As shown in Tables 2 and 3, the energy consumers of CK6136C and
YD31125CNC6 are very different. For CNC machine tools, the cutting energy for
material removing is only 15%–25% of the total energy, most of energy are consumed
by spindle motor, tool change systems, cooling systems, servo systems, fan systems,
etc. [15, 16]. According to the ISO14955-1, the total energy consumption of the
machine tools is obtained by the sum of the energy consumed by all of the energy
consumed components.
Table 1. Energy-consumed components of a typical of three-axis CNC machine tools

No. Energy-consumed Function
components
1 Computer and Process and display computer numerical control information
monitor
2 Fan Generate air flow for cooling off the electrical components
3 Lubricant pump Drive pump to supply lubricant for slide ways, gears, etc.
motor
4 Hydraulic pump Convert hydraulic power to mechanical power
motor
5 Machine light Light the working area
6 Turret motor Rotate tool turret for tool change
7 Coolant pump Drive pump to spray coolant
motor
8 Spindle inverter Convert the input grid power to required voltage and
frequency
9 Spindle motor Rotate the spindle at a certain rotational speed
10 Servo unit Convert the input grid power to required voltage and
frequency for feed speed control of feed motor
11 Feed motor-X axis Drive the working table to move along X-axis
12 Feed motor-Y axis Drive the working table to move along Y-axis
13 Feed motor-Z axis Drive the working table to move along Z-axis
Additionally, different users have different requirements on energy monitoring of

machine tools. For designers, they always focus on the detail energy consumption
information of the specific component of machine tools to optimize parameters and
realize the high energy-efficient design. The operator prefers to the total energy con-
sumption, and then to make optimized machining processes in the workshop. Produc-
tion managers pay attention to the energy consumption of each machine in order to
optimize schedule in the production.
142 P. Wu et al.
Table 2. Energy consumers of CJK6136C

Energy consumers Power (kW)
Main spindle motor Y132S-4 5.5
Feed motor X axis 110SJT-M060D(A) 4.6
Feed motor Z axis110SJT-M060D(A) 4.6
Cooling motor AB-25 0.09
Fan motor 0.1
Table 3. Energy consumers of YD31125CNC6

Energy consumers Power (kW)
Spindle motor 1PH4163-4NF26-Z 37.00
Feed motor X axis 1FT6084-1AF71-3AG0 4.60
Feed motor Z axis 1FT6086-8AF71-3AH1 5.80
Feed motor Y axis 1FT6044-4AF71-3EH0 1.40
Workbench rotation motor1FT6134-6AC71-1EK3 13.60
Rotation feed motor 1FT6064-6AF71-3EB0 2.20
Hydraulic pump motor Y2-132 M-4 7.50
Hydrostatic pump motor Y2-132 M-4 7.50
Cooling motor STA404/350 2.20
Lathe bed flushing scraps motor STA402/250 1.30
Groove flushing scraps motor STA404/350 2.20
Hydrostatic cooling motor HBO-3RPSB 7.90
Cooling oil-cooled machine controllerAKZJ568-H 4.00
Oil mist separation motor GMA 30-02D-R/U/1.8/h 1.05
According to the description about energy monitoring of machine tools, the con-
figurable monitoring system are required to be developed, which can be used to acquire
energy data from different energy consumers in different states and satisfy different
requirements by different users.
3 Structure of the Configurable On-Line Monitoring System
The framework of the configurable on-line monitoring system is constructed as shown

in Fig. 1. The realization of this system includes three steps. In the first step, the energy
consumers of machine tools are analyzed. The second steps are data collecting and
processing. The last step is power data analyzing.
(1) Analyzing the energy consumers of the machine tools
As shown in the Fig. 1, different machine tools have different types and numbers of
energy consumers. In the first step, the structure of the machine tools is analyzed to
identify energy consumers of machine tools. And the number and type of power
Fig. 1. Framework of the configurable on-line monitoring system
sensors are determined according to the type and number of the energy consumer as
well as the requirements of the users.
(2) Data collecting and processing
The voltage and current data are collected by the power sensor, which mount on the
energy consumers. The protocol of the data transmission is modularized according to
transmission protocol of the sensors, and the current data and voltage data are resolved
according to corresponding rules of the modular, in order to make sure the other types
sensors could be used. The real time power is obtained by filtered data and kept in the
database. The state of machine tools is obtained through multi-sensor data fusion,
including the state of power off, basic state, cutting state, the results can support the
analysis of energy consumption in different state during machining process.
(3) Power data analyzing
The power data from multiple energy consumers are analyzed, in order to obtain
energy consumption information of machine tools, such as total energy consumption
and energy consumed by specific energy consumers, the results can support different
users to make energy reduction strategies.
144 P. Wu et al.
3.1 Identification of the Running States

The power data could fluctuate with the change of the running-state of the machine
tools and contains complex energy characteristics during machining. The power
information of energy consumers could be changed during machining. According to the
ISO14955-1, the state of the machine tools is identified by the state (on/off) of the
energy consumers. At first, the state of the energy consumers is obtained by the filtered
power data. The zero drift of the power sensor are identified as the valve. The states of
the energy consumers are identified as off when the power sensor collects a continu-
ously five power data, which under the valve. The states of the energy consumers are
identified as on when the power sensor collects a continuously five power data, which
higher than the valve.
Take the machine tool CJK6136C as an example. The state of the machine tools is
obtained by the collected data as shown in Table 4. When all the energy consumers are
off, the state of the machine tools are off. If only the state of the servo system and fan
system are on, the machine tools are in a state of air-cutting. If all the energy consumers
of the machine tools are on, but the motor of the X axis and Y axis is in a state of
on/off, the machine tools would in a state of cutting.
Table 4. Identification the state of the CJK6136C

No Fan and servo system Spindle motor Feed X axis Feed Y axis motor States
1 Off Off Off Off Off
2 On Off Off Off Air cutting
3 On On On/Off On/Off Cutting
3.2 Analysis of the Energy Data

The energy consumption information is analyzed based on the obtained power data,
which comes from the energy consumers. The strategies made by the users are sup-
ported by the different energy consumption information including the energy consumed
by the specific energy consumers, total energy consumption of the machine tools, the
energy consumed in the different state and the energy efficiency. The designers can
optimize their design towards machine tools according to the energy consumption data
of the specific energy consumers. The operators would choose the best energy
reduction strategy according to the energy efficiency and energy consumed in the
cutting state, and the management would prefer to obtain the total energy consumption
information of the machine tools to optimize schedule plan of the machining process.
(1) Energy consumption of the specific energy-consumed component
The energy consumption of the energy consumers means the energy consumed by
the energy components during the machining process, it can be calculated as follows:
Z
Ei ¼ Pi dt ð1Þ
Where Ei is energy consumption; Pi is the power; i is the specific energy-consumed

component.
(2) The total energy consumption of the machining processes
The total energy consumption of the machining process is obtained by the sum of
the energy consumption of all the energy consumers, as shown in Eq. 2.
X X
Eall ¼ i
Ei ¼ i
Pi dt ð2Þ
Where Eall is the total energy consumption.

(3) The energy consumption under different state
The energy consumption under different state, including the off, basic state, cutting
state. The energy consumption of different state is obtained by Eq. 3.
Z
Eks ¼ Pk dt ð3Þ
tks
Where Eks is the energy consumption; tks is the running time of the specific state; s is
specific state;
(4) Energy consumption of material removing
Energy consumption of material removing means the energy consumed during
material remove process. The energy, which consumed in the cutting state, is supplied
by the spindle motor. However, the energy consumed by the main spindle mainly have
two parts, the first part is maintaining the rotate speed of the main spindle, the second
part is consumed in the material remove process. So the energy consumed in the cutting
state is obtained by Eq. 4.
Z Z
Ec ¼ Es Es0 ¼ Ps dt P0s dt ð4Þ
Where Ec is energy consumed by the material remove process; Es is the energy

consumption of the main spindle motor; Es0 is air cutting energy consumption of the
main spindle; Ps is the real time power of the main spindle motor; P0s is the power of air
cutting.
(5) Energy efficiency
Energy efficiency is obtained by the power consumed in material remove process to
divide the total energy consumption, the potential of saving the energy and the use of
the energy are obtained by the energy efficiency, as shown in Eq. 5.
146 P. Wu et al.
Ec
Ef ¼ 100% ð5Þ
Eall
Where Ef is the energy efficiency of the machining process.
4 Case Study
The configurable on-line monitoring system is developed under the structure as is

shown in Fig. 2. The C# was used to the development of the system which imple-
mented in the Windows. At first, the power sensor is mounted on the machine tools
according to the structure and energy consumers of the machine tools. Then, the setting
of the prototype system is set according to the matching information between energy
consumers and power sensor. Later, the power data of the different energy consumers
are collected according to the requirement and present it on-line in a real time. After
that, the energy consumption information is analyzed according to the collected power
data, and the analyzed results are shown in the system’s GUI, the results can provide an
energy information of the machine tools.
Fig. 2. Working procedure of the configurable on-line monitoring system

The system is conducted on the lathe tools CJK6136C, the power sensor is
EDA9033, the machining process is machining the workpiece of intake shaft. At first,
the structure and energy consumers of the machine tools are analyzed, the spindle
motor, feed X axis motor, feed Z axis motor and the total input are the place that are
chosen to mount the power sensor. The real time power of the machine tools and
energy consumption information of the energy consumers are obtained by the system,
and the results are shown in the system’s GUI.
The energy consumption information of machining the intake shaft is obtained by
the analyzed power data, which collected from the multiple energy consumers based on
the developed system. The results are shown in Table 5. The total energy consumption
is 68.3 W . h, 15.9 W . h is used for turning process, and the energy efficiency of the
machine tool is 23.3%.
Table 5. Energy consumption information during machining process

Objects Number
Total energy consumption 68.3 W . h
Energy consumption of material remove 15.9 W . h
Energy efficiency 23.3%
The energy consumption information of the specific energy consumers is obtained

based on the developed system. The analyzed results of the energy consumers are
shown in Fig. 3. The energy consumed by the main spindle, feed X axis, feed Z axis
are respectively 47.6 W . h, 0.3 W . h, 2.2 W . h. The energy used in the basic state is
18.2 W . h.
Feed Z axis motor Other energy Total energy

Spindle motor Feed X axis motor
resource consumption
Fig. 3. Energy consumption information of different energy consumer.

148 P. Wu et al.
The energy consumption percentage of different components is shown in Fig. 4.

The energy consumed by the main spindle is 47.6%, which is the largest energy
consumer in the machine tools. However, the energy consumed by the feed X axis
motor and feed Z axis motor only take little parts of all the energy consumption.
Fan and servo

system:3.2%
Feed Z axis
motor:3.2%
Spindle
Feed X axis
motor:69.7%
motor:0.4%
Fig. 4. Energy consumption percentage of different components
The energy consumed in the different state is obtained by further analyzing the
energy consumption of the energy consumers. The results are shown in Table 6. The
energy consumed in the air-cutting state is 8.1 W . h, and the energy consumed in the
cutting state is 60.2 W . h.
Table 6. Energy consumption information during different states

States Power
Air-cutting 8.1 W . h
Cutting 60.2 W . h
In order to identify the adaptability of the developed system, the system is applied
to the machining center HAAS VF5/50, the energy consumption of the pallet during
the milling process have been monitored, as shown in Fig. 5. The analyzed results are
shown in Table 7, the energy consumed by the spindle motor is 281.1 W . h, which is
the largest energy consumption during the process. The second largest energy con-
sumption is the energy consumed by the fan and servo system, the energy consumed by
the fan and servo is 124.2 W . h.
5 Conclusions
This paper presents a configurable on-line monitoring system which is configured

according to the users’ requirements and the multiple energy consumers of the machine
tools. The system is conducted on two machine tools. The case shows that the system
Fig. 5. The pallet during milling process.
Table 7. Energy consumption information of different energy resources during machining

process
Objects Power
Servo and fan system 124.2 W . h
Main spindle 281.8 W . h
Tool change 10 W . h
Cooling system 8.25 W . h
Feed motor X axis 10 W . h
Feed motor Y axis 10 W . h
Feed motor Z axis 13 W . h
could not only obtain the total energy during machining process, but also it can make
the energy consumed by the specific energy consumer transparent. The results can
provide a refined energy management to the users.
The main energy consumers are identified by analyzing energy consumption of the
energy consumers, this analyzed results can help the designers to optimize the design of
machine tools. For example, the designer could choose the high energy-efficiency
motor for the main energy consumer.
The obtained energy efficiency and the energy consumed by the specific energy
consumer can support the operators to make an energy reducing plan. The obtained
total energy consumption and the energy consumed in the different state can support
the management to make schedule in the factory.
Acknowledgements. The authors would like to thank the support from the National Natu-
ral Science Foundation of China (Grant No. 51575072), Chongqing Research Program of Basic
Research and Frontier Technology (No. cstc2015jcyjBX0088).
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Research on a Multi-scenario Energy
Efficiency Evaluation Method for an Industrial
Park Multi-energy System
Chao Shi1(&), Wenzhong Gao1,2, Liting Tian2, and Lin Cheng2

1
School of Electrical Engineering, Beijing Jiaotong University, Haidian District
Beijing 100044, China
[email protected]
2
China State Key Laboratory of Power System, Department of Electrical
Engineering, Tsinghua University, Beijing, China
Abstract. Based on the consideration of the system primary energy utilization

and renewable energy consumption, the energy efficiency evaluation indices of
multi-energy system of an industrial park is proposed. The weight of each index
is determined by the information entropy principle, and the comprehensive
energy efficiency evaluation index and evaluation method of the multi-energy
system of industrial park are also established. Considering the change of energy
demand in typical days of summer, winter and transition season, the two
operating strategies of “Electric Load Following” and “Thermal Load Follow-
ing” are used to simulate multiple system operating scenarios. Based on the
established index system, the comprehensive energy efficiency of each scenario
is calculated and its comprehensive energy efficiency is evaluated for an
industrial park in Beijing. The case study shows that the comprehensive eval-
uation model and evaluation method of energy efficiency can fully reflect the
characteristics of multi-energy complementary operation and cascading energy
utilization in the park, which has practical significance for the design and
operation of multi-energy system.
Keywords: Multi-energy systems Comprehensive energy efficiency

Entropy weight method Cooling Heating and Power Multi-scenario
1 Introduction
To address energy crisis and environment issues, the integration of multiple energy
sources has become a hot topic in academia and industries in recent years, which is
expected to improve the comprehensive energy utilization efficiency and help solve
major concern of sustainability in many countries around the world [1]. The
The paper is supported in part by National Key R&D Program of China (2017YFB0903300);
National Natural Science Foundation of China (NSFC) (51777105); Science and Technology
Program of State Grid Corporation of China (Research and Application of Micro-grid Planning
and Operation); and project SKLD17KM03 of China State Key Lab. of Power System.

https://doi.org/10.1007/978-981-13-2381-2_14
152 C. Shi et al.
construction of the multi-energy system of industrial park has recently been considered
as a feasible approach scholars and enterprises. For example, in June 2017, the National
Energy Administration of China announced the first batch of “Internet+” smart energy
demonstration projects, out of which twelve projects are for park-level multi-energy
systems [2]. At present, constructing high energy efficiency multi-energy system for
industrial parks is considered to be one of the effective ways to solve the energy
demand problem in China at this stage [3–5].
Many scholars have studied the energy efficiency of the distributed energy CCHP
(Combined Cooling Heating and Power) system. There are many studies based on the
first law of thermodynamics; e.g., some studies [6, 7] evaluate the performance of the
CCHP system based on the energy analysis method using the first law of thermo-
dynamics. The research based on the second law of thermodynamics generally uses
exergy efficiency as an evaluation index. Some studies [8, 9] reveal the energy uti-
lization status of the CCHP system from the perspective of the second law of thermo-
dynamics. Some other studies [10, 11] analyze in detail the exergy efficiency and
primary energy efficiency, and point out that the efficiency of the gas turbine has a great
influence on the optimization of the operation of the CCHP system.
In this paper, based on the first and second law of thermodynamics analysis and
utilization rate of renewable energy, the specific evaluation indices of energy efficiency
for multi-energy system of industrial park is constructed. Secondly, the information
entropy principle is used to determine the weight of each index, and to form an energy
efficiency assessment method of the multi-energy system. Finally, through the opera-
tion process simulation of the multi-energy system in an industrial park, the compre-
hensive energy efficiency of the park is evaluated to verify the proposed method.
2 Energy Efficiency Evaluation Index
2.1 Multi-energy System of an Industrial Park

The multi-energy system of an industrial park may include renewable energy power
generation (such as photovoltaic power generation, wind power generation, biomass
power generation, etc.), distributed cogeneration units (CHP), heat pumps, gas boilers,
and electric refrigeration units and so on. The input and output energy flow of a typical
multi-energy system is shown in Fig. 1 [12].
Among these devices, wind power generation, photovoltaic power generation and
cogeneration units are used for the electric energy production. The electrical energy
storage devices are used to smooth the fluctuation of power output and load demand of
the park. The electricity load demand is partly supplemented by purchasing power from
external grid; the residual heat generated by the power generation process of the
cogeneration unit is used to drive the residual heat unit for cold and hot water to meet
the cold and heat load requirements, the insufficient part of which are supplemented by
a heat pump.
Research on a Multi-Scenario Energy Efficiency Evaluation Method 153
Electric load
power plant
transformer
energy storage batteries
Heat load
natural gas
CHP
Cooling load
refrigerator
domestic water
wind power generation and

Multi-energy system of industrial park
photovoltaic power generation
Fig. 1. Input and output energy flow diagram of multi-energy system for an industrial park
2.2 Energy Efficiency Evaluation Index

In order to reflect the energy utilization level of the park from multiple viewpoints, this
paper combines the first and second laws of thermodynamics analysis to establish
energy efficiency evaluation indices.
Primary Energy Consumption. The multi-energy system of an industrial park
operates under a combined cooling, heating, and electricity power supply mode. And
the primary energy consumption (Q1in ) is the sum of the consumed amount of gas heat
(Qgas ) and the purchased electricity (Eep ) which is converted to the corresponding
primary energy consumption; On the other hand, Q0in refers to the energy consumption
of system operating under the separated supply mode in which cooling, heating, and
electricity power will be supplied separately.
Eep
Q1in ¼ Qgas þ ð1Þ
g
Qe Qc Qh
Q0in ¼ þ þ ð2Þ
g COPg gh
where g means the total efficiency of the traditional coal-fired power plant delivering
electric energy; COP means the refrigeration coefficient of an electric refrigerator; gh
means heating efficiency; Qe , Qc and Qh are the electricity, cooling, and heat load
energy consumption quantity in the industrial park. For example, g = 0.3348,
COP = 3.6 in this paper.
Primary Energy Ratio. PER refers to the ratio of system output energy to primary
energy consumption under the combined cooling, heating, and electricity power supply
mode [13].
Qe þ Qc þ Qh
PER ¼ ð3Þ
Q1in
154 C. Shi et al.
Primary Energy Saving Rate. The primary energy saving rate refers to the ratio of
the primary energy consumption saved by the park operating in the combined cooling,
heating, and electricity power supply mode relative to the operation under the separated
supply mode to the total primary energy consumption.
Q0in Q1in
Dq ¼ ð4Þ
Q0in
Renewable Energy Consumption Rate. The consumption rate of renewable energy

refers to the ratio of the amount of renewable energy generated that is used by the load
in the park to the actual amount of renewable energy generated in the park.
Q1re
Rre ¼ ð5Þ
Q0re
Exergy Efficiency. Exergy efficiency refers to the ratio of the total exergy output by
the entire system to the total exergy input by the system. Exergy efficiency reflects the
degree of energy conversion in the system [14].
Eout Qe þ eQh Qh eQc Qc Qe þ ð1 To =TQh Þ Qh ð1 To =TQc Þ Qc

u¼ ¼ ¼
Ein e0 Egas þ Q1re e0 Egas þ Q1re
ð6Þ
where e0 , eQh and eQc respectively means the natural gas energy quality coefficient, the
thermal energy quality coefficient, and the cold energy quality coefficient; Egas means
the natural gas consumption; To ,TQh and TQc respectively means the environment
temperature, heat source temperature, and cold source temperature.
3 Multi-scenario Energy Efficiency Evaluation Method Based

on Information Entropy
3.1 The Operation Scenarios of Multi-energy System in an Industrial

Park
The energy efficiency of an industrial park depends on the input-output conversion
relationship and the operation strategies of the multi-energy system [15]. During the
operation of multi-energy system, the comprehensive energy efficiency will vary from
seasons and operating strategies.
There is a coupling relationship between the park’s electric energy and thermal
energy output, and the two operation strategies of “Thermal Load Following” and
“Electric Load Following” are considered. According to season and operation strategy,
this paper summarizes five scenarios of the multi-energy system of a typical industrial
park as shown in Table 1.
Table 1. The scenarios of energy efficiency criteria

Number Evaluation scenario
S1 “Electric Load Following” operating strategy on a typical winter day
S2 “Thermal Load Following” operating strategy on a typical winter day
S3 “Electric Load Following” operating strategy on a typical summer day
S4 “Thermal Load Following” operating strategy on a typical summer day
S5 “Electric Load Following” operating strategy on a typical transition season day
3.2 Comprehensive Energy Efficiency Evaluation Method
(1) Normalization of indicators [16]

Participate in the assessment scenario, denoted as M ¼ ðm1 ; m2 ; ; mm Þ; the
evaluation index is marked as D ¼ ðd1 ; d2 ; ; dn Þ, and the value of the j-th index of
the evaluated i-th scene is denoted as xij ði ¼ 1; 2; ; m; j ¼ 1; 2; ; nÞ, then an index
matrix X ¼ ½xij mn composed of evaluation indices is formed.
The larger the index value, the better the characterization result, according to the
normalization formula (7); the smaller the index value, the better the characterization
result, according to the normalization formula (8):

xij min xj
vij ¼ ð7Þ
max xj min xj

max xj xij
vij ¼ ð8Þ
max xj min xj
After standardization and dimensionless treatment, and the evaluation index matrix
X is specified as a matrix V. The characteristic proportion pij of the i-th evaluation
scenario is calculated under the j-th index, and form the normalized matrix P.
Vij
Pij ¼ Pm ð9Þ
i¼1 Vij
(2) Calculation of index information entropy

Therefore, we can judge the weight of the indicator in the comprehensive evalu-
ation by judging the information entropy value of the index. The calculation formula of
the information entropy value of the j-th index:
156 C. Shi et al.
1 X m
ej ¼ pij lnpij ð10Þ
lnðmÞ i¼1
(3) Determination of the weight of the index

First, the entropy weight wj of the j-th index is determined by formula (11):
dj 1 ej
wj ¼ P
n ¼P
n ð11Þ
dj 1 ej
j¼1 j¼1
(4) Calculation of the comprehensive evaluation result

The comprehensive evaluation value of i-th scene is:
X
n
vi ¼ wj Pij ð12Þ
j¼1
4 Case Studies
4.1 Load Demand
This paper takes the multi-energy system of an industrial park in Beijing as an example.
The park serves commercial centers, industrial manufactures, and residential buildings.
Each kind of user has demand for cold, heat, and electricity loads. There are a wind
turbine and photovoltaic generation in the park. The distributed renewable energy and
natural gas generation in the park is grid-connected but no back-feed is allowed to the
grid. The main equipment capacity in the park energy system is shown in Table 2.
Table 2. Equipment capacity

Equipment Wind turbine PV CHP BESS HP
Total capacity 2 MW 1.5 MW 3 MW 0.3 MW 2.5 MW
Through DeST software simulation, the typical daily cooling, heating and electrical
load curves of the park in summer, winter and transition seasons are obtained, as is
shown in Figs. 2, 3 and 4.
5
electrical load
4.5 heating load
Power（MW）
3.5
2.5
1.5
0 5 10 15 20 25
Time (h)
Fig. 2. Typical daily load demand during the winter
5
electrical load
4.5
cold load
4
3.5
Power（MW）
2.5
1.5
0.5
0
0 5 10 15 20 25
Time (h)
Fig. 3. Typical daily load demand during the summer
4
electrical load
3.5
3
Power MW
2.5
0 5 10 15 20 25
Time (h)
Fig. 4. Typical daily load demand during the transition season
4.2 Simulation of Each Scene in the System

The hourly power of each equipment can be obtained by using the two operating
strategies of “Thermal Load Following” and “Electric Load Following” for multi
scenario simulation in the typical days. The electricity power and thermal power curves
of each device of the system under each scenario are shown in Figs. 5, 6, 7, 8, 9, 10,
11, 12 and 13.
158 C. Shi et al.
9
wind power generation
8 photovoltaic power generation
CHP power generation
7
gross generation
6 electrical load
HP
5 abandoning wind and light
BESS
4
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25
Fig. 5. Typical electricity consumption under the “Electric Load Following” strategy during the
winter season
5
total heat production
4.5
CHP heat production
4 heating load
HP heat production
3.5
2.5
1.5
0.5
0
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
Fig. 6. Typical calorific figure under the “Electric Load Following” strategy during the winter
season
9
7
gross generation
6 electrical load
abandoning wind and light
5
BESS
4
-1
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
Fig. 7. Typical electricity consumption under the “Thermal Load Following” strategy during the
winter season
5
4.5
CHP heat production
4 heating load
HP heat production
3.5
2.5
1.5
0.5
0
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
Fig. 8. Typical calorific figure under the “Thermal Load Following” strategy during the winter
season
8
6 gross generation
electrical load
HP
4
BESS
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
Fig. 9. Typical electricity consumption under the “Electric Load Following” strategy during the
summer season
5
4.5 CHP heat production
heating load
4
HP heat production
3.5
2.5
1.5
0.5
0
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
Fig. 10. Typical calorific figure under the “Electric Load Following” strategy during the
summer season
9 wind power generation

photovoltaic power generation
8
7 gross generation
electrical load
6
HP
BESS
4
-1
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
Fig. 11. Typical electricity consumption under the “Thermal Load Following” strategy during
the summer season
5.5
5
CHP heat production
4.5 heating load
HP heat production
4
3.5
2.5
1.5
0.5
0
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
Fig. 12. Typical calorific figure under the “Thermal Load Following” strategy during the
summer season
160 C. Shi et al.
9
7 CHP power generatio
gross generation
6 electrical load
abandoning wind and light
5
BESS
4
-1
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
Fig. 13. Typical electricity consumption under the “Electric Load Following” strategy during
the transition season
4.3 Calculation Results of Evaluation Indicators in Each Scenario

Based on the actual operation of each scenario, and according to the calculation for-
mula of the indices, the specific values of energy efficiency indices are calculated, as
shown in Table 3. Because S1 adopts the “Electric Load Following” operation strategy,
renewable energy is completely accommodated; and because part of energy comes
from the solar and wind, the primary energy ratio of S1 exceeds 1.0. CHP cannot meet
the demand of electrical load at the maximum power operation after 16 o’clock, the
electricity is purchased from the grid. Because waste of the heat makes the primary
energy ratio of S1 to be lower than that of S3.
Table 3. The result of energy efficiency criteria

Number Energy efficiency evaluation index S1 S2 S3 S4 S5
A1 Primary energy ratio 1.153 0.954 1.352 1.030 0.947
A2 Primary energy saving rate 0.587 0.501 0.627 0.510 0.620
A3 Renewable energy consumption rate 1 0.500 0.881 0.325 0.722
A4 Exergy efficiency 0.800 0.822 0.761 0.763 0.715
S2 adopts the “Thermal Load Following” operation strategy. The heat of the CHP
is fully utilized, so the exergy efficiency is high. S2 produces more electricity while
meeting the higher heat load demand, which results in obvious curtailment of wind and
PV power, and lower renewable energy consumption rate than S1.
When S3 adopts the operation strategy of the “Electric Load Following”, in order to
avoid the frequent start and stop of CHP, CHP still runs at the minimum power though
CHP does not need to generate electricity, during the period from 0 to 10 o’clock,
which causes wind curtailment. So the rate of renewable energy consumption is lower
than S1.
S4 adopts the “Thermal Load Following” operation strategy. As the cooling load
demand increases rapidly between 6 and 9 o’clock, the amount of electricity generated
by CHP is redundant, so that the wind and PV power abandoning is obvious, and the
rate of renewable energy consumption is very low.
For S5, the wind power in the transitional season is relatively large. Between 0 to 8
o’clock, the amount of wind power generated even exceeds the electric load demand,
resulting in the wind power curtailment. Due to the lack of cooling and heating load
requirements in the transition season of S5, the heat of CHP is wasted, making the
energy efficiency not high.
4.4 Evaluation Results of Entropy Weight Method

The entropy value and weight of each indices are calculated as shown in Table 4. The
result shows that under the 5 scenarios the largest difference exists in primary energy
ratio and primary energy saving rate, and the corresponding information entropy value
is the smallest. Therefore, in the final evaluation calculation, these two indices have the
largest weight [17].
Table 4. Evaluation results

Indicators A1 A2 A3 A4
Information entropy 0.606 0.735 0.801 0.822
Weight 0.380 0.256 0.192 0.172
According to the index information entropy and index weights, the comprehensive
evaluation value of each system scheme can be calculated, as shown in Table 5.
Table 5. Evaluation results

Scenarios S1 S2 S3 S4 S5
Evaluation value 0.918 0.728 0.974 0.716 0.780
According to the evaluation results, CHP chooses the operation strategy of “Electric
Load Following” in the heating season, cooling season and transition season.
5 Conclusion
On the basis of full consideration of the utilization efficiency of non-renewable energy

and the rate of renewable energy consumption, this paper establishes a comprehensive
evaluation index model of energy efficiency of the multi-energy system of an industrial
park. Entropy weight method is used to calculate the weight of each index, thus the
specific value of the comprehensive energy efficiency can be evaluated under various
operating scenarios. Finally, a case analysis is carried out using the evaluation indices
and method established in this paper. Through the simulation of multi scenario oper-
ation in the park, the operation strategy of the park has a great influence on the
comprehensive energy efficiency of the system. This paper provides an effective and
practical method for the evaluation of the multi-energy system of an industrial park,
which is significant for the construction of multi-energy system.
162 C. Shi et al.
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Chinese)
Green Supply Chain Management Information
Integration Framework and Operation Mode
Analysis
Zhou Zhou ✉ , Kaihu Hou, and Hui Zhang

( )
Kunming University of Science and Technology, Chenggong, Kunming 650000, China

[email protected]
Abstract. So far, the connotation and system of Green supply chain Manage‐
ment (GSCM) have already had quite a lot of content, and its theoretical research
has also achieved fruitful results. However, at present, the connotation and system
of Green supply chain Management still lack the support of information founda‐
tion, so it is difficult to monitor, analyze and evaluate the implementation of Green
supply chain Management. Based on the connotation and system of green supply
chain management, this thesis discusses how to build the information base of
Green supply chain Management, and puts forward a new information integration
framework and operation mode of green supply chain. It lays a foundation for
realizing the connotation and system of Green supply chain Management and the
integration of enterprise management information system, and provides a way to
solve the problem that the Green supply chain Management system is difficult to
monitor, analyze and evaluate.
Keywords: Green supply chain Management (GSCM) · Integration framework

Operation pattern
1 Introduction
“Green supply chain Management (GSCM)”, as a feasible way to solve the problem of
not only economic benefit but also saving environmental protection in manufacturing
industry, has been paid more and more attention and research by many scholars. For the
GSCM, domestic and foreign scholars have carried out a lot of research: Anne Touboulic
and Helen Walker have studied the theoretical development and present situation of
sustainable supply chain, and put forward that integration and comprehensive under‐
standing of the concept of “sustainable” will be the main challenge facing the develop‐
ment of sustainable supply chain in the future. Based on the analysis of a large number
of literatures with high recognition at present, it is pointed out that more microscopic
and multi-level methods should be used to study the sustainable supply chain in the
future [1]. Stephan Vachon conducted a survey of North American packaging and
printing plants (USA and Canada) using statistical probabilistic models to analyze the
data, indicating that there is a link between environmental management in supply chains
and the quality management norms used by factories. It is speculated that the

https://doi.org/10.1007/978-981-13-2381-2_15
164 Z. Zhou et al.
environmental cooperation in the supply chain is more to prevent the production of

unqualified products than to solve the disputes or evaluate the enterprises in the supply
chain [2]. Green Jr and others collected data from 159 managers of manufacturing
enterprises, analyzed and evaluated the practical application and performance model of
supply chain management by using structural equation modeling method, analyzed
suppliers and manufacturers. The impact of different cooperation links between
customers on environmental performance and enterprise economic performance. Only
by grasping the balance point between environmental performance and economic
performance can we maximize the economic benefits of enterprises [3]. Marco Formen‐
tini and Paolo Taticchi have studied how to implement sustainability method and
management mechanism in enterprises. Through the perspective of contingency theory,
strategic adjustment and enterprise resource-based perspective, seven cases are
analyzed. A sustainable supply chain management mechanism was developed and vali‐
dated in the surveyed company [4].
In China, the research of Green supply chain Management has also made a lot of
achievements. Sun Tingting and others analyzed and summarized the process, environ‐
ment and technical support of green supply chain management, and put forward the
establishment and management methods of green supply chain in our manufacturing
industry [5]. Zhang Jinhua proposed the “three-level information integration model” by
modeling the operational framework of green supply chain management and analyzing
its information integration mode [6]. By studying the integration of three dimensions of
enterprise environment management, innovation management and supply chain
management, Yang Jiehui and others put forward the sustainable innovation system of
supply chain and its model, and analyzed the key points of applying this model to
different levels [7]. Yisheng and Xue draw up the following three conclusions by using
multiple linear regression model: the internal environment management in the enterprise
green supply chain management has the positive effect on the enterprise green innova‐
tion; The ecological design of enterprise green supply chain management is positively
related to green innovation, and the cooperation between enterprises and consumers is
beneficial to the green innovation of enterprises [8].
At present, most of the researches mainly focus on two aspects: on the one hand,
how to establish and implement the theory of green supply chain management in enter‐
prises, and on the other hand, the research on how to integrate new ideas and technologies
into green supply chain. But in the environment and background of industry 4.0, the
above research generally lacks the support of manufacturing informatization. And for
the green supply chain management information research is less. Although the opera‐
tional framework and integration mode of green supply chain are studied in reference
[6], the main concern is the integration of the whole information from the outside of the
enterprise and the inside of the enterprise, but the green supply chain within the enter‐
prise is seldom discussed. This thesis starts with the information integration framework
and operation mode of GSCM, takes the internal supply chain of enterprise as the object,
and combines the idea of product life cycle management and discussed how to realize
the informatization of GSCM in manufacturing enterprises.
Green Supply Chain Management Information Integration Framework 165
2 The Connotation of GSCM Informatization
By supplementing and integrating the management systems of each link in the internal
supply chain, a complete green supply chain management system within the enterprise
can be constructed completely. A complete green supply chain management system
oriented to the internal enterprise should be the different management information
systems involved in the production and operation of the enterprise. The functions of
each department are integrated and planned rationally and effectively, and the indicators,
processes, standards and systems of the green supply chain management are integrated
into it, thus a new, more complete and completely new green supply chain management
system which combines the functions of each part of the system is built.
The GSCM system has the basic information of the whole enterprise and the business
data generated in the operation of the enterprise, and these quantitative data can be
extracted by technical means. And these data are stored in the enterprise database.
Therefore, the GSCM system can solve the problem that the green supply chain manage‐
ment lacks the information support and the green supply chain management is difficult
to quantify. Following is an analysis of the GSCM integration framework to illustrate
how to address these two issues in detail.
3 GSCM Information Integration Framework
In order to solve the problem that green supply chain management lacks information
support and is difficult to quantify, three key points must be grasped: (1) GSCM should
be integrated according to what technical route, the business data involved in the oper‐
ation of the enterprise should be preserved to the maximum extent, to ensure the integrity
of the data, and make it become the information support of the enterprise. (2) which
management systems should be integrated in GSCM to ensure the overall coverage of
the main business of manufacturing enterprises; (3) In view of the problem that the
evaluation of green supply chain management is difficult to quantify, what evaluation
indexes should be set up in the GSCM system to evaluate the degree of green supply
chain management? The following three problems are discussed in detail.
3.1 Technical Integration Framework for GSCM
From the technical level, GSCM system should be based on business system, through
database integration planning, business logic integration planning and business process
redesign to ensure data integrity. Realize the goal of unified access and unified business
collaboration.
Therefore, the technology integration framework of green supply chain management
system is divided into four levels: application system layer, data layer, logical abstraction
layer, business process layer and access layer. As shown in Fig. 1:
166 Z. Zhou et al.
Unified
access Unified access Sub-user display Customized
business
layer entry information report form
collaboration
Business
process
integration
Logical
abstraction Include Yes Judge No Return ……
layer
Data Sql SYBA

Layer Oracle DB2
Server SE
applicati
PDM/CAD CAPP ERP MES
on layer
Fig. 1. Technology integration framework of Green supply chain Management
Technology Integration Framework of GSCM explains how to realize the integration

of GSCM system from the technical level.
The application layer includes the basic business system involved in the production
and operation of the enterprise, which reflects the basic information needed for the
production and operation of the enterprise. The data layer includes all the business and
production data of the enterprise and these data may be independent and dispersed before
integration, so it is necessary to integrate the new business process planning in the busi‐
ness process layer, according to the actual situation of the enterprise. The lowest inte‐
gration mode, the data-based integration mode and the function-based integration mode
are selected to share and transfer information in the data layer through the processing
of logical abstraction layer. Eventually, the user realizes the unified access to the new
system through the unified access portal of the access layer, the cooperation of the busi‐
ness, the display of system information by role and the display of different reports
according to the user’s role.
3.2 Application Layer Integration Framework for GSCM
Application layer Integration Framework for GSCM explains what the GSCM system
should contain from the concept level, the relationship between each module and how
they work to form a complete system.
Different from the technology integration framework of GSCM, the technology
integration framework of GSCM provides the technical route and integration strategy
for the implementation of the application layer integration framework of GSCM. The
application layer integration framework of GSCM indicates which aspects of enterprise
operation and which management information system should be involved in GSCM
system. The technology integration framework of GSCM is the theoretical foundation
of GSCM application layer integration framework. The application layer integration
framework of GSCM is the concrete content of GSCM system. Both of them constitute
the whole integration framework of GSCM system, which is indispensable.
The application layer integration framework of GSCM is an important foundation.
What is different from the common enterprise information integration system is that the
application system integration framework of GSCM must be combined with the conno‐
tation and system of green supply chain management. By controlling several important
stages in the product life cycle, the design is carried out.
(1) Product design stage
In the design phase, through the secondary development of the PDM system, we can
identify and identify the materials that need to be under key control, including hazardous
substances, controlled substances and recycled materials, etc. At present, the country
has clearly defined the environmental pollution materials and recyclable materials. The
concrete classification may refer to the national standard “green production enterprise
green supply chain management guideline” appendix C. Do not allow or restrict
designers to use environmentally hazardous materials, in the system for controlled
materials for clear color or marking. For recyclable materials, it should be arranged in
advance in the system to make it the first choice for product designers.
(2) Acquisition phase
In the procurement process, the purchasing and warehousing module of the ERP
system needs to be developed in a second time, and the material audit and warehousing
workflow in the system is modified. In the supplier management of purchasing module,
the supplier should be given green supplier rating according to the environmental
protection degree of the material provided in a supplier evaluation cycle, which can be
used in the future business of the enterprise to select the supplier with higher rating. In
the process of material audit, in addition to the quality and quantity of materials, it is
also necessary to audit their environmental protection to ensure that the materials
purchased by enterprises meet the requirements of the green supply chain management
system. In addition, in the storage module, It is also necessary to identify and mark all
kinds of materials to facilitate managers to check and count all kinds of materials that
need to be controlled.
(3) Process planning stage
In the process planning, we need to improve and expand the CAPP system, add the
green characteristic evaluation module into the hybrid CAPP system, and evaluate the
green performance of the processing process from the aspects of resource consumption
and environmental pollution and so on. The results of process planning and evaluation
are fed back to PDM system or PLM system, so that the designer can get enough infor‐
mation to improve and optimize the product design.
168 Z. Zhou et al.
(4) Production phase

In the process of production, MES system must be introduced, based on the real-
time data in the production process, and the configuration technology of the MES system
is used to realize the material consumption in the production workshop, machining
workshop, assembly workshop and other production areas. The waste generated, pollu‐
tant discharge and energy consumption can be monitored in real time, and alarm warn‐
ings can be set for some production links that need to be monitored in accordance with
the pre-set pollution targets. Help enterprises to improve the green production execution,
monitoring ability and the ability to respond to the alarm in the actual production process.
Through the above analysis, the integrated framework of GSCM and the manage‐
ment system involved in it have been described and analyzed in detail. The following
is a diagram of the application layer integration framework for GSCM, as shown in
Fig. 2:
Fig. 2. Application layer integration framework diagram of GSCM

3.3 Evaluation Indexes in Each Stage of GSCM

In order to quantitatively evaluate the GSCM, different indicators need to be set at
different stages of business operations:
(1) Product design stage
In this stage, the proportion of green or recyclable materials to the whole product
(PGWP) and the proportion of heavy polluted or controlled materials to the whole
product (PPWP) should be taken as the evaluation index.
(2) Acquisition phase
In this stage, the proportion of green or recyclable materials in the purchased mate‐
rials (PGMP) should be used as an evaluation index. For suppliers of green materials
required by the government, the proportion of green or recyclable materials provided
by suppliers can be used as an indicator to evaluate the green grade of suppliers.
(3) Process planning stage
In this stage, the waste ratio of the process output used (WRPO) and the ratio of
pollutants produced (RPP) should be used as an evaluation indicator.
(4) Production phase
In this stage, the utilization ratio of actual materials (URAM), the consumption of
energy (CE) and the quantity of pollutant emission (QPE) should be taken as the eval‐
uation index.
4 Analyses on the Operation Mode of GSCM
Practice shows that the economic benefit and management height of the same system
are completely different under different operating modes. Therefore, how to reasonably
design and plan the operation mode of GSCM to achieve the system requirements of
high cohesion and low coupling, It is crucial and important problem to realize the
efficient operation of the whole supply chain management system and to embody the
green supply chain management system in the operation of the system. Next part will
carry on the discussion and the analysis to the GSCM operation pattern.
The essence of the GSCM system is firstly the existence of the production and oper‐
ation management system of the enterprise. Therefore, the first consideration of the
operation mode of green supply chain management system is to design according to the
operation mode of enterprises. From product research and development to product
design, raw material procurement, production, accumulation of enterprise material
information database to product sales. After that, the third party system manages the
transportation and recycling of the products. Figure 3 is the operation mode of the green
supply chain management system designed according to the production and operation
mode of the enterprise:
170 Z. Zhou et al.
Fig. 3. Operation Mode of GSCM system
The product design system according to the green design standard design product
style, build a product BOM list. Determine the required materials, transfer the relevant
documents and materials to the process management system, the process management
system according to the green production process standards to arrange the appropriate
processing process and process, Then the raw material information needed to be
purchased can be transferred to the ERP system according to the demand of the enter‐
prise, and the information can be selectively transferred to the ERP system in order to
support the function of quota material collection and so on. At the same time, the product
drawings, processing technology, BOM list and so on are passed to the MES system.
The raw material inventory status information in the warehouse is passed to the MES
system by the ERP system. If the stock is sufficient, it is ready to produce, if the stock
is insufficient, then the raw material is waited to complete the production after the raw
material purchase. In the production process, the MES system carries on the production
management and the each production process monitor according to the green production
standard, guarantees the production smoothly, finally hands the product to the third party
system to carry on the management.
The operation mode of GSCM system designed according to the above model
accords with the production operation of the enterprise and can support the normal
production operation management of the enterprise. However, this mode belongs to the
“propulsive” mode of operation. Although it can normally carry out various business
blocks, it lacks feedback to form a closed-loop information flow, and it is difficult to
improve the management level of an enterprise. Secondly, there is a lack of quantitative
indicators to evaluate and improve the operation model, which will limit the flexibility
of the GSCM system, once the implementation is completed, it is difficult to improve
and improve. Therefore, in order to make up the shortcomings and shortcomings of the
“advanced “ operation mode, this paper puts forward the operation mode of the improved
operation green supply chain management system, as shown in Fig. 4:
Fig. 4. Improved operation mode of GSCM system
In view of the problems in the “propulsive” operation mode, the improved GSCM
system adds the data feedback flow monitored and collected from the production process
to the improved GSCM system, thus realizing the closed-loop flow of information.
Through the quantitative data such as pollution situation and material utilization rate
collected in the process of product manufacture and each process, the system of product
design and process management is fed back to the product design system and the process
management system. Facilitate designers and process managers to better analyze the
causes of pollution, pollution and raw materials are fully utilized. Thus, the pollution
treatment methods or product and process solutions are given, and the new generation
of products and corresponding process processes are designed. At the same time, the
designers feed back to the R & D department the parts of the next generation products
that need to be improved and optimized. So that R&D department has targeted R&D.
This process is repeated in the process of production and manufacture of the new gener‐
ation of products, and a continuous improvement and innovation of the enterprise oper‐
ation mode is formed.
The two operational models are compared here in one year using the evaluation
indicators mentioned above, thus illustrating the improved operational model being
more refined and mature, as shown in Table 1:
Table 1. Promotion comparison table

Product design Acquisition Process Production phase
stage phase planning stage
Promotion PGWP PPWP PGMP WRPO RPP URAM CE QPE
Unused system – – – – – – – –
“Propulsive” 24% 56% 70% 10% 40% 85% 90% –
operation mode
Improved model 32% 50% 82% 8% 38% 88% 90% –
172 Z. Zhou et al.
5 Conclusion
Green supply chain is a new mode and inevitable trend of the development of our manu‐
facturing industry in the future. Based on the connotation and system of green supply
chain management, this paper further expounds the integrated framework and two oper‐
ation modes of green supply chain management system. The two operation modes are
analyzed and compared. The GSCM system after planning and integration has solved
the problem that traditional supply chain management system lacks systematic support
and is difficult to quantify.
The GSCM system after planning and integration has solved the problem that tradi‐
tional supply chain management system lacks systematic support and is difficult to
quantify. Through the practical application in a certain equipment manufacturing enter‐
prise, this model provides a supporting platform for the system realization and quanti‐
tative evaluation of the GSCM system of the enterprise. The logistics and information
flow of the enterprise are unified effectively, which improves the management level of
the enterprise and the ability of the GSCM.
References
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literature review. Int. J. Phys. Distrib. Logist. Manag. 1(2), 16–42 (2015)
2. Vachon, S., Klassen, R.D.: Environmental management and manufacturing performance: the
role of collaboration in the supply chain. Int. J. Prod. Econ. 2, 299–315 (2008)
3. Green Jr., K.W., Zelbst, P.J., Meacham, J., et al.: Green supply chain management practices:
impact on performance. Chain. Manag. 3, 290–305 (2012)
4. Formentini, M., Taticchi, P.: Corporate sustainability approaches and governance
mechanisms in sustainable supply chain management. J. Clean. Prod. 112, 1920–1933 (2014)
5. Sun, T., Xi, D., Wang, Y.: Suggestions on the implementation of green supply chain
management in manufacturing enterprises. Stand. China 03, 77–81 (2017)
6. Zhang, J.: Analysis of operation framework and information integration model of green
supply chain management. Inf. Sci. 32(12), 105–108+114 (2014)
7. Yang, J., Han, Q., Shui, H.: Three-dimensional Integration of enterprise environment
management, innovation management and supply chain management-construction and
application of supply chain sustainable innovation system. Sci. Technol. Prog. Count.
Measures 32(08), 18–23 (2015)
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Design of Temperature Monitoring System
with Low Power Consumption for High
Voltage Electrical Equipment
Hongqing Wang, Minjie Zhu(&), Yining Bi, Xiaohui Liu,

and Haiping Ma
Department of Electrical Engineering, Shaoxing University, Shaoxing 312000,

Zhejiang, China
[email protected]
Abstract. In order to ensure the high voltage electrical equipment working

efficiently and safely, a wireless temperature monitoring system with low power
consumption was designed based on C8051F930 and Si4438. The system
includes the host and the slave,both of which are composed of main control
module, wireless communication module, power module and so on. The slave is
installed in electric equipment, and it sends temperature data to the host through
wireless communication. When the temperature exceeds the preset value, the
system sends warning information. The system has the advantages of low power
consumption, high precision, long distance and low cost, which enables users to
remote temperature monitoring of high-voltage electrical equipment in time.
Keywords: Wireless communication Low power consumption

C8051F930 Si4438
1 Introduction
Nowadays fire or explosion caused by high voltage electrical equipment or their poor
installation quality is common, which results in hidden danger for major public projects
and infrastructures. Therefore, the temperature monitoring system for high voltage
electrical equipment is an important measure to ensure the power networks safely
operating [1].
There are three ways about the temperature monitoring of high voltage electrical
equipment: surface temperature induction strips, infrared temperature measurement,
and optical fiber grating temperature measurement [2, 3]. Surface temperature induc-
tion strips used widely in electric power industry have low cost, easy installation and
maintenance, but its disadvantage is artificial observation. So it could not achieve
temperature alarm in time or constitute a monitoring network. The infrared equipment
is complicated, and it has high power consumption. In particular, infrared signals can’t
penetrate obstacles [4]. The optical fiber is not used widely because of its disadvantage
of insulation performance, which would be greatly reduced in rainy season or humid
climate, and be easy to snap and no-resistant to high temperature.

https://doi.org/10.1007/978-981-13-2381-2_16
174 H. Wang et al.
This paper develops a temperature monitoring and warning system with low power
consumption based on wireless communication, which is designed to provide a solu-
tion for temperature monitoring for high voltage electrical equipment.
2 System Constitution
Figure 1 shows the system structure. Slave machine (signal transmitter) uses high-
temperature lithium battery for power supply, which is installed on the electrical
equipment for testing. The slave machine collects temperature data and sends it to the
host machine (wireless signal acquisition unit) through wireless communication. The
host machine receives and stores the temperature data, and communicates with the data
processing system through the RS485 bus. Data processing system sends host machine
instructions and delivers the alarm information to the operator for electric power net-
works in time by SMS, and synchronizes data to the central server through internet.
The management for power networks masters each testing point’s situation by the data
center server. This paper will mainly discuss the design of the slave and host machine.
Fig. 1. System structure
3 System Hardware Design
The host and slave machine are all composed of main control unit, wireless commu-
nication unit and power unit. Since the host machine communicates with the data
processing system and collects information to display timely, the hardware is more
Design of Temperature Monitoring System 175
complicated than that of slave machine. The slave machine’s PCB board is the same as
one in host machine, and some electronic components didn’t require welding.
3.1 Control Unit

Figure 2 shows the main control unit. C8051F930 is selected as the main MCU, which
has low power consumption and convenient programming or debugging [5]. Since the
host and slave machines need to store system parameters such as device address, the
parameters are stored in non-volatile memory by key setting, and 24C01 is chosen as
storage device. The OLED display is chosen for the host machine working and slave
machine debugging [6, 7]. Considering the interface flexibility, the RS485 interface
and the USB interface are designed in host machine, which are easily used through the
J1 and J2 jumpers.
Fig. 2. Main control unit
The RS485 interface has anti-jamming processing to ensure reliable performance.

CP2102 is used as the USB interface chip, because its excellent performance can
realize serial communication between host machine and data processing system, and
realize program serial download.
DS18B20 is chosen as the slave machine’s temperature sensor. The slave machine
is placed in particular metal EMI shield which is installed in temperature measurement
point by thermal conductive silica gel to ensure reliable performance [8]. J-rf1 is an
interface between the main control unit and the wireless communication unit. In
practice, slave machine’s serial communication circuit (including RS485 and USB)
does not need welding, and the OLED display does also not need welding after mass
production. The temperature sensor in host machine does not need welding either.
3.2 Wireless Communication Unit

Silicon Labs’ Si4438 is used as the communication unit, which is a low-power, high-
performance wireless transceiver chip. The chip communicates with the MCU by SPI
176 H. Wang et al.
interface, and its communication frequency band can cover 425–525 MHz with duplex
sending and receiving mechanism. In addition, the shutdown current is only 30 nA, the
standby current is only 50 nA, and the receiving sensitivity is −124 db (@500 bps),
which extends the transmission distance for wireless transmission and provides reliable
communication link [9]. Figure 3 shows the si4438’s schematic.
Fig. 3. Communication unit
3.3 Power Unit

The salve machine is installed in isolating switch contacts, all kinds of wire clips, cable
junctions, and transformer contacted separately. It uses 4.2 V high-temperature lithium
batteries for power supply, and uses a LDO chip AMS1117-3.3 to provide 3.3 V
voltage. The circuit is shown in Fig. 4.
Fig. 4. Power unit
Since the working environment is various, the power supply for host machine has
four modes: battery power supply; USB power supply; debugging interface C2 power
supply and AC adapter thought USB. The mode of power supply works conveniently
through the switch.
4 System Software Design
The key of software design is low-power consumption and reliable to communicate. The
low-power consumption is important to slave machine design, and there are two keys to
solve it: using the MCU’s suspend mode reasonably and planning the temperature data
launch time intervals. C8051F930 has a 32-bit real-time clock with dedicated 32 kHz
oscillator, and it works normally in 0.9–3.6 V voltage without any external resistance or
load capacitance in the MCU’s lowest-power consumption mode [10–13]. Considering
the reduction of power consumption, slave machine acquires temperature data every
10 min and then judges that whether the temperature value exceeds its limit or not. The
salve machine uploads temperature data every 4 h without exception, and uploads
temperature data’s time interval according to the different situation with exception.
The MCU of slave machine suspends when acquiring or uploading temperature data.
The software procedure of slave machine is shown in Fig. 5.
Fig. 5. Main program
Wireless communication employs DLT645 protocol, which is used widely in power

industry and mainly based on the main-slave and semi-duplex communication structure
[14, 15]. The establishment and termination of communication link are controlled by
the information frame from the host machine. Each frame is composed of seven
domains, including start frame, slave machine address frame, control code frame, data
178 H. Wang et al.
length frame, data frame, verification frame and terminator frame. Each element is
consisted of a number of bytes. When the host machine detects the data frame, the
length of the packet is checked firstly, and then the frame head, the frame tail and the
frame length are checked.
The frame information is preserved when all information is right. If temperature
exceeds its limit, the host machine uploads alarm information for displaying or storing
in PC via a serial port. In addition, the users can modify temperature limit.
5 Performance Testing
The experimental test is performed, as shown in Fig. 6. The test environment is divided
into normal temperature, high temperature and low temperature. The communication
frequency is set to 433 MHz and the communication distance is set to 100 m. The data
is transmitted every 10 min. The system is powered by 4.2 V and 1200 mA in a single
lithium battery. Table 1 shows the reliability of test data, and Table 2 shows test data
about the power consumption of system.
Fig. 6. System Testing
Based on the testing results, the system works well in all the test conditions, and
can meet the actual requirements. Furthermore, we find that each data time is short,
which is tested within 100 ms. The average current is very small, and transmit interval
is far longer than 10 min in practice. By theoretical calculation, the system can con-
tinue to work more than five years with a single lithium battery.
Table 1. Test data for system reliability

Work 24 h at 25 °C Work 6 h at 80 °C Work 2 h at 0 °C
Actual reception number 8639 2156 719
Theoretical reception number 8640 2160 720
Reliable rate (%) 99.98 99.81 99.86
Table 2. Test data for the power consumption of slave machine

Dormant operating current <30 uA
Maximum transmitting current (100 m) 10 mA
This paper show that the proposed system can be applied to the wireless temper-
ature measurement for high voltage equipment in power industry, and it can effectively
solve the problem of untimely manual inspection.
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Energy Storages
FRA and EKF Based State of Charge
Estimation of Zinc-Nickel Single Flow
Batteries
Yihuan Li1(B) , Kang Li1 , Shawn Li1 , and Yanxue Li2

1
School of Electronic and Electric Engineering, University of Leeds,
Leeds LS2 9JT, UK
{elyli2,K.Li1,elxli}@leeds.ac.uk
2
State Grid Energy Conservation Service Co., LTD, Beijing, China
[email protected]
Abstract. The reliable state of charge (SOC) estimation is indispens-

able for flow batteries to maintain the safe and reliable operation. The
widely adopted Extended Kalman filter (EKF) algorithm is a model-
based method, however, the uncertainties in battery model will cause
large errors in SOC estimation. An accurate battery model is the essence
to capture the behaviors of batteries. In this paper, a novel framework
for the SOC estimation of Zinc-nickel flow batteries is proposed based on
the fast recursive algorithm (FRA) and extended Kalman filter (EKF).
The FRA is firstly used to determine the model structure and identify
the model parameters. Due to merits of FRA, a compact and accurate
model of flow battery is built. Then, the SOC is estimated using the
EKF based on the proposed linear-in-the-parameter model. Experimen-
tal studies and resultant simulations manifest the modelling accuracy of
the proposed SOC estimation framework.
Keywords: Flow battery · State of charge (SOC)

Fast recursive algorithm (FRA) · Extended Kalman filter (EKF)
1 Introduction
Batteries have become increasingly popular in smart grid and electric vehicles
(EV) applications for energy storage. The redox flow battery (RFB) is char-
acterized by the long life cycles and high charging/discharging efficiency, and
has undergone rapid development in recent years [1]. Cheng and Zhang et al.
[2] have proposed a novel RFB system, namely the single flow zinc-nickel bat-
tery system. Zinc-nickel single flow batteries (ZNBs), known as electrochemical
energy storage sources, have attracted a lot of attention due to their advantages
of high energy density, safety, and low cost [3]. The advantages of ZNBs include
moderate cost, modularity, transportability and flexible operation [4]. Similar to
solid batteries and other type of flow batteries, the battery management system
(BMS) is vital for zinc-nickel flow batteries to ensure the optimal, reliable and
https://doi.org/10.1007/978-981-13-2381-2_17
184 Y. Li et al.
efficient operation, and to provide accurate battery internal state information for
the energy management modules is an important issue to address in the BMS
[5]. In particular, the battery state of charge (SOC) estimation is an essential
part of a BMS, it provides fundamental knowledge about the real-time remaining
capacity and energy of the battery.
During the last decade, a large number of real-time SOC estimation methods
have been developed. The methods can be classified into four groups, includ-
ing the looking-up table based methods, ampere-hour integral method, model-
based estimation methods, and data-driven estimation methods [6]. Among these
groups of methods, the looking-up table based approach is more suitable for lab-
oratory environment. While the reliability of the ampere-hour method is affected
by measurement errors and available capacity. The data-driven methods are very
sensitive to their identified parameters extracted from the training data, though
they may achieve high prediction accuracy. Contrary to model-free methods,
the model-based estimation methods require accurate battery models. Electro-
chemical model (EM), equivalent circuit model (ECM) and black-box model are
among the most commonly used models. These models often require to incor-
porate state estimation algorithms and adaptive filters to estimate and infer
the internal states of batteries, such as open circuit voltage (OCV), the state
of charge (SOC), and the state of health (SOH), etc. Among these methods,
the extended Kalman filter (EKF) and other Kalman filter variants are widely
adopted for SOC estimation.
In this work, the fast recursive algorithm (FRA) [7] is applied for battery
model identification. The relationship between battery terminal signals and SOC
is first interpreted by a linear-in-the-parameters model, then EKF based SOC
estimation is presented.
This paper is organized as follows. A brief review of the FRA is presented
in Sect. 2. Then the battery state equations deduced by FRA is introduced in
Sect. 3, and the EKF based battery SOC estimation method is also described in
details. Section 4 validates the efficacy of the SOC estimation and the proposed
batteries models. Finally, Sect. 5 concludes the paper.
2 Preliminaries
The accuracy of battery SOC estimation heavily depends on the accuracy of the
battery model. This section first gives a brief introduction to the state of charge
(SOC) of batteries, followed by the fast recursive algorithm used for the model
identification.
2.1 Battery State of Charge (SOC)

SOC is an important internal state that describes the ratio of the remaining
capacity to the present capacity of a battery. The relationship between the SOC
at time instant k and SOC at time instant k + 1 can be calculated below [8].
ηΔt
SOCk+1 = SOCk + Ik (1)
Q
FRA and EKF Based SOC Estimation 185
where Q is the nominal capacity, η is the coulombic efficiency, Δt is the sampling

interval, and Ik is the current at time instant t. When the battery is charging,
the current value is assumed positive, vice versa. Since SOC calculation based
on Eq. (1) is subject to a number of uncertainties associated to the initial value
estimation of SOC, and noises and inaccuracies introduced into the terminal
current measurements. Therefore, both a good model to capture the relationship
of SOC with a set of readily available measurements and the EKF for SOC
estimation subject to measurement noises and other inaccuracies are employed.
2.2 Fast Recursive Algorithm for Model Identification

The fast recursive algorithm (FRA) is an efficient method for nonlinear dynamic
system identification and modeling developed by Kang and his co-workers [7].
FRA is able to select and determine both the model structure and the model
parameters simultaneously. In this work, the FRA is used to correlate the non-
linear relationship between the battery terminal voltage and SOC, which is
described by a linear-in-parameter equation.
A normal nonlinear discrete-time dynamic system can be represented in a
matrix form as follows:
y = ΦΘ + Ξ (2)
T
where y = [y(1), ..., y(m)] are the system outputs, Φ = [ϕ1 , ..., ϕn ] is the regres-
sion matrix and each ϕi = [ϕi (1), ..., ϕi (m)]T , (i = 1, ..., n) contains all candidate
model terms, Θ = [θ1 , ..., θn ]T and θi (i = 1, ..., n) is the unknown parameters to
be identified, and Ξ = [ξ1 , ..., ξm ]T is the model residual matrix.
Two recursive matrixes Mk and Rk , are predefined in FRA to fulfill the
forward model selection procedure as:
Mk = ΦTk Φk (3)
Rk = I − Φk M−1 T
k Φk (4)
where Φk contains the first k columns of the full regression matrix Φ, addi-
tionally, k = 1, ..., n, and R0 = I. When {ϕi , i = 1, 2, ..., n} in Φ are mutually
linearly independent, the recursive matrix Rk will has the following distinguished
properties [9]:
Rk ϕk+1 ϕTk+1 RTk

Rk+1 = Rk − , k = 0, 1, ..., (n − 1) (5)
ϕTk+1 Rk ϕk+1
RTk = Rk , Rk Rk = Rk , k = 0, 1, ..., n (6)

Rk Rj = Rj Rk = Rk , k ≥ j; k, j = 0, 1, ..., n (7)
Rk ϕi = 0, ∀i ∈ {1, ..., k} (8)
Assuming Ek denotes the cost function. When the first k columns in Φ are
selected, and Ek can be expressed as
Ek = yT Rk y (9)
186 Y. Li et al.
To simplify the formulas and decrease the computational complexity, three quan-
tities are consequently defined as
⎧ (k)
⎪
⎪
(0)
ϕi Rk ϕi , ϕi R0 ϕi = ϕi
⎪
⎨ T
, a1,i ϕT1 ϕi
(k−1) (k−1)
ak,i ϕk ϕi (10)
⎪
⎪ T T
⎪
⎩ ak,y ϕ y = ϕT1 y
(k−1) (0)
k y, a1,y ϕ1
where i = 1, ..., n, and k = 0, 1, ..., n. According to the properties of Rk and the

new quantities definition, the net contribution of the selected model term ϕk+1
to the cost function can be calculated as
2 2
yT ϕk+1 aTk+1,y
(k)
ΔEk+1 = T = , k = 0, 1, ..., n − 1 (11)

(k) (k) ak+1,k+1
ϕk+1 ϕk+1
By calculating the net contribution of each term, the model terms with maximum
contributions will be selected. Then an effective formula will be given for model
parameters identification procedure as follows:
k
aj,y − i=j+1 θ̂i aj,i
θ̂j = , j = k, k − 1, ..., 1 (12)
aj,j
Equations (11) and (12) constitute the FRA, which solves the least-squares prob-
lem recursively.
3 Battery SOC Estimation

This section introduces the SOC estimation based on the EKF algorithm. The
main idea is to use the model built by FRA to predict the terminal voltage
in real-time which is then compared with the actual measured voltage signals.
The estimated error is used to update the SOC estimation using the Extended
Kalman Filter (EKF).
3.1 Battery State Space Model

The detailed EKF algorithm for battery SOC estimation can be found in [10].
As discussed before, to have an accurate estimation of the SOC, a good battery
model is essential. As described in Sect. 1, EM, ECM and data-driven black-box
models are three popular types of battery models. The EMs are the most accu-
rate, but they are hard to establish because they require detailed first principle
knowledge and the computational complexity restricts its real-time applications.
The ECMs are expressed by a combination of voltage and current source, capaci-
tance, and resistance, where the resistance of the single flow Zinc-Nickle battery
model changes with the battery SOC, this varying parameter may introduce
error in SOC estimation [11]. The black-box models describe the relationship
between the voltage and SOC using nonlinear functions, and do not require
detailed first principle knowledge of the battery. FRA is an effective method to
build a mathematical model. In this paper, the state space model of the battery
is deduced using the coulomb counting equation for the SOC and FRA, where
the SOC is an model state and its relationship with readily measurable terminal
voltages and terminal currents are established. The state equation is expressed
as follows:
SOCk+1 = SOCk + ηΔt Q Ik + wk (13)

Zk+1 = h(SOCk+1 , Ik+1 ) + vk
where Zk is the terminal voltage at time instant k, wk and vk are the process noise
and measurement noise respectively, Ik denotes the terminal current signals. To
capture the relationship of Zk with SOC and terminal voltage, some linear or
nonlinear functions associated to the SOCk are selected from a predefined model
candidate pool using the FRA method. The candidate pool consists of current,
terminal voltage, SOC, their nonlinear forms, and nonlinear combinations of
these two or three terms. Then, using the FRA approach, the system parameter
identification and the selection of nonlinear terms associated to the model are
conducted simultaneously.
3.2 EKF Based SOC Estimation
To produce an accurate estimation of the SOC based on the real-time measure-

ments of terminal currents and voltages, the EKF algorithm is applied to the
battery SOC model Eq. (13), and the EKF is briefly introduced below.
The nonlinear battery state-space model of the EKF are shown in Eq. (14),
SOCk+1 = f (SOCk , Ik ) + wk
(14)
Zk+1 = h(SOCk+1 , Ik+1 ) + vk
where function f (SOCk , Ik ) is the nonlinear state transition function and func-
tion h(SOCk , Ik ) is the nonlinear measurement function. Vector wk and vk are
uncorrelated zero-mean white Gaussian noise with covariance matrixes Q and R
respectively.
At each time step, the function f (SOCk , Ik ) and h(SOCk , Ik ) are linearized
using Taylor-series expansion, assuming that they are differentiable at all operat-
ing points, the elements of the state vector matrix are defined as:
∂f (SOCk , Ik )
Ak = |SOCk =S ÔC − (15)
∂SOCk k
∂h(SOCk , Ik )
Ck = |SOCk =S ÔC − (16)
∂SOCk k
188 Y. Li et al.
To start filtering, the first step is to set initial values, the initialization of the state
and error covariance at k = 0 are made as follows:
ˆ 0 = E[SOC0 ]
SOC
ˆ 0 )T ]
ˆ 0 )(SOC0 − SOC (17)
P0 = E[(SOC0 − SOC
Then using Eqs. (18) and (19) we can predict the state and error covariance at time
instant k:
S ÔCk− = f (S ÔCk−1 , Ik−1 ) (18)
P− T
k = Ak Pk−1 AK + Q (19)
According to the predictions and the measurements, the Kalman gain can be cal-
culated, and the state and error covariance are corrected:
−1
Kk = P− T − T
k Ck Ck Pk Ck + R (20)

S ÔCk = S ÔCk− + Kk Zk − h(S ÔCk− , Ik ) (21)
Pk = (I − Kk Ck ) P−
k (22)
4 Experiment and Results

4.1 Data Acquisition
In order to verify the proposed model determined by FRA and the EKF-based SOC
estimation method, experiments were conducted. The data was obtained from a
handmade ZNBs. During the tests, the rating capacity of the battery is around
3.7Ah. Additionally, 1 mol ZnO and 20 g/L LiOH are dissolved by the 10 mol/L
KOH support solution as the prepared electrolyte. The operating flow rate remains
constantly at 19 cm/s. The testing current signals are generated by the NEWARE
CT-3008 which are fed into the ZNBs. The measurement ranges of voltage and
current are 15 V and 3 A, respectively, and nominal measurement error bounds
are within 0.1%.
4.2 Experiment Results

The battery charging data are used to build a model by FRA to correlate the ter-
minal voltage with SOC and terminal current, and the candidate model terms for
selection are Vk , SOCk , Ik as well as their nonlinear variants. The terms which have
the maximum contributions are selected as the optimal model inputs. Besides, the
weights of each terms are calculated tocomplete the model. As shown √ in Eq. (23),
the selected model terms are Vk−1 , ln Vk−1 , sin(SOCk ) and sin( SOCk ).

Vk − 1.0053Vk−1 + 0.0282ln Vk−1 = 0.0031sin(SOCk ) − 0.0041sin( SOCk )
(23)
(a) Modeling charge (b) Modeling discharge
Fig. 1. Results of modeling using FRA
The results are shown in Fig. 1(a), the model output fits well to the measured ter-
minal voltage, and the error is acceptable. Use the same model in the discharging
procedure, it also fits well, as shown in Fig. 1(b).
This model is compared with the model established by orthogonal matching
pursuit (OMP) algorithm, which selects model terms from an over-complete dic-
tionary. We use ‘wmpdictionary’ function in Matlab to generate a dictionary for
OMP, this dictionary contains the shifted Kronecker delta subdictionary, polyno-
mial subdictionary, cosine and sine subdictionary, and discrete cosine transform-ii
orthonormal basis, etc. The ‘wmpalg’ function is then used to directly return the
approximation of terminal voltage in the dictionary. The comparison of these two
models is shown in Fig. 2 with absolute error on the horizontal and time on the
vertical. The mean square error (MSE) for this model is 6.4378e-05, while for the
FRA-based model is 9.2432e-06. It is clear that the error of the model identified by
FRA is less than that of the model identified by OMP. Considering the accuracy
of the FRA method and its ability to describe the relationship between terminal
voltage and SOC, FRA is a good choice for battery model identification.
In Eq. (23), we use Zk to represent the left side of this equation, the battery
state-space model are:

SOCk+1 = SOCk + ηΔt Q Ik + wk (24)
Zk+1 = 0.0031sin(SOCk+1 ) − 0.0041sin( SOCk+1 )
Fig. 2. Model error

190 Y. Li et al.
The EKF algorithm is then used for SOC estimation. Figure 3 depicts the perfor-
mance of the proposed method. It can be found that the SOC value estimated by
the EKF method is very close to the reference values. The absolute error between
these two values is less than 2%, even when the estimation tend to steady, the error
is less than 0.7%. By setting the initial value to 20% while the actual initial value is
0, the robustness of this algorithm is verified, as Fig. 3 shows, the estimated SOC
converge to the actual value quickly.
Fig. 3. SOC estimation results using EKF
5 Conclusion
In this paper, an accurate terminal voltage model of flow battery has been built for
EKF-based SOC estimation by applying the fast recursive algorithm (FRA), which
is a computationally efficient and stable model identification method. The model
performs well and is used as a measurement equation in EKF-based SOC estima-
tion. Future works will both focus on improving model accuracy and improving
the estimation method. Some advanced algorithms, such as neural networks and
support vector machines, will be studied for further improvement of model accu-
racy, while dual estimation methods and other methods will be studied to decrease
the SOC estimation error.
Acknowledgments. YH. LI would like to thank the China Scholarship Council (CSC)
for sponsoring her research. S. LI, YX. LI and K. LI would like to thank the Macao Science
and Technology Development Fund (FDCT) s support with the project (111/2013/A3)-
Flow Battery Storage System Study and Its Application in Power System and Dr. CK
Wong to provide the data and experimental resource.
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dynamic systems. Automatica 42(7), 1189–1197 (2006)
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based hev battery packs: part 1. background. J. Power Sources 134(2), 252–261
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An Approach to Propose Optimal Energy
Storage System in Real-Time Electricity
Pricing Environments
Shiqian Ma1,2, Tianchun Xiang2, Yue Wang1(&), Xudong Wang2,

Yue Guo2, Kai Hou1, Yunfei Mu1, and Hongjie Jia1
1
Key Laboratory of Smart Grid of Ministry of Education, Tianjin University,
Tianjin 300072, China
{khou,yunfeimu,hjjia}@tju.edu.cn
2
State Grid Tianjin Electric Power Research Institute, Tianjin 300384, China
[email protected]
Abstract. Based on the fact that the penetration of renewable energies is

increasing dramatically, almost all the energy markets have changed and taken
action to present the strategy of real-time pricing over the last decade. However,
the research on how these renewables, which is going to become the vital part in
the integrated energy system, coordinate with other energy sources under the
real-time pricing. Moreover, with the development of energy storage system,
issues about how to evaluate the participation of them in the integrated energy
system and how to provide an optimal capability for them in a given settings
should be given more consideration. This paper will focus on introducing an
approach to coordinate the participation of all the energy resources in the
integrated energy systems within and without energy storage system.
Keywords: Optimal energy flow Real-time pricing Energy storage system

Integrated energy system
1 Introduction
In recent years, the role of clean energy and optimized allocation of all kinds of energy
is presented in our view to address the issue of resource constraints, environment
pollution and climate change. Although the growth of the renewables penetration is
increasing rapidly, large scale clean energy cannot be applied unless it is transformed
into electricity directly. Regions rich in renewables are usually located far from energy
This work was supported by the State Grid Technology Project: Research and Application on
Flexibility Improvement of Power Distribution System Based on Distributed/Mobile Energy
Storage (SGTJDK00DWJS1800008), the National Natural Science Foundation of China
(51707129) and the National Key Research and Development Foundation of China
(2017YFB0903300).

https://doi.org/10.1007/978-981-13-2381-2_18
An Approach to Propose Optimal Energy Storage System 193
consumption users. The energy storage systems (ESS) could be a feasible solution
dealing with these issues. Furthermore, the utility of energy storage, like batteries, as an
energy power buffer, on the other hand, could be able to smooth the power demand
flections. Thus, it is important to conduct research on how to utilize different kinds of
energy storage to sustainable develop the environment.
Integrated energy system has received a wild of attention these years and has been
studied on components, structure, regulation even operation and other aspects. In the
paper [1], the concept of integrated energy system was proposed, which coupled and
interacted with different energy systems at all kinds of level. Combined heat and power
(CHP) plants play a vital role in the integrated energy system, which simultaneously
produce electrical and thermal energy from a single input fuel. Integrated energy
systems directly connect to various energy consumers and couple different forms of
energy carriers with flexible topological structure [2]. This concept not only makes
these subsystems interdependence, but also effectively improves energy efficiency. Ref.
[3–7] constructed an optimal energy flow model for integrated energy system including
both inequalities and equalities constraints. However, the participation of energy
storage system should get more attention, which could be a significant part in the
integrated energy system. In addition, there should be a kind of research that focus on
the planning of energy storage system based on real-time pricing under different sea-
sons. This work could provide strategies to engineers for choosing the most appropriate
facilities for an integrated energy system.
Main contributions of this paper state as follows: an energy storage system model
has been applied in an integrated energy system; a varying pricing participation model
has been proposed to help calculate the optimal power flow in an integrated energy
system. Case studies are simulated to demonstrate the application of varying pricing
participation model, the approach of calculating the optimal power flow with an energy
storage system and the proposed strategies for an integrated energy system.
2 Model Description
The integrated energy system could be able to contain a lot of sub-units. This paper will
focus on the model of photovoltaic power generation, combined heat and power plant
and energy storage.
2.1 Photovoltaic Power Generation System

Based on huge amount of experiment, the value of solar radiation and ambient tem-
perature are the most important factor that influence the output power of photovoltaic
cells. The temperature of the solar cells can be described as
30R
Tcells ¼ Ta þ ð1Þ
1000
0 is the temperature of the solar cells, Ta is the temperature of the environment, R is the
solar radiation absorbed by solar cells.
194 S. Ma et al.
The output of photovoltaic cells PPV can be described as
1 þ k ðTC TR Þ
PPV ¼ PSTC I ð2Þ
ISTC
Where PSTC represents the maximum test power based on standard test conditions;
I represents the intensity of light; k represents the power temperature coefficient; TC
represents the temperature of working solar cells; TR represents the reference tem-
perature; ISTC is the intensity of light under standard test conditions.
2.2 Combined Heat and Power Plant

Combined Heat and Power (CHP) Plant is an established technology in many coun-
tries, which provide the heat power and electricity demands in several building
applications and industrial. A traditional CHP plan consists of five basic components:
the engine, electrical power compatible with national grid, heat system recovered from
the engine cooling system, the oil and the exhaust system, which can be used for space
heating, for domestic cooling or hot water.
The mathematical model of a CHP plant can be illustrated as follows:
8
>
> Q ¼ Pe ð1g e g1 Þ
> MT
>
ge
>
< Qhe ¼ QMT Khe
ð3Þ
>
> QCO ¼ QMT Kco
>
> P
>
: V ¼ Pe Dt
MT gL e
Where QMT is the remaining amount of the exhaust excess heat in gas turbine; ge is
the efficiency of electricity generation; g1 is the coefficient of the heat loss for gas
turbine; Qhe and QCO are the amount of heat and cooling provided by the exhaust
excess heat in gas turbine, respectively; Khe and KCO are the heating efficiency and the
cooling efficiency of the Li-Br Absorption Chiller; VMT is the total amount of natural
gas that consumed by gas turbine during its operation; Dt represents the operation time;
L is the gross heat value(GHV) of natural gas.
2.3 Energy Storage System

There are a lot of energy storage technologies and some of them are already imple-
mented in the industrial production and operation. Different energy storage has dif-
ferent characteristics. This is the reason why researchers need to conduct experiments
on different applications to find out the most appropriate energy storage material in a
given scenario.
The state of charge (SOC) of the energy storage in a given moment is related to the
before SOC and the self-decreasing of the energy storage.
In the duration t of charging, the SOC can be illustrated as
Pch;t Dt
Soc ðtÞ ¼ Soc ðt 1Þð1 rÞ þ gc ð4Þ
Ebat
In the duration t of discharging, the SOC can be illustrated as
Pdis;t Dt
Soc ðtÞ ¼ Soc ðt 1Þð1 rÞ ð5Þ
Ebat gd
Where Soc ðtÞ is the state of charge of the energy storage at the moment of t, r is the
rate of discharge of the energy storage itself; gc and gd are the charging efficiency and
discharging efficiency, respectively; Pch;t is the power of charging of the energy stor-
age; Pdis;t is the power of discharging of the energy storage; Ebat is the capacity of the
energy storage.
3 System Operation Cost Calculation
3.1 Varying Pricing Model

In our studies, we purposed varying pricing model that will give a curve to describe the
participation of power system to meet the demand in a micro-integrated energy system.
This curve, based on the real-time pricing of the power system, can help the whole
system foresee the variation of the price. Based on this varying pricing participating
curve, the whole system is going to relocate the output of its energy resources during
the operation to realize the maximum benefit for both the energy department and our
environment.
In this varying pricing participation model, we use [0, 1] to describe the level of the
participation of power system. This curve will provide a kind of parameter to help the
whole system to find a relatively low-cost operation point.
3.2 Optimization Model

To describe the output of each energy resource and minimize the total cost of the
micro-integrated energy system, the optimization problems can be described as follow:
Nt X
X NDG

min fDG ¼ Cf PGi;t þ COM PGi;t þ Cdp PGi;t þ Ceav PGi;t ð6Þ
t¼1 i¼1
X X
Nt N CHP
min fGas ¼ Cgas ð7Þ

t¼1 i¼1
X
Nt
min fgrid ¼ Cpp ðPgrid;t Þ ð8Þ
t¼1
196 S. Ma et al.
s.t.
X
NDG
PGi;t þ PCHPe;t þ Pgrid;t þ PES;t ¼ PLe;t ð9Þ
i¼1
X
NMT
Hi;t ¼ PLh;t ð10Þ
i¼1
PGi;t;min PGi;t PGi;t;max ð11Þ
Soc;min Soc Soc;max ð12Þ
3.3 Framework of Operation Cost Calculation

The framework of the purposed method of operation cost calculation is described in
Fig. 1. The varying pricing participating curve will provide the participating point for
integrated energy system to calculate the optimal power flow.
Fig. 1. The framework of operation cost calculation
4 Case Studies
Case studies are performed on a real integrated energy system, which involve photo-
voltaic power generation system, combined heat and power plant, electrical load and
heat load. Parameters of this system are obtained from [6].
4.1 Varying Pricing Participation of the Integrated Energy System

Based on the methodology proposed in Sect. 3.1 and data of real-price for this IES, we
generate the curve of varying pricing participation. This curve, illustrate expectation of
the input ability of the grid, is going to be input to the process of optimal power flow.
The Fig. 2 clearly shows that the level of participation will be decreasing as the real-
time price is increasing.
Fig. 2. Varying pricing participation of the integrated energy system
4.2 Output Variation Under the Real Pricing in 24 h

This case study is going to verify the availability of the varying pricing participation
method. Firstly, Fig. 3 demonstrates the output variation of each energy source of the
IES without any energy storage system under real pricing.
Fig. 3. Output variation under the real pricing in 24 h without ESS
Under this circumstance, the distributed generation, CHP plants and energy grid
devote to meet the load demand in the IES.
198 S. Ma et al.
Figures 4 and 5 show the output variation of each energy source of the IES within
energy storage system under real pricing within and without the varying pricing par-
ticipation method, respectively.
Fig. 4. Output variation within the varying pricing participation method
Fig. 5. Output variation without the varying pricing participation method
Through those figures and the data of real-time pricing, it is clear that the varying
pricing participation method will provide a better strategy for electricity grid to par-
ticipate the energy generation process during the lower price, which will benefit the
whole system to some extent.
4.3 Total Cost for the IES Under Different Energy Storage System
The origin IES in this case is going to install the energy storage system actually.
Therefore, this study investigates the total cost for one-year and ten-year separately,
under different capability of the energy storage system in order to obtain the most
beneficial investment point.
Figures 6 and 7 illustrate the total cost for the IES under different capability of the
energy storage system in the season of winter and summer, respectively.
Fig. 6. Total cost in winter for the IES under different energy storage system
Fig. 7. Total cost in summer for the IES under different energy storage system
From the prospective of load, the amount of electrical load in summer is far more
than electrical load in winter due to the utility of air conditioner in the IES. This is the
reason that the one-year cost of electricity is higher in summer. Besides, it is clear that
the amount of heat load will be in a higher level during winter. Natural gas, the energy
source of CHP plant, is going to be consumed more in winter because of meeting the
demand of heat load.
Although the investment of the energy storage system is seemly like a burden to the
whole system, it will reduce the total cost in the long run and benefit to the environment
dramatically. This is because the amount of pollution will decrease under the utility of
energy storage system.
Combining the simulation results of Figs. 6 and 7, we proposed that the capacity of
energy storage system for the IES could be from 300 kW to 600 kW.
5 Conclusions
This paper proposed a varying pricing model strategy to calculate a more meaningful
operation point for the whole system under real-time pricing. Through the calculation
of optimal energy flow in the integrated energy system, this paper analyzes the benefits
200 S. Ma et al.
of energy storage system and give a range of an optimal capability of the energy
storage system for the given integrated energy system.
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The Electrochemical Performance and
Applications of Several Popular Lithium-ion
Batteries for Electric Vehicles - A Review
Xuan Liu(B) , Kang Li, and Xiang Li
School of Electronic and Electrical Engineering, University of Leeds,

Leeds LS2 9JT, UK
{elxl,k.li1,elxli}@leeds.ac.uk
Abstract. The Lithium-ion battery is one of the most common batteries

used in Electric Vehicles (EVs) due to the specific features of high energy
density, power density, long life span and environment friendly. With
the development of lithium-ion battery technology, different materials
have been adopted in the design of the cathodes and anodes in order
to gain a better performance. LiM n2 O4 , LiN iM nCoO2 , LiN iCoAlO2 ,
LiF eP O4 and Li4 T i5 O12 are five common lithium-ion batteries adopted
in commercial EVs nowadays. The characteristics of these five lithium-
ion batteries are reviewed and compared in the aspects of electrochemical
performance and their practical applications.
Keywords: LMO · NMC · NCA · LFP · LTO · Lithium-ion battery

Electrochemical performance
1 Introduction
Due to the concerns on the pollutant emissions and the climate change due to
large consumption of fossil fuels to support a variety of anthropogenic activities,
electrification of the transport sector has been included as one of the national
strategies by many countries. As an alternative to the internal combustion engine
(ICE) vehicle, Electric Vehicle (EV) has become increasingly popular in recent
years due to the improvement of performance in acceleration and endurance.
Comparing to the ICE vehicles, the advantages of EVs can be summarised as
following aspects:
(1) Higher efficiency: Generally, the average Tank-to-wheel efficiency of ICE cars
are around 30% and even lower than 15% if stop-and-start behaviour occurs
frequently [1,2]. However, ICEs do not work in high-efficiency region in most
cases, especially when the vehicles are running at a low speed in urban areas.
In contrast, the average battery-to-wheel efficiency of EVs can be up to 87%
which is much higher than ICE based vehicles [1].

https://doi.org/10.1007/978-981-13-2381-2_19
202 X. Liu et al.
(2) Environmentally friendly: A Battery Electric Vehicle (BEV) is fully powered

by the batteries, thus there is no emission produced when an EV is running
on the road. Moreover, the emissions of a gasoline Hybrid Electric Vehicle
(HEV) is around 30% less than an gasoline ICE based vehicle due to the high
efficiency benefit [2].
(3) Less noise pollution: EVs produce less noise pollution (especially at low speed
driving mode) due to the result of using electric motors to replace ICEs [3].
An EV eliminates at least 25% and 10% of noise compared to an ICE vehicle
at operation speed of 10 km/h and 5 km/h respectively [3,4].
(4) Government support: The promotion of EVs has become a national strat-
egy for many countries today, sales of new petrol and diesel vehicles will be
banned for the coming decades in many countries. Many government poli-
cies have been proposed in order to increase the competitiveness of EVs in
the automotive market, such as lower taxes, free charging facilities and free
parking, etc.
As the power source of the electric motor and other electric systems, battery
plays an very important role to ensure the EVs can operate effectively and
reliably. Several popular types of batteries are used in EVs, such as lead acid,
nickel-cadmium, nickel-metal hybrid and Lithium-ion battery. Table 1 presents
the key characteristics of these batteries [5–9].
Table 1. Comparison of different types of EV batteries
Characteristic Lead-acid Ni-Cd NiMH Li-ion

Nominal voltage (V) 2 1.2 1.2 3.2–3.7
Energy density (Wh/kg) 30–50 45–80 60–120 100–265
Power density (W/kg) 180 150 250–1000 250–676
Charging efficiency 50–95% 70–90% 66% 80–90%
Self-discharge rate (per month) 5–20% 20–30% 30–35% 3–10%
Charging temperature (◦ C) −20–50 0–45 0–45 0–45
◦
Discharging temperature ( C) −20–50 −20–65 −20–65 −20–60
Cycle life 200–400 500–1000 300–500 600–3000
Memory effect No Yes Yes No
Green product No No Yes Yes
Lithium-ion battery is one of the most popular rechargeable batteries which

is widely adopted in EVs and HEVs nowadays due to its noticeable advantages,
such as high energy and power density, low self discharge rate, no memory effect,
low self-discharge rate and longer life span, etc. [10,11].
Due to the different materials used in the design of the cathodes and anodes,
lithium-ion batteries can be subdivided into different categories. Some lithium-
ion batteries have been applied in EVs successfully, such as LiM n2 O4 (LMO)
A Review of the Five Common Types of Lithium-ion Batteries Used in EVs 203
battery, LiN iM nCoO2 (NMC) battery, LiN iCoAlO2 (NCA) battery, LiF eP O4
(LFP) battery and Li4 T i5 O12 (LTO) battery. These five types of lithium-ion
battery have their unique advantages. As the power source of EVs, the battery
must meet the specific safety and performance requirements with an appropriate
cost. This paper presents a review and comparisons of these five lithium ion
batteries over two aspects, namely the electrochemical performance and their
applications in EVs.
2 Electrochemical Performance
These five types of lithium-ion battery have various electrochemical perfor-
mances due to the adoption of different chemical materials. In this section, the
comparisons of their structure, nominal voltage, energy density, high current rate
capability, thermal stability, cyclabilty and safety performance are presented.
2.1 Structure
LMO has a three dimensional spinel structure which improves the diffusion of
lithium ions [12–14]. The electrochemical reactions are associated with the inser-
tion and extraction of lithium ions between the cathode (LiM n2 O4 ) and the
anode (lithium) [15–17]. NMC battery is one of the most successful lithium-ion
batteries which balances the specific features of Lithium Cobalt Oxide (LCO)
battery and LMO battery. NMC contains a layered structure and the bat-
tery cathode is compounded by three chemical elements (Nickel, Manganese
and Cobalt) with a certain ratio. The difference ratios of these three chem-
ical elements lead to variant battery performances [18–21]. In order to bal-
ance the electrochemical performance, stability and cost, NMC-111 (the ratio
of Nickel:Manganese:Cobalt equals to 1:1:1) battery has been developed and
widely adopted in EVs. NCA battery has similarities with NMC battery, which
replaces manganese with aluminium in order to improve specific energy and life
span [22,23]. LFP battery has an ordered olivine structure, the F eO6 octahedras
share the common corners [24]. Unlike the lithium-ion batteries with graphite
anode, LTO battery adopts Li-titanate as the anode to offer a zero-strain spinel
structure [25].
2.2 Specific Energy and Capability at High Current Rate

In order to increase the mileage of EVs after one charge, the battery of the EVs
should offer high energy at a safety level. Increasing the operational voltage is
one of the methods that can be applied to enhance battery specific energy. A
typical LiM n2 O4 battery offers an average working voltage of 3.7 V, the theoret-
ical gravimetric capacity and energy density are 148 mAh/g [12,26,27]. Unfortu-
nately, the highest gravimetric capacity of LiM n2 O4 battery has been attained
is around 130 mAh/g (at the small current rate) [27,28]. A LMO battery has no
reversible capacity change when operates at 1 C charge or discharge current rate;
204 X. Liu et al.
when the charge current remains 1 C and discharge current increases to 50 C, the
reversible capacity decreases to 78% of its initial capacity; when the charge and
discharge current both change to 20 C, the reversible capacity still remains 58%
of its initial capacity [29]. These experimental results strongly suggest that LMO
battery has low cell resistance and excellent capability at high current rate.
In order to improve the energy density, some researchers doped other chemical
materials, such as N i in LMO battery cathode to form a doped spinel, and the
doped spinel battery can provide a higher theoretical gravimetric capacity of
150–160 mAh/g [30–34]. However, some high energy derivatives of LiM n2 O4
have not been adopted in large-scale in EVs yet due to the limitation of thermal
stability and cyclability.
As a possible alternative of LiCoO2 battery, NMC battery offers an average
working voltage of 3.6 V and a theoretical gravimetric capacity of 280 mAh/g
[35]. However, the actual commercial gravimetric capacity in commercial cells is
around 170 mAh/g [35]. The reversible capacity of a NMC-111 battery decreases
to 78–80% of initial capacity at 4 C discharge current rate [36,37] and the capac-
ity decreases to 73–74% of initial capacity at 8 C discharge current rate [38,39].
This indicates that NMC battery contains high specific energy and good capa-
bility at high current rate.
NCA battery and NMC battery have relatively similar electrochemical perfor-
mance. A typical NCA (LiN i0.8 Co0.15 Al0.05 O2 ) battery offers an average oper-
ation voltage of 3.7 V, and theoretical gravimetric capacity of 279 mAh/g [35].
The actual gravimetric capacity in commercial cells is around 200 mAh/g [35].
The capacity of a NCA battery decreases to 93.3% of the initial capacity at the
discharge current rate at 0.5 C, and there is no extra capacity loss when the
discharge current rate increases to 3 C [40]. It obviously can be found that both
NCA and MNC batteries have high specific energy and can provide satisfactory
performance at high current rate.
LFP has low electrical conductivity (10−9 to 10−10 S/cm ) due to its ordered
olivine structure [24,41–44]. A typical LFP battery offers an average operational
voltage of 3.3 V [9] and a theoretical gravimetric capacity of 170 mAh/g [24]. The
capacity of a LFP battery decreases to 96% of its initial capacity at a discharge
current rate of 1 C; the capacity decreases to 82% and 76% at discharge current
rate of 3 C and 5 C respectively [45]. The specific energy of LFP battery is lower
than the above three lithium-ion batteries. The capacity fades significantly at
high current rate.
Unlike the four types of lithium-ion batteries above, LTO battery replaces
the graphite in the anode with Li4 T i5 O12 to form a zero-strain spinel structure
[25]. As an anode, the operation voltage is 1.5 V for Li/Li4 T i5 O12 battery cell
[46]. When the Li4 T i5 O12 anode couples with cathodes like LMO, NMC, NCA,
the operating voltage is 2.1–2.5 V [47]. The theoretical gravimetric capacity of
Li4 T i5 O12 anode battery is 175 mAh/g [25]. Although the specific energy of LTO
battery is low, it has an excellent capability when operates at high current rate,
the capacity decreases to 87% of the initial capacity at 11.4 C charge/discharge
current rate [48].
However, it should be noted that in the production process of commercial

batteries, the theoretical energy densities are very difficult to achieve due to
safety, cost and technology limitation reasons. Table 2 shows the average energy
densities for commercial products of these five types of lithium-ion battery [49].
Table 2. Nominal voltage and energy density of commercial products
Cathode Nominal voltage Energy density in commercial products

LMO 3.7–3.75 100–240 Wh/kg
NMC 3.6–3.7 150–220 Wh/kg
NCA 3.65 200–260 Wh/kg
LFP 3.2 100–140 Wh/kg
LTO 2.2–2.4 50–80 Wh/kg
Comparing the operational voltage and energy density of these five lithium
ion batteries, it can be found that LMO, NMC and NCA batteries enable the
EVs to gain a longer mileage on single charge due to the higher energy density.
LFP and LTO batteries have low energy density which means the EVs need to
bring more battery cells to achieve the energy requirement. However, this results
the increasing of vehicle weight, the mileage one a single charge still cannot be
improved in essence. On the other hand, more batteries are adopted in EVs leads
the Battery Management System (BMS) to face greater challenges.
2.3 Thermal Stability and Safety
Apart to the energy and power requirements, safety is another important issue in
EV management. Many factors may cause battery failures, such as over voltage,
under voltage, short circuit, over charge/discharge, overheat and collision, etc.,
and a few accidents due to battery failures have been reported in the public
media. However, the most common factor is the generation of heat and gas
[5,10,50]. Thus, to have desirable thermal stability is another important aspect
in assessing the battery quality. Good thermal stability of a battery enables an
EV to operate in a wider temperature range, and reduces the difficulty of the
thermal management in an EV.
Thermal stability is a key that directly determines the safety of the battery
operation. A typical LMO battery can operate safely at 55 ◦ C, but the capacity
decreases to 75% of its initial capacity [26]. The main reason of the capacity
fading of a LMO battery during cycling is the M n dissolution into the elec-
trolyte [51]. The Solid Electrolyte Interphase (SEI) breaks at 90.5 ◦ C and the
thermal runaway occurs at 250 ◦ C, then O2 is released due to the decomposition
of LiM n2 O4 [52].
A typical NMC battery loses 7.5% capacity at 85 ◦ C after 26 cycles (0.29%
capacity loss per cycle) and loses 22% capacity at 120 ◦ C after 29 cycles [53]. At
206 X. Liu et al.
80 ◦ C, the SEI has no obvious change but it becomes thicker and forms spherical
particles at 120 ◦ C [53]. Flammable and toxic gas (H2 and CO) are released
when the temperature reaches 170 ◦ C and the thermal runaway occurs at 220 ◦ C
[54].
For a typical NCA battery, the anodic reactions occur at 90 ◦ C and the SEI
film breaks at 120 ◦ C; the cathodic reactions occur at 140 ◦ C and the thermal
runaway occurs when the temperature reaches 180 ◦ C [55]. Moreover, thermal
runaway could occur at 65 ◦ C if the NCA battery is overcharged. [56]. NCA bat-
tery has a drastic behaviour when the temperature reaches thermal runaway, a
large amount of gas (317mmol) are released [56]. Oxygen gas is released when
N i4+ is reduced to N i2+ , and the thermal runaway may be caused by the reac-
tion of oxygen and flammable electrolyte [57,58]. As a Ni-rich cathode, NCA
battery has higher specific energy than NMC-111 battery but lower thermal
stability [59].
A typical LFP battery reaches its maximum capacity in a temperature range
of 20 ◦ C–30 ◦ C and the capacity decreases to 95% when the temperature reduces
from 20 ◦ C to 10 ◦ C [60]. The discharge capacity measured at −10 ◦ C shows that
25.8% loss after 600 cycles but 1.9% gain after 300 cycles from the initial capacity
[61]. When the temperature reaches 45 ◦ C, the capacity decreases to 92.7% after
300 cycles and decreases to 85.7% after 600 cycles [61]. When the temperature
reaches to 60 ◦ C, 37% of the initial capacity loss after 100 cycles and 45% of initial
capacity loss after 110 cycles [62]. The thermal runaway occurs at 260 ◦ C [63]
and the thermal runaway occurs at 140 ◦ C for an overcharged LFP battery [56].
The amount of gas is released of a LFP battery at thermal runaway temperature
is 61mmol, which is much less than NCA battery [56].
The capacity of a typical LTO battery decreases to 91.3% after 280 cycles
(0.25% capacity loss per cycle) at 60 ◦ C, the thermal runaway occurs when the
temperature exceeds 260 ◦ C [64]. The research [47] shows that graphite anode
produces large amount of C2 H6 and C2 H4 at 100 ◦ C, but there is no generation
of gaseous decomposition products of LTO anode.
Therefore, the thermal stability and safety level of these five types lithium-ion
batteries can be summarised in Table 3.
Table 3. Comparisons of thermal stability and safety level
Type of Lithium-ion battery Thermal stability Safety level

LiM n2 O4 Low Moderate
LiN iM nCoO2 Moderate Moderate
LiN iCoAlO2 Low Low
LiF eP O4 High High
Li4 T i5 O12 Very high Very high
3 Applications
All of these five types of lithium-ion battery have been widely adopted in EVs
due to their own specific advantages. The application examples of these five types
of lithium-ion battery in EVs are provided in Table 4 based on the information
available in the public domain.
Table 4. The applications of various lithium-ion batteries in EVs.
Product Battery Battery Nominal Top speed Charge Release

model type weight driving (km/h) time (h) year
(kg) distance
(km)
Nissan leaf LMO 294 117–200 150 0.5–20 2010
(with
LiNiO2)
BMW i3 NMC 230 130–160 150 0.5–9 2013
Tesla NCA 535–556 370–426 193–214 0.5–1.25 2012
model S
BYD e6 LFP 500 330 140 2–10 2010
citron LTO 165 127 130 0.25–6 2010
C-zero
Apart from the electrochemical performance of the batteries, cost and market
trend are another two important factors which determine the battery application
capability in EVs. In this section, the application capability of these five types
of lithium-ion battery are reviewed and compared from the aspects of cost and
market trend.
3.1 Cost
The cost of a lithium-ion battery contains the following components: materials of
cathode and anode, electrolyte, separator, assembly of cell and module, labour,
etc. [65]. Due to the different raw materials adopted and the manufacturing
processes, the cost of the mentioned five types of Li-ion battery are also different.
Table 5 compares the key properties and cost of the several popular types of
lithium-ion used in EVs. [65–68].
Due to the high cost of Co and T i raw materials and the complex process of
manufacturing, the cost of NMC, NCA and LTO batteries are much higher than
LMO and LFP batteries. It also should be noted that when LTO is selected as
the anode material, the cathode material may be chosen from NMC or NCA, the
cost of NMC/LTO or NCA/LTO battery will be much higher. Even though the
cost of LTO battery is high, the battery replacement frequency can be reduced
for the EVs which require to be recharged often. In contrast, although LMO
208 X. Liu et al.
Table 5. The key properties and cost comparison of the lithium-ion batteries
Battery type Energy density Life span Cost

LMO Medium Low Low
NMC High High High
NCA High Medium High
LFP Low High Low
LTO Very low Very high Very high
battery has a lower cost, the drawback of poor cyclability and thermal stability,
the total operation cost may increase for the EVs to be recharged frequently.
Sometimes LMO battery and NMC battery are combined to power an EV in
order to enhance the performance and also decreases the battery cost. LMO can
be used to improve the acceleration performance with the benefit of high current
boost, and the NMC brings good cyclability and thermal stability to the entire
power system. LTO battery is generally applied to the price-insensitive and low
energy requirement vehicles. Due to the properties of high safety, long life and
fast-charge, LTO batteries are favoured by electric buses.
Fig. 1. The market share of different lithium-ion batteries in 2015 and 2025
3.2 Market Trend

According to the estimation results in [69], the market share of NMC, NCA and
LTO batteries in 2025 will increase substantially, the expected market growth
(from 2015 to 2025) are 4.8 times, 2.9 times and 26.7 times respectively [70].
Figure 1 summarises the market share of lithium-ion battery in 2015 and 2025
respectively [70]. It indicates that NMC, NCA and LTO batteries have a huge
potential market in the next few years. Moreover, although the market share of
LFP and LMO may decrease, the total market volume is showing a climbing
trend [70].
4 Conclusion
LiM n2 O4 , LiN iM nCoO2 , LiN iCoAlO2 , LiF eP O4 and Li4 T i5 O12 batteries
have been adopted in EVs successfully with their specific features. LiM n2 O4
battery has low resistance due to the spinel structure, this allows LiM n2 O4 bat-
tery to offer an excellent performance at high current rate in applications. The
extremely low cost makes it highly favoured by the market. Poor performance
at high temperature and limited cyclability are the downsides. LiN iM nCoO2
battery has a satisfactory overall performance especially for the high specific
energy. A variety of derivatives of LiN iM nCoO2 enable this type lithium-ion
battery to face different applications. The extremely high specific energy and
moderate life span allows LiN iCoAlO2 to be a good candidate for EVs. High
cost and low level of safety are the negatives. The key benefits of LiF eP O4
battery are the long life span and low cost. It has good thermal stability when
it operates at high temperature but the capacity is greatly attenuated at low
temperature. Low specific energy and elevated self-discharge are the main dis-
advantages. Li4 T i5 O12 battery has the best thermal stability, cyclability and
safety performance among these five lithium-ion batteries. No lithium plating
at high current rate supports Li4 T i5 O12 battery for fast charging. However, the
low specific energy and extremely high cost are the major disadvantages.
Acknowledgements. Xuan Liu would like to thank The Department for the Economy
Northern Ireland and W-Tec Centre, Queen’s University Belfast for sponsoring his
research.
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A Large-Scale Manufacturing Method
to Produce Form Stable Composite Phase
Change Materials (PCMs) for Thermal Energy
Storage at Low and High Temperatures
Zhu Jiang, Guanghui Leng, and Yulong Ding(&)
BCES Birmingham Centre of Energy Storage,

University of Birmingham, Birmingham B15 2TT, UK
[email protected]
Abstract. High performance Phase Change Materials (PCMs) play a vital role
in Thermal Energy Storage (TES) technologies. A cost-effective and easy-
controllable fabrication process by mix-sintering method is an effective
approach to produce composite PCMs at a large scale. In this work, a series of
form stable composite PCMs with different phase change temperatures were
prepared by mix-sintering method. These composite PCMs could be applied in a
cascading manner in thermal storage system. DSC measurements and analyses
show that the cascading system has an energy storage density of 1068.96 J/g
within a working temperature range from 50 °C to 550 °C. Besides, an SEM
study shows homogenous microstructure of the prepared composite PCMs.
Keywords: Thermal energy storage Phase Change Materials

Mix-sintering method Large-scale fabrication
Cascading thermal storage system
1 Introduction
Renewables have been intensively studied in recent years as they play a vital role in a
less carbon-intensive and more sustainable energy system [1]. However, the intermit-
tency nature of renewable has become the main bottleneck for obtaining continuous
and stabilized energy. Therefore, thermal energy storage (TES) technology which
could store and release thermal energy according to requirements could be regarded as
an effective method to address the intermittency issue of the renewable [2]. High
performance TES material is the key challenge for TES technology. Phase change
material (PCM) which presents a relatively high energy density and an easy-
controllable heat charging and discharging property has attracted growing attention in
decades. Nowadays, PCM has been applied in heat recovery, solar power generation
system, electricity peak load shifting [3], intensive cascading energy storage system
[4], etc. Encapsulation of phase change materials (PCMs) is an effective way of pre-
venting leakage during phase change process and solving possible chemical incom-
patibility with the surroundings. Different encapsulation methods have been studied to
obtain a structural stabilized composite PCM, for instance, physical, physic-chemical,

https://doi.org/10.1007/978-981-13-2381-2_20
A Large-Scale Manufacturing Method 215
and chemical methods. When the fabrication method is verified in lab scale and needs
to be scaled up for pilot or industrial application, the costs of encapsulation method and
the controllability of the fabricating process are the most important issues need to be
considered.
Mix-sintering method is a mature process which has been used in sintering metallic
and ceramics powders a long time ago. In the late 1980s, it has been firstly used to
prepare form-stable composite PCMs, when Randy and Terry [5–7] used 80 wt%
NaCO3-BaCO3 as phase change material and 20 wt% MgO as supporting material to
prepare a composite PCM. This composite PCM had been thermal cycled 22 times and
showed good stability with only 1% mass loss and 1% decrease in density. In the
1990s, Gluck [8] and Hame [9] compressed Na2SO4 and silica mixtures at 70 MPa and
sintered for 2 h at 1000 °C to fabricate PCM bricks for high temperature heat storage.
Their work showed that heat storage capacity of the ceramic brick compromising 20 wt
% inorganic salts increased by 2.5 times than that of the pure ceramic in the same
volume. In the 21st century, mix-sintering process has been widely used to prepare
form-stable PCMs. Gokon [10] used mix sintering method to fabricate the composite
materials of molten alkali-carbonate/MgO ceramics. They had tested the composite
PCM in a catalyst bed which revealed a good thermal storage property of the composite
PCM. Ye [11] mixed multi-walled carbon nanotubes (MWCNTs) into Na2CO3/MgO
form-stable composite and found that the thermal conductivity of the composite had
increased significantly with increasing addition of MWCNTs. Zhu [12] mix-sintered
porous calcium silicate with quaternary nitrates LiNO3–NaNO3–KNO3–Ca(NO3)2 to
get a mid-low temperature composite PCM. This composite shows high thermal
conductivity and thermal stability than the other organic PCMs.
Although mix-sintering method has been applied in preparing composite PCM a
long time ago, most of the previous work is based on lab scale. A large-scale fabri-
cation process by mix-sintering differs from lab scale preparation. In this work, a large-
scale fabrication process was introduced to prepare composite PCMs with different
working temperature range. These composite PCMs can be used in a cascading manner
in thermal storage system with a relatively high energy storage capacity.
2 Material and Methodology
2.1 Materials
KNO3 (98%), MgO (99%), Li2CO3 (99%), Na2CO3 (99%), Graphite powders (99%)
were purchased from Sigma-Aldrich company. The diatomite is a kind of mineral with
natural porous structure, which was bought from JJS Minerals company. Vermiculite is
a porous phyllosilicate mineral purchased from Dupreminerals company. The
Erythritol is a kind of surgar which was purchased from Naturtotal company. Three
different form stable composite PCMs were prepared by the following formulation
shown in Table 1.
216 Z. Jiang et al.
Table 1. Composition of the prepared composite PCMs

cPCMs PCM Skeleton material Thermal conductivity enhancer
1 Erythritol Vermiculite Graphite
2 KNO3 Diatomite –
3 Na2CO3-K2CO3 MgO Graphite
2.2 Manufacturing Process for CPCMs

The procedure to produce composite PCMs in large scale is by mix-sintering method,
which is shown in Fig. 1. Firstly, the raw materials are ground and sieved separately to
an expected size. The powder size which can affect the density of the composite should
be controlled in the manufacturing process. Then, the ground powders are mixed
uniformly in their adequate amount and pelletized into larger particles to increase the
fluidity when being compressed. Afterwards, the pelletized particles were compressed
in a mould at 40 MPa to green tablets. During the compression process, the void space
between particles has been reduced significantly. Then the green tablets were dried at
100 °C to get rid of the water. Finally, the green tablets were sintered above the melting
point of each PCM, in which process the grains of skeleton material were rearranged
and pulled together by the melting PCM due to good wettability between the PCM and
skeleton materials. This process has resulted in a densified composite with a relatively
high rigidity.
Performance
Fig. 1. Schematic diagram of fabrication process by mix-sintering
2.3 Characterization of cPCMs

A differential scanning calorimeter (DSC 2, Mettler Toledo, Germany) was used to
measure the phase change parameters and specific heat capacity of
Erythritol/Vermiculite/Graphite and KNO3/Diatomite cPCMs. The temperature range is
25 °C to 180 °C for Erythritol/Vermiculite/Graphite cPCM and 25 °C to 400 °C for
KNO3/Diatomite cPCM with a heating rate of 5 °C/min and a purge of 100 ml/min N2
gas. Meanwhile, a simultaneous thermal analyzer (STA 449F3 Jupiter®, Netzsch,
Germany) was used to characterize the phase change process of Na2CO3-K2CO3/
MgO/Graphite cPCM with a heating rate of 10 °C/min and a purge of 50 ml/min N2
gas. A scanning electron microscopy coupled with an energy-dispersive X-ray spec-
troscopy (SEM&EDS, Hitachi TM-3030) was used to study the microscopic mor-
phology and element distribution of the material.
3 Results and Discussion
3.1 Sample Observation

The aforementioned composite PCMs prepared by mix-sintering method in lab scale
are shown in Fig. 2. These composite PCMs show good shape stability without any
leakage after sintering. A batch of composite PCMs prepared in pilot scale following
mix-sintering process is shown in Fig. 3. The shape of the composite PCMs can be
designed according to the needs. These prepared cPCMs show good shape stability as
the ones prepared in lab. No deformation and leakage are observed after being sintered
above the melting point.
Fig. 2. Composite PCMs prepared by mix-sintering method in lab scale

218 Z. Jiang et al.
Fig. 3. Composite PCMs prepared by mix-sintering method in pilot scale: Na2CO3-K2CO3/

MgO/Graphite
3.2 Energy Storage Properties

3.2.1 Melting Point and Melting Enthalpy
Phase Change Materials (PCMs) which stores heat mainly in form of latent heat are
commonly used at a temperature range around phase transition point. The phase change
parameters of the cPCMs are measured and shown in Fig. 4. One can see that both the
Erythritol/Vermiculite/Graphite cPCM and the Na2CO3-K2CO3/MgO/Graphite cPCM
have one endothermal peak from the DSC curves which are the melting processes.
However, there are two endothermal peaks can be found from the DSC curve of KNO3/
Diatomite cPCM. The first peak is the crystal transition of KNO3 from aragonite phase
to rhombohedral formation [13], while the second peak is the phase transition process.
Fig. 4. DSC curves of composite PCMs

Table 2. Melting point and latent heat of composite PCMs

cPCMs Tm (oC) ΔH (J/g)
Erythritol/Vermiculite/Graphite 119.8 164.8
KNO3/Diatomite 335.3 51.8
Na2CO3-K2CO3/MgO/Graphite 500.2 170.8
The phase transition temperature and enthalpy for each composite PCM are shown in
Table 2. As can be seen that the composite PCMs have melting points of 119.8 °C,
335.3 °C, and 500.2 °C respectively, which can be used in a cascading manner in
intensive energy storage system [4] within temperature range from 50 °C to 550 °C.
Therefore, the thermal storage energy density of each composite PCM can be
calculated. The energy density of composite PCM should consider both sensible heat
and latent heat. From T0 to T1 , the energy density can be calculated as the following:
TZm TZ 1
Q¼ Cp;s dT þ DH þ Cp;l dT
T0 Tm
where Q is the total thermal energy stored in a unit mass of the composite PCM,
Cp;s , Cp;l are heat capacities of composite PCM in solid state and liquid state respec-
tively. T0 , T1 and Tm denote the lower bound temperature, upper bound temperature and
the melting temperature of the PCM, respectively. DH represents the latent heat of PCM.
The heat capacity and the calculated energy density of each cPCM at a certain
application temperature range are shown in Table 3. Therefore, integrating the prepared
composite PCMs in a cascading manner in thermal storage system, a total energy
storage density of the system can reach 1068.96 J/g from 50 °C to 550 °C.
Table 3. Heat capacities and energy density of the composite PCMs

cPCMs Temperature Cp;s Cp;l Q
range (oC) (JK−1 g−1) (JK−1 g−1) (Jg−1)
Erythritol/Vermiculite/Graphite 50–200 1.25 1.21 349.09
KNO3/Diatomite 200–400 1.10 1.12 273.09
Na2CO3-K2CO3/ 400–550 1.80 1.92 446.78
MgO/Graphite
3.3 SEM
The microstructure of the fabricated composite PCMs has been studied by SEM.
Besides, EDS mapping shows the elements distribution of the composite PCM has
been investigated and displayed in Fig. 5. One can see that each composite PCM
presents a different microstructure. The Erythritol/Vermiculite/GraphitecPCM has a flat
structure and some localized macro-pores. From the EDS mapping, particles of graphite
and vermiculite are distributed uniformly. In terms of the KNO3/Diatomite cPCM,
220 Z. Jiang et al.
Fig. 5. SEM and EDS images of the fabricated composite PCMs
it shows a densified microstructure with some micro-voids between particles. EDS

mapping shows that each component is mixed homogeneously. The Na2CO3-K2CO3/
MgO/Graphite cPCM show a similar microstructure as the KNO3/Diatomite cPCM,
except for some graphite particles embedded inside the composite can be observed.
4 Conclusions
A series of composite PCMs have low and high melting temperature was manufactured
by a large-scale preparation method in this work, which is aiming for cascading thermal
energy storage. These composite PCM normally contains a phase change material and a
skeleton material. Graphite could also be used as an additive to enhance the overall
thermal conductivity of the composite material. The composite PCMs prepared by mix-
sintering method are characterized preliminarily in this work and could be summarized
as follow:
• Mix-sintering method is a fabrication method which can be applied both in lab scale
and pilot scale. Composite PCMs prepared by this method in lab or pilot scale both
display a great shape stabilization property without any deformation and leakage
after sintering over its melting point.
• The prepared composite PCMs show melting points of 119.8 °C, 335.3 °C, and
500.2 °C respectively, which could be used in a cascading manner in thermal
energy storage system.
• The stored energy density of the cascading thermal storage system can reach as high
as 1068.96 J/g within a temperature range from 50 °C to 550 °C.
• The microstructure of each composite PCM has been studied by SEM and EDS,
which shows a homogeneous distribution of all the components.
Acknowledgments. The authors gratefully acknowledge the financial supports from SGRI of
China State Grid under Project: Establishment of research capability in thermal energy storage
SGRI-DL-71-16-017.
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Power System Analysis
Research on Smart Grid Comprehensive
Development Level Based on the Improved
Cloud Matter Element Analysis Method
Chengze Song1(&), Junyong Wu1, Meiyang Shao1, Liangliang Hao1,

and Lin Liu2
1
Electrical Engineering School of Beijing Jiaotong University, Haidian District,
Beijing, China
[email protected]
2
State Grid Energy Research Institute, Future Science and Technology City,
Changping District, Beijing, China
Abstract. According to the characteristics of the smart grid, in order to solve

the problem of subjective hierarchical boundary cloud model and the problem of
real-time data collection, this paper proposes an objective cloud matter element
analysis based on cluster analysis. According to the development and planning,
this paper puts forward an index system of the smart grid comprehensive
development level. Because of non-national-standard data, this paper classifies
the data into several levels according to cluster analysis, and then gets each
hierarchical boundary cloud model of each index by calculating, then the cor-
relation degree between the sample data and the hierarchical boundary cloud
model is calculated; By combining ANP and principal component analysis
method, the integrated weight vector is obtained and the weighted evaluation
result is obtained. By multiple operations, the evaluation is ordered by using the
standard deviation. The model illustrates the validity and superiority of the
method.
Keywords: Cloud matter element theory Objective Smart grid

Comprehensive development level Evaluation
1 Introduction
The shortage of traditional energy and the problem of environmental pollution are the
greatest challenges faced by the continuous development of human society. In order to
solve the energy crisis and environmental issues, various low-carbon technologies are
rapidly developing and will be applied on a large scale [1–3].
To achieve communication and cooperation, learn the advantages of smart grids in
different countries, it is essential to conduct a comprehensive assessment of the current
state of smart grid development in various countries. For example, the EU Joint
Project Supported by STATE GRID CORPORATION OF CHINA “Analysis model and

application of global energy Interconnection development index” (SGHAJY00RZJS1700026).

https://doi.org/10.1007/978-981-13-2381-2_21
226 C. Song et al.
Research Center and the U.S. Department of Energy cooperated in 2012 to conduct a
comparative study of the European and American smart grids [4].
For comparative study, this article uses the cloud element analysis which can reflect
the randomness and fuzziness to establish evaluation model [5], because the real-time
of the data in the index system cannot be fully guaranteed. The advantage of this
method is that, based on the trend of the development of the index data, it can minimize
time disunity problem of the data by giving index data of a certain interval. However,
there are only two ways to divide the grade interval in traditional cloud element
analysis: artificial division or national standard. In view of the fact that the indicators of
the smart grid have no national standard level for reference, in order to avoid the
subjective impact of artificial division, this paper proposes an objective cloud matter
element method based on cluster analysis. It can divide the grade interval objectively
which theoretically reduce the subjective influence to improve the objectivity and
accuracy; At the same time, the weight is determined by combining subjective method
and objective method to avoid subjective influence.
2 The Cloud Model
The cloud model has three important parameters: Expectation, represents the center of
cloud distribution; Entropy, represents the fuzziness of the concept value, the greater
the entropy, the greater the randomness and fuzziness; Hyper-entropy, represents the
dispersion degree of the reaction cloud droplets.
The object element is usually denoted as R ¼ ðN; c; vÞ, which N represents things, c
represents the characteristics of things, and v represents the magnitude of the
characteristics.
As usual, the cloud model is substituted into the matter-element theory [6], and v is
replaced with ðEx ; En ; He Þ. In this paper, the steps of the calculation of correlation
degree are as follows:
(1) Consider the eigenvalues of the cloud model ðEx ; En ; He Þ as a hierarchical
boundary cloud model;
0
(2) Randomly generate a normal random number Ex with the expectation En and the
standard deviation He ;
(3) Consider the sample value of this indicator x as a cloud drop, and calculate the
association of the index value with the hierarchical boundary cloud model [7]:
ðx Ex Þ2
y ¼ exp ð1Þ
2ðEn0 Þ2
Research on Smart Grid Comprehensive Development Level 227
3 The Improved Cloud Model

3.1 The Hierarchical Classification of Hierarchical Boundary Cloud
Model
This paper proposes a hierarchical interval classification method based on cluster
analysis. Applying the characteristics of cluster analysis makes the level limit cloud
model more objective, so that the evaluation results of cloud matter element analysis
method are also more objective.
This paper uses cluster analysis to cluster all the sample values of the smart grid
comprehensive development level. The steps are as follows:
(1) Determine the number of levels of the level limit cloud model c1 ; . . .; ci ;
(2) Randomly select data from the sample dataset as the initial clustering center [8];
(3) Calculate the distance between each data and the initial clustering center, and
determine the level of the data according to the distance. The principle is to
minimize the square sum of the data in each level to the clustering center as much
as possible.
(4) After all the data have been determined, the cluster center is recalculated to
determine whether the clustering criterion function has changed.
3.2 The Determination of the Hierarchical Boundary Cloud Model

After clustering the sample data, the cluster center of each level a1 ; a2 ; . . .; ai is
obtained. The value of each index grade interval is regarded as a double-constraint
interval ½cmin ; cmax , and the calculation formula of the upper and lower limits of the
interval is [9]:
ai1 þ ai
cminðiÞ ¼ ð1\i nÞ ð2Þ
2
ai þ ai þ 1
cmaxðiÞ ¼ ð1\i nÞ ð3Þ
2
The upper limit of the highest level and the lower limit of the lowest level are
determined by the nature of the index. If the index has obvious upper and lower limit
values, then the scale interval does not exceed [1,100]. If the index is purely a quan-
titative indicator and there are no clear upper and lower limits, the formula is:
cminð1Þ ¼ a1 ðcmaxð1Þ a1 Þ ¼ 2a1 cmaxð1Þ ð4Þ
cmaxðmaxÞ ¼ amax þ ðamax cminðmaxÞ Þ ¼ 2amax cminðmaxÞ ð5Þ
Among them, cminð1Þ represents the lower limit of the lowest level; cmaxð1Þ repre-
sents the upper limit of the lowest level; cminðmaxÞ represents the lower limit of the
highest level; cmaxðmaxÞ represents the upper limit of the highest level.
228 C. Song et al.
The interval median point represents the expectation of the entire interval Ex , and
the entropy value En is calculated according to the principle of “3En ”, and the hyper-
entropy value is determined by considering the randomness and fuzziness of the
boundary of the constraint:
cmin þ cmax
Ex ¼ ð6Þ
2
cmax cmin
En ¼ ð7Þ
6
He ¼ s ð8Þ
After the expectations, entropy, and hyper-entropy values are determined, they are
considered as a hierarchical boundary cloud model, and then the relevance of the
sample data points to each level of hierarchical boundary cloud model is calculated.
4 Evaluation of Comprehensive Development Level

of the Smart Grid Based on Improved Cloud Matter
Element Analysis
4.1 The Smart Grid Comprehensive Development Level Index System

The establishment of an evaluation index system for the smart grid comprehensive
development level is the basis for the assessment [10]. According to the basic char-
acteristics of the smart grid, taking the possibility of the index data collection into
consideration, this paper establishes an index system as shown in Table 1.
4.2 Hierarchical Boundary Cloud Model of Each Index for the Smart
Grid Comprehensive Development Level
By the literature review, sample data from 16 major countries were collected [11, 12].
According to Eqs. (2)–(5), the level limits are obtained.
According to the Eqs. (6)–(8), this paper calculates the expectation, the entropy to
obtain the hierarchical limit cloud model, as shown in Table 2.
4.3 Determination of Weight Coefficient

In this paper, a combination of ANP and principal component analysis [13] is used to
determine the weight coefficients. This method not only satisfies the subjective expe-
rience of experts, but also is loyal to the objectivity of the index data.
Assume that the subjective weight coefficient is xs and the objective weight
coefficient is xo . First, calculate the relative importance factor coefficient a of the
subjective weight and the relative importance factor coefficient b of the objective
weight:
Table 1. The index system of the smart grid comprehensive development level
First-level index Second-level index No.
Energy Use Scale Thermal power installed capacity 1
Hydropower Installed capacity 2
Nuclear Power Installed Capacity 3
Wind power installed capacity 4
Photovoltaic power installed capacity 5
Pumped storage installed capacity 6
Smart Facility Scale UHV AC/DC Transmission Scale (km) 7
Flexible HVDC transmission scale (km) 8
Intelligent distribution network capacity ratio 9
Terminal plug-and-play charging station scale 10
Smart meter application scale (million) 11
Strong and Self-healing Strong grid structure 12
Economic and Efficiency Line loss intelligent optimization capability 13
User power usage 14
Wind Power Access Capability 15
Photovoltaic Access Capability 16
Integration and Compatibility User-side demand response capability 17
Environmentally Friendly Greenhouse gas emission intensity 18
Electrical energy substitution ratio 19
Policies and Regulations Cooperation and mechanism 20
Smart Grid Planning and Support Policy 21
Related special policies and incentives 22
xsi
ai ¼ ; 1in ð9Þ
xoi þ xsi
xoi
bi ¼ ; 1in ð10Þ
xoi þ xsi
Finally, calculate the subjective and objective composite weights [15]:
ai xsi þ bi xoi
xi ¼ P
n ; 1in ð11Þ
ðai xsi þ bi xoi Þ
i¼1
4.4 Determination of the Smart Grid Comprehensive Development Level

The correlation between each sample index component and the hierarchical boundary
cloud model of each evaluation level is calculated by formula (1). The comprehensive
evaluation matrix is obtained, and the comprehensive evaluation result is weighted with
230 C. Song et al.
Table 2. The hierarchical limit cloud model of smart grid comprehensive development level
The hierarchical boundary cloud model ðEx ; En Þ
Excellent Good Medium Qualified Failed
1 (0.15,0.05) (0.41,0.03) (0.572,0.022) (0.71,0.03) (0.89,0.04)
2 (0.81,0.06) (0.55,0.03) (0.371,0.032) (0.20,0.02) (0.07,0.02)
3 (0.67,0.10) (0.27,0.03) (0.151,0.011) (0.328,0.07) (0.27,0.09)
4 (0.58,0.13) (0.14,0.01) (0.086,0.007) (0.05,0.01) (0.02,0.01)
5 (0.58,0.13) (0.14,0.01) (0.077,0.01) (0.03,0.02) (0.01,0.003)
6 (0.53,0.15) (0.07,0.004) (0.041,0.004) (0.02,0.003) (0.01,0.002)
7 (23325,3539) (7321,1795.98) (1508,141.53) (642,147.15) (100.3,33.4)
8 (1227,85) (694.5,92) (311.43,35.69) (143.5,20.3) (41.3,13.77)
9 (0.92,0.02) (0.73,0.041) (0.047,0.047) (0.22,0.04) (0.051,0.02)
10 (18000,1667) (10106,964.58) (4404.2,936.1) (1567.4,9.5) (769.45,256)
11 (18500,2500) (7138.85,1287) (2519.55,253) (1215,181) (334.9,111)
12 (15.17,5.05) (55.80,8.49) (120.875,13) (498.5,112) (1460,207)
13 (0.03,0.01) (0.07,0.01) (0.105,0.007) (0.15,0.008) (0.59,0.14)
14 (12975,466) (10095.9,492.7) (7162,4862) (4365,446) (1514,504.7)
15 (0.95,0.02) (0.86,0.013) (0.782,0.013) (0.55,1.17) (0.18,0.06)
16 (0.92,0.03) (0.80,0.01) (0.72,0.017) (0.49,0.06) (0.15,0.05)
17 (0.52,0.16) (0.03,0.003) (0.022,0.0002) (0.02,0.001) (0.01,0.002)
18 (1.6,0.53) (6.1,0.97) (11.728,0.923) (15.42,0.32) (17.46,0.36)
19 (0.28,0.01) (0.24,0.01) (0.214,0.005) (0.18,0.01) (0.08,0.03)
20 (95.83,1.39) (89.5,0.72) (85.08,0.75) (80.62,0.74) (39.2,13.07)
21 (95.83,1.39) (89.5,0.72) (85.08,0.75) (80.62,0.74) (39.2,13.07)
22 (95.25,1.58) (85.33,1.72) (74.42,1.92) (63.08,1.86) (28.75,9.58)
Note: In this paper, He ¼ 0:002
the composite weights [14]. At the end of the rating process, the level with the highest
degree of association is the final level of assessment [5]:
Kj ¼ max Bj ðqÞ ð12Þ

j2ð1;2;...;mÞ
Among them, Bj ðqÞ represents the q level of the sample j, and Kj represents the
evaluation level of the sample j.
When calculating the associated of cloud droplets with the hierarchical cloud
model, we need to generate a normal random number, so the calculation process has a
large randomness, and its conclusion is always uncertain. In order to avoid the ran-
domness, this article needs to perform multiple calculations.
Because the standard deviation is a measure of the result dispersion, this paper uses
the standard deviation to judge the reliability of the assessment results. After multiple
calculations, the expected and the standard deviation of the final evaluation result can
be calculated [4]:
k1 þ k2 þ . . . þ kh
Ek ¼ ð13Þ
h
vffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
u h
u1 X
r¼t ½ ki E k 2 ð14Þ
h i¼1
Among them, h indicates the number of operations, in this article h ¼ 20000. The
smaller the standard deviation, the smaller the dispersion of assessment results and the
more reliable the assessment results.
5 Analysis of the Examples
This paper assesses the level of the smart grid comprehensive development in 16 major
economies. Sample data for 16 countries are shown in Schedule 1 in Appendix.
Through the ANP method, the subjective weights of various indicators are
obtained. Based on the sample data of each country, the objective weights are obtained
using principal component analysis. The final comprehensive weights are calculated
according to Eqs. (9)–(11). The results are shown in Table 3.
After calculating the weights, firstly a normal random number table of 22 5 is
generated. Because there are data from 16 countries, the original sample data to be
evaluated is a matrix of 16 22. According to Eq. (1), the correlation between each
country’s index and each level of the index in the above-mentioned normal random
number table is calculated. Therefore, a three-dimensional matrix of 16 22 5 is
formed to store the relevance. Secondly, weighting the association degree table and
weights to obtain a comprehensive evaluation matrix and calculate to obtain the
assessment level of each country according to Formula (12). Finally, the calculation
process is repeated 20,000 times, and the standard deviation is calculated at the same
time. The assessment result is shown in Table 4:
Based on the above, it can be clearly concluded:
The United States, China, Japan, and Germany are countries with excellent levels.
Italy, South Korea, the United Kingdom, Canada, and France are countries with a good
level. Brazil, India and Australia are countries with a comprehensive level. Argentina
and South Africa are countries with a qualified level, while Russia and Egypt are
countries with unsatisfactory level.
Although China is in second place, but from the data point of view, we can see that
China currently has a lot of work in terms of the intelligence of power transmission and
distribution, and the gap with Europe and the United States is relatively small. China
vigorously develops renewable energy, and the gap with Europe is decreasing. But
compared with Europe and the United States, the theoretical research on improving the
flexibility of power grids is not enough and is limited by various factors, and the
demand response is weak. Therefore, China needs to establish relevant policies and
invest heavily in these areas in order to shorten the gap as soon as possible.
232
C. Song et al.
Table 3. The index weight of smart grid comprehensive development level

No. Subjective Objective Comprehensive No. Subjective Objective Comprehensive
weights weights weights weights weights weights
1 0.0126 0.0489 0.0362 12 0.0996 0.0462 0.0721
2 0.0222 0.0341 0.0257 13 0.0711 0.0491 0.0542
3 0.0176 0.0157 0.0146 14 0.0819 0.0514 0.0612
4 0.0624 0.0167 0.0460 15 0.0506 0.0567 0.0470
5 0.0577 0.0072 0.0455 16 0.0508 0.0487 0.0434
6 0.0377 0.0211 0.0277 17 0.0215 0.0559 0.0404
7 0.0524 0.0390 0.0407 18 0.0565 0.0433 0.0443
8 0.0564 0.0042 0.0461 19 0.0170 0.0550 0.0402
9 0.0275 0.0686 0.0469 20 0.0382 0.0409 0.0346
10 0.0190 0.0680 0.0500 21 0.0666 0.0770 0.0630
11 0.0178 0.0816 0.0612 22 0.0570 0.0708 0.0564
Table 4. The evaluation result of the smart grid comprehensive development level
Country Level Level a 10−3
Excellent Good Medium Qualified Failed
USA 20000 0 0 0 0 Excellent 0.01
China 20000 0 0 0 0 Excellent 0.06
Japan 20000 0 0 0 0 Excellent 0.20
Germany 20000 0 0 0 0 Excellent 0.49
Italy 0 20000 0 0 0 Good 0.06
Korea 0 20000 0 0 0 Good 0.13
Britain 0 20000 0 0 0 Good 0.19
Canada 0 20000 0 0 0 Good 0.31
France 526 15304 4170 0 0 Good 0.52
Brazil 0 0 20000 0 0 Medium 0.02
India 0 0 20000 0 0 Medium 0.03
Australia 0 0 20000 0 0 Medium 0.76
Argentina 0 0 0 20000 0 Qualified 0.11
South Africa 0 0 0 19843 157 Qualified 0.59
Russia 0 0 607 0 19393 Failed 0.23
Egypt 0 0 0 0 20000 Failed 0.74
6 Conclusion
This paper proposes an objective cloud matter element analysis method based on
cluster analysis. The improved objective cloud matter element method achieves
objectively dividing the hierarchical range of the hierarchical boundary cloud model,
which can significantly improve the objectivity and accuracy of the comprehensive
development level assessment. At the same time, this paper combines the ANP and the
principal component analysis method to determine the weight of the smart grid com-
prehensive development level index, which can make the weight determination more
objective. In order to simplify the analysis of the assessment results, this article cites the
concept of standard deviation to judge the reliability of the assessment results.
Therefore, this paper can not only use the improved objectified cloud matter element
method to evaluate the sample level, but also can use the standard deviation to judge
the sample ranking of the same level. This article uses the smart grid comprehensive
development level assessment case to prove that this method significantly improves the
objectivity and accuracy of the assessment results.
234 C. Song et al.
Appendix
Schedule 1. The raw data of the smart grid system comprehensive development level
No. America China Japan Germany Britain France India Italy
1 68.50% 65.30% 57.10% 42.80% 61.10% 17.00% 68.90% 56.90%
2 8.70% 20.20% 14.30% 5.70% 4.30% 17.70% 14.00% 14.00%
3 8.70% 1.50% 10.50% 6.40% 10.40% 47.00% 2.20% 0.00%
4 5.67% 8.36% 0.93% 18.42% 13.77% 7.08% 8.68% 6.84%
5 1.73% 2.06% 7.61% 17.21% 5.63% 4.39% 0.34% 14.78%
6 2.14% 2.02% 8.80% 10.20% 5.60% 9.00% 2.70% 7.52%
7 300 23325 487.2 0 0 64.5 1800 2.8
8 238 159.7 0 1227 260 60 0 0
9 96.60% 50.00% 100% 96% 90% 90% 21% 71%
10 2.7 19.0599 10.97 2.4667 1.1 1 0.35 0.27
11 6500 18000 8000 162 275 2500 200 3300
12 1.5 15.2 0.3 0.25 1.17 5 63 1.78
13 6.32% 6.64% 4.73% 4.34% 7.64% 7.29% 22.70% 6.38%
14 10408 4078 7701 6815 5156 7125 1100 5050
15 93.70% 83% 85% 87% 88.60% 86.00% 69% 85.60%
16 80.00% 82.00% 78.00% 88.00% 82.00% 85.00% 60.00% 76.00%
17 4.53% 0.45% 1.23% 3.24% 3.10% 2.85% 0.14% 1.68%
18 3.63 16.98 2.64 2.28 1.57 1.3 12.91 1.78
19 21.90% 21.50% 28.00% 19.70% 20.70% 23.70% 14.30% 21.00%
20 95 93 90 94 89 87 88 82
21 97 93 93 95 91 92 85 88
22 92 87 93 89 90 88 75 90
No. Brazil Canada Korea Russia Australia Argentina S.A. Egypt
1 18.90% 23.20% 66.70% 67.80% 74.60% 60.00% 89.90% 88.00%
2 66.50% 57.60% 7.00% 21.90% 11.10% 32.49% 1.50% 8.70%
3 1.40% 10.20% 18.00% 10.20% 0.00% 3.30% 4.10% 0%
4 4.48% 7.28% 0.60% 0.05% 6.25% 0.97% 1.27% 2.16%
5 0.00% 1.29% 2.59% 0.25% 6.38% 3.24% 2.16% 1.25%
6 0% 0.14% 4.93% 0.57% 2.64% 0% 1.07% 0%
7 2092 0 0 1853 0 0 1667 0
8 0 0 0 0 714 0 0 0
9 55% 75% 85% 40% 46% 35% 20% 0%
10 0.55 1.02 2 0.6 1 0.42 0.5 0
11 6350 2500 850 200 150 100 20 5
12 57 48 11.5 18.9 50 108 213 1460
(continued)
Schedule 1. (continued)
No. Brazil Canada Korea Russia Australia Argentina S.A. Egypt
13 15.73% 9.54% 3.55% 10.94% 5.99% 13.79% 9.53% 10.66%
14 2602 12975 10380 6608 9750 3186 4241 1733
15 88.20% 80% 89.30% 0 86% 78% 72.60% 75%
16 0.00% 74.00% 75.00% 0.00% 70.00% 0.00% 81.00% 0.00%
17 2.90% 2.77% 1% 0 0.32% 0 0 0
18 4.25 3.82 5.52 17.59 4.11 5.61 14.06 15.44
19 18% 20.50% 24.60% 15.20% 21.90% 17.70% 22.40% 21.50%
20 78 84 79 89 76 78 79 74
21 86 89 89 83 84 80 83 78
22 72 76 70 55 75 65 55 55
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Distributed Accommodation for Distributed
Generation – From the View of Power System
Blackouts
Boyu Liu1, Bowen Zhou1(&), Dianke Jiang2, Ziheng Yu1,

Xiao Yang1, and Xiangjin Ma1
1
College of Information Science and Engineering, Northeastern University,
Shengyang 110819, Liaoning, China
{1223118445,291969861,490078420,44706602}@qq.com,
[email protected]
2
State Grid Dalian Electric Power Supply Company, Dalian 116001, Liaoning,
China
[email protected]
Abstract. With the rapid increase of the installed capacity and generation
capacity of renewable generation, the topology and structure of modern power
systems get more complicated, which promotes higher requirements for power
system secure and stable operation. However, power system large-scale black-
outs often occur. This paper firstly reviewed 51 major blackouts in history
worldwide. The main causes of blackouts were summarized afterwards. Finally,
distributed accommodation for distributed energy in energy internet was pro-
posed as a key research direction to avoid large-scale blackouts.
Keywords: Power systems Large-scale blackout Cascading failure

Energy internet Review
1 Introduction
At 15:48 on March 21, 2018, another major blackout occurred in Brazil, causing
northern and northeastern Brazilian power grids disconnected from the main grid.
Hence 2049 cities in 14 states were severely influenced, accounting for 93% of all cities
in the region. Besides, 9 states from southern, southeastern and middle-western Brazil
were affected at certain extent [1]. Among all 26 states and 1 federal district in Brazil,
there were 85% of states or federal district that were affected by the blackout.
19 760 MW in total was shed in the blackout, which takes up to 25% of the total load
of the Brazilian national power grid. The accident caused the northern and northeastern
grid disconnected from the southern, southeastern and middle-western grid, both grids
went collapsed, and the rest of the grids received minor disturbance.
Preliminary investigation revealed that the accident was caused by the 500 kV AC
bus breaker in the Xingu converter station, which was the sending end of the Belo
Monte ±800 kV DC transmission project Phase I. Because the setting values were
preset at factory, during the day the load increased and the line load current exceeded

https://doi.org/10.1007/978-981-13-2381-2_22
Distributed Accommodation for Distributed Generation 237
the preset value, resulting in overload tripping, and thus made the Xingu converter
station to lose the only 500 kV AC bus power supply while in its trial operating stage,
which triggered bipolar locking. At the same time, since the stability control device in
the trial operating stage did not take the situation that single bus loses its voltage into
account, instead of issuing shutdown command, it judged the signal of the removal of 6
units as an error signal, resulting in the continuance operation of 7 units of the Belo
Monte Hydropower Station. Eventually all units were shut down by its own protection,
and the failure was exacerbated. It is initially judged that the inappropriate structure of
the Brazilian power grid and the inconsistency in the protecting controlling device are
the main causes for this major blackout. Detailed reasons are still under investigation.
Throughout history of power blackouts, the inappropriate grid structure and its
operating method as well as protection control system malfunctioning which leads to
large-scale power flow transfer have always been the main factors that causing a
blackout. The paper firstly reviews major blackouts in global history and describes the
main processes of them. Secondly, main reasons of the blackouts are analyzed and
corresponding countermeasures are put forward. Finally, combined with current hot-
spots of power grid development and research, distributed accommodation for dis-
tributed energy in energy internet was proposed as one of the research directions.
2 A Review on the Global Major Blackouts
There have been 51 relatively serious blackouts that took place in history, and 20 of
them occurred between 1965 to 2009. The date, location and the cause of the accidents
are shown in Table 1. On the other hand, there have been 22 major blackouts in foreign
countries since 2010, as shown in Table 2. It can be concluded that the frequency of
blackouts is much higher than before. Table 3 lists blackouts happened in China.
Global blackouts have been concentrated in two periods. The first period was from
2003 to 2006, when the electricity market is gradually developing, power trading,
equipment overhaul and several other factors have aggravated the burden of the power
flow of the grid. At this time, relay protection or automatic safety device malfunction or
operating due to overload may trigger large-scale power flow transfer, resulting in
further overloading of lines and transformers that are already overloaded, eventually
leading to chain accidents and major blackouts.
The second period was from 2010 to the present. Although the blackout caused by
chain actions from protection control device malfunctioning has also occurred several
times, more initial failures were caused by natural disasters such as thunderstorms,
strong winds, earthquakes, tsunamis, freezing rain and snow, etc. With the continuous
increase in the level of grid informatization and access to renewable energy, new types
of failure began to emerge. As of Ukrainian power grids suffered blackouts caused by
“BlackEnergy” malware attack on December 23, 2015. This was the first large-scale
blackout accident caused by human deliberately using malicious software or computer
viruses to attack the protection control device of a power grid. On September 28, 2016,
extreme weather such as typhoons and heavy rains hit southern Australia, where owns
very high penetration of renewable energy installation. Weathers triggered a mass
disconnection of renewable energy, and this was the first case of blackout caused by
massive off-grid of renewable energy.
238 B. Liu et al.
Table 1. Major blackouts from 1965 to 2009 in the world

Date Country/Region Blackout cause
Nov. 9, Northeastern USA Two 275 kV lines tripped due to protection malfunction.
1965 Canada [2, 3] Generators are overloaded and shut down due to the
power flow transfer
July 13, New York, USA Lightning tripped off a line and protection malfunction
1977 [4] caused cascading failure
Dec. 27, Sweden [5] A major substation fault triggered multiple cascading
1983 tripping
Mar. 13, Quebec, Canada Sunspot activity resulted in strong magnetic interference
1989 [6] caused multiple substations outages
June 8, Israel [7] A fire caused two lines tripped and triggered power flow
1995 transfer. Overexciting shutdown aggravated the transfer,
and tie lines held too much flow and triggered distance
protection actions hence caused disconnection
July 2, Western USA [8] A 345 kV and a 230 kV line protection device
1996 malfunctioned, causing multiple line tripped
Aug. 10, Western USA [8] Three 500 kV AC lines and 2 DC lines were heavy
1996 loaded and short-circuited with trees, causing a series of
tripping. Power plant shutdown caused system
oscillations
Mar. 11, Brazil [9] Lightning trips off a line, and power flow transfer caused
1999 multiple lines tripped and system oscillations
Aug. 14, Northeast USA Multiple system line trips caused system oscillations.
2003 Canada [10, 11] The EMS status was miscalculated and the dispatch lost
relevant grid intelligence
Aug. 23, London, UK [9] Transformer failed. Meanwhile, the protection settings
2003 were manually wrong
Sept. 23, Sweden Denmark Failure of the generator unit led to outage. The
2003 [10] transformer station disconnector failure caused 4 lines
tripping. After power flow transfer, lines were
overloaded. Eventually the generators were oscillated
and disconnected in accompany with voltage collapse in
the power shortage regions
Sept. 28, Italy [10] A line was overloaded and tripped. The power angle was
2003 too large and the reclosing failed. The power flow
transfer caused multiple lines tripped, and thus led to the
generators oscillated and disconnected
Nov. 8, Libya [9] Substation failed and lack of adequate protection
2003 preparation
July 12, Athens, Greece Substation fault triggered low voltage load shedding
2004 [12]
May 25, Moscow, Russia A current transformer in a 500 kV substation caught a
2005 [13] fire and exploded. The bus differential protection
activated, and the bus exited operation. The two-phase
grounding of another bus in the station resulted in a
(continued)
Table 1. (continued)
complete stop of the substation, which caused another
220 kV substation to stop completely. Power flow
transfer caused multiple lines tripping and multiple
power plants shutdown
Aug. 14, Tokyo, Japan [14] The crane boom of a construction company crane ship
2006 collided with six 275 kV transmission lines across a
river during operation
Sept. 24, Pakistan [14] Transmission system failure led to the blackout
2006
Nov. 4, Western Europe Two heavy-duty high-voltage transmission lines tripping
2006 [15] caused cascading tripping of multiple lines, resulted in
disconnection from grids
Apr. 26, Colombia [16] General power plant technical failure led to the blackout
2007
Nov. 10, Brazil [17] Strong cold air caused hurricanes, heavy rainfall, and
2009 intensive lightning, resulted in short-circuits in three
different phases of different lines. The Itaipu
Hydropower station was shut down, and the system
oscillated and caused a large-scale tripping of the load
center. The high-frequency protection system in the
nuclear power plant malfunctioned further deteriorates
the fault, caused load side low frequency and low
voltage load shedding and power supply side high
frequency shutdown
Table 2. Major blackouts since 2010 in the world

Jan. 16, Melbourne, Forest fires burned down the generator and the power flow
2011 Australia [16] transfer caused overloading and tripping
Feb. 4, Brazil [16, 18] The bus-bar protection in the substation failed and
2011 malfunctioned. The bus was completely stopped, and the
low-voltage protection setting of the hydropower station
was inappropriate, causing cascading failure
Mar. 11, Japan [16] A 9.0 earthquake and tsunami caused nuclear power units
2011 shut down
Apr. 19, Costa Rica [16] Technical failure of the largest domestic substation caused
2011 blackouts
June 26, Manila, Lightning hit a transmission line caused a trip, led the other
2011 Philippine [16] two lines to trip
June 27, New York, Lightning hit lines near the substation caused multiple lines
2011 USA [16] to trip
July 4, Georgia [16] A major line from west to east failed
2011
(continued)
240 B. Liu et al.
Table 2. (continued)
July 23, Barcelona, A substation cable failed, resulting in cascading failure in
2011 Spain [16] other 6 substations
Sept. 8, San Diego, Manual malfunction resulted in a 500 kV line tripped, and
2011 USA the low-frequency load shedding device mis-tripped,
USA-Mexico leading to the shutdown of the power plant units
Border
[16, 19, 20]
Sept. 15, South Korea Negative deviations in load prediction and lack of backup
2011 [16] generation caused regional blackouts in shift to avoid
nationwide overall blackout
Sept. 24, Central Chile The transmission line vibrated and caused line pressed.
2011 [16] A substation failure occurred at the same time
Oct. 31, Northeastern Due to sudden blizzard, multiple lines tripped
2011 USA [16]
July 30, India [21, 22] A 220 kV line fault caused the power flow transfer. Then
2012 the 400 kV line III sections protection device
malfunctioned, and the system oscillated and disconnected
July 31, India [21, 22] After the generator tripped and power flow transferred, a
2012 220 kV line overload tripping aggravated the flow transfer,
and the 400 kV line III protection device malfunctioned
May 22, Southern A 500 kV line permanently grounded short-circuited caused
2013 Vietnam [23] cascading failure of multiple lines and generators
Nov. 1, Bangladesh DC blocking resulted in low-frequency load shedding
2014 [24]
Aug. 31, Tunisia [25] Critical line short-circuited and tripped
2014
Mar. 27, Holland [26] Substation technical failure caused blackouts
2015
Mar. 31, Turkey [27, 28] A heavy-duty 400 kV line tripping caused a long-distance
2015 parallel line to trip successively and caused disconnection
from the grid
Dec. 23, Ukraine [29, Computer virus attack caused blackout (first time in history)
2015 30]
Sept. 28, Southern Extreme weather such as typhoon and rainstorm caused
2016 Australia [31] large-scale renewable energy sources disconnection (first
time in history)
Mar. 21, Brazil [1] Voltage lost in AC bus bar in the converter station. The
2018 Belo Monte Hydropower station mis-tripped. DC line
bipolar locked
Table 3. Major blackouts in China

Date Province/Region Blackout Cause
July 29, Taiwan, China Heavy rains have caused transmission line towers to lean,
1999 [32] causing power plants in middle-north Taiwan to trip due
to protection mechanisms
Sept. 26, Hainan Prov. [33] Severe damage to power equipment caused by typhoon
2005 made multiple lines permanently failed
July 1, Henan Prov., Two 500 kV lines faulted to trip. Some units in Henan
2006 Central China [34] power grid and 220 kV lines tripped. The stability control
device mis-tripped and the central China power grid
oscillated
Mar. 4, Liaoning Prov. Extratropical storm surge caused cascading trips on
2007 [35] multiple transmission and distribution lines, and multiple
substations stopped
Jan.– Middle-southern Severe rain, snow and freezing weather caused the
Feb. China [36, 37] collapse of multiple transmission lines
2008
Apr. 10, Shenzhen [38] A one-phase switcher in the 220 kV side line of Shenzhen
2012 500 kV substation exploded. Dring isolation, the switch-
support insulator of another phase broke, causing a
220 kV substation and seven 110 kV substations lost
voltage
June 5, Shanghai [38] A 500 kV cable broke down led to a power outage of a
2013 500 kV and a 220 kV main substation, resulting in power
outage in three 110 kV substations in the downstream
Nov. 7, Liaoning Prov. Heavy wind, rain, snow and freezing weather have caused
2015 [35] several chain trips on multiple transmission and
distribution lines. Almost All substations have been
completely stopped
Aug. 15, Taiwan, China Due to the interruption of gas supply without warning, all
2017 [39] 6 units in the Taoyuan Dayan Gas Power Plants tripped
3 Main Causes of Blackouts and Their Countermeasures

3.1 Natural Factor
Thunderstorms, strong winds, earthquakes, tsunamis, forest fires, rain, snow, ice, and
other natural disasters are very common and can easily cause tripping of transmission
and distribution lines in a short period of time, producing load shedding, which can
lead to major blackouts. Throughout history of blackout, the proportion of blackouts
caused by such accidents was as high as 1/3. Blackouts caused by natural factors
generally have a rapid rate of development, a wide range of impacts, slower speed of
failure recovery, and frequent repeated failures. Physical damage to equipment caused
by natural factors is generally difficult to recover in a short time, and extreme weather
conditions generally also cause sharp increase of load to further reduce the safety and
stability margin of the faulty power grid.
242 B. Liu et al.
The power grid should actively use meteorological big data and weather forecast
information to combine weather forecasting with load prediction and power generation
planning. At the same time, in response to extreme weather conditions, the system
operator should further improve early warning and preventive measures, and improve
the stability control strategy, and ensure that the power grid has sufficient available
spare capacity are effective methods to improve present countermeasures against
blackouts.
3.2 Equipment Failure

Transmission line and substation equipment failure is also another important factor in
causing blackouts, resulting in more than 60% of blackouts. Among them, blackouts
caused by transmission line failure is slightly higher than the substation failure.
Because the transient process is rapid, blackouts caused by equipment failure has a
rapid speed of development and evolution, and it also has a wider range of impact.
Besides the natural factors, the causes of general accidents are mostly equipment aging,
quality problems, and malfunction of the protection control. The several well-known
major blackouts in history are almost inextricably linked with protection control sys-
tems. There are many aspects of the causes of such accidents. The first is that the power
grid is relatively weak, and many important lines or standby power supply are under
overhaul or long-term outage. The system lacks the necessary regulatory potential. The
second aspect is heavy loading. Almost all blackouts occur in the period of typical
daily heavy load season or the peak of the daily load curve. The power flow overload
causes the line to droop, causing a short circuit to the ground and leading to accidents.
The third is protection malfunction. The power flow transfer aggravates the burden of
other lines and triggers cascading accidents. The fourth is the lack of the capability of
perception and the capability of online computing, and inadequate emergency plans.
When the power grid is operating in an emergency status, or when a second failure
occurs in a chain accident, it often follows the stability control strategy under normal
conditions, and lacks a fast and reliable power grid perceiving and online stability
computing capabilities.
For blackouts caused by equipment failures, the power grid should be mainly
improved from technical means. Such as construct AC and DC UHV grids to improve
strength of the grid; Ensure the spare capacity of the system, using FACTS or HVDC,
etc. to flexibly regulate the power flow of the grid; Introduce the “source-grid-load-
storage” modes to reduce the heavy loading in transmission grids; Improve the relia-
bility of relay protection and safety automatic devices, and strengthen various security
corrections such as N-1, N-2, N-1-1, and N-m; Based on EMS/SCADA/WAMS,
establish an on-line security and stability control system in the power company’s
dispatching to improve the dispatcher’s power grid perception and decision support for
handling chain accidents.
3.3 Strategic Failure

Strategic failures generally refer to the situation when confronting a certain accident or
a certain series of cascading failures, the grid lacks a corresponding security and
stability control strategy. This situation often occurred before 2010, but with the
gradual improvement of security corrections such as the N-1 security correction, these
accidents have occurred only twice in recent years and the situations were rather
special. The first was the South Korea blackout in 2011. The grid load prediction had
serious negative deviations. In order to avoid the nationwide blackout, the adminis-
tration took a 30-min regional temporary blackout in shift in the order of minimum load
loss. Although this strategy avoided the total blackout, approximately 1.62 million
households across the country experienced blackouts in high temperatures. The second
was Brazil blackout in 2018. The first phase of the Belo Monte DC project was in its
phase of trial operation. The stability control strategy during the trial operation stage
did not take into account the voltage loss situation of the temporary operation of the
single bus. The safety strategy was designed incompletely, resulted in DC bipolar
blocking and loss of major power supply. It can be foreseen that major blackouts
caused by strategic mistakes can basically be avoided under the conditions of accurate
load prediction, reasonable arrangement of power generation plans and security
corrections.
3.4 Manual Malfunction

Operating the power grid is a high-risk profession. Although the operation of the power
system has strict operational procedures and safety regulations, manual malfunctions
still play a role in the blackout. In response to such accidents, it is necessary to
strengthen the sense of safety production responsibilities for maintenance management
and operation personnel, to increase their professional training, and to ensure that
relevant personnel are familiar with operation risks and related countermeasures.
4 Distributed Accommodation for Distributed Generation
From the above discussions, several countermeasures to avoid power system blackouts
are introduced. This section discusses distributed accommodation for distributed gen-
eration in energy internet to avoid large-scale blackouts.
Distributed accommodation for distributed generation means to enhance the con-
trollability and regulation potentiality of controllable load or flexible load from the load
side, to achieve the “source-grid-load-storage” collaborative optimization control and
to accommodate renewable energy. This makes local consumption for local production,
which reduces the power flow in high-voltage transmission grids and promotes the
transmission capacity to accept power flow transfer during faults.
244 B. Liu et al.
With the development of new-generation communication technologies, especially

the rapid development of wireless communication technologies, at present cyber
physical power system as well as energy internet formed by integration of power grids
with information technologies, network technologies and communication technologies
etc. have gradually become research hotspots. The economic benefits and environ-
mental benefits of a multi-energy interconnected system such as cold, heat, electricity,
gas, and oil that are realized through energy hubs are even more impressive. At the
same time, system security under multi-energy interconnection conditions should also
attract attention. The security of traditional grids only affects the grid itself, which
means causing blackouts. In the case of multiple energy interconnections, security
requirements vary among forms of energy. Such as natural gas and gasoline, once the
electrical equipment fails and forms arcs, sparks or leakage, then the safety threats are
very critical and difficult to measure with the loss of power outages. The refrigerants
commonly used in refrigeration and heating systems, such as liquid ammonia, also
present a risk of detonation, and Freon has an environmental threat after it has leaked.
At the same time, due to the convenience and high efficiency of electrical energy, other
forms of energy systems are generally connected to the power system. Once the other
energy demand is excessive, the burden of the power flow on the grid will be heavy and
it is easy to cause blackouts. At present, there are still few studies on the security of
multi-energy interconnected systems or energy Internet. Therefore, the research on
energy Internet security needs to be carried out urgently.
The current controllable load or flexible load of the power grid is generally electric
heat load (electric boiler, heat storage electric boiler, electric heat dryer, etc.), electric
cooling load (air conditioning, cold storage, etc.), electric vehicle, energy storage, and
the like. The participation of such loads in the distribution accommodation for dis-
tributed generation is not only the development of the energy Internet, but also the
development of the “source-network-load-storage” smart energy use and renewable
energy accommodation [40].
5 Conclusion
1. Blackouts may happen again. Judging from the causes and results of the 51 major
blackouts in global history, we have not fully grasped the possibility of blackouts.
The major causes of blackouts are natural factors, equipment failures, manual
malfunctions, and strategic failures.
2. Combining the history of power grids and accidents and the current development of
power grids, the strategies and measures to prevent blackouts can be discussed from
distributed accommodation for distributed generation in energy internet.
Acknowledgement. This paper was supported by the National Natural Science Foundation of
China (61703081), and Natural Science Foundation of Liaoning Province (20170520113).
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A New Out-of-Step Splitting Strategy Based
on Compound Information
Youqiang Xiao1, Hangpeng Ni2, Wen Qian1, Tao Lin2(&),

and Ruyu Bi2
1
Yunnan Power Grid Co., Ltd., Kunming, China
2
School of Electrical Engineering, Wuhan University, Wuhan, China
[email protected]
Abstract. The existing out-of-step splitting device may be worse in adapt-

ability under multi-frequency out-step oscillation scenario. Aiming at this
problem, this paper presents an out-of-step splitting strategy based on compound
information to adapt to the migration of oscillating center. In detail, the pro-
posed strategy can obtain bus voltage amplitude/phase information provided by
WAMS and local Ucosu criterion to determine position of out-of-step oscilla-
tion center and out-of-step period. The proposed strategy can greatly simplify
the configuration and parameter setting of out-of-step splitting devices. Simu-
lation results show that the correctness of the proposed strategy under multi-
frequency out-step oscillation scenario.
Keywords: Criterion based on Ucosu WAMS Compound information

Out-of-step splitting strategy
1 Introduction
The operating modes and failure modes of AC-DC interconnected power grids are
becoming more and more complex and diverse, and the possibility of out-of-step
oscillation between multiple clusters in the system is increasing [1]. The law of
oscillation center migration based on the two-machine model is no longer applicable in
multi-frequency out-step oscillation scenario [2]. Thus the existing out-of-step splitting
device based on the equivalent two-machine model has the risk of misjudgment.
Although the out-of-step splitting device can locate the out-of-step center position
through offline simulation and parameters setting in a fixed operation mode, once the
operation mode is changed, the out-of-step splitting device parameters cannot continue
to be applied, and the adaptability is greatly reduced. Literature [3] analyzed the
influence of different tunings on oscillation center deviation and the problem of
migration of oscillation center caused by the change of dominant instability mode
Literature [4] proposed three basic factors leading to the oscillation center migration:
the dominant oscillation mode changes, the equivalent potential and the system
impedance ratio changes. Literature [5] shows that the three out-of-step solution criteria
based on the Ucosu trajectory has the risk of misjudgment under multi-frequency out-
step oscillation. Literature [6] proposed a out-of-step splitting criteria based on wide-
area information, but this criterion only considers wide-area frequency information, and

https://doi.org/10.1007/978-981-13-2381-2_23
248 Y. Xiao et al.
it cannot coordinate with existing out-of-step splitting devices based on in-place

information, and it also faces information, security and communication delay issues.
Therefore, this paper proposes an out-of-step splitting strategy based on compound
information considering the migration of oscillation center under multi-frequency out-
step oscillation scenario, and simulation is made to verify its adaptability.
2 Multi-frequency Out-of-Step Oscillation Center
Three machine system model is showed as Fig. 1 to do detailed analysis. X1 ; X2 ; X3

are selected as impedances of three lines, w1 ; w2 ; w3 are selected as angular velocity of
three machine power potential, d1 ; d2 ; d3 are selected as three machine power
potential initial phase angle, and k21 ¼ E2 =E1 k31 ¼ E3 =E1 are selected as power
potential amplitude ratio of unit 2 and 3 to unit 1.
Fig. 1. Model of multi-frequency out-of-step oscillation three machine system
Suppose: k1 ¼ X1 X2 þ XX22 XX33 þ X3 X1 k2 ¼ X1 X2 þk21X2XX3 3Xþ

1
X3 X1 k3 ¼ X1 X2 þ X2 X3 þ X3 X1
k31 X1 X2
And:

p ¼ k1 þ k2 cosððw2 w1 Þt þ ðd2 d1 ÞÞ þ k3 cosððw3 w1 Þt þ ðd3 d1 ÞÞ
ð1Þ
q ¼ k2 sinððw2 w1 Þt þ ðd2 d1 ÞÞ þ k3 sinððw3 w1 Þt þ ðd3 d1 ÞÞ
Position of the oscillation center is derived as follows [7]:

1p
p\p2 þ q2
m¼ 12p þ p2 þ q2 ð2Þ
1 p p2 þ q2
The voltage of oscillation center is derived as follows:
j qj
Um ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi E1 ð3Þ
1 2p þ p2 þ q2
A New Out-of-Step Splitting Strategy Based on Compound Information 249
3 A New Out-of-Step Splitting Strategy Based on Compound

Information
Based on the wide-area measurement system (WAMS) to provide bus line voltage
amplitude/phase information at both ends of the line and the Ucosu criteria of the line
out-of-step splitting device, this paper proposes a new out-of-step splitting strategy.
The idea is to determine the system out-of-step condition by using the Wide Area
Measurement System (WAMS) to provide bus line voltage amplitude/phase informa-
tion at both ends of the line and the local out-of-step splitting device Ucosu criterion to
determine the line oscillation center voltage amplitude and position. And out the
specific steps are showed as follows.
(1) Substation side: Line out-of-step splitting device uses the Ucosu criterion to find
the line where the out-of-step oscillation center may be located
(2) Dispatching center side: To calculate the oscillation center position
1k cos d
m ¼ 12k cos d þ k 2 [8] by measuring the amplitude ratio and phase angle difference at
each end of each line through WAMS. Check whether the out-of-step oscillation
center is located on the line
(3) The substation side cooperates with the dispatching center side: If the oscillation
center position satisfies 0\m\1 the out-of-step oscillation center falls on the line,
and then WAMS sends a starting signal to the related out-of-step splitting devices
based on the Ucosu criterion on the line. After the devices receive the starting
signal, the out-of-step splitting devices start. The out-of-step splitting devices
perform the splitting action after detecting the setted out-of-step period; if the
position of the oscillation center does not satisfy 0\m\1, the oscillation center
migrates out of the line, and the WAMS sends the blocking signal to the out-of-step
splitting devices on the line, and after receiving the blocking signal, the out-of-step
splitting device is locked. The out-of-step splitting strategy flow is shown in Fig. 2.
Fig. 2. Flow diagram of the proposed out-of-step splitting strategy

250 Y. Xiao et al.
The out-of-step splitting device based on the Ucosu criterion has been added a
signal based on the position information of the oscillation center. Only when the
oscillation center falls on the line where the device is located, the device can perform
the splitting action. Therefore, the proposed out-of-step splitting strategy can avoid the
misoperation of the out-of-step splitting device based on the traditional local infor-
mation criterion and accurately determine the out-of-step center position.
4 Simulation
The following verification of the proposed out-of-step splitting strategy is performed.

X1 = X2 = X3 = 1, x21 = 3°/s, x31 = 5°/s, d1 ¼ 0 ; d2 ¼ 20 ; d3 ¼ 40 , the phase
difference between the voltages of the two ends is shown in Fig. 3.
Fig. 3. The voltage phase difference between the two ends of three lines
When T = 37.5 s, 172.5 s, 307.5 s, and 397.5 s, the out-of-step center falls on line
1. When T = 94.3 s and 248.6 s, the out-of-step center migrates to line 3.
The simulation results in the Ucosu and the location of the oscillation center of the
three lines, as shown in Fig. 4.
It can be seen from Fig. 4 that Ucosu measured on line 1 at T = 0–57 s, 138–
206 s, 290 s–350 s passes through at least 4 areas step by step, and it satisfies the zero-
sum condition of Ucosu and 0\m\1, so there are four out-of-step cycles; Line 2 does
not satisfy the condition and out-of-step center does not fall on the line; Line 3 satisfies
the condition at t = 80–110 s, 230–262 s, and there are two out-of-step cycles. The
results obtained by this strategy matches the actual out-of-step center distribution on
each line and splitting action can be correctly made after the out-of-step splitting device
detects the setted out-of-step cycles.
From the above, we can see that because the proposed strategy contains Ucosu
zero-crossing and oscillation center position conditions, the proposed strategy can
reflect oscillation center migration under multi-frequency out-of-step scenario. It can
A New Out-of-Step Splitting Strategy Based on Compound Information 251
Fig. 4. Ucosu and location of oscillation center of the three lines in mode 1
accurately locate out-of-step oscillation center position and out-of-step period, which is
not affected by the migration of oscillation center.
5 Conclusion
In this paper, based on the equivalent three-machine system model, a new strategy
based on compound information for out-of-step splitting strategy is proposed and
simulated. The results show that the out-of-step splitting strategy based on compound
information in multi-frequency out-step oscillation scenario can accurately capture the
out-of-step oscillation center and detect the out-of-step oscillating cycle, which has a
good adaptability to migration of oscillation center under multi-frequency out-step
oscillation scenario.
Acknowledgement. The authors would like to gratefully acknowledge the support of project of
Multi-frequency Out-of-step Oscillation in Yunnan Power Grid.
References
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Risk Assessment of Voltage Limit Violation Based
on Probabilistic Load Flow in Active Distribution
Network
Jing Dong ✉ , Xue Li ✉ , and Dajun Du

( ) ( )
Shanghai Key Laboratory of Power Station Automation Technology, Shanghai University,

Abstract. This paper mainly investigates risk assessment of voltage limit viola‐
tion in active distribution network with integration of wind generation (WG),
photovoltaic generation (PVG) and electric vehicles (EVs). Firstly, to avoid addi‐
tional peak load caused by random EV charging, a controlled EV charging and
discharging strategy is designed. Then, for the correlations of spatially near WGs
and PVGs, Nataf transformation and orthogonal transformation (OT) are inte‐
grated to solve the problem, and this provides a path for point estimate method
(PEM) based probabilistic load flow (PLF) to obtain steady-state voltage of active
distribution network. Furthermore, based on the voltage results, a model for
quantifying the risk of voltage limit violation is developed by considering loss of
load caused by voltage limit violation, which is different from the previous risk
indices calculated by possibility and severity of voltage limit violation. Finally,
the proposed model is tested on the modified IEEE 33-bus system. Simulation
results confirm that the effective EV charging/discharging strategies and pene‐
tration increment of WG and PVG help to decrease operation risk of active distri‐
bution network.
Keywords: Risk assessment · Voltage limit violation

Active distribution network · EV charging/discharging strategy · Correlation
Loss of load
1 Introduction
To solve energy shortage and environmental degradation problems, renewable energy

especially wind generation (WG) and photovoltaic generation (PVG) has been rapidly
employed, which makes active distribution network revolutionize electrical generation
and consumption. By the end of 2017, the cumulative installed capacity of WG and PVG
in China were 164 GW and 130 GW, respectively, accounting for 16.5% of the country’s
generation capacity in total. Meanwhile, electric vehicles (EVs) are favored by advan‐
tages of environmental protection, and the governments around the world provide
forceful support to the promotion of EVs. However, with promotion of renewable energy
and EVs, the intermittent power output of WG/PVG and additional EV charging load

https://doi.org/10.1007/978-981-13-2381-2_24
254 J. Dong et al.
would likely have negative impacts on distribution network and potentially increase
risks [1].
To explore the impacts of WG, PVG, and EVs on the power system security and
quantify the risk, risk assessment has been used widely [2, 3]. For example, based on
risk calculation, voltage security assessment is accomplished by accounting for uncer‐
tainties in power system and consequences associated with voltage collapse and viola‐
tion of limits [4]. For a PV integrated power system [5], risk is quantified by computing
over-limit probabilities and severities. Moreover, the temporal and annual indices of
voltage profile and line flow related attributes are introduced to measure the risks of
installing DGs [6]. Considering the correlations of wind generations and loads, a model
for transmission overload risk assessment is proposed [7], while risk associated with
frequency response inadequacy is assessed simultaneously with steady-state voltage and
overload evaluations [8]. Specially, when the voltage at any bus exceeds the allowable
range, the load located at or near the bus is disconnected in small blocks until the viola‐
tion is cleared [8]. However, the above researches did not consider the impact of voltage
limit violation on loss of load. Therefore, how to develop a model for risk assessment
of voltage limit violation in active distribution network considering loss of load is main
motivation of this paper.
To quantify the risk of voltage limit violation, point estimate method (PEM) based
probabilistic load flow (PLF) is employed to obtain the operational state of active distri‐
bution network owing to the uncertainties of WG, PVG, and EVs. Moreover, spatial
correlations of WGs and PVGs should be considered [12]. But PEM requires that input
random variables are independent. Therefore, the correlations should be properly
handled to solve PLF problems using PEM.
To address these problems, this paper aims at evaluating risk of voltage limit viola‐
tion in active distribution network with the integration of EVs while considering spatial
correlations of WGs and PVGs. The main contributions of this paper include: (1) With
Nataf transformation and orthogonal transformation (OT) integrated to deal with spatial
correlations of WGs and PVGs, the PLF problem is solved by the 2 m + 1 scheme of
PEM. (2) Based on voltage results of PLF calculation, a model for quantitative risk
indices is developed accounting for the possibility of voltage limit violation and the
consequent loss of load.
The rest of the paper is outlined as follows. Section 2 presents the problem formu‐
lation. Section 3 provides PLF analysis. The model for risk assessment of voltage limit
violation is presented in Sect. 4. Simulation results are detailed in Sect. 5, followed by
the conclusions in the Sect. 6.
2 Problem Formulation
Quantitative risk can be defined as the product of the occurrence probability of the
undesired event (i.e. voltage limit violation) and the related consequence (i.e. loss of
load). For example, for voltage V , the risk index R(V) can be expressed as
R(V) = P(V)Pload (V), (1)

Risk Assessment of Voltage Limit Violation Based on Probabilistic Load Flow 255
where P(V) is the probability of voltage limit violation, and Pload (V) is the consequent
loss of load. To calculate the risk index R(V), the stochastic characteristics of V are
obtained by employing PEM based PLF while Nataf and orthogonal transformation (OT)
are integrated to handle correlations of WGs and PVGs. The outline structure of risk
assessment of voltage limit violation is shown in Fig. 1.
Fig. 1. Outline structure of risk assessment of voltage limit violation
3 PLF Analysis
Risk assessment of voltage limit violation is based on PLF calculation. A probabilistic

modeling and method of PLF calculation are introduced hereinafter.
3.1 Probabilistic Models for EV, WG, PVG and Load

A controlled EV charging and discharging strategy is proposed to achieve peak load
shifting. According to the statistics on behaviors of drivers [11], those EVs with short
daily distance are controlled to discharge during the peak load period (11:00–14:00 and
19:00–22:00) considering the responsiveness of the users (i.e., ratio of EVs that
discharge to all EVs). Meanwhile, the state of charge (SOC) should be reserved more
than 20% to extend the battery lifetime.
Then, EVs are controlled to charge during the off-peak load period (0:00–7:00). If
the duration of EV charging exceeds the off-peak load period, it starts charging at the
beginning of the off-peak load period; otherwise, it starts charging randomly as long as
it can be fully charged during the off-peak load period. Therefore, the start-time ts of
charging can be expressed as
{
tos , Tc > (toe − tos ),
ts = (2)
tos + r × (toe − tos − Tc ), 0 ≤ Tc ≤ (toe − tos ),
where Tc is duration of EV charging, tos is start-time of the off-peak load period, toe is
end-time of the off-peak load period, r is a random number and ranges from 0 to 1.
Considering start-time and duration of EV charging, the charging power Ptc at t can be
calculated by
256 J. Dong et al.
{
0, ts > t&ts + Tc ≤ t + 24, ts + Tc ≤ t,
Ptc = (3)
Pc , otherwise,
where Pc is charging power.

Finally, EV charging power demand can be obtained. Considering the intermittent
power output of renewable energy, wind speed is probabilistically described by Weibull
distribution [9], and light intensity tends to follow Beta distribution [10]. Load is
modelled by normal distribution.
3.2 PLF Calculation
The PLF problem can be formulated by the relations between output random variables
and input random variables, i.e.,
V = G(X) (4)
where V is output variables related to voltages, and X is input variables.
To solve the PLF problem in (4) using PEM, Nataf transformation [13] and OT [14]
are combined to deal with the correlations of input random variables. For the sample
matrix X , it is divided into three parts: the correlated non-normal vectors XW of wind
speed and XS of light intensity, the correlated normal vector XL of load, and the inde‐
pendent vector XEV of EV. The specific procedures of the proposed method are as
follows:
(1) XW and XS are transformed to the correlated standard normal random vector ZW and
ZS with Nataf transformation, respectively. XL is normalized to the standard normal
vector ZL.
(2) ZW , ZS, and ZL are transformed to the independent standard normal random vector
YW , YS, and YL by OT, respectively.
(3) XEV is normalized to the standard normal vector YEV .
(4) Based on Y composed of YW , YS, YL, and YEV , compute the locations and corre‐
sponding weights to construct the 2 m + 1 vectors Y ′.
(5) Y ′ is divided to four parts: wind speed YW′ , light intensity YS′ , load YL′ , and EV YEV
′
.
′ ′ ′ ′ ′
YW , YS, and YL are remapped to the correlated standard normal vectors ZW , ZS, and
ZL′ by employing inverse OT, respectively.
(6) YW′ and YS′ are transformed to XW′ and XS′ by inverse Nataf transformation, respec‐
tively. YL′ is transformed to the correlated normal vector XL′ .
′ ′
(7) ZEV is transformed to XEV in original space.
(8) XW , XS, XL, and XEV are combined as X ′. Based on X ′, the PLF problem in (4) is
′ ′ ′ ′
solved by the 2 m + 1 scheme of PEM.

Following the above procedures, the voltages can be obtained for risk assessment.
4 Risk Assessment of Voltage Limit Violation
Based on the voltages obtained by PLF calculation, the probability and consequent loss
of load are determined. Then, the model for risk assessment of voltage limit violation
can be established.
4.1 Probability of Voltage Limit Violation

th
With the assumption that voltages follow( ) normal distribution, for the i bus, the
probability of voltage limit violation P Vi can be calculated by
( ) ( [ ]) ( )| √ ( )
|
P Vi = FI Vi ∉ Vimin , Vimax , I = |Vi − E Vi | < 3 D Vi , (5)
| |
th
( ) of the i bus, Vimin is the lower limit, Vimax is the upper limit,
( ) Vi is voltage
where
E Vi and D Vi is mean and standard deviation of Vi, I is the confidence level when
the voltage samples comply with the “3𝜎 principles”, F is the cumulative distribu‐
tion function (CDF) of Vi [6].
4.2 Loss of Load
Based on the voltage results, the worst voltage state is employed to quantify the severity
of voltage limit violation, which can be expressed as
( ) | |
⎧ Sev V = | Vmi − Vimax |, V > V
| V | mi imax ,
( ) ⎪ i
| imax |
Sev Vi = ⎨ ( ) | V − Vimin || (6)
⎪ Sev V i = || mi |, V < Vimin ,
⎩ | Vimin | mi
| |
( ) ( )
where Vmi is the most severe deviation value of the limits, Sev V i and Sev V i represent
the severity index of the voltage over limits and below limits, respectively.
When voltage is out of allowable range, load shedding schemes will automatically
trip the load to maintain systemic stability. The load will be totally cut off once the
voltage exceeds the over-voltage protection limit, which is set as 1.2 p.u.. Similarly, the
under-voltage protection limit is set as 0.8 p.u..
( ) ( )
The relationship between loss of load Pload Vi and severity Sev Vi can be described
as Fig. 2.
258 J. Dong et al.
Pload (Vi ) Pload (Vi )
1 1
0 12.15% Sev (Vi ) 0 13.98% Sev (Vi )

(a) (b)
Fig. 2. Loss of the load when voltage exceeds security limits
Remark 1 As shown in Fig. 2(a), when the voltage Vi exceeds the over-voltage protec‐
tion limit, the severity( is )|(1.2 − 1.07)∕1.07| = 12.15%, and the load is totally cut off,
( )
i.e., Pload Vi = Pload Vi = 1. Similarly, as shown in Fig. 2(b), the severity corre‐
sponding to the under-voltage
( ) protection
( ) limit is |(0.8 − 0.93)∕0.93| = 13.98%, and the
loss of load is Pload Vi = Pload V i = 1.
4.3 Risk Index of Voltage Limit Violation

( )
Combing the above probability of voltage limit violation P Vi and loss of load
( ) ( )
Pload Vi , the risk index of voltage limit violation R Vi can be calculated by
( ) ( ) ( )
R Vi = P Vi Pload Vi . (7)
The risk index of the entire system RE can be calculated by
∑
N
( )
RE = R Vi (8)
i=1
where N is the number of buses in the power system.
The proposed method for risk assessment was tested on the modified IEEE 33-bus
system shown in Fig. 3. The parameters of the system are listed as follows.
(1) EV. It is assumed that there are 150 EVs in the distribution network and one EV
charging station is located at bus 7. The responsiveness of EV users is set as 50%.
Daily charging/discharging power by one EV is shown in Fig. 4.
(2) WG. Three wind farms are connected to buses 15, 25, and 30, respectively. Each
wind farm consists of two doubly fed induction generators with rated power of
100 kW. Daily wind speed profile is shown in Fig. 5. The correlation coefficient
matrix of the three wind farms [6] is
Fig. 3. IEEE-33 bus distribution network
5 14
12
Wind speed (m/s)
3
10
Power (kW)
1 8
-1 6
4
-3
2
-5 0
2 4 6 8 10 12 14 16 18 20 22 24 2 4 6 8 10 12 14 16 18 20 22 24
Hour Hour
Fig. 4. Daily EV charging/discharging power Fig. 5. Daily wind speed profile
⎡ 1 0.88 0.87 ⎤
𝜌 = ⎢ 0.88 1 0.85 ⎥ (9)
⎢ ⎥
⎣ 0.87 0.85 1 ⎦
(3) PVG. Four photovoltaic systems are connected to buses 8, 9, 27, and 28, respec‐
tively. Each system consists of one photovoltaic generator with rated power of 100 kW.
Figure 6 shows daily light intensity profile. The correlation coefficient matrix of four
photovoltaic systems is
260 J. Dong et al.
700 1.1
Light intensity (kW/m )
2
600 1
500 0.9
400
Ratio
0.8
300
0.7
200
100 0.6
0 0.5
2 4 6 8 10 12 14 16 18 20 22 24 2 4 6 8 10 12 14 16 18 20 22 24
Hour Hour
Fig. 6. Daily light intensity profile Fig. 7. Daily load curve
⎡ 1 0.4729 0.3700 0.3838 ⎤

⎢ 0.4729 1 0.3705 0.3701 ⎥
𝜌PV =⎢
0.3700 0.3705 1 0.4655 ⎥ (10)
⎢ ⎥
⎣ 0.3838 0.3701 0.4655 1 ⎦
(4) Load. The ratio of mean to maximum in different periods is defined to describe
daily load. The correlation coefficient of loads between two buses is set as 0.9.
Figure 7 illustrates daily load curve.
0.1
0.08
Risk index
0.06
0.04
0.02
0
33
30
27 24
24
21 20 22
18
15 14 16 18
Bus 12 12
9
6 8 10
3 2 4 6 Hour
0 0
Fig. 8. Risk indices of all buses in different periods
5.1 Risk Assessment with Different EV Charging/Discharging Strategies
Different EV charging and discharging strategies have a significant influence on voltages

and further on risk indices of voltage limit violation in active distribution network. With
the proposed EV charging and discharging strategy, the risk indices of all buses in
different time periods are shown in Fig. 8.
As shown in Fig. 8, risk of voltage limit violation is relatively severe for the end load
points during the period (11:00–18:00). To verify the effectiveness of the proposed
controlled EV charging and discharging strategy (case 3), its impacts on risk index are
compared with those of disordered charging (case 1) and controlled charging (case 2).
The risk indices of voltage limit violation of the entire system and bus 18 are shown in
Table 1.
Table 1. Risk indices of the entire system and bus 18

Hour Risk indices of the entire system Risk indices of bus 18
Case 1 Case 2 Case 3 Case 1 Case 2 Case 3
11 1.2397 1.2064 0.3276 0.1573 0.1549 0.0630
12 0.9913 0.9334 0.1699 0.1375 0.1327 0.0388
13 0.1223 0.0925 0.0016 0.0274 0.0217 0.0006
14 0.4200 0.3196 0.0226 0.0698 0.0560 0.0058
15 0.5609 0.3993 0.3825 0.0838 0.0635 0.0613
16 0.8488 0.5886 0.5728 0.1201 0.0916 0.0897
17 0.9422 0.6228 0.6102 0.1307 0.0985 0.0971
18 0.1800 0.0605 0.0584 0.0385 0.0159 0.0154
Table 1 shows that, compared with case 1, the risk of voltage limit violation decreases
notably especially from 15:00 to 18:00 in cases 2 and 3, because EV charging load is
shifted to 0:00–7:00 to avoid increasing risk of voltage limit violation in peak load
periods. From 11:00 to 14:00, the risk index in case 3 is obviously lower than that in
case 2, because EVs are controlled to discharge to raise voltage level in the active distri‐
bution network. It can be concluded that the proposed EV charging and discharging
strategy is effective to decrease risk of voltage limit violation in active distribution
network.
5.2 Risk Assessment with Different Penetration Rates of WG and PVG
In active distribution network, the operation condition is also closely related to pene‐
tration level of renewable energy. In this section, risk assessment with different pene‐
tration rates of WG and PVG is accomplished. Figure 9 illustrates the risk index of
voltage limit violation of the entire system with different penetration rates of WG and
PVG.
262 J. Dong et al.
1.2
8%WG+0%PVG
16%WG+0%PVG
16%WG+10%PVG
0.9
16%WG+20%PVG
Risk index
0.6
0.3
0
0 2 4 6 8 10 12 14 16 18 20 22 24
Hour
Fig. 9. Risk index of the entire system
Figure 9 shows that the risk index decreases as the penetration rates of WG and PVG
increase. Specially, with the integration of PVG, the risk of voltage limit violation
declines dramatically from 10:00 to 12:00, because output power of PVG is high during
the period. Moreover, WG has a larger impact on risk indices than PVG especially from
15:00 to 17:00 due to low light intensity and large wind speed. Therefore, the penetration
increment of renewable energy in a certain range is helpful for decreasing operation risk
of distribution network, and WG and PVG forms a mutual complementary relationship
in a way.
6 Conclusions
This paper has proposed a method for assessing the risk of voltage limit violation in
active distribution network with the integration of EVs. Firstly, a controlled EV charging
and discharging model is developed to achieve peak load shifting. Then, with Nataf
transformation and OT combined to deal with spatial correlations of WGs, PVGs, and
loads, the PLF problem is solved by the 2 m + 1 scheme of PEM. Furthermore, based
on the voltage results obtained by PLF calculation, the quantitative risk indices can be
calculated by combining possibility of voltage limit violation and loss of load. The
proposed method has been verified on the modified IEEE 33-bus system. The results
show that the EV charging and discharging strategy can effectively decrease risk of
voltage limit violation in peak load periods. Moreover, WG and PVG are mutually
complementary in time scale, and the increasing penetration rates of WG and PVG
within a certain range contributes to operation risk decrement in active distribution
network.
Acknowledgments. This work was supported in part by the national Science Foundation of China
under Grant No. 61773253, and project of Science and technology Commission of Shanghai
Municipality under Grants No. 15JC1401900, 14JC1402200, and 17511107002.
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Power Consumption Strategy
in Smart Residential District with PV Power
Based on Non-cooperative Game
Chunyan Li(&), Wenyue Cai, and Hongfei Luo
State Key Laboratory of Power Transmission Equipment and System Security

and New Technology, Chongqing University, Chongqing 400044, China
[email protected]
Abstract. With the popularization of intelligent household appliances, the

interactions between electric market and customers have become more frequent.
Because of Photovoltaic(PV) power intermittency, the customers are encouraged
to participate in PV consumption. This paper proposes an optimal smart power
utilization model using a non-cooperative game for residential community with
distributed PV energy. Firstly, a benefit maximization model for distributed PV
energy is established to determine an optimal PV output. Secondly, according to
the consumption habits and load curves of residential customers, a power uti-
lization model of community customers is built by clustering analysis. Finally, a
non-cooperative game model between PV power supplier and customers in the
community is built, and a Nash Equilibrium point is obtained based on the
balance between maximum benefit of PV power and minimum electricity bills
for customers, which is useful to encourage the consumers to consume PV
energy in local areas. The proposed model can not only achieve the maximum
benefit of PV power, but also reduce customers’ electricity payments, which is
indicated in case studies.
Keywords: Photovoltaic power consumption Clustering analysis

Customer behavior analysis Game theory
1 Introduction
It is essential to coordinate the construction of PV power and the consumption of solar

energy to solve the problem of abandoning solar energy and improve the low-carbon
energy development. Therefore, how to involve residential customers to make full use
of PV power has become a hot research field recently.
In smart grids, the studies on the electricity consumption patterns of residential
customers mainly focus on establishing demand response scheduling models by
adjusting and optimizing the scheduling strategy [1–3]. However, most of the models
fail to consider the reduction of customer satisfactions when the start-up and shutdown
state of electrical appliances changes quickly during scheduling [4]. For satisfaction of
appliance usage, customer preferred indoor temperature is evaluated by adding the
penalty of thermal discomfort of customer [5]. In addition, user convenience rate is
considered to reach a balance between energy saving and a comfortable lifestyle [6].

https://doi.org/10.1007/978-981-13-2381-2_25
Power Consumption Strategy in Smart Residential District with PV Power 265
Nevertheless, the current studies neither have a comprehensive explanation of electrical

appliances usage preference, nor carefully calculate different satisfaction stages for
different consumption levels. In other words, there lacks a uniform definition for
“satisfaction” considering these state changes for different customers.
For multi-user smart power utilization, approaches have been described aiming at
optimizing the household energy costs in Smart Residential Districts (SRDs) [7, 8]. For
the reduction of costs, game theory has been used to analyze the characteristics of
interactions among users, customer benefits and effective energy scheduling strategies
[9, 10]. However, to the best of our knowledge, there is no study consider to set up a
flexible PV incentive price to encourage different customers to participate in PV
consumption, which is one of the main scope of this paper.
To consume PV power from where it generates, a strategy that both brings benefits
and meets satisfactions of customers is required. Based on the study of [11], a multi-
user smart power utilization strategy based on non-cooperative game in SRD integrated
with distributed PV power is proposed in this paper. The customers are clustered on the
basis of their consumption habits and load curves. Hence, the power utilization model
considering the satisfaction of electricity utilization is built. Then, from two perspec-
tives of PV power supply and the customers, the non-cooperative game is played
considering the interactions among residential customers.
The rest of this paper is organized as follows: benefit analysis of PV power supply
is introduced in Sect. 2. Smart power utilization model of customers considering sat-
isfaction is established in Sect. 3. In Sect. 4, the non-cooperative game is proposed.
Simulation results are provided in Sect. 5 and the conclusions are drawn in Sect. 6.
2 SRD with Distributed PV Power Supply
A typical SRD is intergraded with distributed PV energy in general. PV energy can be

directly connected to the distribution terminals or SRD customers, or sold to the grid.
The loads in the SRD can obtain power not only from the grid, but also from PV power.
Therefore, it is important to achieve a balance of maximum benefit of PV power and
minimum customer payments.
2.1 Benefits of PV Supply

The benefit maximization model for PV power supply is:
X X
Max Benefit ¼ t pt þ
qPV PV
F;t pft þ q pst
qPV PV
ð1Þ
t2T PV t2T PV
X
qPV ¼ t þ qF;t
qPV PV
ð2Þ
t2T pV
where qPV PV
t is the portion of PV power that supplies directly to the customers; qF;t is the
portion of PV power that supplies directly to grid; qPV is the total amount of PV power;
266 C. Li et al.
pPV
t is the incentive price that customers pay for PV power; pft is the on-grid price of
PV power; and pst is the subsidy for PV supply financed by government.
In low temperature or solar radiation states, PV generation outputs are small. To
ensure that the customers loads have a high-quality and stable power supply, the
amount of PV power supply directly to the customer should be zero, which indicates
that the load extracts all electricity from the grid, as shown in (3)–(5):
qPV
t ¼0 ð3Þ
X
t þ qF;t \
qPV ð4Þ
PV
qnmust;t
n2N
X X
qnt ¼ qnmust;t þ qncontrol;t ¼ qGRID
t ð5Þ
n2N n2N
where qnmust;t , qncontrol;t and qnt are the electricity of uncontrollable electrical appliances,
controllable electrical appliances, and total demand of customer n at moment t re-
spectively; qGRID
t is the electricity purchased from the grid, and N is the set of cus-
tomers in SRD.
On the contrary, in high temperature or solar radiation states, PV outputs are large.
In these cases, the customers can select either the PV power or the grid to supply the
loads, as shown in (6) and (7):
X
qnt ¼ qPV
t þ qt
GRID
ð6Þ
n2N
X
t þ qF;t
qPV ð7Þ
PV
qnmust;t
n2N
2.2 Analysis of PV Incentive Price

For PV suppliers, the PV incentive price should be greater than the PV on-grid price in
order to get greater benefit; for the customers, on the other hand, the PV incentive price
should be less than the price directly buying from the grid, i.e., the retail price, as
shown in (8).
pft \pPV
t \pt
GRID
ð8Þ
where pGRID
t is the price that customers purchase electricity from the grid, known as
retail price. It should be noted that the prices above are all real-time prices.
3 Smart Power Utilization Model of SRD Customers

3.1 Clustering Analysis of SRD Customers
In general, researchers usually classify the customers into several types using clustering
analysis first. The customers in the SRD are divided into five categories by collecting
the consumption information from smart meters and combing it with customer
behaviors [12], as shown in Fig. 1.
Fig. 1. Load curves of different clusters
3.2 Satisfaction of Power Consumption

In this paper, the customer satisfaction with electricity plan consists of two parts, i.e.,
electricity payments satisfaction and electricity usage satisfaction, as shown in (9) and
(10) respectively.
0 P 1
ðpPV
t qt þ pt
PV GRID GRID
qt Þ
S1 ¼ @ 1 P A 100%
t2T
ð9Þ
ðpGRID
t ðqmust;t þ qcontrol;t Þ
t2T
0 P P 1

wi x0i;t xi;t þ wj x0j;t xj;t
B C
S2 ¼ B C 100%
i2I j2J
@1 P P A ð10Þ
wi xi;t þ
0 0
wj xj;t
i2I j2J
268 C. Li et al.
where x0i;t and x0j;t are the original operation state of electrical appliances i and j at time
t respectively; xi;t and xj;t are the optimized operation state of electrical appliance i and
j.
3.3 Smart Power Utilization Model of SRD Customers

When the customers use electricity, they prefer less electricity payments and higher
electricity consumption satisfaction at the same time. According to the clustering
analysis of customers in Sect. 3.1, the smart power utilization models for each type of
customers are established, as shown in Table 1.
Table 1. The objective functions of different types of customers.

Customers Objective functions
Type A max S1
Type B max S1 & max S2
Type C max S1 & max S2
Type D max S1 & max S2
Type E max S1
4 Power Utilization Model Based on Non-cooperative Game
Due to the mismatch between PV output and customers loads in SRD, it is necessary to
develop an incentive PV price in order to consume as much PV as possible, as well as
encouraging customers to transfer their loads.
A non-cooperative game of smart power utilization for customers in SRD with
distributed PV power is expressed as G ¼ Q1 ; . . .; QN ; u1 ; . . .; uN , which the details
are described as follows:
Player. All customers who participate in the scheduling in the SRD, regarded as
n 2 C ¼ f1; 2; . . .; N g.

Strategy. Every customer selects the electricity plan Qn ¼ qnt jt 2 T PV in accor-
dance with their requirements, where qnt represents the electricity demand of the
electrical appliances which is obtained from the corresponding smart power utilization
model in Sect. 3.
Payoff. Pay off function is expressed in (11)–(12).
X
un ðqn ; qn Þ ¼ F ¼ t qt
pPV n
ð11Þ
t2T PV
!
X
pPV
t ¼ck qPV
t þ qPV
F;t qnt ð12Þ
n2N
5 Case Studies
We simulate a 300-household SRD with 150 kW distributed PV power generation

system. In SRD, 30 are willing to transform the line to access to PV power. Among
them, there are 3 customers for Type A, 7 customers for Type B, 10 customers for
Type C, 9 customers for Type D, and 1 customer for Type E. The electrical appliances
include the uncontrollable electrical appliances, such as lights, TV, computer, refrig-
erator, cooker, etc., as well as other controllable appliances like dishwasher, disin-
fection cabinet, air conditioning, water heater, washing machine, electric vehicle, etc.
The multi-user power consumption system with distributed PV power supply
consists of the PV power supply and 30 customers. The PV output is shown as the red
dotted line in Fig. 2, of which the effective output time is from 8:00 to 18:00. In
addition, the customer demands for 24 h are expressed as black solid line on the same
figure. The load fluctuates obviously during the day, and there is more demand at
evening than in the other times. Assume PV on-grid price is 0.41 $/kWh, while the
subsidy price is 0.42 $/kWh.
Fig. 2. PV output and load curve (Color figure online)
The 3 customers of Type A have low power consumption that can be ignored. For
simplicity, only customers of Type B, C, D and E are considered in the following
section.
5.1 Smart Power Utilization Model of SRD Customers

Two cases are discussed as follows: In Case I, the proposed algorithm based on game
theory is not adopted, that is, the user chooses the electricity plan adaptively. In Case II,
the smart power utilization algorithm based on game theory is adopted.
Supply and Demand Matching. For Case I, no optimal strategy is taken, the cus-
tomers will choose the electricity consumption plans that they are the most satisfied
with based on their own habits. Under this circumstance, the PV output and customers’
demands are shown in Fig. 3(a). For Case II, by applying the smart power utilization
270 C. Li et al.
algorithm based on game theory, the results of PV output and SRD load demands are
shown in Fig. 3(b).
Fig. 3. Supply and demand for case I and case II respectively
Figure 3(a) shows that customers arrange the operation periods of the electrical
appliances arbitrarily without optimal scheduling. So the degree of matching between
load demand and the PV output is very low. For instance, during the period from 11:00
to 16:00, PV output is much greater than the customer’s load demand, and during other
time period PV output is much lower than the load demand. While in Fig. 3(b), most of
PV output can be consumed by the customers.
PV Incentive Price. The PV incentive price is the same as the grid price for Case I
without optimal scheduling, which indicates that customers do not have additional
benefits. In order to maximize their own interests, they prefer to purchase electricity
from the grid. Thus, all the PV power goes on grid through the inverter.
For case II, an incentive price, which is between the PV on-grid price and the retail
price, is obtained using the non-cooperative game model, and is provided to customers
to stimulate the consumption of PV power. Through the game between customers and
PV power, the Nash Equilibrium is reached. The final PV incentive price is shown in
Fig. 4. When the PV output is high, such as the period from 11:00 to 16:00, PV
incentive price is significantly lower than the retail price, so that the customer will
choose to use PV electricity in order to minimize the electricity payment. Meanwhile,
solar energy has been absorbed perfectly.
Comprehensive Income Analysis. The comprehensive incomes for both cases are
shown in Table 2. The PV income comes from the generation in Case I. There is no PV
incentive price, so all the customers in the SRD absorb electricity from the grid.
In Case II, the PV power supplier can achieve higher benefits after optimization. PV
power is consumed by customers in SRD, meanwhile, customers can also cut down
their electricity payments by consuming PV power at a lower price. Compare with
Case I, the income of PV supply increase 7.8% and the payments of customers for
Type B, C, D and E decrease 9.6%, 13.1%, 12.8% and 14.0% respectively.
Fig. 4. Optimized PV incentive price
Table 2. Comparison of comprehensive income.

Cases PV Income/$ Electricity payment of
customers/$
B C D E
Case I 294.38 11.42 10.63 14.40 18.29
Case II 317.47 10.32 9.24 12.55 15.73
Comparisons of Power Consumption Satisfactions. The power consumption satis-

factions of different types of customers are shown in Table 3, where the original
consumption in Fig. 1 is considered as the benchmark in comparison of satisfactions.
If we intend to evaluate a comprehensive results of satisfactions, a parameter k can
be set, as shown in (13).
S0 ¼ kS1 þ kS2 ð13Þ
where 0 k 1. Further, the customer overall satisfactions can be expressed in

Table 4, here we have k = 0.5.
Table 3. The power consumption satisfactions of different types of customers.

Customers Case I Case II
S1 S2 S1 S2
Type B −0.095 0.686 0.01 0.896
Type C 0.019 0.253 0.14 0.344
Type D −0.058 0.261 0.077 0.414
Type E 0.174 0.216 0.28 0.216
272 C. Li et al.
Table 4. The overall satisfactions of different types of customers.

Customers Case I Case II
Type B 0.2955 0.453
Type C 0.136 0.242
Type D 0.1015 0.2455
Type E 0.195 0.248
In Case I, electricity payments satisfaction of Type B and Type E decreased

because of the growth of electricity bills, while their electricity usage satisfaction
increased much more than electricity payments satisfaction. Consequently, the reason
that Type B and Type E customers change the way they use electricity mainly because
it meets the needs of their power consumption. The other types of customers reduce
electricity charges while meeting their needs.
By contrast, all types of customer overall satisfactions in Case II are increased after
PV incentive pricing. However, Type E’s electricity usage satisfaction remains the
same for they have high satisfaction for power consumption, their increased satisfaction
comes from additional benefits from consuming PV power.
To sum up, it can be found that the customer electricity consumption plans are
guided by a non-cooperative game model through an incentive price that is closely
related with the PV output and load demands. The game is implemented from two
aspects: the customers and PV power, one customer and other customers. At the Nash
Equilibrium point, the benefits of PV power supply are increased, while the customers
can reduce the electricity payments under the condition of satisfying their own
demands. The effectiveness of the model is verified by the case studies.
6 Conclusion
In this paper, the power consumption optimization is conducted from two levels.
Firstly, the PV incentive price, which is closely related to PV output and customer
demand, is established to optimize smart power utilization. Secondly, by seeking the
Nash Equilibrium point, the minimum balance is achieved between the maximum
benefit of PV power and the customer electricity payments. The customer selfishness is
considered when making the electricity plans. In addition, the PV incentive price
guides the customer to optimize the distribution of power consumption, motivating
customers to participate in the PV power consumption.
Acknowledgments. This work is supported by National Natural Science Foundation of China

(NSFC) (51247006, 51507022). The authors would like to thank all the reviewers for their
valuable comments on improving the paper.
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Design of Low-Resonance Fast Response DC
Filter for Enhancing Voltage Quality of DC
Distribution Network
Jianquan Liao, Yuhao Wen, Qianggang Wang,

and Nianchen Zhou(&)
Electrical Engineering, Chongqing University,

174 Shazheng Street, Shapingba District, Chongqing 400044, China
{jquanliao,yuhaowen,qianggangwang,
nianchenzhou}@cqu.edu.cn
Abstract. A bidirectional filter with low ripple and fast response is designed to
solve the problem of low frequency fluctuating in DC distribution network of
DC side. Firstly, the matched filter design method is used to optimize the filter
order and passband frequency. After that, the voltage transfer function of DC
side filter network is derived and its voltage transfer characteristic is analyzed.
For the resonance problem of the filter network, the parameter selection method
of suppressing the peak value of the resonance point is given, and the effect of
actual parameter deviation is further analyzed. The simulation model of double-
ended and single-ended radiation DC distribution network was built in
MATLAB/Simulink, and the experimental platform of single-ended DC distri-
bution network was established.
Keywords: DC distribution network DC filter design

Low frequency fluctuation Voltage quality Resonance suppression
Fast response filter
1 Introduction
With the development of new technologies such as new energy power generation,
power electronics and flexible distribution, the distribution network is also trans-
forming from AC grid to AC-DC hybrid grid [1, 2]. With high power quality, power
supply and electricity efficiency and other advantages, DC distribution network is
becoming a hot research spot around the world [2]. In the background of continuous
maturity of power electronics, the scope of DC power distribution network application
is constantly expanding, whereas DC power distribution network becomes the reason
of increasingly prominent power quality issues [3–5]. Compared with the power quality
issues of AC power grid, the power quality issues of DC power distribution network
have their unique characteristics such as their different causes and propagation range.
The DC voltage is used to power the sensitive load on the DC side through the DC
power distribution network, but the DC voltage deviation, low frequency ripple, etc.
will affect the normal operation of the DC equipment [5, 6]. Therefore, the DC voltage

https://doi.org/10.1007/978-981-13-2381-2_26
Design of Low-Resonance Fast Response DC Filter 275
quality is crucial. Power electronic converter in the process of generating a large

number of modulation harmonics may cause DC voltage quality problems, especially
the AC side of the three-phase imbalance (caused by motor start or asymmetric failure)
will lead to sharply low-frequency pulsations of the DC voltage [5–7]. This will not
only affect the normal operation of the DC outlet device, causing additional line losses,
but also easily cause electromagnetic interference or affect the work of communication
equipment [6]. In order to reduce the DC voltage modulation harmonics of the DC
distribution network and restrain the possible occurrence of low frequency ripple, it is
necessary to propose a design of low-resonance fast response DC filter for enhancing
voltage quality of DC distribution network.
At present, the DC filter for DC distribution network is divided into active filter [8–
11] and passive filter [12–15]. Between them, the active filter combining the DC side of
the parallel voltage converter can dynamically eliminate DC voltage fluctuations, the
literature [16] studied DC link filter and control strategy of the HVDC active side, the
results showed that the active filter had a good suppression effect on harmonics above
24 times. If low frequency sub-harmonics need to be filtered at the same time, the
capacity of the filter should increase; the design and control of the DC active filter are
complex and costly. DC passive filter design is simple, which does not require addi-
tional controller, so it become the main DC voltage filtering of DC power distribution
network [14]. DC passive filter is mainly divided into two types: tuned filter and low-
pass filter. The former has the problems of requesting large area, affecting severely by
power supply, load capacity and parameter offset [17], while the latter can filter out the
cut-off frequency although, the design of the cut-off frequency is too narrow to make
the parameters of the inductor and capacitor larger, which not only affects the dynamic
response characteristics of the system but also limits the power transmission capacity
[13, 17]. For this reason, literature [18] designed a bilateral low-pass low-ripple fast
response filter using Chebyshev algorithm to reduce the value of DC-side smoothing
reactor and increase the transmission capacity. However, the design of the five-order
Chebyshev filter element request high parameter precision, the actual component
parameters often can not meet this requirement. In order to solve this problem, in
literature [19], the fourth-order Butterworth filter is designed by using the standard
component values and the evolutionary algorithm is used to optimize the parameters of
the filter, which reduces the deviation between the design parameters of the filter and
the actual parameters. However, the parameter selection process is complicated and the
response time of the DC voltage is increased.
In this paper, according to the DC voltage fluctuation characteristics of DC dis-
tribution network, the bilateral DC filter of DC distribution network is designed by
using the flattest response algorithm, integrated filter order, passband and component
parameters. The filter dynamic response and frequency characteristics are related to the
order of the filter. So the order of the filter should be determined firstly. Then based on
the equivalent impedance of the both-side system connected through the filter, using
the matching design algorithm to select the parameter reference of the filter. At the
same time, proposing a method to suppress the resonance peak of the filtering network;
Finally, the designed filter is simulated and experimented.
276 J. Liao et al.
2 Design of Bidirectional Low Pass Filter for DC Distribution

Network
2.1 DC Filter Parameters Design
Referring to the p-type Butterworth filter structure, this paper designs a low-pass filter
as shown in Fig. 1, where L1 is a smoothing reactor, L2, C1 and C2 form the p-type
Butterworth filter, Rm ; Rn are damping resistance.
iL1 L1 iL 2 L2
iC1 iC2
Vi C1 C2 V0
Rm Rn
Fig. 1. Bidirectional low-pass DC filter structure
The selection of component parameters adopts the most matching response algo-
rithm. The essence of matching algorithm is that the equivalent impedances of two
coupled systems are equal. And the difference between matching algorithm and non-
matching algorithm is only a fixed flat decay value. According to the flattest response
algorithm, the normalized filter parameters km can be calculated as follows,
1 p
km ¼ ½2 sinð2m - 1) ð1Þ
C 2n
Where: m is a natural number, when m is odd, km for the capacitance value; when
m is even, km for the inductance value. From (4) shows, the need to take filter auxiliary
parameters C. According to Eq. (5) find C = 1, where ap = 3 dB.
ap
C 2 ¼ 10 10 1 ð2Þ
The voltage and the connection impedance of load side of DC filter determines the
filter parameters directly, set the grid side of the equivalent impedance R1, the load side
of the equivalent impedance R2, the filter reference resistance R0, the reference
inductance L0, the reference capacitance C0. Select the system’s reference voltage as
10 kV, the reference capacity as 100 MVA, the system’s equivalent impedance as 1X.
In the matching algorithm to meet R1 = R2 = R0, the actual inductance and capacitance
values meet Lm ¼ L0 L m ; Cm ¼ C0 Cm . The actual filter parameters are as follows:
R0 1
L0 ¼ ¼ ¼ 3:183 mH ð3Þ
2pfc 2p50
1
C0 ¼ ¼ 3:183 mF ð4Þ
R0 2pfc
2.2 Resonance Analysis of Filter Network and Parameters Optimization

For the DC filter network, the voltage transfer function directly reflects the voltage
changing characteristics with frequency changing. According to the structure of the
filter network in Fig. 1, its differential equation is listed as shown in Eq. (5); then, the
voltage transfer function (6) of the filter network is deduced.
8 R
< Vi = L1 dtL1 þ C11 iC1 dt
di
iL1 ¼ iL2
R þ iC1 ð5Þ
:
V0 ¼ C11 iC1 dt L2 didtL2
U0 1
GðsÞ ¼ ¼ ð6Þ
U1 L1 L2 C1 C2 S4 þ ðL1 C1 þ L2 C2 þ L1 C2 ÞS2 þ 1
Using MATLAB to draw the DC side of the filter network voltage transmission
characteristics, as shown in the red line in Fig. 2. As can be seen from the voltage
transfer characteristics, the network has two resonance points. In the first-order filter
resonance frequency, there is s2 ¼ 1=L1 C1 , at this time the size is:
C1
P1 ¼ jGðj2Pf1 Þj ¼ ð7Þ
C2
Original filter Lossless filter

LC filter Lossg filter
150
Magnitude (dB)
-150
101 102 103 104
Frequency (rad/s)
Fig. 2. Voltage transmission characteristics of DC filter network (Color figure online)
In the second-order filter resonance frequency f2 , there are s2 ¼ 1=L2 C2 , then the
size of GðsÞ is:
L2
P2 ¼ jGðj2Pf2 Þj ¼ ð8Þ
L1
278 J. Liao et al.
Since the harmonic content at the resonant frequency is generally very small (taking
the parameters of Table 1 as an example, the two resonant frequencies are about
173 Hz and 35 Hz, respectively), which has less impact on the safety of the power grid.
The resonance characteristics of DC filter network mainly affect the response speed of
the filter itself [18], if you can suppress the resonance peak can speed up the filter
response speed. This paper considers both lossless and lossy methods. It can be seen
from Eqs. (7) and (8) that limiting the resonance peak at both resonance points to a
negative value (attenuation) can satisfy C1 =C2 \1; L2 =L1 \1 when selecting the filter
parameters, and the voltage transfer characteristic curve of the resulting filter shown in
Fig. 2 (black line). It can be seen that this method down-shifts the filter stop-band
characteristics, but has less effect on the resonance peak.
Table 1. Filter element parameter value

Component km Value
C1 1 3.183 mF
L1 2 6.366 uH
C2 1 3.183 mF
Consider increasing the damping component of the filter capacitor branch in Fig. 1.
Suppose the added resistance is Rm ; Rn respectively. Derive the voltage transfer
function of the network as shown in Eq. (9). The voltage transfer characteristics curve
shown in Fig. 2 (blue line), which shows that the increase of damping can eliminate the
resonance.
U0 ðsÞ ð1 þ sR2 C2 Þ
¼
Ui ðsÞ 1 þ L1 L2 C1 C2 s4 þ ðL1 C1 C2 R2 þ L1 C1 C2 R1 Þs3
ð9Þ
ð1 þ sR1 C1 Þ
ðL1 C1 þ L2 C2 þ L1 C2 þ R1 R2 C1 C2 Þs2 þ ðR1 C1 þ R2 C2 Þ
The following analysis of damping resistance on the zero-pole impact and

parameter selection method. Set d be the dissipation factor of the capacitor at the
reference frequency, and the normalized admittance of the capacitor branch is:
YðjXÞ ¼ CðjX0 þ dÞ ð10Þ
Because of X2 d 0, X0 [ X. The poles of n order Butterworth filter are 2N,

distributed over a circle of radius X.
r2x þ X2x ¼ X2 ð11Þ
Therefore, the damping resistor makes the original filter pole shift left. However,
the method of suppressing the resonance without damping makes the original matching
filter become a non-matching filter, which is characterized by moving the pole
downward. The two kinds of changes are shown in Fig. 3. The physical meaning of a
pole shift to the left is attenuating the passband frequency of the filter while the
dominant resonant frequency generally falls outside of the passband frequency and the
attenuation at the resonant frequency increases. When the damping resistor and
capacitor inductance parameters are configured, the offset poles
P0 ððx þ X2 dÞ=ð1 þ X2 d 2 Þ; y=ð1 þ X2 d 2 ÞÞ are shifted to the position under meeting the
formula (11), so as to achieve the effect of suppressing the resonance peak resonance
point of the filter. As can be seen from Fig. 2, increasing the damping resistance
deteriorates the high-frequency characteristics of the filter, but the stop-band attenua-
tion characteristic is still superior to the LC filter (violet line).
Fig. 3. Analysis of zero pole
3 Simulation Verification
On the rectifier side, the single-terminal radial DC distribution model established in this
paper is 6 pulse rectifiers and PWM inverters on the inverter side (Fig. 4). The model
parameters are shown in Table 2. The characteristic harmonics on the DC side are
6 k times (k = 1,2,3…n), and non-characteristic harmonics are three times harmonic,
even orders harmonic, and the modulating harmonics of switching times which fre-
quencies are N + 1 (N = 0, 1, 2, … n) switching times.
6 Pulse Rectifier
PWM
AC/abc +
...
Filter PWM
-
Equivalent Load
Fig. 4. Simulation model of single-end radiation DC distribution network
The designed filter is compared with the LC filter. The parameters of the LC are
200 uH inductor and 5 mF capacitor (the passband cut-off frequency is 160 Hz). The
simulation condition is to set the 3-phase unbalance to 2%. The results are shown in
Figs. 5 and 6. The results show that the designed filter has a better effect on suppressing
low-frequency ripple caused by three-phase unbalance than the LC filter.
280 J. Liao et al.
Table 2. Parameters of single-ended distribution model

Parameter Value Parameter Value
Voltage at primary winding/kV 10 Output voltage on inverter side./kV 0.22
DC voltage/kV 0.55 Load rating/kW 2
Smoothing reactor/ mH 0.26 Switching frequency/Hz 1000
Line resistance/X 0.1 MOD 0.85
600
Voltage/V
400
200
0 0. 05 0.1 0. 15 0.2
Time/s
（a） DC side voltage waveform
DC = 478 , THD = 1. 15%
Harmonic Content/%
0.6
0.2
0 0 10 20 30 40
Harmonic order/n
（b） DC side voltage spectrum
Fig. 5. Test results of LC filter
Without damping resistance

500
With damping resistance
Voltage/V
300
100
0 0.05 0.1 0.15 0.2
Time/s
（a） DC side voltage waveform
DC = 479 . 7 , THD = 0. 28 %
Harmonic Content/%
0.25
0.15
0.05
0 0 10 20 30 40
Harmonic Order/n
（b） DC side voltage spectrum
Fig. 6. Test results of the Butterworth filter

4 Experiment Verification
In order to verify the advantage of the Butterworth filter in improving DC voltage

quality of DC distribution network, a single-terminal radial DC distribution network
test platform was set up. Experimental platform parameters: adjustable power AC
power supply, AC line voltage RMS of 20 V, 6 pulse rectifier bridge to supply the two
parallel slide rheostat. Set 6 pulse rectifier bridge trigger angle to 0°, the DC side of the
rated voltage to 44.5 V, rated current to 4A, smoothing reactor value as 5.49 mH,
tuned filter for the 6 and 12 single tuned filter in parallel. Take 2500 points before
filtering of tuned filter and the Butterworth filter output waveform. Through MATLAB
programming, getting the Fourier analysis results of these three sets of data. The
experimentally obtained waveforms are shown in Figs. 7, 8 and 9. The experimental
results show that the total harmonic distortion before filtering is 5.63%, the tuned filter
is 2.6% and the Butterworth filter is 0.59%.
Fig. 7. DC side voltage spectrum without filtering
（a）voltage waveform of the Butterworth filter
（b）voltage spectrum of the Butterworth filter
Fig. 8. Butterworth filter filtering results

282 J. Liao et al.
δaεvoltage spectrum of the tuned filter
δbεFiltering spectrum of the tuned filter
Fig. 9. Tuned filter filtering test results
5 Conclusion
In this paper, the structure of the filter network proposed aims at improving the quality
of the DC voltage of the DC distribution network. In additional, a bidirectional filter
with low ripple and fast response is proposed. Through simulation and physical model
experiments, the following conclusions are drawn:
(1) The parameter optimization method based on the pole round can reduce the res-
onant peak of resonance point and speed up the response speed of the filter;
(2) Considering investment cost, floor space, filtering effect and response speed, the
filter designed in this paper has advantages in improving the voltage quality of DC
distribution network compared with other filters, which is suitable for the DC side
filtering of DC distribution network.
Acknowledgements. This work was supported by the National Natural Science Foundation of
China (51577018) and Chongqing Science & Technology Commission (cstc2015jcyjBX0033).
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Analysis for the Influence of Electric Vehicle
Chargers with Different SOC on Grid Harmonics
Qi Sheng ✉ , Minyou Chen, Qiang Li, Yingxiang Wang, and

( )
Muhammad Arshad Shehzad Hassan

State Key Laboratory of Power Transmission Equipment and System Security and New
Technology, School of Electrical Engineering, Chongqing University, Chongqing 400044, China
[email protected]
Abstract. In this paper, analysis for the influence of electric vehicle (EV)
chargers on grid harmonics is conducted. The simulation model of the power
distribution network with vehicle-mounted chargers is established, and the
harmonic feature of the charger is analyzed. Considering different State of Charge
(SOC) of the chargers and the relationship between harmonic current and initial
SOC values of the EVs is established. To reduce the harmonic current caused by
EV chargers, an optimization model of coordinated charging has been developed
and the optimal solution is obtained by using the PSO algorithm. The validity of
the proposed optimal charging schedule is verified through the simulation results.
Keywords: Electric vehicle · Harmonic current · Coordinated charging · PSO
1 Introduction
With the rapid development of electric vehicle (EV), the large number of grid connected
chargers will result in the harmonic current into the electric grid [1]. It is necessary to
study the influence of EV chargers on grid harmonics and take the corresponding meas‐
ures to reduce the harmonic current.
The variation of the non-linear resistance was used to replace the variation of
charging power in all periods [2]. The influence of the harmonics generated by EVs via
charging to the grid was analyzed [3], and it was also pointed out that as the continual
promotion of large-scale EVs, it needed to establish the management facility of large-
scale EVs, and it could reduce the harmonic influence. The influence of the disordered
charging for the EVs on power system was analyzed [4], and the corresponding solutions
were performed, thus the power quality of the grid was increased.
To sum up, all the above research was done on the harmonic analysis with same
initial SOC value for the EVs, and the high-frequency power vary circuit of the charger
is mostly equivalent to the time varying resistor, the dispersing processing was also
conducted. But the continuity and time-varying behavior of the charging curve for the
battery power of the EVs were not exemplified.
In this current paper, the charger model of continual charging was established in
Simulink. In addition, the charging process curve of the EVs was simulated more accu‐
rately. Afterward, the harmonic analysis was conducted on the charging process of EVs

https://doi.org/10.1007/978-981-13-2381-2_27
Analysis for the Influence of Electric Vehicle Chargers 285
with different initial SOC, and the relation model between the SOC value of the EVs
and harmonic current was fitted. Finally, the optimized charging model of orderly access
for EVs was established, and it aimed to reduce the harmonic current based on above
model.
2 Charger Modeling of EVs
2.1 Charger Model
The Fig. 1 demonstrates the structure of the high frequency charger. The three-phase
bridge rectifier is used to rectifier the three-phase AC current. In addition, this current
passes through the filtering circuit which is composed by capacitor and resistor. The
DC-DC power converter is used to convert the power. Finally, the output power passes
through the output filtering circuit to recharge the EVs as verified by [5, 6].
DC-DC I0
Rf Lf I1
Ua Power Outpt
Cf conve- U0
Ub
rsion Filter
Uc
Fig. 1. The structure of the high frequency charger
The most widely used power batteries for EVs are lithium-ion batteries [7]. The built-
in lithium-ion battery of MATLAB is taken as power battery of the EVs in this proposed
paper. The model of the single charger is established in Matlab/Simulink according to
the structure chart of the charger as shown in Fig. 2.
Fig. 2. Simulation model of EV charger
2.2 Buck-Boost Converter
It can be seen from Fig. 2 that two-way Buck-boost converter is used for the power
conversion of the charger, and it can transform the output DC voltage to the ideal
286 Q. Sheng et al.
charging voltage [8, 9]. When the EVs are charged, the DC/DC converter works in the
buck voltage-reduction mode. The switch VT1 is works at the constant switch frequency,
and the switch VT2 maintains the cut-off state. In last, the power passes from the Udc to
the battery and required charging voltage or current can be obtained through adjusting
the duty cycle of VT1.
2.3 Charging Modes of the EVs

In this paper, the conventional charging method is used for charger. For controlling,
two-phased charging control method is implemented. The charger is connected with the
constant current in the first phase, and the charging voltage was maintained constantly
in the second phase. When the current received the stop signal of charging, the EVs
stopped the charging [10, 11].
The charge at constant voltage and current is achieved with the automatic switching
mode and the control sketch as shown in Fig. 3. The current mono-cycle control is
adopted for the phase of constant current for fast charging [12]. Afterward, the battery
voltage Vbat reaches the reference voltage Vref. The system is switched to double closed-
loop control of the outer voltage loop and inner current loop. The voltage-loop output
becomes the input of the current-loop after the PI adjustment. In addition, it is compared
with the battery feedback current and triangle wave. The output signal will control by
switch VT1. The current will follow the reference voltage to maintain the constant
voltage.
Fig. 3. Block diagram of constant-current and constant-voltage charge control
2.4 Validity Verification of the Charger Model

In order to verify the validity of the proposed model, a simple distribution model is
established in Matlab/Simulink as shown in Fig. 4.
Fig. 4. Simulation model of charging station
The battery charging current Ibat and voltage Vbat waveforms are shown in Figs. 5
and 6 on the initial level of the SOC = 0%. These waveforms proved that the above
charging control method of constant current and voltage has capability to run in the
predefined manner.
20 325
Battery voltage (A)
Battery current (A)
19
320
18
315
17
310
16
15 305
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5 0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
Charging time (h) Charging time (h)
Fig. 5. Current curve of EV charge Fig. 6. Voltage curve of EV charge
3 The Influence Analysis of the Initial SOC State on the Harmonic

Current
When the number of EVs reaches a certain level in distribution networks, the corre‐
sponding harmonic current amplitude sizes are measured, and compared with the
permitted value of harmonic current in the Power Quality Public Grid Harmonics. The
obtained limit table is shown in Table 1. It can be seen from Table 1 that when the
number of EVs increases to 20, the 5th and 7th harmonic currents exceed the permitted
value. It indicates that they are more likely to exceed the standard limits.
Table 1. Amplitude limit of every harmonic current

Harmonic frequency Harmonic current Harmonic current effective value (A)
permissible value (A) 1 EV 5 EVs 10 EVs 15 EVs 20 EVs
H5 20 4.19 10.23 15.78 19.87 23.06
H7 15 1.76 5.61 9.49 12.83 15.41
H 11 9.3 0.94 2.58 4.21 5.73 7.22
288 Q. Sheng et al.
3.1 The Simulation Analysis of the EVs in the Same Initial State
The variation rule of the effective value for all harmonic currents is mainly analyzed in
the charging process. The charging time in the simulation curve is uniformly set at 5 h
to facilitate the comparative analysis and it conforms to the conventional charging time
for EVs in actual life. The initial SOC value is taken as the distinction condition of the
EVs. When the initial SOC is the same, the 5th and 7th harmonic currents generated by
EVs of different number is firstly analyzed as shown in Fig. 7.
30 20
Seventh harmonic current(A)

Fifth harmonic current (A)
25
15
20
15 10
10
5
5
0 0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5 0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
Fig. 7. Fifth and seventh harmonic current effective value
It can be seen from the above figures that when the charging number of EVs increases,
the both 5th and 7th harmonic current values are also increased. However, it is not the
algebraic sum of the harmonic current generated by all EVs in stand-alone condition.
Therefore, it indicates that the harmonic currents are offset. The total change trend of
all the harmonic currents is similar [13]. So, when multiple EVs of different initial SOC
value are charged, the harmonic currents are also offset.
3.2 Simulation Analysis of EVs in Different Initial States
The 20 EVs are taken as the example and the simulation analysis of the charging is
conducted in two different initial states which are given below:
(1) The initial SOC value of the 20 EVs to be charged at 0%;
(2) The 20 EVs are divided into 5 groups and 4 in each group. The initial SOC of the
power battery in each group of EV is set as 0%, 20%, 30%, 50% and 80%.
No load is added after the charging. The simulation analysis on the variation of the
effective value of harmonic currents is conducted in these two charging combination
and the result is shown in Fig. 8.
30 30
25 25
Harmonic current (A)

20 20
15 15
10 10
5 5
0 0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5 0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
Fig. 8. Harmonic current change curve at the same and different initial charge
4 Optimization Model of the Coordinated Charging for EVs to

Reduce the Harmonic Current
4.1 Optimization Model to Reduce the Harmonic Current

Based on the above simulation analysis on different initial SOC values of the EVs, the
initial SOC of the EVs to be charged in the certain area. The purpose to reduce the
harmonic current of the distribution network can be more economically realized on the
basis of none adding extra harmonic governing device through controlling the orderly
access of the EVs according to coordinating charging.
The overall change trend of the 5th and 7th harmonic currents is similar in the
charging process. The 5th harmonic is taken as the example. The SOC data and harmonic
current data of the single EV are obtained in the overall charging process based on
simulation and the data fitting is conducted with the MATLAB curve fitting toolbox. In
addition, the relation function between Si of SOC and harmonic current Ih during the
whole charging process of single EV is obtained from the following equation:
{
4.164e0.00024Si − 0.4228e−0.64Si (0 ≤ Si ≤ 50)
Ih (Si ) = (1)
−0.000197Si2.088 + 4.922 (50 < Si ≤ 100)
If each EV is regarded as a harmonic source, then N EVs are multiple as harmonic

sources. According to the superposition principle of the same harmonic for multiple
harmonic sources and in consideration that the harmonic current researched in this paper
is all effective value, the adopted superposition equation of the same harmonic on the
ideal condition is as follows if the phase angle information of the harmonic component
in the superposition equation is ignored:
√
√ N
√∑
Ih = √ Ih.i
2 (2)
i=1
290 Q. Sheng et al.
Where Ih.i is effective value of the hth harmonic current of the harmonic source i; Ih
is the effective value of the hth total harmonic current.
The overall charging period of the EV is set at 5 h to facilitate the research and each
hour is divided into 10 periods namely t = 0, 1, 2, 3…50 with 51 points in the time. The
total harmonic current generated by the charging of N EVs at the t point in time can be
expressed as follows:
√
√ N
√∑
Ih.t = √ (Ihi.t (Si.t ))2 (3)
i=1
Where Si.t is the SOC of the EVs in the tth point in time and N is the number of the
EVs; Ihi.t (Si.t) is the effective value of the harmonic current generated by the ith EV at
the tth point in time. Because the Si.t of EV is increasing during charging and the Ihi.t
(Si.t) also changes with Si.t. The value of Si.t variation in each charging period needs to
be determined by SOC real time estimation.
Since the initial SOC of the EV is defined in the proposed paper. The rated capacity
and charge current of the battery are also defined in the real time simulation. The
following formula can be used to calculate the SOCs of the next charging time point by
using the ampere-hour integration method combined with the open-circuit voltage
method.
Since the initial SOC of the EV is predefined in this paper. The rated capacity of the
power battery and the real time change value of the charging current are also imple‐
mented. So, the ampere-hour integration method combined with the open-circuit voltage
method [14] which can be used to calculate the SOC of the next charging time point.
The formula is as follows:
t
∫0 KIdt
SOC = SOC0 − (4)
Qc
Where SOC0 indicates the initial SOC of the power battery; K is a constant related
to temperature; I is the charge and discharge current of the power battery (the charge
current is negative and the discharge current is the positive); Qc indicates the power
battery rated capacity and t is charging time.
Therefore, we can calculate the value of Si.t change at each charging time by using
Eq. (4), and then take it into Eq. (3) to get the total harmonic current value produced by
N EVs at time t.
To sum up, the maximum value of the 5th harmonic current generated by multiple
EVs can be expressed as max[Ih.t (Si.t)]. If the maximum value tends to be the minimum,
the overall trend of the total harmonic current generated by the charging is also towards
the minimum. Therefore, by minimizing the maximum harmonic current generated by
the EV as the objective function which is given below:
[ [ ]]
f = min max Ih.t (Si.t ) (5)
The initial SOC of each EVs is different and the time required for fully charging is
different. The range of charge and the remaining charge time must be taken into account.
The following technical constraints are established to check the capability.
(1) Initial electric quantity constraint:
The users often charge the EVs during 80% or below of the SOC according to the
actual situation which is given as under:
0 ≤ Si ≤ 80 (6)
(2) Remaining charging time constraint:

Since the initial SOC0 of EV is equal to Si and the rated capacity of the battery Qc is
predefined. The SOC of the EV at the end of charging should be equal to 100% and the
charge current I = −It at time t can also be obtained from the simulation data. Assuming
the end time of charging is te, ignore the influence of temperature and charge-discharge
efficiency factor K and bring them into Eq. (4) to calculate the Ts = te − t. To ensure that
the remaining charging time for an EV is greater than or equal to zero during the
permitted period of time:
( )
100 − Si ∗ Qc
Ts = ≥0 (7)
Ibat
4.2 Solution to the Optimization Model

Considering the nonlinearity of the objective function and the large solution space of
the control variable, PSO is selected in this paper for the solution [15]. The D-dimension
particle XS of the population size m is constructed on the initial SOC of the EVs and the
ith particle is as follows in Eq. (8):
Xsi = (Si,1 , Si,2 , … , Si,D ) i = 1, 2, … , m (8)
The fitness function of the PSO is obtained by the following equation:
vt+1
i
= 𝜔ti + c1 r1 (pti − xit ) + c2 r2 (ptb − xit ) (9)
xit+1 = xit + vt+1

i (10)
In the equation, c1 and c2 are the learning factors; r1 and r2 indicate the random
t t
number of the interval (0, 1); ω indicates the inertia weight factors; vi and xi are the speed
t t
and position corresponding to the ith particle in the tth iteration process; pi and pb are
the personal best and the global best of the particle.
4.3 Analysis and Verification of the Optimal Solution
Comprehensively, the setting of various parameter values is as follows:

292 Q. Sheng et al.
Population size m = 100; particle dimension D = 20, namely the total number of
EVs to be charged in the charging station; learning factors c1 = c2 = 1.5; the maximum
and minimum of the inertia weight are respectively ωmax = 0.9, ωmin = 0.4; the maximum
iteration time is set at 200.
The optimization model is solved when the number of EVs to be charged at 20. The
solution set of the optimal initial SOC for whole charging period is given below:
S = [2.15;73.70;68.24;44.93;63.24;74.12;57.65;78.93;72.96;1.63;
38.13;51.96;18.95;9.37;22.33;74.70;19.56;3.22;42.09;79.66]
The SOC value is set for the EV according to above optimization result and simu‐
lation experiment is conducted in the distribution network. The optimized change curve
of the harmonic current is shown in Fig. 9.
30 40
25 35
30
20
25
15 20
15
10
10
5
5
0 0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5 0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
Fig. 9. Optimized harmonic current change Fig. 10. The influence of optimization model
curve on the access of large scale electric vehicle
It can be clearly seen from the Fig. 9 that the overall harmonic current generated by
the charging in the orderly combination selected for the EV is much less than that in
disordered charging. Therefore, it can satisfy the limit value of the harmonic current in
the national standard.
4.4 Application of Optimization Model of Coordinated Charging
In actual charging, the number of EVs to be charged in the charging station on a large
scale not only 20, but also can be solved by this optimization model. The EVs that accord
with the optimal initial SOC can be selected for coordinated charging. In this way, the
harmonic content injected into the power network can be reduced more economically
without adding additional filter devices.
Based on the coordinated charging optimization model, the PSO algorithm is used
to solve the optimal coordinated charging SOC of each EV when the particle dimension
D is 5, 10, 20, 50, and 100 respectively. The optimized SOC of EV under different
dimensions is introduced into the coordinated charging optimization model and the
harmonic current variation curves at 51 charging points are simulated as shown in

Fig. 10.
It can be seen more intuitively from the Fig. 10 that more number of EVs, the stronger
reduction of the same harmonic current is generated and the more obvious the decreasing
trend of the harmonic current. In addition, the harmonic current produced by the more
large-scale EV to the later stage is even lower than the harmonic content produced by
the smaller size EV. Therefore, the harmonic control effect of the coordinated charging
optimization model will become more and more obvious when the size of the EV is
expanding.
5 Conclusion
In this paper, the charger model of the EVs is established and charging control strategy
for EVs at constant voltage and current is completed. It is also verified via simulation
results that the charging mode of constant voltage and current can be realized in the
established model.
The simulation analysis is conducted in the distribution network through the estab‐
lished charger model and the change curve of the harmonic current for EVs in different
initial states is obtained. It is also obtained that the effect of the harmonic current can
be reduced when the EVs are charged at different initial SOC. The optimization model
of orderly access of the EV to reduce the harmonic current is established based on this
and the model is solved through PSO algorithm. Finally the effectiveness of the control
strategy to reduce the harmonic current is verified in this paper through the simulation
experiment. At the same time, the optimization model is applied to show that the more
number of EVs, the better the harmonic control effect of the coordinated charging
strategy.
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Generation Capacity Planning with Significant
Renewable Energy Penetration Considering
Base-Load Cycling Capacity Constraints
Jingjie Ma, Shaohua Zhang(&), and Xue Li
Key Laboratory of Power Station Automation Technology,

Department of Automation, Shanghai University, Shanghai 200072, China
[email protected]
Abstract. Base-load cycling capacity (BLCC) shortage problem may seriously

affect the integration scale of renewable energy. The ability to improve the
BLCC only by operational dispatch of conventional plants is very limited.
Therefore, it is critical to guarantee adequate BLCC at the capacity planning
level. However, the BLCC have been ignored currently at yearly planning stage.
In this paper, a yearly generation capacity planning model considering the
BLCC constraints is proposed based on the screening curves method. With this
model, an optimal mix of generation capacity can be obtained. Through dis-
patching conventional plants of the optimal mix, the BLCC constraint of each
day in the planning year can be satisfied. Then, the impacts of cost parameters
and renewable energy integration scale on the optimal mix are theoretically
analyzed. Numerical simulations are presented to verify the reasonableness and
effectiveness of the theoretical analysis.
Keywords: Significant renewable energy penetration

Base-load cycling capacity Generation capacity planning
Screening curves method
1 Introduction
With the increasing shortage of fossil energy resources, intermittent renewable energy,
notably wind power, is expected to play an increasing role to the sustainable devel-
opment in the near future [1]. Because of the inverse peak-regulation characteristics in
wind power output, large scale penetration of wind power will increase the daily peak-
valley difference of net loads, which will result in base-load cycling capacity (BLCC)
shortage problem [2, 3]. The BLCC shortage problem will pose an adverse impact on
secure operation of power systems. The ability to mitigate the BLCC shortage problem
only by operational dispatch of conventional plants is very limited [4, 5]. It is critical to
guarantee adequate BLCC at the capacity planning level. However, as the BLCC
constraint is generally considered in the daily operation in power systems, it has been
ignored currently at yearly planning stage. As such, it is vital to meet the BLCC
constraints in the planning level.

https://doi.org/10.1007/978-981-13-2381-2_28
296 J. Ma et al.
Nowadays, many research works [6, 7] have focused on ensuring the BLCC by
operational dispatch of conventional plants. These researches are short-term solutions
with great limitations although they can improve the BLCC to a certain extent. In [8],
an optimal capacity-allocation method was proposed for large-scale energy storage
systems to relax peak-regulation. Ref. [9] proposed a capacity planning model based on
screening curves method to describe the efficient plants portfolio. Ref. [10, 11]
developed a new system planning model taking into account technical operational
constraints such as the maintenance parameters and transmission interconnection.
However, the BLCC constraints haven’t been considered for power systems. Therefore,
research gaps exist in yearly generation capacity planning considering BLCC con-
straints. This paper addresses the problem by screening curves method. Screening
curves method [12, 13] is a useful approach to compute the optimal generation capacity
for a target year.
Based on the screening curves method, a yearly generation capacity planning model
considering the BLCC constraints is proposed in this paper. With this model, an
optimal mix of generation capacity can be obtained. Through dispatching conventional
plants of the optimal mix, the BLCC constraint of each day in the planning year can be
satisfied. Then the impacts of cost parameters and renewable energy integration scale
on the ‘base-load’ technology capacity and ‘peak-load’ technology capacity are theo-
retically analyzed. Numerical examples are presented to verify the reasonableness and
effectiveness of the proposed model. The optimal mix with and without BLCC con-
straints are compared. The impacts of renewable energy integration scale on the
optimal mix are examined.
2 Screening Curves Method with Renewable Energy

Penetration
The screening curves method is a simple way to use annual load shape information and
costs of competing power plant technologies to find a least-cost generation mix solu-
tion for a given load shape. The bottom half in Fig. 1 is the annual generation cost
curve, the investment cost is its intercept and the operation cost is its slope. Let u1 be
the technology with the highest investment costs per capacity unit and u3 with the
lowest investment costs ðcinv;3 \cinv;2 \cinv;1 Þ. However, operating costs are highest for
u3 and lowest for u1 ðcop;1 \cop;2 \cop;3 Þ. Then refer to u1 as ‘base-load’ technology
and to u2 as ‘intermediate load’ technology and to u3 as ‘peak-load’ technology.
The generation cost curve determines the optimal operating duration for each
technology. The minimum cost is the lowest piece-wise linear function of firing hours
(as shown in the red line in Fig. 1). The points of the intersections on the horizontal
axis separate technologies, and the intervals of these points determine the annual firing
duration of those technologies. The load-duration curve gives a one-to-one relationship
between firing duration and generation capacity. Thus, the optimal generation capacity
K1, K2, K3 and the optimal generation quantity in a given year can be calculated.
Generation Capacity Planning 297
Fig. 1. Graphic method of the optimal mix for three technologies
With renewable energy penetration, it is economically mandated to feed-in

renewables generation before considering any other generations. The net load R(t) is
defined as the initial load minus the renewables generation, can be estimated by:
RðtÞ ¼ LðtÞ PRES ðtÞ ð1Þ
where L(t) is the load level at time t, PRES ðtÞ is the output of renewables generation. The
net load was rearranged in decreasing order to obtain the net load-duration curves.
Figure 1 shows that after renewable energy penetration, the peak-valley load difference
increases, which leads to a heavier pressure of base-load cycling. Also, the renewable
energy penetration will change the load duration curve, which results in a different
optimal mix.
3 Generation Capacity Planning with BLCC Constraints
3.1 BLCC Constraints

The BLCC adequacy of power systems is generally evaluated by BLCC in one day.
The BLCC of a day can be defined as the minimum load minus the minimum output
limit. Assume a power system with N conventional generation technologies. The total
startup units’ capacity of each day is equal to the maximum load of that day, i.e.
X
N
Ki li ðdÞ ¼ Rmax ðdÞ d 2 ½1; 365 ð3Þ
i¼1
298 J. Ma et al.
where, Ki is the installed capacity of technology i, li ðdÞ is the ratio of the startup units’
capacity to the installed capacity of technology i at day d. The minimum output limit of
the startup units at day d is:
X
N
PGmin ðdÞ ¼ Ki li ðdÞgi ð4Þ
i¼1
where, ηi is the ratio of the minimum output to the installed capacity of technology i,
g1 g2 . . . gN . Since the cycling capacity of each technology is not the same, the
different type of startup units will result in different minimum output limit. The min-
imum output limit of day d reaches its maximum, when the generation units are
dispatched so as to minimize generation cost, i.e.
X
N
max PGmin ðdÞ ¼ Ki li ðdÞgi ; lN ðdÞ lN1 ðdÞ . . . l1 ðdÞ ð5Þ
li ðdÞ
i¼1
The minimum output limit of day d reaches its minimum, when the generation units
are dispatched in order to maximize BLCC, i.e.
X
N
min PGmin ðdÞ ¼ Ki li ðdÞgi ; lN ðdÞ lN1 ðdÞ . . . l1 ðdÞ ð6Þ
li ðdÞ
i¼1
If the minimum load of day d is greater than max PGmin ðdÞ, the system can be
li ðdÞ
dispatched most economical at day d, and has a certain BLCC margin. If the minimum
load of day d Rmin ðdÞ 2 ½min PGmin ðdÞ; max PGmin ðdÞÞ, the BLCC constraint can be
li ðdÞ li ðdÞ
satisfied through dispatching conventional plants of the optimal mix at day d. If the
minimum load of day d is smaller than min PGmin ðdÞ, the BLCC constraint cannot be
li ðdÞ
satisfied through dispatching conventional plants of the optimal mix at day d.
3.2 Generation Capacity Planning Model with BLCC Constraints

The efficient power system is defined by a minimization of total costs. The annualized
investment cost of ui is cinv,iKi. The annualized operating cost of ui is cop,iQi, where Qi
is the total energy of ui. Formally, generation capacity planning with BLCC constraints
is determined by the problem:
XN XN
min CðKi Þ ¼ Qc þ
i¼1 i op;i i¼1
Ki cinv;i ð7Þ
s:t: Ki 0 8i: ð8Þ

Take four technical types model as an example, an extension to n-technology case

follows straightforward from the 4-technology case. The efficient energy (described by
Eqs. (9)) and efficient capacities (described by Eqs. (10)) can be obtained by the
screening curves method.
Z t3 Z t2
Q4 ¼ RðtÞdt t3 ðK1 þ K2 þ K3 Þ; Q3 ¼ RðtÞdt t2 ðK1 þ K2 Þ Q4
0 0
Z t1 Z T ð9Þ
Q2 ¼ RðtÞdt t1 K1 Q4 Q3 ; Q1 ¼ RðtÞdt Q4 Q3 Q2
0 0
K1 ¼ Rðt1 Þ; K2 ¼ Rðt2 Þ Rðt1 Þ

ð10Þ
K3 ¼ Rðt3 Þ Rðt2 Þ; K4 ¼ Rmax Rðt3 Þ
where t1, t2, t3 denoting the operating hours of u2, u3, u4 respectively. The BLCC
constraints are as follows:
K1 l1 ðdÞ þ K2 l2 ðdÞ þ K3 l3 ðdÞ þ K4 l4 ðdÞ ¼ Rmax ðdÞ d ¼ 1; . . .; 365 ð11Þ
l4 ðdÞ l3 ðdÞ l2 ðdÞ l1 ðdÞ ð12Þ
K1 l1 ðdÞg1 þ K2 l2 ðdÞg2 þ K3 l3 ðdÞg3 þ K4 l4 ðdÞg4 Rmin ðdÞ ð13Þ
3.3 Solution Method

First select the maximum load Rmax(d) and minimum load Rmin(d) for each day of the
planning year. Then rearrange them in a decreasing order of maximum load. d = 1 is
PN
the maximum load day of the year, i.e. Rmax ð1Þ ¼ max Rmax ðdÞ ¼ Ki . Re-
d2½1;365 i¼1
optimize the generation capacity from d = 1 to d = 365 according to the different
BLCC constraint of each day. Kid ; i ¼ 1; . . .; 4 is the optimal mix which satisfies the
first d days’ BLCC constraints.
The difference between the total capacity of startup units and total installed capacity
of day d is: DPðdÞ ¼ Rmax ð1Þ Rmax ðdÞ. If DPðdÞ\K1d , the BLCC constraint of day
d can be simplified to:
ðK1d DPðdÞÞg1 þ K2d g2 þ K3d g3 þ K4d g4 Rmin ðdÞ ð14Þ
Construct the Lagrange function to solve the number of operation hour t1d ; t2d ; t3d .
Then the optimal generation capacity for each technology type can be obtained by
Eqs. (10). The Lagrange function can be written as follows.
300 J. Ma et al.
n ¼ cinv;1 Rðt1d Þ þ cinv;2 ðRðt2d Þ Rðt1d ÞÞ þ cinv;3 ðRðt3d Þ Rðt2d ÞÞ þ cinv;4 ðRmax Rðt3d ÞÞ
Z T Z td Z td Z td
1 1 2
þ cop;1 ð RðtÞdt RðtÞdt þ t1d Rðt1d ÞÞ þ cop;2 ð RðtÞdt t1d Rðt1d Þ RðtÞdt
0 0 0 0
Z t2d Z t3d Z t3d ð15Þ
þ t2 Rðt2 ÞÞ þ cop;3 ð
d d
RðtÞdt t2d Rðt2d Þ RðtÞdt þ t3 Rðt3 ÞÞ þ cop;4 ð
d d
RðtÞdt
0 0 0
t3d Rðt3d ÞÞ bd ðRmin ðdÞ Rðt1d Þðg1 g2 Þ Rðt2d Þðg2 g3 Þ Rðt3d Þðg3 g4 Þ
Rmax ð1Þg4 þ DPðdÞg1 Þ
where bd is the Lagrange multiplier to condition (14). The Karush-Kuhn-Tucker

conditions are:
@f @f @f
0 ? t1d 0; d 0 ? t2d 0; d 0 ? t3d 0 ð16Þ
@t1d @t2 @t3
@f
0 ? bd 0 ð17Þ
@bd
Besides the complementary-slackness conditions, by assumption t1d ; t2d ; t3d [ 0,

conditions (16) give
cinv;1 cinv;2 þ bd ðg1 g2 Þ cinv;2 cinv;3 þ bd ðg2 g3 Þ

t1d ¼ ; t2d ¼
cop;2 cop;1 cop;3 cop;2
ð18Þ
cinv;3 cinv;4 þ bd ðg3 g4 Þ
t3d ¼
cop;4 cop;3
@f
Condition (17) allows two possible solutions with respect to bd : If @b d \0, b has to
d
be zero by complementary slackness. At this point, the system have a certain BLCC
margin, the BLCC constraint does not work, which will result in
@f
t1d ¼ t1d1 ; t2d ¼ t2d1 ; t3d ¼ t3d1 . If @b d ¼ 0, b [ 0 by complementary slackness, which
d
will result in an increase of t1d ; t2d ; t3d .

If K1d DPðdÞ\K1d þ K2d , the BLCC constraints can be simplified to:
ðK1d þ K2d DPðdÞÞg2 þ K3d g3 þ K4d g4 Rmin ðdÞ ð19Þ
Similar to the above solution, introduce the Lagrange multiplier bd to condition

@f
(19). Two possible solutions are given by complementary slackness: If @b d \0 (which
means Rmin ðdÞ [ ðK1d þ K2d DPðdÞÞg2 þ K3d g3 þ K4d g4 ), bd ¼ 0. The BLCC con-
@f
straint does not work, which will result in t1d ¼ t1d1 ; t2d ¼ t2d1 ; t3d ¼ t3d1 . If @b d ¼ 0
(which means Rmin ðdÞ ¼ ðK1d þ K2d DPðdÞÞg2 þ K3d g3 þ K4d g4 ), bd [ 0 by


complementary slackness. Correspondingly, t1d ¼ t1d1 , t2d ¼ cop;3 cop;2 ,
t3d ¼ cop;4 cop;3 .
3.4 Effect of Cost Parameters and Renewable Energy Integration Scale

This section analyzed the effect of cost parameters and renewable energy integration
scale on the ‘base-load’ technology capacity and ‘peak-load’ technology capacity.
The ‘base-load’ technology capacity is K1 ¼ Rðt1 Þ and ‘peak-load’ technology
capacity is K4 ¼ Rmax Rðt3 Þ. The derivative of K1, K4 with respect to any variable
x are:
@K1 @R @t1 @K4 @R @t3

¼ ; ¼ ð20Þ
@x @t1 @x @x @t3 @x
As R(t) is strictly monotonously decreasing, derivatives of K4 have the same sign as

the derivatives of t3 with respect to the same variable, derivatives of K1 have the
opposite sign as the derivatives of t1 with respect to the same variable.
Without BLCC constraints, the operating hours of ‘base-load’ technology is
c cinv;2 c cinv;4
t1 ¼ cinv;1
op;2 cop;1
, the operating hours of ‘peak-load’ technology is t3 ¼ cinv;3
op;4 cop;3
, which
exhibits the independence of technologies that are not adjacent in the merit order.
After considering the BLCC constraints, the system becomes less economic to
maintain the BLCC constraints, which will result in an increase of t1 ; t2 ; t3 . The increase
of renewable energy will lead to a heavier BLCC demand, which will result in the
reduction of ‘base-load’ technology capacity and the increase of ‘peak-load’ technol-
ogy capacity.
4 Numerical Analysis
4.1 Data Assumption

The proposed method is applied to the data of a province in China. Figure 2 depicts the
residual net load duration curves with 7%, 10%, 13%, 16% of the maximum load’s
wind power integration after the linearization fitting. And the black dotted line is the
original net load duration curve with 10% of the maximum load’s wind power inte-
gration. Table 1 shows the key parameters for five different conventional generation
plants [9, 11].
302 J. Ma et al.
Fig. 2. The net load duration curves after the linearization fitting
Table 1. Key parameters for different types of plants

Parameter Unit Lignite Hard CCGT OCGT Oil
coal
capitalized cost k$/ 213.9 124.8 74.7 53.4 46.1
MW·year
Variable O&M $/MWh 8.6 23.4 43.3 60.9 84.0
Minimum output/installed 0.60 0.50 0.35 0.25 0.20
capacity
4.2 Impact of BLCC Constraints on the Optimal Mix

Figure 3 depicts the impact of BLCC constraints on the optimal mix under 13% wind
power integration. It can be seen that the ‘base-load’ technology capacity reduce and
the ‘peak-load’ technology capacity increase after considering the BLCC constraints.
Figure 4 shows the impact of BLCC constraints on the BLCC adequacy of the
planning year. Without BLCC constraints, the system can be dispatched most eco-
nomical in 100 days, the BLCC demand cannot be satisfied through dispatching
Fig. 3. Impact of BLCC constrains on the optimal mix

conventional plants of the optimal mix in 3 days during the planning year. After
considering BLCC constraints, the system can be dispatched most economical in 178
days. And all of the 365 days’ BLCC demand can be satisfied through dispatching
conventional plants of the optimal mix.
Fig. 4. Impact of BLCC constraints on the BLCC adequacy of the planning year
4.3 Impact of Renewable Energy Integration Scale on the Optimal Mix

Figure 5 shows the impact of renewable energy integration scale on the optimal mix
with and without BLCC constraints. Without BLCC constraints, the ‘peak-load’
technology capacity increased 0.47%, the ‘base-load’ technology capacity decreased
3.82% as the wind power integration scale increased every 3%. With BLCC con-
straints, the ‘peak-load’ technology capacity increased 24.14%, the ‘base-load’ tech-
nology capacity decreased 9.98% as the wind power integration scale increased every
3%. It can be found that the change of wind power integration scale has a greater
influence on the optimal mix after considering the BLCC constraints.
304 J. Ma et al.
Fig. 5. Impact of renewable energy integration scale on the optimal mix
5 Conclusions
In order to guarantee adequate BLCC at the capacity planning level, a generation

capacity planning model considering the base-load cycling capacity (BLCC) is pro-
posed based on the screening curves method. With this model, an optimal mix of
generation capacity can be obtained. Through dispatching conventional plants of the
optimal mix, the BLCC constraint of each day in the planning year can be satisfied.
Then, the impacts of cost parameters and renewable energy integration scale on the
optimal mix are theoretically analyzed. Numerical examples are presented to verify the
reasonableness and effectiveness of the proposed model. It is shown that: with the
increase of renewable energy integration, ‘peak-load’ technology capacity will increase
and ‘base-load’ technology capacity will decrease. Compared to the optimal mix
without the BLCC constraints, the change of renewable energy integration scale has a
greater influence on the optimal mix after considering the BLCC constrains. This work
is helpful to determine an optimal conventional plants mix of a BLCC-constrained
power systems.
References
1. Baldick, R.: Wind and energy markets: a case study of Texas. IEEE Syst. J. 6(1), 27–34
(2012)
2. Troy, N., Denny, E., O’Malley, M.: Base-load cycling on a system with significant wind
penetration. IEEE Trans. Power Syst. 25(2), 1088–1097 (2010)
3. Batlle, C., Rodilla, P.: An enhanced screening curves method for considering thermal
cycling operation costs in generation expansion planning. IEEE Trans. Power Syst. 28(4),
3683–3691 (2013)
4. Coester, A., Hofkes, M.W.: E. Papyrakis.: An optimal mix of conventional power systems in
the presence of renewable energy: a new design for the German electricity market. Energy
Policy 116, 312–322 (2018)
5. Babrowski, S., Jochem, P., Fichtner, W.: How to model the cycling ability of thermal units in
power systems. Energy 103, 397–409 (2016)
6. Xu, L., Ruan, X., Zhang, B., Mao, C.: An improved optimal sizing method for wind-solar-
battery hybrid power system. Proc. Chin. Soc. Electr. Eng. 32(25), 88–98 (2012)
7. Castronuovo, E.D., Lopes, J.A.P.: Optimal operation and hydro storage sizing of a wind
hydro power plant. Int. J. Electr. Power Energy Syst. 26(10), 771–778 (2004)
8. Yan, G., Feng, X., Li, J.: Optimization of energy storage system capacity for relaxing peak
load regulation bottlenecks. Proc. Chin. Soc. Electr. Eng. 32(28), 27–35 (2012)
9. Steffen, B., Weber, C.: Efficient storage capacity in power systems with thermal and
renewable generation. Energy Econ. 36, 556–567 (2013)
10. De Jonghe, C., Delarue, E., Belmans, R., D’haeseleer, W.: Determining optimal electricity
technology mix with high level of wind power penetration. Appl. Energy 88, 2231–2238
(2011)
11. Belderbos, A., Delarue, E.: Accounting for flexibility in power system planning with
renewables. Int. J. Electr. Power Energy Syst. 71, 33–41 (2015)
12. Zhang, T., Baldick, R., Deetjen, T.: Optimized generation capacity expansion using a further
improved screening curve method. Electr. Power Syst. Res. 124, 47–54 (2015)
13. Zhang, T., Baldick, R.: Consideration of existing capacity in screening curve method. IEEE
Trans. Power Syst. 32(4), 3038–3048 (2017)
A Multiple Model Control Method
of Coal-Fired Power Plant
SCR-DeNOx System
Jianhua Zhang1(&), Bin Jia2, Ben Zou2, Xiao Tian2,

and Chunyao Liu2
1
State Key Laboratory of Alternate Electrical Power System with Renewable
Energy Sources, School of Control and Computer Engineering,
North China Electric Power University, Beijing, China
[email protected]
2
School of Control and Computer Engineering,
North China Electric Power University, Beijing, China
Abstract. Nowadays, energy consumption problem and air contamination

affecting the quality of our lives horribly is becoming more and more serious.
Industrial emission issues have attracted much attention specially. As a crucial
index, the denitration efficiency of Selective Catalytic Reduction (SCR) system,
which is the primary way to control emission of NOx in coal-fired power plant,
is normally required above 80%. In this paper, Fractional Order Proportional
Integral Differential based on Internal Model Control (IMC-FOPID) controller is
introduced to control the emission of NOx by implementing multiple model
strategy. Compared with traditional PID controllers, the proposed control
method in this paper is more effective.
Keywords: IMC-FOPID SCR Multiple model strategy
1 Introduction
Accompanied by the extensive economic development pattern of high pollution, high

energy consumption and low efficiency, both energy depletion and air pollution are
main factors to restrict sustainable development and ecological civilization construction
all over the world. Emission of NOx in power plants is a big threat to environment.
Hence, it is urgent to develop an efficient, reliable and economical denitration tech-
nology to reduce the emission of NOx [1].
Using Extreme Learning Machine (ELM) method to establish the relationship
between boiler operation parameters and emission amount of NOx, the emission of
NOx has been optimized in real time [2]. ELM is still being researched in industrial
applications. The methods that combine feed water heater with steam ejector and
change burner structure were proposed in [3, 4], respectively. Whereas, it is difficult to
put them into practice. Designing burner based on gray box model aims at obtain a
specific boiler structure merely [5]. An improved nonlinear model predictive controller
was applied to control the emission of NOx [6]. The FOPID controller proposed by

https://doi.org/10.1007/978-981-13-2381-2_29
Method of Coal-Fired Power Plant SCR-DeNOx System 307
Poblubny has five adjustable parameters and is more flexible than traditional PID
controller [7]. Reference [8] presented a sliding mode control method to control the
NOx emission for a denitration system applied in thermal power units. Multiple model
strategy, which has attracted much attention, is generally regarded as a feasible
approach to dealing with complex systems. The characteristics of power plants are very
complicated in terms of uncertainties, nonlinearities, time-varying and changing
operating points. Therefore, combining the IMC-FOPID control strategy presented in
reference [9] with the multiple model method, a multiple model IMC-FOPID controller
is utilized to optimize NOx emission of power plants in this paper.
The rest of this paper is organized as follows. In Sect. 2, an SCR-DeNOx system is
briefly introduced. The main control scheme is then developed in Sect. 3. Consequently,
simulation results are given in Sect. 4. Finally, some conclusions are drawn in Sect. 5.
2 Description of SCR-DeNOx System
At present, SCR denitration technology is most widely applied among many denitration
methods. This method is characterized by explicit chemical reactions, no by-products
and no secondary pollution. Correspondingly, it has some advantages in terms of high
reliability, simple structure and high denitration rate (above 80%). The SCR denitration
unit is usually installed between the economizer and the air preheater so that the
catalytic reduction reactions occur in the suitable temperature range (300–400 °C).
A diagram concerning a denitration unit of a 600 MW sub-critical unit in a power plant
is depicted in Fig. 1.
Fig. 1. SCR-DeNOx system process flow diagram
The chemical reactions occur under the effect of catalyst and dominant reaction
insides is 4NO + 4NH3 + O2 ! 4N2 + 6H2O, which achieves the objective of deni-
tration mostly.
308 J. Zhang et al.
In the SCR-DeNOx system, there is a delay of the NOx measurement in the inlet
and outlet of the SCR reactor. Therefore, the characteristics of the SCR-DeNOx system
is complex in terms of large inertia and time delay. For the #1 unit of 600 MW power
plant in Fig. 1, ammonia injection disturbance tests have been conducted under three
typical operating conditions and corresponding transfer functions can be obtained by
identifying dynamic characteristics according to experimental data [8].
3 Control Scheme
In this paper, we will present a kind of multiple model control strategy on SCR
denitration cascade system. And some preliminaries are introduced as follows.
3.1 Multiple Model Strategy

In this paper, three local models are modelled for SCR denitration unit operating at
three typical operating points corresponding to 350 MW, 450 MW, 550 MW load
based on the idea of decomposition and synthesis. The cascade control method is
adopted as the basic strategy of SCR denitration control system, in which outer loop
uses IMC-FOPID controller and inner loop PI controller. The diagram of SCR deni-
tration control system is shown in Fig. 2.
Fig. 2. SCR-DeNOx system control structure
As shown in Fig. 2, r and u are the set point of outlet NOx concentration and the
output of the primary controller respectively. y is actual value of outlet NOx concen-
tration, GNH3 ðsÞ is the ammonia flow transfer function and GSCR ðsÞ represents the
transfer function of outlet NOx concentration.
3.2 IMC-FOPID Controller Design

FOPID controller has received considerable attention in the last two decades, which is
more flexible than traditional PID controllers. Nevertheless, this advantage also implies
that tuning of the FOPID controller can be much more complex because of five
parameters that need to be tuned instead of three parameters in PID controllers.
Recently, many researchers have studied FOPID and proposed different tuning meth-
ods. For the sake of convenience of application and control, we apply the approach in
the literature [8] into tuning the parameters of FOPID controller for SCR denitration
control systems. The tuning procedure is roughly summarized as follows (Fig. 3).
(a)
(b)
Fig. 3. (a) Sub-controller based on IMC or (b) traditional PID controller
Let Gm ðsÞ be the reference model of an linear time-invariant integer order system.
Step 1. Based on the IMC controller design, Gm ðsÞ must be factorized as follows:
Gm ðsÞ ¼ Gmþ ðsÞG

m ðsÞ ð1Þ
where G þ
m ðsÞ is the non-singular part of Gm ðsÞ, Gm ðsÞ stands for the singular part
which contains all time delays and right-half plane zeros, and its steady-state gain must
be equal to one.
Step 2. The IMC controller is specified as
1
GIMC ðsÞ ¼ fðsÞ ð2Þ
G
m ðs)
where f(s) represents a low pass filter with a steady-state gain of one, its form is
fðsÞ ¼ sc sa þ 1 ð0\a\1Þ ð3Þ
where the time constant and non-integer are chosen by the phase margin and the
crossover frequency of the closed-loop by
p um
a¼ 1 ð4Þ
p=2
1
sc ¼ ð5Þ
xac þ 1
310 J. Zhang et al.
Step 3. The traditional feedback controller CðsÞ can be indicated by [10]
CIMC ðs)
CðsÞ ¼ ð6Þ
1 CIMC ðs)Cm ðs)

1
The transfer function of PI controller in inner loop are 0:4 1 þ 0:625
1
s under three
typical conditions. As the inner loop is tuned properly, the whole inner loop can be
regarded approximately as a plant whose gain is one. Then let it cascade with GSCR ðsÞ
together. Then the combination becomes GrðsÞ shown in Fig. 2. Next, the primary
controller can be designed in accordance with above-mentioned step 1 to step 3.
The usual form of GSCR ðsÞ is:
kehs
Gm ðsÞ ¼ ð7Þ
ð1 þ T1 sÞð1 þ T2 sÞ
In this case, the time delay is approximated by
ehs ¼ 1 hs ð8Þ
Substituting the time delay approximation in Gm ðsÞ and using (2), the IMC con-
troller is obtained by
ð1 þ T1 sÞð1 þ T2 sÞ
CIMC ðsÞ ¼ ð9Þ
kð1 þ sc sa þ 1 Þ
Thus, the corresponding feedback controller is
ð1 + T1 s)(1 + T2 s)
C(s) ¼
k(hs + sc sa þ 1 Þ
ð10Þ
1 T1 + T2 1 T1 T2
¼ sc a ½1 þ þ s]
1þ h s kh ðT1 + T2 Þs T1 + T2
In this section, IMC-FOPID controller is applied to every GrðsÞ in three typical oper-
ating conditions. As described in Fig. 2, the total output of the primary controller u is the
weighted sum of ui which corresponds to three typical operating conditions such that
X
3
u¼ w i ui ð11Þ
i¼1
Where wi is the weight of ui , its value is directly related to the quality of system
switching. In practice, the weights of ui under two operation points, which are close to
the current load L, are not zero respectively. The weights can be calculated by
jL L1 j jL L 2 j
w1 ¼ ; w2 ¼ ð12Þ
L2 L1 L2 L1
Where L1 , L2 are two loads which are nearest the current load L. The experimental
results of the unit load at operating point 1 (load 400 MW) and operating point 2 (load
500 MW) respectively are indicated as follows.
Figures 4 and 6 show the manipulated variables at 400 MW and 500 MW respec-
tively. Figures 5 and 7 indicate the controlled output signal using PID cascade control
Fig. 4. Variation of opening of ammonia injection valve at 400 MW
Fig. 5. Response of flue outlet NOx concentration at 400 MW

312 J. Zhang et al.
Fig. 6. Variation of opening of ammonia injection valve at 500 MW
Fig. 7. Response of flue outlet NOx concentration at 500 MW
(dot-dash line) and proposed method in this paper (solid line) at 400 MW and 500 MW
respectively. It can be observed that the response curve is smoother, the overshoot is
smaller and response is faster than that under traditional PID cascade control.
5 Conclusion
Considering the coal-fired power plant SCR denitration system, IMC-FOPID controller
based on multiple model strategy is proposed in this paper. The feasibility of this
scheme has been proved by experimental results. Meanwhile, the proposed control
method can achieve better control quality than the traditional PID controller. The
proposed control system plays important role in ensuring economic and safe operation
of SCR denitration system of a coal-fired power plant. In practice, SCR denitration
systems usually operate at varying operating conditions, therefore, the proposed control
strategy should be extended to deal with SCR denitration systems operating over a
wide range in further research.
References
1. Ding, L., Liu, C., Chen, K., Huang, Y., Diao, B.: Atmospheric pollution reduction effect and
regional predicament: an empirical analysis based on the Chinese provincial NOx emissions.
J. Environ. Manage. 196, 178–187 (2017). https://doi.org/10.1016/j.jenvman.2017.03.016
2. Tan, P., Xia, J., Zhang, C., Fang, Q., Chen, G.: Modeling and reduction of NOx emissions
for a 700 MW coal-fired boiler with the advanced machine learning method. Energy 94,
672–679 (2016). https://doi.org/10.1016/j.energy.2015.11.020
3. Chen, W.X., Zhang, S.P., Li, B.X., Liu, M., Liu, J.P.: Simulation study on 660 MW coal-
fired power plant coupled with a steam ejector to ensure NOx reduction ability. Appl. Therm.
Eng. 111, 550–561 (2017). https://doi.org/10.1016/j.applthermaleng.2016.09.104
4. Ma, L., et al.: Effect of the separated over-fire air location on the combustion optimization
and NOx reduction of a 600 MW FW down-fired utility boiler with a novel combustion
system. Appl. Energy 180, 104–115 (2016). https://doi.org/10.1016/j.apenergy.2016.07.102
5. Zhao, H.R., Shen, J., Li, Y.G., Bentsman, J.: Coal-fired utility boiler modelling for advanced
economical low-NOx combustion controller design. Control Eng. Pract. 58, 127–141 (2017).
https://doi.org/10.1016/j.conengprac.2016.10.005
6. Stadlbauer, S., Waschl, H., Del Re, L.: SCR ammonia dosing control by a nonlinear model
predictive controller. IFAC Proc. Vol. 47, 3018–3023 (2014). https://doi.org/10.3182/
20140824-6-za-1003.02497
7. Poblubny, I.: Fractional-order system and PIkDl controller. IEEE Trans. Autom. Control 44,
208–214 (1999). https://doi.org/10.1109/9.739144
8. Fu, J.Q.: The application of sliding mode control in the thermal power units denitrification
control system. North China Electric Power University (2016)
9. Maâmar, B., Rachid, M.: IMC-PID-fractional-order-filter controllers design for integer order
systems. ISA Trans. 53, 1620–1628 (2014). https://doi.org/10.1016/j.isatra.2014.05.007
10. Vinopraba, T., Sivakumaran, N., Narayanan, S.: IMC based fractional order PID controller.
IEEE ICIT. 49, 71–76 (2011). https://doi.org/10.1109/icit.2011.5754348
Communication Network Planning with Dual
Network Coupling Characteristics Under
Active Distribution Network
Zhiqiang Fu1, Xue Li1(&), Dajun Du1, and Sheng Xu2

1
Shanghai Key Laboratory of Power Station Automation Technology,
Shanghai University, Shanghai 200072, China
2
School of Electronic and Information Engineering, Nantong Vocational
University, Nantong 226007, China
Abstract. A novel communication network planning method is proposed by

considering the relationship between optical fiber communication network and
power grid and the topological stability of communication networks. Firstly, the
minimum spanning tree is used to generate the shortest power grid topology in
term of the minimum expense of initial power grid. Then, for dual network (i.e.,
power grid and communication network) coupling characteristics, considering
the constraints of network looping rate and invulnerability, an economic plan-
ning model is established and further solved by using the particle swarm opti-
mization (PSO) algorithm. Finally, a 29-node system is employed to confirm the
effectiveness and feasibility of the proposed method.
Keywords: Communication networks Power grid

Active distribution network Topology stability PSO algorithm
1 Introduction
To solve energy shortage and environmental degradation problems, renewable energy

has been rapidly developed [1, 2], where a new type of distribution network “active
distribution network” is proposed [3, 4]. This requires flexible network structure and
active control management, so the grid planning problem becomes a key issue for
active distribution networks.
There exist some grid planning methods. For example, branch exchange method [5]
is proposed to make the original radial form a loop and then break another branch to
open the loop. The optimal network structure is optimized by genetic algorithms [6].
The graph theory [7] is employed for the distribution network planning, and an
improved minimum spanning tree method is proposed by considering the investment
costs and operating costs of the line.
The above mentioned planning methods mainly focus on the planning problem of
power grid. There is short of research on the planning of communication network under
active distribution network [8]. However, the current active distribution network has
deeply integrated the communication network. Only when the communication network

https://doi.org/10.1007/978-981-13-2381-2_30
Communication Network Planning with Dual Network Coupling Characteristics 315
has good reliability, the whole current active distribution network can run smoothly and
safely. Therefore, it is necessary to study the communication network planning
problem.
To solve the communication network planning problem, the minimum spanning
tree is firstly used to generate the shortest power grid topology in term of the minimum
expense of initial power grid. Considering the constraints of network looping rate and
invulnerability, an economic planning model is established and further solved by using
the particle swarm optimization (PSO) algorithm. Finally, the effectiveness and feasi-
bility of the proposed method are verified by a 29-node distribution network.
2 Communication Network Model Under Active Distribution

Network
Before the planning of optical fiber communication network, a physical power network
need be generated. To minimize the cost of power network planning, the initial span is
generated using the minimum spanning tree. Then the communication network plan-
ning model is established by considering loop rate and network invulnerability.
2.1 Power Network Model

A real power network topology can be abstracted as a graph of points and edge sets [9],
where the weight of the edge is defined as the cost required building the edge, and the
sum of all edge weights represents the total cost in the whole topology graph. To
minimize the total cost, the physical power network construction cost function is
expressed as:
X
m
Fdcos t ¼ min xðu; vÞ ð1Þ
i¼1
where u and v represent the vertex of the topology of power grid, xðu; vÞ represents the
weight and m represents the number of vertices. To solve this problem, the minimum
spanning tree method is employed to get the network topology as follows:
Step 1: Enter the grid node coordinates, where the vertex set is V and the edge set is E.
Step 2: Initialization Enew ¼ fg and Vnew ¼ fxg. In the minimum spanning tree to
generate the physical network topology, where Enew ¼ fg is the set of edges and
Vnew ¼ fxg is the point set, and x is any node in the set (starting point).
Step 3: In the edge set E, select the edge hu; vi with the smallest weight, where u is
the element in the set Vnew , and v is not in the set Vnew . Add v to the set Vnew , and
add hu; vi to the set Enew ¼ fg. Repeat this step until Vnew ¼ V.
Using the above procedure, the power network topology is obtained and denoted by
Vnew and Enew .
316 Z. Fu et al.
After the topology of power grid is obtained, the model of optical fiber commu-
nication network need be established based on the structure of the graph, network
construction cost and the constraints of network looping rate and invulnerability.
2.2 The Model of Optical Fiber Communication Network

Network construction cost of optical fiber cable is expressed by
X
m
C¼ ei wi ð2Þ
i¼1
where C is network construction cost, wi is construction cost of the ith cable line, m is
the number of optical fiber lines to be selected, and ei is

1; The ith cable is selected
ei ¼ : ð3Þ
0; The ith cable is not selected
After network construction cost function is constructed by (2), network reliability

constraint is then analyzed. It is represented by the node loop rate in optical fiber
communication network [10], which is given by
vcycle
P¼ ð4Þ
n
where P is the node loop rate and the value is the ratio of the number of looped nodes
and the summed points in the network, and n is the total number of nodes in the
communication network, and vcycle is the number of looping nodes (i.e., the nodes
forms the loops).
After communication network reliability is constructed by (4), network topology
reliability constraint is then analyzed. It is represented by the network invulnerability,
i.e.,
P
m
DðiÞ
i¼1
KðGÞ ¼ P
m : ð5Þ
Dfull ðiÞ
i¼1
P
where Dfull ðiÞ is the sum of the
P degrees of importance of all nodes in the graph of the
fully connected network, and DðiÞ is the sum of the degrees of importance of all
nodes in the real topology graph, and m is the number of nodes.
The node importance DðiÞ is given by
Si
DðiÞ ¼ ; ð6Þ
li
where Si is the edge weight, li is the degree of node position importance, which is given by
1 X m
li ¼ lij ; ð7Þ
m j¼1;j6¼i
X 1
Si ¼ : ð8Þ
ði;jÞ2B
xij
i
For the node i, after setting the distance between the edges directly connected to
node i as the distance value of the shortest line in the topology, lij is the shortest path
distance between nodes i and j. xij is the distance connected by nodes i and j if they are
directly connected, otherwise it is unlimited. So Si is the larger, then the closer the node
is to the surrounding nodes, the more important the position in the network is.
The paper is concerned with the constrain of the network invulnerability and loop
rate. Loop rate is not less than 70% and invulnerability is not less than 0.3.
3 Joint Planning Model of Power Grid and Communication

Network
A communication planning model is obtained by the coupling of communication

network and power grid.
The relationship between the power grid and the communication network is shown
in Fig. 1. The upper layer is the planning model of power grid. Then, the lower layer
optimizes the communication network based on the upper model, and the communi-
cation network cost value Fc is transferred to the upper layer.
In the above model, the optical fiber cost Fc is divided into two parts: (1) The
supporting facilities for laying optical fibers, such as towers, and the cable channel;
Fig. 1. Communication network planning model with dual network

318 Z. Fu et al.
(2) The optical fiber cost. The optical fiber laid along physical network can save the
cost of constructing the tower and excavating the cable ditch. However, when the
communication network is laid along physical network, it may increase the distance of
fiber laying. Therefore, how to lay the communication network need to be optimized.
According to communication network, if there is a path from node i to node j, and
this path exists in the power grid, calculate the total cost of laid along the power grid
(not include the cost of towers or digging cable ditch) Cost 1, and the total cost Cost 2
of direct connection node i and node j. Compare Cost 1 and Cost 2, select the smaller
value as the topological edge of the communication network.
4 Solution of Active Distribution Network Collaborative

Planning Model
The upper layer is physical network planning by taking into connectivity and radiation
account. The lower layer is communication network planning by considering invul-
nerability and loop rate constrains. Physical power grid is obtained by the minimum
spanning tree, which is stored in an adjacency matrix [11]. The lower layer is solved by
hybrid PSO and Floyd algorithm, and the specific solution process is shown in Fig. 2.
Start
Input node coordinates, fiber laying cost per

kilometer and other parameters
Using Prim's minimum spanning tree algorithm to

Form a Physical network
The upper laywer is passed to the lower layer then

PSO algorithm to plan the model
The Floyd algorithm is used to find the shortest

path between two nodes, and the path of
comparison and selection is calculated.
Change particle
speed and
position
meet the convergence

No condition
Yes
Total cost of output and communication
network planning
End
Fig. 2. Planning flowchart of communication network model

5.1 Simulation Introduction
The case used for communication network planning is a 29 nodes system as shown in
Table 1. The installation cost of the optical fiber with supporting facilities is 0.42
million dollar per kilometer, and the cost per kilometer of the grid along the distribution
network is 0.33 million dollar, and the substation node is equipped with optical fiber.
Communication network planning, the substation node number is “1, 7, 14, 20, 27”.
The loop rate is defined as not less than 70% and the invulnerability not less than 0.3.
Table 1. The coordinates of the node

Node X axis coordinates Y axis coordinates
1 1.976 1.09
2 1.056 1.026
3 0.48 1.304
4 1.928 1.798
5 0.196 1.076
6 3.64 0.474
7 0.524 0.914
8 2.876 1.808
9 0.184 1.602
10 1.008 1.586
11 0.664 1.822
12 3.36 0.904
13 0.548 0.43
14 0.916 0.182
15 3.424 1.192
16 2.856 0.182
17 2.488 0.272
18 3.272 1.738
19 2.876 1.56
20 3.112 1.394
21 2.348 0.112
22 2.128 0.334
23 3.3 0.474
24 3.44 1.49
25 2.304 1.556
26 1.172 0.354
27 2.388 0.506
28 2.944 1.196
29 3.616 0.718
320 Z. Fu et al.
5.2 Result Analysis

The physical power grid generated by the minimum spanning tree as shown in Fig. 3,
and the initial grid of the communication network generated by the substation nodes is
shown in Fig. 4.
The red line is the minimum spanning tree

2
1.8 11 4 8
18
1.6 9 10
25 19
24
1.4 20
3
1.2 28 15
5 1
1 2
7 12
0.8
29
0.6
27
23 6
13
0.4
26 22
17
0.2 14 16
21
0
0 0.5 1 1.5 2 2.5 3 3.5 4
Fig. 3. Initial physical grid (Color figure online)
Communication network initial network

1.6
1.4 20
1.2
1
1
7
0.8
0.6
27
0.4
0.2 14
0
0 0.5 1 1.5 2 2.5 3 3.5 4
Fig. 4. Initial communication network grid
According to the initial communication network in Fig. 4, the communication

network model solved by PSO algorithm, which meets the loop rate and network
invulnerability constrain. After each particle is selected by the edge, the Floyd algo-
rithm is used to find the shortest path between two points on the physical network shelf,
as shown in Fig. 5, the shortest path of the 14–17 nodes on the physical shelf. The
green nodes (i.e., 1, 7, 14, 20, and 27) are the substation nodes, and the others are
ordinary load nodes.
The shortest path of the node

1.6
25 19
24
1.4 20
1.2 15
1
2
1
7 12
0.8
29
0.6
27
23 6
13
0.4
17
0.2 14 16
0
0.5 1 1.5 2 2.5 3 3.5 4
Fig. 5. 14–17 the shortest path of the node (Color figure online)
1.6
25 19
24
1.4 20
1.2 15
1
2
1
7 12
0.8
29
0.6
27
23 6
13
0.4
17
0.2 14 16
0
0.5 1 1.5 2 2.5 3 3.5 4
Fig. 6. Planned communication network
The topology is selected by calculating cost of optical fiber laying along the
physical network and the supporting facilities. The total cost of the network is 162.3
dollar. The topology of the communication network planning is shown in Fig. 6, and
the mapping of physical network and communication network is shown in Fig. 7.
Fig. 7. Two-layer network coupling diagram

322 Z. Fu et al.
To ensure the loop rate, it can be seen that the fiber node 1 and node 14 are directly
connected in Fig. 6. If the communication network is laid along 1-2-7-13-14 nodes, the
loop rate only 60%. Then, to reduce the economic costs of communications network
planning, node 7 and node 14 are laid along physical network by comparing Fig. 4
with Fig. 6.
After considering the loop rate and invulnerability constrain, the communications
network invulnerability improved from 0.2738 to 0.4413. The importance of nodes is
shown in Table 2, and the higher the value, the lower the degree of importance. Case 1
is the initial communication network, and case 2 is the importance of the nodes
obtained by the PSO algorithm. The importance of nodes is significantly reduced as is
in Table 2.
Table 2. Node importance indicator

Node Case 1 Case 2
7 1.934 3.423
14 3.219 3.541
1 1.534 5.587
20 1.560 1.716
27 0.725 3.235
6 Conclusions
In this paper, a communication network planning model in the active distribution

network is established by taking the coupling characteristics into account, and the
model is solved by hybrid PSO and Floyd algorithm. The experimental results of a 29
nodes distribution network show that: (1) Considering the coupling of physical net-
works and communication networks, the communication network planning cost can
effectively reduce; (2) The communication network invulnerability can be effectively
improved by considering the loop rate and invulnerability constrains.
Acknowledgments. This work was supported in part by the national Science Foundation of
China under Grant No. 61773253, and project of Science and technology Commission of
Shanghai Municipality under Grants No. 15JC1401900, 14JC1402200, and 17511107002. This
work was also supported in part by the Funds of Nantong Applied Basic Research Plan
(GY12017015) and Qing Lan Project of colleges and universities in Jiangsu province.
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Author Index
Adams, Jonathan I-239 Cheng, Tingli II-65

Afonso, Daniel I-40 Chi, Junfeng II-215
Agarwal, Dheeraj I-73 Chunli, Zhu II-225
Allen, David I-108 Collins, R. I-3
An, Ran III-3 Cong, Yu II-261
Armstrong, Cecil G. I-73 Crookes, Danny II-468
Azhar, Irfan II-352
Dai, Wentao I-363
Bai, Long I-571
de Sousa, Ricardo Alves I-40
Bao, Weihua II-191, II-291
Deng, Lei I-97
Barden, John I-108
Deng, Tiantai II-468
Barnes, David I-239
Deng, Weihua II-383
Behera, Amar Kumar I-40
Ding, Yulong II-478, III-214
Bi, Guangjian I-418, I-428
Dong, Jing III-253
Bi, Ruyu III-247
Dong, Shiyun II-458
Bi, Yining III-173
Dong, Xiaomin I-257, II-15, II-77, II-491
Bibi, Shamsa II-352
Drummond, Stephen I-108
Bo, Zhengjun I-325
Du, Dajun II-555, III-36, III-94, III-253,
Buchanan, Fraser I-228
III-314
Butterfield, Joe I-3, I-239
Du, Qianqian I-332
Butterfield, Joseph I-108
Cai, Rong III-3 Fan, Hong-Wei I-290

Cai, Wenyue III-264 Fang, Jie II-502
Cai, Yunlong I-484 Fei, Minrui II-281, II-302, II-536, II-555,
Cameron, Che II-408 III-14
Cao, Huajun III-129 Feng, Sheng I-529
Cao, Le I-318, I-325 Fu, Hao I-325
Cao, Zhanyong III-61 Fu, Jingqi II-155, II-191, II-291, II-429
Carbery, Caoimhe M. II-169 Fu, Rao I-249
Chen, Chen I-418, I-440 Fu, Yanxiang I-308
Chen, Chin-Yin I-548, I-561 Fu, Zhiqiang III-314
Chen, Chin-yin I-84
Chen, Erheng III-129 Gao, Qingxuan II-3
Chen, Guodong I-548 Gao, Wenzhong III-151
Chen, Jinquan I-571 Gao, Yang I-290
Chen, Minyou II-65, III-284 Gao, Yuan I-13
Chen, Ping II-502 Gao, Zhengming II-191, II-291
Chen, Rui I-571 Garcia-Palacios, Emiliano II-400
Chen, Si-Lu I-84 Ge, Hong-Yu I-290
Chen, Wanmi II-236 Geng, Haipeng I-529
Chen, Yi I-394 Gou, Honggang I-221
Chen, Youling I-279 Gou, Mingli II-3
Cheng, Lin III-151 Gu, Yaqi III-46
326 Author Index
Guan, Tianming I-121 Jiang, Feiyang I-465, I-474, I-518

Guiwu, Xiong II-77 Jiang, Gaofeng II-180
Guiyun, Jiang II-352 Jiang, Zhu III-214
Guo, Song II-502 Jin, Hongzhou II-236
Guo, Yanchun I-300 Jin, Yan I-40, I-239, I-249
Guo, Yue III-192
Guo, Zhen I-146, III-70 Leng, Guanghui III-214
Li, Chen III-105
Han, Junwei II-321 Li, Chunyan III-105, III-264
Han, Zhi III-14 Li, Deshun I-394
Hao, Liangliang III-225 Li, Engzhong II-458
Hassan, Jawad Ul I-267 Li, Huilin III-61
Hassan, Muhammad Arshad Shehzad I-267, Li, Jiajia II-109
II-65, III-284 Li, Jie I-146, II-44, III-70
He, Bing II-89 Li, Jing I-221
He, Feng III-61 Li, Junjie I-548
He, Qinyi III-129 Li, Kang I-343, II-408, II-419, III-183,
He, Shui I-363 III-201
He, Siyuan I-332 Li, Lieqiang I-325
He, Yan III-139 Li, Longxiao I-131
He, Zeyin I-506 Li, LongXiao I-191
Higgins, Colm I-3, I-249 Li, Lu II-44
Higgins, Peter I-3, I-108 Li, Mengyun I-300
Hong, Jie III-36 Li, Qiang III-284
Hong, Xiao II-205 Li, Quan I-363
Hou, Kai III-192 Li, Shawn III-183
Hou, Kaihu II-443, III-163 Li, Tao I-300
Hu, Bo III-24 Li, Wei I-540
Hu, Henry Y. K. I-169, II-25 Li, Weihua II-15
Hu, Jin-xing II-89 Li, Wenfeng II-491
Hu, Linming III-139 Li, Xiang I-22, III-201
Huang, GuoQin III-24 Li, Xue III-36, III-94, III-253, III-295,
Huang, Tao I-169, II-25 III-314
Huang, Xiaowei II-215 Li, Yan I-179, III-105
Huang, Xingjun I-146, II-44, III-70 Li, Yanxue III-183
Huang, Yun I-363 Li, Yi I-169, II-25
Li, Yihuan III-183
Li, Yulong I-63, I-371
Iqbal, Nadeem II-352 Li, Zexin I-97
Li, Zhiguo II-99
Jafar, Salman III-129 Li, Zhihao I-408
Jan, Y. I-3 Liang, Ji-Fei II-330
Ji, Zexue II-281 Liang, Yuanyuan II-458
Jia, Bin III-306 Liao, Jianquan III-274
Jia, Hongjie III-192 Liao, Wenzhu I-308
Jia, Siqi I-332 Lim, Ming K. I-157, I-179, I-198, I-209,
Jia, Zhenyuan I-382 III-139
Jiahua, Suolang I-363 Lin, Tao III-247
Jiang, Cheng II-144 Lin, Tengjiao I-465, I-474, I-484, I-494,
Jiang, Dianke III-236 I-506, I-518
Author Index 327
Lin, Yun I-131, I-146, II-44, III-70 Mu, Zongyi I-63

Ling, Lei I-279 Murphy, Adrian I-3, I-40, I-108, I-249
Liu, Boyu III-236
Liu, Chunyao III-306 Naeem, Wasif II-246
Liu, Hao I-382 Nguyen, Hien M. II-400
Liu, Huazhen III-116 Ni, Hangpeng III-247
Liu, Jian I-279 Ni, Zhonghua I-22
Liu, Jianbo I-474 Nisar, M. Usman I-50
Liu, Jiangtao II-261 Nisar, Muhammad Usman I-267
Liu, Jun I-494 Niu, Shilin I-318, I-325
Liu, Kaipeng I-131 Niu, Yufei I-279
Liu, Kangli II-536, II-555
Liu, Li II-512 Pan, Chengwang II-491
Liu, Lin III-225 Pan, Hui II-365
Liu, Peng II-452 Pang, Jihong II-55
Liu, Qiang I-548 Pang, Zezhao I-394
Liu, Qing II-478 Peng, Quancheng I-506
Liu, Weiqi I-257 Peng, Shitong I-300
Liu, Wen I-484, I-494 Peng, Weiqing II-311
Liu, Xiaohui III-173
Liu, Xiaojun I-22 Qi, Hu III-14
Liu, Xuan III-201 Qian, Feng I-13
Liu, Ying I-363, II-99 Qian, Hong II-144, II-180, III-46
Liu, Yiping II-99 Qian, Lin II-311
Liu, Yuqing I-157 Qian, Wen III-247
Lou, Baodong II-261 Qiu, Xiaoli I-22
Lu, Xingxing I-465, I-518 Qiu, Yilin I-571
Luo, Geshan I-363 Qu, Hao II-44
Luo, Hao II-205, II-215 Qu, Zhiyong II-321
Luo, Hongfei III-264
Luo, ShaQi III-24 Rakhio, Allah I-257
Luo, Simin III-81 Ran, Yan I-63, I-371, I-451, II-55
Luo, Yuanxin I-267 Rehman, Shafiq Ur II-352
Lv, Hesheng I-494, I-506 Rehman, Waheed Ur I-267, II-352
Ren, Guangzhen II-215
Ma, Guocai I-408 Ren, Xianlin I-394
Ma, Haiping III-173 Robb, Stephen I-108
Ma, Jingjie III-295 Robinson, Trevor T. I-73
Ma, Ling I-267
Ma, Shiqian III-192 Saleem, Farrukh I-50, I-267, II-352
Ma, Xiangjin III-236 Shan, Weilu III-94
Ma, Yunqiang II-272 Shao, Meiyang III-225
Mao, Minghe II-261 Shen, Weili II-291
Marshall, Adele H. II-169 Shen, Zhenyu I-169, II-25
McLoone, Seán II-246 Sheng, Qi III-284
Menary, Gary I-228 Shi, Chao III-151
Menhas, Muhammad Ilyas II-311, III-14 Shi, Chen III-3
Mo, Fan II-121 Shi, Suilin I-221
Mu, Yunfei III-192 Shoaib, Muhammad I-267, II-352
328 Author Index
Siddiqui, Fahad II-468 Wang, Ruiting II-55

Song, Chengze III-225 Wang, Shufen II-383
song, Sunhao I-548 Wang, Weijun I-548
Su, Zhen II-155 Wang, Xiaonan I-418
Sun, Dan I-249 Wang, Xin II-330
Sun, Hao II-34 Wang, Xu I-97, I-131, I-157, I-191
Sun, Haoxiang II-536, II-546 Wang, Xudong III-192
Sun, Li I-121 Wang, Yacan I-332
Sun, Peiliang I-343 Wang, Yan III-139
Sun, Shuaishuai II-15 Wang, Yang II-236
Sun, Yi III-70 Wang, Yingxiang II-65, III-284
Sun, Yongmin II-390 Wang, Yongqin I-371
Wang, Yue III-192
Tan, Junyang II-458 Wang, Yulin III-139
Tang, Min II-99 Wang, Zegang I-418, I-428
Tang, Qian I-169, I-571, II-25 Wei, Huidong I-228
Tang, Yingjia I-131, I-191 Wei, Jing I-474, I-506
Taylor, C. I-3 Wei, Lisheng II-272
Teng, Ru-Min II-330 Wen, Peihan I-50
Tian, Liting III-151 Wen, Yalan II-311
Tian, Xiao III-306 Wen, Yuhao III-274
Tian, Yan III-81 Weng, Daiyun I-221
Tong, Xiaoying I-121 Woods, Roger II-169, II-468
Trimble, Shane II-246 Wu, Junyong III-3, III-225
Wu, Li I-571
Ul Hassan, Jawad I-50 Wu, Pengcheng III-139
Wu, Shanjin III-46
Wan, Piao I-325 Xi, Jun II-491

Wang, Biao II-133 Xi, Yawen III-3
Wang, Chongchong I-561 Xia, Dan II-458
Wang, Dong I-418, I-428, I-440 Xiang, Min II-390
Wang, Fuji I-418, I-428, I-440 Xiang, Tao II-502
Wang, Haikuan II-525, II-536, II-546, II-555 Xiang, Tianchun III-192
Wang, Hakuan II-281 Xiao, Guijian I-221, I-363
Wang, Hao I-209 Xiao, Wenlei I-408
Wang, Hongqing III-173 Xiao, Youqiang III-247
Wang, Hongwei I-63 Xie, Dong II-525, II-546
Wang, Jiahui II-144 Xie, Linjun I-318
Wang, Ji-Zhao II-330 Xie, Wenrui III-116
Wang, Kun III-129 Xie, Yunhan I-332
Wang, Le II-281 Xin, Li II-225
Wang, Lei I-382 Xin, Qiang I-561
Wang, Li II-478 Xiong, Shiquan II-121, II-133
Wang, Ling II-311, II-365, III-14 Xiong, Shuping II-109
Wang, Long I-279 Xiong, Tianyu I-169, II-25
Wang, Pan I-50 Xiong, Weiqing I-179, I-198
Wang, Ping II-261 Xu, Binshi II-458
Wang, Qi I-428, I-440 Xu, Junfeng I-267
Wang, Qianggang III-274 Xu, Lei II-302
Author Index 329
Xu, Mengyao II-133 Zhang, Gen-bao I-451

Xu, Sheng II-272, III-314 Zhang, Hui II-443, III-163
Xu, Xin II-502 Zhang, Ji I-318
Xu, Zhu III-61 Zhang, Jianhua III-306
Xunbo, Lu II-225 Zhang, Jie I-84, I-548
Zhang, Jingxia III-81
Yan, Biwu II-205, II-215 Zhang, Jinhong I-484
Yan, Fangfei II-133 Zhang, Li I-382
Yan, Shiyong I-228 Zhang, Qian I-50, III-105, III-116
Yang, Aolei II-281, II-302, II-512 Zhang, Runzhi III-70
Yang, Baisong I-529 Zhang, Shaohua III-295
Yang, Ge II-89 Zhang, Sheng-yong I-451
Yang, Guilin I-548, I-561 Zhang, Xiaofeng II-512
Yang, Lujia I-249 Zhang, Xiaogang I-371
Yang, Min I-408 Zhang, Xiaoheng III-81
Yang, Su II-3, II-109 Zhang, Yanjin II-365
Yang, Wenwen I-146 Zhang, Yanjun I-484, I-494
Yang, Xiao III-236 Zhang, Yinfeng II-155
Yang, Yu II-321 Zhang, Yunhuai I-97
Yang, Zhile II-525 Zhang, Zhehan I-394
Yi, Qian II-109, II-121, II-133 Zhao, Gang I-408
Yi, Shijia I-465 Zhao, Xudong II-390
Yi, Shuping II-109, II-121, II-133 Zhao, Yuanfang I-13
Yin, Cheng II-400 Zhao, Zirui I-465, I-474, I-518
Yin, Mingjia II-419 Zheng, Lei II-205, II-215
Yin, Pengxiang II-205, II-215 Zheng, Min II-419
Yin, Xiaoyu I-332 Zheng, Shutao II-321
Yin, Yuan II-236 Zheng, Tianjiang I-548
Yongqin, Wang II-352 Zheng, Wei III-81
Yu, Gaofu III-46 Zheng, Xiaojun II-34
Yu, Guobing I-484, I-494 Zheng, Yujie II-429
Yu, Jiangyou I-318, I-325 Zhou, Bowen III-81, III-236
Yu, Jianqiang II-15 Zhou, Feixiang II-525, II-555
Yu, Jin III-24 Zhou, Fuli I-157
Yu, Lie I-529 Zhou, Hao I-169
Yu, Ziheng III-236 Zhou, Jie I-84
Yuan, Fang I-97 Zhou, Nianchen III-274
Yuan, Li-Ming I-84 Zhou, Peng II-342
Yuan, Yuan II-180 Zhou, Wenju II-302, II-512, II-546
Yuanxin, Luo II-352 Zhou, Zhou II-443, III-163
Yue, Jun II-512 Zhu, Haoxiang II-191
Zhu, Honghao II-458
Zeng, Pu II-342 Zhu, Minjie III-173
Zhan, Qiang I-540 Zhu, Xiaowen III-3
Zhang, Anchuan II-121 Zhu, Yi III-116
Zhang, Bangjie I-318 Zhu, Yulin II-44
Zhang, Chi I-84, I-548 Zou, Ben III-306
Zhang, Chong I-440 Zou, Lai I-363
Zhang, Genbao I-63, I-371 Zuo, Lidan I-279

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Kang Li

Communications in Computer and Information Science 925

Advances in Green Energy

Minyou Chen Zhile Yang

Qun Niu (Eds.)

Advances in Green Energy

ISSN 1865-0929 ISSN 1865-0937 (electronic)

Library of Congress Control Number: 2018953020

© Springer Nature Singapore Pte Ltd. 2018

September 2018 Fusheng Pan

Advisory Committee Members

I-Ming Chen Nangyang Technological University, Singapore

International Program Committee

Xiaoping Zhang University of Birmingham, UK

Special Session Chairs

Program Committee Members

Xiaozhi Gao Lappeenranta University of Technology, Finland

Chao Liu Centre national de la recherche scientiﬁque, France

Guangming Sun Beijing University of Technology, China

Jingqi Yuan Shanghai Jiao Tong University, China

Chongqing Association for Science and Technology, China

Chongqing University, China

Southeast University, Beijing Institute of Technology, Dalian University of Technol-

Research on Refined Load Forecasting Method Based on Data Mining . . . . . 3

Water Level Control of Nuclear Power Plant Steam Generator Based on

Characteristics Investigation for Hydro-Mechanical Compound

A Novel Wind Power Accommodation Strategy Considering User

Research on Operational Reliability of Digital Control Device

Research on Torsional Vibration Suppression of Electric Vehicle Driveline. . . . 61

Exploring a Sustainable Business Routing for China’s New Energy

Large-Scale Electric Vehicle Energy Demand Considering Weather

Siting and Sizing of Distributed Generation and Electric Vehicle

Real-Time Adjustment of Load Frequency Control Based on Controllable

An Orderly Charging and Discharging Scheduling Strategy

Technological Updating Decision–Making Model for Eco–Factory

A Configurable On-Line Monitoring System Towards Energy

Research on a Multi-scenario Energy Efficiency Evaluation Method

Green Supply Chain Management Information Integration Framework

Design of Temperature Monitoring System with Low Power Consumption

FRA and EKF Based State of Charge Estimation of Zinc-Nickel Single

An Approach to Propose Optimal Energy Storage System in Real-Time

The Electrochemical Performance and Applications of Several Popular

A Large-Scale Manufacturing Method to Produce Form Stable Composite

Power System Analysis

Research on Smart Grid Comprehensive Development Level Based

Distributed Accommodation for Distributed Generation – From the View

A New Out-of-Step Splitting Strategy Based on Compound Information . . . . 247

Risk Assessment of Voltage Limit Violation Based on Probabilistic

Power Consumption Strategy in Smart Residential District

Design of Low-Resonance Fast Response DC Filter for Enhancing Voltage

Analysis for the Influence of Electric Vehicle Chargers with Different

Generation Capacity Planning with Significant Renewable Energy

A Multiple Model Control Method of Coal-Fired Power Plant

Communication Network Planning with Dual Network Coupling

Author Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325

Abstract. Load forecasting is a basic work of power system dispatching. With

Keywords: Load forecasting Data mining Support Vector Machines (SVM)

Project Supported by ABB China Research Institute (No. ABB20171128REU-CTR).

© Springer Nature Singapore Pte Ltd. 2018

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