Conference Proceeding of IESA-2014 PDF

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International Conference on Industrial

Engineering Science and Applications-2014
Contents
Paper ID
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Title of Papers
Progressive Failure Analysis of Laminated Composite Shells A Review
Application of Neural Network for Identification of Cracks on Cantilever Composite
Beam
Dynamic response of a simply supported beam with traversing mass
Mathematical modeling of steady state temperature distribution due to heat loss
from weld bead of a square butt joint
Computational Analysis of Shell Fluid of Shell and Tube Heat Exchanger Allowing
the Outcome of Baffles Disposition on Fluid Flow
Thermal Analysis of Porous Fin with Internal Heat Generation
Reliability Analysis of Two Lathe Machines Arranged in a Machining System
Genetic algorithm based performance analysis of 3-phase self-excited induction
generator
Comparative Study of Machining Processes by Process Capability Indices
Heat transfer analysis in porous fin of different profiles using Vibrational iteration
method
Patient Information implantation and reclamation from compressed ECG signal by
LSB watermarking technique
Vibration Characteristics of Rotating Simply Supported Shaft in Viscous Fluid
Diagnosis of Damage in Composite Beam Structures using Artificial Neural
Network with Experimental Validation
Finite Element Analysis of Hip Prosthesis for Identification of Maximum Stressed
Zone
Multi Channel Personal Area Network(MCPAN) Formation and Routing
Vibration analysis of a cracked Timoshenko beam
Silicon on Insulator based Directional, Cross Gap and Multimode Interference
Optical Coupler design
An Analysis of Short Term Hydrothermal Scheduling using Different Algorithms
Monitoring of the lung fluid movement and estimation of lung area using Electrical
Impedance Tomography: A Simulation Study
Multi-objective design of realistic load frequency control system using particle
swarm optimization
Hybridizing DE with PSO for Constrained Engineering Design Problems
Harmonic Distortion Optimization of Generalized A-Symmetrical Series/Parallel Multilevel
Converter with Fewer Switches
Detailed study and proposed restoration of damaged structural bracket supports for
three tier insulated piping system by using anchoring methodology in filter house
structure of solvent dewaxing unit
Design and Development of a Heating- Cooling Belt using Thermoelectric
Refrigeration for Medical Purposes
Power line filter design considering losses and parasitic characteristics of passive
lumped components
CFD analysis of cambered airfoil for H-rotor VAWT
Page No.
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015-020
021-025
026-031
032-036
037-041
042-045
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058-063
064-068
069-072
073-079
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085-090
091-096
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Modeling of active transformation of microstructure of two-phase Ti alloys during 139-144
hot working
Value Based Planning of Renewable DGs in Distribution Network Incorporating 145-150
Variable Power Load Model and Load Growth
Phase Angle Measurement using PIC Microcontroller with Higher Accuracy
151-154
Automatic Electronic Water Level Management System using PIC Microcontroller
155-158
Effect of Temperature on Photovoltaic Cell performance
159-161
Optimum Process Scheduling Using Genetic Algorithm in an Existing Machine 162-166
Layout
A review parametric performance of solar still
167-172
Differential Difference Current Conveyor (DDCC) Based Current mode Integrator 173-176
and Differentiator
Performance analysis of 2 stroke gasoline engine by using compressed air
178-181
Design of Wide Band Digital Integrator and Differentiator
182-185
Tracking Mobile Targets Through Wireless HART
186-190
Hysteresis Compensation using Modified Internal Model Control for Precise Nano 191-196
Positioning
Reversible Data Hiding using Wavelet Transform and Compounding for DICOM 197-201
Image
Study on Photovoltaic System for Isolated and Non-Isolated Source Cascaded Two 202-206
Level Inverter (CTLI)
Mass Measuring System Using Delay-and-Add Direct Sequence (DADS) Spread 207-210
Spectrum Method
Fault analysis of wind generator connected power system using differential equation 211-215
technique
Biomedical application using zigbee
216-218
Resonant Frequency of 300-600-900 Right Angle Triangular Patch Antenna with 219-222
and without Suspended Substrate
Model Free Adaptive Control in Industrial Process: An Overview
223-226
Simulation of IGBT fed Mirror Inverter based H.F. Induction Cooker
227-230
A Hybrid Intelligent Algorithm Applied in Economic Emission Load Dispatch 231-235
Problems
Performance assessment of power system by incorporating Distributed generation 236-241
and Static VAR compensator
A study of Performance Analysis on Multi-bus Power Grid Network Modeling
242-246
Reliability Assessment of Energy Monitoring Service for a Futuristic Smart City
247-252
Performance Characteristics of 2x50kwp Roof top PV Power Plant System
253-257
Multiple Distributed Generator allocation by modified novel power loss sensitivity 258-262
for loss reduction
A Novel Constraint Increasing Approach for solving Sudoku puzzle
263-267
Kinematic synthesis of six bar gear mechanism
268-272
A Simulation Based Geometrical Analysis Of MEMS Capacitive Pressure Sensors 273-277
for High Absolute Pressure Measurement
RAHSIS: A Tool for Reliability Analysis of Hardware Software Integrated Systems 278-283
Steel Fiber Reinforced Concrete in the service of Civil Engineering
284-289
Optimal Control of singular systems via Haar function
290-293
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Baseline Wander and Power Line Interference Removal in ECG Signal
294-297
Prediction of relative density of clean sand: A support vector machine approach
298-301
Strengthening of Structures using Glass Fibre Reinforced Plastic
302-306
Removal of sodium do-decylsulfate from waste water using adsoption on citrus 307-310
lemettioides
Design of Adiabatic Adder Structures for Low Power VLSI & DSP Applications
311-314
Variable Frequency Drives - a successful mode of speed control of AC motors
315-319
Using Appointment system to improve the loading process of trucks in a steel plant: 320-324
A simulation based case study
Productivity Improvement Through Line Balancing using Simulation
325-329
A Genetic Algorithm Trained Artificial Neural Network Based Selective Harmonic 330-335
Elimination Technique for Cascade Multilevel Inverters
Performance Analysis of Genetic Algorithm in Direction of Arrival of Wideband 336-339
Sources Over Wide SNR Range
Intelligent Co-ordinated Control for Boiler Turbine Unit
340-343
Vulnerability Assessment of Reinforced Concrete Buildings having Plan Irregularity 344-348
using Pushover Analysis
A comparative analysis of performance of three phase four wire DSTATCOM 349-352
topologies for power quality improvement
How Ergonomics play an important role in productivity improvement of an 353-358
organization
Modeling and Simulation of YNVD Transformer for Single Phase Electrified 359-362
Traction System
Transient Response and Load Sharing Improvement in Islanded Microgrids
363-367
Intelligent Hybrid Fuzzy PD Control for Trajactory Tracking of Robot Manipulator 368-372
and Comparative Analysis
Improvement in DC- link Voltage of Doubly Fed Induction Generator using SMES
373-377
Implementation of energy storage and FACT device with renewable power
378-381
generation system
Flexible pavement cost modeling for weak subgrade stabilized with fly ash and lime 382-386
Prediction of compression index of clay using artificial neural network
387-390
On the Directivity and Multiband Characteristics of Sierpinski Fractal on Bowtie
391-396
Power Quality Improvement Using DPFC Under Fault Conditions
397-401
Benchmarking and Analysis of the User-Perceived Performance of EPICS based 402-405
ICRH DAC
Power Flow Control in Smart Micro Grid using Fuzzy Controllers
406-409
Harmonics Mitigation with the help of Zsource Inverter based DVR
410-414
Assessment of Retailers quality in Dairy Supply Chain Using AHP Technique
415-419
Effect of Conflicting Vehicles on Service Delay Under Mixed Traffic Conditions
420-425
Defining Level of Service at Uncontrolled Median Openings through K-Medoid 426-432
Clustering
Optimum Design of FRP Rib Core Bridge Deck Panel using Gradient based 433-439
Optimization
Optimization design of FRP web core skew bridge deck system using Genetic 440-446
Algorithm
Progressive Failure Analysis of Laminated

Composite Shells A Review
Jayashree Sengupta
Post-Graduate Student: Department of Civil
Engineering
Jadavpur University
Kolkata, India
jaish.sengupta@gmail.com
Dipankar Chakravorty
Professor: Department of Civil Engineering
Jadavpur University
Kolkata, India
prof.dipankar@gmail.com
dchakravorty@civil.jdvu.ac.in
unaffected. The remaining laminae continue to take up load
till the ultimate strength is reached. A ply-by-ply progressive
analysis and the damage so done is analysed by the inclusion
of different failure criteria which allows for the identification
of the location of the failure.
AbstractComposite materials present striking potentials to

be tailored for advanced engineering applications. Thin walled
composite panels are one of the most utilized structural elements
in construction. The increasing use of the composites necessitates
for the precise and viable methods of analysis- the life prediction
being an important issue. The initiation and propagation of
failure until final fracture of the structure assesses the life of the
structure. Unnoticed internal failures may lead to fatal collapse,
thus making first ply and progressive failure of much concern to
researchers. This paper addresses the various literatures that
have been published so far associated with the progressive failure
of the composite laminated shells; also it reflects the five failure
theories working behind.
Keywordsprogressive failure; laminated composites; plates;
shells; first-ply failure; literature review.
II.
I.
S
E
The failure mechanisms are best understood at micro level.

However on a macroscopic level, the failure analysis is more
intricate. Upon the application of loads, the laminate
undergoes stresses closely related to the properties of the
constituent phases, i.e., matrix, fibre, and interface-interphase.
The first ply failure occurs when stresses in the weakest
lamina exceed the allowable strength of the same changing the
material properties. For a composite construction it is thus
crucial to locate this change. A composite material undergoes
transition in multiple phases. At first-ply failure, redistribution
of stresses occurs within the remaining laminae of the
laminate. This does not necessarily mean that the whole of
lamina has undergone failure; it only indicates the initiation.
The laminate will be termed as damaged with degraded
properties. The constitutive relations are changed followed by
reduction in stiffness. The stiffness of the failed lamina is not
taken into account and the rest are considered to remain
Tsai and Wu [1] were the first to present that an

operationally simple strength criterion cannot possibly explain
the actual mechanisms of failures. Failures are but a multitude
of independent and interacting mechanisms. They made use of
strength tensors fulfilling the invariant requirements of
coordinate transformation; interaction terms were treated as
independent components and the difference in strengths owing
to positive and negative stresses were accounted for making it
way too improved than the Hill criterion wherein the
interactions were not independent of each other. Previously,
most initial failure analyses was concerned with the in-plane
loading cases, perhaps because of being more governing in
laminated structural elements. But Turvey [2] focused his
study where flexural load dominated limiting his research to
high modulus GFRP and CFRP and cross-ply symmetric
configurations. He considered Tsai-Hill failure criterion as it
is in good correlation for the GFRP laminates; expressed both
the deflection surface and lateral pressure deflection in Navier
double series form. Though his research was unrestricted on
grounds of loading, he however chose three cases viz.
uniformly distributed load, patch loading and hydrostatic
loading varying linearly.
4
1
INTRODUCTION
Over the last few decades, composite laminates are

exceedingly used in various engineering sectors like
construction, mechanical, aerospace and marine; their
advantages being their high strength and stiffness to weight
ratio, extended fatigue life and various other superior material
properties. Unlike isotropic materials, the composites bear a
complex response to loadings which can be analysed now by
FEM.
LITERATURE REVIEW
Reddy and Pandey [3] studied the first ply failure for the
laminated composite plates, subjected to in-plane and/or
transverse loading, the first order shear deformation theory
and a tensor polynomial failure criterion (emphasis was laid
on maximum stress, maximum strain, Tsai-Hill, Tsai-Wu and
Hoffmans criteria) to predict failure at elemental Gauss
points. They inferred that when the laminate was subjected to
in-plane loading all the failure criteria were capable of
predicting failure. However when the same was subjected to
transverse loading, maximum strain and Tsai-Hill happened to
have different results. The procedure that they depicted was an
iterative one; once the first-ply failure had occurred the load
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Copyright @ Department of Electrical Engineering, NIT Durgapur
Lees failure criterion. Sahid and Chang [16] developed a

model for predicting the effects of matrix crack induced
accumulated damage on the in-plane response of laminated
composites under tensile and shear loads. Echaabi et al. [17]
presented a theoretical and experimental study of damage
progression and failure modes of composite laminates under
three point bending.
was reduced by 20% and the process went on till the

difference between any two successive failure loads was less
than 1%. They extended their research on post first ply failure
emphasizing on the progressive analysis [4]. Tolson and
Zabaras [5] studied progressive failure in laminated composite
plates implementing seven degrees of freedom (three
displacements, two rotations of normal about the plate midplane, and two warps of the normal). The in-plane stresses
were calculated from the constitutive equations, but the
transverse stresses were assessed from the three-dimensional
equilibrium equations. The normal stress distributions were
calculated at each Gauss points. Thereafter the stresses were
employed in five failure criteria (maximum stress, Lee,
Hashin, Hoffman, and Tsai-Wu) and were checked against
whether failure had occurred or not. The Lee criterion gave
the best results.
Prior to this, Engblom and Ochoa [6] carried out PFA till
last ply failure; stiffness decrement and damage growth
followed standard laminate analysis. Analysis was carried out
on a plate subjected to uniaxial tension and four-point
bending. Chang and Chang [7] developed the progressive
damage analysis of notched laminated composites subjected to
tensile loading. The progressive failure method used a
nonlinear FEA using the modified Newton-Raphson iteration
scheme to work out the state of stress in a composite plate.
Chang and Lessard [8] studied the damage in laminated
composites containing an open hole subjected to compressive
loading, wherein the in-plane response of the laminates from
initial loading to final collapse was studied. A geometrically
non-linear formulation based on finite deformation theory was
used. Reddy and Reddy [9] computed linear and non-linear
first-ply failure loads of composite plates for different load
cases and edge conditions. The linear loads results varied by a
maximum of 35% and for non-linear loads it was 50%.
Besides, this difference was much large for thin laminates
subjected to transverse loading and quite small for thick
laminates subjected to in-plane loadings. They extended their
work [10] to nonlinear progressive analysis using the
Generalized Laminate Plate Theory (GLPT) of Reddy
applying a new stiffness reduction format.
Kim and Hong [11] studied macroscopic failure models

evaluating the stiffness changes employing shear lag factor
and fiber bundle failure. Tan and Perez [12] studied
progressive failure of laminated composites with holes,
subjected to compressive loading predicting the extent of
damage at any level of loading. Results showed good
assessment with the experimental results. Tan [13] had
previously developed progressive failure model of laminated
composites subjected to in-plane loading considering the
environmental impacts (thermal and hygroscopic stresses).
Kam and Sher [14] studied progressive failure of centrally
loaded laminated composite plates. The Ritz method, with
geometric non-linearity, in the Von Karman sense, was used
to construct the load displacement behaviour. Cheung et al.
[15] presented a PFA of composite plates by the finite strip
method based on higher order shear deformation theory and
4
1
S
E
Kim et al. [18] carried out PFA to predict the failure

strengths and failure modes (tension, shear-out and bearing)
which were judged against experimental data, of pin-loaded
laminated composite plates using the penalty finite element
method. Hashins failure criteria was performed for damage
evaluation in the laminates. Gummadi and Palazotto [19]
performed PFA of composite cylindrical shells with large
rotations based on Langrangian approach and the due changes
in the constitutive relations were discussed; considered failure
modes of matrix cracking, fiber breakage and delamination;
damage progression followed maximum stress criterion. The
stiffness matrix was determined based on Greens strain and
2nd Piola Kirchoff stresses. Greens strain was transformed to
Almansi strain which was further transformed into material
axis system and was used to determine the Euler stresses.
These Euler stresses were the key to failure determination.
Padhi et al. [20] presented their detailed study on progressive
failure and ultimate collapse of laminated composites using
Hashin and Tsai-Wus failure criteria. They made use of
Newton-Raphson Method with a force and moment residual
convergence of 0.5% and displacement correction
convergence of 1%. The model was capable of assessing type
and extent of damage all throughout.
Spottswood and Palazotto [21] determined the response
together with material failure of a thin curved composite shell
resisting transverse loading, incorporated simplified large
displacement/rotation (SLR) theory and compared the results
with previously published available data; failure criteria being
Hashins. Pal and Ray [22] carried out PFA under transverse
static loading in linear elastic range distinctively for both
antisymmetric and symmetric angle ply laminates. Knight Jr.
et al. [23] reviewed the overall computational issues and
requirements for performing PFAs using STAGS (Structural
Analysis of General Shells) for solving non-linear quasi-static
structural response problems including special details. Prusty
[24] studied unstiffened and stiffened composite panels under
transverse static loadings in the linear elastic range. Eightnoded isoparametric quadratic elements with three-noded
curved beam elements were modeled and checked against
various failure theories. Ultimate ply failure loads for the
stiffened panels with cross-ply and angle-ply laminations in
the shell was analyzed.
Akhras and Li [25] proposed a spline finite strip method
PFA of thick composite plates based on Chos higher order
zigzag laminate theory and Lees failure criterion. The
transverse shear stresses were obtained directly from the
constitutive equations; the shear correction factor was not
required as for the first-order shear theory. The procedure
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involved an incremental load analysis through modified

Newton-Raphson method and standard PFA method showing
good agreement with the 3D finite element solutions. Las and
Zemck [26] proposed a PFA model of unidirectional
composite panels using Pucks fiber and inter-fiber criteria
demonstrating the results with examples of tensile tests of
single-ply panels. Tapered laminated plates under the action of
uniaxial compression were investigated by Ganesan and Liu
[27] predicting different failure loads and the associated
displacements, locations and modes. The influences of the
tapered configuration, lay-up configuration, and fiber
orientation were also the concern of the study. Earlier,
Ganesan and Zhang [28] had conducted a detailed
investigation of the progressive failure of uniform thickness
laminates subjected to uniaxial compression. Singh et al. [29,
30, 31] also studied the progressive failure of uniform
thickness plates subjected to different loads. Progressive
damage analysis methodology for stress analysis of composite
laminated shells using finite strip methods based on Mindlins
plate-bending theory were addressed by Zahari and El-Zafrany
[32], where the non-linear equations were derived using the
tangential stiffness matrix approach; validation was done by
comparing the results with analysis in ABAQUS.
Sandwich composite panels under quasi-static impact were
investigated by Fan et al. [33]. Hashins and Besants criteria
were checked for different failure mechanisms. Ply
discounting method was employed as the strategy for material
degradation. Ahmed and Sluys [34] designed a computational
model presenting a mesoscopic failure model studying matrix
cracking, delamination and the combined effect. A mesh
independent matrix cracking was modeled with discontinuous
solid-like shell element (DSLS); delamination was presented
by a shell interface model. Besides material nonlinearities, the
numerical model simulated geometrical nonlinearities.
Anyfantis and Tsouvalis [35] studied post-buckling
progressive and final failure response of stiffened composite
panels using ANSYS. The intralaminar, fiber and matrix
failure modes in compression and tension were addressed
using a combined framework of Hashins and Tai-Wu failure.
The PFA method included intralaminar failures that
stimulated material degradation of the failed layers.
Pietropaoli [36] too worked on progressive failure of
composite structures using a constitutive model implemented
in ANSYS. Standard ply discount technique was used and the
onset and progression of damage was observed and the results
were validated against experimental results. Bogetti et al. [37]
studied the nonlinear response and progressive failure of
composite laminates under tri-axial loading. A program was
build and executed in MATLAB; this analyzed and displayed
the failure envelope. Philippidis and Antoniou [38] computed
a PFA model for glass/epoxy composite giving an extensive
comparison between numerically calculated stressstrain
response up to failure and experimental data. Crdenas et al.
[39] presented a reduced-order FE model suitable for PFA of
composite structures under dynamic aeroelastic conditions
based on a Thin-Walled Beam theory predicting both onset
and propagation of damage.
III.
A. Notations
FX
Overall Longitudinal Strength
FY
Overall Transverse Strength
FXT , FYT Tensile strength in X and Y direction
respectively
FXC , FYC Compressive strength in X and Y direction
respectively
FS
In-Plane shear strength
Normal stresses in X and Y direction
,
respectively
Shear stress in X-Y plane
Strain along X and Y direction respectively
,
Shear strain
Ultimate Strain along X and Y direction
,
respectively
Ultimate Shear strain
Generally failure criteria can be either non-interactive
(independent) or interactive (polynomial). An independent
criterion gives the mode of failure, be it longitudinal or
transverse, tensile or compressive or shear mode, and is
simple to apply. However, the effect of stress interactions is
ignored. The stress interactions are addressed by the
polynomial failure criteria; but in this case, the failure mode is
disregarded. The laminate may indicate failure using a noninteractive theory. If not so, the lamina should be checked
using the interactive failure. It may so happen that the
independent stresses do not initiate failure but their
interactions may. Hence it is best to check for failure through
both independent and non-interactive criteria.
4
1
S
E
FAILURE CRITERIA
B. Independent Failure Criteria

1) Maximum Stress Criteria: According to maximum
stress theory, the failure initiates if at least one of the criteria
is satisfied,
1,
1,
(1)
2) Maximum Strain Criteria: According to maximum

strain criteria failure occurs if any of the following is reached,
1,
1,
(2)
C. Interactive Failure Criteria

Failure can be predicted by the following tensorial form,
1
(3)
which when expanded in two dimensional form gives,
3 of 446
1
(4)
The failure indices for different theories are as follows.

TABLE I.
Failure
Tsai
Indices
Hill(a)
(a).
IV.
If
> 0,
FAILURE INDICES
Tsai Wu
= FXT else
Hoffmann
= FXC . Similarly if
> 0,
= FYT else
= FYC
PROGRESSIVE FAILURE ANALYSIS
To carry out PFA, it is necessary to determine the first ply

failure of the laminate. The material properties of the lamina,
mechanical loading i.e. forces and moments, and layer
orientation are read. Based on the inputs, the stresses at each
Gauss point within individual lamina were evaluated and are
verified with the failure criteria to check any possible failure.
If any failure had occurred, the material properties at that
point were modified with accordance to the observed failure
mode, and the stresses were recalculated at FPF load, using a
property degradation technique- (A) Total-Ply Failure Method
and (B) Partial-Ply Failure Method. Thereafter, a check is
performed to see whether the second ply fails at FPF load, if
not, a load increment is performed and with the reduced
stiffness the process continues till the ultimate failure load
occurs and at that stage convergence of stresses cannot be
achieved numerically . A typical PFA is demonstrated in Fig.
1.
S
E
A. Total Ply Failure Method

On reaching the failure, the strength and stiffness of the
failed ply is totally reduced to zero. This implies that if the ply
undergoes matrix failure, it is no longer able to carry load in
fibre direction, which, may not be the case. Thus this method
somehow underestimates the laminate strength.
B. Partial Ply Failure Method
In this approach, the failure mode is taken into account. If
the ply fails due to fibre failure, the stiffness of the failed ply
is reduced to zero. However, if it is a matrix controlled failure
or shear failure, the longitudinal modulus retains its value but
the transverse and shear modulus are set to zero.
4
1
Fig. 1. Flowchart of Progressive Failure Analysis Methodology
V.
CONCLUSION
Various literatures on laminated composite structures and are

studied in this paper. It is visibly evident that prediction of the
failure process, the initiation and growth of the damages, and
the maximum loads that the structures can withstand before
failure occurs is essential for assessing the performance of
composite laminated plates and for developing reliable and
safe design. It is found that such studies on beams and plates
have appeared in quite a number of places although similar
studies on composite shells are really scarce. Hence failure
analyses of composite shells need careful attention.
Cylindrical and spherical shells enjoyed quite an importance;
however their evaluation on progressive failure is still an area
of interest. Industrial shell forms like conoids and skewed
hypar need attention as well. These shells are ruled, doubly
curved, aesthetically appealing and easy to cast and fabricate.
Hypar shell has wide applications in engineering and was studied
by a number of researchers like Kielb et al. [40], Seshu and
Ramamurti [41] and Qatu and Leissa [42]. Researchers like Das
and Chakravorty [43-46, 48] and Kumari and Chakravorty [48,
49] also studied behavioral characteristics of laminated conoidal
shells. These shell forms are to be studied for failure also.
4 of 446
[22] P. Pal and C. Ray, Progressive Failure Analysis of Laminated Composite
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of Composite Materials
Mukhopadhyay, University Press.
and
Structures
by
Madhujit
[51] Engineering Mechanics of Composite Materials by Isaac M. Daniel and Ori

Ishai, Oxford University Press.
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Application of Neural Network for Identification of Cracks on Cantilever

Composite Beam
Irshad A Khan
Adik Yadao
Dayal R Parhi
Mechanical Engg. Department

National Institute of Technology
Rourkela, India
irshadak85@gmail.com

Rourkela, India
adik.mech@gmail.com

Rourkela, India
drkparho@nitrkl.ac.in
Abstract In the current analysis numerical and neural

network methods are adopted for detection of crack in a
cantilever composite beam structure containing non propagating
transverse cracks. The presence of cracks a severe threat to the
performance of structures and it affects the vibration signatures
(Natural frequencies and mode shapes). The material used in this
analysis is glass-epoxy laminated composite. The numerical
analysis is performed by using commercially available software
package ANSYS to catch the relation between the change in
natural frequencies and mode shapes for the cracked and uncracked cantilever composite beam. Which subsequently used to
the design of smart system based on neural network for
prediction of crack depths and locations following inverse
techniques. The neural controller is developed with relative
natural frequencies and relative mode shapes difference as input
parameters to calculate the deviation in the vibration parameters
for the cracked dynamic structure. The output from the neural
controller is relative crack depth and relative crack location.
Results from numerical analysis are compared with experimental
results having good agreement to the results predicted by the
neural controller.
I. INTRODUCTION
Health monitoring and the analysis of damage in the form of

crack in Beam like dynamic structures are important not only
for leading safe operation but also retraining system
performance. Since long efforts are on their way to find a
realistic solution for crack detection in beam structures in this
regard many approaches have so far being taken place. When
a structure suffers from damages, its dynamic properties can
change. Crack damage leads to reduction in stiffness also with
an inherent reduction in natural frequency and increase in
modal damping.
Discrete Wavelet Transform based method is presented for the
identification of multiple cracks in polymeric laminate
composite beam by Andrzej K., [1]. The valuation of the crack
locations is based on the estimation of natural mode shapes of
crack and uncrack beams. The mode shapes were estimated
experimentally using laser Doppler vibrometry. Krawczuk M,
et al. [2] proposed two models witch gives valuable
information about the location and size of defects in the
beams. This method makes it possible to construct beam finite
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Keywords Crack; neural network; Natural frequencies; Mode

shapes; Ansys.
elements with various types of cracks (double edge, internal,

etc.) If the stress intensity factors for a given type of crack are
known. Damage identification on a composite cantilever beam
through vibration analysis using finite element analysis
software package ANSYS is established by Ramanamurthy et
al. [3]. Damage Algorithm and Damage index method used to
identify and locate the damage in the composite beam. A
composite matrix cracking model is implemented in a thinwalled hollow circular cantilever beam using an effective
stiffness approach by Pawar et al. [4]. The composite beam
model is used to develop a genetic fuzzy system to detect and
locate the presence of matrix cracks in the structure.
Continuous wavelet transform is used to identification of
crack in beam like structures by analysing the natural
frequency and mode shape of cracked cantilever beam by Rao
et al. [5]. The effects of cracks on the dynamic characteristics
of a cantilever composite beam are studied by Kisa M. [6].
The material of composite beam is graphite fibre-reinforced
polyamide containing multiple transverse cracks. The effects
of the crack location and depth and the fibre volume fraction
and orientation of the fibre on the natural frequencies and
mode shapes of the beam are explored. Two Damage
identification algorithms are established for assessment of
damage using modal test data which are similar in concept to
the subspace rotation algorithm or best feasible modal analysis
method by Hu et al. [7]. Moreover, a quadratic programming
model is set up the two methodologies to damage assessments.
II. NUMERICAL ANALYSIS
The numerical analysis is brought out for the cracked
cantilever composite beam shown in fig1, to locate the mode
shape of transverse vibration at different crack depth and crack
location. The cracked beams of the current research have the
following dimensions.
Length of the Beam (L) = 800mm, Width of the beam (W) =
50mm, Thickness of the Beam (H) = 6mm
Relative crack depth (1=a1/H) varies from 0.0833 to 0.5;
Relative crack depth (2=a2/H) varies from 0.0.833 to 0.5;
Relative crack location (1=L1/L) varies from 0.625 to 0.875;
Relative crack location (2=L2/L) varies from 0.125 to 0.9375;
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a1
L1
L2
a2
H
L
Fig. 1 Geometry Cantilever beam with multiple cracks
Properties of Glass-Epoxy composite material in analysis:

Youngs modulus of fiber = Ef = 72.4 GPa; Youngs modulus
of matrix = Em = 3.45 GPa;
Modulus of rigidity of fiber = Gf = 29.67 GPa; Modulus of
rigidity of matrix = Gm = 1.277 GPa;
Poissons ratio = f = 0.22; Poissons ratio = m = 0.35;
Density of fiber = f = 2.6 gr/cm3; Density of matrix = m =
0.33 gr/cm3;
Numerical modal analysis based on the finite element
modeling is performed for studying the dynamic response of a
dynamic structure. The natural frequencies and mode shapes
are significant parameters in designing a structure under
dynamic loading conditions. The numerical analysis is
accepted by using the finite element software ANSYS in the
frequency domain and obtain natural frequencies, and mode
shapes.
A higher order 3-D, 8 node element having three degrees of
freedom at each node: translations in the nodal x, y, and z
directions (Specified as SOLSH190 in ANSYS) was selected
and used throughout the analysis. Each node has three degrees
of freedom, making a total twenty four degrees of freedom per
element. The layers stacking in ANSYS shown in fig2. The
results of the numerical analysis for the first three mode
shapes for un-cracked and cracked beam, having cracks
orientation 1=0.166, 2=0.333 and 1=0.25, 2=0.5 are shown
in the fig3.
Fig.3a. Relative Amplitude vs. Relative crack location from

fixed end (1st mode of vibration)
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Fig.3b. Relative Amplitude vs. Relative crack location from

Fig.3c. Relative Amplitude vs. Relative crack location from

Fig.2 Layers Stacking in ANSYS
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III. NEURAL NETWORK ANALYSIS

A back-propagation neural controller has been developed for
detection of the relative crack locations and relative crack
depth having six input parameters and two output parameters
as shown in fig. 4. The term used for the inputs are as follows;
Relative first natural frequency = rfnf; Relative second
natural frequency = rsnf; Relative third natural frequency =
rtnf; Relative first mode shape difference = rfmd; Relative
second mode shape difference = rsmd; Relative third mode
shape difference = rtmd. The term used for the outputs are as
follows; Relative first crack location = rcl1 Relative second
crack location = rcl2 Relative first crack depth = rcd1
Relative second crack depth = rcd2
Fig. 5 Multilayers feed forward back propagation neural model for

damage detection
IV. EXPERIMENTAL INVESTIGATION

To validate the numerical analysis result, an experiment on
composite beam has been performed shown in fig 6. A
composite beam was clamped at a vibrating table. During the
experiment the cracked and un-cracked beams have been
vibrated at their 1st, 2nd and 3rd mode of vibration by using an
exciter and a function generator. The vibrations characteristics
such as natural frequencies and mode shape of the beams
correspond to 1st, 2nd and 3rd mode of vibration have been
recorded by placing the accelerometer along the length of the
beams and displayed on the vibration indicator. The
experimental results are in close justification with neural
analysis results. These results for first three modes are plotted
in fig7. Corresponding numerical results for the cracked and
un-cracked beam are also presented in the same graph for
comparison. The comparison of results between neural
controller, numerical, experimental analysis shown in table1.
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Fig.4 Neural model
A. Neural controller mechanism for crack detection
The neural network used is a ten-layered perceptron. The

chosen numbers of layers are found empirically to facilitate
training. The input layer has six neurons, three for first three
relative natural frequencies and other three for first three
average relative mode shape difference. The output layer has
four neurons, which represents relative crack locations and
relative crack depths. The first hidden layer has 12 neurons,
the second hidden layer has 36 neurons, the third hidden layer
has 50 neurons, the fourth hidden layer has 150 neurons, the
fifth hidden layer has 300 neurons, the sixth hidden layer has
150 neurons, the seventh hidden layer has 50 neurons, and the
eighth hidden layer has 8 neurons. These numbers of hidden
neurons are also found empirically. Fig 5 depicts the neural
network with its input and output signals.
Fig.6 Schematic block diagram of experimental set-up
1. Data acquisition (Accelerometer); 2. Vibration analyser;

3. Vibration indicator embedded with software (Pulse Labshop);
4. Power Distribution; 5. Function generator; 6. Power amplifier;
7. Vibration exciter; 8. Cracked Cantilever Composite beam
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V. CONCLUSION
The conclusions derived from the various analyses as
mentioned above are depicted below.
1. The Numerical analysis results are well agreed with
neural analysis results.
2. The investigation of vibration signatures of the
cracked and un-cracked composite beam shows a
variation of mode shapes and natural frequencies.
3. The numerical analysis and neural analysis results are
compared with the experimental results. They have
good judgment.
4. The present method can be engaged as a health
diagnostic tool for vibrating faulty structures.
5. Proposed health monitoring technique can be used for
composite as well as isotropic material.
Fig.7a. Relative Amplitude vs. Relative crack location from
VI. REFERENCES
[1]
[2]
[3]
4
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Fig.7b. Relative Amplitude vs. Relative crack location from

fixed end (2nd mode of vibration)
A. Katunin, Identification of multiple cracks in composite beams

using discrete wavelet transforms, Scientific Problems of
Machines Operation and Maintenance, vol. 2(162), pp. 41-52,
2010.
M. Krawczuk, and W. M Ostachowicz, Modelling and vibration
analysis of a cantilever composite beam with a transverse open
crack, Journal of Sound and Vibration, vol. 183(1), pp. 6989,2005.
E.V.V. Ramanamurthy, and K. Chandrasekaran, Vibration
analysis on a composite beam to identify damage and damage
Severity using finite element method, International Journal of
Engineering Scie and Techno, vol. 3, pp. 5865-5888, 2012.
P. M. Pawar and R. Ganguli, Matrix Crack Detection in Thinwalled Composite Beam using Genetic Fuzzy System, Journal of
Intelli Material Sys and Struct, vol. 16(5), pp. 395 -409, 2005.
Rao, D.Srinivasa. Rao, K. Mallikarjuna, G.V. Raju, Crack
Identification on a beam by Vibration Measurement and Wavelet
Analysis, International Journal of Engineering Science and
Technology vol. 2(5), pp.907-912, 2010.
M. Kisa, Free vibration analysis of a cantilever composite beam
with multiple cracks, Composites Science and Technology, vol.
64(9), pp. 1391-1402, 2004.
N. Hu, X. Wang, H. Fukunaga, Z.H Yao, H.X. Zhang, Z.S.Wu,
Damage Assessment of structures using modal test data,
International Journal of solids and structures, vol. 38(18), pp.
3111-3126, 2001.
[4]
[5]
[6]
[7]
Fig.7c. Relative Amplitude vs. Relative crack location from

fixed end (3rd mode of vibration)
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0.9989
0.9944
0.9989
0.9986
0.9973
0.9857
0.9985
0.9958
0.9981
0.9981
0.9989
0.9980
0.9993
0.9979
0.9997
0.9987
0.9988
0.9871
0.9974
0.9881
0.9975
0.9937
0.9978
0.9889
0.0046
0.0065
0.0017
0.0048
0.0012
0.0126
0.0017
0.0036
0.0019
0.0069
0.0025
0.0267
0.0026
0.009
0.0021
0.0346
0.0162
0.0247
0.0079
0.0152
0.0752
0.0732
0.0082
0.0132
0.22
0.426 0.374
0.321 0.373
0.48
0.26
0.48
0.21
0.19
0.71
0.626 0.413 0.372 0.24 0.624
0.624 0.329 0.371 0.46 0.622
0.731 0.46
0.20
0.164 0.243 0.233 0.511 0.162 0.22
0.412
0.327
0.44
0.163
0.329
0.49 0.331 0.123 0.413 0.47
0.334 0.124 0.414
0.47
0.162
0.163 0.373 0.242 0.623 0.163 0.373 0.22 0.621
0.21
0.163
0.22
0.176 0.353 0.242 0.625 0.164 0.372 0.24 0.623

rcl2
0.74
0.21
0.26
rcd1
0.370
0.370
0.19
0.23
0.121
0.371
0.370
0.21
rcl1
0.23
0.45
0.18
0.22
0.412
0.21
0.22
0.410
rcd2
0.623
0.620
0.69
0.48
0.46
0.620
0.621
0.72
rcl2
Experimental relative
1st crack depth rcd1
1st crack location rcl1
2nd crack depth rcd2,
2nd crack locationrcl2
0.23 0.412 0.73
0.26
0.415
Neural Controller
Numerical relative
Average Average
Average
st
1st crack depth rcd1
Relative Relative Relative Relative
Relative
Relative relative1 crack depth rcd1
first
second
third
first
second
third
nd
2 crack depth rcd2,
2nd crack depth rcd2,
natural
natural
natural
mode
mode
mode
nd
nd
locationrcl2
2
crack
2
crack locationrcl2
frequency frequency frequency shape
shape
shape
fnf
snf
tnf difference difference difference
fmd
smd
tmd
rcd1 rcl1
rcd2
rcl2 rcd1 rcl1 rcd2 rcl2
Table1. Comparison of results between Neural controller, numerical and experimental analysis
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Dynamic response of a simply supported beam with

traversing mass
Shakti.P.Jena
Dayal R.Parhi
Mechanical Engineering Department

Rourkela, Odisha, India
shaktipjena@gmail.com
Mechanical Engineering Department

Rourkela, Odisha, India
dayalparhi@yahoo.com
Abstract- In the present research, A theoretical- computational

technique has been developed to evaluate the dynamic response of a
simply supported beam subjected to a traversing mass with different
boundary conditions. The effects of speed of the moving mass on the
dynamic response of the beam have been investigated and the critical
influential speed (CIS) of the beam also found out. The governing
equation of motion of the structures has been converted into a series
of coupled ordinary differential equation and solved by fourth order
Runge-Kutta technique.
Keywords- Traversing mass, dynamic response, CIS, RungeKutta Technique
Introduction : A traversing mass produces larger beam
deflections and stresses than that of the same mass applied
statically. Hence the analysis of structures subjected to
traversing mass is of important problem. These deflections and
stresses are the function of both velocity and time of the
moving mass.The dynamic analysis of structures under
moving loads has been an interesting subject of various
researches over the last decades.Its mainly due to
improvement of new high-speed vehicles and general drive to
improve the active communications.
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Jeffcott [1] has first developed a technique to get the

inexact solution for the problem of vibration with the action of
moving and variable loads. Stanisic et al. [2] developed a
theory to calculate the response of a plate to a multi-masses
moving structure by Fourier transformation technique. The
analysis shows that for the same natural frequency of the plate,
the resonance is reached prior by considering the moving
multi-masses system than by moving multi-forces system.
Stanisic and Hardin [3] have examined to find out the response
of a simple supported beam subjected to random no of moving
masses by Fourier technique in the existence of external load.
Stansic and Euler [4] have investigated an article to describe
the dynamic response of the structures with moving masses
using operational calculus method. Akin and Mofid [5] have
developed an analytical-numerical method to compute the
dynamic response of beams subjected to moving mass with
arbitrary boundary states by variable separable technique and
compared the results to finite element analysis (FEA). Olsson
[6] has investigated the dynamic response of a simply
supported beam with a continuous traversing load at constant
velocity. Parhi and Behera [7] have investigated the dynamic
deflection of a cracked beam with moving mass by RungeKutta technique and the energy method.
Ichikawa et al. [8] have investigated the response of a multi

span Euler-Bernoulli beam carrying moving mass by using
Eigen function technique and direct integration method
combinedlly. Siddiqui et al. [9] have analyzed the dynamic
characteristics of a flexible cantilever beam with moving masssprung system by using perturbation, time-frequency and
numerical methods. Azam et al. [10] have investigated the
response of a Timoshenko beam under moving mass and
moving sprung structures. Bilello et al. [11] have developed a
scale-model experiment to analyze the response of a mass
traversing on a Euler-Bernoulli beam by the application of
theory of structural models. Lee and Renshaw [12] have
investigated a new solution method to solve the moving mass
structures problem for non conservative, linear, distributed
parameter systems using complex Eigen function expansions.
Sniady [13] has studied the dynamic response of a simple
supported Timoshenko beam acted upon by a force traversing
with constant speed. Esmailzadeh and Ghorashi [14] have
studied the reaction of a Timoshenko beam subjected to a
constant partly disseminated travelling mass. Dehestani et al.
[15] have analyzed the necessity of Coriolis acceleration
associated with the moving mass during the motion along the
vibrating beam and the response of Timoshenko beam along
with moving mass by introducing the coefficient of influential
speed.
In the present paper, the dynamic deflection of a simple
supported beam with moving mass has been determined and
the consequences of speed on the beams response also found
out. The analysis has been carried out with constant mass
magnitude at different velocities.
Problem Formulation:
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Considering a simply supported beam subjected to a moving

mass M with velocity V. It is assumed that during the
course of motion there is no separation between the moving
mass and the beam .So the transverse of the moving mass with
respect to the beam is ignored here.
Nomenclature:
L=Beam Length, m=Beam mass per unit length, M=Mass of
the moving object, V (t) =Velocity of the moving mass with
respect to time, I=Constant moment of inertia, =Distance
travelled by the traversing mass from the fixed end.
y(x,t)=Deflection of the beam at point of consideration with
respect to time. Tn (t ) Function of time. n ( x) Eigen
By using the properties of Dirac Delta function and principle

of orthogonality of p(x)
M
Sp (t )
Vp
2 y
t
M [ g V 2
2 y
x
2V
Where = Dirac delta function

L
2 y 2 y
] ( x )
t x t 2
f ( x) ( x )dx 0
iv
EI n ( x )Tn (t ) m n ( x )Tn , tt (t )
n 1
n 1
M
2
n ( x ) V [ g V q1 q ( )Tq (t )
n 1
2V ( )T (t )
)
T
(
t
)]
)
q
q,t
q
q , tt
n
q 1
q 1
(1)
0 L
, <0 , >0
Considering the solution of eqn in series form and by variable

separation method, the eqn (1) can be rewritten as
n ( x )Tn (t )
(2)
n 1
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Tn (t ) Function of of time or amplitude function

to be calculated.
They may be again written as in the form of
iv ( x) 4 ( x) 0
n 2
n EI
(3)
2 y
2 y 2 y
2V
] ( x )
2
tx t 2
x
( x) S
n
(4)
n 1
Putting the values of eqn (2) in eqn (4), arranging the

eqn (4) we can write:
M [ g V 2
//
( x)Tn (t ) 2V
n 1
( x)Tn,t
n 1
( x)T
n
M
4
EI n Tn (t ) mTn,tt (t )
Vn
2
//
/
n ( x ) [ g V q ( )Tq (t ) 2V q ( )Tq ,t (t ) 0
n 1
q 1
q 1
q ( )Tq,tt (t )]n ( )
Now the above equation may be reduced to :
4
1
M
EI n 4Tn (t ) mTn, tt (t )
Vn
2V
q 1
q / ( )Tq, t (t )
2
[
V
q // ( )Tq (t )
q 1
(11)
q ( )Tq, tt (t )]n ( ) 0
q 1
Beam Type- Mild Steel, Beam size = (80.350.02) m, n=3

Moving mass= 480 kg.
n, tt (t )] ( x )
n 1
( x)S (t )
n
(5)
n 1
Multiplying both sides of eqn. (5) p(x) and integrating over

Entire beam length
2
n // ( x)Tn (t ) 2V n / ( x)Tn,t (t )
M [ g V
L
n 1
n 1
dx
o
n ( x)Tn, tt (t )] p ( x) ( x )
n 1
S (t ) ( x)
n
n 1
(6)
Diflection at the midspan(mm)
(10)
The equation (11) must satisfy for every values of x and it is

solved by 4th order Runge-Kutta Method.
Numerical Study: For the numerical analysis the dynamic
analysis of the simply supported beam has been carried out
and the CIS value of the corresponding beam with moving
mass has been found out.
The R.H.S of equation (1) can be written in a series form :

M [ g V 2
(9)
Where
(8)
Substituting the values of eqn. (7) and (5) in eqn. (1),To get the
values of Tn (t )
n p
n p
Now applying equation (3) in equation (9);
f ( x) ( x ) dx f ( ) ,
y ( x, t )
n , tt (t )] p ( )
V p
n ( x) p ( x)dx
0,
0
(7)
( )T
Considering constant moment of inertia and neglecting the

damping effect, the principal equation of motion of the beam
with moving mass using Euler Bernoullis is given by
4
n 1
Theoretical Study:
4 y
functions of the beam (without M) with the same boundary

conditions. n= Number of modes of vibration.
EI
n / ( )Tn, t (t )
[ g V 2 n // ( )Tn (t ) 2V
n 1
n 1
Timet in Sec (Hinged-Hinged Beam)
13 of 446
Deflection at midspan (mm)
Vol.115(1),pp.120-132.
6. M.Olsson, On The Fundamental Moving Load Problem, Journal of sound
and vibration, 1991, Vol. 145(2), pp.299-307
7. D.R Parhi and A.K.Behera , Dynamic deflection of a cracked beam with
moving
masses,
Journal
of
mechanical
engineering
science,1997,Vol.211,pp.77-87.
8. M. Ichikawa, Y.Miyakawa and A. Mastuda , Vibration analysis of a
continuous beam subjected to a moving mass, Journal of Sound and Vibration,
2000,Vol.203(4),pp..493-506.
9. S.A.Q. Siddiqui, M. F . Golnaraghi and G.R.Heppler , Dynamics of a
flexible beam carrying a moving mass using perturbation ,numerical ,timefrequency analysis technique, Journal of Sound and Vibration,
2000,Vol.229(5),pp.1023-1055.
10. S. Eftekhar Azam , M. Mofid and R. Afghani Khoraskani , Dynamic
response of Timoshenko beam under moving mass , Scientia Iranica , 2013,
Vol. 20 (1), pp.5056.
11.Cristiano Bilello, Lawrence A. Bergman and Daniel Kuchma ,
Experimental Investigation of a Small-Scale BridgeModel under a Moving
Mass , Journal of Structural Engineering ,2004, Vol.130(5),pp.799-804.
Timet in Sec(Fixed-Fixed Beam)
Results and Discussion: The CIS may be analysed as the

velocity of the traversing mass at which the structure produces
maximum deflection with time variation. The dynamic
response of the simply supported structures of hinged-hinged
& fixed-fixed type with various velocities have been examined
and the deflection at the mid span of the beam also calculated.
It has been observed that for the hinged-hinged type beam
115m/s and for the fixed-fixed type simply supported beam
215m/s is the critical influential speed of the beam. It has been
observed that if we are increasing the speed of the moving
mass beyond the CIS value, the beam deflection will start
decreasing. The consequence of critical speed and the inertia
pertaining to the traversing mass has also been studied. The
displacement of the traversing mass and the structure under
the location of the moving object are calculated in terms of
timet.
12. K.Y. Lee and A. A. Renshaw , Solution of the Moving Mass Problem
Using Complex Eigen function Expansions ,Journal of Applied
Mechanics,2000,Vol.67, pp.823-827.
13. Pawel Sniady , Dynamic Response of a Timoshenko Beam to a Moving
Force , Journal of Applied Mechanics, 2008, Vol.75, pp.24503(1-4).
14. E. Esmailzadeh and M . Ghorashi , Vibration analysis of a Timoshenko
beam subjected to a Travelling mass, Journal of Sound and Vibration,1996,
Vol.199(4),pp. 615-628.
15. M. Dehestani, M. Mod and A. Vafai , Investigation of critical inuential
speed for moving mass problems
On beams, Journal of Applied Mathematical Modelling,2009, Vol.33,pp3885-3895.
16. L.Fryba, Vibration of solids and structures (1999), Third Edition, Thomas
Telford Ltd , Prague
17. W.T.Thomson, Theory of Vibration with Application (2002) Third
Edition.CBS Publishers , New Delhi.
4
1
S
E
Conclusion: The dynamic response of simply supported
beam with various velocities at different boundary conditions

has been investigated theoretically and computationally. The
CIS value of the corresponding beam also calculated from the
beam deflection. The deflection of the beam mainly depends
upon the velocities of the moving object.
References:
1. Jeffcott.H ; On the vibration of beams under the action of moving loads,
Philosophical magazine series7. 1929, Vol.8 (48),pp.66-97.
2. M. M. Stanisic, Baltimore, Md., J. C. Itardin and Y. C. Lou, Lafayette, Ind.
On the response of the plate to a multi-masses moving system, Acta
Mechanica, 1968,vol.5,pp.37-53.
3.M.M Stanisic and Hardin.J.C,On the response of beams to an atbitry number
of moving masses, J.Franklin Institute,1969,Vol.187(2),pp.115-123.
4. M.M.Stanisic,On the dynamic behavior of the structures carrying moving
masses,Ingenieur-Archiv of Applied Mechanics,1985,Vol.55(3),pp.176-185.
5. John E.Akin and Massood Mofid,Numerical solution for the response of
beams with moving mass, Journal of Structural Engg,1889,
14 of 446
Mathematical modelling of steady state

temperature distribution due to heat loss
from weld bead of a butt joint
Jaideep Dutta, Postgraduate Research Scholar
Narendranath S., Professor
Department of Mechanical Engineering

National Institute of Technology Karnataka,
Surathkal
Mangalore, India
Email-id: duttajd1212@gmail.com

National Institute of Technology Karnataka,
Surathkal
Mangalore, India
Email-id: snnath88@yahoo.co.in
AbstractIn this paper a steady state non-linear

analytical thermal analysis has been carried out to
determine the temperature distribution due to heat loss
from weld bead formed in a butt weld joint. The
perturbation method has been incorporated to judge the
nature of temperature distribution from the weld pool
towards the longitudinal direction of the rectangular
plate. The analysis has introduced non-dimensional
variable in conjunction with variable thermal
conductivity. For two different materials, stainless steel
of grade AISI 316 and low carbon steel of grade AISI
1005, the temperature distribution phenomena has been
observed. The analysis reveals that the non-dimensional
parameter of temperature derived from analytical model
has shown good agreement with the established model of
moving point heat source and this entails that
temperature cycle of weld bead due to heat loss by
conduction, is in decreasing mode towards the
longitudinal direction of the welded plate.
Density (kg/m3)
Welding velocity (m/s)
Temperature
Perturbation parameter
Space variable
Thermal expansion
coefficient (/C)
Non-dimensional
temperature distribution
term
Non-dimensional length
Length of the weld plate
4
1
0th order, 1st order, 2nd

order respectively.
Asymptotic function
Thickness of base metal

(m)
Thermal conductivity
0, 1, 2.
S
E
Particular location from

fusion boundary (m)
Subscripts
Keywords Perturbation technique, temperature cycle,

moving point heat source, non-dimensional parameter.
Nomenclature
initial
Final
Peak temperature
Melting point
I.
INTRODUCTION
Fusion welding of metals is a process which

comprises heating and cooling cycle. The thermal
analysis of fusion welding covers numerous aspects
such as the physics and behavior of arc with the
formation of weld pool, development of residual
stress and distortion in weldments, characterization
of heat affected zone (HAZ), metallurgical
properties of joints. All these properties are
integrated to improve the weld structures in
structural applications. Quantification thermal
aspect shows immense importance as the source of
all the changes such as chemicalmetallurgical
phenomena in liquid solid interface of weld pool,
liquid-solid phase transformation and variation of
relevant mechanical properties, are solely dependent
of temperature gradients induced due to appearance
of successive thermal cycles [1, 2].
Most prominent analytical model to predict the heat
transfer characteristics is Rosenthals model [3] and
still it is one of the basic simple model for
Specific Heat (J/kg-K)

Net heat input (J/m)
[1]
15 of 446
illustration. Pavelic et al. [4] first proposed the heat

source as Gaussian distribution on the surface of the
welded plate. Dimensional parameters were first
introduced by Tsai N. S. and Eagar [5]. After this
appreciable work has been done by Goldak et al. [6]
assuming pseudo-Gaussian heat source. Some
recent notable works done by researchers such as
Hou Z. B. and Komanduri R. [7] analytically derived
general solutions of moving point heat source in
both transient and stationary state; Araya Guillermo
and Gutierrez Gustavo [8] obtained analytical
solution for a transient, three dimensional
temperature distribution due to a moving laser beam;
Elsen Van M. et al. [9] presented the analytical and
numerical solution for modelling of localized
moving heat sources in a semi-infinite medium and
illustrated its application to laser processing
materials; Kukla-kidawa J. [10] explored the exact
solution of temperature distribution in a rectangular
plated heated by a moving heat source obtained by
Greens function method; Levin Pavel [11]
developed a general solution of three dimensional
quasi-steady state problem of moving point heat
source on a semi-infinite solid; Osman Talaat and
Boucheffa Abderrahmane [12] proposed an
analytical model based on integral transform and
finite cosine Fourier integral transform to compute
3-D temperature distribution in a solid by moving
rectangular with surface cooling; Winczek Jerzy
[13] suggested an analytical model of computation
of transient temperature field in a half infinite body
caused by moving volumetric heat source with
changeable direction of motion; Parkitny Ryszard
and Winczek Jerzy [14] described analytically the
solution of temporary temperature field in half
infinite body caused by assuming moving tilted
volumetric heat source with Gaussian power density
distribution with respect to depth.
Motivated by these facts the present analysis has
been carried out in order to estimate the nondimensional temperature distribution from weld
bead of square butt joint to the longitudinal direction
by non-linear steady state analysis. By assuming
variable thermal conductivity, the perturbation
technique (asymptotic) has been adopted as it allows
to evaluate the approximate solutions which cant be
determined by traditional analytical method. For
different temperatures starting from melting point of
the metal i.e. liquid weld pool, the analysis has been
illustrated the temperature cycle as the distance
increasing towards the rear end of the weld plate.
whereas this method is acceptable in this situations.

Though numerical methods are very popular for
solving mathematical problems but they consist of
error. Perturbation method can be an alternative
approach for solving equations with comparatively
higher accuracy. The first step of implementation of
this theory is to nondimensionalize the governing
equation. Then it requires a small parameter with
very small magnitude which appears as
dimensionless form in the equation. This parameter
usually denoted as , is in the range of 0 1.
Then the non-dimensionalized equation needs to be
expanded in an asymptotic nature with the form
[16]:
= + + +
(1)
Then the assumed equation is substituted into
governing equations and equating the terms of
identical powers of , gives the formulation of nth
order formulation.
III.
In order to implement the perturbation method the

basic assumptions of this modelling are: (a) 1-D heat
conduction, (b) Temperature dependent thermal
conductivity, (c) Steady state heat transfer, (d) No
energy generation, (e) Other modes of heat transfer
(convection and radiation) have been neglected and
(f) No phase change.
Based on above assumptions, the heat transfer
equation on the domain (Fig. 1) is [17]:
K(T)
=0
(2)
4
1
S
E
II.
MATHEMATICAL FORMULATION
K(T) = K [1 + (T T )]
(3)
The boundary conditions are:

T(x = 0) = T
(4)
T(x = L) = T
(5)
To identify an appropriate perturbation parameter
the following nondimensional variables are used:
TT
x
=
,X =
T T
L
Substituting the nondimensional variables in (2)
{1 + (T T )}
=0
(6)
Thus the perturbation parameter can be expressed

as:
= (T T )
(7)
Thus (6) becomes,
BASIC IDEA OF PERTURBATION

METHOD
(1 + )
Perturbation method, also known as asymptotic

method is a simplification of complex mathematical
problems [15]. It is very difficult to solve higher
order non-linear differential equations analytically
=0
(8)
Now as (8) is nonlinear, the boundary equations (4)

and (5) becomes:
[2]
16 of 446
4
1
Fig. 1. Schematic diagram of square butt joint of two rectangular plates indicating the domain of heat conduction
(x = 0) = 1
(9)
(x = L) = 0
(10)
Now using (1) asymptotic equation as mentioned,
(8) results:
{1 + ( + + + )} ( + +
S
E
+) = 0
(11)
After differentiating and expanding, (11) becomes:

+

+ 2
+ [
=0
] +
(12)
Now equating the identical powers of , yields:

:
:
= 0
+
(12.a)
+[
] =0
(12.b)
:
+
+ 2
+
=0
(12.c)
Applying boundary condition (9) into (1),
(0) + (0) + (0) + = 1
(13)
Equating identical powers of :
(0) = 1, (0) = 0 and (0) = 0
Proceeding same way, applying boundary condition
(10), into (1):
(1) + (1) + (1) + = 0
(14)
Again equating identical powers of :
(1) = 0, (1) = 0 and (1) = 0

The solution has been derived as follows:
(a) 0th order solution:
Applying boundary conditions (0) = 1 and
(1) = 0 in 12.a,
d
=0
dX
Thus, = 1 X
(15)
(b) 1st order solution:
Substituting as expressed in (15), into 12.b and
(0) = 0 and
applying boundary conditions
(1) = 0 gives,
d
= 1
dX
Thus, = (1 X)
(16)
(c) 2nd order solution:
Substituting and from (15) and (16) into 12.c
and applying boundary conditions (0) = 0 and
(1) = 0 yields:
d
= 2 3X
dX
Thus, = (2X X 1)
(17)
Finally substituting , and into (1) results:
= (1 X) + (1 X) + (2X X 1) +
(18)
[3]
17 of 446
IV. EMPIRICAL MODEL FOR PEAK

TEMPERATURE DISTRIBUTION
1600
1400
IV.
1200
1000
(19)
RESULTS AND DISCUSSION
800
600
400
10
200
TABLE I. THERMOPHYSICAL PROPERTIES OF
MATERIALS [18, 20]
Stainless steel
(AISI 316)
1510
Melting point
(C)
Thermal
expansion
coefficient (/C)
Low carbon steel

(AISI 1050 )
1425
15.9 10
11.7 10
8000
7872
Specific heat
(J/kg-K)
500
481
Non-dimensional temperature
distribution ()
S
E
0.90
Figure 2 indicates that the non-dimensional

temperature distribution for the material AISI 316
decreases with the increment of non-dimensional
length from weld pool towards the longitudinal
direction (refer fig. 1) as derived in (18). The
thermo-physical properties have been tabulated in
table I. Figure 3 also denotes the three-dimensional
temperature distribution along with nondimensional length and it has depicted the fall of
temperature due to heat loss after the formation of
weld bead.
AISI 316 Ni-Cr basedStainlesssteel

1.05
0.45
4
1
1.20
0.60
Fig. 3. Variation of temperature cycle based on perturbation

method for AISI 316 workpiece
Density (kg/m3)
0.75
Nondime2
long
nsio 4
itudi
nal L 6
nal d
engt
irect
h alo 8
ion f
ng th
rom
e 10
weld
pool
(X)
0.30
0.15
0.00
0.00 0.15 0.30 0.45 0.60 0.75
Non-dimensional lengthalonglongitudinal
directionfromweldweldpool (X)
Fig. 2. Non-dimensional temperature distribution along the

longitudinal direction based on perturbation method for AISI
316 workpiece
AISI 1005 Lowcarbon steel
1.20
Non-dimensional temperature
distribution ()
Material
No
ndi
m
e
di nsi
st on
rib a
ut l te
io m
n ( pe
ra
tu
re
eg. C)
Temperature (D
According to Masubuchi [20], the temperature

distribution peak in welded zones, specifically in the
Heat Affected Zone (HAZ) and its vicinity can be
determined by using (19)
1.05
0.90
0.75
0.60
0.45
0.30
0.15
0.00
0.00
0.15
0.30
0.45
0.60
0.75
0.90
Non-dimensional length fromthe weld pool

towards longitudinal direction (X)
Fig. 4. Non-dimensional temperature distribution along the
longitudinal direction based on perturbation method for AISI
1005 workpiece
[4]
18 of 446
rectangular plate of dimension 180 50 10 mm,

the heat input with voltage V = 40volt and I =
250amps is 11.07 10 J/m (time of single pass
welding = 65 sec) for AISI 316 and voltage V =
40volt and I = 210amps, is 9.83 10 / (time
of welding in single pass = 65 sec)has been applied
to determine the peak temperature from the
empirical equation (19). The other thermo-physical
properties has been extracted from table I and has
been considered as constant.
1600
eg. C)
Temperature (D
1400
1200
1000
800
600
400
10
AISI 1005 (Low carbon steel)

6
Net heat input (Hnet)= 9.8310 J/m
tem
N
pe ond
ra
tu ime
re
ns
di
str iona
ibu l
tio
n ( )
200
N 2
4
longi on-dimen4
tudin
al dir sional l6en
2
ectio
n from gth a8long
the w
eld p 10
ool (X
)
900
Temperature (Deg. C)
Fig. 5. Variation of temperature cycle based on perturbation

method for ASI 1005 workpiece
Figure 4 and 5 also denotes the temperature

distribution based on perturbation method for AISI
1005 material.
600
4
1
300
20
Temperature (Deg. C)
1200
AISI 316 (Ni-Cr based stainless steel)

6
Net heat input (Hnet) = 11.0710 J/m
S
E
900
600
300
20 40 60 80 100 120 140 160 180
Distance fromfusion boundary (mm)

Fig. 6. Peak temperature variation for AISI 316 base metal
based on empirical method
In comparison with fig. 6, as in (19) the empirical

correlation for peak temperature distribution in Heat
Affected Zone (HAZ) in welded joints, the
temperature distribution in fig. 2, is more linear.
Whereas in fig. 6, it decrease gradually. In this
empirical model the heat input parameter (
=
) involves welding velocity which has a major
impact for temperature cycle developed in welded
joints. In fig. 6 it clearly shows the temperature
decrement is more sensitive near the fusion zone
(liquid-solid interface). In present analysis for a
40
60
80
100 120 140 160 180
Distance fromfusion boundary (mm)
Fig. 7. Peak temperature variation for AISI 1005

base metal based on empirical method
Fig. 7 entails the temperature cycle for AISI 1005

material based on empirical method (19). Compared
to fig. 4 this also reveals the same nature as shown
in fig.6. Though the perturbation method is showing
partial agreement (decreasing nature of nondimensional temperature) with empirical model, but
the temperature field in the neighborhood of weld
pool can be obtained by specifying the heat input.
Also in both cases the temperature loss due to
convection and radiation has been neglected which
is very severe in liquid-solid interface region of
fusion zone. In comparison with the studies of
Araya Guillermo and Gutierrez Gustavo [8], the
difference between steady state and transient
phenomena has been well judged as in his paper the
temperature distribution is in transient manner thus
the change in thermal properties near the weld pool
is notable than in rear end of the weldment along
longitudinal direction whereas in present discussion
the thermal properties varies linearly with linear
variable thermal conductivity as mentioned in (2).
Also this investigation has brought similarity with
the
dimensionless
temperature
distribution
developed by Levin Pavel [11], which has included
the velocity of moving point heat source based on
Carslaw-Jeagers moving point heat source model.
[5]
19 of 446
The accuracy of this model can be easily compared

with the results produced by Caldwell J. and Kwan
Y. Y. [19] on perturbation method for the Stefans
problem with time dependent boundary conditions.
[6] Goldak J. A. et al., Thermal stress analysis in solids near the
liquid region in the welds. Mathematical modeling of weld
phenomena, The Institute of Materials, pp. 543-570, 1997.
V. CONCLUSION
[7] Hou Z. B. & Komanduri R., General solution for

stationary/moving plane heat source problems in manufacturing
and tribology, International Journal of Heat and Mass Transfer
(Pergamon), vol. 43, pp. 1679-1698, 2000.
From the current results and discussion the

following conclusions can be drawn:
[8] Araya Guillermo & Gutierrez Gustavo, Analytical solution

for transient, three dimensional temperature distribution due to
moving laser beam, International Journal of Heat and Mass
Transfer, vol. 49, pp. 4124-4131, 2006.
1. The general solution of non-linear, steady state

analysis carried out by perturbation method is valid
in the range of non-dimensional length X = 0 and
= 1. With value higher than 1, the magnitude
becomes negative. Thus it is convergent within the
region as shown in fig. 2 and fig. 3.
[9] Elsen Van M. et al., Solutions for modelling moving heat

sources in a semi-infinite medium and applications to laser
material processing, International Journal of Heat and Mass
Transfer, vol. 50, pp. 4872-4882, 2007.
2. For X = 0 and X = 1, the temperature

distribution in (18) gives (0) = 1and (1) = 0,
assures that perturbation method satisfies two
boundary conditions. Also for = 0 results the
temperature distribution for steady state constant
thermal conductivity.
3. The value of perturbation parameter
has not
varied in considerable way as the thermal expansion
coefficient has been assumed as constant because it
changes spontaneously with transient manner which
is difficult to predict. Also the change is very minor
and it has not high impact on the temperature
distribution.
[10] Kukla-Kidawa J., Temperature distribution in a rectangular

plate heated by a moving heat source, International Journal of
Heat and Mass Transfer, vol. 51, pp. 865-872, 2008.
[11] Levin Pavel, A general solution of 3-D quasi steady state
problem of a moving point heat source on a semi-infinite solid,
Mechanics Research Communications, vol. 35, pp. 151-157,
2008.
4
1
[12] Osman Talaat and Boucheffa Abderrahmane, Analytical

solution for the 3-D steady state conduction in a solid subjected
to a moving rectangular heat source and surface cooling,
Comptes Rendus Mechanique, vol.337, pp. 107-111, 2009.
S
E
4. This comprehensive model based on perturbation

method suitable for non-linear steady state analysis
can be useful tool for primarily measuring the
surface heat loss phenomena.
REFERENCES
[13] Winczek Jerzy, Analytical solution to transient temperature

field in a half infinite body caused by moving volumetric heat
source, International Journal of Heat and Mass Transfer, vol. 53,
pp. 5774-5781, 2010.
[14] Parkitny Ryszard & Winczek Jerzy, Analytical solution of
temporary temperature field in a half-infinite body caused by
moving tilted volumetric heat source, International journal of
Heat and Mass Transfer, vol. 60, pp. 469-479 2013.
[15] Jiji, Latif M., Heat Conduction, 3rd ed., Springer-Verlag
Berlin Heidelberg, 2009, pp. 270-272.
[16] Abdelkhalek M. M., Heat and mass transfer in MHD free
convection from a movable permeable vertical surface by a
perturbation technique, Commun Nonlinear Sci Numer Simulat,
vol. 14, pp. 2091-2102, 2009.
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of temperature distribution and weld pool geometry in the gas
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[17] Kreith Frank, Manglik M. Raj & Bohn Mark S., Principle of
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[2] Little G. H. and Kamtekar A. G., The effect of thermal

properties and weld efficiency on transient temperatures during
welding, Computers and Structures (Pergamon), Vol. 68, pp.
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[18] Jr. Callister William D., Fundamentals of Materials Science

and Engineering / An Interactive, 5th ed., John Willey and Sons,
Inc., 2001, pp. 250-253.
[3] Rosenthal D., The theory of moving sources of heat and its
applications to metal treatments, Trans. ASME, Vol. 68, pp.
849-865, 1946.
[19] Caldwell J. & Kwan Y. Y., On the perturbation method for

the Stefan problem with time dependent boundary conditions,
International Journal of Heat and Mass Transfer, vol. 46, pp.
1497-1501, 2003.
[4] Pavelic V. et al., Experimental and computed temperatures

histories in gas tungsten arc welding of thin plates, Welding
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[20] Masubuchi K., Residual stresses and distortion in welding,

brazing and soldering, ASM Handbook, ASM International,
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[5] Tsai N. S. and Eagar T. W., Changes of weld pool shape by

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317, 1984.
[6]
20 of 446
Computational Analysis of Shell Fluid of Shell and

Tube Heat Exchanger
Allowing the Outcome of Baffles Disposition on Fluid Flow
Avanish Singh Chahar
Vijay Kr. Dwivedi
M.tech Student, Mechanical Engineering

GLA University
Mathura, India
avanishsinghchahar@gmail.com
Associate Professor, Mechanical Engineering

GLA University
Mathura, India
Vijay.dwivedi@gla.ac.in
AbstractThe modeling and replication of baffles of shell and

tube heat exchanger using computational fluid dynamics
(CFD). The baffles disposition depends on heat transfer
coefficient and pressure drop. In this present work, attempts
were made to investigate the impacts of various baffle
disposition angles on fluid flow and the heat transfer
characteristics of a shell-and-tube heat exchanger for three
different baffles disposition angles namely 0, 15 and 25.
The replication results for various shell and tube heat
exchangers, one by segmental baffles perpendicular to fluid
flow and two by segmental baffles inclined to the direction
of fluid flow are associated for their performance.
The results are pragmatic to be sensitive to the turbulence
model selection. The modeling and replication is done on
ANSYS 13.0. From the CFD replication results, the shell side
outlet temperature, pressure drop, recirculation near the
baffles, heat transfer, optimal mass flow rate and the
optimum baffle disposition angle for the given heat exchanger
geometry are determined.
I.
INTRODUCTION
A baffle is the primary part of the air to water shell and tube
type heat exchanger. It is design to support the tubular bundles
and direct the flow of fluid for maximum influenceiveness.
The major roles of baffles are to Hold tube in position
(prevented sagging), both in production and operation, Prevent
the influence of vibration, which is amplified by both fluid
velocity and the length of the heat exchanger, direct the shell
side fluid flow along tubes. This increases fluid velocity and
the influenceive heat transfer co-efficient of the exchanger.
Materials of baffles consists of it should have low
conductivity, have organic, non-metallic, and possess high
temperature. Heat exchangers have always been an
important part to the lifespan and operation of many
systems. A heat exchanger is a device built for efficient heat
transfer from one medium to another in order to transfer and
process energy. Typically one medium is cooled while the
other is heated. They are widely used in petroleum refineries,
chemical plants, petrochemical plants, natural gas processing,
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KeywordsShell and Tube Heat Exchanger; Baffles Disposition;

Turbulence Model; Computational Fluid Dynamics; ANSYS 13.0.
Air conditioning, refrigeration and automotive applications.

One common example of a heat exchanger is the radiator in a
car, in which it transfers heat from the water (hot enginecooling fluid) in the radiator to the air passing through the
radiator. There are two main types of heat exchangers. Direct
contact heat exchanger, where both media between which heat
is exchanged are in direct contact by each other. Indirect
contact heat exchanger, where both media are separated by a
wall through which heat is transferred so that they never mix.
Shell and tube type heat exchanger is an indirect contact type
heat exchanger as it consists of a sequence of tubes, through
which one of the fluids runs. The shell is a container for the
shell fluid. Usually, it is cylindrical in shape by a circular
cross section, although shells of different shapes are used in
specific applications. For this particular study E shell is
considered, which a one pass shell is generally. E shell is the
most commonly used due to its low cost and simplicity, and
has the highest log-mean temperature-difference (LMTD)
correction factor. Although the tubes may have single or
multiple passes, there is one pass on the shell side, while the
other fluid flows in the shell over the tubes to be heated or
cooled. Shell-and-tube heat exchangers in various sizes are
widely used in industrial operations and energy conversion
systems.
II.
LITERATURE ASSESSMENT
The tube side and shell side fluids are separated by a tube
sheet [1], [2] and [3]. The heat exchanger model used in this
study is a small sized one, as associated to the main stream,
all of the leakage and bypass streams do not exist or are
negligible [4], [5] and [6]. Baffles are used to support the
tubes for structural rigidity, preventing tube vibration and
sagging and to divert the flow across the bundle to obtain a
higher heat transfer coefficient. Baffle spacing is the center
line distance between two adjacent baffles [7], [8] and [9].
Baffle is provided by a cut which is expressed as the
percentage of the segment height to shell inside diameter. In
general, conventional shell and tube heat exchangers result in
high shell-side pressure drop and formation of recirculation
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zones near the baffles. Most of the researches now a day are
carried on semicircular baffles, which give better performance
then single segmental baffles but they involve high
manufacturing cost, installation cost and maintenance cost.
The influenceiveness and cost are two important constraints
in heat exchanger design. So, In order to improve the
thermal performance at a rational cost of the Shell and tube
heat exchanger, baffles in the present study are provided by
some disposition in order to maintain a rational pressure drop
across the exchanger [10]. The co mp l e xi t y by
experimental
techniques
involves
quantitative
description of flo w phenomena using measurements
dealing by one quantity at a time for a limited range of
problem and operating conditions. Computational Fluid
Dynamics is now an established industrial design tool,
offering obvious advantages [11]. In this study, a full 360
CFD model of shell and tube heat exchanger is considered.
By modeling the geometry as accurately as possible, the flow
structure and the temperature distribution inside the shell are
obtained. In this study, a small shell-and-tube heat
exchanger is modeled for CFD replications.
III.
Fig. 2. Front outlook of arrangement of baffles of shell and tube heat

exchanger by 15
MODELING PARTICULARS
In this paper we have considered small shell and tube heat

exchanger in order to take observation of flow inside the
shell. Some of the design constraints and the predetermined
geometric constraints are presented in Table II. In this study
four baffles are placed along the shell in alternating
orientations by cut facing up, cut facing down, cut facing up
again etc., in order to create flow paths across the tube
bundle. The geometric model is optimized by varying the
baffle disposition angle i.e., 0, 15 and 25. The
computational modeling involves pre-processing, solving
and post- processing. The geometry modeling of shell and
tube heat exchanger is explained below.
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exchanger by 25
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A. Geometry Demonstrating
The modeling is premeditated in ANSYS 13.0 under the given
constraints in Table II.
S.no
TABLE I.
NOMENCLATURE
Input Constraints
Nomenclature
Symbol
-2
Heat flux [Wm ]
Baffle disposition angle, [degrees]
Central baffle spacing, [m]
Shell inner diameter, [m]
Di
Heat exchanger length, [m]
Number of baffles
Nb
Temperature, [K]
Velocity vector
Vr

exchanger by 0
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TABLE II.
INPUT CONSTRAINTS OF SHELL AND TUBE HEAT

EXCHANGER
Input Constraints
data available in the literature G. Eason, B. Noble and I.N.

Sneddon (1955). It is found that the exit temperature at the
shell outlet is matching by the literature results and the
deviation between the two is less than 1 %. The
convergence benchmarks were set to 10-4 and convergence
was achieved after 300 iterations. The residual were plotted
and the plot is shown below.
S.no
Nomenclature
Value
Baffle disposition angle, []
0, 15
and 25
Central baffle spacing, [m]
0.023
Shell inner diameter, [m]
0.030
Heat exchanger length, [m]
0.150
Length of baffles, [m]
0.015
Number of baffles
B. Boundary Conditions
The working fluid of the shell side is air.
Fig. 4. Residual plot arrangement of baffles of shell and tube heat exchanger
by 0
The shell inlet temperature is set to 300 K.

Zero gauge pressure is assigned to the outlet nozzle.
The inlet velocity profile is assumed to be uniform.
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No slip condition is assigned to all surfaces.

The zero heat flux boundary condition is assigned to the
shell outer wall (excluding the baffle shell interfaces),
assuming the shell is perfectly insulated.
C. Mesh Assortment
Mesh generation is performed in ANSYS 13.0. The
surfaces of the model are meshed using square elements.
Mesh size selected for four baffle case: the fine mesh by
approximately 283467 elements have taken. The entire
geometry is divided into three fluid domains Fluid Inlet,
Fluid Shell and Fluid Outlet and four solid domains namely
Solid Baffle1 to Solid Baffle4 for four baffles respectively.
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by 15
D. Turbulence Model
Since the flow in this study is turbulent, turbulence
influences should be taken into account using
turbulence modeling. The choice of turbulence model is
very critical in CFD replications. However, there is no
universal criterion for selecting a turbulence model. In this
study, k- turbulence model are tried. The standard k-
model is a semi-empirical model based on model transport
equations for the turbulence kinetic energy k and its
dissipation rate .
IV.
RESULT AND DISCUSSION
Replication results are obtained for different mass flow

rates of shell side fluid ranging from1.5 kg/s and 2.5
kg/s. The simulated results for 1.5 kg/s fluid flow rate for
model by 0 baffle disposition angle are validated by the
by 25
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nearly equal to 1 m/s for all the three models at the inlet and
exit surface and the velocity magnitude reduces to zero at the
baffles surface. It can be seen that associated to 0 baffle
disposition angle, 15& 25 baffle disposition angles, provide
a smoother flow by the inclined baffles controlling the fluid
flow.
Fig. 7. section displaying velocity path lines along the shell for 0 baffle
disposition angle
From the stream line contour of Fig. 7-9, it is found that

recirculation near the baffles prompts turbulence eddies which
would result in more pressure drop for model by = 0 where
as recirculation are lesser for model by = 15 and the
recirculation formed for model by = 25 are much less in
comparison to the other two models which indicates the
resulting pressure drop is optimum.
TABLE III.
COMPARATIVE STUDY FOR MASS FLOW RATE OF

1.5KG/S
Mass Flow Rate = 1.5kg/s
Baffles
disposition
angle
(Degree)
Heat
Transfer
(W)
Heat
Transfer
Coefficient
(W/m2K)
00
334.48
3411.33
103033.70
2952.71
150
337.77
3228.72
116684.30
3248.20
339.29
2799.37
131191.91
3761.15
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TABLE IV.
Baffles
disposition
angle
(Degree)
disposition angle
The replication results for 1.5 kg/s mass flow rate for models
by 0, 15 and 25 baffle disposition are obtained. It is seen
that the temperature gradually rises from 300 K at the inlet to
340 K at the outlet of the shell side. The average temperature
at the outlet surface is nearly 336 K for all the three models.
There is no much deviation of temperature for all the three
cases considered. The maximum pressure for models by 0,
15 and 25 baffle dispositions are 19120.62, 16300.34 and
7440.51 Pascal respectively. The pressure drop is less for
25 baffle disposition associated to other two models due to
smoother direction of the flow. The maximum velocity is
Shell side
Pressure
Drop
(Pascal)
250
disposition angle
Shell side
outlet
Temperature
(K)
COMPARATIVE STUDY FOR MASS FLOW RATE OF

2.5KG/S
Mass Flow Rate = 2.5kg/s
Shell side
outlet
Temperature
(K)
Shell side
Pressure
Drop
(Pascal)
Heat
Transfer
(W)
Heat
Transfer
Coefficient
(W/m2K)
00
331.74
19120.62
210657.70
5441.20
150
336.14
16300.34
243720.91
7072.02
250
337.11
7440.51
279217.30
7377.32
From the CFD replication results, for fixed tube wall

and shell inlet temperatures, shell side outlet
temperature. pressure drop values, heat transfer and heat
transfer coefficient for varying fluid flow rates are
provided in Table III-IV and it is found that the shell
outlet temperature declined by increasing mass flow
rates as expected even the deviation is minimal. It is
found that for two mass flow rates 1.5kg/s and 2.5
kg/s there is no much influence on outlet
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temperature of the shell even though the baffle

disposition is amplified from 0 to 25. However the
shell-side pressure drop is declined by increase in baffle
disposition angle i.e., as the disposition angle is
amplified from 0 to 25. The pressure drop is declined
by 14.74%, for heat exchanger by 15 baffle disposition
angle and by 54.35% for heat exchanger by 25 baffle
disposition associated to 0 baffle disposition heat
exchanger. Hence it can be pragmatic that shell and
tube heat exchanger by 25 baffle disposition angle
results in a rational pressure drop. Hence it can be
clinched that shell and tube heat exchanger by 25 baffle
disposition angle results in better enactment associated
to 15 and 0 disposition angles.
ACKNOWLEDGMENT
The authors take this opportunity to express our whole-hearted
gratitude towards the Department Of Mechanical Engineering
GLA University, Mathura that helps us for the completion of
this paper. We have been greatly benefited by this valuable
suggestion and ideas. It is by great pleasure that we express
our deep sense of gratitude to them for their valuable
guidance, constant encouragement and patience throughout
this work and we were efficiently able to complete this paper
in time.
REFERENCES
[1]
CONCLUSION
The shell side of a small shell-and-tube heat exchanger is
modeled by appropriate aspect to resolve the flow and
temperature fields. Following conclusion has made on it.
For the given geometry, the mass flow rate must be
below 2.5 kg/s, if it is amplified beyond 2.5 kg/s the
pressure drop increases rapidly by little variation in
outlet temperature.
The pressure drop is declined by 14.74%, for heat
exchanger by 15 baffle disposition angle and by
54.35%, for heat exchanger by 25 baffle disposition
angle.
The maximum baffle disposition angle can be 25, if
the angle is beyond 25, the center row of tubes are
not supported. Hence the baffle cannot be used
influenceively.
It is also established that 25 is the maximum baffle

angle for optimum performance of the model.
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E
Hence it can be determined that shell-and-tube heat

exchanger by 25 baffle disposition angle results in
better performance associated to 15 and 0 disposition
angles.
Gaddis, D., editor. Standards of the Tubular Exchanger

Manufacturers Association, ninth ed, Tarrytown (NY): TEMA Inc,
2007.
[2] Schlunder, E.V, Heat Exchanger Design Handbook, Hemisphere
Publishing Corp., New York, Bureau of Energy Efficiency, 1983.
[3] Mukherjee, R., Practical Thermal Design of Shell-and-Tube Heat
Exchangers, Begell House.Inc, New York, 2004.
[4] Ender Ozden, Ilker Tari, Shell side CFD analysis of a small
shell-and-tube heat exchanger, Energy Conversion and Management
51 (2010), pp. 1004 1014.
[5] Uday Kapale, C., Satish Chand, Modeling for shell-side pressure drop
for liquid flow in shell-and-tube heat exchanger, International Journal of
Heat and Mass Transfer 49 (2006), pp. 601610.
[6] Thirumarimurugan,
M.,
Kannadasan,
T.,
Ramasamy,
E.,
Performance Analysis of Shell and Tube Heat Exchanger Using
Miscible System, American Journal of Applied Sciences 5 (2008), pp.
548-552.
[7] Sparrows, E. M., Reifschneider, L. G., Influence of inter baffle
spacing on heat transfer and pressure drop in a shell-and-tube heat
exchanger, International Journal of Heat and Mass Transfer 29 (1986),
pp. 1617-1628.
[8] Li, H., Kottke, V., Influence of baffle spacing on pressure drop and
local heat transfer in shell and tube heat exchangers for staggered tube
arrangement, Int. J. Heat Mass Transfer 41 (1998), 10, pp. 13031311
[9] Su Thet Mon Than, Khin Aung Lin, Mi Sandar Mon, Heat Exchanger
Design, WorldAcademy of Science, Engineering and Technology 46,
2008.
[10] Yong-Gang Lei, Ya-Ling He, Rui Li, Ya-Fu Gao, Influences of
baffle disposition angle on flow and heat transfer of a heat
exchanger by helical baffles, Chemical Engineering and Processing
47 (2008), pp. 23362345.
[11] Versteeg, H.K., Malalasekera, W., An introduction to computational
fluid dynamics: the finite volume method, first ed, Essex (England):
Pearson, 1995.
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Thermal Analysis of Porous Fin with Internal Heat

Generation
Aaditya Chandel
&
Dipankar Bhanja

National Institute of Technology Silchar
Silchar, India
dipankar.bhanja@gmail.com
AbstractThe present article investigates the temperature

distribution and fin efficiency of a porous fin having temperature
dependent internal heat generation. The fin is exposed in natural
convection condition. This study is based on finite-length fin with
insulated tip. To formulate the heat transfer equation for the porous
fin, the energy balance and Darcys model are used. An analytical
technique called Variational iteration method (VIM) is proposed for
the solution methodology. To validate the analytical results, a
numeric scheme, namely, finite difference method is adopted. The
results indicate that the numerical data and analytical approach are
in agreement with each other. The effects of various geometric and
thermophysical parameters on the dimensionless temperature
distribution and fin efficiency are studied that may help in optimum
design analysis of a porous fin. Finally, an increase in fin efficiency
is observed with considering internal heat generation within the fin
material.
generation
I.
INTRODUCTION
The enhancement of heat transfer from porous fins has

become an important factor that has captured the interest of
many researchers. The basic philosophy behind using porous
fins is to increase the effective area through which heat is
convected to ambient fluid. Kiwan and Nimr[1] introduced the
concept of using porous fins to enhance the heat transfer from
a given porous surface. They found that using porous fin with
certain porosity may give same performance as conventional
fin and save 100 of the fin material. Kundu and Bhanja [2]
predicted the performance and optimum design analysis of
porous fin of rectangular shape using ADM. By using same
method, Bhanja and Kundu [3] performed thermal analysis of
a T-shaped porous fin. Kundu et al. [4] computed the
enhancement of the heat transfer of porous fin of various
profiles. They have done a comparative study between the
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Keywordsporous fin;VIM; natural convection; porosity;heat
porous fin and the solid fin and found that the surface
temperature decreases with the increase of porosity. Recently,
Bhanja et al. [5] developed an analytical solution to determine
temperature distribution and fin performance of a porous pin
fin used for electronic cooling. Das and Ooi [6] have predicted
the multiple combination of parameters for designing a porous
fin subjected to a given temperature requirement. Bassam and
Hijleh [7] investigated a problem of natural convection from a
horizontal cylinder with multiple equally spaced high
conductivity permeable fins on its outer surface. They
concluded that porous fins provide much higher heat transfer
rate than traditional fins. Gorla [8] and Kiwan [9] investigate
thermal analysis of natural convection and radiation in porous
fins of rectangular shape. The experimental work is very
limited in porous fin area. Kim et al. [10] investigated
experimentally the impact of using porous fins on the heat
transfer and flow characteristics in plate fin heat exchanger.
However, their experiment was conducted under forced
convection heat transfer conditions.
In the fin analysis, normally the steady state condition with
no heat generation is considered. However, in some practical
applications internal heat generation is also occurred. The
internal heat generation may be a constant but in a more
realistic situation it is a function of temperature. An important
application area is in the cooling of nuclear reactors. Here the
heat generation is from a nuclear source and is a combination
of fast neutrons and gamma rays. Hatami and Ganji [11]
investigate heat transfer study through porous fins (Si3N4 and
AL) with temperature-dependent heat generation.
It is observed from literatures that a very few work is
present about porous fin. To the best of authors knowledge,
no such article is found so far which considers the effect of
internal heat generation except the analysis performed by
Hatami and Ganji [11]. However, they have only studied about
temperature distribution of the fin. The present paper
investigates the temperature distribution as well as efficiency
of a porous fin of rectangular shape with temperature
dependent heat generation. Considering this, the governing
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III.
differential equation of the present problem is reduced to a

highly non-linear equation that cannot be solved with usual
analytical techniques. In this work, an analytical methodology
followed by Variational iteration method (VIM) [12] is
applied to solve the nonlinear class of governing energy
equations of a porous fin attached to a vertical isothermal wall.
The method is proved to be powerful for solving any class of
nonlinear governing equations without adopting linearization
or perturbation technique. It provides an analytical solution in
the form of power series where the temperature on the fin
surface can be expressed explicitly as a function of position
along the length of the fin. Thus, the temperature distribution
and its efficiencies are easily being evaluated for a wide range
of design variables of porous fins.
II.
A
Cp
Da
g
h
k
KR
K
L
Nu
P
q
Q
qi
Qi
Ra
t
T
Vw
W
x
X
As in Fig.1, a porous fin of rectangular profile has been

shown. The fin looses heat to the surrounding through
convection mode. The fin is having the heat generation which
is varying with temperature linearly. Considering the fin to be
adiabatic at the tip and having the heat transfer in one
dimension only. As the fin is porous, it allows fluid to
penetrate through it. The porous medium is considered as
homogeneous, isotropic and saturated with a single phase
fluid. The physical properties of solid as well as fluid are
considered as constant except density variation of liquid,
which may affect the buoyancy term where Boussinesq
approximation is employed. To simulate the interaction
between the porous medium and fluid Darcy formulation [4] is
used.
NOMENCLATURE
Cross-sectional area of the fin

Specific heat of the fluid passing through fin pores
Darcy number
Gravity constant
Heat transfer coefficient over the fin surface
Thermal conductivity ratio
Permeability of the porous fin
Length of the Fin
Nusselt number
Perimeter of the Fin
Actual heat transfer rate per unit width
Dimensionless actual heat transfer rate per unit width
Ideal heat transfer rate per unit width
Dimensionless ideal heat transfer rate per unit width
Rate of heat generation per unit volume
Rayleigh number
Thickness of the fin
Temperature
Average velocity of fluid passing through porous fin
Width of the fin
Axial length measured from the tip of the fin
Dimensionless axial distance
Coefficient of thermal expansion
Variable heat generation parameter
Efficiency of the Fin
Porosity or void ratio
Thickness to length ratio
Dimensionless temperature
Dimensionless tip temperature
Kinematic viscosity
Density of the Fluid
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Fig. 1.Schematic of porous fin with variable heat generation.
Consdering these assumptions, the energy balance equation

can be formulated as:
dq
dx
+q A =
Cp gKW
[T-Ta ] + hP (1-) [T-Ta ]
(1)
Also from Fouriers law of conduction:
(2)
Where, keff is the effective thermal conductivity of the porous

fin that can be obtained from:
k eff .k f 1 .k s
(3)
Substitution of Eq. (2) into Eq.(1) leads to:

d2 T
Subscripts
a
Ambient condition
b
Base
s
Solid properties
f
Fluid properties
eff Effective properties
MATHMATICAL FORMULATION
2+
dx
Cp gK T-Ta
keff
keff t
2h 1- T-Ta
keff t
=0
(4)
It is assumed that internal heat generation in the fin varies

linearly with temperature as:
=
1+ (T-Ta )
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(5)
0 =t
Where, q0 is the internal heat generation at temperature Ta. For

simplifying Eq. (4), some dimensionless parameters are
introduced as follows:
1 0
2 1
= T-Ta T -Ta ; X = ; = ; KR = ks kf ;
S1 = RaDa2 ;S2 = 2Nu (1-)2
S3 = q0 L2 keff (Tb -Ta ;
S 3 g
(6)
S1 2
S2 +S3 =0
(7)
2S12 t 3 3S1 S2 t 2 S22 t
S13 t 4 S1 S22 t 2 S1 S32 2S12 S2 t 3

2S12 S3 t 2
(8b)
(14)
2S1 S3 t
2S1 S2 S3 t
S2 S3
X6
8
VARIATIONAL ITERATION METHOD (VIM)
IV.
X2
X4
4
(15)
Fin efficiency
After obtaining temperature distribution as a spatial
function, actual heat transfer rate per unit width is determined
by applying the Fouriers law of heat conduction at the base
and can be expressed in dimensionless form as
(8a)
S3
B.
Eq. (7) is subjected to the following boundary conditions:
S1 t 2 S2 t
Similarly the higher order terms can easily be calculated using

recursive relation expressed in Eq. (11). It is clear that the
temperature expressions are a function of unknown tip
temperature t , which can be determined by putting boundary
condition (8b) and solving by Newton-Raphson method.
Considering all the dimensionless parameters, Eq. (4) is

reduced to:
d2 dX2
(13)
(16)
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According to VIM, the following differential equation may be

considered:
Ideal heat transfer per unit width can be expressed in

dimensionless form as
Lu + Nu = g(x)
(9)
where, Lis a linear operator, Nis a nonlinear operator and g(x )

is an inhomogeneous term. Based on VIM, a correct functional
can be constructed as follows:
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{L un () +N un
g()} d
(10)
where, is a general Lagrangian multiplier that can be

identified optimally via the variational theory. The subscript n
denotes the nth-order approximation,
considered as
arestricted variable, i.e.
0 . When the above VIM
formulation is applied to Eq.(7), following iteration formula
can be obtained accordingly
n+1 =n +
Taking L=
() = -
() {L n () +Nn
g()} d
2Nu
1- -S3 1+g KR (17)
Thus, fin efficiency can be calculated as:
V.
(18)
To illustrate the results of the present work the temperature

distribution on the fin surface and fin efficiency have been
displayed for a wide range of thermo geometric and thermo
physical parameters for both solid and porous fins.
1.0
without heat generation
with heat generation
numerical result
(11)
0.8
, Lagrange multiplier obtained as follows
S3=0.6
un+1 x =un x +
RaDa
(12)
0.6
S3=0.3
Fin temperature distribution

As a starting approximation for VIM solution,0 is assumed
as constant. Such a starting approximation automatically
satisfies one of the boundary conditions given in Eq.(8a). First
two iterations are:
0.4
A.
=0.1;KR=10
0.2
0.0
0.2
0.4
-4
Ra=10 ;Da=10 ;
Nu=10.0;=0.5;
g=0.6
0.6
0.8
1.0
X
Fig. 2 Comparison of present work with numerical result for dimensionless
temperature distribution with the variation of heat generation parameter.
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temperature is considerably higher than porous fin. It is also

noticed that tip temperature is lowered with high porosities.
Fig. 2 is prepared for the validation of the present model by

comparing with numerical values for the porous fin with and
without heat generation. From the figure, it can be highlighted
that both analytical and numerical predictions are matched
convincingly with a high accuracy. It is also seen that tip
temperature with heat generation is higher than that of without
heat generation. It is an obvious result as heat generation
always maintains higher surface temperature.
1.0
porous fin
solid fin
0.8
=0.1;KR=10
g=0.6;S3=0.6
Ra=106;Da=10-4;
Nu=10.0
1.0
Da=0.0001
Da=0.0002
0.6
=0.5
=0.1;KR=10 ;
g=0.6;S3=0.6;
Nu=10.0;=0.5
0.8
0.4
=0.8
0.6
Ra=10
Ra=10
0.2
0.0
0.4
0.2
0.4
0.2
0.4
0.6
0.8
1.0
1.0
1.0
(A)
0.8
.(A)
0.2
0.0
0.6
0.8
-4
Ra=10 ;Da=10 ;
Nu=10.0;=0.1;
3
KR=10
porous fin
solidfin
1.0
4
-4
0.6
Ra=10 ;Da=10 ;
Nu=10.0;=0.5
=0.1;KR=10 ;
0.4
S3=0.6
g=0.6
0.6
g=0.1
0.4
0.0
(B)
4
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g=1.0
0.8
0.2
0.4
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0.6
0.8
1.0
Fig. 3 Variation of temperature distribution with (A) Ra &Da (B)
(B)
=0.8
0.2
=0.5
0.0
0.0
0.2
0.4
0.6
0.8
1.0
Fig. 4 A comparison in temperature distribution between a solid fin and

porous fin (A) with heat generation (B) without heat generation
0
Fig. 3A is drawn to show the effect of Rayleigh number

and Darcy number on dimensionless temperature distribution.
An appreciable dependency has been observed with these
parameters. Tip temperature is decreased with the increase in
these parameters. It can be mentioned that the variation due to
Da is more when Ra is increased. Increasing Ra improves the
convective heat transfer coefficient between the fin and the
working fluid. When Da is increased more fluid can penetrate
through it that reduces tip temperature of the fin. Fig. 3B is
plotted to show the impact of variable heat generation
parameter. With the increase of this parameter tip temperature
is increased which is an obvious result.
Fig.4 is displayed to show effect of porosity parameter on
temperature distribution over the fin surface. A comparison
between a porous fin and a solid fin is also been done. Fig. 4A
considers internal heat generation while Fig. 4B is showing the
variation by neglecting the internal heat generation. In both the
cases it has been observed that for solid fin the dimensionless
The influence of thermophysical parameters on the fin

efficiency has been investigated in Fig.5. From Fig. 5A, it is
clear that the fin efficiency is going to decrease with Ra and
Da. With the increase of these parameters although actual heat
transfer increases but side by side ideal heat transfer rate also
as defined in Eq. (17). Thus fin efficiency is dropped. In
Fig.5B, the variation of fin efficiency can be visualized with
varying the dimensionless heat generation number as well as
the internal heat generation parameter. Fin efficiency is
decreased with heat generation number. On the other hand, a
slight increase in fin efficiency is noticed with the increase in
variable heat generation parameter.
Fig. 6 is envisioned to show the effect of heat generation
on fin efficiency with the variation of Nu. It is observed that
fin efficiency is higher considering heat generation. By raising
the heat generation parameter, the temperature profile reaches
to the higher value. Alternatively, the higher heat generation
leads to higher fin temperatures as the fin must dissipate a
29 of 446
generation. Thus, a better buoyancy effect is created in porous

fin.
larger amount of heat to the surroundings under steady state

conditions.
1.0
3
=0.1;K R =10 ;
Ra=10
4
Ra=10
0.8
solid fin
4
-4
Ra=10 ;Da=10 ;
porous fin
=0.1;KR=10;
g =1.0;S 3 =0.6;
0.8
Nu=10.0; =0.5
0.7
g=0.6;S3=0.6
0.6
0.4
0.5
0.6
=0.8
0.4
0.2
0.3
0.0
0.0002 0.0004 0.0006 0.0008 0.0010
(A)
0.2
20
Da
25
30
(A)
1.0
35
45
50
g=1
0.8
0.7
solid fin
porous fin
0.6
-4
0.3
0.4
0.5
(B)
0.3
&
(B)
1.0
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with heat generation

without heat generation
0.8
4
-4
Ra=10 ;Da=10 ;
Nu=10.0;=0.5
0.4
0.2
30
40
50
Nu
Fig. 6 Effect of heat generation on fin efficiency.
A comparison in fin efficiency between a solid fin and a

porous fin with the variation of Nusselt number is shown in
Fig. 7. Fin efficiency is decreased with the increase of this
number. Although actual heat transfer rate is enhanced with
this parameter but side by side it increases the ideal heat
transfer rate also which in turn reduces the fin efficiency. It is
very much interesting to be mentioned that porous fin has
better fin efficiency than that of solid fin when internal heat
generation is taken into consideration. With heat generation,
temperature in the fin surface is higher than without heat
25
30
35
40
45
50
Nu
VI.
g=0.6
0.2
20
Fig. 7 A comparison in fin efficiency between a solid fin and a porous fin (A)
0
with heat generation (B) without heat generation
=0.1;KR=10 ;
S3=0.6
4
1
0.6
Fig. 5 Fin efficiency with the variation of (A) Ra & Da (B)
20
=0.8
0.4
S3
0.6
-4
0.5
g=0.6
4
3 ;
;Da=10
0.2 Ra=10
=0.1,KR=10
Nu=10.0;=0.5;
3
=0.1;KR=10
0.0
0.0
0.1
0.2
Ra=10 ;Da=10 ;
3
=0.1;KR=10
0.6
g=0.1
0.4
10
40
Nu
CONCLUSION
The present work is devoted to determine the temperature

distribution and fin efficiency of a straight porous fin with
temperature dependent internal heat generation. The fin
dissipates heat to the environment through natural convection.
For the aforementioned conditions, an approximate analytical
technique, namely, Variational iteration method (VIM) has
been proposed for the solution of governing fin equation. This
method provides solution in the form of infinite power series
and it has high accuracy and fast convergence. The following
concluding remarks can be drawn from the present study:
Fin tip temperature is decreased by increasing Da and Ra,
whereas the effect of variable heat generation parameter
shows a reverse trend.
Solid fin maintains higher surface temperature than porous
fin.
Fin efficiency is decreased with Ra, Da and Nu. Moreover,
fin efficiency is better considering heat generation within
the fin material.
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Porous fin provides much better efficiency than solid fin

when heat generation is taken into consideration. On the
other hand, without considering heat generation solid fin
has higher fin efficiency than that of porous fin.
[6]
R. Das, andK.T. Ooi, Predicting multiple combination of parameters for

designing a porous fin subjected to a given temperature requirement,
Energy Conver. and Managt., vol. 66, pp. 211-219, February 2013.
[7]
A. Bassam, and K. Abu-Hijleh, Natural convection heat transfer from a

cylinder with high conductivity permeable fins, J. Heat Transf., vol.
125, pp. 282-288, March 2003.
REFERENCES
[8]
R.S.R. Gorla, and A.Y. Bakier, Thermal analysis of natural convection

and radiation in porous fins,Int. Commu. Heat Mass Transf., vol. 38,
[1]
pp. 638-645, May 2011.
S. Kiwan, and M.A. Al-Nimr,Using Porous Fins for Heat Transfer

[9]
Enhancement, ASMEJ. Heat Trans., vol. 123, pp. 790-795, July 2000.
[2]
fins,Int. J. Therm. Sci., vol. 46, pp. 1046-1055, October 2007.
B. Kundu, and D. Bhanja, An analytical prediction for performance and
[10] S.Y. Kim, J.W. Paek, and B.H. Kang,Flow and heat transfer
optimum design analysis of porous fins, Int. J. Refrigeration, vol. 34,
[3]
pp. 337-352, January 2011.
correlations for porous fin in a plate fin heat exchanger,
D. Bhanja, and B. Kundu, Thermal analysis of aconstructal T-shaped
Transf.,vol. 122, pp. 572-578, March 2000.
1483-1496, September 2011.
porous fins (Si3N4 and Al) with temperature-dependent heat generation,
B. Kundu, D. Bhanja, and K.S. Lee, A model on the basis of analytics
Energy Conver. and Managt.,vol. 74, pp. 9-16, October 2013.

[12] J.H. He, Variational iteration method- a kind of non-linear analytical
for computing maximum heat transfer in porous fins, Int. J. Heat and
[5]
J. Heat
[11] M. Hatami, A. Hasanpour, and D.D. Ganji, Heat transfer study through
porous fin with radiation effects, Int. J. Refrigeration, vol. 34, pp.
[4]
S. Kiwan, Effects of radiative losses on the heat transfer from porous
Mass Transf., vol. 55, pp. 7611-7622, December 2012.
technique: some examples, Int. J. Non-Linear Mechnics, vol. 34, pp.
D. Bhanja, B. Kundu, and P.K. Mandal, Thermal analysis of porous pin
699-708, July 1999.
4
1
fin used for electronic cooling, Journal of Procedia Engg., in press,

2013.
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Reliability Analysis of Two Lathe Machines Arranged in a Machining System

Devashish Sharma: M.Tech Scholar
Mechanical Engineering,
GLA University,
Mathura, India
Dr. Piyush Singhal: Professor

Mechanical Engineering,
GLA University,
Mathura, India
A. Abbreviations Used
Abstract Reliability is the most important aspects of a production

unit and it is used to measure and analyses the failure data. During
this project work we have taken two lathe machines which are
arranged parallel to each other and in series with other machines as
they are the part of a machining system but they are not taken into
consideration because our main focus is on the lathe machines.
Failure data are taken from industry and these data are further used to
analyse the working condition of the machine. Based on the analysis
suggestions are given for improvement of the design or the other
parameters so as to improve the effectiveness of the system as a
whole. In this work a mathematical model has been developed based
on the Weibull distribution to validate the failure and repair data.
KeywordsReliability; Weibull Distribution; MTBF; MTTR
I.
Sr. No.
1
2
3
4
Machines
Lathe Machine-1
Lathe Machine-2
Shape Parameter
Scale Parameter
L1
INTRODUCTION (Heading 1)
L2
The reliability and availability of production tools can have a

important consequence on the productivity and this would be a
great boon for the profitability of the company. According to
the Ebling [1] some of factors are given below:
Reliability: Reliability is the probability that a system will
perform its intended function satisfactorily in the specified
environmental conditions for a stipulated period of time.
Availability: Availability is the probability that a component
or a system is performing its required function at a given
point, in time when used under stated operating conditions.
Availability may also be interpreted as the percentage of time
a component or system is operating over a specified period of
time.
II.
III.
B. Steps of the Research Methodology
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The reliability analysis of a lathe machine is an important

aspect for the growth of a manufacturing system and the idea
behind it is generated from a paper named Reliability
Analysis of a Piston Manufacturing System [2].This project
provide me the basis for my present work. Some other works
done in this Field are Reliability, Availability and
Maintainability study of high precision special purpose
manufacturing machines [3]. Kurian [4] developed a
simulation model to analyze the aircraft maintenance program.
Jingyi [5] pointed out the various application of reliability
engineering program to the hydraulic systems. Benski and
Cabau [6] emphasis to use the field data to estimate the
Reliability and analyze the system performance through it.
MACHINING SYSTEM
In our present work we have used two machining systems [7]

which are arranged in parallel with each other. These two
machines are Lathe Machine-1 and Lathe Machine-2.
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1
Fig.1. Block Diagram
LITERATURE REVIEW
Abbreviation
L-1
L-2
Using least square method the Weibull Parameters

and are calculated for all the machines. MLE of the
parameters are calculated.
Manns Goodness of fit test is conducted to verify the
assumption that failure data is following two
parameter Weibull distributions or not.
Reliability and MTBF of the machines are estimated
as per Weibull distribution.
IV. Analysis of the System
The system here consists of two lathe machines arranged in

a parallel system. First of all we will analyze for Weibull
distribution MLE and then Manns Test Characteristic will be
calculated to analyze the system.
A. The Weibull Distribution [1]
One of the most useful probability distributions in reliability is
the Weibull. This is the time dependent failure model in which
hazard rate functions are not constant over time. Weibull
failure distribution may be used to model both increasing and
decreasing failure rates. It is characterized by a hazard rate
function of the form
(t) = /(/)-1
(1)
Reliability function, R(t) is :
R(t) = e -(t/ )
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(2)
MTBF = . ((1/ ) +1))
The test statistic is:

M = K1 [(ln ti+1 - lnti )/Mi] / K2 [(ln ti+1 - lnti )/Mi]
(3)
2 = Variance =2. ((2/) + 1)) [ (1/) + 1))]2
(10)
(4)
Where,
K1 =[ r/2]; K2 =[ ( r-1)/2] ;
Mi = Zi+1 - Zi ; Zi = ln[-ln(1- (i- 0.5)/(n+0.25)]
Where (x) gamma function is expressed by the following

relation:
(5)
(x) = y x-1 exp (-y) dy
Here [ r/2] is the integer part of the number r/2.

Mi is an approximation;
If M>Fcrit the hypothesis H1 is accepted otherwise H0 is
accepted.
The shape parameter () shows infant mortality failure process

for a value significantly less than one, a purely random
process by value fairly close to one, wear out by larger values.
Scale parameter () - The characteristic life is the interval
between guaranteed life and the time at which it can be
expected that 63% of the items will have failed and 37%
survived.
Test Statistic is
B. Maximum Likelihood Estimator [1]

In common to find the MLE for any distribution with
complete data, the maximum of the following likelihood
function with respect to the unknown parameters 1. k is
found as
M = K1 [(ln ti+1 - lnti )/Mi] / K2 [(ln ti+1 - lnti )/Mi] ;

Where,
K1 =[ r/2] K2 =[ ( r-1)/2]
Mi = Zi-1 Zi ;
Zi = ln [-ln(1- (i-0.5)/(n+0.25)]
Let n = 6 and r = 4
L(1. k)=f(ti 1. k)
(6)
The objective is to find the values of the estimators of 1. k

that makes the likelihood function as large as possible for
given values of t1,t2,.tn.
In general the necessary conditions to find the MLEs are to
obtain the first partial derivatives of the logarithm of
likelihood function with respect to 1. k and setting these
partial derivatives equations zero.
(7)
Ln Ln(1. k)/ i = 0
K1 = 2, K2 = 1.5
The MLE Of two parameter Weibull distribution can be

calculated numerically. For shape parameter the equation is
[ ( ti ln ti +(n-r) ts ln ts )/ ti +(n-r) ts ]- (1/)- (1/ r) ln ti
=0
(8)
No. of degree of freedom for Numerator = 2*k2=2*1.5= 3

No. of degree of freedom for Denominator = 2*k1=2*2=4
Now the value of Fcrit may be obtained from F- distribution

Fcrit = 6.59 (from F- distribution table).
Since, M < Fcrit; Thus Hypothesis H0 is accepted which says
that the failure times come from Weibull distribution.
For Lathe Machine 2

Let n = 7 and r = 7
K1 = 3, K2 = 3
M = 0.9748
MLE estimate of Scale Parameter

= {1/r[ti + (n-r) ts]}1/
(9)
Here, r = number of failures, n = number of items on testing

ti = failure time of ith item , ts = 1 for complete data, For
complete failure r = n.
The hypothesis is given as:
H0: the failure times come from Weibull distribution.
H1: the failure times did not come from the Weibull
distribution.
(11)
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C. Weibull MLE
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1
M = 0.1665
(12)
No. of degree of freedom for Numerator = 2*k2=2*3= 6

No. of degree of freedom for Denominator = 2*k1=2*3=6
Now the value of Fcrit may be obtained from F- distribution
Fcrit = 4.28 (from F- distribution table).
Since, M < Fcrit; Thus Hypothesis H0 is accepted which says
that the failure times come from Weibull distribution.
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Table 1: For Weibull Distribution MLE and Manns Test Statistic

(For Lathe Machine - 1)
Failure
Rank
Weibull Parameters
ti
ti* ln ti
1/
Zi
Mi
ln ti+1- ln ti
ln ti+1- ln
ti/ Mi
4.9416
4031.76
19923.34
0.5952
-2.484
1.191
0.7282
0.6114
1.680
5.6698
13703.41
77695.59
0.5952
-1.293
0.622
0.584
0.9389
520
1.680
6.2538
36549.85
228575.45
0.5952
-0.671
0.474
0.0918
0.1936
570
1.680
6.3456
42645.16
270609.12
0.5952
-0.197
0.438
0.1764
0.4027
680
1.680
6.5220
57360.77
374106.94
0.5952
0.241
0.510
0.098
0.1921
750
1.680
6.6200
67624.32
447672.99
0.5952
0.751
-0.751
-6.6200
8.8149
0.1665
Fcritic
6.59
Failure Time (ti)
ln ti
140
1.680
290
1.680
Manns
Staistic
Characterstic
666.63
Table 2: For Weibull Distribution MLE and Manns Test Statistic

Failure
Rank
Weibull Parameters
ti
ti* ln ti
1/
Zi
Mi
ln ti+1- ln ti
ln ti+1- ln
ti/ Mi
4.4998
154.43
694.90
0.8928
-2.638
1.177
0.6359
0.540
1.120
5.1357
314.84
1616.92
0.8928
-1.461
0.601
0.568
0.945
300
1.120
5.7037
594.80
3392.56
0.8928
-0.860
0.444
0.0646
0.145
320
1.120
5.7683
639.39
3688.19
0.8928
-0.416
0.385
0.2478
0.643
410
1.120
6.0161
843.95
5077.28
0.8928
-0.031
0.382
0.2754
0.721
540
1.120
6.2915
1148.89
7228.28
0.8928
0.351
0.468
0.1054
0.225
600
1.120
8269.87
0.8928
0.819
-0.819
-6.3969
7.811
0.9748
Fcritic
4.28
Failure Time (ti)
ln ti
90
1.120
170
1.120
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352.57
6.3969
1292.79
Manns
Staistic
Characterstic
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From the above table we can conclude that:

For Lathe Machine Machine 1
For Lathe Machine 2
= 1.680
= 1.120
= 666.63
= 352.57
Manns
Manns
Staistic
Characterstic
= 0.1665
Staistic
= 0.9748
Characterstic
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Table 3: Weibull Reliability and MTBF

Failure
Rank
Weibull Parameters
Failure Time (ti)
R(t) = 1 [(i0.3)/(n+0.4)]
X=
ln(t)
Y = lnln
(1/R(t))
X2
X*Y
140
0.8906
4.9416
-2.155
24.419
-10.649
290
0.7343
5.6698
-1.174
32.146
-6.656
520
0.5781
6.2538
-0.601
39.110
-3.758
570
0.4218
6.3456
-0.147
40.266
-0.9328
680
0.2656
6.5220
0.281
42.536
1.832
750
0.1093
6.6200
0.794
43.824
5.256
SUM
36.3528
-3.002
222.301
-14.9078
AVG SUM
6.0588
-0.5003
37.051
-2.4846
Straight Line Coefficient

a = -10.2123
b = 1.6029
Weibull Parameters
= 1.6029
= 584.72
Reliability( according to Weibull Distribution),

R(t) = exp(-(t/))
R(t) = 0.9427
(13)
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MTBF = (1+(1/))
(14)
MTBF = 584.72 1.62 = 584.72 * 0.89592
( From table A. 9 [1])
So, MTBF = 523.86 hrs.
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Table 4: Weibull Reliability and MTBF

I
90
0.9054
4.4998
-2.3088
20.2482
-3.4627
170
0.7702
5.1357
-1.3428
26.3754
-6.8962
300
0.6351
5.7037
-0.7897
32.5322
-4.5042
320
0.5000
5.7683
-0.3665
33.2732
-2.1140
410
0.3648
6.0161
0.0083
36.1934
0.0499
540
0.2297
6.2915
0.3859
39.5829
2.4278
600
0.0945
6.3969
0.8583
40.9203
5.4904
SUM
39.812
-3.5553
229.1256
-9.009
AVG SUM
5.6874
-0.5079
32.7322
-1.287
Failure
Rank
Straight Line Coefficient

a = -24.1242
b = 4.1524
Weibull Parameters
Failure Time (ti)
R(t) = 1 [(i0.3)/(n+0.4)]
X=
ln(t)
Y = lnln
(1/R(t))
X2
X*Y
Weibull Parameters
= 4.1524
= 333.52
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Reliability (according to Weibull Distribution), R(t) = 0.9932

MTBF = (1+(1/))
(13)
MTBF = 333.52 1.24 = 584.72 * 0.90852
(From table A. 9 [1])
So, MTBF = 303.009 hrs.
So Overall Reliability of the system is given by
Rsys (t) = RL1(t)+ RL2(t) - RL1(t) * RL2(t)
Rsys (t) = 0.9427+0.9932-0.9427*0.9932 = 0.9996
Conclusion
Reliability is the most important parameter of a machining
system. Based on the analysis of the machining system and
values obtained for these systems are used for the further
improvement in the efficiency of the system. If the reliability
of the two systems is increased then the reliability of the
system is increased. Also since shape parameter is greater than
one so we can say that failure rate is increasing. Since
Availability is directly dependent on MTBF, so increase in
MTBF will improve the Availability of the system. MLE
estimation and Goodness of fit test is conducted for both the
machines and is shown in table 1and table 2. Weibull
Reliability and MTBF analysis is shown in table 3 & table 4.
4
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References
[1] Ebling C.E.,(2000), An Introduction to Reliability and
Maintainability Engineering,(Tata McGraw-Hill Publishing
Company Limited.2000).
[2] Kumar Amit and Lata Sneh.,(2011), Reliability Analysis
of Piston Manufacturing System, Journal of Reliability and
Statistical Studies; ISSN (Print): 0974-8024, (Online):22295666 Vol. 4, Issue 2 (2011): 43-55.
[3] Sukhwinder Singh Jolly and S S Wadhwa (2004),
Reliability, Availability and Maintainability study of high
precision special purpose manufacturing machines, Journal of
Scientific & Industrial Research Vol. 63, June 2004, PP 512517.
[4] Kurian KC, Reliability and availability analysis of
repairable system using discrete event simulation, 1988,
Ph.D. thesis IIT Delhi.
[5] Jingyi, Zhuoru Chen and Yiqun Wang , The development
and prospect of Hydraulic Reliability Engineering,
Probability in engineering and information science(USA)
1998, pg 187-196.
[6]. Benski, C. and Cabau, F. "Unrelated Experimental design
in Reliability Growth Programs", IEEE Transactions on
reliability, 1995,44 (2), pp. 199-202.
[7] Singhal Piyush.,(2008)Reliability availability and
Maintainability Analysis of Machining System. 23-25
January(2008) International Conference on Recent
Developments in Mechanical Engineering, Organised by Deptt
of Mechanical Engineering, SUS College of Engineering&
Technology, Tangri, Mohali.
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Genetic algorithm based performance analysis of 3phase self excited induction generator
S. Ray
S. N. Mahato
N. K. Roy
Dept of Electrical Engineering

Dept. of Electrical Engineering
National Institute of Engineering
Durgapur, India
Durgapur, India
Durgapur, India
raysambaran@gmail.com
advantages such as brushless construction (squirrel cage rotor),
Abstract This paper analyzes the steady state performance
reduced size, absence of dc power supply for excitation,
of isolated 3-phase self excited induction generator (SEIG)
feeding balanced static resistive load. The effects of load, load
absence of synchronizing equipment, good over-speed
admittance and capacitance on magnetizing reactance,
capability, reduced maintenance cost, inherent short-circuit
frequency, terminal voltage, currents have been shown in this
protection capability and better transient performance [2-4].
paper. The equivalent circuit of SEIG has been analyzed by loop
impedance method to develop circuit equation which is nonlinear in nature. This can be easily solved by genetic algorithm
(GA) optimization technique. The simulated results obtained
using genetic algorithm help in understanding the steady state
performance of SEIG.
KeywordsSEIG, GA, equivalent circuit, terminal voltage and
magnetizing reactance.
Study of steady-state analysis of self excited induction

generator has importance both from the design and operational
points of view and has been studied in different literature [513]. In an isolated power system, both the terminal voltage and
frequency are not known and have to be calculated for a given
speed, capacitance and load impedance.
List of Symbols
R1 = Stator resistance per phase
R2 = Rotor resistance per phase
RL = Load resistance per phase
X1 = Stator leakage reactance per phase
X2 = Rotor leakage reactance per phase
XL = Load reactance per phase
Xm = Magnetizing reactance per phase
Xc = Shunt excitation capacitive reactance per phase
C = Shunt excitation capacitance per phase
a = per unit generated frequency
b = per unit speed
YL = Load admittance per phase
ZL = Load impedance per phase
Eg = Generated air gap voltage per phase
VL = Load voltage per phase
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I.
In case of SEIG physical system is converted to different

models and then the Loop impedance technique used by
Murthy [5] and Malik [6] or Nodal admittance technique used
by Quazene [7] and Chan [8] is applied to identify the
operating point under saturation for the given speed, load and
capacitance. Two higher degree non-linear equations as the
function of per unit frequency and magnetizing reactance are
generated by different conventional methods like NewtonRaphson method [5], iterative method [9], secant method [10],
symbolic programming method [8], etc.
In present paper the per phase equivalent circuit of self

excited induction generator has been analyzed by loop
impedance method and two higher degree non-linear equations
are developed. Only one higher degree non-linear equation as
the function of per unit frequency and magnetizing reactance is
solved by genetic algorithm (GA) optimization technique very
easily. The effects of capacitance and load on terminal voltage,
frequency, current and other different issues are investigated in
steady state analysis.
INTRODUCTION
II.
The renewable energy resources play a major role in rural

electrification and industrialization programs. Central grid
connection is expensive or difficult to provide in remote areas
but small-scale autonomous power systems may be developed
for supplying the local customers thereby reducing the cost of
the distribution lines and increasing the availability of electrical
power.
The self-excited induction generator (SEIG) is a strong
candidate to harness these renewable energy sources like small
hydro and wind energy resources. An SEIG is normally a
squirrel cage induction machine excited through an externally
connected ac capacitor bank [1]. SEIG becomes one of the
important research areas in the field of renewable energy sector
and isolated power systems due to the following although the
PERFORMANCE ANALYSIS
The following assumptions are made in this study

i.
All the machine parameters except magnetizing

reactance are assumed to be constant.
ii.
Per unit resistances and leakage reactanes of stator and

rotor are taken to be equal.
iii.
The time harmonics and mmf space harmonics in the

induced emf and current waveform are neglected.
A schematic of shunt capacitor self excited induction

generator has been shown in the Fig.1
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N ( X m ,a) =
( n1 X m + n2 ) a 4 + ( n3 X m + n4 ) a3 + ( n5 X m + n6 ) a 2 ( n7 X m + n8 ) a n9 = 0
(4)
The values of the coefficients m1 to m8 and n1 to n9 are
given in appendix.
For a given value of machine parameters, shunt
capacitance, speed and load the equations can be solved. To
know the value of Xm and a, only one equation is enough for
solution with the help of GA technique very easily. We select
the first equation and solve to get the value of Xm and a.
With Eg/a, Xm, a, Xc, b, RL and machine parameters known,
calculation of the load voltage VL , IL, Is, Ir, input as well as
output active and reactive power is straightforward using the
equivalent circuit of Fig. 1. Expressions for the respective
variables are given below:
Fig.1. Schematic of SEIG
The per phase steady state equivalent circuit of self excited

induction generator with balanced static R-L load is shown in
Fig.2.
1.
Is =
Eg / a
jX c RL

+ jX L
2
R1
a a

+ jX 1 + R
jX
a
c
L
a + jX L + a 2

4
1
2.
Eg
a
Ir =
R2
+ jX 2
a b
3.
jX c
a2
IL = Is
RL + jX + jX c
L
2
a
a
Zloop = loop impedance
4.
Ic = Is IL
jX
= R2 + jX 2 c + R 1 + jX + jX m R2 + jX
1
2
a b
a a
a b
5.
ZL =
6.
VL = aI L Z L ;
7.
Active power input per phase
Fig.2. Steady state equivalent circuit of self-excited induction generator

with R-L load
S
E
I
Above circuit can be reduced to single loop circuit and by

using loop analysis we get the expression as
Iloop Zloop = 0
(1)
Since Iloop must be non-zero for energy conversion, equation

(1) is only valid for Zloop to be zero.
Where Iloop = loop current and
(2)
Zloop to be zero , real and imaginary part of it should be
separately zero. From this we get the following two non-linear
equations with Xm and a as two unknown variables on
simplification.
RL
+ jX L
a
2 R
Pin = a I r 2
a b
M ( X m ,a)=
( m1 X m + m2 ) a 3 + ( m3 X m + m4 ) a 2 + ( m5 X m + m6 ) ( m7 X m + m8 ) = 0
(3)
8.
Active power output per phase
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2
(5)
(6)
(7)
(8)
(9)
(10)
(11)
Pout = I L RL
2
GENETIC ALGORITHM
The idea of evolutionary computing was developed by I.

Rechenberg in 1960 in his work Evolutionary strategies.
Genetic algorithms (GA) are computerized search and
optimization technique based on the mechanism of natural
genetics and the Darwinian theory of evolution i.e survival of
the fittest. Genetic algorithms are good at taking larger,
potentially huge, search spaces and navigating them looking
for optimal combinations of things and solutions which we
might not find in a life time [14].
GA creates strings of binary digits and evaluates each
strings strength in terms of fitness value. The stronger strings
will last and mate with other stronger strings to produce strong
offspring. Finally one becomes best of all.
Following are the steps involved for the study of
performance of SEIG using GA optimization technique:
Step 1 : Read R1, R2, X1, X2, XC, RL, XL, b, Eg/a Vs. Xm,
Step 2 : Declare ranges for a and Xm
Step 3 : Select population size (PS), number of chromosomes
(Chm), number of generations (Gen) and tolerance
().
Step 4 : Set Gen = 1
Step 5 : Generate initial population with two sets of
chromosomes for respective variables.
Step 6 : Evaluate the objective function M(Xm, a) from
equation (3).
Step 7 : If M(Xm, a) go to step 10. Else go to next step.
Step 8 : If Chm PS take the variables from the next
Chromosomes and go to step 6. Else go to next step.
Step 9 : Generate new set of chromosomes using GA process.
Step 10 : Print a and Xm and compute generator performance.
Step 11 : Stop
IV.
M agnetiz ing reac tanc e (X m ) in p.u.
III.
Fig. 3 shows the calculated values of per phase

magnetizing reactance (Xm) as load admittance (YL)
varies at three different capacitance (C) i.e C = 1.0,
0.8025 and 0.6667 p.u. with b = 1.0 p.u and power
factor (p.f) = 1.0. It is observed that Xm increases almost
exponentially as YL increases for any particular value of
C. Maximum limit of Xm indicates the unsaturated value
(i.e Xm 1.958) which makes the system unstable. As
the value of capacitance (C) increases the value of Xm
decreases.
(12)
2.
X m 1.958
1.958 X m
(13)
Observations are as follows:
1.
C = Capacitance
b = 1.0 p.f = 1.0
0.5
0
0.5
1
Load admittance (YL) in p.u.
1.5
4
1
=0
Effect of excitation capacitance on generated frequency

under unity power factor load (quantities are in p.u).
generated frequency (a) in p.u.
C = 1.0
C = 0.6667
1.5
Fig. 4. shows the variation of per phase generated

frequency (a) as load admittance (YL) varies at three
different capacitance (C) i.e C = 1.0, 0.8025 and 0.6667
p.u. with b = 1.0 p.u and power factor (p.f) = 1.0. It is
observed that a decreases almost linearly as YL
increases for any particular value of Xc. Frequency
drops by 2.42%, 4.88% and 7.22% of no-load value for
corresponding values of C = 0.6667, 0.8025 and 1.0 p.u.
respectively. As the value of C increases, value of a
decreases very slightly for particular load admittance
but the range of operation increases.
S
E
I
= 0.000004043 X m3 + 0.00078687 X m2 0.0562 X m + 2.4212
C = 0.8025
Fig.3. Variation of magnetizing reactance with load admittance at

u.p.f.
In this paper the simulated results refer to a 3-phase, 2.2 kW,

230 V, 7.8 A, 4-pole, delta-connected squirrel cage induction
machine whose per-phase equivalent circuit parameters in per
unit are : R1 =0.0563, R2 =0.0563, X1=0.0873 and X2=0.0873.
The magnetization curve was determined from a synchronous
speed test. The approximate equation of the curve is as follows
Eg
Variation of Xm
2.5
Effect of excitation capacitance on magnetizing

reactance under unity power factor load (quantities are
in p.u).
generated frequency Vs Load ammittance

1
C = 0.6667
0.98
0.96
C = Capacitance
b = 1.0 p.f = 1.0
C = 0.8025
C = 1.0
0.94
0.92
0.5
1
1.5
Fig.4. Variation of generated frequency with load admittance at u.p.f.
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3
3.
Effect of excitation capacitance (C) on per phase load

voltage (VL) has been shown in Fig. 7. at b = 1.0 p.u
and p.f = 1.0. No-load voltage is higher for higher value
of capacitance. VL drops as the YL increases. If the
capacitance increases VL increases and range of
operation also increases. Voltage regulation is better
for higher values of C.
Effect of excitation capacitance on stator current under

unity power factor load.
In Fig. 5 the variation of stator current (IS) w.r.t load
admittance (YL) at different capacitance (C) with b =
1.0 p.u and power factor (p.f) = 1.0 has been shown.
The nature of curve shows that no-load IS is very high
and its value depends on C. If C is high, no-load Is is
high. When YL increases, stator current also increases
gradually and reaches its peak value for a fixed value of
C. If YL increases further stator current decreases. If the
capacitance increases and IS increases for fixed value of
load admittance.
Load voltage VL Vs Load ammittance YL

1.4
Load voltage VL
1.2
Stator current Is Vs Load ammitance YL

Stator current (Is) in p.u.
1.4
C = 1.0
1.2
0.8
0.6
0
0.5
1
6.
1.5
Load voltage (VL) Vs Power output (Pout)

1.4
C = 1.0
C = 1.0
1.2
C = 0.8025
C = 0.6667
1.2
0.2
0.4
0.6
0.8
Power output (Pout) in p.u
C = 0.6667
0.8
0.6
0.4
C = 0.8025
C = Capacitance
b = 1.0 p.f = 1.0
0
Effect of excitation capacitance on load voltage under

unity power factor load (quantities are in p.u).
A
Load voltage (VL) in p.u
Stator current (Is) in p.u
1.4
1.5
4
1
Stator current (Is) Vs Power output (Pout)
0.6
0.5
1
Load admittance (YL)
Effect of excitation capacitance (C) on per phase load

voltage (VL) has been shown in Fig. 8. at b = 1.0 p.u
and p.f = 1.0. No-load voltage is higher for higher value
of capacitance. If the load is increased terminal voltage
drops and if the load is increased beyond its maximum
value both load and voltage are decreased. If the
capacitance increases VL increases and range of
operation also increases. Voltage regulation is better if
we increase the value of C.
S
E
I
0.8
Fig.7. Variation of load voltage with load admittance at u.p.f.
C = Capacitance
b = 1.0 p.f = 1.0
In the Fig. 6 the variation of stator current (IS) w.r.t

load (Pout) at different capacitance (C) with b = 1.0 p.u
and power factor (p.f) = 1.0 has been shown. The nature
of curve shows that no-load stator current (IS) is very
high and its value depends on capacitance. If C is high
no-load Is is also high. If the value of C is increased
no-load stator current is also increased.
C = 0.6667
C = 0.6667
unity power factor load (quantities are in p.u).
C = Capacitance
b = 1.0 p.f = 1.0
0
0.2
0.4
0.6
0.8
Power output (Pout) in p.u
Fig.8. Variation of load voltage with load at u.p.f.
V.
Fig.6. Variation of stator current with load at u.p.f.
5.
0.8
0.4
Effect of excitation capacitance on stator current under
0.4
C = 1.0
1
C = 0.8025
Fig.5. Variation of stator current with load admittance at u.p.f.
4.
C = 0.8025
0.6
0.4
C = Capacitance
b =1.0 p.f = 1.0
CONCLUSION
A general analysis using genetic algorithm (GA)

optimization technique has been applied to predict the steady-
Effect of excitation capacitance on load voltage under

unity power factor load
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4
m2 = X 1 X 2 RL + X L ( R2 X 1 + R1 X 2 ) ;
state behavior of isolated self-excited induction generators

feeding static resistive load. It calculates the values of
saturated magnetizing reactance and the output frequency for
the given capacitance , speed and load. The steady-state
equivalent circuit can then be used to compute the
performance. The results show that the terminal voltage and
stator current increase significantly with increase in
capacitance value. This analytical technique is very efficient
requiring very little computational time, to an accuracy of 1008
.
VI.
m3 = b ( m1 R2 X L ) ;
m4 = bX 2 ( X L R1 + RL X 1 ) ;
m5 = X C ( R1 + R2 + RL ) ;
m 6 = X C { R 2 ( X 1 + X L ) + X 2 ( R1 + R L )} + R1 R 2 R L ;
m7 = bX C ( R1 + RL ) ;
m8 = X 2m7 ;
REFERENCES
n1 = X L ( X1 + X 2 ) ;
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
[9]
[10]
[11]
[12]
[13]
[14]
E. D. Basset and F. M. Potter, Capacitive excitation of induction

generators , Trans. Amer. Inst. Electr. Eng., 54, pp. 540 545, 1935.
D.B. Watson, J. Arrillaga and T. Densem,"Controllable d.c. power
supply from wind-driven self-excited induction machines," Proc. IEE,
Vol.126, No.12, PP.1245-1248, 1979.
I.P. Milner and D.B. Watson, "An autonomous wind energy converter
using a self-excited induction generator for heating purposes, " Wind
Engineering Vol.6, No.1, PP.19-23, 1982.
J.B. Patton and D. Curtice, "Analysis of utility protection problems
associated with small wind turbine interconnections ." IEEE Trans . on P
.A.S., Vol. PAS-101, No.10, PP.3957-3966, 1982 .
S. S. Murthy, O. P. Malik, and A. K. Tandon, Analysis of self excited
induction generator,Proc. Inst. Elect. Eng. C, Vol. 129, no. 6, pp.260
265, Nov. 1982.
N. H. Malik and S. E. Haque , Steady state analysis and performance of
an isolated self excited induction generator, IEEE Trans. on Energy
Conversion, Vol. 1, No. 3, PP. 133-139, 1986.
L. Quazene and G. McPherson Jr., Analysis of an isolated induction
generator, IEEE Trans. Power App. Syst., Vol. 102, No. PAS-8, PP.
27932798, Aug. 1983.
T. F. Chan., Steady-state analysis of self-excited induction generators,
IEEE Trans. on Energy Conversion, Vol. 9, No. 2, pp. 288-296, 1994.
T. F. Chan., Analysis of self-excited induction generators using
iterative method, IEEE Trans. on Energy Conversion, Vol. 10, No. 3,
PP. 502-507, 1995.
Y. J. Wang and Y. S. Huang, Analysis of a stand-alone three-phase
self-excited induction generator with unbalanced loads using a two-port
network model , Electrical Power Applications, IET, Vol. 3, Issue. 5,
PP. 445-452, 2009.
A. K. Tandon, S. S. Murthy, and G. J. Berg,Steady state analysis of
capacitor self-excited induction generators, IEEE Trans. Power App.
Syst., vol. PAS-103, No. 3, PP. 612618, Mar. 1984.
A. K. A. Jabri and A. I. Alolah, Limits on the performance of the three
phase self-excited induction generators, IEEE Trans. on Energy
Conversion, Vol. 5, No. 2, PP. 350-356, 1990.
S. S. Murthy, C. Prabhu, A. K. Tandon and M. O. Vaishya, Analysis of
series compensated self excited induction generators for autonomous
power generation, Proceedings Of Internation Conference on Power
Electronics, Drives and Energy Systems for Industrial Growth, Vol. 2,
PP.687693, 1996.
S. Rajasekaran and G. A. Vijayalakshmi Pai, Neural Networks, Fuzzy
logic and Genatic Algorithms. PHI. 2003.
n2 = X L X1 X 2 ;
n3 = bn1;
n4 = bn2 ;
n5 = X C ( X L + X1 + X 2 ) + RL ( R1 + R2 ) ;
n6 = X C X 2 ( X1 + X L ) + RL ( R2 X1 + R1 X 2 ) + R1R2 X L ;
n7 = b ( n5 RL R2 ) ;
4
1
n8 = b{n6 R2 ( X1RL + R1 X L )} ;
n9 = R2 X C ( R1 + RL ) ;
S
E
I
VII. APPENDIX
m1 = RL ( X 2 + X 1 ) + X L ( R1 + R2 ) ;
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5
Comparative Study of Machining Processes by

Process Capability Indices
Mrs Vidhika Tiwari1
Dr. N.K.Singh2
JRF(PHD), Mechnical Engineering Department,

Indian School of Mines Dhanbad(JH), India.
e-mail- vidhika.shukla@gmail.com
Associate Professor(Workshop),Mechanical Engineering

Department
Indian School of Mines
Dhanbad (JH), India
e-mail- nks_221@yahoo.co.in
lower Cpk, whereas Cp will be high. Cpk is higher only when
you are meeting the target consistently with minimum
variation. In this study, SPC technique was used to evaluate
machines capability (Cm=Cp) and process centering Cpk of
manufacturing process to find whether the process is capable or
not. The number of nonconforming part was determined in
observed values, in short periods of time. Cp, when shown
together with Cpk, gives a quick estimate of how far the actual
process is from its target and thus ,how much work is needed to
bring the process to its potential.
Abstract Process Capability indices are indices for

describing how well a product is machined compared to defined
target values and tolerances. Process Capability analysis can be
applied not only to production period but also to a machine or
machine tool. This gives the information about changes and
tendencies of the system during the production. It is used to
determine the system tendencies between tolerance limits. In this
experimental study some statistical calculations have been made
to describes how capability indices are calculated and
comparative study between different capability indices Cp, Cpk,
Cpm, Cpmk for machining process has been presented.
I.
II.
S
E
I
The machine capability study is a short-term study with

the aim of discovering the machine-specific effects on the
production process. A process capability index is usually
indicated by different indices e.g. Cp and Cpk,. Machine
capability explicitly refers to the ability of a machine tool to
produce very good machine parts. Cpk measures how close a
process is running to its specification limits relative to the
natural variability of the process. The larger the index, the less
likely it is that any item will be outside the specification .Cpk
measures how close you are to your target and how consistent
you are to around your average performance. A person may be
performing with minimum variation, but he can be away from
his target towards one of its specification limit, which indicate
PROCESS CAPABILITY INDICES AND PROCESS
INTRODUCTION
The increase of consumer needs for quality metal cutting

related products (more precise tolerances and better product
surface roughness, roundness) has driven metal cutting industry
to continuously improve quality control of metal cutting
processes. To achieve good quality products with minimum
variation and to increase productivity and profitability, it is
necessary to all parts are machined with properties close to
target values and within defined tolerances and the outcome
will have high percentage of useful parts and consequently
there would be very less wastage and very less re-machining of
parts in order to saves time and money. A possible way of
working towards more accurate machining is by optimizing a
process with the help of capability indices. A capability study
is one way of visualizing the ability of a process to produce
products according to defined properties of the product.
4
1
The Cpm index reflects the shifts in the process mean

analogously to the way that the Cpk index reflects these shifts.
Keywords: Machine tool capability and process capability; Cp,Cpk,

Cpm, Cpmk.
CAPABILITY STUDY
With the origination of process capability measures since

1942 from the British Standard Institution and pioneering work
initiated by Kane (1986) for their development and application,
several authors have made significant contributions. Besterfield
(1989) defines Process Capability Analysis is a statistical
technique helpful throughout product cycle for quantification
of process variability, analysis of variability relative to product
requirement, specification development activities prior to
manufacturing and assistance in development and
manufacturing in eliminating variability. Kane (1986) defines
Process capability index measures relationship between the
allowable process spread (natural tolerance) and the actual
allowable process spread (specification range).
The two most widely used indices in industry are Cp and
Cpk, where Cp was presented by Juran (1974) and Cpk by
Kane (1986).
Cp
USL LSL
6
USL LSL
Cpk min
,
3
3
Where [LSL, USL] is the specification interval, is the
process mean and is the process standard deviation of the incontrol process Since the indices Cp and Cpk do not take into
account of the differences between the processes mean and its
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target value, Chan(1988) and Pearn(1992) considered this

difference to develop indices Cpm and Cpmk as follows:
USL LSL
Cpm
2
2
6
USL
LSL
Cpmk min
,
,
2
2
3 2 T 3 2 T
so as to decide upon the suitability of the machine to hold

particular tolerance. In this study, to make a clear decision
about the capability of the machining process, 25 numbers of
sample parts were inspected in each lathe and four different
lathe machines are considered for analysis. So total numbes of
samples are 100. A single sampling plan was implemented by
using the lot-acceptance sampling plan. Samples were chosen
randomly during the TURNING process. The data for the
investigated characteristic was collected for 25 days in the
company, The results of statistical calculations of the process
with data obtained from all four machines and process
capability values are listed in Table 2.
Table 2:
Where, T represents the target value of quality

characteristics. The process parameters and 2 are estimated
from the sample mean variance for and S2, when and 2
are unknown. Many PCI generalizations for non-normal
processes suggested by Clements (1989), Kotz and Johnson
[5], and Sommerville and Montgomery [16], Maiti, Saha and
Nanda[13] Clements [22], Pearn and Kotz [19], Pearn and
Chen [18] and Mukherjee [12]. A number of new approaches
to process capability analysis have been attempted by Carr [11]
and Flaig [17]. Another index that is given by Boyles [10] is
also worth mentioning. The indices suggested so far whose
assessment is meaningful regardless of whether the studied
process is discrete or continuous are those suggested by Yeh
and Bhattacharya [14], Borges and Ho [21], and Perakis and
Xekalaki [9].
Part name: Spiral Bevel Pinion

Operation: Turning
Checking method: Micrometer
Make: MITUTOYO
Range: 25-50mm
Least Count: 0.01 mm
Target: 40.00 mm dia
Another process capacity index is Parts per Million (PPM).

This index indicates the ratio between the number of pieces
exceeding the specification limits and a million produced units.
Tolerance: + 0.05 mm
S
E
I
Table 1. Process Capability Index versus Defect Level [20]
III.
Cp
PPM
0.5
133,614
1.0
2,700
1.3
96
1.7
0.34
2.0
0.0018
MEASUREMENTS
PPM can be estimated based on empirical data (i.e. the

number of exceeding elements over one million) or with the
cumulative distributions function of the theoretical distribution.
Table 1 provides a few Cp values and their associated
defect counts in terms of parts-per-million (ppm) defects. The
table does assume that the process is in control, is normally
distributed, the process is centered on the target value, and that
the specifications are two-sided.
4
1
Sample
Nos.
ANALYSIS AND APPLICATION OF PCI
The work piece Spiral Bevel Pinion was machined using

lathe machine in a production organization. The work pieces
were machined under dry conditions. The focus of the study
was to investigate the process capability of the ongoing process
m/c1
m/c2
m/c3
m/c4
1.
2.
40.01
40.04
40.02
40.01
40
40.02
40
40.02
3.
40
40
40
40
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
21.
22.
39.98
40.02
40
40
40.02
40.04
39.96
39.98
40
40.02
40
39.96
40.04
40.02
40.04
40
40.02
40
40.04
40.02
40.01
40.02
40.02
40
40.01
40
40.02
40.02
40.01
40.01
39.98
40.03
40
40.02
40.02
40.04
40.02
40
39.98
40
40
40.05
40.02
40.01
40
40
40.02
40.02
40.01
40
40.01
40.04
40.01
40.02
40.01
40
40.02
40
40.02
39.98
40
40.02
40.04
40
40
40.02
40.01
39.98
40
40.02
40.02
40.02
40
40.02
40
39.98
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23.
24.
25.
39.99
40
40.02
Average
40.008
40.02
40.01
40.01
40
39.33
40.01
40
39.98
40.02
40.0128
39.9832
40.006
SD
0.023274
0.01208
0.136831
0.015811
Var 2
Range R
0.000542
0.08
0.00014
0.06
0.018723
0.72
0.00025
0.04
Cp
CPU
0.716115
1.379343
1.158648
0.121805
0.102316
1.054093
0.885438
1.60003
1.158648
0.946847
0.704454
0.14129
0.102316
0.120897
0.080276
1.22274
0.885438
0.985521
0.867258
CPL
Cpk
Cpm
Cpmk
0.601536
0.830693
0.601536
0.677223
0.568868
IV.
Fig 2
For machine 2 Cp is 1.379343 (CP > 1.33) Fig 3. A fairly

capable process this process should produce less than 64 nonconforming PPM. This process will produce conforming
products as long as it remains in statistical control. The process
owner can claim that the customer should experience least
difficulty and greater reliability with this product. This should
translate into higher profits.
For machine 1 and machine 3 Cp is 0.716115 and 0.121805

respectively (CP < 1) Fig 1&2. In an incapable process this
process will produce more than 2700 non-conforming PPM. It
is impossible for the current process to meet specifications
even when it is in statistical control. effort must be immediately
made to improve the process (i.e. reduce variation) to the point
where it is capable of producing consistently within
specifications.
4
1
S
E
I
Fig 3
Fig 1
For machine 4 Cp is 1.054093 (1 < CP < 1.33) Fig 4.For a

barely capable process this process will produce greater than 64
PPM but less than 2700 non-conforming PPM. This process
has a spread just about equal to specification width. It should
be noted that if the process mean moves to the left or the right,
a significant portion of product will start falling outside one of
the specification limits. This process must be closely
monitored.
44 of 446
REFERENCES
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
[9]
Fig 4
[10]
V.
CONCLUSION
Statistical Quality Control has great deal of improvements in

companies for the mass production. Process Capability
analysis gives the information about changes and tendencies of
the system during the production. It is used to determine the
system tendencies between tolerance limits.. In this study,
statistical calculations for a product manufactured using mass
production in a medium sized company were carried out.
Using the manufacturing data obtained from each line
respectively and the machine tool process capability was
determined. It was determined that the parts were
manufactured out of tolerance. It was detected that the machine
tool and process capability for the whole process was
inadequate and the mass production was unstable Since in the
machines 1 and 3, Cp < 1 ,and Cpk <1 the machine tool
process was not capable it was necessary to stop the process,
reexamine the process parameters and rearrange the process in
order to reassure machine tool and process stability. The work
piece material, machine tool and cutting parameters which are
three important components of machinability were reevaluated.
In machine 4 while the machine capability was accomplished
since Cp>1, it was determined that the process capability was
not achieved because Cpk was less than 1.These obtained
values showed that, process parameters were required to be redetermined. When examining results of Table 2 for the
machine 2 both machine tool and process capability were
accomplished.
[11]
[12]
[13]
4
1
S
E
I
[14]
[15]
[16]
[17]
[18]
[19]
[20]
[21]
ACKNOWLEDGMENT
The authors remain ever grateful to Shri Sandeep Mittal
Manager in HAL Bangalore for his guidance and suggestions,
and which made the submission of this paper possible in the
present form.
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Quality Technology & Quantitative Management Vol. 7, No. 3, pp.
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Yeh, A. B. and Bhattacharya, S. (1998). A robust process capability
index, Communications in Statistics - Simulation and Computation,
27(2), 565-589.
R.N. Rodriguez Recent developments in process capability analysis J.
Qual. Technol., 24 (1992), pp. 176187.
S.E. Sommerville, D.C. Montgomery Process capability indices and
non-normal distributions Qual. Engng., 9 (1996), pp. 305316.
Flaig, J. J. (1996). A new approach to process capability analysis,
Quality Engineering, 9, 205-211.
Pearn, W. L. and Chen, K. S. Estimating process capability indices for
non-normal Pearsonian populations, Quality and Reliability
Engineering International, 11, 389-39(1995).
Pearn, W. L. and Kotz, S. Application of Clements' method for
calculating second- and third-generation process capability indices for
non-normal Pearsonian populations, Quality Engineering, 7, 139145(1994-95)..
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Results: Methodologies for Analyzing a Stencil Printing Process Using
Process Capability Index Analyses, Proceedings of the SMTAI
Conference, Chicago, IL, September 2005.
Borges, W. and Ho, L. L.. A fraction defective based capability index,
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[22]
45 of 446
Heat transfer analysis in porous fin of different

profiles using Variational iteration method
Subhasis Chakravarthy, Dipankar Bhanja
Pabitra Kumar Mandal

Silchar, India

Dr. B. C. Roy Engineering College
Durgapur, India
dipankar.bhanja@gmail.com
AbstractIn this work, the effects of temperature dependent heat

transfer coefficient on thermal analysis of porous fin is investigated.
Three different profiles namely, rectangular, convex and triangular
types are chosen. The fins are exposed in natural convection
condition. This study is based on finite-length fin with insulated tip.
To formulate the heat transfer equation for the porous fin, the energy
balance and Darcys model are used. An analytical technique called
Variational iteration method (VIM) is proposed for the solution
methodology. The effects of various geometric and thermophysical
parameters on the dimensionless temperature distribution and fin
efficiency for all the profiles are studied in a comparative way that
may help to choose best possible geometry. It is observed that the
exponent associated with heat transfer coefficient has direct effect on
the efficiency of the fins and rectangular profile surpasses all the
other profiles in study for the best efficiency.
INTRODUCTION (Heading 1)
S
E
I
Heat transfer analysis has been the quintessential part of

study in all scientific fields and extended surface (fins) heat
transfer is the field that is grabbing attention for the past few
decades. Fins have proved to be an inexpensive and effective
means of enhancing heat transfer between a hot surface and its
surrounding fluid. Fins find extensive application in airconditioning, air-cooled craft engines, refrigeration, cooling of
computer processor etc. A large amount of work has been done
in the field of solid extended surfaces regarding the evaluation
of thermal performance and efficiency of convective, radiative
as well as combined convective-radiative straight fins with
various profiles considering all the non-linearities. Under a
constant heat transfer coefficient and a given temperature
difference between primary surface and ambient condition, the
rate of heat transfer depends mostly on the surface area of the
fin. Nevertheless, increasing surface area will result in
increasing overall dimension of the equipment and thereby
increasing material cost and size of the equipment.
Consequently, the system becomes bulky and uneconomical.
There is a continuous effort by the designers to determine the
optimum fin profile and shape which will maximize the rate of
heat transfer for a specified fin volume or minimize the fin
volume for a given heat transfer rate.
4
1
Keywordsporous surface; profile; VIM; convection; Darcy

model.
I.
To satisfy industrial demands, heat transfer in porous

medium has gained considerable attention of many researchers
in recent years. The basic philosophy behind using porous fins
is to increase the effective surface area through which heat is
convected to the ambient fluid. The use of porous fins is an
excellent passive method for providing high heat transfer rates
for electronic components in a small, light weight, low
maintenance and energy free package. This is justified by the
fact that porous media play a vital role in different thermal
systems. The concept of using fins made of porous materials
was firstly introduced by Kiwan and Al-Nimr [1] and they
introduced Darcy model for analyzing the porous fins for the
first time. Hatami et al. [2] performed heat transfer study
through porous fins with temperature dependent heat
generation. They chose Si3N4 and AL as fin materials and used
Differential Transformation Method (DTM), Collocation
Method (CM) and Least Square Method (LS) for predicting the
temperature distribution. The results indicated that the
temperature distribution is strongly depending on the Darcy
and Rayleigh numbers. It is illustrated that the magnitude of
temperature is increased with decreasing the Darcy number and
consequently Sh parameter. Also using Al as a porous fins
substrate leads to higher value of temperature rather than Si3N4
element. Kundu et al. [3] worked on the performance and
optimum design analysis of porous fins of various profiles
operating in convection environment. Adomian decomposition
method (ADM) was used as solution method .They made a few
remarkable observations i.e. porous fin of any geometry
transfers high heat rate in comparison to solid fin. However,
this fact depends upon the magnitude of porosity and flow
parameter. Also they observed that the temperature distribution
in the porous fins is highly dependent upon the fin profiles. By
using same method, Bhanja and Kundu [4] performed thermal
analysis of a T-shaped porous fin. Recently, Bhanja et al. [5]
developed an analytical solution to determine temperature
distribution and fin performance of a porous pin fin used for
electronic cooling. Kiwan [6] performed thermal analysis of
natural convection porous fins. He used energy balance and
Darcys model to formulate the heat transfer equation. The
thermal performance of porous fins was then studied for three
types of fins: long fin, finite-length fin with insulated tip and a
finite-length fin with tip exposed to a known convection
coefficient and it was found that the effect of different design
and operating parameters such as: Ra number, Da number,
46 of 446
thermal conductivity ratio, Kr, and length to thickness ratio on

the temperature distribution along the fin is grouped into one
newly defined parameter called Sh. The effect of the variation
of Sh on the porous fin thermal performance was established.
He concluded that increasing the fin length and effective
thermal conductivity enhances the heat transfer from the fin up
to certain limit, whereas further increase in these parameters
adds no improvement to the fin performance. Kiwan [7]
studied the effect of radiation heat transfer on the natural
convection heat transfer from a porous fin attached to a vertical
isothermal surface. He adapted Rosseland approximation for
the radiation heat exchange and the Darcy model for simulating
the solidfluid interactions in the porous medium. The effect of
varying Rayleigh number, Ra , the radiationconduction
parameter, Rd, the surface temperature parameter, b, and the
surface-ambient radiation parameter, R2, were presented. It was
found that as the surface temperature parameters increase the
radiation effect becomes important and as Ra increases the
radiation effects become less important. Saedodin and Olank
[8] investigated the temperature distribution in porous fins in
natural convection condition and compared it with temperature
distribution in conventional fins. Their study is based on finitelength fin with insulated tip. The effect on porosity parameters
S and convection parameter in porous fin n, and
convection parameter in conventional fin were discussed
suggesting that by increasing S the heat transfer increases but
in some cases it has exemption. Das and Ooi [9] have predicted
the multiple combination of parameters for designing a porous
fin subjected to a given temperature requirement. Bassam and
Hijleh [10] investigated a problem of natural convection from a
horizontal cylinder with multiple equally spaced high
conductivity permeable fins on its outer surface. They
concluded that porous fins provide much higher heat transfer
rate than traditional fins.
From the brief literature survey mentioned above, it has
been observed that a considerable amount of work is present
about porous fin. However, to the best of authors knowledge,
no such article is found on porous fin of various geometries
other than rectangular shape except the work performed by
Kundu et al. [3]. Three different profiles namely, rectangular,
convex and exponential were considered in that analysis.
However, variation of heat transfer coefficient with
temperature has not been considered in that work.
II.
A
Dimensionless tip temperature
Cp
Specific heat of the fluid passing through fin pores
Da
Darcy number
Gravity constant
Heat transfer coefficient over the fin surface
hb
Heat transfer coefficient at sink temperature
KR
Thermal conductivity ratio
Permeability of the porous fin
Length of the Fin
Exponent of heat coefficient parameter
Variable fin profile index
Nu
Nusselt number
Perimeter of the Fin
Actual heat transfer rate per unit width
Dimensionless actual heat transfer rate per unit width
qi
Ideal heat transfer rate per unit width
Qi
Dimensionless ideal heat transfer rate per unit width
Ra
Rayleigh number
tb
Thickness at fin base
Temperature
Vw
Average velocity of fluid passing through porous fin
Width of the fin
Axial length measured from the tip of the fin
Dimensionless axial distance
Coefficient of thermal expansion
Efficiency of the Fin
Porosity or void ratio
Thickness to length ratio
Dimensionless temperature
Kinematic viscosity
Density of the Fluid
4
1
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The present work studies analytically the heat transfer

phenomenon through porous fins for three different profiles;
rectangular, triangular and convex with temperature dependent
heat transfer coefficient with polynomial variation. Variational
iteration method (VIM) [11] is used as an analytical method for
solving the non-linear governing differential equation. The
method is proved to be powerful for solving any class of
nonlinear governing equations without adopting linearization
or perturbation technique. It provides an analytical solution in
the form of power series where the temperature on the fin
surface can be expressed explicitly as a function of position
along the length of the fin. Thus, the temperature distribution
and its efficiencies are easily being determined for a wide
range of design variables of porous fins.
NOMENCLATURE
Subscripts
a
Ambient condition
Base
Solid properties
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Fluid propertties
eff
Effective prooperties
; ;

; ;
; Da
III.
; Nu
and
FOR
RMULATION OF THE PROB
BLEM
The problem prresented here is the one-dim

mensional heaat
transffer in longituddinal porous fiins of rectangu
ular, triangularr
and convex
c
profile with the lengthh L as sketched
d in Fig.1. Heaat
is traansferred from
m the fin surfa
face through conduction
c
andd
conveection. As the fin is porous, it allows fluuid to penetratee
throu
ugh it. The poro
ous medium is considered as homogeneouss,
isotroopic and saturaated with a single phase fluidd. The physicaal
propeerties of solid as well as fluiid are considerred as constannt
excep
pt density varriation of liquuid, which may
m
affect thee
buoyaancy term wheere Boussinesq
q approximation is employedd.
To siimulate the intteraction betw
ween the porouus medium andd
fluid Darcy formulaation [7] is used. The ambieent temperaturee
a
to bee
Ta iss taken as connstant and thee fin tip is assumed
insulaated. The conv
vective heat tran
nsfer coefficiennt is consideredd
to be function of tem
mperature of th
he form:
V.
IV
(3))
,
2 , andd
and
respectively..
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Introd
ducing the folloowing non-dim
mensional param
meters:
=0
(6)
(7a)
(7b)
VARIATIONAL ITERA
ATION METH
HOD
VIM [11] is an anallytical method which gives appproximate

ms. In this
solutions for some weell-known non--linear problem
t problems aare initially appproximated wiith possible
method, the
unknown
ns. Then a corrrection functioonal is construucted by a
general Lagrange
L
multipplier, which caan be identifiedd optimally
via the variational
v
theoory. Accordingg to VIM, thee following
differentiial equation maay be considereed:
4
1
(4))
l
semi-fin thicknesses fo
or rectangular, triangular andd
The local
conveex fins are giveen by
m+1
(2))
W
Where,
(5)
Eq. (6) is subjected to thhe following booundary condittions:
wheree, hb is the heaat transfer coeffficient at the convection

c
sinkk
tempeerature. The governing differential equation off
longittudinal thin fin
ns is as follows:
1
Consiidering all thee dimensionlesss parameters, Eq. (2) is

reduced to:
t
(1))
(8)
Wherre, L is a linnear operator, and N is a non-linear

operator, and g(x) is an inhomogeneouus term. Basedd on VIM, a
correctionnal formula cann be constructeed as:
t
g d (9)
wheree is a generaal Lagrangian multiplier whhich can be

identified
d optimally viia variational theory , the subscript
s
n
denotes thhe nth order appproximation and
a u is conssidered as a
0. By using
restricted
d variation i.e
u
u
this form
mulation , a
differentiial equation forr obtaining the Lagrangian muultipler (t)
is
" t
(10)
With corresponding conditions,

t
1
Fig. 1. Porous fins of different
d
profiles (aa) Rectangular (b) Triangular
nvex
(c) Con
0
0
(11)
(12)
By soolving (10) witth respect to thhe boundary coonditions in

(12), Lan
ngrangian multiiplier (t) is obbtained as folloows:
48 of 446
(13)
If the above VIM formulation is applied to (6) the

following iteration formula is obtained
X
X
dt
V.
SOLUTION WITH VIM
=0.1;K R =10 ;m =0.25
0.8
(14)
n n
0.6
A
A
A X
2
AX
0.3
0.0
(17)
Similarly the higher order terms can easily be calculated

using recursive relation expressed in Eq. (14). It is clear that
the temperature expressions are a function of unknown tip
temperature A which can be determined by putting boundary
condition (7b) and solving by Newton-Raphson method.
2 Nu
1-
(18)
4
1
1.0
4
VI.
-4
Ra=10 ; Da=10 ;
Nu=10.0; =0.5;
0.8
(19)
Thus, fin efficiency can be calculated as :

=
1.0
Fig. 3 illustrates the effect of the exponent m on the

temperature distribution in rectangular fin with variation of
porosity parameter. The fin surface temperature decreases
with the increase of porosity parameter. Actually, a high
porosity value reduces the effective thermal conductivity of
the fin due to the removal of the solid material. At the same
time, convective heat transfer increases due to more fluid
passing through pores. Combining these two effects result in
the decrease in lower tip temperature. Figure compares the
temperature distributions in fins with a constant heat transfer
coefficient hb, i.e., m = 0 with the corresponding results for
temperature-dependent convective heat transfer coefficient of
exponent m = 0.25. The latter situation results in higher fin
temperature because the average convective heat transfer over
the surface of the fin is less than hb, and consequently the
convective portion of surface heat loss is reduced in spite of
the reduced porosity.
.
Ideal heat transfer per unit width can be expressed in

dimensionless form as
+
0.8
S
E
I
After obtaining temperature distribution as a spatial

function, actual heat transfer rate per unit width is determined
by applying the Fouriers law of heat conduction at the base
and can be expressed in dimensionless form as
Ra Da
0.6
using Taylor series central difference scheme. Finally, it is

solved by Gauss-Seidal iterative method by satisfying desired
convergence criteria. Fig. 2 is drawn for the validation of the
present analytical model. This figure also compares the
temperature distribution among various profiles. It is clear from
the figure that rectangular fin profile provides highest tip
temperature whereas the variation of dimensionless
temperature is considerably high for the triangular profile.
0.4
Fig. 2. Comparison of dimensionless temperature distribution among various

profiles predicted by analytical work and numerical work.
A X
2
0.2
A
X
8
A
8
0.4
(16)
A
4
0.5
(15)
A
convex
rectangular
triangular
Num erical work
0.7
As a starting approximation for VIM solution, is assumed

as constant. Such a starting approximation automatically
satisfies one of the boundary conditions given in Eq. (7a).
Applying VIM in Eq. (2), first two iterations are:
-4
Ra=10 ; Da=10 ;
Nu=10.0; =0.5;
0.9
1.0
0.6
=0.1;K R =10
m =0.25
(20)
0.4
RESULTS AND DISCUSSIONS
Based on the above analysis, results mainly temperature

distribution and fin efficiency are generated with a wide range
of thermo-physical and thermo-geometric parameters. To
validate the present work, a difference equation is formulated
by discretization of governing equation of the present problem
=0.3
=0.9
m =0.0
0.2
0.0
0.2
0.4
0.6
0.8
1.0
Fig. 3. Effect of power factor m on temperature distribution for rectangular

porous fin with the variation of porosity parameter
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0.5
1.0
4
-4
=0.1;KR=10
0.8
rectangular
triangular
convex
Ra=10 ; Da=10 ;
Nu=10.0; =0.5;
Ra=10 ; Nu=10.0;
=0.5; =0.1;
3
KR=10 ; m=0.04
0.4
0.6
0.3
=0.3
=0.9
m=0.25
0.4
0.2
m=0.0
0.2
0.0
0.2
0.4
0.6
0.8
0.1
1.0
0.0002 0.0004 0.0006 0.0008 0.0010
Da
Fig. 4. Effect of power factor of heat transfer coefficient on temperature

distribution for triangular porous fin with the variation of porosity parameter.
Fig. 6. Fin efficiency comparison among various profiles with the variation
of Darcy number.
Similarly, Fig. 4 illustrates the effect of the exponent m on

the temperature distribution in triangular fin with variation of
porosity parameter. The fin temperature is higher for the latter
stage although less profound than the rectangular profile. The
figure clearly depicts that at constant heat transfer coefficient
and high porosity the tip temperature of the fin is on the lower
side. Although with m = 0.25 and porosity high, the
temperature is less as compared to m = 0 and low porosity
parameter.
But, depending on the values of parameters, the convex or

triangular fins may reach to the lowest value of fin efficiency.
On the other hand, Fig. 5 depicts the effect of the exponent

m for convex fin with variation of porosity parameter. High
porosity presents a lower temperature distribution with the
subsequent values of m = 0 , 0.25 and vice versa for convex
profile as in triangular and rectangular profile.
Fig. 6 illustrates the effect of Darcy number on the fin
efficiency for different profiles. This figure shows that for the
fixed parameters which have been specified in the figure, as the
value of Darcy number increases the slope of the -Da curve
decreases, which is more pronounced for triangular profile.
One can conclude from the comparison given in the figure for
various profiles that the efficiency, for fixed values of
parameters, is always the highest for rectangular fins.
4
1
-4
Ra=10 ; Da=10 ;
Nu=10.0; =0.5;
S
E
I
1.0
4
The variation of fin efficiency of rectangular porous fin

with the variation of Ra, Nu and m is depicted in Fig. 7. As can
be seen from the figure higher values of m and Ra the fin
efficiency is higher. Increasing Ra improves the convective
heat transfer coefficient between the fin and the working fluid
and thus actual heat transfer rate is enhanced. However, fin
efficiency is decreased with the increase of Nusselt number.
Although actual heat transfer rate is enhanced with this
parameter but side by side it increases the ideal heat transfer
rate also as defined in Eq. (19), which in turn reduces the fin
efficiency.
=0.2;KR=10 ;
0.6
0.5
m=0.1
0.4
0.3
0.1
Ra=10
m=0.02
Ra=10
0.0
20
-4
Da=10 ;=0.5;
0.2
=0.1;KR=10
0.8
0.7
25
30
35
40
45
50
Nu
Fig. 7. Variation of fin efficiency of rectangular porous fin with the variation
of Ra, Nu and m.
0.6
m=0.25
VII. CONCLUSION
0.4
=0.3
=0.9
m=0.0
0.2
0.0
0.2
0.4
0.6
0.8
1.0
Fig. 5. Effect of power factor of heat transfer coefficient on temperature

distribution for convex porous fin with the variation of porosity parameter
Heat transfer through fins of different profiles has been

under study for many years to determine the optimum
parameters and design of a fin for maximum heat transfer.
Porous fins have been found to be quite effective and
economical in this regard in terms of commercial and
economic perspective. The present study investigates the
temperature distribution and fin efficiency of porous fins for
three different profiles; rectangular, triangular and convex with
temperature dependent heat transfer coefficient using
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Variational iteration method (VIM). Following points have

been obtained from the study:
Fin surface temperature decreases with the increase of
porosity parameter for all the profiles.
The temperature distribution as well as fin efficiency is
highly dependent on exponent m of the heat transfer
coefficient.
Both the tip temperature and the fin efficiency are high
for the profile of rectangular shape as compared to other
geometries.
A higher value of Rayleigh number presents a higher
efficiency with high value of exponent m.
REFERENCES
[1]
[2]
[3]
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Enhancement, ASME J. Heat Trans., vol. 123, pp. 790-795, July 2000.
M. Hatami, A. Hasanpour, and D.D. Ganji, Heat transfer study through
porous fins (Si3N4 and Al) with temperature-dependent heat
generation, Energy Conver. and Managt., vol. 74, pp. 9-16, October
2013.
B. Kundu, D. Bhanja, and K.S. Lee, A model on the basis of analytics
for computing maximum heat transfer in porous fins, Int. J. Heat and
Mass Transf., vol. 55, pp. 7611-7622, December 2012.
D. Bhanja, and B. Kundu, Thermal analysis of a constructal T-shaped

porous fin with radiation effects, Int. J. Refrigeration, vol. 34, pp.
1483-1496, September 2011.
[5] D. Bhanja, B. Kundu, and P.K. Mandal, Thermal analysis of porous pin
fin used for electronic cooling, J. Procedia Engg., in press, 2013.
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natural convection condition, J. American Sci., vol. 7(6), pp. 476-481,
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for designing a porous fin subjected to a given temperature
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[10] A. Bassam, and K. Abu-Hijleh, Natural convection heat transfer from a
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4
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[4]
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Patient Information implantation and reclamation

from compressed ECG signal by LSB watermarking
technique
Basudev Halder, S.S.Bose, N.Mishra
S.Mitra
Department of Information Technology,

Neotia Institute of Technology, Management & Science,
(Affiliated to WBUT), 24-pgs(s) - 743368, W.B (India),
E-mail: basudev_h@yahoo.com,
siddhartha.sekhar@gmail.com,
nishantmishra21@hotmail.com
Abstract In the application of telemedicine, ECG signal is
transmitted to the Doctor end without any patient details. As a
result, confusion is arisen between signal and patients identity.
To avoid this confusion, ECG signals need to be combined with
patient confidential information when sent. Watermarking
technique can play a crucial role in ECG by combining the
confidential information with the ECG signal. A typical ECG
monitoring device generates massive volumes of digital data.
Huge amount of bandwidth is required for the transmission of
the ECG signal for telemedicine purposes. This huge amount of
bandwidth for the transmission of the ECG signal can be avoided
if the signal is compressed after embedding the patients personal
information within the ECG signal. Since the ECG signal and the
patient details integrated into one, bandwidth for the
transmission can be reduced in telemedicine applications.
Department of Electronics,
Netaji Nagar Day College,
(Affiliated to University of Calcutta),
Kolkata 700 092, W.B (India),
Email: s_mitrasarkar@rediffmail.com
In this paper ECG signals are watermarked with

patient information using LSB watermark technique and
compressed the huge amount of ECG data using ASCII character
encoding in order to confirm patient or ECG linkage integrity
and reduced the bandwidth in telemedicine applications. The
whole module has been applied to various ECG data of all the 12
leads taken from PTB diagnostic database (PTB-DB) of
physioNet (www.physionet.org) and gives a highly compressed
result that can be stored using far less digital space without
distorting important ECG characteristics which are essential for
proper medical diagnosis and at the same time, an embedded
information can be completely retrieved.
and drug administration oversight, potentially significantly

reducing the overall cost of medical care. Telemedicine can
also facilitate medical education by allowing workers to
observe experts in their fields and share best practices more
easily.
Keywords telemedicine, watermarked, ASCII character,
I.
INTRODUCTION
Telemedicine is the use of telecommunication and

information technologies in order to provide clinical health
care at a distance. It can be beneficial to patients living in
isolated communities and remote regions, who can receive
care from doctors or specialists far away without the patient
having to travel to visit them. Recent developments in mobile
collaboration technology can allow healthcare professionals in
multiple locations to share information and discuss patient
issues as if they were in the same place. Remote patient
monitoring through mobile technology can reduce the need for
outpatient visits and enable remote prescription verification
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PRD, SD, CR
Watermarking is a process by which a discrete data stream

called a watermark is hidden within a host signal by imposing
imperceptible changes on the signal. Throughout these
techniques the embedded data will be invisible to maintain
the quality of the host data [2]. Although there is a large
volume of works on watermarking and steganography, not
many researchers have addressed issues related to ECG data.
In [7], the ECG signal is used as a secret data, and embedded
inside medical images like CT and MRI. Other researchers [8]
implemented a wavelet based watermarking technique for
ECG signal. In [9], authors proposed to insert an encrypted
version of the electronic patient record (EPR) in the LSB
(Least Significant Bit) of the gray scale levels of a medical
image.
The Electrocardiogram (ECG) as shown in fig 1 is an
invaluable tool used for the diagnosis and treatment of various
cardiac and other related diseases. The volume of ECG data
produced by monitoring systems can be quite large over a long
period of time. To deal with the huge amount of
electrocardiogram (ECG) data for analysis, storage and
transmission; an efficient ECG compression technique is
needed to reduce the amount of data as much as possible while
pre-serving the clinical significant signal for cardiac diagnosis
[1]. An effective data compression scheme for ECG signal is
required in many practical applications such as ECG data
storage, ambulatory recording systems and ECG data
transmission over telephone line or digital telecommunication
network for telemedicine. The main goal of any compression
technique is to achieve maximum data volume reduction while
preserving the significant features and also detecting and
eliminating redundancies in a given data set. Due to the
diagnostic uses of medical data and since a small detail may
be very important, ECG compression techniques have
primarily focused on lossless methods.
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the 12 leads. To implement our algorithm, we make a 2D array

(ecg[i,j]) of each lead of the ECG data of length (N/8) x 8. Say
for example N is 4000, and then the 2D array becomes 500 x 8
viz. 500 rows and 8 columns. Let as an instance Example 1,
the content ecg[i,j] array is as below, where i=1 and j=1 to 8.
Fig1: Normal ECG signal
ECG data compression algorithms have been mainly

classified into three major categories: 1) Direct time-domain
techniques, e.g., turning point (TP) [4], amplitude-zone-time
epoch coding (AZTEC) [3], coordinate reduction time
encoding system (CORTES) and Fan algorithm. 2)
Transformational approaches, e.g., discrete cosines
transformation (DCT), fast Fourier transform (FFT), discrete
sine transform (DST), wavelet transform (WT) [5] etc. 3)
Parameter extraction methods [6] are mainly based on linear
prediction and long-term prediction methods.
There are extensive work on ECG data compression and
hiding patient information in ECG signals, but individually.
We propose a novel approach of doing both of the required
functions together. In this paper, we focus on how to implant
the patient personal information into the ECG signal by LSB
watermarking technique [9] and how to compressed embedded
ECG signal using ASCII character encoding [1]. The proposed
algorithm allows not only the embedding but also the efficient
retrieval of the embedded data. After embedding the patients
personal information, we compress the ECG data by
characters encoding. The whole compression scheme is such
that the compressed file contains only ASCII characters. In the
reconstruction module of the proposed scheme, using the
reverse logic of compression which is proposed in [1], original
ECG signal is brought back and using the reverse logic of
LSB watermark technique, embedded data i.e. patients
personal information is reconstructed. It is observed that the
proposed scheme achieves much better result as compared to
in [1].
II.METHODOLOGY
Example 1:
A. ECG data selection and Normalization:

The ECG signal which is taken from PTB diagnostic ECG
database from www.physionet.org as a txtfile is copied into
notepad and used as ECG data file. From this file, only the
Voltage values are taken which we intend to compress. Since
the sampling frequency of the input ECG data is 1000
sample/sec, the Time axis can be easily generated during
data reconstruction. Hence concentration is given only to
compress the Voltage values discarding the Time value.
Suppose we have ECG data with N voltage values in each of
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The proposed scheme is divided into following five main

sections: (A) ECG data selection and Normalization (B)
Embedding patients personal Information (C) Data
Compression (D) Data reconstruction (E) Patient personal
information retrieval. All these steps are explained
sequentially in the rest of the sections. The logic of ECG data
compression with embedding patient personal information is
written in the MATLAB 7.10a and the following steps are
involved:
For getting smaller numbers and consequently better

compression a difference array is constructed which contains
the difference of every ECG sample and its preceding except
the first Voltage value which is kept unchanged. At the
time of reconstruction, the first voltage value is essential
otherwise data retrievals will not be possible. Now, the sign of
the every element of difference array is checked. For every
positive number, a binary zero (0) and for every negative
difference, a binary (1) is taken as sign bit for that
corresponding Voltage value. Decimal equivalent of this
binary string will be used as the sign-bit of these
corresponding eight Voltage values. Now the sign bit is
printed in the output file in its corresponding ASCII character.
After getting the sign-bit, all negative numbers in the
difference are made positive by multiplying -1. Now each and
every number in the difference array is multiplied by 1000
because in standard ECG database and also in PTB-DB,
voltages are recorded up-to three decimal points. During
creation of the difference array and amplification (multiplying
by 1000) ,the first value of every row is becoming high
(possibly greater than 255) as it remain unchanged during
creation of difference array. To bring this number in the range
of 0-255, we divide the number by 255 and keep the quotient
at this (1st Column) position. The remainder is kept in the
variable rem. A sample array after normalization is shown
below:
c[1,1]
c[1,2]
c[1,3]
c[1,4]
c[1,5]
14
0
Example 2
c[1,6]
c[1,7]
c[1,8]
15
B. Embedding patients personal Information process:

The second phase of the proposed scheme is to embed the
patients personal information such as patient ID, age and
sex etc in to the ECG signal. The basic idea of this process is
to watermark the patient Id, age and sex into the ECG signal
by using the LSB watermarking technique [9]. For this we
create a 1D array from normalized 2D array of each lead of
the ECG data. In such an array, we will embed patients
personal information by watermarking techniques.
The length of the patient Id is calculated firstly, and then
converted to its corresponding binary data form. This binary
data is embedded in the voltage values of the first ECG lead
using LSB embedding technique. As we are using LSB
technique, the possible change in ECG voltage values will
only be by 1 viz. increased or decreased by 1 or will remain
unchanged. Data bits will be scattered throughout the
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remaining 11 leads. This algorithm involves the following

steps:
Embedding the length of the patient Id in first lead:
Let the length of the patient Id or the number of
characters is 12. The length of the characters is to be
embedded in the first lead i.e.2nd column of actual input ECG
file. First, the length of the embedded data (i.e.12) is
converted to its corresponding binary value i.e. 1100. These
bits will be embedded with original ECG signal in the interval
of 8, i.e. in 8th, 16th, 24th and 32nd position in first lead.
Suppose the four values of position 8,16,24 and 32 in lead 1
are 15, 10, 11, 4 respectively, then after embedding 1100 the
result will be shown below in example 3
.
8th 15
00001111
00001110
14
16th 10
00001010
00001010
10
24th 11
00001011
00001011
11
32nd 4
00000100
00000101
5
A
B
C
D
embedded data bits in all the 12leads of ECG data because

embedding all bits in a particular lead might increase the PRD
of that lead. First lead is already reserved for the length of
embedding patient Id. The number of bits to be embedded in0
remaining 11 leads will be calculated by Bitload1 and
Bitload2.The equations are given below:
Bitload1=floor (TB/(TL-1)) ...

Bitload2= mod(TB,(TL-1)) ...
(1)
(2)
Where TB is the total data bits and TL is the number of leads

for embedding. Suppose the total number of bits to be
embedded is 98 i.e TB=98 and number of leads for embedding
is 11 i.e TL = 11.Hence the corresponding value of Bitload1
and Bitload2 will be 9 and 8 respectively. So number of bits to
be embedded in lead 2 to lead 11 is 9 and number of bits to be
embedded in lead number 12 is 8.
A= actual data B= binary value of actual data

C= actual with embedded data. D= embedded data:
Example 3
Let us calculate now the interval at which these bits will

be embedded in the respective lead will depend upon the first
sign-bit of that respective lead. The interval for every bit will
be calculated by using following equation:
Interval = sign bit +50 + (8 mod (sign bit, 8)) (3)
Calculation of the length of patient age and sex:
Suppose the patient age is 65.Corresponding ASCII

character of age is A, i.e number of character is one
.Similarly the number of character of patient sex is one. It is
either M or F. So the total number of character for
embedding in the first lead i.e.2nd column of actual input ECG
file is length of patient Id plus two. Suppose the length of the
patient Id is 12 then total number of character is 14 which are
to be embedded in the first lead i.e.2nd column of actual input
ECG file. At the time of reconstruction, the length of the
patient Id is essential otherwise data retrievals will not be
possible.
Embedded data generation:
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Let us describe now how the embedded data is generated.

Here, the patient Id, used in PTB data base for each ECG file,
patient age and sex are used as data for embedding in each
ECG signal. Here patient Id and sex both are in text format
and patient age is in numeric value. All these datas are
converted to its corresponding ASCII value. The ASCII value
of each character is converted to its corresponding binary form
with seven bits. Suppose the file name is s0015lre.txt, and
used as patient ID which is of 12 characters; the total number
of bits that has to be embedded is 12*7 =84 bits. Similarly,
suppose the patient age is 65 and its corresponding ASCII
value is A and patient sex is either F or M. These two
characters (i.e age and sex) again converted to its
corresponding binary form with seven bits each. So, the total
number of bits that has to be embedded in ECG file is 98(ie,
84+2*7).
Calculation of the number of bits and interval for
embedding data:
Let us describe now how calculate the number of bits of a
particular lead for embedding data. For this we scatter the
Here 50 is added as an offset because a situation might arise

where the sign byte for a lead is zero. By making this offset
we can be sure that the interval is always 50 and above.
Example 4 shown below, suppose the sign-bit of a lead is 128
then Interval is 184 (ie, [128+50+(8- mod(128,8))]) . So, the
bits will be embedded at 184th, 368th, 552nd..etc positions. If
the first sign-bit of a lead is 128, then the positions at which 8
bits will be embedded are (1*184), (2*184), (3*184), (4*184),
(5*184), (6*184), (7*184), (8*184).
184
368
552
736
920
1104
1288
1472
46
20
3
26
110
5
21
49
A
00101110
00010100
00000011
00011010
01101110
00000101
00010101
00110001
B
1
1
1
0
0
1
1
0
C
00101111
00010101
00000011
00011010
01101110
00000101
00010101
00110000
D
A: Actual data, B: binary form of actual data, C: Embedded data, D:Actual

with embedded data
Example 4
After the Text bits have been embedded in the leads,

again embedded array is converted to 2D array.
C. ECG data compression:
To compress the data, embedded integers are grouped
maintaining some essential logical criteria. Three types of
grouping are considered here as in [1] namely (a) forward
grouping, (b) reverse grouping, (c) no-grouping. Three
variables have been taken ( f : for forward, r : for reverse and n
: for no grouping position respectively, initialized with zero
(0)) for denoting the positions of these groupings. Suppose the
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first pair of c[ ] array, i.e. c[1,1] and c[1,2], we take the value
1 (which is the first position of the pair) for denoting the
grouping position. For all the other pairs we take the value 1
(which is the first position of the pair) for denoting the
grouping position. For all the other pairs we take the second
position for denoting the grouping position. For example in
the second pair, i.e. c[1,3] and c[1,4], we would take value
4, for pairs c[1,5] and c[1,6] we would take value 6 and so
on. After all the pairs are examined, we sum the values and
store it in the respective variable, for all three grouping
procedure, initially i is set to one and incremented by a
factor of two.
For forward grouping, each number in c[i,j] array
position is multiplied by 100 and added with the number in
c[i,j+1]array position and checked whether the value is less
than 255, then this grouped integer value is printed in
character form. If forward grouping is not possible then it is
to be checked that whether any (c[i,j + 1] *100) + c[i,j] is
less than 255 or not. If so, then this reversed grouped value is
printed in character form. If both forward and reverse
groupings are not possible then, value at those positions are
left unchanged and both integers are printed separately in
character form.
Following ASCII values are the grouped / no grouped

integers, grouping positions, Data position and rem
respectively. All these are necessary to get back the original
eight voltage values. From the Example 5 we know that, data
position is 9, so, the 9th,8th and 7th are the grouping position.
The value of f=7, r=4, n=8 and sign bit=196 and rem=35.
Using the reverse logic of grouping technique, the original
eight voltage values are generated and stored in an array , To
obtain the actual value at the first position, we need to
multiply the value at first value of the array with 255 and add
the value of rem to it. In the next step, the sign-bit will be
converted into its corresponding 8-bit binary equivalent. In the
binary string if any bit is 1 then the corresponding positional
element of array will be multiplied by (-1). This array contains
the reconstructed ECG voltage values.
Each set of grouped or not-grouped Voltage values

along with other necessary information (sign byte, f, r, n,
etc.) will be printed in the output file in ASCII character form
maintaining the following format.
E. Patient personal information retrieval:

The fifth phase of the proposed technique is to retrieve the
patients identification from the reconstructed ECG Data.
This algorithm is the reverse logic of embedding patients
identification.
Calculation of the length of Patients Identification:
As during embedding, we have embedded the size of data
in the LSB of four values in 8th, 16th, 24th and 32th position in
first lead. We will calculate the length of the embedded data
(patients ID) from the LSB identification of these values.
Suppose the four values of position 8,16,24 and 32 in lead 1
are 20, 2, 11, 3 respectively. They will be interpreted
providing the size of data embedded as :
Here, Data position holds the position where forward, reverse

and no grouping position ends. In the example 5, mentioned
below, the value of f=7, r=4, n=8 and data position=9.sign
bit=196 and rem=35.
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Example 5
The above compression algorithm is executed iteratively until

all the ECG data contained in the input file are become
compressed.
D. ECG Data reconstruction:

The fourth phase of the proposed technique is the ECG
data reconstruction .After compression with embedded data, it
is necessary to decompress the data for retrieving the original
signal and patients information at the receiving end. For this
purpose, a modified version of the algorithm proposed in [1] is
used to decompress the ECG data in lossless manner. From the
compressed data file at a time one set of ASCII character is
taken. There will be at most 14 characters in a set. Equivalent
ASCII values of those characters are saved in an array and
then reconstruction algorithm is applied on those to restore
original eight Voltage values. The first ASCII value among
those contains the Sign byte of those eight voltage values.
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20
2
11
3
Actual data
00010100
00000010
00001011
00000011
0
1
1
binary of actual data

Example 6
reconstructed data
From the above example 6, the length of embedded data is

1100;its corresponding decimal value is 12, which means
number of characters (NC) is twelve characters. Therefore the
number of bits embedded will be NC*7, which for the above
example will be 12*7=84.
Calculation of the length of Patients age and sex:
The number of character of patient age is one and

number of character of sex is one which means that number of
character is two. Therefore the number of bits embedded will
be 2*7=14. So the total number of character for embedding in
the first lead i.e.2nd column of actual input ECG file is length
of patient Id plus two. Suppose the length of the patient Id is
12 then total number of character is 14 which are to be
embedded in the first lead i.e.2nd column of actual input ECG
file. Therefore the total number of bits which are to be
embedded in the first lead of ECG file will be (84+2*7) =98.
Calculation of the number of bits and interval for

embedding data:
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By reserve procedure as followed during the embedding,

we will calculate the value of Bitload1 and Bitload2 by the
equation:
Bitload1=floor (TB/ (TL-1)) .
(4)
Bitload2= mod (TB, (TL-1)) .
(5)
Original ECG Filesize

Compressed ECG Filesize
Percentage Mean Square Difference (PRD) is a measure
of error loss. This measure evaluates the distortion between
the original and the reconstructed signal. PRD calculation
is as follows:
Suppose, the total number of bits to be embedded is 98 i.e

TB=98 and number of leads for embedding is11 i.e TL =
11.Hence the corresponding value of Bitload1 and Bitload2
will be 9 and 8 respectively. So number of bits to be
embedded in lead 2 to lead 11 is 9 and number of bits to be
embedded in lead number 12 is 8.
CR =
PRD = 100 X
QS
CR
PRD
PRD, CR, and QS obtained for Myocardial Infarction and

Normal patients are given in Table 1.
Table 1:
Recovering the Embedded Data bits and Text

reconstruction:
FILE
NAME
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s0499_re.txt
AGE
58
s0464_re.txt
67
12Lead
0.003799
7.401489
2544.351
s0462_re.txt
77
12Lead
0.004349
7.453826
2649.046
s0463_re.txt
50
12Lead
0.003365
7.35102
2963.907
s0015lre.txt
75
12Lead
0.005413
7.241806
1791.987
s0465_re.txt
100
12Lead
0.004687
7.419356
1927.233
s0466_re.txt
30
12Lead
0.005393
7.454503
2470.757
s0467_re.txt
45
12Lead
0.004884
7.424361
3824.478
s0474_re.txt
24
12Lead
0.00627
7.358899
1294.135
s0475_re.txt
56
12Lead
0.004234
7.528023
2279.893
s0480_re.txt
51
12Lead
0.002265
7.313354
6407.6
S0025lre.txt
34
12Lead
0.003604
7.290111
2201.596
S0022lre.txt
41
12Lead
0.007101
7.192171
1379.333
S0026lre.txt
55
12Lead
0.007313
7.203689
1180.047
s0027lre.txt
77
12Lead
0.004635
7.187249
1729.03
s0028lre.txt
44
12Lead
0.004631
7.187249
1736.707
s0029lre.txt
55
12Lead
0.003433
7.238283
4006.055
s0031lre.txt
25
12Lead
0.003913
7.429676
3133.902
0.004557
7.331693
1608.88
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III. MEASURES OF PERFORMANCE
y i2
represents original signal samples and

Where
represents reconstructed signal samples. The lower the
PRD, the closer the reconstructed signal is to the original
ECG data.
Another numerical measure Quality Score (QS) was proposed in [15] to quantify the overall performance of
compression algorithm. A high score of QS represents a
good compression performance.
If the first sign bit of the lead is 128, we add 50 to it

making it 178. The actual interval in this case will be next
multiple of 8 from 178, i.e. 184. For the intervals at which the
bits are embedded in a lead with sign byte 128 are (1*184),
(2*184), (3*184), (4*184), (5*184), (6*184), (7*184),
(8*184).
Now, every number is divided by 1000. To get the

original, each number is added with the previous value. The
new values are stored in another array. This array is identical
to the original ECG voltage values.
n
i =1
Interval = sign bit +50 + (8 mod (sign bit, 8)) (6)
In the previous step; for a particular lead we calculated

the interval at which the text bits have been embedded.
Following the reverse procedure of what we applied during
embedding, we will convert the value at the intervals obtained
into binary format and will store its LSB for construction of
the characters. The binary value will again be converted into
decimal for application of further procedure. By iterating the
procedure of LSB obtaining method mentioned above for each
lead as per Bitload1 and Bitload2 values, we will obtain a 2D
array of X*7, where X will be the number of characters that
were embedded. Converting each row with seven binary
values to corresponding decimal value, we can obtain the
character which was embedded. (Every decimal value has
corresponding character is ASCII character set).The character
thus obtained is the data which was embedded.
i =1
Now the interval at which these bits will be embedded in

the respective lead will depend upon the first sign bit of that
respective lead. The interval for every bit will be calculated as:
( y i yi )2
AVERAGE
SEX
LEAD
PRD %
CR
QS
12Lead
0.00274
7.295404
3623.982
The following measures are computed to evaluate the

performances of the proposed algorithm.
CR: compression ratio, QS: Quality Score; PRD: percent root-mean

Square difference
The first parameter that expresses the effectiveness of a

data compression technique is the Compression Ratio
(CR).It is defined as below. The higher the value of CR,
the better of the performance of the compression
algorithm.
From the above tables, we can see that using the proposed
algorithm we can get average PRD of about 0.00455, average
CR of about 7.33 and average QS of about 1608.88.
Following figures (Figs. 23) shows the original and
reconstructed ECG signals of 2s sample. Fig. 3 is normal (N)
and Fig. 2 is Myocardial Infarction (MI) ECG.
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V: CONCLUSION
Original ECG SIGNAL
Amplitude
-0.2
We proposed a new approach for implantation and

reclamation of patient information from compressed ECG
signals by using LSB watermarking technique. We proved
statistically that the implanting of patient information does not
affect the significant features of the ECG signals and it also
does not induce any changes in the diagnosis. Proposed
algorithm shows better performance for both normal and
abnormal ECG signals. The performance of the proposed
algorithm was compared with some other proposed ECG
signal compression methods, specially in [1] and it is observed
that the proposed algorithm gives a high compression ratio
with low distortion and an excellent Quality Score than in
[1].The results of this research will likely provide an
improvement on existing techniques.
-0.4
-0.6
-0.8
-1
500
1000
1500
2000
2500
Time
Reconstructed ECG
3000
3500
4000
Amplitude
-0.2
-0.4
-0.6
-0.8
-1
500
1000
PRD =0.0030402
1500
2000
2500
3000
,CR =7.619
,QS =2506.0652
3500
4000
Time -->
Fig 2: File name: S0025lre.txt (MI)

Original ECG SIGNAL
Amplitude
-0.5
-1
References:
-1.5
-2
-2.5
[1]
0
500
1000
1500
2000
2500
Time
Reconstructed ECG
3000
3500
4000
[2]
Amplitude
-0.5
-1
[3]
-1.5
-2
-2.5
500
1000
PRD =0.0011326
1500
2000
,CR =7.6534
2500
3000
,QS =6757.553
[4]
3500
4000
Time -->
[5]
Fig 3: File name: S0499_re.txt (N)
IV: PERFORMANCE COMPARISON

Comparison of CR, PRD and QS of various lossless and
near lossless methods with the proposed method is given in
Table 2.
Table 2
Algorithm Name
AZTEC [3]
Hilton [5]
Johan [10]
SPIHT[12]
Perceptual Masks[13]
Al-Shrouf [14]
Fira and Goras [15]
TP [4]
USZZQ and Huffman coding of DSM [16]
Wang and Meng [11]
S.K. Mukhopadhyay et al. LLEDCCE [1]
Proposed Method
CR
5.1
2.6
3.9
1.18
1.24
5.3
0.61
28
2.73
10
8
8
8
3.5
11.6
12.74
2
11.06
1.6
12
0.023
7.18
0.0045
7.33
[6]
[7]
[8]
[9]
[10]
[11]
[12]
[13]
It is observed that the proposed method achieves high CR

(7.33) as compared to other methods reported in Table 2. It is
interesting to note that in the original ECG signal, if there is
any shift of base line, the denominator part in the expression
of PRD becomes high and shows a very low PRD (0.0045).
Due to this low PRD, an excellent QS value often gets raised.
CR and PRD of the proposed method is comparable with the
methods [3,5,10,12,13,14,15,4,16,11,1] as listed in Table 2.
4
1
S
E
I
PRD
S.K. Mukhopadhyay, S. Mitra, M. Mitra, A lossless ECG data

compression technique using ASCII Character encoding, Computers
and Electrical Engineering 37 (2011) 486497.
S.S. Kozat , M.Vlachos , Lucchese,H.V.Herle,P.S.Yu,Embedding
and Retrieving Private Metadata in Electrocardiograms,August
2009, Volume 33, pp 241-259
J.R.Cox, F. M. Nolle, H. A. Fozzard, and G. C. Oliver, AZTEC,A
preprocessing program for real time rhythm analysis, IEEE
rans.Biomed. Eng., vol. BME-15, pp. 128129, 1968.
W.C.Mueller, Arrhythmia detection software for an ambulatory
ECG monitor, Biomed. Sci. Inst., vol. 14, pp. 8185, 1978.
M.L.Hilton Wavelet and wavelet packet compression of
Electrocardiograms IEEE Trans Biomed Eng 1997;44(5):394
402.
G.Nave,A.Cohen,ECG
compression
using
long-term
prediction. IEEE Trans Biomed Eng 1993; 40:87785.
M. Nambakhsh, A. Ahmadian, M. Ghavami, R. Dilmaghani, and S.
Karimi-Fard. A novel blind watermarking of ECG signals on
medical images using EZW algorithm. In Conference proceedings:
Annual International Conference of the IEEE Engineering in
Medicine and Biology Society. Volume 1, 2006.
M. Engin, O. Cidam, and E. Engin. Wavelet Transformation Based
Watermarking Technique forHuman Electrocardiogram (ECG).
Journalof Medical Systems, 29(6):589594, 2005.
D. Anand and U. C. Niranjan. Watermarking Medical Images with
Patient Information. In Proceedings IEEE/EMBS Conference, Hong
Kong, China, October 1998, pp. 703-706.
A.D.Johan,T.Q.Nguyen,W.J.Tompkins.ECG compressions using
discrete symmetric wavelet transform. IEEE international
conference on engineering in medicine and biology society,Montreal,
Que, Canada, vol. 1. p. 1678.
X.Wang, J.Meng. A 2-D ECG compression algorithm based on
wavelet transform and vector quantization. Digital Signal Process
2008; 18:17988.
Z.Lu,DY.Kim,WA.Pearlman.Wavelet compression of ECG Signals
by the set partitioning in hierarchical trees
(SPIHT) algorithm.
IEEE Trans Biomed Eng 2000;47(7):84956.
CMD.Rodrigo,MM.Fabrizia,VB.Leonardo,Near-lossless
compression of ECG signals using perceptual masks in the DCT
domain, CLAIB 2007. In: IFMBE Proceedings 18. p. 22931.
A.A.Shrouf,M.A.Zahhad,S.M.Ahmed.A
novel
compression
algorithm for electrocardiogram signals based on the linear ediction
of the wavelet coefficients. Digital Signal Process 2003; 13:60422.
C.M.Fira,L.Goras L. An ECG signals compression method and its
validation
using
NNs.
IEEE
Trans
Biomed
Eng
2008;55(4):131926.
MS.Manikandan,S.Dandapat.Wavelet
threshold
based
ECG
Compression using USZZQ and Huffman coding of
DSM.Biomed Signal Process Control 2006;1:26170.
[14]
[15]
[16]
57 of 446
Vibration Charcterstics of Rotating Simply Supported

Shaft in Viscous Fluid
Adik Yadao1
Irshad A Khan2
Dr. D.R. parhi3

National institute of technology, Rourkela
Rourkela, India
adik.mech@gmail.com
0= Natural angular frequency of the shaft.
xx, yy = Critical speeds in x and y directions, respectively
= Angular velocity of whirling.
Abstract In this article we have presented the vibration

analysis of a rotating simply supported shaft in viscous medium.
The effect of fluid forces on the rotor is analyzed with the help of
Navier-Stokes equations. The influence coefficient method is used
to find the fundamental natural frequency of the simply
supported shaft damping effect on rotating shaft due to viscous
fluid are analyzed with the help of Navier Stokes equation. Here
we have varying the coefficient of viscosity of fluid and gap ratio.
It is observed that when the rotor rotates in a viscous fluid, due to
varying the coefficient of viscosity and gap ratio there is change
in the amplitudes of vibration.
Keyword: Rotating shaft, viscous medium, amplitude, damping

effect, influnce coefficient method.
I.
S
E
For decades, investigators have concentrated on the critical

speed of rotors in vibrational analysis, under various
conditions, because of its importance in design. When a shaft
rotates in viscous medium, the analysis of natural frequency
and amplitudes becomes difficult. The fluid force affected the
natural frequency and amplitude of the simply supported rotor.
Wauer [1] have presented a review on the dynamics of rotor
with cracks. Kadyrov et al. [2] have examined the oscillations
of a rigid cylinder in a tubular duct occupied with a viscous
incompressible fluid. They used mathematical and the
theoretical consequences for eigen frequency exposed to
different fluid parameters. Papadopoulos and Dimarogonas [3]
have discussed the performance of a rotating cracked shaft, but
virtual mass effect (added mass) and external damping effect
were not discussed separately. Walston et al. [4] in the paper
discussed the behavior of a rotating shaft in viscous fluid, but
no clear-cut distinction was made between virtual mass effect
and damping effect on the rotating shaft. Gasch [5] have
presented the vibration analysis of a rotating shaft with a
transverse crack. He took the De-Laval rotor for the
investigation and explored some prospects for early crack
detection. The surveys carried out the vibration analysis
problem of a rotor in viscous fluid. Ostachowicz and Krawczuk
[6] have studied the effect of transverse cracks on coupled
torsional and bending vibrations of a rotor Branner [7] have
examined the fluid forces performing and acting on a rotating
cylinder for low and high Reynolds number. Fritz [8] have
studied a circular rod spinning in a cylinder, taking account of
the influences of turbulence and Taylor vortex for a very small
rod cylinder gap. Sol [9] has proposed an analytical model and
compares his results with the experimental rig. He established
that the presence of a crack influences vibration amplitudes at
the critical speed. Idea [10] also treated the same problem
taking an infinitely extending water region instead of a
cylinder. Brenner [11] has analyzed theoretically the fluid
forces acting on a circular rod rotating in a circular cylinder for
high and low Reynolds numbers Walston et al. [12] have
examined the dynamic behavior of a swinging shaft which is
4
1
NOMENCLATURE:A1= Shaft cross-sectional area

a1= Crack depth
D =Diameter of the shaft
=Whirling radius of the shaft
E = Modulus of elasticity of shaft material
= Eccentricity
Fx,Fy=Fluid forces on shaft in x and y direction, respectively.
G = Shear modulus
I = Section moment of inertia of the shaft
L = Total length of the shaft
Kn (x) = Modified Bessel function of second kind of order n
L = Length of span
Ms = Mass of the shaft per unit length
m = Fluid mass displaced by the shaft per unit length
p = Pressure
R1 = Radius of the shaft
R2 = Radius of the cylinder
t = Time
u = Radial flow velocity.
v = Tangential flow velocity
v = Coefficient of viscosity
V1= Poissons ratio
= Fluid density
1 = Mass density of the shaft
1, 2= Stream functions
= Rotating speed
INTRODUCTION
58 of 446
immersed in a viscous fluid. The influences of the fluid on the

critical speed and amplitude of the rotor were determined
experimentally, and a correspondence equation for amplitude
as a function of velocity, viscosity and mass established by
using the statistical regression analysis. Kito [13] have studied
the influence of fluid forces on a eccentrically rotating circular
bar in a viscous medium. In this investigation, he supposed the
flow velocity distribution to be linear over a gap between the
bar and cylinder. Achenbach and Qu [14] have discussed the
resonant vibrations of a submerged beam of circular crosssection using mathematical methods. They compared the exact
results for the beam deflection with the approximate results that
are available in the literature.
The solution of equation [2] can be given by
1 2
Where 1 and 2 are the solution of equation [3]
In this article, a systematic analysis for the vibrational

behavior of a rotating simply supported shaft in viscous
medium is presented. Damping effect due to viscous fluid is
determined with the help of Navier Stokes equation. Natural
frequency of the rotating shaft used for finding the critical
speed of the system is determined using the influence
coefficients, stiffness elements, and boundary conditions of
the simply supported shaft.
The radial and tangential components of flow velocity at point

A in figure are,
u A R1 sin a sin(t )
(4a)
vA R1 cos a cos(t )
(4b)
Where a is the angle between the lines A and OA.

Considering the relationships,
sin a / R1 sin t and cos a 1 for R1

We can write the above expressions for r=R1 as follows
II.
THEORETICAL ANALYSIS
ur R1 sin t Re j e jt
The Navier- stroke equation for fluid velocity is expressed

in the polar coordinate system r- as follows,
u
1 p 2u 1 u u 1 2u 2 v
t
r r 2 r r r 2 r 2 2 r 2
(1b)
S
E
Where u and v denote flow velocities in radial and tangential

directions, respectively, and p means a pressure. Rewriting the
above equation with the help of a stream function (r, , t) the
above equation can be written as,
We obtain,
1
4 2 0
t
Where
2 1
1 2
2
r r r r 2
(5b)
j = 1 and Re . denotes a real part of . .For a

special case equation is reduced to,
Where
v
1 p 2v 1 v v 1 2v 2 u
t
r r 2 r r r 2 r 2 2 r 2
4
1
vr R1 cos t R1 Re e jt R1
(1a)
(5a)
ur R
vr R1 Re e j t R1
(6)
When the shaft is immersed in an infinitely extending fluid

region, the boundary condition for r are;
(2)
ur vr 0
(7)
When the shaft is immersed in a fixed circular cylindrical

fluid region with radius R2 , the boundary conditions for
r = R2 are
Equation [2] can be divided into two parts i.e.
2 0
1
2
0
v t
ur R2 vr R2 0
59 of 446
(8)
Under these conditions, no stationary components of

solution 1 and 2 can be expressed as
1 r , , t F1 r e j t
the
(9b)
due to flow
rr
ui
r
p 2
d F1 1 dF1
1
2 F1 0
2
dr
r dr
r
rr
(10a )
r r
r r
2 k 2 F2 0
r
and tangential stress
can be obtained as,
d 2 F2 1 dF2
dr 2 r dr
(13)
Normal stress
(9a)
2 r , , t F2 r e j t
p
A 2
2
R1 Br ei (t )
(10b)
and
1 ui
(14)
Fluid forces acting on the surfaces (i.e., r R ) per unit length

of the shaft in the x and y direction are obtained
Since eq.(10a) is a Eulers equation and Eq.(10b) is Bessels

equation ,the general solution of these equations are easily
derived as,
cos sin R d
m A B CI DK e
Fx
rr
AR 2
F1 r 1 Br
r
i t
(11a)
4
1
F2 r R1 CI1 Kr DK Kr
(11b)
A
2
Where A,B,C and D are arbitrary constants , and I1(Kr)

and K1(Kr) modified Bessel functions of the 1st and 2nd
kinds ,respectively. Thus the no stationary components of flow
velocities induced by the whirling motion of a shaft are given
as follows:
S
E
R1 2
R1
A B C I1 kr
1
r
r
e j t
ud
j
R
r
D 1 K1 kr
R1 2
R1

A B C I1 kr kR1I 0 kr
r
r
jt
vd
e
r
R1
D K1 kr kR1K0 kr
(12a)
Fy
rr
(15a)
sin r cos R1d
im 2 A B CI1 DK1 eit
Where
(15b)
kR1m R12
Only the real parts of equation are meaningful. So
Fx and
Fy after simplification can be express as

Fx m 2 Re H cos t Im H sin t
(16a)
Fy m 2 Re H sin t Im H cos t
(16b)
(12b)
A. ANALYSIS OF FLUID FORCES

Substituting the flow velocities given by equation (12) to
equation (1), the no stationary component of pressure p can
be written as
Where H A B CI1 DK1 and Re H

Im H denotes the real and imaginary part of H .
The coordinates of the center of the shaft are x cos t
and sin t
60 of 446
Fx m Re H
d 2x
dx
m Im H
2
dt
dt
1 m* Re H
(17a )
f1
d2y
dx
Fy m Re H 2 m Im H
dt
dt
In equation [17]
m Re H
denotes the virtual or added
m Im H
X v 1 C02 X v Kv1 X v Av1 cos 1*1 ,
B. ANALYSIS OF SIMPLIY SUPPORTED SHAFT MOTION

Here, a simply supported rotating shaft immersed in the
fluid region is considered.
2 * * 2 * 2
1 1 L sin v 2
Av1 v
1 m1* Re H
The equation of motion for the shaft having uniformly

distributed mass and stiffness are,
2 x cos t
4 x
EI
F
t 2
z 4
EI = bending stiffness of the shaft.
ms m Re( H )
2 x
x
4 x
Im
H
EI
ms 2 cos t (19a)
2
4
t
t
z
2 * * 2 *
1 2 L cos2 v 2
v
1 m1* Re H
4
1
(20b)
S
E
m =fluid mass displaced by the shaft per unit length;

and
Av 2
(18b)
ms =mass of the shaft per unit length;
(20a )
Yv 2 C02Yv Kv 2Yv Av 2 sin 2* 2 ,
(18a )
2 x sin t
4 y
EI
Fy
t 2
z 4
Where
(20b)
Applying the Fourier transform to both sides of equation

(20), we obtain
denotes the viscous damping coefficient.
ms
2
L*4 4
1* 2* sin 2* 2
4
4

(17b )
mass to the inertia force of the shaft and
ms
22
m*2* Im H
2
2
C0 n
mn*n* Im H
fn
K vn
*
*
1 mn Re H
1 mn Re H
The steady- state solution of equation [21] is easily obtained as
v 1 2 v* cos 1*1 1
Yv 1 2 v* cos v* 2 2
Where,
ms m Re( H )
2 y
y
4 y
Im
H
EI
ms 2 sin t (19b)
t 2
t
z 4
*
vn
Avn
vn
n*
C0 nn*
Equation [19] can be reduced to
1 m* Re H
f1
22
m*2* Im H
2
2
2
L*4 4
1* 2* sin 2* 2
4
4

vn tan 1
C0 nn*
K * 2
n
vn
(20a)
For =1, 2 n=1&2
61 of 446
Similarly for Yv it can be done. From the above equations, the

whirling motion for fundamental bending mode in x and ydirection can be written as respectively, as
L*
, 1 11* cos 1* 1 11
2
(22a )
L*
, 2 12* sin 2* 2 12
2
(22b)
Figure 1.Frequency ratio vs. Dimensionless Amplitude ratio

Mild steel shaft (R1=0.01m, L=1.0m), Gap Ratio (q1=3)
and are the dimensionless deflection in x and ydirection, respectively , due to eccentricity
III.
1 .
NUMERICAL RESULTS AND DISCUSSION
In the present investigation, the specimen being has got the

following specification,
Mild steel simply supported shaft rotating in viscous fluid
(finite region)
1)
Length of the shaft
L =1.0m
2)
Radius of the shaft
R1=0.01m
3)
Damping coefficient of viscous fluid

v=2.8/0.487/0.0844 and 2.7/0.461/0.0814 stokes
4)
Equivalent mass of fluid displaced / Corresponding

mass of the shaft
M*=0.156.
5)
Gap ratio, q1=((R2-R1)/R1)
6)
Radius of the viscous container
S
E
= 3.0/5.0
= R2
The result obtained from numerical analysis using the

expression with the program which plotted in figure1, 2 and 3.
4
1
Figure 2. Frequency ratio vs. Dimensionless Amplitude ratio

Mild steel shaft (R1=0.01m, L=1.0m) Gap Ratio (q1=3)
Shows the effect of changing the damping coefficient of the

viscosity of the fluid and the gap ratio parameter of the
container on the frequency and amplitude of the simply
supported shaft. In this figure the graph are plotted between
dimensionless amplitude ratio and frequency ratio. from these
figures we observed that as the viscosity of the external fluid
increases, there is a decrease in critical speed as well as
decrease in amplitude of vibration and increases the
amplitude ratio due to increase the gap ratio.
Figure 3. Frequency ratio vs. Dimensionless Amplitude ratio

Mild steel shaft (R1=0.01m,L=1.0m), Gap Ratio (q1=5)
62 of 446
IV.
Amplitude
ratio
EXPERIMENTAL ANALYSIS
A test are conducted on simply supported shaft which is

rotating in viscous medium for determining the amplitude of
vibration by varying damping coefficient of viscosity of fluid .
The speed is controlled by a variac which is connected to the
shaft motor from the end of the simply supported shaft the
amplitude of the vibration was measured with the help of
vibration pick-up and vibration indicator for simply
supported shaft rotating in different viscous fluid and
different .
6
[3]
[4]
Fig. 4: Schematic diagram of experimental set-up

1. Motor
[5]
2. Variac
1053.806
0.312
CONCLUSION
J.Wauer, , On the dynamics of cracked rotors: A literature survey,

Applied Mechanics Review 43 (1), 1317 , 1990.
S.G.Kadyrov, J.Wauer and S.V. Sorokin, A potential technique in the
theory of interaction between a structure and a viscous, compressible
fluid, Archive of Applied Mechanics 71, 405417, 2001.
C.A. Papadopoulos, and A.D. Dimarogonas, Coupled longitudinal and
bending vibrations of a rotating shaft with an open crack, Journal of
Sound and Vibration 117, 8193, 1987.
W.H. Walston, W.F. Ames, and L.G. Clark, Dynamic stability of
rotating shafts in viscous fluids, ASME Journal of Applied Mechanics,
292299, 1964.
R. Gasch, A survey of the dynamic behaviour of a simple rotating shaft
with a transverse crack, Journal of Sound and Vibration (126)0, 313332. 1993.
W.M. Ostachowicz, and M. Krawczuk, Coupled torsional and bending
vibrations of a rotor with an open crack, Archive of Applied Mechanics
62, 191201, 1996.
C. Brennen, On the flow in an annulus surrounding a whirling
cylinder, Journal of Fluid Mechanics 75 (1), 173191, 1976.
R.J.Fritz, The effects of an annular fluid on the vibrations of a long
rotor, part 1 Theory, Journal of Basic Engineering 92 (4), 923930,
1970.
J. C. Sol, Vbration detection of a transverse crack in a rotating machine
shaft, Mecanique, Materiaux, Electricite 371-372 , 404-409,1980.
S.Idea, Transactions of the Japan Society of Mechanical Engineers (in
Japanese). Vol. 24, No. 141 (1958-5), 278-283, 1958.
W H.Walston, W. F.Ames and L.G.Clark, Dynamic stability of rotating
shafts in viscous fluids, ASME, Journal of Applied Mechanics, 292299, 1964.
F. Kito, Transactions of the Japan Society of Mechanical Engineers (in
Japanese). Vol. 22, No. 121 (1956-9),663, 1956
Achenbach, J. D. and J. Qu, "Resonant vibrations of a submerged,
Journal of Sound and Vibration (120)5,185-198, 1986.
4
1
3. Power supply
[6]
4. Vibration pick up
S
E
5. Container
6. Rotating shaft
TABLE I. ANALYSIS RESULT OF SIMPLY SUPPORTED ROTATING SHAFT IN

VISCOUD FLUID FOR DIFFERENT DAMPING COEFFICIENT OF VISCOSITY.
Amplitude
ratio
Error
REFERENCES
[2]
Experimental
analysis
The vibration characteristics of simply supported rotating

shaft in viscous fluid. The effect of damping coefficient of
viscosity and gap ratio are taken into consideration while
concluding the result. Due to increase in coefficient of
viscosity the amplitude of vibration decrease and also critical
speed shifts towards left. The effect of increasing the gap ratio
increases the amplitude of vibration. the investigation carried
out presently can be used for vibration analysis of high
speed rotating shaft in viscous fluid analysis or rotating
shaft in high speed centrifugal condition monitoring at
dynamic rotor system.
[1]
1
1053
V.
5
1
Theoretical
analysis
Theoretical
analysis
V=2.8
Experimental
analysis
Error
[7]
[8]
[9]
[10]
[11]
605.096
605.463
0.367
4597.494
4597.926
0.432
890.462
890.804
0.342
569.018
0.276
[12]
[13]
V=0.487
1
568.742
11837.951
11837.738
-0.213
1002.212
1002.61
0.398
V=0.0844
1
553.654
534.066
0.412
29110.461
29110.95
0.489
63 of 446
Diagnosis of Damage in Composite Beam Structures

using Artificial Neural Network with Experimental
Validation
Deepak K. Agarwalla, Asst. Professor
Amiya K. Dash, Professor
Akram Sahabaz, UG Student
Dept. of Mechanical Engineering

Faculty of Engineering
SikshaOAnusandhan University
Bhubaneswar, Odisha, India
deepak_cet08@yahoo.co.in

amiyadash@yahoo.com

sahabaz.akram@gmail.com
Abstract Damage diagnosis techniques have been widely

used in various engineering applications. Over the time with the
evolution of different methodologies for damage detection
established the fact that, the smooth functioning of all structural
members is only possible when the development of damage of any
form is prohibited. In the present work, a glass fibre reinforced
composite cantilever beam has been considered to develop the
neural network models for structural damage diagnosis. The
change in dynamic characteristics of the vibrating composite
structures lay down the main platform for the damage diagnosis
mechanism. In the current research, the deviations of the
vibration signatures derived from the intact and damaged beams
have been utilized to model the feed forward artificial neural
network (ANN) with back propagation technique for prediction
damage characteristics i.e. position and severity. The current feed
forward ANN model has been trained with adequate number of
data (vibration parameters) obtained from finite element analysis
and experimental analysis. Finally, the predicted results from the
ANN model have been compared with the experimental results
and are found to be in close agreement.
I.
INTRODUCTION
Neural networks, with their remarkable ability to derive

meaning from complicated or imprecise data, can be used to
recognize patterns and detect trends that are too complex to be
noticed by either humans or other computer techniques. The
most interesting feature of this artificial neural network (ANN)
is the novel structure of the information processing system. It
is composed of a large number of highly interconnected
processing elements (neurons) working in parallel to solve
specific applications, such as pattern recognition or data
classification, through a learning process. The parallel
computing capability and the ability to perform under
changing environment make the neural network a potential
tool to address applications, which are hard to solve using
analytical or numerical methods. The proposed neural network
model for damage identification has been trained with
requisite amount of data from different damaged scenarios of
the glass fibre reinforced composite cantilever beam. During
4
1
S
E
Keywords damage, glass fiber reinforced composite, vibration

signatures, ANN model, finite element analysis, experimental
analysis
the training, the models have been fed with six input
parameters i.e. first three relative natural frequencies and first
three mode shape differences. The outputs are relative damage
positions and relative damage severities. Various experiments
have been performed on the cantilever beam with different
damage characteristics, which subsequently validate the results
obtained from ANN technique.
Chinchalkar [1] has extracted the first three natural
frequencies of the cracked beam to identify the crack using a
finite element by considering the different boundary
conditions and crack depth. Loutridis et al. [2] have interpreted
the dynamic behavior of the cracked structure theoretically and
experimentally by a new technique based on instantaneous
frequency and empirical mode decomposition. A compliance
matrix is formulated by Tada et al. [3] in damaged structure
for determining the crack location and crack depth. A modal
analysis is conducted by Ravi et al. [4] on an aluminium sheet
having micro cracks generated by compression loading and the
deformation is tracked using the acoustic emission technique.
Owolabi et al. [5] have investigated the position and severity
of crack for Al fixed-fixed and simply supported beams by
analyzing the modal responses. Ostachowicz et al. [6] have
proposed a method assuming an open and closed crack with
triangular disk finite elements. He has analyzed the forced
vibrations of the beam, the effects of the crack locations and
sizes on the vibration behavior. Krawczuk et al. [7] have
proposed a finite spectral element method & wave propagation
analysis to determine the modal parameters of a cracked
Timoshenko beam. Saavedra et al. [8] have developed a finite
element stiffness matrix for the vibration analysis of the multibeam structure with different boundary conditions. Kisa [9]
has investigated to trace the cracks and nature of cracks in a
composite structure made of graphite fiber reinforced
polyamide cantilever. He has modeled the problem using finite
element and the component mode synthesis methods. He has
studied the effects of location and depth of crack and the
volume fraction and orientation of fiber on the natural
frequencies and mode shapes of the beam. Kim et al. [10] have
come up with a computer based damage diagnosis system for
concrete structures using Fuzzy set theory. They have applied
the enhanced technique to diagnose the damage using the
64 of 446
damage attributes as building blocks to model the fuzzy

inference system. Saravanan et al. [11] have implemented the
fault diagnosis in bevel gear box with the help of an artificial
neural network, wave let and proximal support vector
machine. Wu et al. [12] have proposed a damage diagnosis
technique for internal combustion engine using discrete
wavelet transform (DWT) and neural network. The DWT
technique has been amalgamated with the selective feature of
energy spectrum for the development of the purposed fault
detection algorithm. Oberholster et al. [13] have come up with
a technique for online structure health monitoring of blades
with axial flow utilizing neural network. The vibration
responses are extracted from the experimental test structures
for the modeling of neural network. Agosto et al. [14] have
coupled the neural network method with a combination of
vibration and thermal damage detection signatures to develop
a damage defection tool, which they have implemented on
sandwich composite for the purpose of damage detection.
Ghate et al. [15] have developed a multi layer perceptron
neural network based classifier for damage detection in
induction motors which is inexpensive, reliable by engaging
the available information such as stator current. Shekhar et al.
[16] has determined the dynamic responses utilizing a model
based on finite element analysis.
From the literatures cited above, it is observed that
different diagnostic tools have been used by the researchers for
damage detection in different types of engineering applications
and structures. As far as damage detection in composite
structural members are concerned, scientists have made their
effort to formulate different techniques for diagnosis of
damaged structures. For damage diagnosis in structural
members made from composite material, the application of
artificial Intelligence (AI) techniques have not been explored
much by the researchers. This gives the basis for the direction
of the current research to apply AI technique i.e. artificial
neural network to develop the methodology for estimation of
damage parameters present in vibrating cantilever structures.
Fig. 1 Damaged cantilever beam element subjected to axial and

bending forces.
The forces acting on the beam element for finite element

analysis are shown in Fig. 1.
Where,
R11: Deflection in direction 1 due to load in direction 1
R12= R21: Deflection in direction 1 due to load in direction 2
R22: Deflection in direction 2 due to load in direction 2.
Under this system, the flexibility matrix Cintact of the intact
beam element can be expressed as;
u j ui
j i
II.
uj ui
j i
Covl
Uj
Where overall flexibility matrix Covl can be expressed as,

Covl
R11
-R12
-R21
R22
Cintact =
0
Le/EA
0 Le/EI
4
1
A
Ctot
-R12
Cintact + Covl = Le/EA+ R11
(3)
Le/EI+ R22
-R21
Through the equilibrium conditions, the stiffness matrix Kc of

a damaged beam element can be obtained as [16]
(4)
Kc=DCtot-1DT
Where D is the transformation matrix and expressed as;

D=
(1)
(2)
The displacement vector in equation (1.2) is for the intact

beam.
The total flexibility matrix Ctot of the damaged beam element
can now be obtained by,
FINITE ELEMENT MODELING
In the current section, Finite element analysis (FEA) has been

performed on the cantilever beam with different damage
characteristics to evaluate the modal parameters, which are
subsequently used for damage diagnosis. The pictorial view of
the cantilever beam with damage severity a1 subjected to axial
and bending load has been presented in fig. (1).
The relationship between the displacement and the forces can
be expressed as;
Uj
Cintact
Where,
S
E
-1
0
1
0
0
-1
0
1
In the current analysis, the computational analysis software

has been used to determine the vibration responses i.e. the
natural frequencies and mode shapes of the damaged and
undamaged composite cantilever beam. The FEA tool follows
the methodology for solution of the stiffness matrix Kc as
mentioned in equation (4) and derive the modal response
parameters of the intact and damaged beam members. The
results from the FEA for the first three modes of the damaged
beam with different damage configurations are compared with
that of the experimental analysis and are presented in Table 1.
III.
EXPERIMENTAL ANALYSIS
The experimental analyses have been carried out to measure

the natural frequencies and mode shapes of the damaged and
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undamaged glass fibre reinforced composite cantilever beam

with different damage characteristics. The schematic diagram
of the experimental set up has been shown in Fig. 2.
Experiments have been performed on the damaged beam
structures with different damage positions and damage
severities to validate the results obtained from finite element
analysis and the proposed ANN model. The modal parameters
in terms of natural frequencies and mode shapes for the first
three modes of vibration have been recorded by suitably
positioning the accelerometer at the damaged sites across the
length of the composite beam members. The required
instrumentation for measuring the vibration parameters of the
cantilever beam consists of eight numbers of elements and
they are (i)Vibration exciter, (ii)Delta Tron accelerometer,
(iii)Composite cantilever beam platform, (iv)Vibration
Analyzer, (v)Vibration Monitor, (vi)Function Generator,
(vii)Power amplifier, (viii)Power supply.
environment make the neural network a potential tool to

address applications, which are hard to solve using analytical
or numerical methods. The back propagation technique can be
used to train the multilayer networks. This technique is an
approximate steepest gradient algorithm in which the
performance of the network is based on mean square error. In
order to train the neural network, the weights for each input to
the neural system should be so adjusted that the error between
the actual output and desired output is minimum. The
multilayer neural system would calculate the change in error
due to increase or decrease in the weights. The algorithm first
computes each error weight by computing the rate of the error
changes with the change in synaptic weights. The error in each
hidden layer just before the output layer in a direction opposite
to the way activities propagate through the network have to be
computed and fed to the network by back propagation
algorithm to minimize the error in the actual output and
desired output by adjusting the parameters of the network.
IV A. Neural controller mechanism for damaged detection
A back propagation neural model [17] has been proposed for
identification of damage (i.e. relative damage positions,
relative damage severities) of structural beam members
(Fig.6.3).The neural model has been designed with six input
parameters and two output parameters.
4
1
S
E
Fig. 2 Schematic diagram of experimental setup
Out of several observations (relative natural frequencies and

relative mode shape differences) obtained from the
experimental analysis for measuring the modal response for
different damage configurations of the composite cantilever
beam, nine numbers of data set have been presented in table 1
corresponding to nine different damage configurations. The
relative natural frequencies, & relative mode shape differences
presented in the table no. 1 from the several experimental
observations are for the three relative damage positions (0.25,
0.50 and 0.75) and three relative damage severities (0.375,
0.500 and 0.625). For the above said damage configurations
the first three relative natural frequencies and relative mode
shape differences derived from the FEA and experimental
analysis have been presented and compared in the table no. 1.
The inputs to the neural network model are FNF, SNF, TNF,
FMD, SMD and TMD.
The outputs from the neural model are as follows;
Relative damage position = RDP
Relative damage severity = RDS
Activation function, chosen in this work as the hyperbolic
tangent function which is expressed in equation (5),
IV.
ex ex
= f (x )
e x + e x
ARTIFICIAL NEURAL NETWORK MODELING
Neural network has been successfully implemented in many

industrial applications such as industrial process control, sales
forecasting, electronic noses, modeling, diagnosing the
Cardiovascular System and etc. The parallel computing
capability and the ability to perform under changing
Fig. 3 Neural network of the proposed model
The back propagation neural network has been made with

one input layer, one output layer and eight hidden layers. The
input layer contains six neurons, where as the output layer
contains two neurons. The number of neurons in each hidden
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layers are different in order to give the neural network a

diamond shape and for better convergence of results (Fig. 3).
The neurons associated with the input layer of the network
represent the first three relative natural frequencies and first
three average relative mode shape difference. The relative
damage position, relative damage severities are represented by
the two neurons of the output layer of the neural network. The
hidden layers i.e. 2nd, 3rd and 4th layer of the network comprises
9 neurons, 11 neurons and 9 neurons respectively. The number
of neurons in each hidden layer has been decided using the
empirical relation. Fig. 3 illustrates the neural network with its
input and output signals for the composite cantilever beam.
The proposed neural network model for damage identification
has been trained with 600 patterns of data for composite
cantilever beam featuring various states of the beam members.
During the training, the models are fed with six input
parameters i.e. first three relative natural frequencies and first
three mode shape differences and the outputs are relative
damage positions and relative damage severities.
The outputs from the experimental, FEA and ANN model
have been presented and compared in table no. 1.
Table 1 Comparison of damage characteristics of composite
cantilever beam obtained from ANN, FEA and Experimental
method
The FE model describes the required procedures from

equation no. 1 to 4 to compute the vibration parameters
(relative natural frequency and relative mode shape difference)
from the damaged model subjected to axial and bending load
as shown in fig. (1). The experimental setup for vibration
analysis has been shown in fig. (2). The experimental section
describes the complete instrumentation used to derive the
relative first three natural frequencies and relative first three
mode shape differences of the damaged composite cantilever
beam with different damage scenarios. The results from both
FEA and experimental analysis have been compared and
shown in table no. 1 and a close agreement has been found
between the results. The back propagation trained feed
forward ANN model with five numbers of layers with the
complete architecture has been shown in fig. (3). The table (1)
presents a comparison of results derived from the FEA,
experimental and the ANN model used for damage diagnosis
in the composite cantilever beam model. From the analysis of
results from table (1), it is evident that the neural network
model gives results in close proximity to actual as compared to
the finite element analysis. The variations of relative
amplitudes of vibration have been illustrated with respect to
the change in relative distance from the fixed end of the beam
for first three modes of vibration in Fig. 3(a) to 3(c) for
experimental and FEA method.. However, different materials
can also be used for carrying out the diagnosis of beam
structures subjected to various loading conditions and end
conditions with the above mentioned technique.
4
1
S
E
I
V.
VI.
CONCLUSIONS
The conclusions drawn by analyzing the results from the

above mentioned sections are depicted below.
The deviations in the mode shapes are quite significant at the
vicinity of the damaged site present on the composite
cantilever beam which acts as the basis not only to identify the
presence of damage but also, the position and severity of the
damage. The finite element analysis has been carried out for
computing the vibration parameters of the damaged and intact
composite cantilever beams at the first three modes of
vibration. The major deviations in the mode shapes have been
observed at the third mode of vibration. The experimental
results are found to be in close agreement with the finite
element results. The developed feed forward neural network
model trained with back propagation technique has predicted
the damage characteristics present in the composite cantilever
beam effectively and the results are found to be close to the
experimental results. Hence, the ANN model can be used as a
robust tool for diagnosing the structural integrity of
engineering structures of different materials in various
working scenarios.
This section of the paper list down the discussion in regard

to the results obtained from the FEA, experimental analysis
and ANN model.
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W. M. Ostachowicz, and M. Krawczuk, Vibration analysis of a
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FNF,SNF, TNF
FMD, SMD, TMD
Le
E
Relative first, second and third natural frequencies

Relative first, second and third mode shape differences
Length of the composite beam element
Youngs modulus of the composite cantilever beam

in transverse direction
Area of cross section of the composite cantilever area
4
1
Fig. 3 (a)
S
E
Fig. 3 (b)
Fig. 3 (c)
Fig. 3 (a), 3 (b), 3 (c) illustrate the variations
of relative amplitude with the relative distance
from fixed end for 1st, 2nd and 3rd mode of
vibration
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Finite Element Analysis of Hip Prosthesis for

Identification of Maximum Stressed Zone
*Amiya K. Dash, Rabiteja Patra, Deepak K.
Agarwalla, Harish Ch. Das
Jagannath Sahoo

Faculty of Engineering, SikshaOAnusandhan University
*amiyadash@yahoo.com
Dept. of Ortopaedics, Institute of Medical Science & SUM

Hospital
SikshaOAnusandhan University, Bhubaneswar,
Odisha, India
femur bone ceases to function, then implanting the prosthesis

on the femur bone gives the required mobility to the patient.
Abstract Hip prosthesis is an important tool for reducing

pain and restoring function of the hip and femur of patients
suffering from musculoskeletal disorders such as arthritis. The
prosthesis is a mechanical element which is made from either
stainless steel or titanium. In the current research, finite element
analysis (FEA) has been carried out on a stainless steel hip
prosthesis to find out the stress induced on the prosthesis and at
the interface of the prosthesis and the femur bone. From the
analysis of the result, it is observed that the maximum stress is
generated at the contact region of the femur bone and the
prosthesis. This establish the fact that, the failure of the hip
prosthesis starts at the maximum stressed zone resulting in
loosening of the prosthesis and thereby, deteriorating the
movement of the hip joint of the patient.
Pelvis (Hip Bone)

Femoral Head (Ball)
Joint Capsule
Keywords finite element analysis, Stress, hip prosthesis,

failure
I.
Acetabulum (Socket)
4
1
INTRODUCTION
Femur
(Thigh Bone)
S
E
The hip prosthesis is generally implanted in humans, when

the normal biological femoral head of the femur bone of a
human being does not function properly and produces severe
pain at the hip joint (Fig.1) when subjected to load. The
generation of wear and wear debris and loosening of the stem
of prosthesis in total hip replacement surgery posses a great
challenge for the successful long term performance. Metals are
mostly used as biomaterials to produce implants and prostheses
for fixation of bone joint disorder and fractured bone since last
few decades. Stainless steels, titanium, cobaltchromium alloys
are the common metals used for applications in the human
body in the form of prosthesis and implants. Besides
biocompatibility, the mechanical properties of the prosthesis
play a vital role for their optimum performance at the place of
fixation. However, clinical researches have shown that the
function of hip prosthesis deteriorates after long term use due
to loosening of fixation. In the present work, finite element
analysis (FEA) of the prosthesis has been carried out by
simulating the actual conditions and the effect of stress on the
performance of the prosthesis has been evaluated. The hip
prosthesis used in the current work made of stainless steel
which, mainly comprises of four parts such as stem, neck,
femoral head and acetabular cup which has been shown in Fig.
2 (a). The view of the implanted prosthesis at the hip joint has
been shown Fig. 2 (b). When the femoral head section of the
Weight bearing surface
Fig. 1 View of the ball and socket hip joint
Pelvis
Hip
Prosthesis
Femur
Fig. 2 (a) Pictorial view of the

hip prosthesis
Fig. 2 (b) Pictorial view of the

implanted hip prosthesis at the hip
joint
The number of patients undergoing pelvic surgery for hip

prostheses is growing due to increasing life expectancy. Uddin
et al. [1] have introduced a wear prediction model with the aid
of the finite element analysis. They have considered a threedimensional physiological human body and carried out the
analysis to measure wear at the hip joint following the contact
stress variation from the finite element analysis. Baleani et al.
[2] have investigated a theoretical model to predict the
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maximum stress induced in the stem by experimental test setup. Stress has been computed using beam theory and finite
element analysis (FEA). Strain measurements have been done
to validate the theoretical and finite element calculation.
Fatigue tests have been performed to authenticate the
theoretical results about the fatigue stem performance. Hence
beam theory can be used to estimate the maximum stress. Hung
et al. [3] have investigated on the fatigue failure of implant
fixation by numerical approaches. A computer algorithm based
on finite element analysis and continuum damage mechanics
has been proposed to quantify the fatigue damage rate of
cement mantle under physiological conditions. Abdulla et al.
[4] have performed finite element analysis of the implanted
proximal femur to examine the stress profile in cemented hip
prosthesis with different design. In their analysis they have
dealt with two different loading cases; walking and stair
climbing. They have concluded that proper stress & strain
distribution along the femur enhances the bone growth and
keeps normal functioning of the femur. A FE model of hip joint
prosthesis with stepped stem has been generated by Tan
et.al.[5] from Computerized Tomography (CT) scan data. They
have studied the mechanical behavior of the model and
analyzed the influence of stepped structure on the stress
distribution and concluded that the step structure reduces the
stress in femur. Dowson et al. [6] have studied and discussed
the advantages of ultra high molecular weight polyethylene
(UHMWPE) prosthesis over the poly tetra fluoro ethylene
(PTFE) and stainless steel bearing combination prosthesis.
They have stated that the (UHMWPE) prosthesis produce less
wear debris as compared to the PTFE prosthesis. Barbour et al.
[7] have conducted study under constant load conditions in a
prosthesis model which resembles to a hip prosthesis. They
have stated that, hip prosthesis is subjected to a wide range of
time dependent loads during normal activity once it has been
implanted. Pizzoferrato et al. [8] have analyzed the biological
affect of alumina wear particles found in tissues around hip
joint prostheses. They have demonstrated that the wear
production caused by the alumina-alumina combination is very
less as compared to metal-polyethylene coupling and also
mentioned
that
alumina-alumina
combination
is
thermodynamically stable and chemically inert unlike the
metals and polymers. Cabrer et al. [9] have developed and
described a new method single-point imaging (SPI) technique
which, enable the direct visualization of the polymeric
elements of the implants, allowing the detection of possible
implant failures in a very short time. Nicolella et al. [10] have
investigated the effect of three-dimensional prosthesis shape on
the response and failure probability of a cemented hip
prosthesis. They have used parameters such as joint and muscle
loading, cortical and cancellous bone and bone cement elastic
properties to evaluate the failure criteria at the bone cement and
the prosthesisbone cement interface. Lord et al. [11] have
studied the wear rate of retrieved metal on metal hip prosthesis
using co-ordinate measuring machine and a computer program.
They have compared their finding with the previous published
literature and expressed that, the wear rates measured by them
are of higher order as compared to others. Chao et al. [12]
have investigated the reasons of fracture of cement less hip
prosthesis model manufactured with Ti6A14Valloy. They have
analyzed the geometric characteristics, fracture surface, and a
micro structural study of the stem material. Their results

indicate that the most of the time the fracture has been initiated
at the junction radius of the neck and the collared device due to
a fatigue mechanism. Heijink et.al.[13] has evaluated the effect
of stress on the prosthesis design for the proximal femur. In
this research they have compared the Von Mises stress profile
of the biological femur with that of resurfaced femurs using
different prosthesis material like titanium, cobalt chrome and
ceramic. Shinge et.al.[14] have compared the force analysis of
the Somchesi Modular Prosthesis (SMP) and the prosthesis
developed by authors by changing the steel ball of SMP with
ultra high molecular weight polythene (UHMWPE). Analysis
has been done using analysis software & it has been observed
that displacement & equivalent stress on UHMWPE ball are
more compared to the stainless steel ball. Kayabasi et.al. [15]
have done static & dynamics finite element analysis of stems of
hip prosthesis to calculate the safety factors for fatigue life. In
their analysis they have used four different hip prostheses with
stem of different geometries.
By analyzing the literatures mentioned above, it has been
found that researchers have made substantial effort to identify
possible reasons for failure of the hip prosthesis. From the
published work, it is evident that wear, wear debris from the
head and acetubular cup and loosening of the prosthesis at the
neck of the femur bone are found to be the prominent cause of
failure. In the current work, finite element analysis has been
carried out on the hip prosthesis fixed on a femur bone at the
hip joint to find out the maximum stressed zone, which
subsequently makes the loosening of the prosthesis resulting in
failure of the device.
S
E
4
1
II.
FINITE ELEMENT ANALYSIS (FEA) HIP PROSTHESIS
The hip joint is the largest load bearing surface in the human
body. It comprises of rounded head of the femur joining the
pelvis in a ball and socket arrangement. The analysis of the
prosthesis at the hip joint using finite element analysis
package can throw some lights in finding out the reasons for
failure due to induced stress. Finite element analysis (FEA)
has been widely used in the field of bio-mechanics to analyze
the mechanical behavior of hip prosthesis under different
types of complex loading. Its applications include the design
and development of hip prosthesis and fixation devices. FEA
is a numerical tool that enables the investigation of the
parameters related to the failure of the hip prosthesis which
are not possible experimentally and theoretically. Thus this
tool has become an ideal tool for prediction of failure of hip
prosthesis. During the design and development of the hip
prosthesis the stress conditions are considered under different
types of loading as those have got a greater effect on the
mechanical behavior and life of the prosthesis. In the present
analysis, a solid CAD finite element model of the hip
prosthesis for 30 year old male person has been developed
using the three dimensional modeling software. The meshing
has been done using triangular elements with 40,884 nodes.
Finite element simulations for stress profile have been done
using the static analysis module of the simulation software.
Measurements of the prosthesis have been done and are
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Table 1 Material properties used for analysis of Hip

Prosthesis
presented in Table 1. The prosthesis model under

consideration has been made of three distinct materials such as
stainless steel, neoprene and bone tissues whose mechanical
properties have been shown in Table 1. Boundary conditions
for the analysis have been laid down and are i) the
displacement in the z-direction has been made zero ii) the
bottom surface of the femur bone has considered as a fixed
surface. iii) A point load of magnitude 400N has been acting
at the centre of the head of the prosthesis at an angle of 45 to
the horizontal axis in the downward direction iv)An uniformly
distributed load of magnitude 600 N has been acting at the
bottom surface of the femur bone in the upward direction. The
outcome from the analysis has revealed that, the maximum
stress has been induced at the interface of the femur bone and
the prosthesis which has been presented in Fig. 4. The
magnitudes of stress developed at different section of the
prosthesis have been presented in Table 2.
Head
Neck
Stem
Femur
Bone
Fig. 3(a) Meshed model

of hip prosthesis with
the femur bone
4
1
Table 2 Variation of Maximum Stress across the length of

the stem and neck of the prosthesis with System Parameters
S
E
Fig. 3(b) Enlarged

view of the
Maximum stressed
zone
III.
The results derived from section 2 of the manuscript have

been briefly discussed and presented in this section.
The geometrical dimensions of the different parts of the hip
prosthesis such as stem, neck, head and acetubular cup are
presented in Table 1. The materials used in the different parts
of the prosthesis model and the bone tissues along with their
mechanical properties i.e. Youngs modulus and poissons
ratio are also presented in Table 1. The assembled model of
the prosthesis with the femur has been analyzed using the
finite element simulation package to measure the stress
induced across different cross sections of the prosthesis
following the boundary conditions as cited in section 2. The
stress induced at different section of the stem and neck of the
prosthesis has been mentioned in Table 2. By analyzing the
Fig. 4 Stress distribution of the prosthesis with the femur bone
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REFERENCES
data from Table 2, it is observed that maximum stress of the

order of 21.033 MPa has been developed on the stem at a
length of 147.5 mm. On the neck the maximum stress
magnitude is 25.363 at a neck length of 2.5 mm. Fig. 1 depicts
the different parts of the human hip joint which resembles to a
ball and socket joint. This joint is known to be maximum load
bearing surface in a human body. Fig. 2 (a) presents the
photographic view of the metal on metal hip prosthesis with
its different parts that has been used in the current research.
The view of the hip joint with the artificial prosthesis has been
shown in Fig. 2(b). The meshed model of the prosthesis with
the femur bone used for FEA has been shown in Fig. 3 (a).
The enlarged view of the stress analysis at the interface of the
femur bone and the prosthesis has been presented in Fig. 3 (b).
The complete stress analysis of the assembled prosthesis and
femur model has been presented in Fig. 4.
IV.
CONCLUSIONS
The conclusions drawn by analyzing the above sections are

described below.
Wear, wear debris from the hip prosthesis and loosening of
prosthesis are the major reasons for the failure of the artificial
hip joint. From the FEA, it is observed that maximum stress
along the stem has been developed at the interface of the
femur bone and hip prosthesis and is of the order of 21.033
MPa. Since the different parts of the prosthesis i.e. stem, neck,
head and cup are with distinct geometrical dimensions, the
magnitude of stress induced and their distributions are
significantly non-uniform. Normally the patient undergone
pelvic surgeries to implant the prosthesis at the hip joint often
complain about improper functioning of the joint. From
clinical diagnosis in most of the cases, it is found that the
failures have been due to the loosening of the prosthesis from
the femur bone. From the FEA, we have identified the
maximum stressed zone (section AA of Fig. 3(b)) i.e. at the
interface of femur and stem of the prosthesis. Hence it can be
concluded that due to the persistent maximum stress occurring
at the interface of femur and stem of the prosthesis, this may
be the reason for loosening of the device from the femur.
Thus, the research output is validating the clinical diagnosis.
The outcome of the research can be helpful to orthopedic
surgeons to take measures while implanting the prosthesis at
the hip joint, so as to avoid failure of the prosthesis. Even the
present outcome can be utilized by prosthesis design and
development organization to remodel their design to prevent
the failure of the prosthesis.
4
1
S
E
[1]M.S. Uddin, L.C. Zhang, Predicting the wear of hard-on-hard hip joint
prostheses,Wear, 2013, Vol. 301 (1-2), pp.192-200.
[2]Massimiliano Baleani, Marco Viceconti, Roberto Muccini, Mauro
Ansaloni, Endurance verification of custom-made hip prostheses,
International Journal of Fatigue, 2000, Vol. 22 (10), pp.865871.
[3]Jui-Pin Hung, Jian-Horng Chen, Hsiu-Lu Chiang, James Shih-Shyn Wu,
Computer simulation on fatigue behaviour of cemented hip prostheses: a
physiological model, Computer Methods and Programs in Biomedicine, 2004,
Vol. 76 (2), pp.103-113.
[4] Abdul H. Abdullah, Mohd N. Mhod Asri, Mohd S. Alias, Tardan Giha
Finite element analysis of cemented HiP Arthoplasty: influence of stem
tapers, proceedings of the international Multi conference of engineers and
computer scientists, IMECS 2010, Vol. III, March 17-19, Hong Kong.
[5] Tan R, Fan H, Wu F, Chen J, Luo J, Zhang X, Three dimensional finite
element analysis of bone stress distribution around the hip joint prosthesis
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Multi Channel Personal Area Network(MCPAN)

Formation and Routing
Debabrato Giri1
Uttam Kumar Roy2
Dept. of Information Technology

Jadavpur University, Salt Lake Campus
Block-LB, Plot-8, sector-III,
Kolkata-700098, India
debabrato.giri@tcs.com1
mail_debabrato@yahoo.com2
Dept. of Information Technology

Jadavpur University, Salt Lake Campus
Block-LB, Plot-8, sector-III,
Kolkata-700098, India
u_roy@it.jusl.ac.in
Abstract802.15.4-2003 is the standard for Wireless personal area

network(WPAN).The devices forming this networks are Low rate,
Low powered, Low memory devices. ZigBee Alliance [18] has
provided the specification for Network layer and Physical layer
(PHY). Tree and Mesh are the two common topologies for this
network. In tree network no routing table is required for routing.
After the great success in PAN this technique has also been tried to
apply in dynamic Network too. The main problem in applying this
tree routing in this dynamic network is all the devices are
connected to each other using a single link with parent child
relation ship and if the link in broken then that part will be
disconnected from the rest of the network and transmission will be
disrupted. We have addressed the network depth problem in our
paper Address Borrowing in Wireless Personal Area Network
[8]. Now in some other network configuration the maximum
breadth of the network may be attained but the maximum depth of
the network may not be attained (because of the asymmetric nature
of the physical area) at that part and hence address lies unused. We
have addressed this problem in our paper Address reorganization
in wireless personal area network. Here In this paper we have
provided a unified Multi channel routing scheme which can be
easily applied to tree network so that the network can be used in
dynamic application space and overcome the link disruption
problem by Multi channeling but without adding any extra
overhead of having a routing table.
Index TermsPAN; Mesh;
WPAN;Tree;Multi Channel;
I.
simple mathematical equations are used for address assignment

and routing.
II.
Reorganizing;
Compared to the other kinds of routing, Distance vector

Routing [1, 11, 17], Compact Routing etc. tree routing is simplest
as it does not require any Routing table. In tree network topology
a central 'root' node (the top level of the hierarchy) is connected
to one or more other nodes that are one level lower in the
hierarchy (i.e., the second level) with a point-to-point link
between each of the second level nodes and the top level central
'root' node, while each of the second level nodes that are
connected to the top level central 'root' node will also have one or
more other nodes that are one level lower in the hierarchy (i.e.,
the third level) connected to it, also with a point-to-point link, the
top level central 'root' node being the only node that has no other
node above it in the hierarchy. The hierarchy of the tree is
symmetrical[2], each node in the network having a specific fixed
number, f, of nodes connected to it at the next lower level in the
hierarchy, the number, f, being referred to as the 'branching
factor' of the hierarchical tree.
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Address
OVERVIEW OF TREE ROUTING
Routing;
INTRODUCTION
Wireless Personal Area Networks (WPANs) are used to

communicate information over relatively short distances. WPAN
require relatively less or no infrastructure compared to wireless
local area networks (WLANs). As a result of this feature WPAN
allows small, short-range operation, reliable data transfer, and a
reasonable battery life, power-efficient, inexpensive solutions to
be implemented for a wide range of devices.
Tree and Mesh are the two topologies used in this kind of
network. The main advantage of tree address allocation is that it
does not require any routing table to forward a message. In that
A. Networkdiscovery
When a ZigBee co-coordinator is powered up and set up for
forming a network the 1st thing that it used to carry out is check
for discovery of any network within its transmission range using
NLME-NETWORK-DISCOVERY.request primitive .
NWK layer will attempt to discover networks operating within
the devices POS by performing an active scan over the channels
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specified in the ScanChannels argument for the period specified

in the ScanDuration parameter. The scan is performed by means
of the MLMESCAN.request primitive.
NLME-NETWORK-DISCOVERY.request Parameters
attribute nwkExtendedPANId is equal to 0x0000000000000000,

this attribute will be initialized with the value of the MAC
constant macExtendedAddress. If no suitable channel or PAN
identifier can be found, the NLME issues the NLMENETWORK-FORMATION.confirm primitive with the Status
parameter set to STARTUP_FAILURE.
Name
ScanChannels
Type
Bitmap
Valid range
32-bit field
ScanDuration
Integer
0x00 - 0x0e
Description
The 27 least
Significant
bits indicate
Which
channels are
to be scanned
A value used
to calculate
the length of
time to spend
scanning each
channel:
Table 1 :
The result of the scan is reported by the ,NLME-NETWORKDISCOVERY.confirm primitive. The network descriptor
information fields contain the information about all the PAN
network operating in the current network space. This
information includes the 64 bit PAN Identifiers of the PANs and
the logical channels used by them. This information is useful for
setting up a new network.
C. Network Join
Once the network is set up the PAN coordinator opens the
network for other device to join by the NLME-PERMITJOINING.request primitive. This allows the other node to join
the network. Devices that join the network may be of two kind
end device or router capable device. End device has no routing
capability and can have no child node. The others device are
router capable device which can have children either end device
or router capable device. Device willing to join the network first
checks for existence of any network within its radio range using
a energy scan by the primitive NLME-ED-SCAN.request.
Once the suitable network is found the device tries to join that
network by using the primitive NLME-JOIN.request. It has the
following 5 parameters.
B. Network formation
After completing the Network search the next step is forming
the network. Zigbee uses the NLME-NETWORKFORMATION.request primitive to request that the device start a
new ZigBee network with itself as the coordinator and
subsequently make changes to its superframe configuration.
After getting this request from the next higher layer the ZigBee
Network layer If the device is to be initialized as a ZigBee
coordinator, the NLME requests that the MAC sub-layer first
perform an energy detection scan and then an active scan
on the specified set of channels. To do this, the NLME issues the
MLMESCAN. request primitive to the MAC sub-layer with the
ScanType parameter set to indicate an energy detection scan and
then issues the primitive again with the ScanType parameter set
to indicate an active scan. After the completion of the
active scan, on receipt of the MLME-SCAN.confirm primitive
from the MAC sub-layer, the NLME selects a suitable channel.
The NWK layer will pick a PAN identifier that does not conflict
with that of any network known to be operating on the chosen
channel. Once a suitable channel and PAN identifier are found,
the NLME will choose 0x0000 as the 16-bit short MAC address
and inform the MAC sub-layer. To do this, the NLME issues the
MLME-SET.request primitive to the MAC sub-layer to set the
MAC PIB attribute macShortAddress. If the NIB
ExtendedPANId,
RejoinNetwork,
ScanChannels,
ScanDuration,
CapabilityInformation,
SecurityEnable
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The 64 PANID is used for specifying the network to which it

wants to join to.
D. Distrubuted address assignment
Each router capable device in the network is handed over a sub
block of address by its parent. This sub block is calculated based
on the following parameters. For a given values for the maximum
number of children a parent may have, nwkMaxChildren (Cm),
the maximum depth in the network, nwkMaxDepth (Lm), and the
maximum number of routers a parent may have as children,
nwkMaxRouters (Rm), then Cskip(d), essentially the size of the
address sub-block being distributed [18] by each parent at that
depth to its router-capable child devices for a given network
depth, d, is:
1 C m .(Lm d 1), IfRm 1
Lm d 1
1 C m Rm C m .Rm
C skip (d )
, Otherwise (1)
1 Rm
Network addresses should be assigned to router-capable child

devices using the value of Cskip(d) as an offset. A parent assigns
an address that is 1 greater than its own to its first router-capable
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hild device. Subsequently assigned addresses to router-capable

child devices are separated from each other by Cskip(d). A
maximum of Rm of such addresses shall be assigned.
R th Router address at depth D is:
If it is determined that the destination is a descendant of the

receiving device, then it is checked that if the destination is a
child end device using the equation
D A Rm .C skip ( d )
(5) If it is
ARth Aparent Cskip (d ).(R th 1) 1
a child end device then the address N of the next hop device is
given by: N=D.
(6)
Otherwise, The next hop address is given by:
(2)
Network addresses to the end devices are assigned using the

following equation [18].
An AParent C skip ( D ). Rm n
E.
(3)
D ( A 1)
N A 1
C skip (d )
C skip (d )
(7)
1 n Cm Rm And A parent is address of parent
G. Advantage
Network formation
Let Cm=2, Lm=4, Rm=2
Simplicity-Its a very simple network no complex path is

formed. A device only
communicates with its Parent and
Childs.
Depth in the Network

0
1
2
3
4
Offset Value [Cskip(d)]

15
7
3
1
0
Scalability The tree network can grow more than that of

mesh networks.
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0
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Transmission
range
10
13
H. Limitations of ZigBee tree routing

Now as we can see although there are 27 channels available (in
best case where there is no network in the given transmission
range) available for communication only a single channel is
chosen and used for forming the Network and subsequent data
transfer. Now each device is connected to any other device (its
parent or child) with only a single link (Channel).So if we try to
use this network in a dynamic network where each devices are
movable and still needs to continue data transmission then there
will be disruption due to breaking of the link between its parent
or child when the device is crossing the transmission range .Also
the portion of the network will be unreachable. In Fig2 node 13 is
connected with node 9 and 14 only where node 9 is the parent
and 14 is the child. Even though node 17 and node 10 are in the
radio transmission range of node 13 they are not connected
because of the limitation of Zigbee address distribution and tree
routing algorithm. Similarly node 9 is only connected with node
1,10 and 11 only even though node 2,17,6 are in the radio
transmission range .Now if node 9 and node 13 started moving in
the indicated path then after some time they will not fall outside
each others radio transmission range and thus the link between
node 9 and node 13 will be broken and thus they transmission
halted until node 13 rejoin the network using any other node as
parent. In our proposed algorithm we will try to overcome this
problem.
14
Figure 2: Address Allocation

F. Tree/Hierarchical Routing
If the destination is a descendant of the device, the device shall
route the frame to the appropriate child. If the destination is not
a descendant, the device shall route the frame to its parent. For a
ZigBee router with address A at depth d, if the following logical
expression is true, then a destination device with address D is a
descendant:
A D A C skip (d 1)
(4)
III.
PROPOSED MULTICHANNEL ROUTING
In this scheme a node will be allowed to have multiple parents

and multiple children so that if the link between a parent to its
child get disconnected even then it will be able to stay connected
with the network via the other channels. Say for in Fig2 if node9
used to be connected with node2,node12,node 6 and node 13 be
connected to node 17 and node 10 as they are also in the radio
transmission range then even though the node started in
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traversing in the indicated path there would have been paths for
transferring data within the network. In this multi channel pan
we are proposing a scheme which will allow a node to connect
with multiple neighbors so that it can stay connected inspite of its
mobility. There are 27 channels available for communication but
only a single channel is used by a particular PAN. PAN
coordinator chooses a 64 bit PAN Identifier by which the
underlying network is identified. It also chooses a suitable
channel to be used for communication. All the nodes that joins
the network uses this channel for sending /receiving message.
In this paper we have explained the proposed algorithm with 3

concurrent PAN. In our given operating space say there are 3
devices which are capable of setting up a network of its own
marked in rose color (0,2,9). Now say node 0 first powered up
and finds no network is present it does an energy scan and finds
that all the channels are free. The next step it will do is choose a
particular channel (1)and PAN ID (ABC11234x) to setup its
own network .The final network with its address distribution is
depicted in Figure 3.
As per our proposed scheme a PAN will be identified with

combination of two parameters.
PAN Identifier
Channel Identifier
ExtendedPANId,
Channel ID
RejoinNetwork,
ScanChannels,
ScanDuration,
CapabilityInformation,
SecurityEnable
So that multiple PAN can have same PAN Identifier but the
combination of PAN ID and Channel identifier would be
unique.
A. MCPAN Network Formation:
The Network discovery part will remain as it is and there will
not be any change to form a network the PAN coordinator will
perform the network discovery and then it will go for forming
the network.The only change is even if there is a network within
its radio range even then it can chose the same PAN Identifier
but it must chose a separate channel for communication. That is
if as a result of Network discovery a node finds that there is a
network with PAN ID ABC11234x and its operation on channel
1 and there are no other PAN with this ID. Then it can start
another PAN with the same PAN ID but with a different channel
say channel 2. Now if a new node is powered and it also wants
to start a new network with the same PAN ID then it have to
chose a separate channel for transmission. This helps us in
setting up multiple PAN existing within same network area.
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B. MCPAN Network Join

Once the network is set up the PAN coordinator opens the
network for other device to join by the NLME-PERMITJOINING.request primitive. This allows the other node to join
the network. Device willing to join the network for the 1 st time
first checks for existence of any network within its radio range
using a energy scan by the primitive NLME-EDSCAN.request.
Once the suitable network is found the device tries to join that
network by using the primitive NLME-JOIN.request. This
primitive needs to be modified to add one extra parameter to
specify the channel along with the PAN ID.
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10
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24
13
14
Figure 3: PAN 1
Now say node 2 of figure 3 wants to start the network with the
same set of nodes It will scan the underlying channels and select
a separate channel(2) and use the same PAN ID (ABC11234x).
After that it will start accepting the node joining the network
using the primitive NLME-PERMIT-JOINING.request.
On receiving a network join request it will first check if the
PAN ID and channel ID is matching with its PAN ID and
selected channel. Then only it accepts the request. The final
network along with its address distribution is depicted in Figure
4.
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16
17
16
18
24
19
PAN ID
Channel ID
Network Address
Primary Network
The table maintained at node 0 of Figure 3 will look like the

following .At max this table can have 27 entry 1 for each
channel
24
PAN ID
Channel ID
Primary
Network
Network
address
ABC11234x
ABC11234x
ABC11234x
10
25
Table 3 : Multichannel Map
Figure 4 : PAN 2
Now if we see the whole set of connectivity we can find that

the no neighbor a node can have has been increased considerably
to show that we can merge the 3 PAN . The resulted network is
shown in Figure 6
Now say node 9 of figure 3 wants to start the network with the
same set of nodes It will scan the underlying channels and select
a separate channel(3) and use the same PAN ID (ABC11234x).
After that it will start accepting the node joining the network
using the primitive NLME-PERMIT-JOINING.request.
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After the completion of network formation it may form a

network depicted in Figure 5.
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16
17
10
24
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Figure 6: Multichannel network with all the connectivity
Figure 5 : PAN 3
Please note that in this scheme a node is having multiple
network address. Each address is associated with a particular
channel. To support this each router capable node needs to
maintain a special table called Multichannel Map. It will have the
following 3 fields.
If we look at Figure 2 which shows a normal PAN we can find

that node 9 is connected with only 3 node 1,10,and 13 but with
our proposed modification in Multichannel PAN node 9 now is
connected with 5 node(1,2,10,13,17). Similarly Node 13 was
connected with 2 node(9,14) in normal PAN but in Multichannel
PAN node 13 is now connected with 4 node(9,17,24,14).
Now because of this additional neighbor even if node 9 and 13
started moving in the indicated path marked in blue and come out
of each other transmission range even then the will stay
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connected via other node 24,16,1,2,10 in this case. In this

example I have used only 3 channels if we increase the no of
channel then it will have more neighbor and hence better
connectivity and mobility.
Now if the link between node 9 and 13 is broken because of

the movement or any other reason then Node 6 will eventually
receive a failure send message.
On receiving this it will send the message using Pan
2(Channel 2, Figure 3) in this Node 6s address is 16 and Node
13s address is 6.It will try to send the message using the path
16 => 0=> 1=>2 =>6.But as the link between node 2 and 6 is
broken then this message transfer will also fail.
C. Routing overview in MCPAN:

There are two ways with which the routing could be done one
is reactive mode and the other is proactive mode. The reactive
mode again is divided into two sub categories source scheduled
and Failure point scheduled.
1. Reactive Routing
a. Source scheduled
b. Failure point scheduled
2. Proactive Routing
Reactive Routing overview: In this mode a node will use its

primary network first to send its message if it finds that the
message is not delivered then it tries to send the massage using
the 2nd Network and if that is also failed then it tries with the
other network and so on until all the network is exhausted or the
message has been delivered.
17
There are two version of this routing. In this paper we will

only discuss about the source scheduled routing only.
Channel ID
Primary
Network
Network
address
ABC11234x
ABC11234x
ABC11234x
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PAN ID
24
19
After receiving the failure notification it will send the message

using PAN 3 Figure 5. In this case node 6s address is 2 and
Node 13s address is 17. It will use the following path to send
the message.
2=>1 =>0 =>16 =>17
16
2
10
It Will 1st try to send the message using the its Primary
network that is PAN 1 (Channel 1). And it will follow the
following route. 6=> 2 =>1 => 9 =>13.
11
16
16
17
10
17
24
13
14
24
16
18
1. a. Source scheduled: - In this the source node takes the

responsibility of the fail transmission and tries to send the
message a separate channel.
Lets discuss the algorithm using an example. Suppose Node
6 of Figure 6 wants to send a message to node Node 13. and its
Multichannel Map is as follows.
16
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24
[3]
The advantage of this mode is that it doesnt put any extra

load on the network and sends a 2nd message using separate
networks only in the case of failure.
But the main disadvantage is every time a resend is done the
delay is increased as well. For example if for normal
transmission it takes X amount of time then for each
retransmission will increase the time by X amount at an average.
So if the node is part of 27 channel network then the delay can
be increased up to 27X. If the networks demand a continuous
data transfer with short delay in those scenario it will not be
suitable. For example a chatting application might not meet the
user experience if the delay is prolonged.
[4]
IV.
[5]
[6]
RELATED WORK
[7]
[8]
Wireless networks have rapidly gained popularity since their

introduction in 1970s. However, an investigation into low-cost,
low-rate, low-power PAN is relatively new. In [7] authors
explored the complex behavior of a large number of small lowpower sensor nodes. Energy aware operation of wireless devices
is the dominant theme in [14], [16].
Routing in wireless networks has been a fascinating topic of
research for long. These routing protocols have to deal with the
challenges of wireless networks, namely low-bandwidth, high
error-rates and often energy and memory constraints. These
algorithms are either table-driven (e.g. DSDV [5], WRP
[Shree_Murthy]) or source-initiated, that is demand-driven (e.g.
DSR, AODV [4, 6, 3]).A comprehensive survey of these
protocols has been done in [9].Address Borrowing has been
discussed in [8].There is relatively scant literature on
802.15.4/ZigBee although its applications have been discussed in
[14], [9]. Authors provide one of the first studies of the MAC sub
layer while the recent paper [15] is a comprehensive performance
evaluation of 802.15.4.
V.
[9]
[10]
In this paper we have provided a unified Multichannel

network formation and routing scheme which can be used to use
WPAN in Business networks where mobility is involved such as
wireless sensor network in Mine by allowing the network to be
created using multiple channel with marginal overhead in .
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CONCLUSION
C. J. Alpert, T. C. Hu, J. H. Huang, and A. B. Kahng, "A

direct combination of the Prim and Dijkstra constructions
for improved performancedriven global routing," University
of California, Los Angeles, Dept.
Computer Science,
Tech. Rep. CSD-920051, 1992
C. E. Perkins, E. Belding-Royer, and S. R. Das, Ad hoc
On-Demand Distance Vector (AODV) Routing, July
2003. RFC 3561.
C. E. Perkins and P. Bhagwat, Highly Dynamic
Destination-Sequenced Distance-Vector Routing (DSDV)
for Mobile Computers, Proceedings of ACM SIGCOMM,
1994.
C. E. Perkins and Elizabeth Royer, Ad-hoc On-Demand
Distance Vector Routing, Proceedings of the 2 nd IEEE
Workshop on Mobile Computing Systems and Applications,
New Orleans, LA, February 1999.
D. Ganeshan, B. Krishnamachari, Complex Behavior at
Scale: An Experimental Study of Low-Power
Wireless
Sensor Networks, UCLA/CSD-TR 02-0013, UCLA
Computer Science, 2002.
Debabrato Giri,Uttam Kumar Roy, Address Borrowing in
Wireless Personal Area Network,Proc. of IEEE
International
Advanced
Computing
Conference,
(IACC09,March 6-7),Patiala,India, page no 1074-1079
Ed Callaway, Paul Gorday, Lance Hester, Jose A. Gutierrez,
Marco Naeve, Bob Heile and Venkat Bahl. Home
Networking with IEEE 802.15.4: A Developing Standard
for Low-Rate Wireless Personal Area Networks,IEEE
Communications Magazine August 2002.
Elizabeth Royer and C-K Toh, A Review of Current
Routing Protocols for Ad-Hoc Mobile Wireless Networks,
IEEE Personal Communications Magazine, April 1999.
H. M. N. D. Bandara and A. P. Jayasumana, Challenges in
cluster tree formation with top-down approach for wireless
sensor networks, Unpublished
IEEE Stndard 802.15.4-2003: Wireless Medium Access
Contron(MAC) Physical Layer (PHY)Specification.
IEEE P802.15.4/D18, Draft Standard: Low rate Wireless
Personal Area Networks, Feb. 2003.
J. Heidemann, W. Ye and D. Estrin.An Energy-Efficient
MAC Protocol for Wireless Sensor Networks, Proceedings
of the 21st International Conference of the IEEE Computer
and Communications Societies (INFOCOM 2002), New
York, NY, June 2002.
Jianliang Zheng and Myung J. Lee. A Comprehensive
Performance Study of IEEE 802.15.4, 2004.
15, C. Schurgers, S. Park and M. B. Srivastava, EnergyAware Wireless Microsensor Networks, IEEE Signal
Processing Magazine, Volume: 19, Issue: 2, March 2002.
S. Basagni , Distributed clustering for ad-hoc networks,
In Proc. ISPAN' 99, Australia, June 23-25, 1999, pp.310315.
ZigBee Alliance (ZigBee Document 02130r7) Draft Version
0.90: Network Specification, July 2004.
[11]
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[13]
[14]
[15]
[16]
[17]
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A.D Amis, R. Prakash, Thai H P Vuong and Dung T

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Vibration analysis of a cracked Timoshenko beam

A.R.Biswal
R.K.Behera

Rourkela, INDIA
alokbiswal82@gmail.com,

Rourkela, INDIA.
rkbehera@nitrkl.ac.in
T.Roy
Rourkela, INDIA
tarapada@nitrkl.ac.in
Abstract
The structures and machineries designed in the present day
are based on maximum strength, longer life, minimum
weight and low cost etc., which allow development of a high
level of stresses in them which further leads to the
development of crack in their elements. Many engineering
structures may have structural defects such as cracks due to
long-term service, mechanical vibrations, applied cyclic
loads etc. So it is very much essential to know property of
structures and response of such structures in various cases.
The presence of crack in a structure causes a local variation
in the stiffness which affects the mechanical behaviour of
the entire structure to a considerable extent. Due to the
existence of such cracks the frequencies of natural vibration,
amplitudes of forced vibration, and areas of dynamic
stability change. In order to identify the magnitude and
location of the crack, analysis of these changes is essential.
The information from the analysis enables one to determine
the degree of sustainability of the structural element and the
whole structure. Generally for the observation proposes the
beam is modeled by two types. Euler-Bernoullis beam
model where only translation mass & bending stiffness have
been considered and Timoshenko beam model where both
the rotary inertia and transverse shear deformation have
been considered. In this paper, the presence of transverse
and open crack in the Timoshenko beam has been
considered and natural frequencies and mode shapes of the
cracked Timoshenko beam have been studied by using finite
element method (FEM) and MATLAB programme.
Keywords: Cracked beam, Timoshenko beam, finite element
method.
I.
INTRODUCTION
For the last several years, extensive research work has been
commenced to investigate the faults in structures. It has
been observed that most of the structural members fail due
to the presence of cracks. Beams are one of the most
commonly used elements in structures and machines, and
fatigue cracks are the main cause of beams failure. The
4
1
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effect of crack on the dynamic behaviour of the structural

elements has been the subject of several investigations for
the last few decades. Papadopoulos and Dimarogonas [1]
revealed the introduction of local flexibility due to presence
of transverse crack in a structural member whose dimension
depends on the no of degrees of freedom considered. It has
been observed that the local flexibility matrix is mainly
appropriate for the analysis of a cracked beam if one
employs an analytical method by solving the differential
equations piece wisely [2]. It is also appropriate to use a
semi-analytical method by using the modified Fourier series
[3, 4] and mechanical impedance method [5]. Direct and
perturbative solutions for the natural frequencies for
bending vibrations of cracked Timoshenko beams are
provided by Loyaa [6]. Dynamic stiffness method [7], direct
and inverse methods on free vibration of simply supported
beams with a crack was derived by Hai-Ping Lin [8]. Crack
localization and sizing in a beam from the free and forced
response measurements method is indicated by Karthikeyan
et al. [9].Identification of cracking in beam structures using
Timoshenko and Euler beam formulation has been studied
by Swamidas et al. [10]. In their work Timoshenko and
Euler beam formulations have been used to estimate the
influence of crack size and location on natural frequencies
of cracked beam. Frequency contour method has been used
to identify the crack size and location properly. Ali et al.
[11] have studied the free vibration analysis of a cantilever
beam. They have observed that the presence of crack in the
beam, affects the natural frequency. The magnitude for the
change of natural frequency depends upon the change of
number, depth and location of the crack.Also the change of
dynamic property effects on stiffness and dynamic
behaviour. The lowest four natural frequencies of the
cracked structure have developed by Shin et al. [12] by
using finite element method. They have obtained the
approximate crack location by using Armon's Rank-ordering
method that uses the above four natural frequencies. A
method for shaft crack detection have proposed by Xiang et
al. [13] which is based on combination of wave-let based
elements and genetic algorithm. Owolabi et al. [14] have
investigated experimentally the effects of cracks and
damages on the structures .Al-Qaisia et al. [15] have utilized
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the reduction of Eigen frequencies and sensitivity analysis to

localize a crack in a non-rotating shaft coupled to an elastic
foundation. The modeling of shaft was done by finite
element method and coupled to an experimentally identified
foundation model. Sahin et al. [16] have introduced in their
research different damage scenarios by reducing the local
thickness of the selected elements at different locations
along finite element model (FEM) for quantification and
localization of damage in beam-like structures. Nahvi et al.
[17] have developed an analytical, as well as experimental
approach to the crack detection in cantilever beams by
vibration analysis. Behzad et al. [18] have calculated natural
frequencies for a beam with open edge crack using
theoretical and finite element analysis. An investigation of a
beam crack identification method by using the standard
finite element formulation has been produced by
Demosthenous et al. [19]. The finite element analysis of a
cracked cantilever beam and the relation between the modal
natural frequencies with crack depth, modal natural
frequency with crack location has been studied by Sutar
[20]. Only single crack at different depth and at different
location are evaluated. The analysis reveals a relationship
between crack depth and modal natural frequency. Zheng
[21] has described an overall flexibility matrix instead of
local flexibility matrix in order to find out the total
flexibility matrix and the stiffness matrix of the cracked
beam. It has been observed that the consideration of overall
additional flexibility matrix, due to the presence of the
crack, can indeed give more accurate results than those
obtained from using the local flexibility matrix. The overall
additional flexibility matrix parameters are computed by
128-point (1D) or 128 128(2D) Gauss quadrature and then
further best fitted using the least-squares method. The bestfitted formulas agree very well with the numerical
integration results [22]. After getting the stiffness matrix of
a cracked beam element standard FEM procedure can be
followed, which will lead to a generalized eigenvalue
problem and thus the natural frequencies can be obtained.
displacement relation in the x, y and z directions of the

beam is given by
w
u x, y, z, t z x, t z
x
x
vx, y, z, t 0 , wx, y, z, t wx, t .
Where the axial displacement along the x-axis is u, the

lateral displacement along the y axis is v which is equal to
zero and the time dependent transverse displacement of the
centroidal axis (along z axis) is w. The time dependent
rotation of the cross-section about y axis is . The shear is
(x) which has no contribution during finding out the axial
displacement at a point at a distance z from the centre line.
The equation of motion can be derived by using Hamiltons
principle as the total strain energy being equal to the sum of
change in kinetic energy and the work done due to the
external forces and is given by
t2
U T We dt 0 .
t1
Here U is the strain energy, T is the kinetic energy and W e is

the external work done which is equal to zero and t is the
time.Sustituting the values of strain energy and kinetic
energy, we get the governing equation of motion
(Timoshenko beam equation) of a general shaped beam
modelled with Timoshenko beam theories. Let w be the
approximated by a cubic polynomial and is given as
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II.
MATHEMATICAL FORMULATION
4
1
w a1 a2 x a3 x 2 a4 x 3 .
Where x is the distance of the finite element node from the

fixed end of the beam.a1, a2 a3 and a4 are the unknown
coefficients and are found out by using boundary conditions
at the beam ends. The mass matrix of the regular beam
element is the sum of the translational mass and the
rotational mass and is given in matrix form as
N A 0 N w
M b w
dx .
I N
0 N 0
T
Le
The stiffness matrix of the regular beam element is the sum

of the bending stiffness and the shear stiffness and is written
in matrix form as
2.1 Finite element modeling of regular beam element
N
Le
EI
x
K b

N
0
N w 0
x
0
.
x
dx
N
kGA N
w
Where N w & N are the shape functions for displacement

and rotation, taking the shear () into consideration
12EI k y 1
Fig-1.A regular simply supported Timoshenko beam element
The regular beam element is shown in fig-1 .The

longitudinal axis of the regular beam element lies along the
X-axis. The element has constant moment of inertia,
modulus of elasticity, mass density and length [23].The
AG L2
ky .
Substituting the mode shapes N w & N we get the

stiffness matrix of the regular beam element. When is
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neglected, the mass matrix and the stiffness matrix reduce to

the mass and stiffness matrix of an Euler-Bernoulli beam.
2.2.3Total flexibility matrix of the cracked Timoshenko

beam element:
The total flexibility matrix of the cracked Timoshenko
beam element is obtained as
2.2 Finite element modeling of a cracked beam element
Ctotal Covl Cint act .

2.2.4Stiffness matrix of a cracked Timoshenko beam
element:
Through the equilibrium conditions, the stiffness
matrix Kc of a cracked beam element can be obtained as
follows [27, 28]
1
K c LCtotal LT .
Where L is the transformation matrix.
Fig.2 simply supported beam with crack subjected to shear

force and bending moment
Le
L
1
A simply supported beam of circular cross-section having

diameter D with a single transverse crack with constant
depth a is shown in Fig.2. The crack is at a distance of Xc
from the left end of the beam. The beam is divided into
number of equal elements having length Le.
0
1
Where b Da a 2 ,
III.
and
1
D 2 4 x 2 D 2a .
2.2.1Overall additional flexibility matrix under conventional

FEM co-ordinate system:
A cracked beam element subjected to shearing force V
and bending moment M at each node is considered. The
corresponding displacements are denoted as y and . Lc
denotes the distance between the right hand side end node
and the crack location. a denotes the crack depth. The
beam element has length Le, cross-sectional area is A and
flexural rigidity EI.Under the FEM co-ordinate and notation
system, the relationship between the displacement and the
forces can be expressed as
A simply supported Timoshenko beam with a transverse

crack is considered for numerical analysis. The various
geometric and physical parameters of the beam are L=1m,
D=2cm, E=206Gpa, =7800Kg/m3& =0.3.The beam
length is divided into forty no of elements. The natural
frequencies for the uncracked and cracked Timoshenko
beam are shown in Table 1-5. The first three mode shapes of
uncracked and cracked Timoshenko beam are shown in
Fig.3-5.It is observed that there is a sudden jump in the
mode shape due to presence of crack in the beam.
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Table-1.Natural frequencies for uncracked Timoshenko beam.
y j yi i
V j

Covl M .
i
j
(rad/sec)
Present [FEM]
Theoretical [29].
253.425
253.426
1013.703
1013.703
2280.835
2280.835
2.2.2 Flexibility matrix for intact beam element:

The flexibility matrix Cintact of the intact Timoshenko beam
element can be written as
y j yi i
V j

Cint act M .
i
j
4
1
h D 2 4x 2
Table-2. Natural Frequencies of Cracked Timoshenko beam, Xc/L=0.20.
(rad/sec)
Xc/L
/D=0.2
/D =0.3
/D =0.4
/D =0.5
0.2
252.053
250.716
249.371
248.275
0.2
1013.396
1012.553
1010.952
1008.875
0.2
2183.378
1944.381
1700.315
1552.258
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(rad/sec)
1
Xc/L
0.5
0.5
0.5
/D=0.2
/D =0.3
/D =0.4
252.772
252.100
251.389
250.784
953.609
927.4137
907.8555
2281.51
2268.067
2248.615
982.069
6
2284.85
7
/D =0.5
(rad/sec)
Xc/L
/D=0.2
/D =0.3
/D =0.4
/D =0.5
0.6
251.221
249.088
246.960
245.240
0.6
1018.711
1024.418
1031.028
1037.089
0.6
2162.823
2058.453
1966.404
1900.875
Fig.5 Third mode shape for uncracked and cracked beam,

XC/L=0.5,/D=0.2.
IV.
(rad/sec)
Xc/L
/D=0.2
/D =0.3
/D =0.4
/D =0.5
0.8
250.544
247.810
245.130
242.997
0.8
1001.11
989.0831
977.321
968.032
0.8
2321.405
2350.619
2369.132
2377.006
CONCLUSION
In this paper an overall additional flexibility matrix is

considered for evaluating the stiffness matrix as well as
natural frequencies of a cracked Timoshenko beam. From
the results obtained it has been observed that the presence of
crack in the beam decreases the natural frequencies. The
magnitude for the change of natural frequencies depends
upon the change of relative crack depth and location for the
crack. It is observed that with increase in relative crack
depth the natural frequency decreases and there is an abrupt
change in mode shape due to presence of crack in the beam.
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1
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Fig.3 First mode shape for uncracked and cracked beam,

XC/L=0.5,/D=0.2.
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
[9]
Fig.4 Second mode shape for uncracked and cracked
beam,XC/L=0.5,/D=0.2.
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Silicon on Insulator based Directional, Cross Gap and

Multimode Interference Optical Coupler design
Vishal Sorathiya
Amit kumar
Electronics and communication department,

Marwadi Education Foundation Group of Institute,
Rajkot, India.
vishal.sorathiya9@gmail.com
Electronics and communication department,

Marwadi Education Foundation Group of Institute,
Rajkot, India.
chaurasia.kumar@gmail.com
However in Silicon on Insulator based waveguide at

several hundred micrometer range of banding waveguide
causes the maximum bending loss. There for it could not be
bending to small curvature. For the requirement of sharp
bends in waveguide it is necessary to have high index contrast
of reflection (high ).
Abstract A new and innovative interconnection technology

in opto-electronics based chip fabrication is presented. This
technology gives the advantages over existing technology of
electrical interconnection in terms of greater speed. After giving
overview of different types of optical coupler design with planer
light wave circuit, the focus of this paper is on to develop such
optical coupler, gives maximum coupled optical power and
reduce the back hand coupled power losses.
Index TermsSilicon on insulator, Directional coupler,
Multimode interference coupler, Cross gap coupler, Optical
coupler design.
As shown in Fig. 1 the schematic diagram of waveguide

structure with Si wire core is in nanometer size. The index
contrast between the Si core & silica cladding is of 40% order.
This structure makes it possible to bend the wave guide with
micrometer or nanometer curvature.
I.
INTRODUCTION
lanar light wave circuits are optical integrated

circuits (ICs) or optical circuit boards which usually perform
their functions in the optical domain. Planar light wave
circuits uses optical waveguides to route photons in the the
similar way as the metal traces are used to route electrons in
electronic ICs and circuit boards .Planar light wave circuits
are analogous counterpart of electronic ICs in optical
domain. They are usually of nanometer size and can act as
splitter, switches, couplers etc. efficiently with less space
required and with greater speed. They are optical circuits
patterned on Si wafer and are useful because of their small
size and their potential for integration of multiple devices.
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To make these planar light wave circuits of smaller size,

the waveguide components have to be reduced considerably
[3]. Hence with the advent of photonic integration nowadays
strongly guiding ridge waveguides are used as building
blocks for optical devices such as small length couplers (with
coupling length of few micrometers). So to design these
optical devices we use high index contrast waveguides, with
very small cross-section, popularly known as Si photonic
wire waveguides.
II.
SI PHOTONIC WIRE WAVEGUIDE
4
1
Fig. 1: Si photonic wire waveguide (a) Layered structure. (b) Picture of cross
section [8]
The design of the three types of coupler namely Cross

Gap Coupler (CGC), Directional Coupler and Multi Mode
Interference Coupler (MMI) were based on Si photonic wire
waveguide with refractive index of the core and cladding
material were 3.48 and 1.46 respectively and the width and
height of the Si core was 0.45 m and 0.21 m.
III.
FUNDAMENTALS, TYPES AND APPLICATIONS
Optical coupler of NN coupler (with N2) can be

used as power splitter, power tap etc. For the design of
coupler
by
using
planar
waveguide
like
lithiumniobate(LiNbO3 ), silica and various polymers.
When discussing about coupler and splitters it is
customary to refer to them in terms of number of input
and output device [2].
Silicon photonics is receiving much interest because it

enables the use of well-developed Si processing technologies
as well as Si substrates that are cheaper than the compound
semiconductor (GaAs or InP) substrates to fabricate a broad
range of optical devices (light emitters, photo-detectors ,
optical switches, optical passive components, and nonlinear
optic devices)[1], [3], [9], [10].
Fig. 2: Fused fiber coupler [2]
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The optical power of coupler is given as

P2 =P0 sin2 (kz)
The coupling length which is as small as possible is given as

[4]
(1)
Lc=/e-o= 0/2(ne-n0)
Where z is axial distance and k is coupling coefficient .Here P2 is depends on axial length, coupling
region size and the difference in radii of the two fiber in
coupling region [6]. For identical core fiber we have
equation is
P1=P0 -P2 =P0 [1-sin 2 (kz)]=P0 cos2 (kz)
(5)
ne and n0 is effective indexes of even and odd super nodes. In

this the TE and TM mode of polarization operation is
possible.
(2) Multimode interference coupler (MMI)
Multimode interface coupler has attracted much interest in
the past decade, owing to it compact structure, low loss, easy
and large fabrication tolerances. Many functions realize using
MMI such as power splitter [12], optical switching etc.
(2)
(3) Cross Gap Coupler (CGC)
Fig. 3: Normalized coupled powers as a function of the coupler draw

length [2]
The process of total internal reflection is not always

satisfied because of boundary surface cannot be make 100%
reflection and create attenuation with loss of power. For the
process in which waveguide is design in such way that the
internal high refractive index material is surrounded by low
refractive index material with minimum distance and when a
optical signal pass through the waveguide than it is differ from
ordinary condition to pass energy. This process is known as
frustrated total internal reflection. In CGC waveguides are
kept with few wavelength distances from interface to make
efficient corner mirror.
The basic parameter id to require for designing 22

coupler is gap between waveguide, waveguide width and
refractive index between waveguides in coupling region.
(1) Directional coupler (DC)
Directional coupler is as shown in below Fig.4 with 22
type and that have mainly four pot design. The main aim to
design directional coupler is to give power from any one of
port and get maximum coupled output at two ports which is in
opposite side and make minimum power output at isolated
back port. All the power is expressed in db.
IV.
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Fig.4: Schematic core pattern of a directional coupler [5]
4
1
EFFECTIVE INDEX AND MODE POLARISATION
The effective index is used to find approximate

solutions for the propagation constants of two dimensional
waveguides. This is done without dealing directly with the
electric fields within the waveguide, and so this method,
known as the effective index method, is very simple [1]. The
approach to finding the propagation constants for the
waveguide shown as an example in Fig. 6 is to regard it as a
combination of two planar waveguides, one horizontal and
one vertical, shown respectively in Fig. 7(a) and 7(b). We then
successively solve the planar waveguide eigenvalue equations
first in one direction and then the other, taking the effective
index of the first as the core refractive index for the second.
So, when considering, for example, the previously
defined strip waveguide, with the index distribution shown in
Fig. 6, and considering a TE mode.
Fig.5: Schematic pattern of directional coupler in PLC and its crosssection [5]
The DC considered as consist of two parallel symmetric

wave guides [7]. The transfer of the light is proportional to the
propagation distance (z). The Bar and Cross output of DC is
given as followed equations.
Pb=Pincos2(z/2Lc)
(3)
Pc=Pinsin2(z/2Lc)
(4)
Fig.6: waveguide cross section and index distribution.
We start by calculating the effective index in the y direction,

and obtain the effective index in this direction,
, as shown
in Fig. 7(a).
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V.
(1) Directional Coupler:

The most fundamental component in optical device for
add-drop multiplexer, power combiner and switches [8-9] is
directional coupler. The DC was having silicon insulator
material with 0.45m thick single crystal Si surface
fabrication. The surface was first patterned by using electronic
beam lithography to wave guide core pattern of DCs [14].
Fig. 7: (a) vertical (b) horizontal calculation of effective index
For the first decomposition of the waveguide, equation
cos
= tan
+ tan
TABLE 1: SPECIFICATIONS USED FOR MODELING THE DIRECTIONAL COUPLER
Power of the input light

Polarization and wavelength of
the incident light
Width and height of the core
Refractive index of the core
Refractive index of the cladding
Radius of curvature for sshaped waveguide
Coupling length
Gap between two linear
waveguide
(6)
=2
With
the propagation constant in free space and
h the height of the core layer. For TE modes, has to be solved
in order to obtain the propagation angle .Then, from the
definition of the effective index of the mode, we obtain that:

sin
(7)
Then the analogous equation for TM modes has to be

solved for the other decomposition in order to find the
effective index of the mode. The polarisation has to be chosen
carefully. If we are considering an electric field polarized in
The x direction (TE polarisation), then when solving the threelayer planar waveguide in the y direction we use the TE
eigenvalue equation. However, when we subsequently solve
the vertical three-layer planar waveguide, we must use the TM
eigenvalue equation because, with respect to this imaginary
vertical waveguide, the field is polarised in the TM direction.
The general solution to the wave equation for TE modes in
planar waveguides [1], which is of the form:

With
=1
DESIGN AND ANALYSIS
Simulation Software
1mw(0 dBm)
TM MODE, 1.55 m
0.45 m,0.21 m
3.48
1.46
10 m
5 m
0.20 m
Opti FDTD-8
(optiwave corporation)
4
1
Fig. 8: Design of Directional Coupler
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(8)
the velocity of wave is following:

(9)
Fig. 9: Planar view of H y component of light in directional coupler
The
corresponds to a propagating sinusoidal type
field, while the
represents fields propagating in the y
direction through the claddings. That means that the field
penetrates the cladding with a decay constant , so part of
the field is propagating through the cladding. So after
obtaining this solution, it is possible to plot the field
distribution, ( ) or the intensity distribution, | ( )| for
the different modes, in order to have an idea of how the field
propagates through the waveguide [1].
Fig.10: Refractive index distribution
(2) MMI Coupler:

MMI coupler having smaller size compare to DC and
design is robust less parameters like pitch (Pt), coupling
length and width [11].
87 of 446
mirror. In this design the wavelength 1.55m, power is

divided equally at both cross and bar wave guide port. This
gap is function as half mirror or corner mirror [6], [15], [16].
for particular wavelength. All the structures are design in
planar light wave circuit (PLCs).
Fig. 11: Structure of the MMI Coupler [7]
Here we design for two widths 1.5 and 1.8 with pitch distance
is 0.735m and 0.882m respectively.
Fig. 14: Structure of Cross Gap Coupler
Fig. 12: Structure of the MMI Coupler (width 1.5m)
Fig. 15: Structure of Cross Gap Coupler (=30)
Fig. 13: Planar view of H y of light in MMI (width 1.5m)
(3) CGC Coupler:
4
1
The cross gap coupler is structure of two waveguide with

crossing each other with some angle 30, 40, 50 and 60. The
gap is replaced with silica material which acts as corner
VI.
Fig. 16: Planar view of H y of light in CGC (=30)
RESULT AND COMPARISON
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TABLE 2: DIFFERENT TYPES OF LOSSES
Types of losses and ratio parameter

Coupling Ratio
Excess Loss
Equation of loss
=
= 10 log
Insertion Loss
Return Loss and Reflectance
100%
= 10 log
= 10 log
TABLE 3: CROSS AND BAR OUTPUT FOR CROSS GAP COUPLER WITH DIFFERENT ANGLE
Coupler
1.5
CGC 30
Bar
Cross
output
Output
( dBm)
(in dBm)
-3.3382
-6.796
-4.073
CGC 50
Bar
Cross
Output
Output
(dBm)
(dBm)
-3.575
-4.492
1.52
-3.632
-6.065
-3.37
-3.985
-3.656
-4.39
-3.959
-4.323
1.53
-3.423
-6.29
-3.424
-3.973
-3.742
-4.2829
-3.993
-4.281
1.54
-3.173
-6.55
-3.483
-3.949
-3.794
-4.206
-4.027
-4.236
1.55
-3.88
-5.26
-3.741
-3.743
-3.853
-4.136
-4.1816
-4.179
1.56
-3.32
-5.734
-3.959
-3.5902
-3.921
-3.927
-4.262
-3.97
1.58
-3.458
-5.0315
-4.215
-3.431
-4.064
-3.767
-4.334
-3.899
1.6
-4.5595
-7.397
-4.328
-3.342
-4.165
-3.6744
-4.445
-3.846
Wavelength
(in m)
CGC 40
Bar
Output
(dBm)
-3.183
Cross Output
(dBm)
CGC 60
Bar
Cross
Output
Output
(dBm)
(dBm)
-3.884
-4.43
88 of 446
TABLE 4: CROSS AND BAR OUTPUT FOR MULTIMODE INTERFACE AND DIRECTIONAL COUPLER
Coupler
Directional
MMI 1.8m
MMI 1.5m
Wavelength
(in m)
Bar output
( dBm)
Cross
Output
(in dBm)
Bar Output
(dBm)
Cross Output
(dBm)
Bar Output
(dBm)
Cross
Output
(dBm)
1.5
-2.345
-3.998
-4.86
-3.464
-4.89
-3.32
1.52
-2.678
-3.542
-4.664
-3.635
-4.81
-3.45
1.53
-2.768
-3.413
-4.389
-3.785
-4.634
-3.67
1.54
-2.888
-3.288
-4.134
-3.948
-4.45
-3.98
1.55
-3.08
-3.08
-3.95
-3.95
-4.09
-4.09
1.56
-3.245
-2.908
-3.48
-4.02
-3.96
-4.19
1.58
-3.775
-2.415
-3.211
-4.08
-3.56
-4.35
1.6
-4.12
-2.15
-2.94
-4.234
-3.08
-4.8
TABLE 5: SPLITTING RATIO FOR DIRECTIONAL, MULTIMODE INTERFACE AND CROSS GAP COUPLER
Wavelength(m)
S.R. of
MMI 1.5
m width
57.97
S.R. of
MMI 1.8
m width
58.94
45.04
55.9
57.76
46.26
53.47
55.53
47.69
51.07
52.7
50
50
50
51.19
46.89
48.67
57.76
45.01
45.4
61.14
42.6
40.29
S.R. for 60
S.R. for 40
S.R. for 50
S.R. for 30
S.R .of DC
46.86
45
44.73
31.3
43.73
1.52
47.9
45.83
46.89
36.34
1.53
48.28
46.72
46.72
34.07
1.54
48.79
47.32
48.71
45.85
1.55
50
49.98
50
42.71
1.56
51.67
52.12
50.91
36.45
1.58
52.7
54.5
52.4
1.6
53.44
55
52.8
1.5
41
4
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S
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34.41
TABLE 6: EXCESS LOSS FOR DIRECTIONAL, MULTIMODE INTERFACE AND CROSS GAP COUPLER
Wavelength
(m)
CGC 60 (dB)
CGC 50 (dB)
CGC 40(dB)
CGC 30(dB)
DC(dB)
MMI 1.5
m(dB)
MMI 1.8
m(dB)
1.5
1.139
0.999
0.5958
1.752
0.083
1.125
1.024
1.52
1.127
1.53
1.124
0.994
0.657
1.669
0.0782
1.1
1.066
0.9848
0.6682
1.613
0.0764
1.066
1.115
1.54
1.12
0.982
0.6996
1.538
0.073
0.9
1.198
1.55
1.171
0.914
0.732
1.546
0.0697
0.8
1.0797
1.56
1.1036
0.904
0.7608
1.35
0.06293
0.75
1.063
1.58
1.1013
0.896
0.7956
1.116
0.0316
0.68
0.9269
1.6
1.1255
0.902
0.7972
2.76
0.02435
0.528
0.8457
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VII.
[8]
COMPARISONS OF THE SIMULATION

RESULTS
[9]
TABLE 7: VARIATION IN EXCESS LOSS FOR DIRECTIONAL, MULTIMODE

INTERFACE AND CROSS GAP COUPLER
Excess
Loss(in
dB)
CGC
of
30
CGC
of
40
CGC
of
50
CGC
of
60
DC
MMI
of 1.5
m
width
MMI
of 1.8
m
width
Minimum
1.116
0.595
0.896
1.100
0.014
0.528
1.198
Maximum
2.76
0.797
0.999
1.171
0.083
1.125
0.8457
[10]
[11]
[12]
[13]
TABLE 8: VARIATION IN SPLITTING RATIO FOR DIRECTIONAL, MULTIMODE

INTERFACE AND CROSS GAP COUPLER
Splitting
Ratio
(in %)
CGC
of
30o
CGC
of
40
CGC
of
50
CGC
of
60
DC
MMI
Coupler
of
1.5m
width
MMI
Coupler
of
1.8m
width
Minimum
31.3
45
44.73
46.86
43.73
57.97
58.94
Maximum
45.85
55.01
52.80
53.44
61.14
42.60
40.29
[14]
[15]
CONCLUSION
[16]
[17]
As conclusion Directional coupler having very less

transmission losses but it is having large splitting ratio.
Multimode interface coupler is very easy in design but it has
large excess loss and variation in splitting ratio is large. Cross
Gap Coupler has different result variation with change in
angle. For 30 degree design has large excess loss and poor
wavelength dependency. With 40 degree design has least
excess loss. In 60 degree design has less variation in splitting
ratio and best wavelength dependency but in design of 50
degree with moderate excess loss and splitting ratio for
designing PLCs with silicon on insulator substrate.
Hirohito Yamada, Member, Tao Chu ,Satomi Ishida, and

Yasuhiko Arakawa, Si Photonic Wire Waveguide Devices,
IEEE Journal Of Selected Topics In Quantum Electronics, VOL.
12, NO. 6, November/December 2006.
B. Jalali, S. Yegna narayanan, T. Yoon, T. Yoshimoto, I.
Rendina, and F. Coppinger, Advances in silicon-on-insulator
optoelectronics, IEEE J. Sel. Topics Quantum Electron., vol. 4,
no. 6, pp. 938947, Nov.Dec. 1998.
L. C. Kimerling, Silicon micro photonics, Appl. Surf. Sci., vol.
159160, pp. 813, 2000.
R. A. Forber and E. Marom, Symmetric directional coupler
switches, IEEE J. Quantum Electron., vol. QE-22, no. 6, pp.
911919, Jun. 1986.
G. Rickman, G. T. Reed, and F. Namavar, Silicon-on-insulator
optical rib waveguide loss and mode characteristics, J. Lightw.
Technol., vol. 12,no. 10, pp. 17711776, Oct. 1994.
N. Ofusa, T. Saito, T. Shimoda, T. Hanada, Y. Urino, and M.
Kitamura, An optical add-drop multiplexer with a grating-loaded
directional coupler in silica waveguides, IEICE Trans.
Communication., vol. E82-B, pp. 12481251, 1999.
Hirohito Yamada, Member, Tao Chu, Member, Satomi Ishida,
and Yasuhiko Arakawa, Optical Directional Coupler Based on
Si-Wire Waveguides, IEEE photonics technology letters, vol.
17, no. 3, march 2005.
L. Li. G. P. Nordin, J. M. English, and J. Jiang, Small-area bends
and beam splitters for low-index-contrast waveguides, Opt. Exp.,
vol. 11, no. 3, pp. 282-290, Feb., 2003.
R. U. Ahmad, F. Pizzuto, G. S. Camarda, R. L. Espinola, H. Rao,
and R. M. Osgood, Ultracompact Corner-Mirrors and TBranches in Silicon- on-Insulator, IEEE Photon. Technol. Lett.,
vol. 14, no. 1, pp. 65-67, Jan., 2002
Tutorials and Background FDTD Optiwave Inc. 2006.
4
1
S
E
I
REFERENCES
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[3]
[4]
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[6]
[7]
G.T.Reed and A.P.Khights, Silicon photonics: an introduction,

John Wiley&Sons,Ltd,
Gerd Keiser, Optical Fiber Communication fourth edition, Tata
McGraw Hill.2009.
L. Pavesi, Will silicon be the photonic material of the third
millennium?, J. Phys., Condens. Matter, vol. 15, pp. R1169
R1196, 2003.
H. Kogelnik and R. V. Schmidt, Switched directional couplers
with alternating , IEEE J. Quantum Electron, vol. QE-12, no.
7, pp. 396401, Jul. 1976.
Makoto Fujimaki, Keita Kawabe, Masahiro Suzuki, Koichi
Awazu, Yoshimichi Ohki,Junji Tominaga Control of the
properties of directional couplers using proton irradiation,
Volume 264, Issue 2, November 2007, Pages 267271.
E. J. Norberg, J. S. Parker, U. Krishnamachari, R. S. Guzzon, and
L. Coldren, InGaAsP/InP based Flattened Ring Resonators with
Etched Beam Splitters, OSA/IPNRA/NLO/SL 2009, IWA1, July
12-17, Honolulu, Hawaii, 2009.
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90 of 446
An Analysis of Short Term Hydrothermal

Scheduling using Different Algorithms
Koustav Dasgupta1, Sumit Banerjee2
Chandan Kumar Chanda3
1,2
Electrical Engineering Department3

Bengal Engineering and Science University,Shibpur3
Howrah, India
Electrical Engineering Department , Santiniketan Institute

of Polytechnic, Bolpur1, Dr. B. C. Roy Engineering College,
Durgapur2 , India
Koustav2009@gmail.com1, sumit_9999@rediffmail.com2
Abstract The paper presents Particle swarm optimization

(PSO), Particle swarm optimization with constriction factor
approach (PSOCFA), Particle swarm optimization with inertia
weight approach (PSOIWA), Particle swarm optimization with
constriction factor and inertia weight approach (PSOCFIWA)
which are applied to determine the optimal hourly schedule of
power generation in a hydrothermal power system. The objective
of the hydrothermal scheduling problem is to find out the
discharge of hydro plants and power generation of thermal
plants to minimize the total fuel cost at a schedule horizon while
satisfying various constraints. In the present work, the effects of
valve point loading in the fuel cost function of the thermal plants
are also considered. The developed algorithms are illustrated for
a test system consisting of four hydro plants and three thermal
plants. From the results it is clear that PSO approach gives the
best global optimum solution than the PSOCFA, PSOIWA and
PSOCFIWA techniques.
INTRODUCTION
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Hydrothermal scheduling problem plays an important role

in power system operation today. Hydrothermal scheduling
problem is referred to find out the discharge of hydro plants
and power generation of thermal plants to minimize the total
fuel cost at a schedule horizon while satisfying various
constraints.
The main constraints time coupling effect of the hydro sub
problem, where the water flow in an earlier time intervals
affects the discharge capability at a later period of time, the
time varying system long demand, the cascade nature of the
hydraulic network, the varying hourly reservoir inflows, the
physical limitations on the reservoir storage and turbine flow
rate and loading limits of both thermal and hydro plants.
Recently simulated annealing technique [1], evolutionary
programming technique [2] and genetic algorithm [3-5] have
been applied for determine optimum fuel cost from
hydrothermal power plant.
Different performances of stochastic techniques have been
studied in the literature [1, 6-13]. This method have been
provide very faster performance and very efficient than other
conventional method. There are some limitations that are
obtained in [12].
Literature survey shows that particle swarm optimization
technique is very simple optimization technique and easier to
4
1
Keywords Cascaded reservoirs; Hydrothermal scheduling;

Particle swarm optimization(PSO); valve point effect.
I.
understand from any other technique. So this algorithm have

drawn a wide attention in the world. This optimization
technique has a faster convergence rate to global solution. It
has highest potential of finding more nearly global solutions to
hydrothermal coordination problems [12].
PSO has small number of free tunable parameters to arrive
desire goal. PSO has been applied in many field of power
system to determine the optimum value of the parameter of
power system. Yu et. al. applied PSO technique to solve shortterm hydrothermal scheduling [15].
In this paper particle swarm optimization (PSO), Particle
swarm optimization with constriction factor approach
(PSOCFA), Particle swarm optimization with inertia weight
approach(PSOIWA),
particle swarm optimization with
constriction factor and inertia weight approach (PSOCFIWA)
method are proposed for short-term optimal scheduling of
generation in a hydrothermal system which involves the
allocation of generation among the multi-reservoirs cascaded
hydro plants and thermal plants with valve point loading
effects so as to minimize the fuel cost of equivalent thermal
plant while satisfying the various constraints on the hydraulic
and power system network.
In this paper, we consider the cost characteristics of
individual thermal units instead of considering an equivalent
thermal unit. PSO, PSOCFA, PSOIWA, PSOCFIWA based
hydrothermal scheduling is developed through the test system
[14]. The result of proposed method is very innovative and
encouraging compared with other methods.
NOMENCLATURE
Psim
Output power of ith thermal unit at time m.
min
max
Lower and upper generation limits for ith

thermal unit.
asi , bsi , csi , d si , esi Cost curve coefficients of ith thermal unit.
Psi
, Psi
PDm
Phjm
Phj
min
Qhjm
Load demand at time m.

Output power of jth hydro unit at time m.
, Phj
max
Lower and upper generation limits for jth

hydro unit.
Water discharge rate of jth reservoir at time m.
91 of 446
min
hj
(ii) Generation limits
Storage volume of jth reservoir
Vhjm
Phjmin Phjm Phjmax
at time m.
Minimum and maximum water
max
hj
,Q
(4)
Psimin Psim Psimax

j Nh , m M
(iii) Hydraulic network constraints
(5)
And
discharge rate of jth reservoir.

Minimum and maximum storage
Vhjmin ,Vhjmax
j Nh , m M
volume of jth reservoir.

C1 j , C2 j , C3 j , C4 j , C5 j , C6 j Power generation coefficients of
There are some operational constrains of hydrothermal

units which consist of some water balance equation as well as
reservoir storage and release target. These bounds are
determined by the physical reservoir and plant limitations as
well as the versatile requirements of the hydro system.
These constraints include:
(a) Physical limitations on reservoir storage volumes
V hjmin V hjm V hjmax j N h , m M
(6)
I hjm
jth hydro unit.

Inflow rate of jth reservoir at time m
Ruj
Number of upstream units directly
S hjm
above jth hydro plant.

Spillage of jth reservoir at time m.
T1 j
Water transport delay from reservoir
Q hjmin Q hjm Q hjmax
(b) The continuity equation for the hydro reservoir network
Ns
l to j.
Number of thermal generating units.
Nh
m, M
and discharge rates,
Time index and scheduling period.
PROBLEM FORMULATION
A. Objective function
Fuel cost function of each thermal generating unit is
expressed as a sum of quadratic and sinusoidal function
because considering valve point effect [14]. In terms of real
power output, total cost can be expressed as the following:
j Nh , m M
M NS
2 + d sine PminP
f = asi +bsiPsim+csiPsim
si si
si
sim

m=1 i =1
(1)
B. Constraints
(i) Power balance constraints
Total power generated by hydel and thermal units must
balance the predicted power demand, at each time interval
over the scheduling horizon.
Ns
Nh
Psim + Phjm PDm =0
mM
(2)
i =1
j =1
The hydropower generation is a function of water discharge
rate and reservoir head
P
=C V 2 +C Q2 +C V
Q
+C V
hjm
1 j hjm
2 j hjm
3 j hjm hjm
4 j hjm
(3)
(8)
PARTICLE SWARM OPTIMIZATION (PSO)
4
1
A , first developed by Eberhart and Kennedy (1995), is a

population based optimization algorithm. The population is
called swarm. Each potential solution is called particle which
is given a random velocity and is flown through the solution
space (similar to the search process for food of a bird swarm)
searching for the optimal position. Each particle keeps track of
its previous best position, called pbest, and corresponding
fitness in its memory. The best value of pbest is called gbest,
which is the best position discovered by the swarm. If
promising new solution is discovered by a particle then all
other particles will move closer to it. Based on PSO concept,
mathematical equations for the searching process are:
S
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Q
+C
5 j hjm
6j
(7)
Number of hydro generating units.
Incremental cost of hydrogenating unit is zero. So aim of

the hydrothermal scheduling is to minimize the fuel cost of
thermal units. Target is to generate maximum power as
possible by hydro generating unit. Here the objective function
and associated constraints of the hydrothermal scheduling
problem are formulated.
+C
mM
Ruj
V
=V
+I
Q
S
+ Qhl(mt ) + Shl(mt )
hj(m+1) hjm hjm hjm hjm
lj
lj
l =1
III.
II.
j Nh,
Velocity updating equation:

(k +1)
(k)
v
= w v + C rand( ) pbestid xk + C rand( ) gbestid xk
id 2
id
id
id
1
(9)
Position updating equation:

( k + 1)
k + v ( k + 1)
x id
= x id
id
where
xidk , xidk +1 are the position
(10)
of d th dimension
(variable) of the i th particle at k th and (k + 1)th iteration,

vidk , vidk +1 are the velocity of the d th dimension of the i th particle
at the k th and the (k + 1 )th iteration and C1 , C 2 are the cognitive
and the social parameters; r1 and r 2 are random numbers
uniformly distributed within [0, 1];
pbest id is the best
position of the d th dimension of the i th particle; gbest d is the
group best position of the d th dimension and w is the inertia
weight factor.
92 of 446
w=w
max
w max w min
iter
itermax
Psi = [Psi1, Psi2, . . ., Psim, . . .,PsiM ]

Qhj = [Qhj1, Qhj2,., Qhjm,..., QhjM].
The elements Psim is the the power output of the ith thermal
unit at time m.
The elements Qhjm is the discharge rate of the jth hydro plant at
time m.
The range of the elements Psim and Qhjm is to be satisfied the
thermal generating capacity and the water discharge rate
constraints in (5) and (7), respectively. Assuming the spillage
to be zero in (8). The hydraulic continuity constraints are
(11)
Where iter
is the maximum number of iterations and
max
iter is the current number of iterations.
IV. PARTICLE SWARM OPTIMIZATION WITH CONSTRICTION
FACTOR APPROACH (PSOCFA)
For particle swarm optimization with constriction factor
approach (PSOCFA), the velocity of equation no. (9) is
manipulated in accordance with equation no. (12).
M
M Ruj
M
V
V
= Qhjm Q
I hjm
m t
hj 0
hjM
hl
m =1
m =1 l =1
lj m =1
w v ( k ) + C rand ( ) pbest
k
1
id x id (12)
id
( k + 1)
v
= CFa
id
+ C 2 rand ( ) gbest id x id
Constriction factor (CFa) varies from 0.60 to 0.73.
j N h (16)
To met accurately the boundaries on initial and final reservoir
storage in (8). The water discharge rate of the jth hydro plant
Qhjd in the dependent interval d is then calculated by
V. PARTICLE SWARM OPTIMIZATION WITH INERTIA WEIGHT

FACTOR APPROACH(PSOIWA)
For particle swarm optimization with inertia weight factor
approach (PSOIWA), the velocity of equation no. (9) is
manipulated in accordance with equation no. (14). In inertia
weight factor approach (IWA), inertia weight ( w
(k + 1)th
wk +1 =
k +1
(13)
Velocity updating equation:

( k +1)
(k )
v
= w k +1 v
+ C rand
id
id
1
+ C rand
2
k
( ) gbest id xid
k
( ) pbest id xid
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VI. PARTICLE SWARM OPTIMIZATION WITH CONSTRICTION

FACTOR AND INERTIA WEIGHT FACTOR APPROACH
(PSOCFIWA)
For particle swarm optimization with constriction factor and

inertia weight factor approach (PSOCFIWA), the velocity of
equation no. (9) is manipulated in accordance with the
following equation
w k + 1 v ( k ) + C rand ( ) pbest
k
1
id x id
id
( k + 1)
v
= CFa
id
+ C 2 rand ( ) gbest id x id
(15)
Here also, Constriction factor (CFa) varies 0.6 to 0.73 and the
inertia weight factor approach (IWA) follows equation (13).
VII. DEVELOPMENT OF THE PROPOSED ALGORITHM
In this section, hydrothermal scheduling problem have been
solved by applying PSO, PSOCFA, PSOIWA, PSOCFIWA
algorithms.
Let pk= [Ps1, Ps2,....,Psi,...PsNs, Qh1, Qh, Nh]T be a trial matrix
designating the kth individual of a population to be evolved.
(17)
The dependent water discharge rate must satisfy the
constraints in (7). So we can determine the reservoir volume
on different interval.
water discharge rate to meet exactly the power balance
constraints in (2), the thermal generation Psdgm of the
dependent thermal generating unit dg can then be calculated
using the following equation:
4
1
(14)
Where wmax =1; wmin =0.4; k max = maximum no of

iteration cycle.
md
) at
cycle is given by
wmax (wmax wmin )

(k + 1)
k max
R
M
M uj
M
=V - V
+ I
+ Q
I
hjm
hjm
hl
m
tl
hjd hjo hjM
m =1
m =1 l =1
m =1
N
N
s
s
P
=P
P
P
sdgm
Dm
sim
hjm
i =1
j =1
(18)
id
VIII. SIMULATION RESULTS
PSOCFIWA has been applied to a test system [11] which

consists of a multi-chain cascade of four hydro units and three
thermal units. The scheduling period has been maintained to 24
h with 1 h time interval. The hydro sub-system configuration
and network matrix including the water time delays has been
considered. The load demand, hydro unit power generation
coefficients, reservoir inflows, reservoir limits are given in
[11]. The generation limits, cost coefficients of thermal units
are given in [11]. Hydrothermal generation (MW) scheduling,
hourly storage volume of hydro reservoirs, hourly plant
discharge are obtained using PSO technique is shown in Tables
I to III. The total optimum fuel cost obtained from PSO,
PSOIWA, PSOCFA, PSOCFIWA techniques are shown in
Table IV. The optimum fuel cost obtained from PSO,
PSOIWA, PSOCFA, PSOCFIWA are shown in Figure 1-4.
The program is written in Matlab language and executed on a
CORE i3 personal computer.
93 of 446
Table I: HYDROTHERMAL GENERATION (MW) SCHEDULING USING PSO

Hour
Ph1
Ph2
Ph3
Ph4
Ps1
Ps2
Ps3
207.1747
75.4531
55.2122
211.2759
20.0000
40.0000
140.8841
294.4986
62.4470
27.7163
194.7170
20.0000
40.0000
140.6212
222.4627
65.4902
46.3198
159.8904
20.0000
40.0000
145.8369
186.5046
89.9538
124.3356
20.0000
40.0000
189.2060
203.0148
73.7205
53.7261
107.5015
20.0000
40.0000
172.0371
313.8939
50.5522
8.3913
114.9591
20.0000
40.0000
252.2035
420.3159
75.6698
156.4952
20.0000
40.0000
237.5191
258.0254
88.5187
61.6449
152.5656
20.0000
40.0000
389.2453
9
10
450.7489
483.9970
91.0601
100.4632
23.7979
8.4598
256.2784
193.1901
20.0000
20.0000
40.0000
40.0000
208.1147
233.8900
11
283.5736
85.8958
26.5429
218.9277
20.0000
40.0000
425.0600
12
401.8468
53.7710
42.1143
251.9820
20.0000
40.0000
340.2859
13
365.8659
64.1832
59.1860
192.6241
20.0000
40.0000
368.1407
14
500.0000
75.6628
58.4947
181.0449
20.0000
40.0000
154.7977
15
333.9480
84.2139
30.5950
215.6771
20.0000
40.0000
285.5659
16
412.8120
85.8486
27.8723
248.5203
20.0000
40.0000
224.9469
17
371.9573
92.9525
30.5618
253.2472
20.0000
40.0000
241.2811
18
492.2326
74.2049
38.6301
258.9220
20.0000
40.0000
196.0106
19
344.2169
82.0632
56.3372
250.3041
20.0000
40.0000
277.0786
20
500.0000
107.4242
8.9506
215.6525
20.0000
40.0000
157.9727
21
405.9643
60.6456
33.9901
186.3440
20.0000
40.0000
163.0560
22
368.3499
52.8797
42.3390
163.5909
20.0000
40.0000
172.8404
23
289.8607
78.0688
63.7740
20.0000
40.0000
205.2198
24
238.8595
64.1788
3.2714
20.0000
40.0000
227.9531
205.7372
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Table II: HOURLY STORAGE VOLUME OF HYDRO

RESERVOIRS(X 104 M3) USING PSO
HOUR
Vol1
Vol2
Vol3
Vol4
100.0000
80.0000
170.0000
120.0000
119.1664
99.3550
166.9328
141.8605
85.7016
115.4481
93.0199
93.7142
105.7894
115.0826
167.6584
75.0308
144.0199
76.5989
163.3218
92.9477
122.8853
73.0254
141.0136
76.0268
138.4351
80.2615
193.6581
121.8165
137.1578
96.9055
167.4812
128.4889
135.1556
110.9271
134.7732
107.3307
10
137.9086
78.4425
113.3369
132.9251
11
93.1428
74.6145
172.7871
137.2928
12
87.8718
82.1391
174.8120
145.8511
13
119.5314
89.6140
177.9400
93.4973
14
128.9612
106.6615
166.7157
132.9825
15
119.6607
86.5020
146.6197
116.6956
16
86.8706
118.3304
207.4782
141.4045
17
146.2798
88.7001
100.0000
137.3818
209.0599
70.0000
113.8214
98.4728
4
1
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153.0768
18
100.0899
82.5214
161.4946
126.1556
19
130.8819
112.4887
100.0000
90.1915
20
99.2868
65.5824
100.0000
86.5817
21
102.4037
84.4310
112.0977
70.0000
22
96.6778
120.0000
205.7181
93.1590
23
118.4906
95.0035
123.6422
90.7390
24
120.0000
70.0000
170.0000
140.0000
Table III: HOURLY PLANT DISCHARGE(X 104 M3)

OBTAINED USING PSO
HOUR
1
2
3
4
5
6
7
8
9
10
11
12
Qh1
5.5532
5.5532
6.9304
6.8924
5.3007
5.1768
6.3598
9.9087
5.3555
9.6932
10.6114
5.9185
Qh2
10.6326
6.4867
6.0791
12.1587
7.2327
6.5231
11.9435
14.8454
11.9754
12.6525
14.1852
7.2117
Qh3
16.6891
23.1766
21.7713
28.2936
17.0898
25.7944
27.0006
11.8161
23.8325
24.1540
19.3591
20.8161
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Qh4
12.9941
9.4499
14.2936
7.0166
7.8183
6.7270
12.7597
7.4555
17.5014
12.5446
12.4086
15.6053
12.3471
11.7481
14.4891
7.4103
9.9540
12.1240
10.0795
9.6207
13.6849
11.7002
10.1556
8.2162
8.1487
9.4381
9.4542
12.2256
10.2529
9.2584
11.8808
14.7747
9.6191
6.1890
7.6471
7.0301
11.7184
10.7838
22.6781
21.8809
24.5816
11.1129
11.1560
21.4540
15.4518
10.0932
13.1918
24.1409
9.0068
13.0244
12.0779
18.5247
15.2478
16.4876
17.0102
18.9619
14.8363
14.8330
10.0788
16.9518
x 10
3.55
3.5
3.45
3.4
Fuel Cost -->
13
14
15
16
17
18
19
20
21
22
23
24
3.35
3.3
3.25
3.2
Table IV: TOTAL OPTIMUM FUEL COST
3.15
Method
Cost ($)
PSO
28,892
PSOIWA
30,402
PSOCFA
31,500
PSOCFIWA
31,601
3.1
0
10
20
30
40
50
60
Iteration -->
70
80
90
100
Fig. 3 Convergence Behavior of the PSOCFA Method
x 10
3.34
x 10
3.2
3.32
3.15
3.3
Fuel Cost -->
Fuel Cost -->
4
1
3.28
3.1
3.05
3.26
3.24
3.22
3.2
2.95
2.9
2.85
0
10
20
30
40
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50
60
Iteration -->
70
80
90
100
3.18
3.16
10
20
30
40
50
60
Iteration -->
70
80
90
100
Fig. 4 Convergence Behavior of the PSOCFIWA Method
Fig. 1Convergence Behavior of the PSO Method

4
x 10
3.22
3.2
3.18
Fuel Cost -->
3.16
3.14
3.12
3.1
3.08
3.06
3.04
0
10
20
30
40
50
60
Iteration -->
70
80
90
100
IX. CONCLUSIONS
In this paper, PSO, PSOIWA, PSOCFA, PSOCFIWA has
been successfully introduced to solve the hydrothermal
scheduling problem. Four hydro and three thermal plants are
considered to solve hydrothermal scheduling problem. The
effect of valve point loading is also considered. The
generator load power balance equation and total water
discharge equation have been subsumed into system model.
Constraints on the operational limits of the thermal and
hydro units on the reservoir volume limits are also
considered. From the results it is clear that PSO approach
gives the best global optimum solution than the PSOIWA,
PSOCFA and PSOCFIWA techniques. The numerical
results show that the proposed approach PSO is better than
other techniques in terms of having better solution quality
and good convergence characteristics.
Fig. 2 Convergence Behavior of the PSOIWA Method
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REFERENCE
[1] K.P. Wong, Y.W. Wong, Short-term hydrothermal
scheduling part 1: simulated annealing approach, IEE Proc.
Gen. Transm. Distribution 141 (5) pp. 497501, 1994.
[2] P.C. Yang, H.T. Yang, C.L. Huang, Scheduling shortterm hydrothermal generation using evolutionary
Programming techniques, IEE Proc. Gen. Transm.
Distribution 143 (4) pp. 371376, 1996.
[3] S.O. Orero, M.R. Irving, A genetic algorithm modeling
framework and solution technique for short term optimal
hydrothermal scheduling, IEEE Trans. PWRS 13 (2), 1998.
[4] E. Gil, J. Bustos, H. Rudnick, Short-term hydrothermal
generation scheduling model using a genetic algorithm,
IEEE Trans. Power Syst. 18 (4) pp. 12561264, 2003.
[5] J.M. Ramirez, P.E. Ontae, The short-term hydrothermal
coordination via genetic algorithms, Electr. Power
Components Syst. 34 pp. 119, 2006.
[6] Y.-G. Wu, C,=Y. Ho, D.-Y. Wang, A diploid genetic
approach to short-term scheduling of hydrothermal
systems, IEEE Trans. Power syst. 15(November (5)) pp.
1268-1274, 2000.
[7] S.O. Orero, M.R. Irving, A genetic algorithm modeling
framework and solution technique for short-term optimal
hydrothermal scheduling, IEEE Trans. Power Syst. 13(2)
pp. 501-518, 1998.
[8] P.-H Chen, H.-C. Chang, Genetic added scheduling of
hydraulically
coupled
plants
in
hydro-thermal
coordination, IEEE Trans. Power syst. 11(may(2)) pp.
975-981, 1996.
[9] P.K. Hota, R. Chakrabarti, P.K. Chattopadhyay, Shortterm hydrothermal scheduling through evolutionary
technique, EPSR 52 (November (2)) pp. 189-196, 1999.
[10] N. Sinha, R.Chakrabarti, P.K. Chattopadhyay, Fast
evolutionary technique for short-term hydrothermal
scheduling, IEEE Trans. Power syst. 18(1) pp. 214-220,
2003.
[11] K.K. Mandal, M.Basu, N.Chakraborty, Particle
Swarm Optimization technique based short-term
hydrothermal Scheduling, Appled soft computing 8 pp.
1392-1399, 2008.
[12] Chandrasekar Samudi, GauthamP.Das, Piyush C.
Ojha,Sreeni. T.S, 978-1-4244-1904-3/08/ 2008 IEEE.
[13] Wang, C., Shahidehpour, S.M., Power generation
Scheduling for multi- area hydrothermal power systems
with tie-line constraints, cascaded reservoirs and uncertain
data., IEEE Trans. PWRS, Vol. 8, No. 3, pp. 1333-1340,
1993.
[14] M. Basu, An Interactive fuzzy satisfying method based
on evolutionary programming technique for multiobjective
short-term hydrothermal scheduling, J. Electr. Power Syst.
Res. 69 pp. 277285, 2004.
[15] B.Yu, X. Yuan, J.Wang, Short-term hydro-thermal
scheduling using Particle swarm optimization method,
Energy convers. Manage.48 pp. 1902-1908, 2007.
4
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Monitoring of the lung fluid movement and

estimation of lung area using Electrical Impedance
Tomography: A Simulation Study
Deborshi Chakraborty
Madhurima Chattopadhyay
Dept. of Instrumentation Science

Jadavpur University, Kolkata: 700 032, India
E-mail: dcphy123@gmail.com
Dept. of Applied Electronics and Instrumentation Engg.

Heritage Institute of Technology, Kolkata: 700 107, India
E-mail: madhurima02@gmail.com
Abstract
Patients suffering from the acute respiratory
distress syndrome (ARDS) requires thoracic electrical impedance
tomography (EIT) for the monitoring their conditions ranging
from dynamic shifting of body fluids to lung aeration right at the
bedside. More objectively, EIT-derived numeric parameters
would help the physician to evaluate the state of the lung. Thus,
here we have performed a Finite Element Method based
simulation study for monitoring the condition of lungs and heart
of ARDS patients. Therefore, a finite element method (FEM)model of a human thorax in 3 dimensional platform of FEM
Multiphysics software is created and is tested with new
ventilation indices regarding their ability to quantitatively
describe structural changes in the lung due to the gravitationally
dependent lung collapse. Additionally, analysis is made to find
the electrode pairs capable of separating the lung and heart
activity when a particular amount of constant current is injected
through them are also carried out.
I. INTRODUCTION
The estimation of the spatial conductivity distribution in a
thorax cross section is carried out by thoracic electrical
impedance tomography (EIT) as it is a non-invasive
technique[1-4]. In this procedure, the electrodes are
equidistantly attached to the patients skin around the thorax.
During a measurement, adjacent electrodes are fed with a small
alternating currents and the potentials at the remaining
electrodes are measured (i.e., adjacent drive/adjacent receive).
Then, reconstructed images with this data visualize the change
in conductivity of the specific area of interest[5]. In recent
years, EIT is use to monitor a variety of clinical problems such
as respiratory failure, cardiac volume changes, gastric
emptying, and head imaging [6]. Inspite of low spatial
resolution (about one tenth of the thorax diameter), but due to
its non-invasiveness and high temporal resolution it seems to
be particularly useful for the bedside monitoring of patients
suffering from the acute respiratory distress syndrome (ARDS)
[7]. ARDS is a life-threatening state of the lung characterized
by atelectasis (i.e., lung collapse) and pulmonary edema (i.e.,
water in the lung) and thus, variations of the conductivity
4
1
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Keywords Electrical Impedance Tomography (EIT); Finite

Element Method (FEM); Acute Respiratory Distress Syndrome
(ARDS); heart activity; lungs activity.
distribution in the thorax. ARDS patients have to be

mechanically ventilated with higher oxygen concentrations and
changing pressure levels resulting in dynamic shifts of body
fluids and lung aeration. For visualizing those shifts, EIT is
well suited in providing an instantaneous feedback to the
medical staff [8, 9]. In order to achieve maximum benefit,
further investigations is to be carried out to process the fast
sequence of EIT images (up to 50 images/s) and also the way
out for the extraction and quantification of the underlying
physiological information. The attending physician should be
able to immediately recognize ventilation changes in the lung
resulting from, e.g., new ventilator settings. EIT-derived
numeric parameters could be able to evaluate the objective
more precisely in comparison with the visual observations of
the EIT images (subtle changes are simply hard to detect).
Additionally, EIT-based trend can analysis for different kinds
of diseases with the help of numeric parameters. Therefore, we
first created a 2D finite element model of the human thorax and
divided the lung into three coronal layers. Then, we altered the
fluid contents of the dorsal layers close to the back in order to
simulate lung collapse of increasing severity .Then the thorax
model from the 2D plate were transformed to the 3D plane for
the analysis. After reconstruction, we looked at different
methods to quantify the given ventilation changes and
compared them with the actual modifications made in the
thorax model. From this EIT based reconstructed images an
approximate determination of the lung area is obtained.
Finally, as EIT seems also to be capable of distinguishing
between heart and lung related changes of the conductivity in
the thorax [10], we examined which current-injection and
voltage measurement electrode pairs are best suited for a
proper separation between lung and heart activity. Hence, we
calculated the average current density for the different tissues
and compared them based on the position of the current
injection.
II.
METHODS
A. Modeling
An adequate geometric model of the human thorax is
designed with realistic values of the electrical properties of
biological tissue for the proper assessment of lung collapse.
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Thus, a correct geometric dimension of the model (shown if

Fig. 1(a)) from real CT images of a human male. During the
mesh generation, necessary simplifications and conditions are
made were similar to the ones described in [11]. The resulting
mesh consisted of 454847 first-order triangular elements are
created with FEM based Multiphysics software. In total, five
different types of tissue were being modeled with electrical
properties taken from the literature: muscle, heart, bones
(spinal column, ribs, and sternum), fat, and lung; cf. Table I.
The currents of 10 mA @200 kHz (as frequencies between 20
and 200 kHz are widely used for thoracic single-frequency
EIT) are injected across the electrode pair. In order to simulate
patient breathing, conductivity and relative permittivity of the
lung were varied between deflated and inflated lung as given in
[12]. Visceral movements (i.e., geometric changes) during a
breath cycle are not considered as it has been reported to have a
rather low influence for state-differential reconstruction
algorithms [13]. Patients suffering from acute respiratory
failure are usually treated in supine position. Due to the weight
of its upper parts, the lung tends to collapse in the lower parts
first (commonly termed as gravitationally dependent collapse).
Therefore, we divided the lung into three coronal layers and
modeled different amounts of lung collapse by subsequently
replacing the bottommost layers with collapsed lung tissue
[Fig. 1(a)] without any breathing activity. The electrical
properties of the collapsed areas (0.6 S/m, 1000) were assumed
to be a mixture of deflated lung tissue and well-conducting
body fluid[14]. This straightforward simplification should be
sufficient, as mainly the missing ventilation of the collapsed
lung tissue will influence the reconstructed images of
conductivity change. Fig. 1 provides the details overview of the
electrode placement and numbering of adjacent electrode pairs.
For the simulation of the heart activity, variation of its
electrical properties between normal heart and blood-filled
heart (a mixture of blood and heart properties: 0.45 S/m, 11
000) were considered. As before, to obtain qualitative
character, the geometric changes during a breath cycle are
omitted.
TABLE I.
ELECTRICAL
BETWEEN 20 - 200 KHZ [12].
PROPERTIES OF THE
MODELED
TISSUES
Conductivity (S/m)
Relative permittivity
Lung* (deflated)
0.26197
8531.40
Lung
*(inflated)
0.10265
4272.50
Heart*
0.19543
16982.00
Bone* (cortial)
0.02064
264.19
Fat*
0.02424
172.42
Muscle*
0.35182
10094.00
Body Fluid
1.50000
98.56
0.70080
5197.70
(Asterisk-Marked (*) properties were used for the simulation of the reference state)
(b)
Fig. 1. (a) Electrode placement and (b) numbering of electrode pairs
B. Mathematical Model
For a known conductivity, a relationship can be established
between the electrical conductivity () and spatial potential
(), to calculate the nodal potential [17]. Electro-dynamics of
EIT is governed by a nonlinear partial differential equation,
called the Governing Equation [17] of EIT, is given by,
0
(1)
The potential field inside of the conductor having no internal
electrical sources or sinks, must satisfy the equation (1).To
solve this equation, the following boundary conditions are to
be known
a) Dirichlet Boundary Condition:
(2)
4
1
Where, i =1N, are the measured potentials on the

electrodes.
b) Neumann Boundary Condition:
S
E
I
Tissue
Blood
(a)
I

I
(3)
Here, +I is for source electrode, -I is for sink electrode and 0

otherwise. is the boundary and is the outward normal
vector to the electrode surface. In this paper forward problem
solver algorithm is used. The description of this problem is
discussed below.
c) Forward Problem
A relation can be obtained between the voltage measurements
made on the boundary () and the domain conductivity can
be found [12, 13] as,
(4)
K
Where is a vector of conductivity values, is the vector of
voltage measurements and K is the transformation matrix
relating to .
If K and are known, equation (1) can be solved numerically
using FEM to calculate the nodal potentials of the domain for
the known conductivity (). It is known as the forward
problem.
Thus, for a known value of a constant current, the nodal
potentials within the phantom area are computed using the
forward solver problem of EIT [15, 17]. The value of the
conductivity and permittivity of the blood, body fluids etc. of
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the designed FEM model are obtained from Luepschen et al.

[20].
C. Field Simulation
The FEM Multiphysics software is used to simulate the
models. Simulations are conducted similar to the measuring
procedure of the EIT system. For each physiological state of
the lung, 16 simulations are to be carried out to account for all
current-injection positions while determining the voltages
between the remaining 13 electrode pairs. Hence, voltages
distributions is determined for each state of the lung (shown in
Fig. 2).
D. Image Reconstruction and Processing
State-differential EIT images were reconstructed from the
simulated 208 voltages using the forward algorithm [17] and
the boundary conditions as discussed in section B. The
reconstructed images represent the conductivity changes based
on either the breathing or the heartbeat activity. In order to
quantify dorsoventral as well as lateral shifts of the ventilation
distributions resulting from different amounts of lung collapse
are studied [18].
4
1
1.2
lung
1.4
/J
The corresponding current density images of the FEM

simulations are provided in Fig. 2. The qualitative results for
the best electrode pairs to measure the heart activity were
additionally backed up by looking at the voltage changes at
the boundary. Especially, when using the identified optimal
current-injection electrodes as receiver electrodes (e.g.,
current-injection pair: #16, receive pair: #8), SNR was
maximized (here, the lung activity is regarded as noise).
Deflated lung
Inflated lung
1.6
heart
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Fig. 2.Current density distribution and potential isolines plots from the
FEM based simulation study for different current-injection positions.
1.0
A. Determination of Heart Activity

The amount of current through the different tissues is
obviously influenced by the position of the current-injection
electrode pair. Electrode pair #5 will lead to a greater amount
of current flowing through the (right) lung, whereas injection
through electrode pair #16 maximizes the current flow in the
heart it can easily be visualize from the plot of the ratio of the
current density of heart to that of the lungs as shown in Fig. 3.
III.
0.8
0.6
0.4
0
From the Fig. 3 it is seen that depending on the position of the

current-injection electrode pair, the amount of current through
heart and lung varies. For the detection of the heart activity,
electrode pairs #1, #8, #9, #15, and #16 provide the best
chances for the observation.
10
12
14
16
18
Position of the current injection electrode pair
Fig. 3. Plot of current densities of heart and lungs J*heart and J*lung vs.
the position of the current injection electrode pair
3.2. Determination Of Lung Collapse And Lung Area

From the Fig. 4 it is seen that the different amount of
collapsed lung area which is determined by forward solver
algorithm.
The voltage distribution plots as of the lungs in Fig. 4 shows
that the collapse of different layers of the lungs starting from
the lowermost part. From these figures approximate
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[2]
determination of the lung area can also be estimated, which

can provide an overview condition of the lungs to the
physician.
[3]
[4]
[5]
[6]
[7]
[8]
[9]
[10]
Fig .4. Reconstructed differential EIT images for different amounts of

collapsed lung with forward solver algorithm
IV.
CONCLUSIONS
[11]
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Finally in a future, a real time implementation of the system as

well as completve three dimensional analysis of the human
thorax with EIT [19] is necessary so that the results obtained
from the simulation based study can be correlated with the
practical obtained experimental results.
ACKNOWLEDGMENT
The author Deborshi Chakraborty like to acknowledges
Department of Science and Technology, Govt. of India, for
providing financial assistantship as INSPIRE Fellowship.
REFERENCES
[1]
[13]
[14]
[15]
[16]
[17]
[18]
[19]
[20]
Mohd Tahir Erwati, & Nagi Farrukh, Applications of electrical

impedance tomography for imaging in biomedical and material
technology, Proc. of 2009 IEEE Students Conference on research and
development.(SCOReD 2009), 16-18 Nov 09, UPM Serdang, Malaysia.
4
1
A
[12]
During EIT measurements, studies on the electromagnetic

field distribution in the human thorax are important to
understand because it provides an estimated idea relating to
the varying current paths. This knowledge is very much vital
to understand the pathological changes obtained from the EITbased observations.
The electrode pairs #1, #8, #9, #15, and #16 provide the best
SNR for the detection of the heart activity. The influence of
the lung activity is minimized while considering these pairs of
electrodes. In considering the structural changes due to the
breathing and the heart beat would give more precise
understanding of the occurring reconstruction artifacts.
Sarwan Kumar, Sneh Anand & Amit Sengupta,Impedence based

image reconstruction of the field distribution inside the closed phantom
using finite element method, (IJCNS) International journal of computer
and network security. Vol. 2, No 7, July 2010.
Y. Zou & Z. Guo, A review of electrical impedance techniques for
breast cancer detection Elsevier Medical Engineering and Physics 25 /
(2003).
Jianjun Zhang, Weili Yan, Guizhi Xu & Quanming Zhao, A New
Algorithm to Reconstruct EIT Images; Node Back Projection
Algorithm, Proceedings of the 20th Annual International conference of
IEEE EMBS. Cite Internationale, Lyon, France August 23-26, 2007.
John G. Webster ,Medical Instrumentation Application and Design,
third edition, Wiley India, 2007,.
B. H. Brown, Electrical impedance tomography (EIT): A review,
J.Med. Eng. Technol., vol. 27, pp. 97108, 2003.
H. Luepschen, T. Meier, M. Grossherr, T. Leibecke, J. Karsten, and S
Leonhardt, Protective ventilation using electrical impedance
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Multiobjective Design of Realistic Load Frequency

Control using PSO
Santigopal Pain
Parimal Acharjee

Durgapur, India
pain.santigopal@gmail.com

Durgapur, India
Abstract This paper presents a practical model for load

frequency control (LFC) of two-area interconnected power
system. The proposed model is a non-linear power system and is
framed with thermal generating units including security
constraint governor dead band imposed by the governor. A
Proportional Integral Derivative (PID) controller is used for the
design and analysis of the proposed model. The Particle swarm
optimization (PSO) algorithm is developed to obtain suitable
control parameters to achieve the optimum performance. A
unique objective function is also formulated considering the
transient specifications. The closed loop performance is examined
in the presence of constraint scenario and the results and
characteristics show that the developed algorithm gives better
performances.
Keywordsload frequency control; two area power system;
governor dead band; PID controller; particle swarm optimization
I.
INTRODUCTION
For large scale interconnected power system, LFC is
important to keep the system frequency and the inter-area tieline power as close as possible the schedule values. The
frequency of a system is dependent on active power balance.
In an interconnected system, with two or more independently
controlled areas, the generation within each area has to be
controlled so as to maintain scheduled power interchange. The
control of tie-line power and frequency is commonly known as
load frequency control (LFC). Recent growth and
development of power system industry and increased power
demand has necessitated intelligent methodologies for
practical control of the power system. In modern days, smart
grid predicts and intelligently responds to actions of all
suppliers, consumers in order to efficiently deliver reliable,
economic electricity services. In smart grids, the use of
renewable sources results in frequent variations of frequency
in the system as the power supplied is not constant. Regulation
of frequency can be done by control of load as well as the
governor at the generating stations. LFC using controller
based Dynamic Demand Control (DDC) can be used to
maintain the frequency at nominal value. This will reduce the
burden on generating station alone to regulate the frequency.
4
1
S
E
I
In general, LFC is accomplished by two different control

actions: primary control and supplementary control. When
load changes, the primary speed control perform the initial readjustment of the frequency and tie-power by the action of
governor itself. The governor will try to minimize the

frequency and tie line power deviation to zero by manipulating
input to the turbine. The supplementary control action is used
to minimize the frequency deviation, if persist after primary
control, to zero through integral control action [1]. A
systematic way of P, PI and PID controller parameters tuning
based on Ziegler-Nichols method for distributed generation
system (DGS) has been proposed in [2]. In recent past,
advance control engineering techniques are used to design
LFC system of large scale complex and uncertain power
system. A robust control design that utilizes loopshaping ideas
for LFC regulation is proposed in [3] considering large
uncertainty. Khodabakhshian and Edrisi [4] used a new tuning
algorithm which is based on maximum peak resonance
specification supported by Nichols chart to tune the PID
controller. In [5], a detail structured singular value method and
eigen value method is proposed for local area and tie-line
robustness analysis. A multi area adaptive LFC based on SelfTuning Regulator (STR) for Automatic Generator Control
Simulator (AGCS) is investigated in [6]. Alireza et al. [7]
proposed a new robust optimal MISO-PID controller for LFC.
In [8], two robust decentralized control design methodologies
have been proposed. The first one is based on H control
design using LMI technique and the second controller is a PI
type, and is tuned by GALMI technique to mimic the same
robust performance of the first one. Yao Zhang et al. [9, 10],
developed an active disturbance rejection control (ADRC)
based robust decentralized LFC solution considering wide
range of parameter variations, model uncertainty and large
disturbances.
The controllers designed so far using traditional and
advanced control techniques for LFC system are model based
controllers that performed better on the specific model and are
not usable for large power systems like power systems with
non-linearities, not-defined parameters and model. Therefore,
the design of intelligent controller which are more adaptive
than linear and robust/optimal controller, have been
introduced to design the LFC system. In [11], Takaki-Sugeno
fuzzy model of the power system has been constructed for
designing the fuzzy model based LFC. Bevrani et al.
addressed a new decentralized fuzzy-logic based LFC scheme
for minimization of frequency deviation and tie-line power
changes in the presence of high penetration wind turbines
[12]. An adaptive fuzzy gain scheduling scheme for
conventional PI and optimal controllers has been proposed in
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[13]. Genetic algorithm (GA) based parameter optimization of

PID sliding mode LFC used in automatic generating control
(AGC) of multi-area power systems with non-linear elements,
has been proposed in [14]. The decentralized LFC is
formulated as multi-objective optimization problem in [15]
and GA has used to tune the PI controller parameters of multiarea power system. The Particle Swarm Optimization (PSO)
algorithm, in its different form have assumed much
importance in recent years for optimization of complex control
problems and it is being widely used in LFC design. The LFC
analysis for single and multi area power system using PSO has
been reported in [16, 17]. PID gains of Sugeno fuzzy logic
based automatic generation control of multi-area thermal
generating plants are optimized using classical particle swarm
optimization, hybrid particle swarm optimization, hybrid
genetic algorithm simulated annealing and is reported in [18].
In [19], load frequency stabilization by coordinated control of
thyristor controlled phase shifters (TCPS) and super
conducting magnetic energy storage (SMES) have been
investigated
using
craziness-based
particle
swarm
optimization (CRPSO). From the above discussions, it is
obvious that PSO is a power full tool which can be effectively
used to design the LFC system.
For quality electric power services, load frequency control
is an important factor. The PID parameters of LFC system
must be designed in such a way that ensures safe, reliable and
uninterrupted power supply. The classical/conventional
approaches provide very poor performance for large network
under practical constraints like governor dead band,
generation rate constraint, time delay etc. The short comings
of the conventional approaches are the motivating factor of
applying soft computing techniques for the designing of LFC
system. Soft computing techniques are not model specific,
robust in nature and can give multi solutions. Under critical
situation and security constraints, soft computing techniques
can give highly satisfactory results.
caused by load change and cancel it by varying the input of

the turbine. The turbine unit is used to transform the natural
energy, such as the energy from steam or water, into mechanical
power that is supplied to the generator. The generator unit of the
power systems converts the mechanical power received from
the turbine into electrical power. But for LFC, the focus is on
the rotor speed output (frequency of the power systems) of the
generator instead of the energy transformation. The linear
model of the LFC system is shown in fig.1 where the blocks
are: non-reheat steam turbine = 1/ (Tt s 1) ; load and machine
= K p / (Tp s 1) ; governor = 1/ (Tg s 1) ;
Fig.1. Model of single area power system
In the above configuration, Tg and Tt are the governor and

turbine time constant. Kp=1/D and Tp =2H/fD where D is the
ratio of load changes percentage to the frequency changes
percentage and H is the inertia coefficient of generator. u is
the load reference and Pd is the load change.
S
E
I
This paper presents a realistic approach to optimize the

proportional integral derivative gains of load frequency
control system. A two area thermal-thermal power system is
considered for the design purpose. For the two area case the
effect of governor dead band non-linearity is taken into
account to make this approach a bit realistic one. The particle
swarm optimization algorithm is developed to optimize the
PID gains and a novel objective function is designed to
calculate the optimal controller gains more accurately in least
time. The transient performance shows the significant
superiority of the proposed design approach.
II.
SYSTEM MODEL
A. LFC Model
For understanding the control action of LFC, consider the
non-reheat thermal power system shown in Fig.1. Basic block
of power generating unit consist of the combination of
governor, turbine and generator. As the load varies, the
speed/frequency of the generator changes. The speed governor
helps to match active power generation with the demand by
controlling the throttle valves which monitor the steam input
to the turbine. Governors are used to sense the frequency bias
4
1
B. System Under Study

As an example of multi area power system, we have
considered two area interconnected power system for LFC
analysis. In multi area power system, the primary objectives
of the LFC are to keep the system frequency at nominal value,
to provide load sharing between generators proportionately
and to maintain the tie line power exchange at schedule value.
For an interconnected system, each area connected to others
via tie line which is the basis for power exchange between
them. When there is change in power in area one, that will be
met by the increase in generation in all the areas associated
with a change in the tie line power and a reduction in
frequency. But the normal operating state of the power system
is that the demand of each area will be satisfied at a normal
frequency and each area will absorb its own load changes.
There will be area control error (ACE) for each area and this
area will try to reduce its own ACE to zero. The ACE of each
area is the linear combination of the frequency and tie line
error, i.e. ACE = Frequency error + Tie line error. The
transfer function model of two area non-reheat thermal power
system is depicted in fig. 2 and the system parameters are
given in appendix A. To make the analysis realistic one, the
governor dead band is considered in this model which make
the system non-linear. A governor dead band is defined as the
total magnitude of a sustained speed change where there is no
change in valve position of the turbine. The governor dead
band non-linearity tends to produce a continuous sinusoidal
oscillation of natural period of about T0 = 2 s. The transfer
function of governor with non-linearity [17] can be expressed
as:
G ( s) [0.8 (0.2 / )] / ( sTg 1)
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(1)
where i = 1, n and n is the size of the swarm, k represent the

no. of iteration.
xik
: current position of ith particle at kth generation
vik
: current velocity of ith particle at kth generation
pbestik : pbest of ith particle for kth generation

gbestik : gbest of ith particle considering the whole
generation i.e. upto the kth generation

Fig. 2. Transfer function model of two area interconnected power system with
governor dead band
III.
vik 1 : updated velocity of ith particle
PID CONTROLLER
c1 & c2 : constriction factors
In this study PID controller is used as supplementary

control for LFC. The PID controllers are widely used in
industry because of its clear functionality, easy
implementation, applicability, robust performance and
simplicity. The transfer function of PID controller is
GPID ( s) Y (s ) / E ( s) K p K i / s K d s
rand () : random number between 0 and 1.
For the optimization process, if c1 & c2 are not selected

properly according to the problem, the PSO system might not
converge at all. Usually c1 equals to c2 and ranges from [0,4].
Inertia weight is another important factor for swarm
optimization problems. Inertia weight (w) must not be
constant for better results. It is randomly selected within a
certain range. Random selection of w provides successful
tracking for a dynamic optimization problem. The inertia
weight w is determined according to the following equation:
(2)
where Y(s) and E(s) are the controller output and tracking
error signals in s-domain respectively. Kp is the proportional
gain, Ki is the integral gain and Kd is the derivative gain. In
PID controller, proportional part reduces the error responses to
disturbances, the integral part minimizes the steady-state error
and the derivative term improves the transient response and
stability of the system. To get the optimum performance from
the considered system, the gains of the PID controller must be
tuned in such a way that the close loop system produces
desired result. The desired result should have minimum
settling time, no overshoot and zero steady state error. The
parameters of the PID controller have been designed using
developed particle swarm optimization algorithm.
S
E
I
vik 1 w * vik c1 * rand() * ( pbestik xik ) c 2 * rand () * ( gbestik xik )
(3&4)
w wmax
4
1
( wmax wmin ) * present _ iteration

max imum _ iteration
(5)
IV.
PARTICLE SWARM OPTIMIZATION
Particle swarm optimization is a population based
stochastic optimization technique which is introduced by
Kennedy and Eberhart in 1995. This computational technique
is developed inspired by social behavior of bird flocking or
fish schooling. In this technique, a group of random particles
(solutions) are generated. According to fitness value the best
solution is determined in the current iteration and also the best
fitness value is stored. The best solution is known as pbest.
Another best fitness value is also tracked in the iterations
obtained so far. This best fitness value is a global best and its
corresponding particle (solution) is called gbest. In every
iteration all the particles will be updated by following the best
previous position (pbest) and best particle among all the
particles ( gbest) in the swarm. The each particle updates its
velocity and positions with following equations:
xik 1 xik vik 1
: inertia weight for ith particle
At the end of the iteration, the best position of the swarm

will be the solution of the problem. PSO does not provide
always the optimum solution of the problem but the obtained
solution will be optimal one.
V.
CONTROL STRATEGY
The control configuration for multi area power system is
depicted in fig. 3. The error input to the controllers are the
respective area control errors (ACE) given by
(6)
ACEi Bi fi Ptie
where i = 1,2, Bi = frequency bias factor =
(1 / Ri ) Di
Control input to the power system is obtained by use of

PID controller together with the area control errors ACE1 and
ACE2. The control input of the power system u1 and u2 are the
output of the controllers and these are obtained as
u1 K p1 ACE1 K i1 ACE1dt K d 1d ( ACE1 ) / dt
(7)
u 2 K p 2 ACE2 K i 2 ACE2 dt K d 2 d ( ACE2 ) / dt
(8)
In LFC system, in order to convergence to optimal

solution, two different unique objective functions are
formulated. The objective functions are derived considering
steady state and transient response specifications and proper
103 of 446
selection of weighting factors. Wrong selection of weighting

factors leads to incompatible numerical value of each term of
objective functions which gives erroneous result. To meet the
design specifications, following objective functions are used.
J1 (e1 M p1) 10 04 ( SSE1)
(9)
J 2 (e 2 M p 2) 1004 ( SSE 2)
(10)
Integral Square Error (ISE) = ( ACEi ) 2 dt
(11)
where e1 and e2 = square integral of ACE1 and ACE2, M p =

Maximum overshoot and SSE = Steady state error.
It is clearly seen from the results that the proposed PSO

based PID controller with the derived cost function improved the
control performance by minimizing frequency and tie line power
deviation to zero. The proposed method yields true optimal
gains, minimum settling time and zero overshoot of the transient
responses compared to others and establishes its superiority over
the others. The transient response characteristics are depicted in
Figs. 4-6.
In this paper, multi objective optimization using PSO

algorithm is used to tune the PID control parameters. In multi
objective optimization, simultaneous optimization of multiple
objectives is carried out. Unlike single objective optimization,
the solution is not a single point, but a family of solution is
obtained which may be useful for design and analysis.
Table 1: Controller parameters and transient specifications of two area power

system by PSO-PID method
ZieglerNichols
PSO-PID
[with
standard
cost
function
ISE]
Kp
Ki
Kd
ts
Mp
Area1
0.54
0.25
12
0.078
Area2
0.54
0.25
12
0.07
Tiepower
14.5
0.0068
Area1
0.0924
0.6240
0.4806
0.0117
Area2
0.0924
0.6240
0.4806
7.8
0.0027
Tiepower
10.5
0.0003
Area1
0.001
0.5350
0.1831
5.2
Area2
1.4785
1.7496
1.0342
7.5
Tiepower
8.2
4
1
A
Proposed
PSO-PID
S
E
I
Fig. 3. Simulink model of the LFC system
The tuned parameters of the control system and the transient

response specifications are shown in table 1. The results are
compared with Zeigler Nichols tuning PID control method.
The observations show that the proposed control strategy with
developed objective function produces good dynamic
performances of the considered power system. Specially, the
proposed objective function extract better solution compared to
Zeigler Nichols tuning method and standard cost function [17],
0.1
0.05
D e lt af 1 (H z )
VI.
The simulation is carried out by MATLAB 7.9 software
run on a PC of dual core processor with 2 GHz speed and
RAM of 2 GB. For the multi area LFC system, the population
size is chosen as 40 and the maximum no. of iterations for
optimization are 15. Best value of constriction factors c1 and
c2 are taken as c1=c2=1.5 and wmax = 0.95 and wmin = 0.45.
The simulation is realized in case of step load change, PL =
0.2 pu MW in area-1, occurring at t = 1 sec and the frequency
change in area-1, area-2 and tie-line power change is observed.
-0.05
-0.1
-0.15
-0.2
-0.25
10
12
Time(s)
Fig.4. Frequency deviation of area- 1
104 of 446
14
16
18
REFERENCES
0.02
[1]
-0.02
[2]
-0.04
Delta f2(Hz)
-0.06
[3]
-0.08
-0.1
[4]
-0.12
-0.14
[5]
-0.16
-0.18
0
10
12
14
16
18
Time(s)
Fig.5. Frequency deviation of area- 2
[6]
0.01
[7]
0
-0.01
Delta Ptie
[8]
-0.02
-0.03
[9]
-0.04
-0.05
-0.06
[10]
0
10
12
14
16
18
Time(s)
S
E
I
Simulation results emphasis that the designed PSO based

PID controller gives very good transient and steady state
performance for frequency and tie line power deviation
compared to Zeigler-Nichols tuned PID controller and PSO
based PID controller with standard objective function ISE. Due
to its simple structure and superiority, this methodology can be
applied to other control system problems quite effectively.
[12]
[13]
[14]
[15]
[16]
[17]
APPENDIX A
[18]
The typical values of the system parameters are given

bellow.
[19]
Tg1 = Tg2 = 0.2s; Tt1 = Tt2 = 0.3s; Tp1 = Tp2 = 20s; Kp1 = Kp2 =
120 Hz/pu MW; T12 = T21 = 0.0707 pu; R1 = R2 = 2.4 Hz/pu
MW; B1 = B2 = 0.425 pu MW/ Hz.
4
1
A
[11]
Fig. 6. Tie line power deviation
VII.
CONCLUSION
In this paper, PSO based PID controller strategy using multi
objective optimization has been proposed for load frequency
control. It has formulated to optimize a composite set of
objective functions. A two area power system with governor
dead band has been considered to demonstrate the proposed
methodology. The objective functions are uniquely formulated
by considering the transient specifications and appropriate
selection of weighting factors.
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105 of 446
Hybridizing DE with PSO for Constrained

Engineering Design Problems
Dr. Kedar Nath Das
Raghav Prasad Parouha
Department of Mathematics
National Institute of Technology, Silchar
Assam-788010, India
kedar.iitr@gmail.com
Department of Mathematics
Assam-788010, India
rparouha@gmail.com
AbstractHybridizing of the optimization algorithms provides a

scope to improve the search ability of the resulting method. A
novel hybrid DE-PSO-DE (DPD) algorithm is proposed for
solving the constrained engineering design optimization
problems. The proposed algorithm integrates differential
evolution (DE) with particle swarm optimization (PSO) on the
basis of an optimal information sharing mechanism. Then under
the guidance of the bracket operator penalty (exterior penalty),
the algorithm quickly finds better feasible solution. DPD is based
on tri-break-up concept of population. The algorithm begins with
a high exploration rate with minimum effort and then gradually
switches to higher exploitation rate till the promising areas of the
search space are identified. Initially all individual in the
population are divided into three groups Inferior Group, Mid
Group and Superior Group; according to their increasing order
of function value. Initially the suitable mutation operators for
both DEs used in DPD are investigated. The investigated
mutation combination for DEs in DPD algorithm is shown to
enhance the local search ability of the basic Differential
Evolution (DE) and to get a better trade-off between convergence
rate and robustness. Further, two strategies namely Elitism (to
retain the best obtained values so far) and Non-redundant search
(to improve the solution quality) have been employed in DPD
cycle. The performance of DPD is tested on four engineering
design problems. The experiment results show the algorithm
located the global optima in all tested problems, and even found a
better solution than those previously reported in the literature. In
some cases, it outperforms other methods in terms of both
solution accuracy and computational cost. Also the investigation
of mutation combination for proposed algorithm has the
advantage of higher accuracy and efficiency for constrained
optimization problems.
Keywords Differential Evolution; Particle Swarm Optimization;

Non-redundant search; Elitism.
I.
INTRODUCTION
Constrained optimization problems frequently appear in

engineering optimization, economic, military, network and
management science, etc. It is usually difficult or even
impossible for the traditional methods to solve them because
they could not provide the derivative information of the
objective function and constraints. Heuristic methods are quite
suitable and powerful for obtaining the solution of engineering
optimization problems. These methods do not require the
derivatives of the objective function and constraints.
Especially, Differential evolution (DE) [1] and Particle Swarm
4
1
S
E
Optimization (PSO) [2] is an efficient variant of EAs for

solving engineering optimization problems. Because of the
individual shortcomings of each of DE and PSO, the solution
leads to a premature convergence or getting stack in some local
optima. However, from the literature, there is no single EA
algorithm which is able to solve a wide range of constrained
optimization problems (COPs) consistently. Hence, researchers
started working on the hybridization techniques between DE
and PSO in order to maintain a proper balance between
exploration and exploitation in the search space.
In recent years, many evolutionary algorithms have been
proposed for solving constrained engineering optimization
problems. Liu et al. [3] used a hybrid PSO called PSO-DE to
solve constrained numerical and engineering optimization
problems. In PSO-DE, DE is incorporated to update the
previous best positions of PSO particles to force them to jump
out of local attractor in order to prevent stagnation of
population. The PSO-DE integrates PSO with differential
evolution (DE) to obtain a good performance. Khamsawang et
al. [4] proposed an improved hybrid algorithm based on
conventional particle swarm optimization and differential
evolution (called PSO-DE) for solving an economic dispatch
(ED) problem with the generator constraints. Recently,
Nwankwor et al. [5] proposed a hybrid version of PSO and DE
for the optimal well placement problem. The combination of
PSO and DE seems to be very effective as suggested in the
report by Xin et al. [6]. The said approach moves around the
enhancement of capabilities of PSO and DE in various aspects.
It can be concluded that the hybridization of DE and PSO came
out as a giant optimizer for the optimization problems.
In view of the above problems, this paper puts forward a
new algorithm hybridizing differential evolution (DE) with
particle swarm optimization (PSO). DPD combines DE with
PSO on the basis of an optimal information sharing mechanism
firstly. In this study, the process of hybridization is being
emphasized with a tri-breakup of the population. The novel
hybrid algorithm thus proposed is named as DE-PSO-DE for
solving constrained engineering optimization problems.
The rest of the paper is organized as follows. Section 2
introduces the different components of the proposed hybrid
system. Section 3 represents the proposed algorithm. The
experimental setting is reported in section 4. Section 5
contains the results and discussions. The Conclusion and
future works is drawn at the last section 6.
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II.
COMPONENTS OF HYBRIDIZATION
Hybridization has turned out to be an effective and

efficient approach to design high-performance optimizers,
which is witnessed by the rapid evolution of diverse
hybridization techniques in the past decades. The components
participated in framing the hybrid system proposed in this
paper, are briefly described in this section as follows.
B. Differential Evolution
DE works with three major steps such as Initialization,
Mutation, Crossover and Selection.
1. Mutation: - It is a central/core operator in DE. There are
many mutation strategies in DE:
A. Constrained Handling Technique

An efficient and adequate constraint-handling technique is
a key element in the design of optimization algorithm.
Although the use of penalty functions is the most common
technique for constraint-handling. Until now, the approaches
for solving constrained optimization problems can be roughly
classified into three categories in general. They are penalty,
repair and tournament selection methods, respectively. Most of
the researchers use methods based on penalty functions to
handle constraints in evolutionary algorithms (EAs). Penalty
functions were originally proposed by Courant in the 1940s
and later expanded by Carroll and Fiacco & McCormick in the
1960s. Use of penalty functions has been commonly reported
in literature for use in constrained optimization. Michalewicz
[7] summarized several constraint-handling techniques, and it
was pointed out that the penalty function is the most widely
used technique to handle constraints due to its simple principle
and easy implementation, especially for continuous constrained
problems. Two basic types of penalty functions exist; exterior
penalty functions, which penalize infeasible solutions, and
interior penalty functions, which penalize feasible solutions. In
the EAs community exterior Penalty function method is
preferred to the interior Penalty function approach. The reason
is that interior function approach requires an initial feasible
solution, which is the main drawback of this method. Exterior
Penalty function method starts with infeasible or feasible
solution. If it starts with infeasible solution then penalty
function forces the algorithm to move towards the feasible
solution and if it starts with feasible solution the penalty
function becomes zero so it does not affect the value of the
objective function. The main advantage of the use of penalty
functions is their simplicity; however, their main shortcoming
is that penalty function methods require the fine-tuning of the
penalty function parameters, to discourage premature
convergence, whilst maintaining an emphasis on optimality.
There are various forms of penalties reported in the literature,
like parabolic penalty, Infinite barrier penalty, Log penalty, and
Inverse penalty, Bracket operator penalty.
In this paper, fitness function of each individual in the
population find by using the bracket operator penalty (exterior
penalty). This penalty is mostly used in handling inequality
constraints (Deb, [8]). The constrained optimization problem
transformed into unconstrained problem is of the form:
F(x(t) ,R(t) )= f(x(t) )+ (R(t) ,g (t) ,h(t) )
Where, f stands for the objective function and stands for
penalty term which is given by: = R g (x)
where
0, if 0
=
, if 0
DE/rand/1/bin
ii.
DE/rand/2/bin
vi xr1 F ( xr2 xr3 ) F ( xr4 xr5 )
DE/best/1/bin
vi xbest F ( xr2 xr3 )
DE/best/2/bin
vi xbest F ( xr2 xr3 ) F ( xr4 xr5 )
DE/rand-to-best/1/bin
vi xr1 F ( xr2 xr3 )
iii.
iv.
v.
vi xr1 F ( xbest xr2 ) F ( xr3 xr4 )
vi.
DE/current-to-best/1/bin
vii.
DE/rand-to-best/2/bin
vi xr1 F ( xbest xr2 ) F ( xr3 xr4 ) F ( xr5 xr6 )
DE/current-to-best/2/bin
vi xi F ( xbest xi ) F ( xr2 xr3 ) F ( xr4 xr5 )
vi xi F ( xbest xi ) F ( xr2 xr3 )
viii.
where a random number F0,1 is the mutation coefficient,

x best represents the best individual in the current generation
4
1
i r1 r2 r3 r4 r5 r6 , i, r1 , r2 , r3 , r4 , r5 , r6 1, ...., Np ,
xi
is
referred to the target vector; vi is the mutant vector.

2. Crossover: - The second and main operator of DE is
crossover operation defined as:
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E
i.
U j ,i,G1
V j , i , G1 ; if ( rand j CR ) or ( j jrand )
X j , i , G ; if ( rand j CR ) or ( j jrand )
where j = 1, 2,,D; randj [0, 1]; CR is the crossover

constant takes values in the range [0, 1] and jrand
(1,2,....., D) is the randomly chosen index.
3. Selection:- The last operator of DE is Selection which is
defined as :
xi,G1
Ui , G+1 ; if f (Ui ,G1 ) f ( X i ,G )

X i, G ; otherwise
C. Particle Swarm Optimization (PSO)

PSO is a robust stochastic optimization technique based on
the movement and intelligence of swarms. PSO also starts
with an initial population with the population size. Each
individual in the population is called particle that involves
with a position x and velocity v. During the evolution, each
particle flies to its previous best position pbest and the global
best position gbest found so far. Hence, a particles velocity
and position are updated as follows v v c1r1 ( pBest x) c2 r2 ( gBest x)
xi N xiN v iN
where is called the inertia weight, c1 and c2 are positive
constants, called acceleration coefficients, r1 and r2 are
random numbers, uniformly distributed in the interval [0, 1].
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D. Elitism
If crossover or mutation performed in an EA algorithm
then good candidates may be lost in offspring that are weaker
than the parents. Often the EA will re-discover these lost
improvements in a subsequent generation but there is no
guarantee. To combat this we can use a feature known
as elitism. Elitism is therefore is a mechanism to retain the
overall best individuals. At the end of iteration both the
populations (obtained before and after the iterations) are
combined and the best half is considered for next generation.
E. NRS Algorithm
In proposed algorithm, Non-redundant search (NRS) [9] is
used as a local search. This algorithm works as follows1. Deletion of individuals with the same chromosome in
the current population.
2. Addition of new individuals selected randomly
instead of these redundant ones.
Consequently, non-redundant search improves the search
ability to find the optimal solution.
III.
PROPOSED METHOD
Inspiration: - In [10] author developed a dynamic groupbased differential evolution (GDE) algorithm for global
optimization problems, which has both exploitation and
exploration abilities. The GDE algorithm provides a
generalized evolution process based on two mutation
operations to enhance search capability. In GDE algorithm,
initially all individuals in the population are grouped into a
superior group and an inferior group based on their fitness.
The two groups perform different mutation operations. The
local mutation model is applied in the superior group, to
search for better solutions near the current best position. The
global mutation model is applied to the inferior group, which
is composed of individuals with lower fitness values, to search
for potential solutions. The GDE algorithm performs two
mutation operations based on different groupings to
effectively search for the optimal solution.
Observation/Motivation of DPD: - Differential evolution
(DE) and Particle swarm optimization (PSO) scheme is the
contemporary, both swarm intelligence and evolutionary
process. The motivation behind the hybridization of DE and is
PSO to take advantage for providing better solution,
simultaneously. Due to the robust behavior of mutation
operators, DE has the ability to balance exploration and
exploitation, over search space. As reported in [10], DE works
better at two different situations where the local search or the
global search is essential. However, due to the inherent
shortcomings of DE, sometimes, stacking in some local
minimal or choosing the path to premature convergence is
unavoidable. Hence many a time the diversity in the
population need to be maintained. Therefore introduction of
another mechanism becomes essential in the group based
hybridization methods, proposed in [10]. It is also observed
that the behavior of PSO is to wildly seek the potential
solution. It diversifies the candidate solutions in a better way
4
1
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E
and probably also helps in avoiding some shortcomings of DE,

in the hybrid system.
Hybridization process hopefully helps to get rid of falling
in premature convergence and getting trapped in local optima.
The idea of this kind of hybridization gets more importance,
when we are solving some complex constrained optimization
problems where the ratio of the feasible region and search
region is very small [11].
Idea of the hybridization:- The purpose of incorporating
these two giant techniques in a single one is to provide a better
and more robust algorithm for solving constrained
optimization problems. This kind of hybridization between DE
and PSO could provide us a better solution for global
optimization problems. Keeping in view the above
observations and inspired by the concept of GDE, a tribreakup-population based mechanism is proposed in this paper
and applied in constrained optimization problem (COPs). It
initiates with a random population. Then find the fitness
function of each individual in the population by using the
bracket operator penalty. The strings are then sorted according
to the increasing order of their function value. Now the
population is being allowed to break in to three different
groups A, B and C namely inferior group (first 1/3rd of the
population), mid group (middle 1/3rd of the population) and
superior group (last 1/3rd of the population), respectively. Of
course the population size is kept fixed to a multiple of 3 to
favor the tri-breakup mechanism. According to the local and
global searching behavior of DE (as observed above), it is
allowed to being employed in both the inferior and superior
groups (i.e. to A and C). At the same time Particle Swarm
Optimization (PSO) is used in the mid-group (i.e. to B) to
overcome the shortcomings of DE. Therefore the synergy of
DE-PSO-DE (DPD) is the hybrid method proposed in this
paper. The detailed mechanism (flow diagram) of the
proposed DPD is also outlined in Fig 1. However the key steps
are as follows.
Steps of proposed DPD:
i.
Random initialization of population.
ii. Find the fitness function of each individual in the
population by using the bracket operator penalty.
iii. Sorting population according to fitness function
value.
iv. Population breakup (into 3 parts namely A, B and C
as described above).
v. Employment of DE, PSO and DE on Group A, B and
C respectively.
vi. Combination of the resultant sub-populations
vii. Apply Elitism with the population of pre and post
generation.
viii. Apply NRS.
ix. If the stopping criterion is satisfied, go to step-ii. Else
go to step x.
x. Report the Optimal Solution obtain and Stop.
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IV.
PEXPERIMENTAL SETTING
Af i = Minimum of average number of function evaluations

of successful runs required by all algorithms in
obtaining the solution of ith problem
N p = Total number of problems
A. Selection of Mutation Operators for DEs in DPD

In DE Algorithm, the role of mutation operator is as a
kernel operator that has the ability in the search of potential
solutions. On the basis of review of the past literature,
researchers used many mutation strategies in the DE
algorithm. For DE, selecting a mutation operator is indeed a
difficult task. Therefore, in the present study, 8 different
strategies of most efficient mutation operators have been
reconsidered for analysis. The list of those strategies is
reported in section 3.2. While dealing with DPD, DE is being
used two times in a generation. Hence, all combinations of
mutation strategies are considered as:
DE (with 8 different strategies of mutation) + PSO +
DE (with 8 different strategies of mutation) = DPD
Therefore, a total of 8X8 = 64 combinations with all
possible permutation of mutation operators, are generated by
considering one case at a time and keeping PSO fixed. Some
experiments are carried out so as to identify the top four
combinations are (3, 3), (3, 7), (3, 5), (3, 1). Finally out of top
four combinations check the performance which is defined in
[12]. Top 4 combinations (i.e. all forms of DPD) are tested in
4 constrained engineering problems (reported in 4.2) include
with different number of decision variables and a range of
types (linear inequalities, nonlinear equalities, and nonlinear
inequalities) and number of constraints. For this 30, 50, 100
independent runs with 240000 function evaluations are fixed
to start the simulation with same parameter setting according
to 5.2. Hence, to measure the winner combination, a
Performance and its extended form is used and is defined as
N
below:
1
i
i
i
k a +k a +k a
p
Performance =
subject to
Np
1 and
where
where
k2 k3
Sr i
Tr i
Moi
, if Sr i > 0
i
i
=
Ao
2
0,
if Sr i 0
Fig. 2(a). Performance evaluation for top 4 combination (for 30 run)
4
1
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E
i=1
k +k +k
Out of top 4 mutation combinations {(3, 3), (3, 7), (3, 5),
(3, 1)} the performance of (3, 3) combination are better than
other three shown in Fig. 2. (a-c) for 30, 50, 100 run
respectively. Hence, this combination i.e. (3, 3) is considered
for further study.
Fig. 2(b). Performance evaluation for top 4 combination (for 50 run)
Mf i
, if Sr i > 0
i
=
Af
3
0,
if Sr i 0
for
i = 1,2,..............., N p
Sr = Number of successful runs of ith problem

Tr i = Total number of runs of ith problem
Moi = Mean optimal objective function value obtained by an
algorithm of ith problem
Fig. 2(c). Performance evaluation for top 4 combination (for 100 run)
Aoi = Minimum of mean optimal objective function value

obtained by all the algorithms of ith problem
Mf i = Average number of function evaluations of successful

runs required by an algorithm in obtaining the solution
of ith problem
B. Constrained Engineering Design Benchmark Problems

and Parameter Settings
A set of four well-known constrained engineering design
problems (reported in [14]) are carried out to evaluate the
performance of DPD:
(1)
E01: Welded Beam design problem
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TABLE III.
(2)
E02: Pressure Vessel design problem
(3)
E03: Tension/Compression Spring design problem
Methods
x1(d)
x2(D)
x3(P)
f(x)
(4) E04: Speed reducer design problem

These problems have been previously solved using a
variety of other techniques, which is useful to show the
validity and effectiveness of the proposed algorithm. For each
problem, 60 independent runs are performed and statistical
results which give information about the robustness of the
algorithm. Moreover, the statistical results provided by DPD
were compared with some algorithms used in literature. For
PSO, the acceleration constants C1 and C2 are both set to 2.0,
the inertial weights (w) are set to 0.7298. However for DE in
DPD, the mutation factor in group 1 i.e. F A=0.5 and for group
3 i.e. FC=0.8; and the crossover weight CRA=CRC=0.9. The
population size for DPD is set to a value, multiple of 3; it kept
fixed to 42 for all problems to favor the population-tri-breakup
system. As the problems studied in this work are minimization
ones, the penalty function just adds a very high value (R=1e10)
to the objective function. This penalty value was empirically
chosen to be considerably bigger than the objective function
values generated by the tested problems. Maximum numbers
of function evaluation DPD are set as 240000. Values in bold
face in tables represent the best obtained in the listed
comparisons. The DPD are coded in C-Free Standard 4.0 and
implemented on CORE i3, 2.8 GHz machine with 2GB of
RAM, Environment.
C. Stimulation Results and Discussion for five engineering
design problems
The best results and statistical results of the DPD on the 4
engineering design problems are summarized in Table I-IV
and Table V respectively. It includes the best, mean, and
standard deviations over 60 independent runs. In Table 2, it
shows that DPD can generate best solutions for most of the
problems for all 60 runs. However, all problems deliver best
value with low standard deviations. This illustrated that the
results generated by DPD is robust.
TABLE I.
Methods
x1 (h)
x2(l)
x3(t)
x4(b)
f(x)
TABLE II.
TABLE IV.
TABLE V.
E02
E03
SC-ABC
0.205563
3.471719
9.042758
0.205836
1.726625
DPD
0.205724
3.253253
9.036644
0.205729
1.695255
BEST SOLUTION OBTAINED

VESSELDEASIGN PROBLEM
Methods
x1(Ts)
x2(Th)
x3(R)
x4(L)
f(x)
SC-ABC
0.812500
0.437500
42.098187
176.640750
6059.768058
FOR
DPD
0.808660
0.399721
41.899497
180.399960
5886.198353
PRESSURE
Best
Mean
STD
Best
Mean
STD
Best
Mean
STD
Best
Mean
STD
SC-ABC
3.500000
0.700000
17
7.300000
7.800000
3.350215
5.286683
2996.348165
DPD
3.500000
0.700000
17.00000
7.300000
7.800000
3.343364
5.285351
2993.758872
Sic-PSO
Methods
SC-ABC
DPD
1.72458
2.0574
0.2514
6059.714335
6092.0498
12.1725
0.012665
0.0131
4.1E-4
2996.348165
2996.3482
0.0000
1.72665
1.7413
2.29E-4
6059.768058
6060.2097
0.0069
0.012667
0.0127
2.4E-7
2996.348165
2996.3482
0.0000
1.695255
1.695255
2.94E18
5886.198353
5946.790134
3.01302E-08
0.012665
0.012665
4.350272E-15
2993.758872
2993.758872
0.00000E+00
4
1
A
E04
DPD
0.051515
0.352529
11.538862
0.012665
STATISTICAL RESULTS FOR ENGINEERING DESIGN

PROBLEMS BY DIFFERENT METHOTDS
Problems
E01
SC-ABC
0.051871
0.361108
11.036860
0.012667
BEST SOLUTION OBTAINED FOR SPEED REDUCER

DEASIGN PROBLEM
Methods
x1
x2
x3
x4
x5
x6
x7
f(x)
S
E
BEST SOLUTION OBTAINED FOR WELDED BEAM

DEASIGN PROBLEM
BEST SOLUTION OBTAINED FOR TENSION/

COMPRESSION SPRING DEASIGN PROBLEM
In order to show the effectiveness and superiority of DPD,

it is compared with other classical algorithms designed for
constrained engineering design problems. These approaches
are: Sic-PSO [13] and SC-ABC [14]. Values in bold face in
tables represent the best obtained in the listed comparisons.
The results provided by compared approaches were directly
taken from SC-ABC [14]. Out of four engineering design
problems DPD delivered best result compared to other
algorithms in all manners. Only for E03 it performs
marginally better but mean and std are very low compared to
others. Almost all constrained engineering problems values
obtained by DPD are better. As a conclusion, on the
comparison above, DPD shows a very competitive
performance with other algorithms in terms of the quality, the
robustness, and the efficiency of search. Also, DPD is able to
consistently find the best value with a very small standard
deviation which indicates that the proposed DPD has a
remarkable ability to solve constrained problems.
V.
CONCLUSION AND FUTURE WORKS
This paper proposes a novel algorithm named DPD,

which integrates PSO with DE. By using global information
obtained from DE and PSO, the exploration and exploitation
abilities of DPD algorithm are balanced. DPD uses an
information exchange mechanism that helps to avoid the
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[5]
premature convergence. An investigated mutation strategy for

DEs in DPD, enhance the local search ability and advance the
convergence rate. The two strategies Elitism and NRS illustrate
the attractiveness of the proposed method.
In order to demonstrate the effectiveness of the proposed
method, it is applied to solve four engineering design
problems. Simulation results and comparisons show that the
proposed DPD has higher accuracy and better robustness. In
general, it is very effective for solving constrained engineering
optimization problems. Also, it is simple, robust, converges
fast, and able to find the optimum solution in almost every run.
Therefore, tri-beak-up technology for the population really
makes the DE-PSO-DE faster and robust. In this paper, DPD
algorithm is used for only solving single-objective constrained
optimization problems. As a future research, DPD may be used
for solving multi-objective-real-world problems. Further,
different fashion of hybridization of DE and PSO algorithms
may be investigated.
[6]
[7]
[8]
[9]
[10]
[11]
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Harmonic Distortion Optimization of Generalized

A-Symmetrical Series/Parallel Multilevel Converter
with Fewer Switches
G. Satyanarayana1, K. Lakshmi Ganesh2
1
M.Tech, PGDBM, 2 M.Tech, Assistant Professor

School of Management Studies, 2Department of Electrical & Electronics Engineering
1
University of Hyderabad, Hyderabad, 2Vishnu Institute of Technology, Bhimavaram, Andhra Pradesh, India.
1
gallasatya.eee@gmail.com, 2 klganesh201@gmail.com
1
Abstract Renewable Energy Systems (RES) modeling ride

must communicate variance of socio-economic sensitivities and
ecological in organize to efficient budget related decisions and
guide policy. This paper interpolate a prenominal regular
methodology for reliability and modeling assessment of miniature
co-generating systems, which comprise photovoltaic, fuel cell, and
battery to integrate grid by exploiting power electronics
technology. Application of power electronics in that, multilevel
inverters are extensively applied for high voltage and high-power
applications in many more industries has transform to greater
extent democratic and high performance superior to that of
formal full bridge 2-level & 3-level inverters. Cascaded H-Bridge
(CHB) based multilevel inverters have been speculating as an
alternate in high voltage & medium voltage converter trade.
Their divergent, the asymmetrical Cascaded H-Bridge (ACHB)
inverter, behaves the high voltage levels by expend the dc
supplies with unequal voltages. A competent asymmetrical based
series/parallel multilevel technique is presented with low switches
compared to CHB & ACHB. Hence, a 5-level, 7-level, 11-level
and 21 level converters can be succeeding with a low number of
active semiconductors. A Simulation study & comparative
analysis has been carried out to evaluate high performance of the
proposed asymmetrical series/parallel configuration to accost a
very low total harmonic distortion (THD) of output voltage,
which induce the possibility of eliminating the load side output
filter using Matlab/Simulink Platform.
SA
Sc
vbu
S1
ibus
Vdc
SB
Sc
Fig.1 Structure of Symmetrical Series/Parallel 5-Level Inverter
Renewable energy sources (RESs) have versed an

expeditious growth in last decades due to the huge
technological improvements, has been increased the efficiency
at similar time and progressively reduced their costs [1].
Moreover, there is a need to independent on fossil fuels as
well as reduce the effect of greenhouse gases and necessitates
the increase of electricity generated by renewable energy
systems. Hence, it can be settled majorly by utilizing to
photovoltaic and wind energy generation, Fig.1 represents the
structure of symmetrical series/parallel 5 level multilevel
inverter using 6 active semiconductors utilized in cogeneration systems.
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Keywords Asymmetrical Cascaded H-Bridge (ACHB) Inverter;
2Vdc
S2
Generalized Asymmetrical Series/Parallel Inverter; Renewable

Energy Sources (RES), Total Harmonic Distortion (THD).
I.
INTRODUCTION
Life style changes in, primarily regarding consumption and
production it will ultimately be forced on many things by
economic and ecological pressures. Societal, technical, and
preparedness, economic insights will promote this needful
transition in way of sustainable energy systems. The main
theme of this work is to originate a foremost decision support
creature for distributed hybrid renewable energy system
nothing as co-generation systems. Many more research things
are going on co-generation of renewable energy sources
(RESs), such as fuel cells, PV arrays and wind energy
generation, which are environment friendly and sustainable
nature. Practically, most of the distributed generation system
(DGs) consists of power grid and further it should be fabricate
to microgrid with local loads. To secure the microgrid
performance, DG is normally necessity to work in grid
connected and stand-alone connected systems.
Vdc
S2
SA
Sc
vbus
S1
Vdc
S3
ibus
Sc
SB
Fig.2 Structure of A-Symmetrical Series/Parallel 7-Level Inverter
Today, photovoltaic (PV) energy performs quite fascinate

for generation of electric power because of low maintenance,
pollution free, noiseless and more flexibility and should be
constituted by another interchange energy sources to ascertain
a reliable & constant power supply. Other, influential source is
fuel cells (FCs) is rising as a favorable complementary power
due to these advantages such as high efficiency, cleanness and
reliability should be very high. The startup period is very long
and dynamic response also very slow, inadequate points of
fuel cells, some mismatch power flow in between the load and
source (FC) compulsory achieved by using energy storage
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element. Most of the conditions batteries are normally

preferred as storage system for enhancing output power,
controlling the startup transitions as well as dynamic
characteristics, and decorative the peak power capacity [2].
the THD is prominently reduced consequently, output filters

also eliminated.
Integrating such type of energy sources innovate a

FC/PV/Battery co-generation based hybrid generation system.
Hence, comparisons with respect to single-sourced system, the
co-generation system have high potential to provide high
quality energy, high reliable and high efficient power. Many
of the co-generation systems are interfaced in between the
RES and grid, the performance evaluation of power electronic
converters are critical. Power electronic conversion
applications to medium voltage, high power converters have
been linearly developing in many fields such as power quality,
power systems control, adjustable speed drives, and
uninterruptible power supplies (UPS), equipment testing, and
co-generation. In co-generation application, attaining the dc
power from various energy systems; there is a need of that
generated power essentially renovate to ac power and is
integrate to the grid by using grid-connected (VSI or CSI)
inverters. However, diverse international standards, such as
IEEE-929, IEEE-1547 and EN-61000-3-2, communicate the
requirement on inverter output must be maintained quality,
i.e., harmonic currents and notch free, total harmonics
distortion (THD) of the output voltage and current.
This paper recommend to a modern solution for

eliminating the main drawbacks and to keep the advantages of
asymmetrical series/parallel inverter are as follows 1)
automatic voltage balance among H-bridges 2) very low THD
at all operation ranges; and 3) simpler operation & structure 4)
low filter range 5) commercial advantageous. Although this
type of approaches is well convenient for excellent multilevel
inverter, their prolongation to a increased number of levels are
not a easy thing. During this proposed concept, a theoretical
analysis is used to conceive an asymmetrical based
series/parallel conversion strategy compatible with several
multilevel configurations are implemented and compared [9].
Matlab/Simulation results obtained for an asymmetrical
series/parallel inverter fed grid connected system approve the
eminent dynamic performance of the proposed method,
presenting good performance and very low THD values.
By create so, output voltage and current with outstanding

quality can be acquired with small circuit and control
complexity also, by getting reduced filter size with the support
of increased harmonic characteristic of the output voltage.
There are many different topologies, such topologies has
introduced in last four decades, with include of the flying
capacitor inverters , neutral point clamped inverters (NPC)
and cascade multilevel inverters [3] [4]. Respective workings
have partly declare and propagate these prospection to
alleviate the and control scientific design of such topologies
favored in huge power applications like industrial
applications, semiconductor drive control, static Var
compensators and renewable energy sources.
II.
PROPOSED ASYMMETRICAL SERIES/PARALLEL

MULTILEVEL TOPOLOGY
The high range power electronics, converters and inverters,
are key role in these systems [10][14]. The grid connected
DG systems need an inverter to convert dc to ac. Boost
converters or transformers are extensively used in these
systems, when the input voltage is lower than that of output
voltage. In spite of that, a transformer or an inductor in the
step up converter makes the very large system, because they
must have large and bulky magnetic cores to endure the high
power. As an enactment against the problem, a charge pump is
presented [15]. A charge pump attains a larger voltage at
output side than the input side voltage with respect to
proposed switching pattern.
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+
S7
S3
FC
(3Vdc)
2Vdc
S1
SA
Sc
S8
S9
ibus
TO
GRID
Va
S2
As Fig.2 represents the structure of A-symmetrical

series/parallel 7 level multilevel inverter using 7 active
semiconductors; with addition of one active component we get
7-level output voltage. The virtually standard advantages of
this proposed multilevel inverter resemble with formal voltage
source inverter (VSI) are more concern in high efficient
operation, lower switching losses, high power quality, better
electromagnetic interference, high voltage capability, and no
importance of transformer, hence reducing the overall cost.
Nevertheless, the CHB multilevel inverter has some
disadvantages like large number of active switches,
transformers, as well as isolated dc supplies in balanced
condition. Asymmetrical CHB (ACHB) inverter employ dc
supplies with several voltages [5]-[8], for increases the
number of levels, and it can get maximum number of levels if
the dc supply voltages are scaled out with different values and
4Vdc
vbus
S4
S6
PV Source S5
(Vdc)
SD
SB
Fig.3 Structure of A-symmetrical Series/Parallel 21-Level Inverter
When the various switches are connected in series and

parallel configuration, the charge pump outputs the addition of
several voltage of the input side values are to be get at high
output side value with low harmonic content. Nevertheless,
charge pumps have many switching devices for that system
should be more complicated [16]-[17]. A Series/Parallel
inverter is similar to a charge pump in this topology with the
less number of semiconductor switches we get high voltage
levels based on asymmetrical configuration, the proposed
asymmetrical series/parallel 21 level multilevel inverter with
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different sources such as pv source, fuel cell and battery

energy storage system as shown in Fig.3. The proposed
inverter doesnt present any inductors which make the system
to be very large, the output harmonics of the proposed inverter
are reduced by the multilevel output [18].
10Vin
9Vin
8Vin
7Vin
6Vin
5Vin
4Vin
3Vin
2Vin
vin
b. Mode 2: (Vdc Level)

This level can be acquired by five switching actions S1,
S3, S7, SA, SB are active, associated the load positive voltage
(Vbus), further switches are inactive; the voltage across the
load terminal is Vdc.
c. Mode 3: (2Vdc Level)
(Vbus), further switches are inactive, the voltage across the
load terminal is 2Vdc.
Vbus
Time
d. Mode 4: (3Vdc Level)

-Vin
-2Vin
-3Vin
-4Vin
-5Vin
-6Vin
-7Vin
-8Vin
-9Vin
-10Vin
e. Mode 5: (4Vdc Level)

Fig.4 Output Voltage of Proposed 21-Level Asymmetrical Series/Parallel

Multilevel Inverter
The proposed asymmetrical multilevel inverters operation

majorly can be divided into two mode of operation such as
positive mode & negative mode by turn on the switches (SA,
SB, SC, SD) and mainly eleven switching states (positive and
zero levels), as shown in Fig. 5(A)(K). As Fig.4 shows the
21-level output voltage of asymmetrical series/parallel
multilevel inverter with hybrid sources and with the need of
different operational switching modes The required twenty
levels of output voltage with low THD value supported to
grid/load as follows.
f. Mode 6: (5Vdc Level)

load terminal is 5Vdc
A. Modes of Operation:
S7
S8
SA
3Vdc
S2
2Vdc
Sc
I
S9
S3
S1
S
E
4Vdc
ibus
vbus
S4
S6
Vdc
S5
SD
SB
Fig.5 Operating Modes of +ve Half Cycle & -ve Half Cycle
a. Mode 1:(0 Level)

This level can be acquired by two switching actions such
as SB, SD are active; further switches are inactive; load
terminals should be short circuit, and the voltage across the
load terminal is zero. Fig. 5 shows the path for current flow
and active at this mode and for getting positive half cycle turn
on SA, SB switches & for negative half cycle SC, SD.
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g. Mode 7: (6Vdc Level)

h. Mode 8: (7Vdc Level)
i. Mode 9: (8Vdc Level)
S6, S8, SA, SB are active, associated the load positive
voltage(Vbus), further switches are inactive, the voltage
across the load terminal is 8Vdc.
j. Mode 10: (9Vdc Level)
S5, S8, SA, SB are active, associated the load positive
k. Mode 11: (10Vdc Level)
This level can be acquired by five switching actions S2, S6,
S8, SA, SB are active, associated the load positive
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III.
PERFORMANCE E VALUATION OF MATLAB/SIMULINK

MODELING & RESULTS
The proposed system as shown below has been modeled &
simulated using Matlab/Simulink software package to achieve
the newly proposed asymmetrical series/parallel multilevel
inverter topologies interfaced to grid system. The circuit
consists, group of power electronic switches rendered by
different sources such as co-generation systems and form
series/parallel configuration.
Fig.9 FFT Analysis of Output Voltage of Proposed 5-Level Symmetrical
Series/Parallel Multilevel Inverter Topology.
Fig.9 shows the FFT analysis of output voltage of

proposed 5-Level symmetrical series/parallel multilevel
inverter topology, here get 20.48%.
Fig.6 Matlab/Simulink Model of Proposed Symmetrical Series/Parallel

Multilevel Inverter Topology
Fig.6 shows the Matlab/Simulink model of proposed

symmetrical series/parallel multilevel inverter topology using
Matlab/Simulink software package.
Fig. 10 7-Level Output Voltage
Fig.10 shows the 7-Level output voltage of proposed Asymmetrical series/parallel multilevel inverter topology with
the addition of single switch and different voltage sources.
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Fig.7 shows the 5-Level output voltage of proposed

symmetrical series/parallel multilevel inverter topology.
Fig. 11 Grid Voltage
Fig.11 shows the grid voltage of proposed A-symmetrical

7-Level series/parallel multilevel inverter topology.
Fig. 8 Grid Voltage
Fig.8 shows the grid voltage of proposed symmetrical 5Level series/parallel multilevel inverter topology.
Fig.12 FFT Analysis of Output Voltage of Proposed 7-Level A-Symmetrical

proposed 7-Level A-symmetrical series/parallel multilevel
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series/parallel multilevel inverter topology.
the addition of three switches and different voltage sources.


11-Level series/parallel multilevel inverter topology.
Fig.18 shows the FFT analysis of output voltage of proposed

21-Level A-symmetrical series/parallel multilevel inverter
topology, here we get 11.86%.
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Table I
Comparison of Various Multilevel Topologies with Respect to
Proposed 21-Level Asymmetrical Series/Parallel Topology
A
Item
S
E


proposed 11-Level A-symmetrical series/parallel multilevel
Switching
Devices
Clamping
Diodes
Balancing
Capacitor
DC
Bus
Diode
Clamped
40
380
N.A
20
Flying
Capacitor
40
N.A
190
20
Cascaded
H-Bridge
(Symmetrical)
40
N.A
N.A
10
Cascaded
H-Bridge
(Asymmetrical)
16
N.A
N.A
13
N.A
N.A
Configuration
Proposed
Series/Parallel
the addition of six switches and different voltage sources.
As Table I shows the number of switches, clamping

diodes, capacitor, dc bus required for various multilevel
configuration in comparison of proposed 21 level
series/parallel multilevel configuration, mainly reduction of
switching devices compared to asymmetrical cascaded HBridge topology and preferred equal number of DC sources, in
proposed concept no need of any clamping diodes, balancing
capacitors to achieve high quality of output voltage with low
harmonic distortions, for 31 Level output voltage need
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additional three switches and another DC sources with the

help of proposed series/parallel asymmetrical multilevel
inverter.
as low frequency preferred to high and medium power range

applications, mostly applied to interfacing in-between RES to
grid connected system.
REFERENCES
Fig. 19 Performance of Proposed Multilevel Inverter Based on Switch

Count with Respect to Various Formal Multilevel Topologies.
Fig. 19 shows the 2D line diagram of performance

comparison of proposed multilevel inverter with respect to
various formal multilevel topologies based on switch count,
proposed converter requires less number of switches for
getting same levels, and economically it is more perfect for
industrial applications.
Table II
FFT Analysis of Output Voltage with Proposed System
THD (%)
Output
Voltage
(Vo)
5-Level
Topology
7-Level
Topology
11-Level
Topology
21-Level
Topology
20.48%
16.82%
13.62%
11.86%
IV.
CONCLUSION
The perception of high power multilevel converters has

been more acceptable because of low switching losses, high
power quality, and higher voltage capability, enhance
electromagnetic compatibility. The most important attractive
multilevel converter topologies are cascaded H-bridge
multilevel configuration. This configuration is very appealing
due to its simple structure and modularity of control, attempt
to lower THD and high quality of voltage waveform. The
performance of the proposed multilevel converter topology
was examined in detail. In this paper, a generalised
asymmetrical multilevel converter with series/parallel
configuration which degrades the switching devices by
controlling the switching condition with respect to dc voltage
sources in comparison of formal multilevel converter
topologies for corresponding number of voltage levels at
output side and also reduces the THD with increased number
of levels, switching devices contrive for high-voltage as well
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In Table II show the FFT analysis of output voltage for

proposed asymmetrical series/parallel multilevel inverters,
here we get better voltage quality with respect to increased
number of levels and THD also drastically reduces.
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Detailed study and proposed restoration of damaged

structural bracket supports for three tier insulated
piping system by using anchoring methodology in
filter house structure of solvent dewaxing unit
Moni Sankar Hazra
Amarjit Sahu
Civil Engineer, Engineering Services Department,

Haldia Refinery, Indian Oil Corporation Limited.
Haldia, India.
hazrams@indianoil.in
Manager (Civil), Engineering Services Department,

Haldia Refinery, Indian Oil Corporation Limited.
Haldia, India.
sahua@indianoil.in
AbstractPipe supports are structures that suitably support

pipes and ancillaries between process areas of industrial plants,
as necessary, to prevent sagging, mechanical stresses and
vibrations. The structural bracket supports for the three tier
insulated piping system at an elevation ranging from 5.0 to 8.0m
along northern side of Filter house structure in Solvent dewaxing unit of Haldia Refinery has been in severely corroded and
deteriorated condition. Thorough inspection of the piping and the
overhang bracket support system revealed that the supports at
most places have been dislodged from the connection with the
main reinforced concrete framed structure. The reasons for
damage may be largely attributed to high degrees of corrosion
and improper structural arrangement of the existing bracket
supports, leading to higher levels of stress. Subsequently, a
detailed study of the existing piping system along with modified
pipe support system (both structural bracket and reinforced
concrete framed structure options were analyzed), as per site
condition was carried out using computer modeling. Based on the
findings of the analysis, recommendations were provided for both
short term and long term restoration measures. Due to execution
constraint, chemical anchoring technology was recommended for
fixation of the new pipe supports to the existing Filter house
framed structure, along with use of high build epoxy primer and
paint for reducing corrosion levels. The recommended new pipe
support system will result in a considerable reduction of stresses.
Overall, the member stresses, deflections and support reactions
was found to have undergone significant reduction for both the
new bracket and portal frame support cases. The proposed
modifications would thereby enhance plant safety, reliability and
operating life.
I.
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Keywordspipe support; bracket support; restoration; chemical

anchoring.
and ancillaries between process areas of industrial plants, as

necessary, to prevent sagging, mechanical stresses and
vibrations. One requirement of pipe supports, critical to every
piping system, is that they accommodate pipe displacement, or
movement, generated during operation without adding
excessive stress to the overall system. Movement results from
changes in temperature, load, or any other operating
characteristics that affect the forces at play whether inside
the pipeline or in the environment surrounding the system [1].
Failure to consider the stresses, vibrations or displacements
could result in time-consuming and costly retrofitting or repair
in addition to any labour and materials that might have been
wasted, damaged, or lost. Pipe support assemblies can be
classified according to both their level of engagement (active
or passive) and function (load-bearing, guiding, or anchoring)
[1]. Whether they represent active or passive designs, the
importance of the pipe supports is frequently overlooked,
particularly with respect to how they influence the safe and
continued operation of plant equipment [2]. Two areas of
consequence which can evolve from improper support
performance are the development of unpredictable stress and
elevation changes in the connected equipment [2].
Furthermore, these two general problem areas are often the
result of four broad categories acting independently or in
various combinations [2]. They are;
INTRODUCTION
Every component of a piping system has a role to play.

Making sure a system can meet functional and operational
requirements efficiently requires that designers thoroughly
account for each component's design from the conditions
during installation (cold) to those during system operation
(hot). Pipe supports are structures that suitably support pipes
Design (product-specific deficiencies or an oversight

in their application)
Installation (supports improperly positioned or
calibrated)
Fabrication (poor workmanship/quality)
Service (hostile environments, shock loading).
Critical piping and pipe support failures have occurred, which

through proper inspection and maintenance could have been
avoided. Periodic piping system walk downs, examinations
and suitable modifications can enhance plant safety, reliability
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and operating life. The high costs associated with repair,

replacement and shutdown time can also be avoided.
The solvent de-waxing Unit (SDU) of Haldia Refinery,
Indian Oil Corporation Limited was commissioned in the year
1976 along with other lube units for production of lube oils.
The unit has been divided in three separate sections
Ammonia section including chillers, filter house section
including vacuum compressors and exchanger, pumps and
column section. The present study was carried out to assess
the condition of the structural bracket supports for the three
tier piping system at an elevation ranging from 5.0m to 8.0m
along north side of the filter house section structure, which are
in severely corroded and deteriorated condition. The study
carried out by Engineering Services department (civil section)
also includes recommendations and proposed corrective
measures for repair and restoration of the damaged supports.
assess the present condition of the structural piping supports.

The support condition of piping along northern side of Filter
house in SDU was found in severely corroded and damaged
condition. The support beams in most cases was found
dislodged from the connection with main column of the
structure. The load bearing structural beams and angles were
found in severely perforated condition. At a few places,
although an external temporary arrangement has been
provided to take the load of the piping, but no proper
foundation has been provided to these temporary supports.
The existing column layout of the filter house structure in a
grid pattern has been shown below for reference (Fig. 1).
II.
WALKDOWN INSPECTION AND OBSERVATIONS
The important observations during detailed walkdown

inspection of the pipe supports and structures along north side
of Filter house section of the unit has been mentioned below;
A. Study Area
Haldia is one of the most rapidly growing towns in West
Bengal and is on the deltaic tidal range of the Ganga basin. It
is located at a distance of 125 km South-West of Kolkata and
50 km from the Bay of Bengal at the confluence of three rivers
Hooghly, Haldi & Rupnarayan in East Midnapore district.
Haldia is located at 22.03N latitude & 88.06E longitude and
has an average elevation of 8 meters above mean sea level
(msl) [3]. Haldia is also one of the biggest ports in the Eastern
region and a focal point for industrial development in West
Bengal.
Average annual rainfall over Midnapore district during
2007 2011 is 1680 mm and average rainfall during southwest
monsoon season (July October) is 1288 mm [4]. Haldia
Refinery and its township area fall under deltaic and residual
soil areas. The soil of the region is brackish, coastal saline in
nature and close proximity with river often introduces salinity
in the fresh water. Haldia Refinery also falls in the most
severe zone in atmospheric corrosivity map of India. Hence,
vulnerability to corrosion related failures is significantly high
in the region.
Bracket support for pipes in Grid-26A has been

provided from a non-load bearing structural member.
The bracket support for pipes should be preferably
provided from the main structural column, for better
structural stability. Also, the bracing should be
provided from the end of the overhang portion of the
bracket.
The insulation for the pipes was found severely

damaged in many locations. At places, the insulation
blocks have fallen of the pipe. The aluminum foil
cladding was also in damaged condition. For the two
larger dia. pipes in 2nd and 3rd tier, the metal band
joints were severely damaged at most locations. In a
few cases, the metal band joints were found
dislodged from the pipes.
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The temporary support provided to the pipelines was

by means of using a slender member (i.e. high
unsupported length), which is structurally not
recommended. Also, foundation provided to the
temporary support appeared improper.
The structural members used for supporting the two

larger diameter pipes in the upper tiers have totally
corroded away at many locations and also the
supports were wrongly provided viz. by extending a
bracket from a member meant for only supporting a
B. Piping system walkdown inspection and observations

A site visit for walkdown inspection was carried out to
Fig. 1. Existing column layout of the filter house structure in grid pattern.
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small walkover or extending a L shaped bracket

from a member meant for only supporting grating &
platform load. Such arrangements are structurally
unstable and not recommended.
At 1st floor level of the Filter House, towards

northern side, two parallel pipes were found insulated
together. However, unsupported length (i.e. span of
pipe between two consecutive support) for these
pipes was found to be very high and even the
minimal supports that were present were heavily
corroded and were not providing any support to the
pipe system. The approach to these pipes was highly
congested and appeared to be one of the main reasons
for poor maintenance.
The series of pipes in the lower tier was found
heavily sagged between Column 19A and 21A,
mainly because of dislodgement of the pipe brackets.
Overall, the support condition of piping in SDU was found

in severely damaged condition. The severe corrosion and
perforation of load bearing beams and channels were observed
at most of the locations. Some of the beams are getting
corroded due to the paint peel off because of inadequate
surface cleaning during painting. Re-assessment and
immediate repairs or replacements are to be carried out to
increase service life of these structures. The cold insulation of
piping connected to filters was found damaged in most piping
circuits causing ice formation and leading to severe corrosion
of the pipe and supports due to water dripping. Severe damage
in the fire proofing was observed in the structural beams and
bracings.
III.
Basic maximum wind speed = 55 m/s.
Maximum overhang length for bracket support =

2.0m.
For portal frame, maximum width over which pipe is

spread = 2.0m.
Lowest tier has been considered to be full of pipes

with diameter lower than 300mm.
For other two tiers, single insulated pipe of diameter

higher than 300mm has been considered.
Concrete for RCC work (nominal mix) = 1:1.5:3 mix.
All structural members joint shall be welded joints

with continuous fillet weld.
Pipe loads has been considered as water filled pipes

for the respective diameter and with 75mm insulation
thickness.
Density of insulation material = 260 kg/m3.
B. Member Sections
The member sections for new overhang structural bracket
support system (for an immediate corrective measure as shown
in Fig. 2) are as follows;
Beam (bottom tier)
ISMB 300.
Beam (2nd tier)
ISMB 250.
4
1
Beam (3 tier)
ISMB 250.
Struts (between tier)
ISMC 150.
Bracings
ISA 150x150x15.
rd
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I
STRUCTURAL MODELING AND ANALYSIS
The existing filter house frame structure along with the

overhang structural bracket supports along the north side was
modeled using STAAD.Pro v8i (Select series 4) and the
adequacy of the existing support system was checked. The
support system was then re-modeled considering a new
overhang structural bracket system (for an immediate
corrective measure) as well as considering a reinforced cement
concrete (RCC) portal frame support system (for a long term
sustainable measure).
A. Design Basis
The important design basis considerations are as follows;
Maximum unsupported length of pipes for grid 22A

grid 26A = 8.8m.
Maximum unsupported length of pipes for all other

grids = 6.0m.
Safe Bearing Capacity (SBC) of soil at 2.0m depth =

5.0 t/m2.
Depth of water table below natural ground level

(NGL) = 0.5m.
Fig. 2. Typical view of new bracket support system model in STAAD.Pro
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TABLE I.
The member sections for new RCC portal frame support

system (for a long term measure as shown in Fig. 3) are as
follows;
Main column (square)
400mmx400mm.
Beams (B1, B2, B3)
400mmx300mm.
SUMMARY OF ANALYSIS RESULTS

Pipe Support Cases
Parameter
Unit
Existing
support
New bracket
support
New RCC
support
kN
32.69
27.87
25.26
kNm
15.59
9.34
12.14
Max. nodal displacement
mm
17.55
1.48
4.77
Max. support reaction
kN
280.99
283.35
280.59
Max. support moment
kNm
161.94
147.77
130.18
Member max. stress ratio

in a steel member
0.764
0.656
0.328
Max. nodal reaction at

connection interface
Max. nodal moment at
connection interface
From the tabulated results, it is observed that;

The maximum stress ratio for a steel member was
reduced by about 16.50% in case of new bracket
support, from that in the existing case.
The maximum nodal reaction at the connection
interface of the structural members with the RCC
column of filter house structure was reduced in the
range of 15 23% for the new supports.
The maximum nodal moment at the connection
interface of the structural members with the RCC
column of filter house structure was reduced in the
range of 22 40% for the new supports.
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1
The maximum nodal displacement in a member showed

a significant reduction by about 73 92% for the new
supports.
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I
The maximum support reaction at the foundation level

remained almost similar for all three cases of supports.
However, maximum support moment at the foundation
level was reduced by about 9 20% for the new
supports.
Overall, the member stresses, deflections and support

reactions was found to have undergone significant reduction
for both the new bracket and RCC portal frame support cases.
The proposed modifications would thereby enhance plant
safety, reliability and operating life.
IV.
Fig. 3. Typical elevation for new RCC portal frame support system
C. Analysis and Results

The results obtained after analysis of the support models has
been summarized below (in Table I) for the 3 cases existing
support system, new bracket support system and new RCC
portal frame support system.
RECOMMENDATIONS FOR RESTORATION
A. Site constraints and plant safety considerations

The Solvent de-waxing unit is located in Lube Oil block,
which also consists of other running process units. Therefore,
welding works during execution of work at site would not be
permitted for ensuring plant safety aspects. Fixing of the
prefabricated structure by use of chemical anchoring
technology was thereby envisaged as a workable solution, in
running plant condition.
Also, during walkdown inspection and structural analysis,
it was observed that for the bottom tier of pipes, the length of
overhang portion was 2.0m, and with no provision for future
piping expansion. Therefore, the long term and sustainable
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removed. Removal of damaged support and

installation of new support shall be executed in a
staggered manner, i.e. damaged support shall be
removed from 1st, 3rd, 5th Grid and the same shall
be replaced with new support. Subsequently,
damaged support shall be removed from 2nd, 4th, 6th
Grid and the same shall be replaced with new
support.
measure of a RCC portal frame structure was envisaged

without affecting the existing utilities, but providing an
adequate support to the existing piping system along with
provision for extension in all three tiers. Also, an extended
overhang length of 2.0m could be avoided by the portal frame
arrangement.
B. Recommendations for restoration works
Based on the structural analysis results for the various
support systems, the following has been recommended for
restoration of the damaged pipe supports.
Structural bracket supports for the three tier piping

system along northern side of filter house for grid
18, 19A, 20A, 21A, 22A, 24A and 26A (a total of 7
grids) shall be replaced with new bracket support as
an immediate corrective measure.
The anchor plate used for fixing of the new bracket
support to existing column shall be minimum 16mm
thick. The anchor plate shall be fixed to the existing
main RCC columns using chemical anchor bolts
(M20). Care shall be taken so as to ensure that during
drilling of the holes for anchor bolt, no damage is
caused to the main reinforcement of the column. If
the anchor bolt position and existing reinforcement
location are found to be fouling with each other, the
bolt position shall be suitably adjusted. The chemical
anchor bolts shall be fixed strictly following the
application
procedure
mentioned
in
the
manufacturers data sheet. The concrete surface shall
be completely dry and cleaned thoroughly before
fixing of the chemical anchor bolts.
All new structural supports shall be painted with

epoxy based high build corrosion resistant primer and
paint, after proper surface preparation.
During restoration works, the pipes shall be first
supported using temporary structure. Once, the
damaged supports has been dismantled and removed,
the new supports shall be placed in position. After
completion of the fixation of the new supports as per
proper procedure, the temporary structure shall be
The insulation for the pipe system shall be

thoroughly inspected and replaced.
The sagged pipes shall be restored to position after

the new supports has been placed.
V.
CONCLUSIONS
The restoration of the pipe support system as per the

recommendations shall enable safe and reliable operating
condition for the concerned unit.
It is worthwhile to mention that, piping system support
problems are mainly attributed to improper design of supports
not allowing sufficient flexibility for operational
displacements, improper weight balance, poor material
selection and workmanship, and the failure to consider all
loading conditions. Periodic pipe support system inspection
and survey along with carrying out minor modification works
shall help to increase plant safety and reliability, prevent forced
shutdowns, save repair and replacement costs, and shall extend
the life of piping and other associated equipments.
4
1
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I
For a long term and sustainable corrective measure,

portal frame structure for supporting the three tier
piping system along northern side of filter house for
aforesaid 7 nos. of grids is recommended. The
connection of the new beams to the existing RCC
columns shall be executed by using chemical
anchoring of reinforcement. Embedded depth of the
chemically anchored reinforcement into the substrate
shall be 150mm or 10 times the diameter of the
reinforcement, whichever is higher.
ACKNOWLEDGMENT
We humbly acknowledge the contributions of Inspection

department, Haldia Refinery, Indian Oil Corporation Limited
in carrying out the walkdown inspection of the damaged piping
system supports.
REFERENCES
[1]
[2]
[3]
[4]
A. Geehan, Considering all movement in pipe support design, Piping

Tech. and Products, Texas, USA: Technical Articles, December 2010.
Web address: http://www.pipingtech.com/technical/articles/consideringmovement.htm, accessed on February 08, 2014.
G.T. Mulvaney, Pipe support performance as it applies to power plant
safety and reliability, The National Board of Boiler and Pressure Vessel
Inspectors, Ohio, USA: Technical Articles, National Board Classic
series, 1996.
West Bengal Pollution Control Board (WBPCB), Comprehensive
environmental pollution abatement action plans for the industrial
clusters in West Bengal action plan for Haldia, Kolkata, India:
Technical Publication, p. 3, January 2010.
M.S. Hazra and A. Sahu, Study on effectiveness of recharge structure
form of rain water harvesting in high groundwater table area and coastal
saline environment of Haldia refinery and township, Proceedings of
International Conf. Green Campus Summit 2013, Puducherry, India, p.
70, April 2013.
122 of 446
Design and Development of a Heating- Cooling Belt

using Thermoelectric Refrigeration for Medical
Purposes
Dr. Rahul Dev Misra
Joly Goswami

Silchar, India
rdmisra@gmail.com
M. Tech Scholar, Department of Mechanical Engineering

Silchar, India
goswami.joly@gmail.com
other such harmful fluids, operation in severe environments,

interchangeable direction of operation, independent of position
and temperature controllability to within 0.1C [1].
AbstractThermoelectric Refrigeration is an environment

friendly solid state technology for small scale localized cooling or
heating in various applications such as refrigeration of biological
samples/specimens during tissue preparation and storage and other
medical applications, CPU cooling, electronics and optoelectronics,
infrared detectors etc. This paper presents the designing and
development of a belt using thermoelectric module. The belt, when
tested for heating and cooling applications, showed desirable results
and hence can be expected to be useful from medical point of view for
treatment of joints and muscle pain, sprains, burns, swelling etc.
KeywordsSeebeck effect; Peltier effect; thermoelectric
refrigeration; thermoelectric module; heating; cooling; bismuthtelluride.
I.
S
E
In order to avoid these problems and minimise their effects,

researches have been carried out to develop new eco-friendly
alternatives. Thermoelectric Refrigeration has emerged as a
promising breakthrough in the field of refrigeration and with
the development of various thermoelectric materials, this
alternative refrigeration system has recently attracted
considerable attention of a large number of scientists all over
the world due to their distinct advantages such as lesser
maintenance due to absence of moving parts, reliable and quiet
in operation as there is no vibration, compact and rugged in
construction, long operational life, light weight, no CFCs or
4
1
INTRODUCTION
Conventional refrigeration systems use ChloroFluoro

Carbons (CFCs) and Hydro ChloroFluoro Carbons (HCFCs) as
heat carrier fluids which release carbon dioxide (CO2) and
other toxic gases to the atmosphere causing global warming.
With the rapidly increasing demand for refrigeration in the
fields of surgery, vaccine storage and other medical and
pharmaceutical services, cooling of electronic devices etc.,
there has been tremendous increase in atmospheric CO2
percentage over the past few decades, which in turn is the main
contributing factor towards various environmental threats such
as stratospheric ozone layer depletion and the greenhouse
effect due to the presence of CFCs and HCFCs in the
troposphere. Moreover, these kinds of refrigeration systems
cannot be utilised for remote applications due to the limitation
of use of grid power.
With advancement in the field of thermoelectrics, it has

gained application in a wide range of advanced medical
devices in biomedical engineering. Modern polymerase chain
reaction (PCR) thermal cycles for rapid heating and cooling of
DNA using thermoelectric devices was developed in 1983 by
Kary Mullis, who subsequently won the Nobel Prize in
Chemistry in 1993 for his work and now, PCR has become a
ubiquitous and indispensible method used in medical and
biological laboratories for DNA amplification [2]. Cancer
patients undergoing chemotherapy are susceptible to low white
blood cell count (neutropenia) [3], infection [4], and low red
blood cell count (anemia) [5]. These side effects can lead to
temperature sensitivity, leaving the patient feeling cold [6].
Thus, therapeutic products such as temperature controllable
blankets or couches using thermoelectrics may potentially help
patients cope with these side effects. Hypothermia blankets are
pads that patients rest on during surgery to keep their body at a
certain temperature. Therapeutic hypothermia has been
particularly effective for treatment of neonatal encephalopathy
(brain disorders) [7, 8], and patient neuroprotection following
cardiac arrest [9, 10]. Treatment utilising water blankets, vests,
or wraps dates back to the 1950s. Nonetheless, water blankets
possess certain drawbacks, such as electrical hazards from fluid
leakage [11], which might open opportunities for solid-state
cooling. In such cases, use of thermoelectric blankets with
proper electrical insulation and temperature controlling
mechanism can help in avoiding these problems. Therapeutic
cooling and heating of tissue injuries is also an effective
treatment and has been known to reduce the healing time [12].
Also in the field of professional sports therapies, development
of a wearable thermoelectric heater/cooler can prove to be a
boon for athletes who require constant and immediate therapy
for low-grade tissue injuries in order to allow them to return to
their activities. This kind of temperature controllable jackets or
vests can be very helpful for military personnel and soldiers
during extreme climatic situations.
During various injuries such as burning and swelling, ice
bags called ice packs are commonly used to alleviate the pain
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ab = a b
and in some cases, even to stop bleeding from cuts etc. Again,
in case of muscular and joint pain, hot water bags and such
other heating mechanisms are employed for pain relief. In this
project, a belt is designed such that it can provide both heating
and cooling effect. A thermoelectric module is used as the
basic component of the belt such that by reversing the polarity
of the applied voltage, the desired heating and cooling effect
can be achieved.
II.
(6)
SI unit of ab is volt.
THERMOELECTRIC REFRIGERATION EFFECTS
C. Thomson effect
It is a reversible thermoelectric phenomenon discovered by
Thomson in 1857. When a current passes through a single
conductor having a temperature gradient, heat transfer takes
place [13], which is given by
q / dx = I (dT / dx)
Whenever direct current passes through a pair of

thermocouples with junctions maintained at different
temperatures, five effects are observed: Seebeck effect, Peltier
effect, Thomson effect, Joulean effect and Conduction effect.
(7)
A. Seebeck effect
The first important discovery relating to thermoelectricity
occurred in 1821, when a German scientist, Thomas Seebeck,
found that an electric current would flow continuously due to
generation of electromotive force (emf) in a closed circuit
made up of two dissimilar metals provided that the junctions of
the metals were maintained at two different temperatures. The
emf output is given by
where q/dx is the Thomson heat transfer, being Thomson

co-efficient having unit volt per unit kelvin, I is the flow of
current through the conductor in amperes and dT/dx is the
temperature gradient along the conductor in kelvin per meter.
Zemansky [14] using first and second laws of
thermodynamics obtained the relation between Seeback and
Peltier coefficient as
ab = abT
(8)
Using (8) into (5), it is found

E T
(1)
q = ab IT
where E and T are emf output (volt) and temperature

difference (kelvin) of the two junctions respectively. This
generation of emf is known as Seebeck effect. The
proportionality constant of (1) is denoted by
ab = E / T
where ab, known as the Seebeck co-efficient or thermoelectric

power [13], is the coefficient of a pair of different metals (say
A and B) such that
ab = a b
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E
SI unit of ab is volt per unit kelvin.
(4)
The proportionality constant of (4) is called Peltier coefficient ab, which is the co-efficient for two different metals
(say A and B), such that
q = ab I
D. Joulean effect
When an electrical current flows through a conductor, there
is a dissipation of electrical energy (qj). According to Joule this
is related as
(3)
B. Peltier effect
In 1834, French watchmaker, Jean Charles Athanase
Peltier, discovered that the passage of a current through a
junction of two dissimilar conductors caused a temperature
change, i.e. if direct current is passed through a pair of
dissimilar metals, there is heating at one junction and cooling at
the other depending upon material combination [13]. This is
called Peltier effect and it is the main concept behind working
of a thermoelectric refrigerator. He found that the heating or
cooling rate (q) is directly proportional to the current (I)
qI
4
1
From (9), it is evident that to get high value of cooling or

heating, ab should be high, otherwise large current would be
required. But high current will render high heat generation due
to Joulean effect [13].
(2)
(9)
qj = I2R
(10)
where I and R are the current (amperes) and electrical

resistances (ohm) respectively. This effect is known as Joulean
effect [13].
E. Conduction effect
If the ends of any element are maintained at different
temperatures, there is heat transfer from hot end to the cold end
and is related as
qcond = U (Th Tl)
(11)
where qcond is the rate of heat transfer in watts per unit square
meter, U being the overall conductance in watts per unit square
meter per kelvin and Th, Tl are the high and low temperatures in
kelvin respectively. If there is only one conductor of crosssectional area A (square meters), conductivity k (watts per
cubic meter per kelvin) and length L (meters), the overall
conductance is given by
(5)
U = kA / L
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(12)
III.
of a present thermoelectric refrigerator is typically less than 0.5

when operating at temperature difference of 20C.
SYSTEM DESCRIPTION
Emil Lenz in 1838, demonstrated that water could be frozen

when placed on a bismuth-antimony junction by passage of an
electric current through the junction. He also observed that if
the current was reversed the ice could be melted. In 1909 and
1911, Altenkirch give the basic theory of thermoelectrics. His
work explained that thermoelectric cooling materials needed to
have high Seebeck coefficients, good electrical conductivity to
minimize Joule heating, and low thermal conductivity to
reduce heat transfer from junctions to junctions. In 1949,
theory of semiconductor thermo-elements was developed and
in 1954, Goldsmid and Douglas demonstrated that cooling
from ordinary ambient temperatures down to below 0C was
possible.
A large number of thermocouples are connected electrically
in series to form a module which is the main component of a
thermoelectric cooler or heat pump. It is typically composed of
two ceramic substrates that serve as a foundation and electrical
insulation for p-type and n-type semiconductor pellets that are
connected electrically in series and thermally in parallel
between the ceramics. The ceramics also serve as insulation
between the modules internal electrical elements and a heat
sink that must be in contact with the hot side as well as an
object against the cold side surface. Electrically conductive
materials, usually copper pads attached to the ceramics,
maintain the electrical connections inside the module. Solder is
most commonly used at the connection joints to enhance the
electrical connections and hold the module together [15]. Both
the p-type and n-type materials have different free electron
densities at the same temperature. P-type dice are composed of
materials having a deficiency of electrons while n-type has an
excess of electrons. As current flows up and down through the
module it attempts to establish a new equilibrium within the
materials. The current treats the p-type material as a hot
junction needing to be cooled and the n-type as a cold junction
needing to be heated. Since the material is actually at the same
temperature, the result is that the hot side becomes hotter while
the cold side becomes colder. The direction of the current will
determine if a particular die will cool down or heat up. In short,
reversing the polarity will switch the hot and cold sides.
The cooling effect of a semiconductor material depends on

a combined effect of the materials Seebeck co-efficient (),
electrical resistivity () and thermal conductivity () over the
operational temperature range of cold and hot side named as
figure of merit (Z) and expressed as
Z = 2 / ()
Higher the value of figure of merit, better are the

thermoelectric properties of the material. Shortly after the
development of practical semiconductors in 1950s, Bismuth
Telluride began to be the primary material used in the
thermoelectric cooling and it is the most commonly employed
material for commercially available thermoelectric coolers.
Materials based on bismuth-telluride mixed crystal and
modification of Bi2Te3, have the highest figure of merit and
most suitable in refrigeration. In addition to Bismuth Telluride,
there are other thermoelectric materials including Lead
Telluride (Pb-Te), Silicon Germanium (Si-Ge), and BismuthAntimony (Bi-Sb) alloys that may be used in specific
situations.
Thermoelectric systems are mainly classified as single
stage and multistage systems.
The coefficient of performance (COP) used to define the

cooling efficiency is given by the heating or cooling effect
achieved per unit energy supplied or work input. For cooling,
COP is given by
COP = Qc / (Qh Qc)
(13)
4
1
A. Single stage system

A simple thermoelectric refrigeration system consists of a
single-stage semiconductor thermoelectric device, which is
composed of a large number of p-type and n-type
semiconductor elements connected electrically in series and
thermally in parallel. The thermoelectric device is insulated,
both electrically and thermally, from its surroundings except at
the junctionreservoir contacts.
S
E
Conventional thermoelectric devices have various

specifications for various applications; the dimensions vary
from 3 mm square by 4 mm thick to 60 mm square by 5 mm
thick, the maximum heat pumping rate from 1 to 125 W. The
maximum temperature difference between the hot and cold side
can reach 70C. The devices contain from 3 to 127
thermocouples. The lowest practically achievable temperature
is about 100C.
(14)
B. Multistage system
As the COP of single-stage thermoelectric refrigerator
decreases with the increase of temperature ratio of the heat sink
to the cooled space [16], multi stage systems are developed
where one group of thermoelectric modules are stacked on top
of the other, which is connected thermally in series. A typical
multi-stage thermoelectric cooler is a pyramid stack of singlestage coolers. The pyramid shape is used because the stages
closer to the heat sink must remove the heat dissipated by the
stages closer to the heat source in addition to the heating load
of the heat source or cooling target. It is like a cascading
system where, the hot side temperature of one stack is the cold
side temperature for the adjacent stack. Multistage
thermoelectric modules are often used for extending operating
temperature range of the thermoelectric refrigeration. However,
the performance of the modules depends on not only the
physical properties of the thermocouples, but also the
configuration of the thermoelectric modules, such as the
allocation of the junction temperature difference in the module,
the length and number of thermocouples [17].
where Qh and Qc are, respectively, the rates of heat rejection

from the device to the high temperature heat sink and input
from the low temperature cooled space to the device. The COP
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IV.
DESIGN AND DEVELOPMENT OF THE THERMOELECTRIC
VI.
BELT
CONCLUSION
The present study develops a design method of a simple

belt using a thermoelectric module. The model has been
designed and modified considering various constraints and
resource availability. The belt, when tested using soaked
sponge, a heating effect of 40-50C was obtained. When tested
using a fan and without sponge, a cooling effect of 12-14C
was attained. As a result, it can be used for pain relief in case
of joints and muscle pain as well as for burns, swelling,
bleeding etc. Further experimentation is going on for better
results and modification of the belt. Thus, this belt can be
expected to be quite helpful for medical purposes as it is very
handy and easy to operate and maintain.
The thermoelectric belt shown in Fig. 1 has been fabricated

as a prototype. The module used is a single stage bismuthtelluride module which is powered with a regulated power
supply and is proposed to be powered using mobile charger.
The cost of the thermoelectric module is Rs. 1200. The design
consists of sponge, velcro, straps, aluminum sheet and
thermoelectric module. Rubber is used to provide flexibility
and to hold the module in position with the strap. Aluminium
sheets are used to properly conduct the heat and the velcro
holds the sponge in position. This thermoelectric belt is
designed to provide wet hot water massage in case of muscle or
joint pain and cold massage for burns etc. The main advantages
of this belt are portability, easy to use, simple in construction
and reliable in operation.
ACKNOWLEDGMENT
The authors are pleased to thank Mr. A. Agarwal, Mr. D.
Borah, Mr. S. Dutta and Mr. S. Kakoti, UG students
(Mechanical Engineering, NIT Silchar), for their help and
support in the fabrication and experimentation.
REFERENCES
[1]
[2]
[3]
Fig. 1. Thermoelectric heating-cooling belt
EXPERIMENTATION AND TEST RESULTS
The model is powered from a regulated power supply and

the experimentation details are as follows:
S
E
Module size = 40mm40mm3.8mm.

Time of use = 8-12 minutes
For heating:
Voltage = 5.7 V
Current = 0.80 A
[5]
[6]
[7]
[8]
Temperature = 40-50C
[9]
For cooling:
Voltage = 1.5 V
[10]
Current = 0.50 A
Temperature = 12-14C
[11]
The test is carried out using a soaked sponge for heating

effect and the temperature obtained is within the range of 4050C. So, it can be easily used as a first aid measure during
sudden cramps, sprains etc. for pain relief. In case of cooling,
the test is carried out without using the sponge and a fan is used
to continuously remove the heat from the hot side of the
module. As a temperature of 12-14C is obtained
experimentally, the belt can be used for burns, bleeding etc.
4
1
A
[4]
V.
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(2007) 8993.
[15] Prof. Vivek R. Gandhewar, Miss. Priti G. Bhadake, Mr. Mukesh P.

Mangtani, Fabrication of solar operated heating and cooling system
using thermo-electric module, International Journal of Engineering
Trends and Technology (IJETT) Volume 4, Issue 4- April 2013.
[16] Jincan Chen, Yinghui Zhou, Hongjie Wang, Jin T. Wang, Comparison
of the optimal performance of single and two-stage thermoelectric
refrigeration systems, Applied Energy 73 (2002) 285298.
4
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127 of 446
Power Line filter Design considering losses and parasitic

characteristics of Passive lumped components
Shashwatee Paul1,
1,
Sri.S.Srinivasa Rao2
1,
Gitam University, Gandhi Nagar, Rushik

ikonda
Visakhapatnam-530
530 045, AP, India
1.
Shashwatee.paul@gmail.com
Abstract-A new methodology to design power line filter,

using the conventional technique of composite low pass filter
has been presented. It is based on a model where common
mode and differential mode interference
rference is separately
considered into the filter design. In this paper, the filter design
process is carried out, by considering the effect of non
non-ideal
behaviour of passive lumped components. A proposed model of
the power line filter design, based on the parasitic effect of the
passive lumped elements is presented. The filters circuits were
first simulated using Advanced design software (ADS) based on
S-parameter
parameter to verify the basic filter response. The simulation
result is compared with the cases, where the parasitic effects of
passive lumped elements are not taken into account.
Gitam University, Gandhi Nagar, Rushikonda

Visakhapatnam-530
530 045, AP, India
2.
srinu16ssr@gmail.com
Keywords- power line filter, composite filter, Insertion los,

common mode, differential mode, parasitic elements.
The difference in the direction of propagation of these

coupling currents along the phase and neutral line, leads to
differential mode (
) current and common mode(
)
current. Therefore design of EMI filters demand decoupling
of these two modes[1].This
This paper attempts to describe a
design technique for Power Line filter using classical design
technique. The main differences between aan EMI filter and a
conventional filter are as given below:
Unknown noise source and load impedance.
Two modes of propagation i.e.CM
i.e.
and DM are to
be considered.
High power handling capacity
capacity.
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A. Characterization of CM and DM currents
1. INTRODUCTION
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Switching and modulation techniques are used for

efficient use of electrical power. Widely used Switched
mode power supplies (SMPS) for powering todays
electronics loads is a most common example. Unfortunately,
all the power control techniques deliberately
deliberatel distort
sinusoidal wave form of power frequency and generate
unwanted interfering signals. Obviously, they all are often
cited as one of the main source of conducted emission (CE).
Usually the power supplies which are using controlling
techniques cannot comply with the strict electromagnetic
compatibility (EMC) regulations. In order to meet the limit
set for conducted EMI, power supplies require a filter at its
input. Conducted EMI generated by one equipment gets
coupled to another equipment mostly through power line
cables. CE can be controlled by using filters and increasing
line impedance. Conducted EMI has two components: The
common mode (CM) interference and differential mode
(DM) interference. The coupling mechanisms of these
interferences are different.[1]
The currents flowing through the phase and neutral

conductors are depicted as ( )and
and ( ). These currents can
be decomposed into two auxiliary currents, which are
referred to as the common mode current (
) and
differential mode current (
) [2
[2]. The propagation of
interferences through phase, neutral and groun
ground conductor is
shown in Fig.1 [3].
Fig. 1: Relationship between circuital and modal voltages and currents.

The CM and DM currents separately can be determined
from the conducted emission measurement data:
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The measurement is carried with Line impedance

stabilising network (LISN) and the the conducted emission
test is viewed in the EMI Test Receiver. The measurement
data of the test
est Receiver is shown in the Fig. 4.From the
data of conducted emission test, it can be viewed that the
peak level of emission exists at 80 dB V. But according to
the standard specification, the limitation of the emission
is40dB.Therefore
40dB.Therefore according to the definition of Insertion
loss, the filter must be designed
esigned in such a manner, that the
attenuation of the power linee filter must be more than 40dB
40dB.
(1)
(2)
Input impedance of measuring instruments is mostly
50.Therefore,the CM and DM Voltage can be defined as:
(3)
(4)
The equivalent circuit for the conducted

measurement setup is shown in the Fig. 2 [4]
emission
Fig2: Equivalent circuit of the conducted emissions measurement.
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B. Conducted emission measurement

An example of a measurement setup for conducted
emission tests according to CISPR 11/22is carried out at the
centre of SAMEER Kolkata as shown in Fig.
Fig. 3
3. The EUT
is supplied by the power source through an artificial mains
network (AMN).It consists of two line impedance
stabilization networks (LISNs), one for phase line and the
other for neutral line. Measurement is carried out in
frequency domain the graphical display of the conducted
emission is shown in the EMI Receiver.
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Fig. 4EMI Receiver data

C. Determination of Insertion Loss
Basic definition: The Insertion loss (IL) as a function of
frequency is the most fundamental characteristic of a filter and is
defined by [5]
IL (dB) = 20
(5)
Where, = the output voltage of the signal source without the

filter connected to the circuit
Fig 3: Measurement set up at SAMEER Kolkata
= the output voltage of the signal source at the output terminal

of the filter with the filter inserted in the circuit.
129 of 446
2. FILTER DESIGN PROCEDURE
and after that, the parasitic capacitance become more

dominant. The impedance of the inductor is given by:
A. Role of parasitic effects of passive elements

B. Filter Design Process

In this paper, we present a design methodology to
realize low pass filter using a unique combination of
constant-k, m-derived section. In this paper, we present a
design methodology to realize low pass filter using a unique
combination of constant-k, m-derived section. The
significance of constant-k filter is such that the product of
(series impedance) and (shunt impedance) is a constant
real term. Hence the power delivered by the source is mostly
absorbed by the load. But at the same time it has some
demerits. So, the m-derived filter section is a modification
of the constant-k section. With this, the sharpness of the cutoff is increased. And the prototype section (constant-k)
provides the necessary attenuation at frequencies remote
from cut off. This type of LPF is called composite filter[5].
It is designed separately for the differential mode filter in
the frequency range of 150 kHz to 1 MHz and the common
mode filter in the frequency range of 1 MHz to 30 MHz.
The model of equivalent circuit of capacitor is as shown in

the fig (5). The lead inductance of the capacitor can be
determined from its self resonant frequency (SRF). The
impedance of the capacitor is given by[5]:

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Inductor: The equivalent circuit of an inductor and the non

ideal behaviour the inductor can be represented as shown in
Fig. 6[5]
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Constant-k Section: The value of Capacitance and Inductance is

determined as
(6)
For low-frequency, a capacitor appears as high impedance,

but for HF signals, such as noise currents in the 0.15 to 30
Mhz range, it is low impedance. Therefore, capacitors are
connected in parallel with the noise source.
(7)

Fig5: Equivalent circuit of capacitor including its non ideal effect.

Capacitor: The mathematical models that yield considerable

insight into the non ideal behaviour of components have
been used. In the conducted emission range (150 kHz30
MHz), the behaviour of these elements is far from the ideal.
The model of the equivalent circuit of Capacitor consists of
a series combination of series resistor ( ), lead inductor
( ) and capacitor as shown in the Fig.5.

(8)

M-derived Section: The cut-off frequency ( " ) and the infinite

attenuation occurred at frequency ("# ) is defined as

"#
&
"

(9)
The independent element values of m-derived LPF is obtained as

'
&
(10)
! '
()
''
&
*&
(11)
(12)
Matching section: This Circuit can be further modified using
the Matching section i.e. bisected- + section of the Mderived section that are implemented as a terminating Half
Section. The lumped elements of the terminating half
sections at the input and output port of the low pass filter
can be determined as
Fig6:Equivalent circuit of an inductor including its non ideal effect.

Unlike capacitor, the frequency response of the inductor
shows that the inductor is dominant unto a certain frequency
'
&

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(13)
(14)
(15)
(15
C. Differential mode Filter
The composite low pass filter is designed for the
differential mode filter with the cut off frequency : 50 khz
and infinite attenuation pole
:1Mhz, as shown in
Fig.7.The
The design value of the components is shown in
Table 1.The
The direction of propagation of DM current is
considered while designing the circuit.
Table 1 Design components of Filter circuit
Mode
L
C
DM
318.47H
127.39 nF
50kHz
CM
47.77H
19.1nF
333.33khz
Fig9:Simulation result for DM & CM composite filter.

The simulation result of the DM filter has an attenuation of
84dB at the 1 MHz frequency. While the CM filter shows aan
attenuation of 125 dB at the frequency of 30 MHz.
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3. ROLE OF PARASITIC EFFECTS
Fig7:Circuit of lumped element DM composite filter.
D. Common mode Filter
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In this circuit, thee series inductors of DM section are

connected in series with the circuit of CM filter. It is based
on the propagation of CM current from source to load. The
design is carried out at a cut off frequency ): 333 kHz and
maximum attenuation pole (
30 MHz as in Fig. 8.
The non ideal response of the filter can be noticed

from the frequency characteristic graph of the Common
mode filter at higher frequency. It shows a ripple formation
in the frequency response of the graph. This non ideal
behaviour of the filter characteristic is due to the effect of
parasitic components of the lumped elements (capacitor &
inductor). The non ideal response of the individual passive
components was simulated as shown in Fig. 10 and Fig.
11.
Fig8: Circuit of lumped element CM composite filter.

E. Filter Performance
ideal behaviour of Inductor
Fig 10: Simulation result for non-ideal
The differential mode & common mode circuits are

simulated in ADS based on S-parameter as shown in Fig.
9.
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4. MODIFIED FILTER CIRCUIT.

A. Modified differential mode filter design
In order to obtain the desired frequency response and the
Insertion loss of the differential mode filter (DM), the
original circuit of the filter is modified by adding the
parasitic components in the basic equivalent circuit of the
passive lumped elements(inductor and capacitor).
capacitor).The ADS
schematic circuit of the differential mode filter ddesigned as
shown in Fig. 13.
Table 2 Parasitic components of modified filter circuit
Components
5.6 nH
Fig11:Simulation result of Capacitor

From the simulation result of the passive elements, it is clear
that over a certain range of frequency, one
ne component
maydominate over the other. This is due to the result of
parasitic effect of the passive element (capacitor or inductor)
[6]. Hence in order to reducethe total conducted emission at
a particular frequency, the dominantcomponent at that
frequency must be reduced.The
he level of a particular
(dominant) component can be reduced, by changing the
value of a power supply filter element
nt that affects that
component [7]. Each of the passive elementscan
can have good
high frequency characteristics due to the pres
presence of the
ever present parasitic. As a result of their presence, any
suppression component resonates at some frequency,
namely the self-resonant frequency (SRF), given by
The concentration is mainly on their rolee in suppression of

conducted emissions and on their non ideal behaviour. Over
a certain range of frequency, the total current of interference
is the resultant of the dominant component
nent current as shown
in Fig. 12.
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(16)
100pF
Fig13:ADS schematic of DM filter
B. Modified Common mode filter design

In the similar manner, Common mode section of the filter is
also modified by considering the parasitic components of
the passive lumped elements as shown in Fig. 13
Fig12:Illustration of the dominant component

mponent of current over a particular
frequency range of the conducted emission test.
Fig13: ADS schematic of DM filter
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5. SIMULATION RESULT OF MODIFIED CIRCUIT.
[2]
The final result of the power line filter is shown in Fig.
14
and 15. Now after tuning the circuit with the modified
filter section, the frequency response is equivalent to the
practical filter response.
[3]
[4]
[5]
[6]
[7]
V.Prasad kodali, Engineeringg Electromagnetic Compatibility,

The
he institute of Electrical and Electronics Engineers, Inc, New
York, 1996.
Konstantin Kostov, Design and Characterization of Single
SinglePhase Power line Filters, Helsinki University of Technology,
Technology
2009.
Konstantin
antin Kostov and Jorma Kyyra, Insertion loss and
Network parameters in the Analysis of Power line Filters,
Nordic Workshop on Power and Industrial Electronics, Espoo,
Finland, June 2008.
D.M. Pozer, Microwave Engineering, J.Wiley & Sons, Inc,
2001.
Albert Miquel Sanchez, Joan Ramon Regue, Miquel Ribo, Pablo
Rodriguez-Cepeda and Francisco Javier Pajares,A Modal
Model of Common-Mode
Mode Chokes for Cond
Conducted Interference
Prediction, IEEE Trans Electromagne
lectromagnetic compatibility, Vol.52,
no.3, August 2010.
Clayton R.Paul, Electromagnetic compatibility,J.Wiley & Sons,
Inc, 2006.
Fig14:ADS schematic of DM filter
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1
Fig15:Simulation result of the modified CM

M filter.
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6. CONCLUSION
From the simulation result of the filter circuit it is noticed

that, design of power line filter using constant-k
constant and mderived composite low pass filter gives a better frequency
response.The
The design of power line filter with composite LPF
is simple and hence it avoids any complicacy.
complicacy From the
simulation result of the modified filter circuit, it is clear that
the desired attenuation is achieved within the range of
conducted emission. Further the
he performance of the filter
response are enhanced when
hen the parasitic effect of the
lumped elements are considered in the modified circuit.
circuit
REFERENCE
[1]
Mohit Kumar and Vivek Agarwal, Power line filter Design

Des
for
Conducted EMI using Time-domain
domain measurements, IEEE
Trans. Electromagnetic compatibility, Vol.48, NO.1, February
2006
133 of 446
CFD analysis of cambered airfoil for H-rotor VAWT

Shikha Bhuyan
Dr. Agnimitra Biswas
M.Tech Scholar, Department of Mechanical Engineering

Silchar, Assam, India
shikhabhuyan@gmail.com

Silchar, Assam, India
agnibis@yahoo.co
Abstract Wind energy as a clean, environment friendly and

cost effective renewable energy resource, is taken into
consideration by many developed and developing countries as a
promising means to provide electrical energy. In order to
economically gain the maximum energy from the wind turbine,
the performance of the blade profile must be evaluated. This
paper presents CFD (computational fluid dynamics) based 2D,
steady state simulation for 4 NREL cambered profiles S818,
S825, S826 and S831 at various wind speeds and angle of attacks.
Maximum lift coefficients of the blade profiles are obtained at
stall angle of 150. The lift coefficient is increased in the angle of
attack range of 00 to 150 for all the proposed velocities, in which
no stalling is documented. It is concluded from the results that
NREL wind turbine profile S818 is the most efficient blade
profile and suitable for working at low wind speeds.
Keywords2D; CFD; blade profile; wind speed; angle of
attack.
I.
S
E
Certain renewable, such as geothermal and hydroelectricity,

clearly reduce green house gases, because they are reliable and
not intermittent. However, hydroelectricity production can be
diminished substantially and thus become intermittent because
of drought. This occurred in Venezuela, highly reliant on this
source of electricity, in April 2010 [1]. Unlike solar power,
which remains extremely expensive, wind power is cost
competitive with fossil fuels such as coal, and is becoming
more so. Indeed, the cost of wind-generated electricity has
dropped by more than 80% since the early 1980s. A modern,
state-of-the-art utility-scale wind turbine can generate
electricity for 4 cents per kilowatt-hour, which is nearly
competitive with fossil fuels (AWEA, Wind Energy and
4
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INTRODUCTION
The desire to reduce dependence on fossil fuels and

adversities in climate change is resulting in numerous policy
incentives for renewable energy. Debate has raged for decades
on the role of carbon dioxide in climate change. It is often
assumed that renewable energy technologies, because they are
not powered by fossil fuels, will reduce CO2 contribution to
overall energy use. The unspoken hypothesis is that having
these technologies replaces coal, oil and natural gas will
gradually lower the ambient level of CO2, and thus alleviate or
even eliminate possible climate change. However, a number of
studies suggest because of the intermittent nature of some
renewable technologies, CO2 reduction will be less than
presently anticipated by their proponents.
Economic Development). As other energy sources become

more expensive, and wind technology continues to improve,
wind will become even more cost competitive. Wind energy is
found to be growing industrial sector fuelled by economic
environmental and political motivations and is now a key
sector for employment and investment. Research work is
ongoing in both academic and industrial centres to improve
the efficiency and reliability of the wind turbine devices that
will service the growing energy demand [2]. Although
considerable progress in wind energy has already been
achieved, the present technical design relying exclusively on
horizontal axis turbines is not yet adequate to develop reliable
wind energy converters, particularly for conditions
corresponding to low wind speeds and/or urban areas. Vertical
Axis Wind Turbines (VAWT) like the Darrieus turbine appear
to be particularly promising for such conditions, but suffer
from a low efficiency compared to horizontal axis turbines.
Additionally, VAWT are not always self-starting, which is a
major drawback. As an alternative derived from the standard
configuration, Straight Darrieus wind turbines (called also in
what follows H-rotors, Fig.1) have even more attractive
characteristics. Instead of curved rotor blades, straight blades
are used, directly connected to the rotor shaft by struts. The Hrotor is also able to accept wind from any direction; it is very
easy to build, install and maintain, leading to extremely low
costs.
There are two different physical principles to extract power
from wind. The airfoil drag method is based on the wind drag
force incident on a wind-blown surface. The second principle
also referred to as aerodynamic or airfoil lift principle, which
is based on flow deviation inside the rotor, is at present
predominantly applied for wind energy conversion.
Fig. 1. H-Darrieus rotor [3]
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The implementation of an innovative aerodynamic control

technique in wind turbines is a point under extensive
investigation since the conventional wind turbine blade
technology is reaching its limits. The main effort of the wind
turbine industry in the field of aerodynamics related to the
development of blades which offer better performance,
increased reliability and faster control of larger wind turbines
[4].
II.
PURPOSE OF PRESENT WORK
The airfoil is one of the fundamental parts of a rotor blade

design. Its purpose is to induce suction on the upper surface of
the blade to generate lift. Drag is also generated perpendicular
to the lift and its presence is highly undesirable. In order to
maximize the power coefficient , Cp and the torque generated,
the lift coefficient, Cl and the lift to drag ratio (L/D ratio) for
the airfoil must be maximized [5, 6, 7]. Beyond pure
aerodynamic studies of the airfoil, some attempts have already
been documented to improve the performance of the Darrieus
turbine; the main ideas and proposed improvements are
summarized below.
Fig. 3. NREL wind turbine blade profiles [10,11,12].
Raciti Castelli et al. studied the influence of airfoil

asymmetry on VAWT performance and reported higher
performance for a cambered profile ( NACA 0012) with Cp of
0.447,4.2% more than symmetric one[8]. Mohamed A. Sayed
et al. analyzed different wind-turbine-blade profiles using
finite-volume method. The aerodynamic simulations were
performed on two-dimensional S-series wind-turbine-blade
profiles, developed by the National Renewable Energy
Laboratory (NREL), using a Computational Fluid Dynamics
(CFD) method based on the finite-volume approach. They
found that at low AOA the lift coefficient can be increased and
drag can often be decreased by using a cambered airfoil [9].
As a consequence, the present work concentrates on 4

cambered airfoil profiles by NREL namely S818, S831, S825,
S826 shown in Fig. 3 [10, 11, 12], leading to the best possible
performance of a Darrieus turbine.
If the airfoil is set at an angle of attack in a fluid flow and

according to the standard airfoil theory, it will generate a lift
force FL normal to the free stream and a drag force FD in the
direction of the free stream. These lift and drag forces can then
be resolved to get the tangential force FT and the axial force FN
as shown in Fig. 2. The tangential force FT has the
instantaneous responsibility of the torque and the power
outputs from the Darrieus turbine [3].
So, to carry forward the present work, numerical simulation

techniques, based on Computational Fluid Dynamics (CFDs)
software technologies, are used to investigate the response of
airfoils against the blowing wind.
4
1
The geometric parameters that affect the aerodynamic

performance of an airfoil include: the leading edge radius,
mean camber line, maximum thickness and thickness
distribution of the profile and the trailing edge angle, as shown
in Fig. 4 [13].
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There is nevertheless no proof that NACA profiles,

automatically lead to the best possible performance. An
alternative geometry might be much better, in particular for
such very specific applications.
Fig. 4. Airfoil nomenclature [13].
III.
NUMERICAL ANALYSIS WITH ANSYS 14.0
A numerical analysis is performed on the airfoil using

Ansys ICEM-CFD and Fluent software at angle of attacks
ranging from 0 to 45 at velocities from 4 to 12 m/s at equal
interval of 2 and 15 m/s with a turbulence intensity of 10%. A
hexahedral mesh is generated around the airfoil with a total of
500,000 nodes as shown in Fig. 5.
0
Fig. 2. Forces and velocities distribution on Darrieus rotor airfoil [3].
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lift and drag distribution of S818 airfoil against angle of attack

ranging from 0 to 45 at wind velocities of 4,6,8,10,12,15 m/s.
0
Fig. 5. The final mesh.
The mesh (as shown in figure 5) is based on structured Ogrid and C-grid topology which is then subsequently converted
to a high quality unstructured grid to optimize spatial
discretization and meet turbulence model requirements [14].
Mesh density near the leading and trailing edges was increased
to capture peak suction, stagnation point, possible transition
and flow separation. A transitional SST turbulence model was
chosen. The transitional model was done with Gamma Theta
Model. The boundary conditions are kept with air as the flow
medium having a density that corresponds to a temperature of
250C. The walls around the 2D airfoil are assigned no slip
condition. For the convergence criteria, the residual type of
RMS and residual target value was set to 10-6.
The solver settings used were as follows:
Steady State Density Based solver with absolute
velocity formulation;
Fig. 6. The lift and drag coefficient of S818 NREL profiles at different wind
speeds. (a) Wind speed of 4 m/s, (b) wind speed of 6 m/s, (c) wind speed of 8
m/s (d) wind speed of 10 m/s,(e) wind speed of 12 m/s and (f) wind speed of 15
m/s.
Transitional Shear Stress Transport (SST) model

4equations;
Boundary condition setting on fluid domain as inlet,
farfield and outlet (velocity inlet, wall and pressure
outlet respectively.)
method
for
Least Squares Cell Based method for gradient;
Control monitor of the iterative process to check

convergence;
Initialization and setting of post processing parameters.
IV.
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First order upwind discretization

Momentum and turbulence equations;
It is seen that with increase in velocities, the values of Cl

also increase. It increases linearly with incurring flow being
smooth and attached over most of the upper surface of the
airfoil. Past 150 angle of attack, there is a dramatic decrease in
Cl indicating that 150 is the stall angle which is also true for
other 3 profile Similarly, the drag coefficient, Cd increases with
increase in . From 140 onwards there is a rapid increase in Cd
values, indicating that the flow has separated from the upper
surface well before the trailing edge. A lower angle of attack is
therefore suitable for the airfoil to operate at to safeguard it
from stalling.
Fig. 7 shows the result of torque coefficient(Ct) for S818
NREL profile which is plotted against the angle of attack for
the velocity 4 m/s. Positive values Ct are found from 40 angle
of attack flaunting its self starting capability at these value of
angle of attack. Fig. 8 and 9 show pressure and velocity
contours at wind speed of 10 m/s and angle of attack of 120.
As thickness is of S818 is 24%, comparatively highest, give
the highest value of Ct at all considered velocities. Therefore, it
can be concluded that S818 blade profile is the optimum one
amongst the selected profiles.
Wind speed, as a meteorological variable, imitates the fuel

of wind energy therefore; a better understanding of wind
characteristics may lead to a better visibility of the use of wind
energy [15-17]. The simulations is carried out at different
airflow velocities, conducted for the whole range of the from
0 to 45 because it is the normal operating range of the wind
turbine designs. The basic objective of the simulation is to find
the optimum airfoil profile for H-Darrieus rotor that produces
the maximum power from the wind turbine blades based on
the maximum lift to drag coefficients leading to maximum
torque coefficient. The simulations are performed for the
NREL meshed blade profiles. Fig. 6 shows the computational
0
Fig. 7. Torque coefficients for the proposed airfoils at velocity 4 m/s.
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Fig. 10. Experimental result [18].

Fig. 8. Pressure contours for S818 profile at 12 angle of attack and 10 m/s wind
speed.
0
4
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Fig. 9. Velocity contours for S818 profile at 12 angle of attack and 10 m/s wind
speed.
0
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The velocity and pressure contour results in Figs. 8 and 9

illustrate that, as the flow accelerates over the airfoil, the
pressure drops to a quite low value, so that CP quickly becomes
zero and then reasonably goes to a large negative value. The
flow then decelerates, the pressure rises, and the magnitude of
CP drops. As a result, the airfoil tends to rotate and the pressure
of the lower surface is always higher than the pressure on the
upper surface. As the velocity of air increases, pressure
coefficient becomes more negative. On the trailing edge, the
flow on the upper surface decelerates and merges with the flow
from the lower surface. As the strength of the adverse pressure
increases, the separation point moves forward on the airfoil as
well as the separation of flow occurs earlier at higher angles of
attack.
V.
VALIDATION
Fig. 10 shows the pressure coefficient distribution for S809

airfoil at zero angle of attack and 105 Reynolds number,
obtained from a wind tunnel experiment [18]. Fig.11 shows the
result of the present computational study of the S809 airfoil at
the same operating conditions.
Fig. 11. Computational results.
The comparison shows that the pressure coefficient

distribution of the S809 profile obtained in the present study is
in a good agreement with the experimental results at 105
Reynolds number. Thus, the same operating conditions are
taken for the present work .
VI.
CONCLUSION
Performing CFD calculations provide knowledge about the

flow in all its details, such as velocities, pressure, pressure
coefficients etc. Since the VAWT is able to self-start at a lower
wind speed, the working hour of the wind turbine would
increase [19]. The negative torque zone has been minimized by
optimum cambering of airfoil profile at acceptable angle of
attacks thus the positive torque that provides higher power can
be obtained.
An airfoil with high coefficient of torque has higher
efficiency than the one with lower coefficient of torque. It is
concluded from the results that angle of attack has a dominant
effect on determining the optimum profile while the wind
speed does not affect the optimum profile. The profile having
maximum thickness should be used at low positive operating
angle of attack in order to extract the maximum power from the
wind. Moreover, it is concluded from the results that NREL
wind turbine profile S818 is the most efficient blade profile and
suitable for working at low wind speeds.
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[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
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[11]
[12]
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[14]
[15]
[16]
[17]
[18]
[19]
Cancel D. Venezuelas Chavez extends electricity decree for 60 days,

Bloomberg.com; April 8, 2010.
S. Rolland et al. , Simulations technique for the design of a vertical axis
wind turbine device with experimental validation, College of
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138 of 446
Modelling of active transformation of microstructure

of two-phase Ti alloys during hot working
O.I. Bylya, B.K.Pradhan
E.B.Yakushina
Institute of Technical Education and Research

Siksha o Anusandhan University
olgabylya@soauniversity.ac.in, biplab93@gmail.com
Advanced Forming Research Centre,

University of Strathclyde
Renfrew, Inchinnan, UK
evgenia.yakushina@strath.ac.uk
Abstract Being very strong and brittle, Ti alloys require

special techniques to manufacture the parts with complex shapes
out of them. Many of these technologies are based on superplastic
and near-to-superplastic deforming. In these processes the
transformation of microstructure of the material can be very
significant and lead to changing the mechanical properties of the
material along with deformation. Because of this proper
description of the correlation between mechanical loading,
changes in microstructure and mechanical behavior of material is
required. Phenomenological scalar model with internal variable
based on statistical description of microstructure is proposed and
used for simulation of the high temperature deformation of Ti6Al-4V alloy. The problems of obtaining the parameters of the
model and sensitivity of the model to the accuracy of this process
are discussed.
Keywords Constitutive modelling, simulation, superplasticity,
microstructure transformation.
I.
It is established [1,2] that almost all polycrystalline

materials and even ceramics are capable of showing under
certain conditions a special kind of mechanical behavior called
"superplasticity" (SP). Thus even materials that are brittle in
normal conditions can be deformed to hundreds and sometimes
few thousand percent frequently without occurrence of
localization of deformations which accelerates the process of
failure. The conditions required for such behavior of materials,
are usually experimental and thus by nature empirical. For
example, for the majority of alloys for maintenance of the
superplastic condition it is necessary that the temperature (T) is
in the order 0.4Tm (where Tm- melting temperature on
absolute scale), strain-rate lies in the range of 10-5 to 10-1 s-1
and microstructure of the material is fine-grained (the average
size of grains 10m) and globular. However, due to the
approximate nature of these constraints, it is practically
impossible to say exactly when the deformation of the material
becomes superplastic, and at what point during the deformation
it ceases to be so. For this reason, the design of technological
processes using the phenomenon of superplasticity is generally
done in such a way that the entire process of deformation is
carried out in the "optimal superplasticity" regime. This regime
is experimentally the set of conditions, in which parameter of
strain-rate sensitivity [3-5] reaches the maximum.
S
E
Here and are the dimensionless stress and strain rate

respectively (hence it only refers to uniaxial loading). There is
even an approach of interactive change of loading conditions to
maintain the maximum rate sensitivity during the deformation
process [6]. During optimum superplasticity, the material
behaves like a viscous liquid and the flow stress can be
considered to be a function of strain rate, temperature and
initial grain size:
4
1
f (, T , d 0 )
The change in microstructure of the material in this case is

not significant, and its transformation to a first approximation
can be neglected, taking into account only the state of the
material before deformation (e.g. its initial average grain size).
INTRODUCTION
log
m
log T , const
In practice, maintaining the optimal conditions of

superplastic deformation (SPD) in industrial processes is
sometimes difficult or even impossible and, moreover, it is
economically inefficient. Indeed, it is quite difficult and costly
to implement the process of isothermal deformation for a long
time, especially for large dimensions of the workpiece and to
prepare the required original ultrafine microstructure uniform
enough. Low strain-rates typical for SPD make the forming
process time taking and inefficient. Due to these reasons the
cases of terminating the optimal regime are coming to the stage
more and more frequently. Going beyond the limits of the
optimum SP happens occasionally, but currently it is often
being done deliberately e.g. with increasing strain rate to speed
up the process at some stage (the so-called "high strain-rate
SPD"), with lowering the temperature to reduce power
consumption ('low-temperature SP"), or refining of an
unprepared microstructure during manufacturing of the
product. Such processes, where optimum superplastic
conditions are violated, but the material deforms almost
homogeneously without visible flow localizations or fractures
till relatively high strains (compared to a conventional hightemperature deformation), are classified as "near-tosuperplastic deformation".
139 of 446
nature. Instantaneous change of this parameter will depend not

only on current strain rate, stress, strain and temperature, but
also on the current state of the microstructure.
Mathematically above mentioned approach will be
described by using statistical methods by introducing the
function of distribution of the grain sizes. It is assumed that the
representative volume contains grains of various sizes; each
grain is identified only by one size - the characteristic size d.
The distribution function p(d), specifies the relative volume
(Vi) occupied by the grains which belong to a size range di
( di 2 d di 2 ). Here and hence all parameters of the
model are dimensionless.
The parameter characterising a microstructure, has physical
sense of the average grain size and is defined as a probabilistic
mean of distribution:
Fig. 1. The SEM snaps of Ti-6Al-4V alloy with initial Widmansttten

microstructure after deformation of =0.5, T=850C, 10 4 s 1 ,
illustrating main mechanisms of microstructure transformations.
The main difference between these processes from the

optimal SP is an active transformation of microstructure
occurring during deformation which leads to a functional
nature of constitutive models describing these processes. This
fact was proved by many experiments showing the dependence
of mechanical behavior of the material on the history of
deformation [2, 4, 9, 10]. For the ability of numerical
simulation (especially FEM) of such deforming processes a
special model is proposed. The purpose of this model is to
consider active transformation of the microstructure during
deformation and its effect on the mechanical properties of the
material. This model might approximately describe behavior of
other Titanium Aluminates, but the mechanisms behind most
Ti alloys are too different to be predicted by it.
II.
A. Description of the Model.

The designed model, unlike a number of physical models
[2], will have phenomenological character and will remain
within continuum mechanics. To take into account active
transformation of a microstructure during deformation, an
additional characteristic variable will be assigned to a
representative volume. This variable () is to be in charge of a
current state of the microstructure. The choice of this parameter
is difficult, as microstructure transformations happen at
different scale levels and are not trivial [11]. So to begin with,
we use the most obvious and easily experimentally measurable
parameter - the average grain size. If we are going to involve in
our consideration not only uniform fine-grained equiaxial
microstructure, but also non-perfect ones like bimodal, lamellar
or Widmansttten, the direct kinetic equation for the average
grain size will have very few physical sense. If microstructure
simultaneously contains fine grains as well as big ones and
they have different nature, micro-level mechanisms working in
these grains will be also different. For each grade of grains
special micro-model should be used. This approach will
provide to the change of the average grain size some functional
As it was mentioned above in the same point of material

few physical mechanisms can operate simultaneously applied
to different types of grains. Using the function of distribution
provides us the ability to take all of them into account. Here
each physical law is applied only to such types of grains for
which it is obtained [1]. For example, if grains are small and
globular, the basic mechanism of their growth will be slow
diffusion growth (governed by temperature). For medium size
grains deformation growth will be a dominating mechanism
(depending on the stress and individual size of grain). When
accumulated energy of deformation increases, the grains which
are bigger than some critical value (depending on the value of
the strain energy) start to refine (by dislocation creep and
recrystallization). This scheme is shown in the Fig.2. To take it
into account in the model, the modification of the sizes of the
grains of each type is calculated with different mathematical
law. The slow temperature-dependent growth of small grains is
described by the equation:
4
1
S
E
CONSTITUTIVE MODELLING
p( d i ) d i
d i
Q
k exp
, d i Ds
t
RT
where t=time. The limitation d i Ds selects fine grains

smaller than parameter Ds; a dimensionless combination
Fig. 2.
The scheme of microstructure transformation used in the model.
140 of 446
Q RT involves temperature (absolute scale), universal

gas constant R, energy of activation Q, and material constant k.
Mechanism of deformation growth dominating for the
D d i Dcr
medium size grains ( s
) was studied by
researchers and a number of models are proposed. Here the
model of Perevesentsev is used [12], for which:
d i C1 4 C2 5
Q
exp
,
t 1 C3 4 d i
RT
Ds d i Dcr
where is dimensionless stress; C1, C2, C3 parameters, which

in initial model [12] represent combinations of physical
constants of a material, but can be also considered as
phenomenological and found from experiments.
As soon as the increments of the grain sizes are calculated,
distribution function is modified accordingly:
p(d i ) t t
d j d j ( d i )
p( d j ) ,
d i Dcr
Grains grow only until they reach some critical size Dcr, as
soon they exceed it refining process starts to these grains.
Experimental results show, that even long enough lamellar
grains remain unbroken if deformation is small (e.g. in the
centre of the specimen under torsion), and even relatively small
grains can get recrystallized at large deformations. It was also
observed that at high stresses refinement is more active than at
low ones. That means that critical size Dcr is not a constant
Fig. 4. The example of the results of simulation
value. Here it is assumed to depend on accumulated strain

energy:
Dcr D * exp( q d )
where D* and q> 0 - constants.
4
1
Refinement of large grains can happen due to two basic

physical mechanisms: rearrangement of dislocations into
dislocation walls and recrystallization. In the first case when
dislocations form a wall, grain is getting divided into two or
several grains by them. In the second case nucleus of new grain
arises in some part of the border of large grain, then it grows
and also divides a grain into few parts. The elementary
mathematical model of refinement used here is based on the
assumption that all grains after exceeding critical size break
into few small and medium grains in proportion /(1-).
S
E
Vref p( di ),
d i d i Dcr
p( D0 ) : p( D0 ) Vref
p( Dm ) : p( Dm ) (1 ) Vref
Fig. 3. The flow chat of the algorithm used for simulation of microstructure
transformation.
where Vref is the total relative volume of large grains with

the sizes greater than Dcr. Parameters D0 and Dm are mean sizes
of small and medium grains gained in result of refinement
correspondingly. D0 is fixed size of new recrystallized grains;
is always almost the same. The size of the medium grains
changes in the process of deformation because the Dcr
decreases and the original sizes of the grains which undergo
refinement also become smaller. So Dm can be assumed to be
equal to either total average grain size from the previous time
step, or as some value depending on Dcr.
To complete the phenomenological model the relation
between macroscopic parameters of loading such as stress and
strain rate are required. It can be taken in the form of two serial
141 of 446
basic elements: viscoelastic and "superplastic". As a

viscoelastic element the generalized body of Maxwell [2]
modified for the temperature can be taken and superplastic one
can be taken in standard form but involving our internal
parameter :
e v sp
Q
exp
RT
e v
sp A
1m
Q
exp
RT
where , , A, m and k are the constants of model.

B. Simulation
Numerical simulation of the uniaxial (tensile) loading with
the constant strain rate and under the constant temperature was
done in MATLAB. The flow chart of the used algorithm is
shown in the Fig. 3 and the results of simulation in the Fig. 4.
It can be seen from the results of simulation that obtained
stress-strain curve has hardening in the first part and softening
with gradually decreased slope at the second one. Such
mechanical behavior is typical for Ti alloys deformed in nearto-superplastic regimes. However for practical use of this
model in real technological simulations the question of
experimental obtaining parameters of the model must be
solved.
III.
reality both of them strongly depend on the strain rate and

temperature. The second problem is related with the need to
extrapolate experimental data from few different experiments.
log
m
log T , const
log
R
(
1
/
T
)
m
, const
If experimental data is taken from few different tests, and in

our case several experiments with different strain rates and
several experiments with different temperatures are required,
the amount of data is very limited and contains certain
inaccuracies.
To study the problem of finding m and Q and robustness of
this process, the experimental data published in [16] were used.
These experiments were conducted for the Ti alloy Ti6Al4V
with fine globular microstructure for 7 constant strain rates
(0.0003, 0.001, 0.1, 1, 10 and 100s-1) and 8 temperatures (750,
800, 850, 900, 950, 1000, 1050 and 1100C). This range of
conditions covers both superplastic as well as neighboring hot
visco-plastic regimes of deforming.
To find required parameters, the approximation of available
experimental data with polynomial splines of different order
was made. The example of it is shown in the Fig. 5. The values
of strain rate sensitivity m, obtained with interpolation of
different order are given in the Table I. It can be seen that from
4th order the values do not change much, which may imply that
highest-possible order (6th) would lead to the most accurate
results. But higher order polynomial approximations are more
sensitive to the inaccuracy of input data and results of
calculations are thus less robust.
4
1
FINDING THE PARAMETERS OF THE MODEL
S
E
Two parameters of the model: m strain rate sensitivity

and Q activation energy, are the most important for the
accuracy of calculations because the results of simulation are
very sensitive to them. There are two main problems with
obtaining these parameters from experimental data. It is
assumed that they are constants for a given material, but in
TABLE I.
THE DEPENDANCE OF STRAIN RATE SENSITIVITY
PARAMETER TO THE ORDER OF POLYNOMIAL INTERPOLATION AND
ACCURACY OF INPUT DATA
Degree of
Interpolation
Quadratic
Cubic
4th Degree
5th Degree
6th Degree
Fig. 5. Approximation of the experimental data with splines of different

orders for differentiation required for obtaining strain rate sensitivity.
Original
Value
(v1)
0.25
0.30
0.35
0.36
0.35
Value
with
randomerror in
log(sigma)
(v2)
0.26
0.29
0.28
0.16
0.18
v1-v2
(SenSitivity)
0.01
0.01
0.07
0.2
0.17
Value
with
random
error in
log(sigma)
(v3)
0.211
0.273
0.385
0.410
0.415
v1-v3
(SenSitivity)
0.039
0.027
0.035
0.050
0.065
To check this, randomized error of 10% was introduced to

initial experimental data (to the value of stress), this depicts the
actual accuracy limit of majority of high temperature
mechanical tests. Obtained results and their deviation from the
original ones are also listed in Table I. These results show that
increasing the order of polynomial order from 4 to 6 increases
the sensitivity to inaccuracies almost twice. So for all further
calculations 4th order polynomial approximations were used.
142 of 446
Fig. 6.
Contour plot for values of m (strain rate sensitivity)
Fig. 7.
Using these experimental data [16] and approximations

which were found to be optimal, the values of strain rate
sensitivity m and activation energy Q were calculated for
different temperatures and strain rates. Obtained results are
given in the Tables II and III, and the fields of these values are
show in the Figures 6 and 7.
TABLE II.
/T
750
800
850
900
950
1000
1050
1100
0.001
0.27
0.32
0.35
0.41
0.30
0.32
0.24
0.23
0.01
0.18
0.23
0.25
0.31
0.26
0.24
0.28
0.27
0.1
10
0.10
0.15
0.17
0.21
0.23
0.19
0.27
0.27
0.06
0.09
0.11
0.14
0.18
0.16
0.22
0.22
0.03
0.05
0.06
0.08
0.12
0.16
0.12
0.14
100
0.04
0.03
0.04
0.03
0.06
0.19
0.02
0.01
VALUES OF ACTIVATION ENERGY Q(IN KJ)
/T
0.0003
0.001
0.01
750
800
850
900
950
1000
1050
1100
367.02
305.97
275.95
223.26
329.55
266.57
460.31
459.59
408.67
349.18
330.52
279.90
394.79
373.51
493.79
513.78
495.36
421.27
416.77
366.35
448.47
524.08
471.72
501.67
CONCLUSION
4
1
S
E
IV.
Being based on statistical approach this model can deal

with several micro-mechanisms at a time. This feature is very
important for two-phase alloys, especially for titanium alloys,
which can have very different morphology of microstructure.
Obtained results clearly show that both parameters

significantly depend on temperature and strain rate. In FEM
simulation of real technological processes temperature and
strain rate can vary from one point of workpiece to another. For
equation (8) and the total model to give correct results,
parameters m and Q must be all the time verified and adjusted
according to local conditions. This can be done with the help of
the fields shown in Figures 6 and 7.
TABLE III.
choice of physical models and possibilities of obtaining the

parameters describing micro-mechanisms has to be
investigated systematically. In this paper due to limited space
these questions are not discussed.
The importance of consideration of microstructure in

simulation of processes of hot forming including ones utilizing
the superplasticity was analyzed and constitutive model able to
take into account active transformation of microstructure was
proposed.
VALUES OF STRAIN RATE SENSITIVITY M
0.000
3
0.34
0.38
0.40
0.48
0.31
0.37
0.20
0.20
Contour plot for values of Q (activation energy)
0.1
10
563.81
486.83
508.20
466.65
493.05
647.47
486.67
522.20
923.45
727.33
732.88
670.69
583.76
697.93
566.50
589.48
1369.00
1143.15
1074.16
1007.83
723.85
583.43
854.26
801.26
Other parameters of the model are also important but less

critical because the model is much less sensitive to them than
to the above described ones. Nevertheless, analysis of proper
Proposed model involves grain growth as well as

refinement of the microstructure that gives ability to describe
both hardening and softening of the material. The
transformation of the microstructure at every step of the
simulation gives the ability to trace functional (history
dependent) character of the process as well as the effect of
initial microstructure on material properties.
Proposed model can be suitable for the family of + Ti
alloys with similar type of microstructure and similar
mechanisms of its transformation. However for other titanium
alloys, e.g. intermelallic titanium aluminates, having
fundamentally different microstructure, the choice of the
microstructure parameters as well as kinetic models of their
behavior must be different.
The procedure of obtaining parameters of the model from
experimental data and robustness of results is discussed and
optimal method is chosen.
The values of strain rate sensitivity and activation energy
were calculated for different temperatures and strain rates. It
was shown that these parameters significantly depend on these
conditions and it must be taken into account in simulation.
The reason for higher inaccuracies pertaining to
polynomials of greater degree is purely mathematical. The
higher the degree of a function, the greater number of
stationary points it will contain.
143 of 446
Simulation with the model using calculated parameters

approximately matched the experimental results.
[9]
ACKNOWLEDGMENT
The work carried out is partly supported by Russian Fund
of Basic Research (RFBR 11-08-00961).
[10]
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Value Based Planning of Renewable DGs in

Distribution Network Incorporating Variable Power
Load Model and Load Growth
Partha Kayal
Chetan Kumar, C. K. Chanda

Future Institute of Engineering and Management
Kolkata, India
partha_kayal@yahoo.co.in

Bengal Engineering and Science University, Shibpur
Howrah, India
AbstractPresently one of the major challenges for the

distribution companies is to supply cost effective and quality
power to the customers utilizing distributed generation (DG).
Reinforcement of DG largely depends on the type and demand of
customer loads. This paper presents a novel approach of
renewable DG planning considering variable power load model
and load growth of a distribution network. The paper is
concerned with value based worth assessment (cash outflow and
inflow) for DG planning satisfying voltage and power limit
constraints. The proposed planning method tries to evaluate
appropriate locations and sizes of wind and solar power
generation units in distribution network aiming maximization of
benefit to cost ratio. The cost function has been modified with a
segmentation based power loss reduction cost calculation
technique. The proposed method is tested on a 28-bus Indian
distribution network using discrete particle swarm optimization
technique and its effectiveness is demonstrated.
I.
INTRODUCTION
Worldwide the rapid depletion of fossil fuel resources has

given momentum to the power system research with
application of alternative energy sources. As wind and solar
energies are promising renewable power generation sources
and free from green house gas, they can be alternative to the
fossil fuels [1]. Photovoltaic (PV) array and/or wind power
generation units are normally small scale power generation and
can be directly connected with the distribution buses. Planning
of these renewable DGs are ardently essential to extract
maximum potential in economic way. Proper locations and
sizes of renewable DGs in the distribution network can cause
maximum utilization with lowest capital cost.
In the last decade many papers have appeared focusing the
different planning techniques for location and size selection of
DG [2-7]. In [2], the authors have proposed loss sensitivity
method to accommodate DG in distribution network. Some
papers have investigated the DG planning problem with
optimization approach. They have suggested that better result
can be obtained with optimization technique in comparison to
analytical approaches. Abri et al [3] have presented a mixed
integer non-linear programming technique for sitting and sizing
4
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Keywordsdistributed generation; benefit to cost ratio; load

growth; discrete particle swarm optimization
of DG in distribution network. A value based DG planning

method is described by Teng et al [4]. The authors have used
genetic algorithm to optimize the cost function. Sedighi et al
[5] have proposed particle swarm optimization (PSO) based
maximum size determination of DG to reduce power losses. A
very few number of papers have studied the effect of load
model to accommodate DG optimally in distribution network
[6, 7]. However, load growth was not considered in their study.
In [8], the authors have proposed a technique to locate
dispatchable distributed generation optimally considering load
growth. The paper has described load growth on five year basis
on viewpoint of constructional cost, loss cost and reliability
cost. The paper lack of illustrating the customer load type and
annual load growth scenario. This paper highlights on
allocation of multiple PV array and wind turbine units
considering both load type and load growth. The rest of the
paper is organized as follows.
Performance modeling of wind and solar based DGs are
portrayed in section II to measure the actual power generation
of PV array and wind turbine in particular geographical
location. Section III illustrates the variable power load model
and effect of load growth on customer load demand. In section
IV, optimization problem of DG planning is formulated. The
objective function of the optimization problem is also analyzed
in detail. Simulation of the proposed method is carried out on a
typical Indian distribution network and obtained results are
discussed in section V. Finally some relevant conclusions are
drawn in section VI.
II.
PERFORMANCE MODELING OF RENEWABLE DG
Power generation of wind turbine and PV array depend on

resource such as wind speed, solar radiation and ambient
temperature. As resource data are depend on the geographical
location, power generation model in terms of resource
parameters have significant impact in proper planning of
renewable DGs for a region.
A. Wind Power Generation
Wind power generation unit converts kinetic energy of
wind into electricity. The output power generation of variable
speed wind turbine is given by
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constant power load model may misguide the DG selection for

distribution system.
0 vw < vcin or
vw > vcout
v v
Pw = Prated w cin vcin vw vN

(1)
vN vcin
Prated vN vw vcout
vcin , vcout , vN are cut-in speed, cut-out speed and nominal
speed of wind turbine respectively; vw is the average wind
speed at hub height of wind turbine; Prated is the rated output
power of turbine.
According to type of customer, loads are categorized into

residential, commercial and industrial load. Voltage
dependencies of different class loads are different. The variable
power load model can be formulated as follows.
TN
G
1 + c2 * ln N Ta
Ga
VNoc
c3
introduced to show non-linear relationship between solar

irradiance, photo-current and cell temperature [9].
III.
VARIABLE POWER LOAD MODEL AND LOAD GROWTH
According to IEEE report [10] loads are dependent on

voltage magnitude of buses. As a result, consideration of only
P0,i , Q0,i and V0,i are nominal
x y
PD' ,i = (1 + 100
) * PD ,i
'
x y
QD ,i = (1 + 100 ) * QD ,i
TABLE I.
4
1
yth
(8)
VALUES OF EXPONENTS USED FOR DIFFERENT TYPES OF LOAD
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(7)
and reactive load for x% of annual load growth at bus-i at

year becomes
(4)
G
I sc = I Nsc a
(5)
GN
GN and Ga are the nominal and actual solar irradiance on
module; TN and Ta are nominal and actual PV module
temperature respectively; VNoc and I Nsc are nominal the open
circuit voltage and short circuit current of PV module; C1 ,
C2 and C3 are the three different constant which are
Load growth is a continual phenomenon of distribution

network which is unavoidable. The modified demand of active
Pmd = FF *Voc * I sc
(3)
Voc , I sc and FF are the open circuit voltage, short circuit
Voc =
active load, reactive load and voltage magnitude at bus-i;

and are active and reactive power exponents. Active and
reactive power exponents are different for different types of
load and shown in TABLE I.
Where Pmd is the maximum electrical power generated by

PV module which is formulated as
c1
V
QD ,i = Q0,i * i
V
0,i
(6)
voltage magnitude at bus-i;
(2)
current and fill factor (FF) of PV module. FF is a design

parameter and depends on V-I characteristics of the module.
Voc , I sc are the function of solar irradiance and PV module
temperature; and these are obtained as follows
PD ,i , QD ,i and Vi are active load, reactive load and
B. Solar Power Generation

Solar radiation and ambient temperature are the main
governors for power generation of PV module. PV module
cannot generate bulk amount of electrical power. So, large
numbers of PV modules are connected in series and parallel to
design PV array. Series and parallel connection of PV modules
boost up voltage and current to tailor PV array output. For a
PV array consist of N S N P PV modules, maximum output
power can be calculated as
Ppv = NS N P Pmd
V
PD ,i = P0,i * i
V
0,i
Load type
Residential
0.92
4.04
Commercial
1.51
3.40
Industrial
0.18
6.0
IV.
PLANNING PROBLEM FORMULATION
With growing load demand in the distribution network, it

provides potential scope for research in terms of planning of
DG in distribution network to meet the demand with the
present infrastructure.
A. Power Loss Reduction Cost
Significant cost of electrical energy is lost in network
power loss. Proper location and size of DG in distribution
network can be helpful to reduce network power loss and save
energy cost as well. In this section segmentation based power
loss reduction cost (PLRC) calculation method is presented.
Network power loss is a function of customer load demand.
As load growth modifies the power demand, network power
loss would become different in future years. So, it would be
more convenient to calculate the PLRC by segmented the total
planning period into a number of single years. After computing
the PLRC for each year, they are summed up to generate total
PLRC for the planning horizon.
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Power loss reduction due to allocation of renewable DGs

for
includes cost saving due to reduction of power

consumption from main substation and power loss reduction.
Total benefit that can be achieved from operation of
distribution network with renewable DGs is given by
BenefitrenwDG
th
i year can be calculated as
i
i
i
PlossrenwDG
= ( PlosswithoutDG
PlosswithDG
) *8760 (9)
Cumulative Present Value (CPV) converts the future cost

into present value. Interest rate, inflation rate, and planning
period have taken into account to calculate CPV. It can be
determined as follows
PV =
IF )
(1+ 100
Benefit renwDG = {( jtype PrenwDG ,ij * ni * li )}* C hr * 8760 * CPVt m + PLRC

i=2
(10)
(16)
From (16), it is seen that more the value of BCRrenwDG , utility
will be more benefitted.
d )
(1+ 100
C. Optimization Problem
Maximization of BCR is considered as the objective of this
study. As BCR of wind and solar based DG planning in
distribution network is function of locations and sizes of DGs,
the objective function can be formulated as
Where PV is the present value of cost; IF and d are the

percentage of inflation rate and discount rate per year
respectively; CPV for total number of year t would be
CPVt i =
( PV PV t +1 )
(1 PV )
(11)
OF = max { BCR ( PrewDG ,i , PD' ,i , QD' ,i )}
ith year can be determined as
CPV for
(17)
CPV i = CPVt i CPVt i 1
The optimization algorithm should satisfy some equality

and inequality constraints as depicted below.
be
1. Power balance equation of total system is always

maintained and represented as
(12)
Power loss reduction cost for total planning period m would
m
i
PLRC = (PlossrenwDG
CPV i ) * Chr
i =1
Chr is the cost of electricity per kilowatt-hour.
i=2
Cost renwDG = jtype ICij * ni * li + ( jtype OMCij * PrenwDG ,ij * ni * li ) * CPVt m
Where
ICij
i =2
(15)
and OMCij are investment cost; and operating and
maintenance cost of type-j renewable DG at bus-i respectively.

ni is the number of DG unit that can be connected at bus-i. li is
location variable at bus-i. It is to be noted that value li equals to
0 or 1 indicate DG is connected or not connected at bus-i.
PrenwDG ,ij is the power generated by type-j DG at bus-i. N is the
number of buses in the network and it is considered that
substation is connected at bus-1. As operation and maintenance
cost of renewable DGs are future cost, it is required to include
CPV.
4
1
i=2
(18)
(19)
It is considered that DGs are operated at unity power factor.

PGSS and QGSS are active and reactive power fed by substation
respectively.
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Cost renwDG is composed of investment, operating and

maintenance cost. Investment cost includes cost of the DG unit,
DG site preparation, electric system interface, SCADA system,
protection system etc. Operating and maintenance cost includes
labour cost for service, tax and preventive maintenance cost.
Total cost of renewable DGs due to install, operation and
maintenance is given by
i=2
i =2
N
(14)
BenefitrenwDG
CostrenwDG
QGSS QD' ,i QL = 0
B. Benefit to Cost Ratio

Benefit to cost ratio (BCR) indicates the economical benefit
that can be realized with respect to cost for implementation of
the project. BCR for renewable DG planning is represented as
BCRrenwDG =
PGSS + P renwDG ,i *ni * li PD' ,i Ploss = 0
(13)
2. Generation limit constraint at bus-i:
PrenwDG ,i * ni ,min PrenwDG ,i * ni PrenwDG ,i * ni ,max
(20)
ni ,min and ni ,max are minimum and maximum value of size
variable respectively at bus-i.

3. Bus voltage tolerance constraint at bus-i:
0.95 p.u Vi 1.05 p.u

Vi is the magnitude of bus voltage at bus-i.
(21)
4. Line power flow constraint for line connecting between

bus-i and bus-j:
Sij Sijmax
(21)
max
ij
is the maximum power flow through the line between

bus-i and bus-j.
5. DG penetration constraint in the network
N
renwDG ,i
i =2
ni li PD' ,i
i =2
V.
(22)
SIMULATION RESULTS AND DISCUSSION
The proposed planning method is tested on a 28-bus rural

distribution network situated in the district of South 24
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Parganas in the state of West Bengal, India. The structure of

the distribution network is radial [7] in nature with bus-1 as
substation as shown in Fig. 1. It has total load demand of
714+j622 kVA at base configuration. Some of buses namely
bus-7, 8, 9, 10, 22, 23, 24, 25, 26 in the network suffer with
low voltage problem and minimum bus voltage of the network
is obtained as 0.927 p.u at bus-26. So, voltage magnitudes of
low voltage buses can be enhanced by selecting proper location
and size of renewable DGs. Discrete PSO [11] is used to solve
the optimization problem in MATLAB environment. Variables
of PSO are rounded off by round function in MATLAB to
construct DPSO. Number of particle and maximum number of
iteration were set 100 and 200 respectively.
Optimal location and size of wind turbines evaluated by

DPSO for maximum value of BCR are tabulated in TABLE III.
The obtained results are compared with constant power load
model. Constant power load model uses the base value of load
and voltage effect is not reflected on load demand. The overall
load growth for the region is measured 2% per year. Location
and size of wind turbines with consideration of constant power
load model in planning is also simulated and obtained results
are displayed in TABLE III. BCR value is obtained 0.753 in
case of variable power model and 0.641 for constant power
load model. Experimental results show that location and sizes
of wind turbines are also different in two cases. The constant
power load model can not reflect the customer load demand
properly. As a result optimal location and sizes of wind
turbines differ from case of variable power load model.
TABLE III.
LOCATION AND SIZE OF WIND TURBINES OBTAINED THROUGH
DG PLANNING WITH VARIABLE AND CONSTANT POWER LOAD
Variable power
load model
Constant power
load model
Fig. 1. Single line diagram of 28-bus Indian distribution network with bus-1
as substation
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the complexity. For total planning period of ten years IF, d and
Chr were taken 5%, 3% and Rs 5.8/kW-hr respectively. Mean
load growth per annum in case of industrial, commercial and
residential type loads has been calculated 1.3%, 2.1% and 3.8%
respectively.
A. Placement and sizing of wind turbine

In South 24 parganas, annual average wind speed is 3.52
m/s at 30m height from the level of ground. Power generation
of wind turbine (specification given in TABLE II) is calculated
as 44 kW.
TABLE II.
Value
Rated output power, Prated
500 kW
Cut-in-speed, vcin
3 m/s
Nominal wind speed, vN
9 m/s
Cut-out speed,
vcout
25 m/s
Investment cost
80000 Rs/kW
Operating and maintenance cost
1600 Rs/kW-year
Size (kW)
44
bus-11
220
bus-18
220
bus-25
176
bus-27
44
bus-11
132
bus-18
132
bus-19
132
bus-25
132
bus-27
220
without DG
with wind turbine before load growth
with wind turbine after nine years of load growth
0.99
0.98
0.97
0.96
0.95
0.94
0.93
0.92
SPECIFICATION OF WIND TURBINE
Attribute
Number of unit
bus-5
4
1
Voltage magnitude
Newton-Raphson power flow solution was used in the main

function of PSO to calculate network power loss, voltage
magnitude of buses and line power flow for each particle.
ni ,min and ni ,max were considered 1 and 6 respectively to defy
Location
10
15
Bus number
20
25
30
Fig. 2. Comparative study of voltage profile of buses in the distribution

network with wind turbines at starting and ending of project
Voltage magnitudes of the buses for allocation of wind

turbines in the network are illustrated in Fig. 2. The figure
clarifies about improvement of bus voltage magnitudes with
planned deployment of wind turbines in the network.
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load. Planning of PV arrays with constant power load is also

examined and solution generated by DPSO is tabulated in
TABLE V. BCR value is obtained 0.389 in this case.
B. Placement and sizing of PV array

With annual average solar irradiation of 192.917
and annual average ambient temperature of 26
power of PV array is determined as 16 kW.
W /m
C , output
SPECIFICATION OF PV MODULE
parameter
Value
Maximum output, Pmax
100 W
Nominal solar intensity on module, GN
1000 W / m
VNoc
Nominal short circuit current at I Nsc
6.5 A
Fill Factor, FF
0.985
Nominal open circuit voltage at
Nominal cell operating temperature,
0.98
21 V
TN
0.93
1000 Rs/kW-year
0.92
0
DISTRIBUTION NETWORK FOR VARIABLE AND CONSTANT POWER LOAD
Location
Number of unit
Size (kW)
bus-8
64
bus-9
96
bus-10
64
bus-11
96
bus-20
48
bus-21
64
bus-25
80
bus-26
64
bus-28
bus-4
bus-6
bus-8
bus-9
16
16
96
96
96
32
bus-14
48
bus-15
48
bus-16
48
bus-22
96
bus-24
48
bus-25
80
15
Bus number
20
25
30
4
1
16
bus-12
10
Improvement of voltage magnitudes at distribution buses

by allocating PV arrays at appropriate locations in the
distribution network is shown in Fig. 3. Simulation results
show that load growths at distribution load points are
responsible for lower down the voltage magnitudes at buses
after the certain planning period. Thus, load growth has
significant impact on DG planning.
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I
6
Fig. 3. Comparative study of voltage profile of buses in the distribution

network with PV arrays at starting and ending of project
LOCATION AND SIZE OF PV ARRAYS OBTAINED IN
bus-7
0.95
25 C
Operating and maintenance cost
Constant power
load model
0.96
0.94
200000 Rs/kW
Variable power
load model
0.97
Investment cost
TABLE V.
without DG
With PV arrays before load growth
With PV arrays after nine years of load growth
0.99
Voltage magnitude (p.u)
TABLE IV.
VI.
CONCLUSION
In this paper, a new renewable DG planning methodology

is proposed considering load growth. Load types are
categorized on the basis of voltage dependency and included in
the study. The method evaluates the maximum value of benefit
to cost ratio using segmentation based calculation of power
loss reduction cost. The methodology generates potential
solution for selection of proper locations and sizes multiple
wind turbine and PV array units in distribution network. The
obtained results can support the load growth keeping voltage
magnitude of buses and line loading limit within desired value.
Comparative study shows that consideration of constant power
load model is no further a good choice for DG planning.
Modeling of wind and solar based DGs using location specific
resource parameters helps in quantifying accurate measurement
of power generation in planning process. All these outcomes
reveal that the lowest cost planning is possible by proposed
comprehensive planning technique.
REFERENCES
[1]
50 20 PV modules were used to design PV array. The

specification of PV module is given in TABLE IV. The
proposed planning technique identifies the appropriate location
and size of PV arrays in distribution network for maximum
value of BCR which is shown in TABLE V. DPSO results the
value of BCR 0.457 in case of planning with variable power
[2]
[3]
Z. W. Geem, Size optimization for a hybrid photovoltaic-wind energy

system, Int. J. of Electric Power and Energy Systems, vol. 42, pp. 448451, 2012.
N. Acharya, P. Mahat, N. Mithulananthan, An analytical approach for
DG allocation in primary distribution network, Int. J. of Electric Power
and Energy Systems, vol. 28, pp. 669-678, 2006.
R. S. A. Abri, E. F. El-Saadany, Y. M. Atwa, Optimal placement and
sizing method to improve the voltage stability margin in a distribution
system using distributed generation, IEEE Trans. Power System, vol.
28, pp. 326-334, 2013.
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[4]
J. H. Teng, Y. H. Liu, C. Y. Chen, C. F. Chen, Value based distributed

generator placements for service quality improvements, Int. J. of
Electric Power and Energy Systems, vol. 29, pp. 268-274, 2007.
[5] M. Sedighi, A. Igderi, A. Parastar, Sitting and Sizing of Distributed
Generation in Distribution Network to Improve of Several Parameters
by PSO algorithm, IEEE 9th International Power and Energy
Conference , Singapore, pp. 1083-1087, October, 2010.
[6] D. Singh, D. Singh, K. S. Verma, Multiple optimization for DG
planning with load models, IEEE Trans. Power System, vol. 24, pp.
427-436, 2009.
[7] R. K. Singh, S. K. Goswami, Multi-objective optimization of
distributed generation planning using impact indices and trade-off
technique, Electric Power Comp. and Systems, vol. 39, pp. 1175-1190,
2011.
[8] I. Zairi, G. Ledwitch, A. Ghosh, Optimal distribution network
reinforcement considering load growth, line loss and reliability, IEEE
Trans. Power System, vol. 28, no. 2, pp. 587-597, 2013.
[9] W. Zhou, H. Yang, Z. Fang, A novel model for photovoltaic array
performance prediction, Applied Energy, vol. 84, pp. 1187-1198, 2007.
[10] IEEE Task Force on Load Representation for Dynamic Performance,
Load representation for dynamic performance analysis, IEEE Trans.
Power System, vol. 8, no. 3, pp. 472-482, 1993.
[11] M. Clerc, Discrete particle swarm optimization, illustrated by the
travelling salesman problem, In New optimization techniques in
engineering, pp. 219-239. Springer Berlin Heidelberg, 2004.
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Phase Angle Measurement using PIC

Microcontroller with Higher Accuracy
Khairul Alam2
Research and Development Wing
Advance Integrated Tech. Lab
Kolkata, West Bengal, India
system.khairul@gmail.com
Tanmoy Chakraborty1*
Department of Computer Science and Engineering
Saroj Mohan Institute of Technology
Guptipara, Hooghly, West Bengal, India
tanmoy.chakraborty@yahoo.com
Satadal Mal3
Department of Electrical Engineering
Kalyani Government Engineering College
Kalyani, Nadia, West Bengal, India
satadal14@gmail.com
Utpal Biswas4
University of Kalyani
utpal01in@yahoo.com
Abstract The importance of measuring phase angle

between two sinusoidal waves of same frequency is useful for
control system, robotics, communication, medical instruments,
power system etc. The power is single/three phase system cannot
be measured without measuring the phase angle between voltage
and current using a microcontroller, a boon of very large scale
integrated technology. This is a digital method of measuring
phase angle and displaying lagging and leading state between the
waves on a liquid crystal display. Development of programmes
related to this phase angle measurement in high level language,
C, converting into hex/binary level and integrated into the flash
ROM of microcontroller has been tested in the laboratory.
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1
Fig. 1(a) Phase angle between V1 and V2; V2 is lagging V1 by an angle

Fig. 1(b) Phase angle between V1 and V2; V2 is leading V1 by an angle
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Keywords Zero Crossing Detector; Phase Angle; PIC

Microcontroller; Flash ROM; Liquid Crystal Display.
INTRODUCTION
A sinusoidal instantaneous voltage wave (V1) can be
expressed as V1=Vmax sin t
(i)
=2f, f=50Hz
Where Vmax = maximum/ peak voltage in volts.
= angular frequency in rad/sec.
Another sinusoidal voltage (V2) can be expressed as
V2=Vmax (sin t+ )
(ii)
Where Vmax = maximum/ peak voltage in volts.
= angular frequency in rad/sec.
The V2 is lagging, shown in fig. 1(a) and that is leading shown
in fig. 1(b).
To measure the phase angle digitally between V1 and V2, each

wave is converted into square wave through Zero Crossing
Detector, and then its level is restricted to 5V and passed
through an XOR gate. The output of XOR gate will generate
the ON period proportional to the phase angle between waves.
The ON period is measured by the PIC microcontroller. The
state of lagging and leading is detected and displayed on LCD
using the software developed.
RELATED WORK
In the paper [1] very simple method is used in phase
measurement error compensation technique for automation.
The paper [2] deals with measurements of phase angle for fault
tolerant systems using software methodology. Abdulrahaman
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K. Al-Ali et.al. [3] worked on microcontroller based phase angle

measurement and correcting phase angle using voltage
controlled capacitor. In paper [4] Weiguo Que et.al. measured
phase angle between voltage and current for polymer
insulators. The paper [5] has developed a simple algorithm for
16 bit microcontroller, its performance simulation and
presentation of practical results. The paper [6] measured phase
angle in electric power systems using the discrete Fourier
Transformation algorithm.
An efficient electronic system based on a PIC microcontroller
has been developed to measure the phase angle between two
sinusoidal waves. The microcontroller through its hardware
and software programmes determines the phase angle in
degree and also shows lagging and leading with respect to the
reference. The system is also low cost and user friendly. The
display system of lagging and leading is an additional
attribute.
Fig.3 (a), Fig.3 (b) and Fig.3(c) show the case of lagging signals and its phase
difference.
PROPOSED WORK
The frequency sample is collected by a transformer
connected to power supply of 50 Hz. and allowed to pass
through a Zero Crossing Detector (ZCD), converted into a
square wave signal say V1. The square wave is supplied to a
RC Phase Shift circuit for simulating Leading and lagging the
signal V2. Depending on the RC network value, the time
duration will change accordingly. This change is actually the
phase shift of the V1 signal which is representing as V2. Fig.2
(a) shows the reference signal V1 and V2 being the leading
signal.
Fig.2 (a): shows the reference signal V1 and V2 being the leading signal.
Fig.2 (b): with respect to V1 after converting it into square wave form of 5
volt.
Fig.2(c): shows the XOR output being the phase difference between the two
signals.
The XOR output is fed to bit 4 of port A (PA.4) to distinguish

the lagging/ leading of V2 and to measure the period for which
it is lagging or leading. If the output at time t=0 is logical zero,
the signal V2 is leading else lagging. This will help to display
lagging or leading condition of the signal.Fig:4 shows the data
flow diagram of the system designed.
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Fig. 4: Data Flow Diagram
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Fig. 6: The setup of Phase Angle measuring system showing the leading phase
angle
A counter initialized is started at the instant XOR output is

logic one, incremented by 400 ns pulse and stopped when
XOR output is logic zero. The count value incremented
multiplied by 400 ns presents the ON time period of XOR
output signal. This time period calibrated in terms of phase
angle will provide phase difference between the two signals.
For a 50 Hz signal, time taken for 90 degree phase
difference is 5 milli-seconds. With this reference, the time
period measured is calibrated in degrees. The
microcontroller will calculate this angle or phase difference
and display both degree and leading/lagging condition on
16X2 Liquid Crystal Display (LCD).
The
overall
system overview of the instrument designed is shown in
Fig.5.
Fig.5: System Overview
Fig. 7: The setup of Phase Angle measuring system showing the lagging phase
angle
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1
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In order to display, the decimal value on LCD, the difference

count value in hex is converted into decimal value, and then
corresponding to each decimal digit is converted into ascii and
send it to Liquid Crystal Display (LCD).Fig. 5 shows the block
diagram of the controller used for the purpose along with the
personal computer connected through universal synchronous
asynchronous receiver transmitter (USART) and serial
communication port for displaying the result in computer
terminal as well.
RESULTS
Table.1: Results of Phase Angle measurement and Error percentage
R in
K
C
in F
Degree
Measured
Time
in Sec.
Simulated
Time
Delay
t=1.1RC(ms)
Simulated
Time
Delay
(ms)
Degree
Measured
% Error
(Degree)
0.1
0.00011
0.11
1.98
0.109
1.962
-0.02
4.7
0.1
0.000517
0.517
9.306
0.512
9.216
-0.081
10
0.1
0.0011
1.1
19.8
1.109
19.962
0.1458
14
0.1
0.00154
1.54
27.72
1.525
27.45
-0.243
22
0.1
0.00242
2,42
43.56
2.41
43.38
-0.162
30
0.1
0.0033
3.3
59.4
3.32
59.76
0.324
33
0.1
0.00363
3.63
65.34
3.6
64.8
-0.486
42
0.1
0.00462
4.62
83.16
4.6
82.8
-0.324
43
0.1
0.00473
4.73
85.14
4.7
84.6
-0.486
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extending the infrastructural facilities without which it was

difficult to implement the system.
In order to verify the accuracy level of the instrument,

measuring phase angle, the simulated phase angle is measured
using our developed instrument and calculated the difference
between the measured value and calculated value used for
simulation. The result is given in the Table 1. And the
percentage error versus phase angle is shown in Fig: 8.
References
Fig.8: Percentage error versus phase angle graph
[1] M.F. WAGDY, M.S.P. LUCAS A PHASE-MEASUREMENT ERROR

COMPENSATION TECHNIQUE SUITABLE FOR AUTOMATION IEEE TRANSACTIONS
ON INSTRUMENTATION AND MEASUREMENT, IM-35 VOL.1, MARCH 1986.
[2] W.V. SUBBARAO, V.ORDAX DIGITAL MEASUREMENT OF PHASE
ANGLES FOR FAULT TOLERANT SYSTEM SOUTHEASTCON '93,
PROCEEDINGS, IEEE, ISBN 0-7803-1257-0, 4-7 APR 1993.
[3] A.K. AI-AIi, M.T. Abuelmaatti, I.Hussain MICROCONTROLLERBASED
PHASE-ANGLE
MEASUREMENT
AND
CORRECTION
TECHNIQUE Industrial Automation and Control: Emerging Technologies,
1995., International IEEE/IAS Conference, 22-27 May 1995.
[4] W.Que, E.P.Casale, S.A.Sebo Voltage-current phase angle
measurements during aging tests of polymer insulators 2002 Annual Report
IEEE Conference on Electrical Insulation and Dielectric Phenomena.
[5] I. Adam, A. Mohamed, H. Sanusi Simple Phase Angle Measurement of
Two Periodic Signals, Proceedings of 2009 IEEE Students Conference on
Research and Development (SCOReD 2009), 16-18 Nov. 2009, UPM Serdang,
Malaysia.
[6] T. Xia, Y. Liu Single-Phase Phase Angle Measurements in Electric
Power Systems, IEEE Transactions Power Systems, Vol.25, No.2, MAY
2010.
4
1
[7] Hewlett Packard, Inc., "Gain-phase meter 3575A," Operating and

Service Manual, June 1976.
It shows that the maximum percentage of error from the graph

is -0.8%. The accuracy level belongs to Class 0.5. In the
programmer, the 400 ns interval sample pulse is used. The 100
ns interval sample pulse can easily be used. This will
definitely improve the accuracy class with this same hardware
system.
CONCLUSION
S
E
The contribution to this field of measurement is the

implementation of the concept available using the latest
development of programmable devices (PIC microcontroller).
The developed microcontroller based advance system has been
implemented on a printed circuit board with a microcontroller,
LCD display system and some other interfacing components.
Its cost is about Rs.2000.00 only, which shows very cost
effective and efficient displaying system. This system will be
very useful in power system when the phase-angle needs to be
measured and monitored.
[8] Vicente Ordax Jr., "Prediction of component or system failure with multiphase power simulation" Florida International University MS thesis
dissertation, August, 1990.
[9] B. Djokic, and E. So,Phase Measment of Distorted Periodic Signals
Based on Nonsynchronous Digital Filtering, IEEE Tram. Inrmmmfotion and
Meanrremenls, Vol. 50, No. 4, pp.864-867, August, 2001.
[10] Al-Ali, A.K. Abuelmaatti, M.T.Hussain, I. Microcontroller based phase
angle measurement and correction technique, International IEEE/IAS
Conference on Industrial Automation and Control: Emerging Technologies,
1995, pp. 569-571, May 1995.
[11] R. Michelliti, Phase Angle Measurement Between Two Sinusoidal
Signals, IEEE Transactions on Instrument and Measurement, Vol.30, No. 1,
pp.40-42, February 1991.
[12] P. Bonanomi, Phase angle measurements with synchronized clocks
Principle and applications, IEEE Trans. Power App. Syst.,
vol. PAS-100, no. 12, pp. 50365043, Dec. 1981.
[13] J. Chen, Accurate frequency estimation with phasor angles, M.Sc.
thesis, Bradley Dept. Elect. Comput. Eng., Virginia Polytechnic Inst. State
Univ., Blacksburg, VA, 1994.
[14] A. G. Phadke, Synchronized phasor measurements in power systems,
IEEE Comput. Appl. Power, vol. 6, no. 2, pp. 1015, Apr. 1993.
ACKNOWLEDGMENT
The authors are really thankful to the Department of Electrical
Engineering, Kalyani Government Engineering College,
Kalyani, Nadia and the Department of Computer Science and
Engineering, University of Kalyani, Kalyani, Nadia for
[15] Z. Zhong, C. Xu, B. J. Billian, L. Zhang, S. S. Tsai, R. W. Conners, V.A.

Centeno, A. G. Phadke, and Y. Liu, Power system Frequency Monitoring
Network (FNET) implementation, IEEE Trans. Power Syst., vol. 20, no. 4,
pp. 19141921, Nov. 2005.
154 of 446
Automatic Electronic Water Level Management

System using PIC Microcontroller
Khairul Alam2
Research and Development Wing
Advance Integrated Tech. Lab
Kolkata, West Bengal, India
system.khairul@gmail.com
Tanmoy Chakraborty1*
Saroj Mohan Institute of Technology
Guptipara, Hooghly, West Bengal, India
tanmoy.chakraborty@yahoo.com
Satadal Mal3
satadal14@gmail.com
Utpal Biswas4
University of Kalyani
utpal01in@yahoo.com
Abstract Automatic Electronic Water Level

Management System (AEWLMS) of a multistoried
residential building is very useful in urban area. It is
realized using PIC microcontroller based electronic design
and tested in laboratory. This will save energy and
eliminate human personnel making it cost effective and
low priced as well. This paper deals with two reservoirs,
one is in the roof top and another one is underground. One
pump is coupled with a motor. Depending upon the water
level of both the tanks, the motor will be in ON or OFF
state to maintain the water level of roof top tank minimum
level to maximum level through constant monitoring.
S
E
Keywords PIC Microcontroller, Water Level Management,

Energy Efficient, Automation, MOSFET, Operational Amplifier,
Digital Latch.
I.
INTRODUCTION
This sort of water level management appears to be very simple

but very useful. This design will save energy due to mal
operation of water level management manually. A person if
assigned for the purpose has to be very sincere in operating the
pump/motor switching on or off. Otherwise, the pump/motor
will run for the excess period during which the water will be
wasted due to overflow and the energy will be consumed
simultaneously. On the other hand, it is very difficult for a
4
1
person to be very active and sincere for all the time during
discharge and loading of upper roof top tank. So, to save
energy and to eliminate the pump operator, this design will be
very effective for the society as a whole. The proposed
system basically consists of one underground reservoir,
receives water from the local municipal corporation and
another tank placed on the roof top of the same multistoried
building. These two tanks are connected by a pump operated
by a single phase/three phase induction motor. Water will be
pumped to the roof top tank and up to the limiting level. Then
the motor will be automatically in stop condition. The water
will be consumed by the residents of that building. When that
water level reaches to a minimum level, the motor will
automatically started for pumping water, subject to the
minimum maintenance of water level in the underground
reservoir.
The exact related work is almost not available, however, paper
[1] deals with water level sensing and controlling for
agriculture, industry and domestic consumption. Another one
is on microcontroller based drip irrigation system; safety
analysis of drinking water; waste water handling system etc.
In this paper the proposed system is designed by comparator,
amplifiers, digital latch etc.
II. PROPOSED WORK
It has been assumed that there is an underground reservoir in
the ground floor and a tank at the top of a multistoried
building. Water will be automatically store in the reservoir as
per the service provided by the local municipal authority. Our
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object is to pump water to the roof top tank under the

following conditions.
The motor and the pump will be started when the water level
in the underground reservoir will maintain certain minimum
level.
The water level in the roof top tank when falls below certain
level, the motor will be started to pump water to the upper
tank and the motor will be automatically stopped when the
water level will reach up to the desired level.
The condition 2 is applicable when condition 1 is satisfied.
The object is to develop a microcontroller based high
performance dedicated system to take care the pumping of
water following the above conditions.
The motor will be stopped, either float C=0 or float A=1. In

fig.2, shows the system overview of AEWLMS.
Fig. 2 System Overview
Fig. 1 Actual System Flow
In order to realize the control circuit using microcontroller, the

need of previous state to be preserved in the EEPROM
contained in the microcontroller.
Fig. 3 Data Flow Diagram
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E
The fig.1 shows the two tanks, one placed at the upper roof
top and another is underground one. The pump is connected in
between two reservoirs. A single phase induction motor is
coupled with the pump. There are three mechanical floats;
float A fitted to the top level of the upper tank, float B fitted to
the bottom level of the upper tank and float C fitted to the
minimum level to be maintained of the lower tank.
When the water level of the lower tank reaches in the
minimum level, float C generates logic 0 and when the water
level of that tank is higher than the minimum level, the float C
will generate logic 1.
When the water level of the upper tank reaches in the
minimum level, float B generates logic 0, else logic 1.
When the water level of upper tank reaches the top level, float
A generates logic 1, else logic 0, when the water level is in
the intermediate level.
The motor is connected to lift water from lower tank to upper
tank, subject to the condition; when float C=1 and float B=0.
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Step 1: The state of float A, float B and float C is read by the

microcontroller through the input port and stored in the
EEPROM during the runtime.
III. CONCLUSION
Step 2: If float C=1 and float B=0, it will move to the next
step 3, else Step 2.
Step 3: Then start the motor and store the present state of float
A, float B, float C and motor (Y=1).
Step 4: Input the present state of float A, float B and float C. If
float B=1, store float A, float B and float C to EEPROM.
Step 5: Float B will be logic 1 after receiving some water into
the upper tank. Again store the state of float A, float B, float C
and motor Y.
The microcontroller based automated system will take care of

water level at the ground level reservoir and that of roof top
tank; pump water from reservoir to the roof top tank relieving
the residents to deploy person for running the pump as and
when necessary. Moreover, the person deployed could not
estimate the minimum level of water of the ground level
reservoir. There is a chance of damage to the motor; it is
started when the level of water falls below the minimum level.
This possibility is eliminated with the installation of this
automated system and rather protecting the motor from
damage. This kind of water level controller is available at Rs.
1400 approx. but that of our present system costs Rs. 300
approx. Hence it is cost effective and efficient.
Step 6: Check the state of float A and float C now. If float C=0
ACKNOWLEDGMENT
or float A=1, then the motor will be stopped, i.e. Y=0 else
The authors are really thankful to the Department of Electrical
continuously monitor the state.
Engineering, Kalyani Government Engineering College,
State 7: Reset the output Y=0, meaning the motor will be Kalyani, Nadia and the Department of Computer Science and
stopped. Again the present status of float A, float B, float C and Engineering, University of Kalyani, Kalyani, Nadia for
extending the infrastructural facilities without which it was
motor Y will be stored in the EEPROM.
difficult to implement the system.
State 8: Again go to Step 2.
The total algorithm is also shown in the Fig. 3 Flow chart.
4
1
Fig. 4 Snapshots of 16X2 LCD Display
S
E
References
[1] M.F. WAGDY, M.S.P. LUCAS A PHASE-MEASUREMENT ERROR

COMPENSATION TECHNIQUE SUITABLE FOR AUTOMATION IEEE TRANSACTIONS
ON INSTRUMENTATION AND MEASUREMENT, IM-35 VOL.1, MARCH 1986.
[2] W.V. SUBBARAO, V.ORDAX DIGITAL MEASUREMENT OF PHASE
ANGLES FOR FAULT TOLERANT SYSTEM SOUTHEASTCON '93,
PROCEEDINGS, IEEE, ISBN 0-7803-1257-0, 4-7 APR 1993.
[3] A.K. AI-AIi, M.T. Abuelmaatti, I.Hussain MICROCONTROLLERBASED
PHASE-ANGLE
MEASUREMENT
AND
CORRECTION
TECHNIQUE Industrial Automation and Control: Emerging Technologies,
1995., International IEEE/IAS Conference, 22-27 May 1995.
[4] W.Que, E.P.Casale, S.A.Sebo Voltage-current phase angle
measurements during aging tests of polymer insulators 2002 Annual Report
IEEE Conference on Electrical Insulation and Dielectric Phenomena.
[5] I. Adam, A. Mohamed, H. Sanusi Simple Phase Angle Measurement of
Two Periodic Signals, Proceedings of 2009 IEEE Students Conference on
Research and Development (SCOReD 2009), 16-18 Nov. 2009, UPM Serdang,
Malaysia.
[6] T. Xia, Y. Liu Single-Phase Phase Angle Measurements in Electric
Power Systems, IEEE Transactions Power Systems, Vol.25, No.2, MAY
2010.
[7] Hewlett Packard, Inc., "Gain-phase meter 3575A," Operating and
Service Manual, June 1976.
[8] Vicente Ordax Jr., "Prediction of component or system failure with multiphase power simulation" Florida International University MS thesis
dissertation, August, 1990.
157 of 446
vol. PAS-100, no. 12, pp. 50365043, Dec. 1981.

[9] B. Djokic, and E. So,Phase Measment of Distorted Periodic Signals
Based on Nonsynchronous Digital Filtering, IEEE Tram. Inrmmmfotion and
Meanrremenls, Vol. 50, No. 4, pp.864-867, August, 2001.
[13] J. Chen, Accurate frequency estimation with phasor angles, M.Sc.

thesis, Bradley Dept. Elect. Comput. Eng., Virginia Polytechnic Inst. State
Univ., Blacksburg, VA, 1994.
[10] Al-Ali, A.K. Abuelmaatti, M.T.Hussain, I. Microcontroller based phase

angle measurement and correction technique, International IEEE/IAS
Conference on Industrial Automation and Control: Emerging Technologies,
1995, pp. 569-571, May 1995.
[14] A. G. Phadke, Synchronized phasor measurements in power systems,

IEEE Comput. Appl. Power, vol. 6, no. 2, pp. 1015, Apr. 1993.
[11] R. Michelliti, Phase Angle Measurement Between Two Sinusoidal

Signals, IEEE Transactions on Instrument and Measurement, Vol.30, No. 1,
pp.40-42, February 1991.
[15] Z. Zhong, C. Xu, B. J. Billian, L. Zhang, S. S. Tsai, R. W. Conners, V.A.

Centeno, A. G. Phadke, and Y. Liu, Power system Frequency Monitoring
Network (FNET) implementation, IEEE Trans. Power Syst., vol. 20, no. 4,
pp. 19141921, Nov. 2005.
[12] P. Bonanomi, Phase angle measurements with synchronized clocks

Principle and applications, IEEE Trans. Power App. Syst.,
4
1
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E
158 of 446
Effect of Temperature on Photovoltaic Cell

performance
Ashish Lochan
Anil Kumar Dahiya
School of Renewable Energy & Efficiency

Kurukshetra, India
ashishmlochan@gmail.com

Kurukshetra, India
anildau@yahoo.co.in
AbstractSolar energy, which is free abundant in most parts

of the world has proven to be an economical source of energy in
many applications. Recently, there has been an enormous
increase in the understandings of the operational principle of
photovoltaic devices, which led to a rapid increase in the power
conversion efficiencies of such devices. Solar cell operates under
varying temperature changes; the change in temperature will
affect the power, output from the cells. In this paper, the
variation of solar intensity and temperature is recorded in NIT
Kurukshetra, India. The effect of solar intensity and temperature
on the efficiency of the cell is investigated.
Keywords solar intensity, temperature, photovoltaic cells, PV
module efficiency, power output.
I.
4
1
INTRODUCTION
Photovoltaic cells are the devices which directly converts

light energy into electric energy. It uses materials which absorb
photons of light and release electron charges. A solar cell is
basically is a p-n semiconductor junction. When exposed to
light, a direct current is generated PVs offer several advantages
such as high reliability, low maintenance cost, no
environmental pollution and absence of noise.
Fig.1 Solar intensity in various seasons
S
E
The data were recorded in National Institute of Technology,

Kurukshetra. It is located within the latitude of 29.97C and
longitude 76.89C in India. This site is perfect for receiving
maximum solar radiations and there was no shading of any
structure or any object in the path of solar rays falling on the
pyranometer from dawn to dusk. The average solar radiation
intensity (W/m2) is recorded for the seasons of summer
(March-June), monsoon (July-Sept) and winter (Dec- Feb)
from 9:00 A.M. to 3:00 P.M. at an interval of one hour.
The variation of solar intensity at different day time and in

different season is shown in fig.1 and variation of solar
intensity over a day is shown in fig.2.
II.
PV MODULE EFFICIENCY AS A FUNCTION OF

OPERATING TEMPERATURE
The maximum conversion efficiency max,c can be given as:

c = Pmpp / Pin = Impp x Vmpp / I (t) x Ac
Fig.2 Variation of solar intensity over a day
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The characteristics curve of a PV module is shown in fig.3.

There is a point on the curve named as Maximum Power
Point (MPP).
dissipated into the surroundings. Convection is the main

mechanism for heat dissipation in terrestrial, flat plate
applications, and radiation is the second non negligible
mechanism of heat dissipation. A common simplifying
assumption is made that the cell-ambient temperature drop
increases linearly with irradiance. The coefficient depends on
module installation, wind speed, ambient humidity and so on,
though a single value is used to characterize a module type.
This information is contained in the Nominal Operating Cell
Temperature (NOCT), which is defined as the cell temperature
is measured under open-circuit when the ambient temperature
is 20C, irradiance is 0.8 kW/m2 and wind speed is 1 m/s.
TNOCT usually values around 45 C. For variations in ambient
temperature and irradiance the cell temperature (in oC) can be
estimated quite accurately with the linear approximation.
Tc =Ta + [(TNOCT 20) / 0.8 kW/m2] x I(t)
From above equations:
c = ref [1- ref x {Ta Tref + (TNOCT -20) x (I(t) / I(t)NOCT} +
log10 I(t)] x 100
Fig. 3 I-V characteristic of a PV module
Authors usually consider Tref = 25C, average ref = 12%

and average ref =0.0045 K.
Impp and Vmpp are the current and voltage for maximum
power, corresponding to solar intensity I (t) and Ac is area of
solar cell.
The correlations expressing the PV cell temperature (Tc) as
a function of weather variables such as the ambient
temperature (Ta), solar radiation I (t), etc. will be discussed in
this section. The effect of temperature on the electrical
efficiency of a PV cell/module can be obtained by using the
fundamental equations.The basically effect leads to a relation
in the form:
From fig.4, we can see that efficiency decrease with

temperature increase.
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1
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c = ref [1- ref (Tc Tref) + log10 I(t)]
In which ref is the modules electrical efficiency at the

reference temperature, Tref , and at solar radiation of 1000
W/m2. The temperature coefficient, ref , and the solar radiation
coefficient , , are mainly material properties, having values of
about 0.0045 K and 0.12, respectively, for crystalline silicon
modules.
The quantities of ref and ref are normally given by PV

manufacturer. However, they can be obtained from flash tests
in which modules electrical output is measured at two
different temperatures for a given solar radiation flux. The
actual value of the temperature coefficient, in particular,
depends not only on the PV material but on Tref as well. It is
given by the ratio:
Fig.4 Photovoltaic cell efficiency vs. temperature
ref = 1 / (T0 Tref)

In which T0 is the (high) temperature at which the PV
modules electrical efficiency drops to zero. For crystalline
silicon solar cells this temperature is 270C.
The steady-state power balance determines cell
temperature: the input is the absorbed luminous power, which
is partially converted into useful electrical output and the rest is
III.
CONCLUSION
In this paper, the variation of solar intensity is recorded

over the year at different day time. The effect of temperature
on the performance of photovoltaic module is investigated. The
variation of PV cell efficiency as a function of temperature is
investigated and shown graphically. This work clearly indicates
a decrease in the efficiency of the PV module with increase in
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temperature. For a particular PV module, we can find out the

value of ambient temperature for a desired efficiency of PV
module.
REFERENCES
[1] Hanif M, Ramzan M , Studying power output of PV
solar panels at different temperatures. ISESCO journal of
science and technology, vol- 8, 14 Nov 2012 (9-12).
[2] Vorobiev Yu, Bulat L, Thermal photovoltaic solar
hybrid system for efficient solar energy conversion, solar
energy 80 (2006) 170-176.
[3] Abdul Jaleel J, Omega A R, Simulation on maximum
power point tracking of the photovoltaic module using
Labview, IJAREEIE, vol-1, issue 3, September 2012.
[4] Bhubaneswari Parida, S. Iniyanb, Ranko Goic. A
review of solar photovoltaic technologies, Renewable and
Sustainable Energy Reviews 15 (2011) 16251636.
[5] Parashchuk D. Yu. and Kokorin A. I, Modern
photoelectric and Photochemical Methods of Solar Power
Conversion, Russian Journal of General Chemistry, 2009,
Vol. 79, No. 11, pp. 25432555.
[6] Marcantonio Catelani, Lorenzo Ciani, Loredana
Cristaldi, Electrical performances optimization of
Photovoltaic
Modules
with
FMECA
approach,
Measurement 46 (2013) 38983909.
[7] G. Zini, C. Mangeant, J. Merten, Reliability of largescale gridconnected photovoltaic systems, Renewable
Energy 36 (9) (2011), 23342340.
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Optimum Process Scheduling Using Genetic

Algorithm in an Existing Machine Layout
Samyajit Talukdar1, Reetabrato Bhattacharyya2
Dr. Santanu Das3
Kalyani - 741235, West Bengal, India
e-mail 1reetabrato@outlook.com
2
samyajit_talukdar@rediffmail.com 3sdas.me@gmail.com
Abstract Choosing an appropriate machine layout plays an

important role to minimize material handling time and related
cost. It thereby improves productivity of a manufacturing
facility. There are different ways to plan machine layout in an
effective way. In the present work, standard Genetic Algorithm
(GA) is employed to find out a machine schedule to achieve
minimum handling time and cost in a typical manufacturing
industry. Eight different types of components are considered to
produce that need ten different machines. Each component needs
to undergo four to nine operations using the machines. The GA
gives an optimum result within the domain considered.
Dr. M.K. Pakhira

Kalyani - 741235, West Bengal, India
e-mail malay_pakhira@yahoo.com
any other machine. On the other hand, GT centre layout is

based on functional arrangement of machines, when productmix changes frequently.
GA;
machine
4
1
layout;
m1
robot
I.
m5
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E
I
In cellular manufacturing, the cell or machine layout

problem is basically concerned with finding the best
arrangement of machines in each cell. Three major types of
arrangements in the GT cell are the single-row, multi-rows or
loop layout, as shown in Fig. 1.
The single-row layout is used when the parts assigned to the
group follow the same machine sequence. The multi-row, or
GT cell layout, permits a part to move from any machine to
m2
m5
m6
(b) multi-row layout

m1
m2
INTRODUCTION
Plant layout problem deals with finding out the best

arrangement of physical facilities to provide an efficient
operation. Layout affects the cost, time and throughput of
material handling, and hence, overall productivity and
efficiency of the plant [1][2]. Layout of machines depends on
the type of manufacturing industry. In a case where product
volumes are high and varieties are low, that is known as flow
shop process, layout is normally based on type of product.
However, in job shop manufacturing, there is large variety of
products with low production volume, and it needs job shop
layout [3]. Group technology (GT) or cellular manufacturing
is usually applied to manufacturing systems that has fairly
large variety with fairly big product volume. Cellular layout
suites this condition. Another type of product layout is the
fixed product layout in which production equipment moves
toward the product.
m4
m3
(a) single-row layout
Keywordsgenetic algorithm;
minimization; handling time.
m1
m1 m2 m3 m4 m5
m3
m4
(c)semi-circular layout
m2
m3
m8
m4
m7
m6
m5
(d) loop layout
Fig. 1 Types of layout in the GT cell
The development of the GT layout basically involves 3

steps [4] such as formation of part family, machine layout, and
arrangement of cells. Each of these steps is a combinatorial
problem and many heuristics have been proposed over the
years to solve them.
Hassan and Albin [5] did an extensive study on the type of
data required in the machine layout problem. The machine
layout data was considered in a hierarchy depending on the
designed layout. Machines can be arranged in a single row,
multi-row, or loop layout depending on the sequence of
operations. The single row layout may assume different
configuration such as semi-circular, linear or U-shaped. The
multi-row layout is usually linear and the movements of parts
can be between any machines in different rows as well as in
the same row, which is suitable for FMS. In the loop layout
(Fig. 1), machines are arranged in an oval path with
unidirectional movement. A detailed description of this layout
is given by Kouvelis et al. [6].
The type of the machine layout are affected by a number of
factors, namely the number of machines, available space,
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Hence, the resultant layout will actually minimize the cost of

travelling the distance. Unlike the single-row layout, the
material handling equipment used for the multi-row layout
was AGVs or human operators to handle fork lifts or other
equipment. The GA was also successfully applied in many
fields for solving optimization problems, such as maneuvering
an overhead crane [17], preparing an optimum time table of a
city tram service [18], controlling the joint position of a
humanoid robot [19], etc.
similarity of sequences and the material handling system used

[7].
The type of material handling equipment determines the
travel time, and affects throughput and flexibility of the FMS.
Ideally, developing machine layout, and selecting handling
equipment need be considered simultaneously, but,
combinatorial nature of these poises difficulty to adopt this
consideration [5][7].
To choose a machine layout, detailed analysis needs be
done on the routing of parts, volume moved, distance,
frequency of move, rate with which the part travels and the
cost of the move [1]. Some common techniques used had been
assembly charts giving the graphical representation of flow of
parts, operation process charts, multi-product process charts,
string diagrams, and from/to charts, etc.
It can be stated that different methods, especially the GA,

was successfully used to solve machine layout problem. In the
present work, the GA is used to find out an optimum schedule
of machining of eight components to apply to the existing
layout of ten machine tools such that handling time and related
cost would be minimum corresponding to the present problem.
II.
Quantitative approaches were also tried for optimizing the

location of equipment with the movement of material [1].
Among the techniques used to solve the layout problems are
linear programming, assignment problem, transportation
programming, transshipment programming, and integer
programming, etc.
Genetic algorithm (GA) was introduced by John Holland in

1970s. It works very well on continuous and discrete
combinatorial problems. It is computationally less expensive
and suits well to solve a host of combinatorial problems,
although the GA is susceptible to have local optima. Genetic
algorithm is a heuristic search algorithm based on
evolutionary ideas of natural selection through the survival of
the fittest following the principles introduced by Charles
Darwin [14].
Koopmans and Beckman developed [8] a quadratic

assignment problem (QAP) model to solve for the multi-row
layout with an aim to minimize the material handling cost. The
QAP was also tried successfully by Garey and Johnson [9].
Simulated annealing and genetic algorithm were also
employed to settle machine layout. Suresh et al. used [10] a
genetic approach to solve the facility layout problem, where
the objective was to minimize the cost of interaction between
various departments. Hassan described [7] the differences
between machine layout and facility layout or block layout.
Banerjee and Zhou formulated [13] the facilities design

optimisation problem for a single-loop layout using genetic
algorithms. The algorithm was developed is for the cell
systems layout, and hence, did not consider the layout of
machines within a cell.
A genetic algorithm (GA) is an adaptive search technique
which imitates the process of biological evolution [14]. A
method using genetic algorithms was developed to solve the
machine layout problem by Chipperfield et al. [15], Ghosh et
al. [16], and others. Single-row layout, associated usually with
the flow-line problems, and multi-row layout appropriate to
job-shop problems were considered in these works. Since the
cost associated with the layout is proportional to the distance
travelled by the parts, the algorithms developed had the
objective of minimizing the distance travelled by the parts.
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In a genetic algorithm (GA), some genetic operators are

used to reach the optimal solution. Standard genetic operators
are selection, crossover, mutation, fitness scaling, inversion,
etc. Determining an objective function, evaluating fitness
values, and providing a penalty function are inherent for the
working of a typical genetic algorithm [14].
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Kouvelis et al. minimized [11] total backtracking distance

for material handling in a row layout of an automated
manufacturing system. Gupta et al. used [12] GA to find part
family as well as the layout between cells with linear single or
double row layout. The actual layout of machines within cells
was not considered in this work.
THE GENETIC ALGORITHM
III.
THE GA APPLIED FOR SCHEDULING MACHINING

PROCESSES
The GA is applied in this work to solve a machine layout

problem. The genetic algorithm (GA) is used in this work as
detailed by Goldberg [14] and later used by Ghosh et al. [16].
A multi-row layout of ten machine tools existing in the
manufacturing shop is shown in Fig.1.
These machine tools are to employ to manufacture eight
different components. Each component requires different
machining operations to perform on it using suitable machine
tools for its finishing. Number of batches of a part (frequency)
to produce on each of ten machines may be different, or may
sometimes be the same, as shown in the row matrix, V.
V = [4 1 2 2 3 5 4 1 6 8].
First element of this matrix signifies that the first machine
tool has the task to machine 4 batches of components while
the second element related to second machine tool has only 1
batch of components to machine. Sequence of machining
processes required are given by the sequence matrix, B in
which the ith row corresponds to the machine tools needed to
163 of 446
The objective function [4] is given as follows:
carry out machining of ith component in sequence to initialize.

Table 1 shows the technological constraints for the
manufacture of each component.
B =
1 2 3 4 5 7
0 2 4 7 8 9
0 1 2 5 6 8
1 5 4 8 7 9
0
2
0
1
3
1
4
4
3
7
5
4
9
8
8
Obj = min
fij c ij d ij
i =1 j =1
(1)
where,
fij = frequency/volume of movement
cij = cost to move one unit load per one distance unit between
two machines
dij = distance between machine i and j
TABLE 2. VALUES OF THE PARAMETERS USED
TABLE 1. TECHNOLOGICAL CONSTRAINT

------------------------------------------------------------------------Part 1: Machining 1 should be before Machining 6.
Part 2: Machining 2 should be before Machining 4, before
Machining 7, before Machining 5.
Part 3: Machining 7 should be before Machining 8.
Part 4: Machining 2 should be before Machining 8, before
Machining 9.
-------------------------------------------------------------------------
Conditions
Generations
Population Size
Crossover
Probability
Mutation
Probability
In the present problem, eight parts have been considered

for manufacturing. There are 10 machine tools which can be
used for the manufacturing process. Eight different parts can
undergo from a single to 10 different machining processes.
The optimal machining sequences for each part have been
found out using GA. Based on the optimal sequences the parts
can be classified in different group (according to
manufacturing attributes) and the optimal cell formation can
be obtained for a machine layout problem. The values of the
genetic parameters used are given in Table 2. Maximum
number of generations are allowed up to 50 first, and then it is
extended to 100 to find out any benefit achievable by it.
3
10
10
0.8
4
10
10
0.8
5
100
10
0.8
6
100
10
0.8
7
100
10
0.8
8
100
10
0.8
0.03 0.05
0.1
0.2 0.03
0.05
0.1
0.2
Assuming the cost cij remain constant, the objective would

be reduced to minimizing the total distance travelled for the
parts.
The penalty cost function used is slightly modified over
that given by Abe et al. [20]. The penalty cost function used in
this work is given by
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PC = K .n.3
generation
no._ of _ generation
(2)
where,
PC = Penalty cost
K = Number of stations or machines
N = Number of constraints
The chromosome representation is based on the
permutation of integer which represents the machine numbers,
where the location of the gene represents the location of the
machines [4]. For example: chromosome {5 2 1 3 4} would
represent a layout shown in Fig. 2.
The initial population is generated by permutation of each

chromosome. Each chromosome consists of genes
representing machines required for their machining. To each
pool, GA is applied using Roulette Wheel Selection, Partially
Matched Crossover (PMX) [12], Mutation and Elitism. Elitism
is used here to preserve the best chromosome of each pool.
The technological constraints have been kept in mind. Each
generated chromosome corresponding to each part is checked
for validity with the imposed technological constraints. If the
tested chromosome is found invalid, a heavy penalty cost is
charged to prevent its further selection into new pool.
The criterion most often used in the layout problem is to
minimize the travel cost of the parts, with the cost related to
the distance traveled. Consequently, the objective is
formulated as minimizing the total traveling distance of parts.
1
2
10 10
10 10
0.8 0.8
5
location 1
3
location 4
2
location 2
1
location 3
4
location 5
Fig. 2. Machine layout for chromosome {5 2 1 3 4}

The distances between locations, as well as the possible
locations of machines, are found out first, and hence, the
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fitness values which show remarkably less value. Hence, these

sequences may be chosen for adopting in the present case.
objective is to find the best position of machines that would

minimize the total distance travelled by parts. Another
important data required for the layout problem is the
frequency of movement between machines, which indicates
the number of times a part has to move from one location to
another.
IV.
Total travel length (Fitness value)

400
350
300
SIMULATION RESULTS AND DISCUSSIONS
250
200
The data used in this work are shown in sequence matrix

V, Table 1 and Table 2. Fig. 3 shows the evolution of the
machining sequences at different generations corresponding to
mutation probability of 0.1. The amount of backtracking for
this example has been reduced by 198 units or by 53% from
the initial random layout generated. In this example, each part
undergoes from 4-9 different operations, which are being
processed in different machines. With a mutation probability
of 0.05, variation of total travel length with number of
generations is shown in Fig. 4. These results are comparable
with that of Fig. 3 corresponding to mutation probability of
0.1.
150
100
50
0
1
350
300
250
200
150
100
50
0
1
17
25
33
41
49
57
65
73
81
89
97
No. of generations
Fig. 3. Variation of total travel length with number of

generations with mutation probability of 0.1
Sample results of the genetic algorithm corresponding to
initialized random sequence and the last generation is given in
the following. In this, cross over probability of 0.8 and that of
mutation of 0.05 are used. After determining the fitness values
for the initialized random sequence, 100 generations of the
GA are allowed, and results obtained after this are presented.
Chromosomes related to each of the component types indicate
the machine sequence and these are evaluated in terms of
36 43 50 57 64 71 78
No. of generations
85 92
99
Initial Length
Travel length
Reduced Length
400
350
300
250
200
150
100
50
0
372
372
372
372
372
372
372
372
175
184
182
174
176
174
176
174
4
5
Conditions
4
1
Fig. 5. Movement of each part from generation 1 to

generation 20
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Length of travel (Fitness value)

400
15 22 29
Fig. 4. Variation of total travel length with number of

generations with mutation probability of 0.05
To give an indication of the complexity of the problem, the

possible combination for n locations is n!. Hence, there are
10!, or 3.6288 x 106, possible combinations. The GA-based
method is able to find the solution in a matter of a few minutes
compared to using enumerative methods.
Fig. 5 shows an example of how the movement of one part
is simplified as the layout evolves from generation 1 to
generation 20 corresponding to 10 machines and 8 parts. Each
part undergoes between 4 to 9 operations, and the total travel
distance is reduced from 372 to 174. The reduction in the
traveling distance reduces the cost of traveling as well as time
of traveling from one machine to another.
Sample Result for Condition No. 6 of Table 2
Population size
: 10
Total No. of generations : 100
Cross over probability
: 0.800000
Mutation probability
: 0.050000
---------------------------------------------------... Initializing ...
---------------------------------------------------Part[0]:1256
Fitness:20.000000
Part[1]:123457
Fitness:30.000000
Part[2]:024789
Fitness:27.000000
Part[3]:0125689
Fitness:28.000000
Part[4]:154879
Fitness:34.000000
Part[5]:01479
Fitness:176.000000
Part[6]:23458
Fitness:37.000000
Part[7]:013489
Fitness:20.000000
Initial Length of Travel: 372.000000
****************************************
*
CONSOLIDATED RESULT
*
****************************************
Chromosome [1]:2165
Fitness [0]:12.000000
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Chromosome [2]:127435 Fitness [1]:8.000000

[7]
[8]
[9]
[10]
Reduced Length of Travel: 174.000000

Percentage of Reduction: 53.226%
=========== END OF REPORT ==========
V.
[11]
[12]
CONCLUSIONS
[13]
In the present work, Genetic Algorithm is used to solve a

machine layout problem associated with a manufacturing cell
to find out optimal sequence of operations for each part to
manufacture.
The GA gives a minimum distance of part travel from one
machine to another machine satisfying all the restrictions and
technological requirements that would help in achieving good
productivity.
[14]
[15]
[16]
REFERENCES
[1]
[2]
[3]
[4]
[5]
[6]
J.M. Apple, Plant Layout and Material Handling, Wiley, Michigan,

1977.
M.M.D. Hassan, Layout design in group technology manufacturing,
Int. Journal of Production Economics, Vol. 38, Part 2-3, pp.173-188,
1995.
J.B. Dilworth, Operation Management, 2nd Edition, McGraw Hill, 1996.
N. Morad, Optimization of Cellular Manufacturing Systems Using
Genetic Algorithms, Ph.D. Thesis submitted to University of Sheffield,
1997.
M.M.D. Hassan, and M. Albin, Managing data requirement for the
machine layout problem, Int. Journal of Computer Applications in
Technology, Vol. 7(1-2), pp. 28-37, 1994.
P. Kouvelis, Chiang, and M.W. Kim, Unidirectional loop network
[17]
layout problem in automated manufacturing systems, Operations

Research, Vol. 40(3), pp. 533-550, 1992.
M.M.D. Hassan, Machine layout problem in modern manufacturing
facilities, International Journal of Production Research, Vol. 32(11), pp.
2559-2584, 1994.
T.C. Koopmans and M. Beckman, Assignment problems and location
of economic activities, Econometrica, Vol. 25(1), pp. 53-76, 1957.
M.R. Garey, and D.S. Johnson, Computers and Intractability: A Guide to
the Theory of NP-Completeness, Freeman and Co., New York, 1979.
G. Suresh, V.V. Vinod, and S. Sahu, A genetic algorithm for facility
layout, Int. Journal of Production Research, Vol. 33(12), pp. 34113423, 1995.
P. Kouvelis, W.C. Chiang, and G. Yu, Optimal algorithms for row
layout problems in automated manufacturing systems, IIE Transactions,
Vol 27, pp. 99-104, 1995.
Y. Gupta, M. Gupta, A. Kumar, and C. Sundaram, A genetic algorithmbased approach to cell composition and layout design problems, Int.
Journal of Production Research, Vol 34(2), pp. 447-482, 1996.
P. Banerjee, and Y. Zhou, Facilities layout design optimization with
single loop material flow path configuration, Int. Journal of Production
Research, Vol 33(1), pp.183-203, 1995.
D.E. Goldberg, Genetic Algorithms in Search, Optimization and
Machine Learning, Addison-Wesley, 1989.
A. Chipperfield, P. Fleming, H. Polheim, and C. Fonseca, Genetic
Algorithms TOOLBOX, for Use with MATLAB: User Guide,
Research Report No. 512, Department of Automatic Control and
Systems Engineering, 1994.
S. Ghosh, S. Samanta, and S. Das, Optimum scheduling of a robotassisted assembly task using genetic algorithm, Proc. of the Conf. on
Advances and Recent Trends in Manufacturing, Kalyani, India, 2003,
pp. 337-343.
K. Deb, and N.K. Gupta, In search of optimal operating principles of an
overhead crane maneuvering using multi-objective evolutionary
algorithm, Genetic and Evolutionary Computation GECCO-2004,
Lecture Notes in Computer Science, Vol.3102, 2004, pp. 1042-1053.
H. Kwasnicka, and B. Molecki, Timetabling of city tram service using
a genetic algorithm, Proc. of the Workshop on Intelligent Information
Systems, Ustron, Poland, 1999.
D. Kee, G. Wigeth, and J. Roberts, Improved joint control using GA of
a humanoid robot (GuRoo), Proc. of the 2003 Australian Conf. on
Robotics and Automation, Brisbrane, Australia, 2003.
K. Abe, T. Yamada, and M. Matsui, A Design Problem of Assembly
Line Systems using Genetic Algorithm under the BTO Environment,
IEEJ Trans. EIS, Vol.126, 2006.
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1
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A
[18]
[19]
[20]
166 of 446
A REVIEW ON PARAMETRIC PERFORMANCE

OF SOLAR STILL
Naga Sarada Somanchi
Hima Bindu Banoth

JNTU H College of Engineering Hyderabad
Kukatpally, Hyderabad, A.P, India
e-mail: nagasaradaso@gmail.com

e-mail: nagasaradaso@gmail.com
Ravi Gugulothu
e-mail: ravi.gugulothu@gmail.com
Mohan Bukya
Department of Electrical and Electronics Engineering
Koneru Lakshmaiah University,
Guntur, A.P, India
e-mail: mohanbukya@gmail.com
Abstract To combat the present and future energy supply

challenges which are associated with shortage of the non renewable
natural resources, like coal, gas and oil as well as to mitigate the
increasing concentration of gaseous CO2 in the atmosphere, there is a
need to explore alternative energy sources.
Water is a natures gift and it plays a key role in the development of
an economy and in turn for the welfare of a nation. Due to increase in
population and human activities, fresh water is getting depleted and
polluted. Non availability of drinking water is one of the major
problem faced by both the under developed and developing countries
all over the world. In future, we should depend on oceanic and
brackish water resources for fulfilling our demand of water. Today,
majority of the health issues are owing to the non availability of clean
drinking water.
Potable water is a basic necessity for human being. Solar energy is
available in abundant, free of cost and hence solar distillation is the
best solution for obtaining clean drinking water. Solar still is a simple
device which can convert available waste or brackish water into
potable water using solar energy. Clean water is evaporated from the
brackish water and condensed on the glass cover, which is drained
out for use. Two major groups of solar distillation devices are: active
solar still and passive solar still. In passive systems, solar energy is
the only source of the energy while in active systems, extra thermal
energy is obtained with the addition of pump and collector. A
detailed review on previous experimental investigations done by
other researchers in the field of solar distillation using active and
passive techniques is made in this paper.
Keywords Solar, desalination, distillation, Energy storage
materials, active and passive techniques.
I.
INTRODUCTION
Water is the only available source of drinking and it is the

gift of god on this beautiful earth. The availability of drinking
water is reduced day by day due to increase in the population
and industrial usages. Desalination of brackish or saline water
using solar energy is a good method to get fresh water.
4
1
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which requires electricity for its operation. Solar still is a useful

device that can be used for distillation of brackish water.
The basic principle of solar water distillation is the suns
energy which heats water to the point of evaporation. The
incident solar radiation on solar still is transmitted through an
inclined glass cover to the water which is available in the solar
still. The water absorbs the solar radiation, gets heated up
causing the vaporization of water. The evaporated water
particles condense on the glass cover and the condensed
distilled water exits through the outlet channels. This process
removes impurities such as salts and heavy metals as well as
destroys microbiological organisms. Finally, the saline or
impure water is purified by using this technique.
Solar thermal systems: The purpose of using any type of
solar thermal collector is to convert the solar radiation into heat
to be used in a specific application, whether domestic or
industrial. We have two different types of thermal systems.
They are active and passive thermal systems. Active systems
use electric pumps, valves and controllers to circulate water or
other heat transfer fluids through the collectors. Passive solar
technologies are means of using sunlight for useful energy
without use of active mechanical systems. In such
technologies, thermal energy flow occurs by radiation,
conduction and natural convection. Passive systems have the
advantage that electricity outage and electric pump breakdown
are not issues. This makes such systems generally more
reliable, easier to maintain and possibly longer lasting than
active systems. Active systems are more efficient, but active
systems are more expensive than passive systems.
So many experimental investigations were conducted on
solar distillation techniques in many countries like India, Iran
and Iraq, Jordan, Turkey etc. The work done by previous
researchers in obtaining distilled water using solar energy in
different methodologies is listed below:
Among active and passive systems, passive solar system is

preferred because it is cheaper compared to active solar still.
Moreover, in active solar system, there is a need of pump
Sponsors: Dr. K.Vijaya Kumar Reddy, Department of Mechanical Engineering, JNTUH College of Engineering, Hyderabad and My Dear Parents.
167 of 446
S.No
Authors
Year of
Publication
Distillation
Process
Augumented by
50 ppm
100 ppm
50 ppm
Black
172.5 ppm
50 ppm
Green
100 ppm
Black rubber mat
Black ink
Black dye
Cover tilt angles are: 150,
250, 350, 450 and 550
Collector Inclination
Red
Anil K Rajvanshi
1981
(USA)
Solar still
Adding Dyes
Bilal A Akash
et al
1998
(Jordan)
Single basin
solar still
Bilal A Akash
et al
2000
(Jordan)
Solar still
Sanjeev Kumar
et al
2000
(India)
Active solar still
Nafey A.S
et al
2001
(Egypt)
Irene De Paul
2002
(Argentina)
Safwat Nafey
et al
2002
(Egypt)
Valsaraj.P
Al-Kharabsheh.S
and
Yogi Goswami.D
10
Fath H.E.S
et al
11
Hikmet S Aybar
et al
2002
(India)
Solar still with

black rubber
Solar still with
gravel
Basin type solar
still
Solar still with
floating
aluminum
perforated black
plate
S
E
2003
(USA)
Water
desalination
system
Thickness: 10 mm
20%
Size: 20-30 mm
19%
Glass inclination angles 200,

450
450 is optimum
3 cm
15%
4
1
6 cm
40%
Normal still
Perforated and black
Aluminium sheet
Aluminium sheet folded into
V wave
1600 kg/m2
Flat basin solar still
3-4 kg/m2/day
Low grade solar heat
6.5 kg/m2/day
Pyramid shaped
Single sloped
Bare plate
Black cloth wick
Black fleece wick
Open cycle
Closed cycle
Single stage solar
desalination
K2Cr2O7
KMnO4
Violet dye
30%
33%
1290 ml/day
1705 ml/day
2995 ml/day
More efficiency
in closed cycle
15%-26%
(8.5 l/2m2 /day)
17%
26%
29%
Evaporative
heat transfer
coefficient is
more at 0.15 m
water depth
3.5-5.4
kg/m2/day
Solar still
2005
(Turkey)
Three different
variants
Janarthanan.B
et al
Joseph.J
et al
2005
(India)
2005
(India)
Floating tilted
wick solar still
14
Nijmeh.S
et al
2005
(Jordan)
Single basin
solar still using
15
Rajesh Tripathi and

Tiwari.G.N
2005
(India)
Active solar
distillation
Different water depths are

0.05 m, 0.1 m, 0.15 m
16
Hikmet S Aybar
2006
(Turkey)
Solar still
Inclined at 300
13
Solar still
200
150
2003
(Egypt)
12
350 optimum
Still glass cover
30 mm water
depth
Efficiency
(Distillate)
3.60 kg
3.05 kg
4.31 kg
5.60 kg
5.55 kg
5.19 kg
38%
45%
60%
1700 kg/m2
43%
2400 kg/m2
168 of 446
17
Imed Houcine
et al
2006
(Tunisia)
18
Rajesh Tripathi and

Tiwari.G.N
2006
(India)
Solar
desalination
Solar stills for
different depths
of water are
0.05 m, 0.1 m,
0.15 m
June 2003
August 2003
516 l/day
355 kg/day
Active still
Active still
produces more
distilled water
Passive still
0.5 cm
19
Muafag Suleiman K
Tarawneh
2007
(Jordan)
2.0 cm
Solar still with

varying water
depths
3.0 cm
4.0 cm
20
Phadatare.M.K
and
Verma.S.K
2007
(India)
0.02 m
0.04 m
0.06 m
0.08 m
0.10 m
Solar still with

different water
depths
0.12 m
21
Anil Kr.Tiwari
and
Tiwari.G.N
2008
(India)
22
Hitesh N Panchal
2008
(India)
23
Selva Kumar.B
et al
24
Velmurugan.V
et al
2008
(India)
Solar still with

cover
inclination
angle
Single slope
solar still
Double slope
solar still
Stepped solar
still using
Rahul Dev
and
Tiwari.G.N
2009
(India)
Passive solar
still with
27
Velmurugan.V
et al
2009
(India)
Solar still
28
Velmurugan.V
et al
2009
(India)
Stepped solar
still with
26
Sponges
Fin
Backed helical wires

Solar still with
Khaled M S Eldalil
Without charcoal
With charcoal
With boosting mirror
Boosting mirror and charcoal
Stepped solar still alone
Sponges + Fin
2009
(Egypt)
25
4
1
Using sprinkler
(Latitude angle less than 150)
V type solar
still
S
E
2008
(India)
150, 300, 450
Vibration
Inclination angles of glass
150, 300, 450
Water depths 0.04m, 0.08m,
0.12m, 0.16m
Using Pebbles
Using Baffles
Using Fin and Sponges
Solar still alone
Fin
Fin + pebble
23%
(6.693 l/day)
18%
(5.883 l/day)
19%
(5.756 l/day)
19%
(5.660 l/day)
2.1 l/m2/day
1.9 l/m2/day
1.8 l/m2/day
1.75 l/m2/day
1.8 l/m2/day
10% to 34%
1.85 l/m2/day
150 is optimum
20%
35%
24.47%
30.05%
11.92%
14.11%
(1.01 l/8h)
60.39%
(1.62 l/8h)
76%
96%
(1.98 l/8h)
35%
(3.4 l/m2/day)
60%
(5.8 l/m2/day)
150 optimum
0.04m optimum
67%
70%
80%
0.83 l/m2
53.3%
(1.27 l/m2)
65%
(1.37 l/m2)
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Fin + sponge
Fin + pebble + sponge
29
Bechki.D
et al
2010
(Algeria)
68%
(1.4 l/m2)
98%
(1.65 l/m2)
Adding isolating dry sand to

evaporator
8.03 l/m2day
North side
South side cover

produces more
distillation
Solar still glass

cover
South side
30
Hitesh N Panchal
and
Shah P.K
2011
(India)
Solar still glass

cover thickness
31
Mahdi.J.T
et al
2011
(Iraq)
Charcoal cloth
is absorbing
material
4 mm, 8 mm and 12 mm
4 mm optimum
Indoor Test
37.7% - 28%
Outdoor Test
53.4% - 33.7%
34%
(3400
ml/m2/day)
41%
(4100
ml/m2/day)
45%
(4400
ml/m2/day)
34%
(3200
ml/m2/day)
41%
(3850
ml/m2/day)
40%
(3750
ml/m2/day)
35%
(3250
ml/m2/day)
47.5%
(4550
ml/m2/day)
41%
(3950
ml/m2/day)
36%
49%
Conventional
Water depth 50
mm
Finned
Corrugated
32
Omara.Z.M
et al
2011
(Egypt)
Quantity of
water 50 l
S
E
4
1
Quantity of
water 30 l
Conventional
Finned
Corrugated
Conventional
Finned
Corrugated
33
34
35
Rajendra Prasad
et al
Teltumbade T.R
and
Walke P.V
Sabah A AbdulWahab et al
2011
(India)
Solar still
2011
(India)
Single basin
solar still
2012
(Oman)
Inverted solar
still with
Refrigeration
cycle
Without gel
With graphite filled silica gel
Rubber mat, Black ink and
Sponge are some absorbing
materials
4 cm of water
depth
350C of sea 6 cm of water
water
depth
8 cm of water
depth
Rubber mat
gives more yield
3930 ml/day
4940 ml/day
6670 ml/day
170 of 446
4 cm of water
depth
300C of sea 6 cm of water
water
depth
8 cm of water
depth
Without dye
36
Mitesh I Patel
et al
2013
(India)
With Red dye
Single sloped
active solar still
Water depth of
10 cm
With Blue dye

With Black dye
Still alone
Black gravel
37
Sampathkumar K et
al
(India)
Solar still with
RESULTS
Energy and water are the basic necessity for all of us to
lead a normal life in this wonderful world. Solar energy
technologies and its usage are very important and useful for
the developing and under developed countries to sustain their
energy needs. The use of solar energy in distillation process is
one of the best applications of renewable energy. The solar
stills are friendly to nature and eco-system.
Local climatic condition and application are to be
considered while selection of solar still. The length of solar
still, depth of water in basin, inlet water temperature,
inclination angle of glass, free surface area of water, water
glass temperature difference, absorber plate area and solar
radiation are the major parameters which affect the
performance of the still.
From the literature review, it is observed that, previous
researchers conducted experimental investigations on
obtaining distilled water with the help of solar energy in the
presence of different water depths, varying glass cover
inclination angles, dyes and energy storage materials like
black rubber mat, gravel, sponges and pebbles. But the work
using combination of sun tracking system (single axis or
double axis) coupled with PCM, dyes, sponges and nanomaterials are limited. Hence, there is a scope to conduct
experimental investigations in this area.
BIOGRAPHIES
Naga Sarada Somanchi is a Professor in the Department of
Mechanical Engineering, JNTUH College of Engineering,
Kukatpally, Hyderabad, Andhra Pradesh, India. She has 10
years of teaching experience and 5 years of industrial
experience. Her areas of interest are: Heat Transfer and
Thermodynamics. She has 26 journal publications.
Hima Bindu Banoth is a B.Tech student in the Department
of Mechanical Engineering at JNTUH College of Engineering,
10080 ml/day
9500 ml/day
10104 ml
18.40%
(11963 ml)
25.48%
(12679 ml)
30.38%
(13173 ml)
1965 ml/day
8%
49.7%
3910 ml/day
Black gravel with evacuated

59.48%
tubes
Kukatpally, Hyderabad, Andhra Pradesh, India.
Ravi Gugulothu is a lecturer in the Department of
Mechanical Engineering at JNTUH College of Engineering
Hyderabad, Andhra Pradesh, India. He born in
Champlathanda, Dornakal Mondal, Warangal District on 4th
August 1985. He is the member of RINA (U.K). He completed
his B.Tech in JNTUH College of Engineering Hyderabad and
M.Tech from Indian Institute of Technology, Madras. He has
3 years of teaching experience. His areas of interests are
Design of Mechanical Elements, Design of Offshore
Structures, Thermal Analysis and Heat & Mass Transfer.
Mohan bukya is a Assistant Professor in the Department of
Electrical and Electronics Engineering at Koneru Lakmaiah
University, Vaddeswaram, Guntur, Andhra Pradesh, India. He
did B.Tech in Electrical & Electronics Engineering, University
College of Engineering, Kakatiya University and M.Tech in
Control Systems Engineering at IIT Kharagpur, West Bengal.
He has three years of teaching experience. His interested areas
are Control Systems, Nonlinear Control, and Optimal Control.
4
1
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Evacuated tubes
6400 ml/day
ACKNOWLEDGMENT
Foremost, I am thankful to Professor A.V. Sita Rama Raju,
JNT University for his suggestion of reading numerous
research publications in the area of solar distillation and to
write review papers. I am thankful to Professor K. Vijaya
Kumar Reddy and Professor B. Sudheer Premkumar, JNT
University and my parents for their encouragement in
preparing this review paper on solar energy.
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water desalination system using low grade solar heat, Desalination,
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Anil K.Rajvanshi, Effect of various dyes on solar distillation, Solar

Energy Vol. 27, pp: 51-65, 1981.
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Anil Kr.Tiwari and Tiwari.G.N, Effect of Cover Inclination and Water
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Journal of Solar Energy Engineering, May, Vol.130/ 024502, 2008.
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Boughali.S and Mahcene.H, Effect of partial intermittent shading on
the performance of a simple basin solar still in south Algeria,
Desalination, 260, 65-69, 2010.
[20] Nafey.A.S, Abdelkader.M, Abdelmotalip.A and Mabrouk.A.A, Solar

still productivity enhancement,Energy Conversion and Management
42, 1401-1408, 2001.
[21] Nijmeh.S, Odeh.S and Akash.B, Experimental and theoritical study of
a single basin solar still in Jordan, International Communications in
Heat and Mass Transfer, 32, 565-572, 2005.
Bilal A.Akash, Mousa S.Mohsen, Omar Osta and Yaser Elayan,

Experimental Evaluation of a single basin solar still using different
absorbing materials, Renewable Energy, Vol. 14, Nos.1-4, pp. 307310, 1998.
[22] Omara.Z.M, Mofreh H.Hamed and Kabeel.A.E, Performance of

finned and corrugated absorbers solar stills under Egyptian conditions,
Desalination 277, 281-287, 2011.
[6]
Bilal A.Akash, Mousa S.Mohsen and Waleed Nayfeh, Experimental

study of the basin type solar still under local climate conditions,
Energy Conversion and Management 41, 883-890, 2000.
[23] Phadatare.M.K and Verma.S.K , Influence of water depth on internal

heat and mass transfer in a plastic solar still, Desalination 217, 267275, 2007.
[7]
Fath H.E.S, El-Samanoudy.M, Fahmy.K and Hassabou.A, Thermal

economic analysis and comparison between pyramid shaped and single
sloped solar still configurations, Desalination, 159, 69-79, 2003.
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still, Desalination, 245, 246-265, 2009.
[8]
Hikmet S Aybar, Fuat Egelioglu and Atikol.U, An experimental study

on an inclined solar water distillation system, Desalination 180, 285289, 2005.
[9]
Hikmet S Aybar, Mathematical modeling of an inclined solar water

distillation system, Desalination, 190, 63-70, 2006.
[25] Rajendra Prasad.P, Padma Pujitha.B, Venkata Rajeev.G and Vikky.K,

Energy efficient Solar Water Still, International Journal of
ChemTech Research (IJCRGG), Vol.3, No.4, pp:1781-1787, Oct-Dec
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Single Slope and Double Slope Solar Still, XXXII National Systems
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S
E
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solar still system: Design and construction, Desalination 267, 233-238,
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4
1
[28] Sabah A.Abdul-Wahab and Yousuf Y Al-Hatmi, Study of the

Performance of the Inverted Solar Still Integrated with a Refrigeration
Cycle, Procedia Engineering, 33, 424-434, 2012.
[29] Safwat Nafey.A, Abdelkader.M, Abdelmotalip.A and Mabrouk.A.A,
Enhancement of solar still productivity using floating perforated black
plate, Energy Conversion and Management 43, 937-946, 2002.
[30] Sampathkumar K, Mayilsamy K, Shanmugam and Senthilkumar P, An
Experimental Study on Single Basin Solar Still Augmented with
Evacuated Tubes.
[31] Sanjeev Kumar, Tiwari.G.N and Singh.H.N, Annual performance of
an active solar distillation system, Desalination, 127, 79-88, 2000.
[32] Selva Kumar.B, Sanjay Kumar and Jayaprakash.R, Performance
analysis of a V type solar still using a charcoal absorber and a boosting
mirror, Desalination 229, 217-230, 2008.
[33] Teltumbade T.R and Walke P.V, Experimental Evaluation of A
Single basin Solar Still Using Different Absorbing Materials: An
Overview, International Journal of Engineering Science and
Technology (IJEST), Vol. 3, No. 4, April 2011.
[34] Valsaraj.P, An experimental study on solar distillation in a single
slope basin by surface heating the water mass, Renewable Energy, 25,
607-612, 2002.
[35] Velmurugan.V, Senthil Kumaran.S, Niranjan Prabhu.V and Srithar.K,
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Analysis, Thermal Science: Vol.12, No.3, pp. 153-163, 2008.
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Performance analysis in stepped solar still for effluent desalination,
Energy, 34, 1179-1186, 2009.
172 of 446
Differential Difference Current Conveyor (DDCC)

Based Current Mode Integrator & Differentiator
Rupam Das
Sajal.K.Paul
Department of Electronics and Communication

Engineering Asansol Engineering College
Asansol,India
das_rupam@rediffmail.com
Department of Electronics Engineering

Indian School of Mines
Dhanbad, Jharkhand, India
sajalkpaul@rediffmail.com
performance over previously reported circuits [1-5]. The

circuit performance is critically studied and verified through
PSPICE simulation.
Abstract This paper presents a new circuit realization for

current mode integrator and differentiator using single
differential difference current conveyor (DDCC) as active device.
The proposed circuits are realized without any matching
constraints. Only two grounded passive components are used,
which is attractive in IC realization. The circuit also enjoys the
attractive features, of low bias voltage, low component count,
single resistor tunability and low sensitivity performance. The
performance of the circuits is demonstrated using PSPICE.
I.
CIRCUIT DESCRIPTION
The symbolic representation of a differential difference

current conveyor (DDCC) with only Z+ output is shown in
Fig. 1.
Keywords Differential Difference Current Conveyor (DDCC),

Integrator, Differentiator,Ccurrent Mode Circuits.
4
1
Introduction
Tunable active RC integrator and differentiator networks

carry a lot of importance in microelectronic circuits and
systems. Current mode active RC integrator and differentiator
circuits serve as very useful basic building blocks for various
signal processing applications, such as, active filters, process
controller, waveform generation, and calibration circuits. Many
active RC integrators and differentiators have been reported in
the technical literature [1-4]. Recently in [5] a differential
voltage current conveyor (DVCC) based dual input current
mode integrator and differentiator is presented employing three
grounded passive components.
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Many active RC integrators and differentiators

implemented with conventional operational amplifiers (OPAMPs) or current feedback amplifiers (CFAs) have been
reported in the literature [6-9]. However all of these circuits
are in voltage-mode operation or use an excessive number of
active/passive elements.
In this paper, a simple circuit for realizing integrator and
differentiator in current mode is proposed using a differential
difference current conveyor, along with, only two passive
components. The use of grounded passive elements in the
circuits makes them suitable for using in integrated circuits
(IC). Also the circuits have high output impedance, which
enables easy cascading in current mode. The passive
sensitivities of the circuits are low. The proposed CM
integrator and differentiator circuits are realized using only
two passive components and without the requirement of
component matching; the circuit also enjoys attraction features
of low component count, low bias voltage and low sensitivity
Fig.1: Symbol of DDCC
The Y 1 , Y 2 , and Y 3 are voltage input terminals with high

input impedance. Terminal X is a low impedance current input
terminal. There is a high impedance current output terminal Z.
It can be characterized by the following matrix relations
between various voltage and current variables [6].
I Y1
0 0
VY1
I Y2
0
0
0
0
0 0
0 0
VY2
I Y3
0
= 0
VX
IZ
0 0
0
IX
IZ
VY3
The port relationship may also be represented as
IY1
VX
IZ
IY 2
V
1 Y1
IY 3
0
V
2 Y2
(1)
3 Y3
IX
173 of 446
(2)
(3)
where represents the current tracking error from X to Z

terminal. 1 , 2 and 3 represent the voltage tracking errors
from Y 1 , Y 2 , Y 3 to X terminal. Ideally 1 = 2 = 3 = =
I out
I in
sRC
(8)
1. The generalized topology for realizing various analogue

functions, based on a differential difference current conveyor
(DDCC) with only Z+ output is shown in Fig. 2.
II.
SENSITIVITY ANALYSIS
The relative sensitivity of a function F with respect to a

parameter x is defined as
S xF
x F
.
F x
(9)
The sensitivities of integrator time constant and differentiator
time constant are evaluated with respect to passive elements
are summarized as
S R =1,
S C =1
It reveals that the time constant of the proposed integrator and

differentiator circuits have low sensitivity to passive
components.
III.
Fig.2: A generalized circuit topology for realizing various analogue functions
Routine analysis of the circuit yields the following voltage

transfer function
I out
I in
1 / Z1
1/ Z 2
(4)
I out
I in
1
,
sRC
I out
I in
1
sRC
To verify the theoretical analysis of the proposed circuits, the

configurations have been simulated using SPICE circuit
simulation program. The internal circuit diagram of DDCC
used in simulation is shown in Fig.3 [10]. The DDCC is
simulated using PSPICE level 3 parameters in 0.5m
MIETEC process with supply voltage of +/-2.5V and biasing
voltage of -1.7V . The dimensions of the MOS transistors are
given in Table I. CMOS process model parameters given in
Table II.
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Where y 1 =1/Z 1 and y 2 =1/Z 2 , are two admittances of the

circuit of Fig. 2.
(a) Integrator:
If Z 1 = R and Z 2 = 1/sC then an integrator is realized,
having
SIMULATION RESULTS
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(5)
where
(RC) is the time constant of the integrator.
Reanalysis of the integrator circuit assuming non-ideal DDCC
yields,
1
(6)
(b) Differentiator:
If Z 1 =1/sC and Z 2 = R then a differentiator is realized,
having
I out
I in
sRC
(7)
where
(RC) is the time constant of the differentiator.
Reanalysis of the differentiator circuit assuming non-ideal
DDCC yields,
Fig.3 Internal structure of DDCC.
Table-I: Dimensions of the MOS transistors

TRANSISTOR
W ( m)
M1-M4
0.8
M5-M6
10
M7-M8
4
M9-M10
14.4
M11-M12
45
Identify applicable sponsor/s here. If no sponsors, delete this text box

(sponsors).
174 of 446
L ( m)
0.5
0.5
0.5
0.5
0.5
TableII: 0.5
LEVEL-3
m MIETEC CMOS Process Model Parameters
Similarly for differentiator circuit, a triangular current

waveform I in with 10A (PP) was applied, with the designed
passive component values as: C = 80nF and R = 40K. The
input and output is shown in Fig.5(a) and Fig.5(b)
respectively. It verifies that the proposed differentiator circuit
also performs well.
.MODEL NT NMOS LEVEL=3

+UO=460.5 TOX=1.0E-8 TPG=1 VTO=.62 JS=1.8E-6
+XJ=.15E-6 RS=417 RSH=2.73 LD=0.04E-6 ETA=0
+VMAX=130E3 NSUB=1.71E17 PB=.761 PHI=0.905
+THETA=0.129 GAMMA=0.69 KAPPA=0.1 AF=1
+WD=.11E-6 CJ=76.4E-5 MJ=0.357 CJSW=5.68E-10
+MJSW=.302 CGSO=1.38E-10 CGDO=1.38E-10
+CGBO=3.45E-10 KF=3.07E-28 DELTA=0.42
+NFS=1.2E11
.MODEL PT PMOS LEVEL=3
+UO=100 TOX=1E-8 TPG=1 VTO=-.58 JS=.38E-6
+XJ=0.1E-6 RS=886 RSH=1.81 LD=0.03E-6 ETA=0
+VMAX=113E3 NSUB=2.08E17 PB=.911 PHI=0.905
+THETA=0.120 GAMMA=0.76 KAPPA=2 AF=1
+WD=.14E-6 CJ=85E-5 MJ=0.429 CJSW=4.67E-10
+MJSW=.631 CGSO=1.38E-10 CGDO=1.38E-10
+CGBO=3.45E-10 KF=1.08E-29 DELTA=0.81
+NFS=0.52E11
Fig:5(a) Shows input triangular wave of the Differentiator
To test the performance of integrator circuit a rectangular

current waveform I in with 1mA (PP) was used with the
design values of R = 50
and C = 50 F. The input and
output waveforms are shown in Fig.4(a) and Fig.4(b)
respectively. It is evident that there is good quality of
conversion from rectangular to triangular (appx.) waveform. It
verifies that the proposed integrator circuit functioning
properly.
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Fig:5(b) Shows output square wave of the Differentiator
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Fig.4(a) Shows input Square wave of the integrator
IV.
CONCLUSION
In this paper new current-mode integrator and differentiator

circuits using single DDCC and two grounded passive
components are presented. The proposed circuits are expected
to find applications in instrumentation systems, signal
processing circuits and analog filters. The realization is free
from matching constraints. The proposed circuits are
insensitive to passive component changes and suitable for IC
implementation.
REFERENCES
P. Venkateswaran, R. K. Nagaria, S. K. Sanyal and R.
Nandi, Dual-input singletunable integrators and
differentiators using current feedback amplifier, Int. J.
Electronics, Vol.90, No.2, pp.109-115, 2003.
[2] [2] J. L. Lee and S. I. Liu, Integrator and differentiator
with time constant multiplication using current feedback
amplifier, Electronic letter, Vol.37, pp. 331- 333, 2001.
[3] [3] J. L. Lee and S. I. Liu, Dual-input RC integrator and
differentiator with tunable time constant using current
feedback amplifiers, Electronics letters, Vol.35, pp.19101911, 1999.
[1]
Fig:4(b) Shows output waveform of the integrator
175 of 446
[4]
[5]
[6]
[7]
[8]
[9]
[10]
J. Y. Lee and H. W. Tsao, True RC integrators based on

current conveyors with tunable time constants using
active control and modified loop technique, IEEE
Transactions on Instrumentation and Measurement, Vol.
41, No.5, pp.709-714, 1992.
S. Minaei, Dual-input current mode integrator and
differentiator using single DVCC and grounded passive
elements, IEEE MELECON 2004, pp.123-126, 2004.
S. Franco, Design with Operational Amplifiers and
Analog integrated circuits (New York: McGraw Hill,
1988).
S.K. Sanyal, U.C. Sarker, and R. Nandi, Increased timeconstant dual-input integrators, IEEE Transactions on
Instrumentation and Measurement, Vol. 39, pp. 672-673,
1990.
U.C. Sarker, S.K. Sanyal, and R. Nandi, A high-quality
dualinput
differentiator, IEEE Transactions on
Instrumentation and Measurement, Vol. 39, pp. 726-729,
1990.
J.Y. Lee, and H.W. Tsao, True RC integrators based on
current conveyors with tunable time constants using
active control and modified loop technique,. IEEE
Transactions on Instrumentation andMeasurement, Vol.
41, pp. 709-714, 1992.
P.V.S.Murlikrishana,Naveen Kumar,R.K.lal ,Differential
Difference Current conveyor based cascadable voltage
mode first order all pass filters, Recent Rsearches in
Circuits, Systems, Communication and Computers,
pp.128-131,2011.
4
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Performance Analysis of 2-Stroke Gasoline Engine by

Using Compressed Air
Rahul Nath Tripathi
Pushpendra Kumar Singh Rathore

GLA University
Mathura
rntrahulraj@gmail.com

GLA University
Mathura
rathoresamurai@gmail.com
Abstract This paper shows that compressed air can be used as
alternate fuel for internal combustion engine and gives an
powerful option to mankind to replace the conventional fuels. An
experimental kit has been developed in order to find out certain
dynamic parameters of compressed air engine. The experimental
kit consist of an four stroke, single cylinder, 100 cc, spark
ignition engine. The engine was modified and made to run on two
strokes using a modified cam shaft. The output torque and
output power obtained is 12.08 Nm and 1.1 Kw at 400 rpm and at
1180 rpm respectively. The measured air pressure at exhaust of
the engine is above atmospheric pressure. The reading shown by
pressure sensor which is placed at the exhaust of the engine is
270 KPa at 1600 rpm. The measured outlet air temperature is
255 K at 400 rpm and 280 KPa at 1600 rpm. The cylinder
pressure was monitored using an pressure sensor, which is fixed
in place of spark plug.The pressure-volume diagram shows that
cylinder pressure increases and decreases gradually. This is
because of the lift presented in both inlet and outlet valve.
I.
INTRODUCTION
Today in every corner of the earth most commonly used
power generating system for transportation sector is internal
combustion engine which mostly uses conventional fuels like
petrol, diesel, and compressed natural gas. These fuels are
depleting day by day at a very fast rate and also exhaust
gasses produced by these fuels are very harmful to the
atmosphere and to the mankind. Therefore lots of R&D
activities focus on zero pollution vehicles and green engines
including other alternates for transportation like electric
vehicles, fuel cell vehicles, hybrid electric vehicles and
4
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I
Keywords Compressed, Engine, Power, Torque
hydrogen vehicles. Chau and Wong [1] emphasized the issue

of energy expenditure with respect to environmental
protection. Nelson [2] find out the performance and
requirements of hybrid electronic vehicles (HEV). The
electronic vehicles (EV), hybrid electronic vehicles (HEV),
and fuel cell electronic vehicles can be used as healthy and
environmental friendly replacement of conventional vehicles
[3]. All these alternatives have definitely reduced the emission
of exhaust gasses and hence pollution also but complete
eradication is still rigorously pursued. Other problems
associated with these types of vehicles are, batteries used in
EVs and HEVs takes lots of time to get fully recharged[4], the
fuel cell have got a problem of recycling. One of the best
solution of above problems is air powered car. Air as a fuel
has got lots of advantage like pollution free, abundantly
available and free of cost. Compressed air can be stored in the
air tank for use anytime, if the storage is sufficient then there
is no need to run the air compressor continuously.
Compressed air was also used in some of the vehicles for
increasing the initial torque using turbo chargers [5, 6]. In
1991, Guy Negre [7] designed a bi-energy engine
incorporating gasoline and compressed air, and then
proceeded with the creative invention of mono-energy
compressed air engine. Based on the fact that air can be used
as a fuel to power the vehicle, this study uses piston type
engine for feasibility study for vehicle applications. In our
project we uses compressed air to run the modified
compressed air engine and simultaneously investigates various
dynamic parameters of the engine.
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II. EXPERIMENTAL PROCEDURE

A single cylinder, 4-stroke engine of Hero Honda make was
modified and converted to 2-stroke in order to run on
compressed air, the detail specifications are given in table
1.The conventional IC engine was used in motorcycle for
transportation in India. In order to use it in our experimental
kit it has been disassembled from the motorcycle. Four
processes namely: intake, expansion, discharge and
compression takes place in order to complete one
thermodynamic cycle of the engine. The crankshaft completes
two revolutions during these processes. In order to run the
engine using compressed air all these thermodynamic
processes must be completed in one revolution of crankshaft.
To accomplish this goal the company fitted camshaft was
replaced by a modified cam shaft as shown in fig. 1. The new
camshaft was first designed then analyzed using pro-e and
then it was fabricated according to the calculated dimensions.
Due to this there is a small lift at inlet valve and at exhaust
valve.
valve timing diagram changes significantly, the inlet valve

will open when the piston is at TDC i.e. at 0 and remains
open at 20 after TDC. After 20 to TDC the closure of the
inlet valve is started and it is completely closed when the
crank is 45 after TDC. The exhaust valve is started to open
when the crank is at 75 after TDC, and it remains open for
the next 210 of crank rotation. The exhaust valve starts to
close when the crank is 75 before TDC. The experimental set
up consist of an air compressor (ELGI, HV 21 100) which
produces 14.9 KW of power. A tank having storage capacity
of 600 L is connected with the compressor in order to store the
compressed air. Further on this compressed air is feed into the
engine cylinder via inlet valve using pipe. The spark plug of
the engine is removed and in its place a pressure sensor (AVL,
Z121) is fixed in order to monitor the cylinder pressure. For
monitoring the inlet and outlet temperature digital
thermometer are placed at the inlet and outlet of the engine
respectively. Similarly, for monitoring the air pressure two
pressure transducers are placed at inlet and outlet of the
engine. For measuring the output power a dynamometer
having electromagnetic brakes of range 30 Nm is used. When
the engine starts the position of piston must be at the TDC,
which is adjusted using starter motor. All the data is then
gathered to a computer for further study.
Table 1. Specification of IC Engine
Company
Hero Honda, India
Engine Type
110.0 Cm3 (4-Stroke)
Horse power
7.8 HP @ 7500 rpm (Gasoline)
Torque
8.04 Nm @ 4500rpm (Gasoline)
Bore X Stroke
50.0 X 51.5 mm
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The thermodynamic cycle of the compressed air engine starts

with inlet valve opens and pressurized air from the
compressor enters the cylinder, and then the inlet valve closes.
The inlet pressure is equal to the air storage pressure. The
pressurized air strikes the piston and process of expansion
starts. This expansion of gas lasts till the piston reaches the
BDC. The movement of piston from TDC to BDC will
complete two processes. From BDC the piston starts moving
towards TDC and exhaust valve opens. The air will move out
from exhaust valve. Before the piston reaches the TDC the
exhaust valve closes and compression will start. The
movement of the piston from BDC to TDC will complete the
next two processes. Thus in the case compressed air engine all
the four processes namely : intake, expansion , compression
and discharge, which in the case of conventional IC engine get
finished at 720 movement of piston, will be finished at 360
movement of the piston. With the modified cam profile the
Fig. 1 Modified camshaft of compressed air engine
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Fig. 2 Experimental Setup
8. Engine
9. Outlet thermometer
10. Outlet pressure sensor
11. Torque Sensor
12. Electromagnetic brakes
13. Power supply
14. Data acquisition unit
1. Compressor
2. Buffer Tank
3. Inlet Pressure Sensor
4. Inlet thermometer
5. Optical tachometer
6. Flow Meter
7. Starter motor
4
1
III. Results and Discussion
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Torque (Nm)
Various performance parameters of the modified engine were

measured at a air pressure ranging from 400 KPa to 800KPa
and at rotation speed varying from 400 to 1600 rpm. The
output torque and output power of the modified engine were
calculated on the experimental kit at varying supplied air
pressures. The highest torque output 12.08 Nm was obtained
at 400 rpm and at 800 KPa. The highest power output 1.1 KW
was obtained at 1180 rpm and at 800 KPa of pressure. Fig 3
and 4 shows the variation of torque and power with rpm. Fig.
5 shows PV diagram for cylinder pressure at 1100 rpm. The
graph shows an incremental movement in cylinder pressure
with the increase in inlet air pressure and it remain constant
after a certain increase in value. In order to find out the
variation of temperature and pressure in the modified engine
thermometer and pressure sensors were installed at inlet and
outlet. Fig. 6 shows calculated efficiency of the engine at
varying supplied air pressure and rotation speed. The highest
efficiency of 15% is achieved at lower rotation speed at
around 400 rpm and then at higher rpm the efficiency gets
reduced. Fig. 7 shows the monitored outlet pressure and fig.
14
400 KPA
12
500 KPA
10
600 KPA
700 KPA
800 KPA
6
4
2
0
400
800
1200
1600
Rotation Speed (RPM)

Fig. 3 Engine torque acquired at different rotation speed and supplied air
pressures.
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Power (KW)
Efficiency (%)
8 and fig. 9 shows monitored temperature at the engine inlet

and outlet respectively at various rotation speed. As the inlet
pressure increases from 400 KPa to 800 KPa The outlet
pressure also shows a significant increment of 270 KPa.
Further if we increases the inlet pressure the pressure at the
outlet will also increases. The inlet temperature lies between
309 to 313K and temperature at the outlet decreases and lies
below the room temperature.
16
400 KPA
14
500 KPA
12
600 KPA
10
700 KPA
800 KPA
1.2
400KPA
500KPA
600KPA
0.8
0.6
700KPA
400
8OOKPA
800
1200
1600
Fig. 6 Calculated efficiency of the engine at various rotation speed and

supplied air pressure
0.4
0.2
300
0
800
1200
1600
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800
400 KPA
700
500KPA
600
600KPA
300
200
150
600KPA
700KPA
800KPA
100
50
400
800KPA
400
500KPA
700KPA
500
4
1
250
Fig. 4 Power produced by the engine at varied rotation speed and supplied air
pressures.
Cylinder Pressure (KPA)
Outlet Pressure (KPA)
400
400KPA
800
1200
1600

Fig. 7 Measured value of air pressure at engine outlet at varied rotation speed
and supplied air pressures.
200
100
0
25
50
75
100
Volume (Cm3)
Fig. 5 Measured cylinder pressure at 1100 rpm and varied supplied air
pressures.
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Inlet Temperature (K)
IV. Conclusions
314
400 KPA
313
500 KPA
600 KPA
The data gathered during the experiment shows that the

compressed ignition engine if made to run using compressed
air as a fuel by doing some modification on the cam shaft then
it will produce 1.1 KW of power and 12.08 Nm of torque
using air pressure ranging from 400 KPa to 800KPa. The
cylinder pressure will continue to rise with the increase in
value of inlet air pressure. The efficiency of the engine is high
at lower rpm and stays low at higher rpm. This is because at
higher rpm air gets less time to expand inside the cylinder.
The value of outlet pressure rises upto 270KPa at inlet
pressure of 800KPa and it will continue to rise if we uses
higher inlet air pressure. This outlet pressure can be utilized as
feed back to the storage tank in order to reduce the work done
by the compressor and hence increasing the efficiency of the
system. The outlet cylinder temperature is 257 K at 800 KPa
and at 400 rpm which will continue to fall if the air pressure is
increased furthermore, which will lead to severe lubrication
problem to certain components like piston rings, piston pin,
and crank pin. Since the power inside the engine is produced
by the expansion of the compressed air, therefore there was no
need of combustion and hence there is no production of
harmful exhaust gasses.
312
700 KPA
311
800 KPA
310
309
308
307
400
800
1200
1600

Fig. 8 Measured air inlet temperature at varied rotation speeds and supplied
air pressures.
The outlet temperature falls to 258K at 800 KPa at 400 rpm.

Furthermore if the inlet pressure increases the outlet
temperature is expected to drop. The low temperature is
obtained at low rotation speed but as the speed is increases
above 1600 rpm the temperature is also increases.
References
A
[1]
[2]
285
S
E
I
400 KPA
Outlet Temperature (K)
280
500 KPA
275
270
265
[3]
600 KPA
[4]
700 KPA
[5]
800 KPA
260
[6]
255
250
[7]
245
4
1
K.T. Chau, Y.S. Wong, Overview of power management in hybrid

electric-vehciles Energ Convers Manage 2002;43:1953-68.
R.F. Nelson, Power requirements for batteries in hybrid electric
vehicles. J Power Source 2000;91:2-26
G. Maggetto, J.V Mierlo, Electric vehicles, hybrid electric-vehicles and
fuel cell electric vehicles: state of the art and perspectives:. Ann Chim
Sci Mat 2001;26(4):9-26.
T. Robinson, Electric and hybrid vehicle technology. UK:International
press;1997.
C. Voser, C. Donitz, G. Ochsner, C. Onder, L. Guzzella, In-cylinder
boosting of turbocharged spark-ignited engines. Part 1: Model-based
design of the charge valve. Proc. Inst. Mech. Eng. Part D J. Autom. Eng.
2012, 226, 14081418.
C. Voser, T. Ott, C. Donitz, I. Vasile, C. Onder, L. Guzzella, In-cylinder
boosting of turbocharged spark-ignited engines. Part 2: Control and
experimental verification. Proc. Inst. Mech. Eng. Part D J. Autom. Eng.
2012, 226, 15641574.
Motor Development International (MDI) web page. Available online ;
http://www.theaircar.com/ (accessed on 27 August 2013)
240
400
800
1200
1600
Fig. 9 Measured air outlet temperature at varied rotation speeds and supplied
air pressures.
181 of 446
Design of Wide Band Digital Integrator and

Differentiator
Jayalaxmi Devate, Dr. S.Y. Kulkarni
Dr. K.R. Pai
E&C Department,
M.S. Ramaiha Institute of Technology,
Bengaluru, India.
E-mail:jayaa_2002@yahoo.com.
ETC Department,
Padre Conceicao college of Engineering,
Verna, Goa, India.
Abstract In this paper, we propose the design of wideband

digital integrator and differentiator where the unit delay, namely,
the operator z-1is defined as a binary fraction (1/zq, q an integer) of
the sampling period T. The transfer function for integrator
synthesized according to the above design achieves improved
bandwidth over the full-band. Differentiator is obtained by
inverting the transfer function of the integrator. Integrator and
differentiators thus obtained have magnitude response close to the
ideal ones over a wide range of frequency.
Keywords Differentiator; FIR; Frequency
Integrator; Magnitude Response; Relative Error.
I.
And that of differentiator is,

Hdiff() =||, - < .
II.
(1a)
(1b)
DESIGN
N i ()
.
D i ()
(5)
(6)
Its frequency response is,
Di (j) = 2sin()exp[j(+/2)].
(7a)
and its magnitude response is

Di () = 2sin().
(7b)
The magnitude of Di (j) approximates over low

frequencies, by modifying its gain. Similarly, Ni () [4] is
synthesized by an FIR filter function of second order of the
form
Ni (z) = z2+pz+1= (z-z1)(z-z2),
(8)
Where, z2=1/z1 and p = - (z1+1/z1).
Integrators
Let the magnitude response of the integrator be,
H i ()
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- < .
4
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Di (z)=z2-1.
INTRODUCTION
Hint() =|1/|,
N i () 1
.
Di ()
At high frequencies, the ratio between synthesized numerator

and denominator function approximates an integrator
response, subjected to degree of approximation suggested by
(3) and (4).
In [4] Di () is synthesized by an FIR filter function
of second order, namely,
response;
A digital integrator finds applications in diverse areas such

as Radar [1] and Sonar [2] signal processing and vibration
control [3].The differentiators have applications in signal
processing systems such as, control systems, instrumentation,
biomedical and communication systems. For example, in
radars, the acceleration can be computed from the position
measurements using second order differentiator [1].
The magnitude response of an ideal integrator is,
A.
H i ()
(2)
At low frequencies the numerator (denominator) function

Ni () (Di ()) are synthesized such that
Ni () 1,
(3)
Di() .
(4)
respectively, such that,
The Ticks integrator on which [4] is based, obtains an

Ni (z) 1, over a range of frequencies thus satisfying (5).If the
denominator function (6) is modified as
Di (z) = z (z-1),
(9)
then, its frequency response will be,

Di (j)=2sin(/2) exp[j(3/2+/2)].
(10)
This modification actually increases the range of

frequencies over which (4) is satisfied. It can be seen that if
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we are able to synthesize in (2) a denominator of the form

Di () = ksin(/r),
(11)
where, k is a gain constant and r is preferably a large

binary integer r=2q, q an integer, then it can be shown to yield
a wideband integrator/differentiator.
In the literature [4-6], we encounter a constraint which
stipulates that the sampling clock period T is also the unit
delay. If we can split the clocks into two, one exclusively for
sampling with frequency fs and period T and the other to
determine the system delay (z)-1, where z=z1/r with a
frequency rfs=2qfs. If r is a binary power, it is easy to obtain
both the clocks from single clock generator using a binary
divider chain.
Let the magnitude response be,
H i1 ()
N i1 ()
D i1 ()
Fig. 1 Magnitude response of proposed integrator.
The error in proposed approximation is estimated by a

Relative error (RE) defined as
(12)
The denominator Di1 () is synthesized by an FIR filter

function with r=24, unit delay (z)-1 as
where z=z
1/16
Di1 (z) =32 z (z-1),
RE | 1 H () | .
i1
Relative error is less than 1% over the entire range except at

=0. Maximum value of RE is 0.32% at =. Fig.2 shows the
plot of RE in dB.
(13)
and the corresponding frequency response,

Di1(j ) =32(2sin(/32) exp [j(3/32+/2)].
4
1
(14)
The numerator Ni1 () is synthesized by an FIR filter function
(19)
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Ni1 (z) = z (z+1),

and
(15)
Ni1(j)= 2cos(/32) exp [j(3/32)]

Therefore,
H i1 ( j )
N i1 ( j )
Di1 ( j )
cos( / 32)
32e j / 2 sin( / 32)
(16)
(17)
RE is as low as -149.7dB at very low frequencies.
and its magnitude response becomes
N i1 ()
cos( / 32)
,
H i1 ()
D i1 () 32 sin( / 32)
Fig2. Relative error in dB
(18)
Alternatively, by making Ni1() equal to unity, an

improved integrator response is obtained as shown below. The
new magnitude response is
H i 2 ( )
shown in Fig.1.which is close to ideal.
N i 2 ( )
1
.
Di 2 ( ) 32 sin( / 32)
(20)
Fig.3 and Fig.4 show the new magnitude and error

response respectively given by (20).
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The magnitude response of (23) is shown in Fig.5.
Fig. 3 Magnitude response of proposed integrator.
Fig. 5 Magnitude response of proposed differentiator.
The absolute error at =0 is zero and is maximum at =

which is of the order 0.005. Fig.6 below shows the plot of RE
in dB.
4
1
Note that the Maximum value of RE is 0.16% at =.

RE is as low as -155.8dB at low frequencies. Thus the
response given by (20) is better than that of (18).
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B. Differentiators
A wideband differentiator is obtained by using the

reciprocal of (2) as its transfer function i.e.,
1
H d (z' )
.
(20)
H i (z' )
where Hi(z) is the transfer function of the integrator.
Di1 ()
N i1 ()
32 sin( / 32)
.
cos( / 32)
The relative error is again less than 1% over the entire

range.
III.
Thus wideband differentiators obtained by inverting (18)

and (20) are,
H d1 ()
(22)
COMPARISON WITH EXISTING INTEGRATORS AND

DIFFERENTIATORS
The proposed integrators and differentiators have small

relative error over a wide range of frequencies compared to
[4-6].
and,
IV.
H d 2 ()
respectively.
Di 2 ()
N i 2 ()
32 sin( / 32)
.
1
(23)
In the
clocks (or
frequency
frequency
CONCLUSIONS
proposed integrator/differentiator, there are two

rather a single clock and a divider chain). The high
clock can be termed the system clock and the low
clock or the sampling clock is obtained by a 2N
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counter following high frequency clock. The proposed scheme

can be implemented by a simple hardware or software. By
splitting the clock, it is shown that a wideband
integrators/differentiators are obtained by using a transfer
function of order one (or a single delay). As a result, no
stability problems are encountered with the single pole placed
on the unit circle in z-plane. Suggested approximations give
the required response through simple computations and have
error less than that in [4-6]. Any function satisfying (3) and (4)
may be used to get the required response.
REFERENCES
[1]
[2]
[3]
[4]
[5]
[6]
M.I Skolnik, Introduction to Radar Systems, Mc Graw-Hill, New York

1980.
J.R.J Uriek, Principles of underwater sound, Mc Graw-Hill, New York,
1983.
T. Hodges, P.A. Nelson, and S.J Elliott, The design of a precision
digital integrator for use in an active vibration control system,
Mech.Systems Signal Process., Vol.4, no.4,pp.345-353,1990.
M. A. AI-Alaoui,Novel Approach to Designing of Digital
Differentiators Electron. Lett., July 1992.vol. 28( 15), pp. 1376-1377.
M. A. AI-Alaoui, Novel Digital Integrator and Differentiator
Electron. Lett., February 1993.vol. 29,No.4, pp. 376-1378.
Nam Quoc Ngo "A New Approach for the Design of Wideband Digital
Integrator and Differentiator." IEEE Trans. Circuits Syst. II: Express
briefs, Vol. 53, No.9, pp. 936-40, Sept. 2006.
4
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Tracking Mobile Targets Through

WirelessHART
Vaibhav V. Ukarande
Shaikh F. I.
ME(E.C.)JNEC Aurangabad, Maharashtra
Asst Prof. ,JNEC Aurangabad, Maharashtra
ukarandevaibhav@gmail.com
faisalshaikh29@yahoo.com
Abstract WirelessHART has emerged

as strong alternative to other WSN.In
this paper we are going to present
design for tracking mobile targets
through
WirelessHART in process
industries. This system can give real
time data for gas leakage areas also it
will track location of worker moving in
that particular area and alert him from
hidden danger. Field devices are
installed in factory and location of field
devices is stored in network manager
when there is gas leakage and worker
carrying handheld device moving in
leakage area then network manager will
determine location of worker by RSSI
based localization method and alert will
be given to worker and his life can be
saved.
I. INTRODUCTION
In large refineries and petrochemical
industries there is possibility of hazardous
gas or chemical leakage. In this condition
small negligence may cause heavy human
loss and economical loss. It is more
important to know location of field
engineer or worker, so that his life can be
saved by alerting him about hidden
danger[6]. With advancement in wireless
sensor networks there is huge necessity to
develop such a safety system which would
be reliable and will offer guaranteed
performance in such harsh environment.
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Key words: Wireless sensor networks,

WirelessHART,
Localization,
XDM2510H
With WirelessHART we can design such

system.
In design of this system we will have
two
types devices mainly stationary
devices i.e. field devices and mobile
devices i.e. worker carrying handheld
device. Location of field devices is already
stored in network manager database.
Network manager will maintain neighbour
table. Now when worker moves in such
areas where chemical or gas leakage has
occurred then at that time signal strength
of workers handheld device will be
calculated and neighbour table of network
manager will be automatically refreshed
and when signal strength of field device
and handheld device are matched at that
time workers location is determined and
alert will be given to worker by activating
buzzer.
II. LOCALIZATION
Localization in wireless sensor network
has grabbed attention of many researchers
recently. The real-time knowledge of the
location of personnel, assets, and portable
instruments can increase management
efficiency. Localization refers to the
process of obtaining location information
on a node with respect to a set of known
reference positions. GPS, infrared [6] are
some techniques used for localization but
GPS fails in indoor environment because
GPS and infrared signals can not go
through wall and other obstacles and
power consumption is also more in such
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devices. There are various distance

indication methods are available[4]such as
RSSI(Received signal strength indication),
TDOA(Time difference of arrival) and
AOA(Angle of arrival) out of which
TDOA and AOA can not be used be
because they suffers from line of sight
problem and requires special hardware. So
we will make use of RSSI method while
designing our application For use of RSSI
we do not require any special hardware
and it can be implemented via software
also.From experiments it is found that with
increase in distance error in RSSi
measurement increases[7]Another method
for localization is to divide area in to
number of regions and then locate workers
location if he is in that particular region.
III.
standard but specifies its own Data-link,

Network, Transport, and Application
layers.
WIRELESSHART
BASIC FEATURES OF
WIRELESSHART
WirelessHART [2] is an international
standard defined by IEC 62591-1 as of
march 2010.
Figure 1 shows It is based
on IEEE 802.15.4-2006 DSSS physical
layer with a data rate of 250 Kbps and
operating frequency of 2.4-2.483 GHz.
WirelessHART uses Time Division
Multiple Access (TDMA) technology to
communicate between network devices..
All devices are time synchronized and
communicate in pre-scheduled time
window which enables collision-free,
power-efficient, and cost effective
communication. Predefined time slots also
enable the Network Manager to create the
optimum network for any application
without user interference.
The HART[1] (Highway Addressable

Remote Transducer) Protocol is the global
standard for sending and receiving digital
information across analog wires between
smart devices and control or monitoring
system. Most automation networks in
process industry are based on traditional 420mA analog wiring, wired HART
technology plays a critical role because the
digital information is simultaneously
communicated with the 4-20mA signal. As
of version 7, HART also provides IEEE
802.15.4-based wireless mesh network..
WirelessHART [2] is a wireless
networking standard based on HART that
adds wireless flexibility to an existing
HART network. WirelessHART is first
open wireless communication protocol, it
is built on an IEEE 802.15.4 radio
platform operating in the license-free 2.4
GHz ISM band. WirelessHART uses OSI
model and is based on the PHY layer
specified in the IEEE 802.15.4-2006
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Figure 1. WirelessHART Architecture.

Like other technologies that use the
2.4GHz band, WirelessHART could suffer
with a interference from several other
sources. To tackle this problem
WirelessHART uses FHSS technique i.e.
hops across the 16 channels between 11
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to 26 defined by the IEEE 802.15.4 radio

standard.The Data Link Layer (DLL)
provides
mechanisms
for
time
synchronisation and transmission between
neighbours. it is critical to keep the clocks
of all devices in the network synchronised.
As WHART uses TDMA to avoid
collisions by assigning timeslots .
All WirelessHART devices have routing
capability, as there are no reduced function
devices (RFD) like in ZigBee[3]. Since all
devices can be treated equally in terms of
networking capability, installation, and
expansion of a WirelessHART ,network
becomes easy When interference or other
obstacles interrupt a communication path,
the
network
immediately
and
automatically reroutes transmission to
other path And because WirelessHART
uses an path optimized, redundant mesh
topology, this benefits the complete
network.
Automatic
clear-channel
assessment
(CCA)
before
each
transmission and channel "blacklisting"
can also be used to avoid specific areas of
interference and minimize interference to
others with help of blacklisting feature
which is not available in ZigBee. Channels
which are affected
by consistent
interferences could be put in the black list
and can be disabled.
WirelessHART uses two different kind
of mechanisms for message routing.Graph
routing and source routing.
Graph routing: Graph is collection
of
paths created by network manager. A
graph route consists of several different
paths from source to destination. Each
device maintains a graph table with a list
of graph ids. When the device receives a
packet containing a graph id, information
in the graph table is used to decide the next
hop.
Source routing: It is not concerned with
process related messages it work only
during network diagnostics as a
supplement to graph routing. So in this
way messages are routed in network
manager.
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1
Figure 2. WirelessHART
Components.
Network
Figure 2 shows the different Network

device
types
that
comprise
a
WirelessHART network.
Network Manager: It is responsible for the
overall management, scheduling, and
optimization of the WirelessHART
network. It provides mechanisms for
devices joining and leaving the network.
Network manager is responsible for
collecting and maintaining diagnostics and
overall health of the network and reporting
these diagnostics to the host application.
There is only one active network manager
for whole network.
Field Device: These are devices that are
connected to the process or to the plant
equipment. Router is a special kind of
WFD that does not interfere with the
process.Gateway
Manager:
Enables
communication between host applications
and WFDs in the WirelessHART network..
Handheld Device: Supports direct access
to adjacent WirelessHART field devices.
Security: WirelessHART gives hop-to-hop
security measures through encryption and
message authentication on the Network
and Data-link layers. WirelessHART
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Utilizes AES-128 block ciphers with

symmetric keys for the message
authentication and encryption.
WirelessHART defines Network, session
and join keys..Session keys are allocated
for device-to-device communications. Join
keys are provisioned using a hand-held
device. Join keys are unique to each
device. Network keys are used by data link
layer to authenticate messages on a onehop basis.
IV. METHODOLGY
In WirelessHART even though various
commands are specified already but no
command has been specified for location
determination. User can describe its own
commands at application layer. So this is
the challenging part when we think about
designing localization application.
Our Solution is as follows:
Firstly signal strength of field
devices is stored in database of
network
manager.
Network
manager maintains neighbour table
which gets updated or refreshed
after certain time and which can be
set by network manager
Locating a worker with mobile
device is done by the network
manager using trilateration method.
[5].Since neighbor health reports
are sent periodically (it can be set
by the network manger) to the
network manager.So when there is
chemical leak or gas leakage occur
and worker carrying handheld
device moves near to leakage area
at that time neighbour table will get
refreshed.
Signal strengths from field device
as well as mobile device will be
matched by network manager using
RSSI and based upon computation
he will discard untrustworthy pairs
determine location of handheld
device whose difference with field
device is minimum.
Figure 3: Discarding Untrustworthy Pairs
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V. PROPOSED IMPLEMENTATION
Hardware Platform: We are using
RFMs XDM2510H WirelessHART RF
Transceiver
Module[6],XG2510HE
gateway
manager[6]
,PIC18F24K22
IC,MQ-135 CO2 gas sensor.
CLOC
K
CIRCU
IT
MCU
POWE
R ON
RESET
WHAR
T
MODE
M
INTER
FFACE
WHAR
TMOD
EM
SENS
OR
INTER
FACE
CIRCU
ITT
CO2
SENS
OR
PROGRAM
MING
PORT
Block
Diagram
implementation.
POWE
R
SUPPL
Y
for
189 of 446
proposed
RFMS XDM2510H module[6] provides

WirelessHART compatibility, excellent
communications reliability and long
battery life in a wide range of industrial
automation applications. The XDM2510H
employs dynamic network optimization
and intelligent routing to achieve carrierclass data reliability, low latency, and
deterministic power management. The
XDM2510H is tailored for use in battery,
energy savaging and loop powered devices
for applications that demand robust
wireless network reliability.
The XG2510HE is designed to manage a
network of RFMs XDM2510H radio
modules that use Dust Networks low
power radio technology. In combination,
these products provide carrier class data
reliability, low latency, and deterministic.
The XG2510HE acts as both as a gateway
and network manager for up to 250
XDM2510H modules (motes), creating a
self-configuring, reliable wireless mesh
network.
MQ-135 sensor used will be a stationary
device. And worker will carry handheld
device which comprised of XD2510H
transceiver module and PIC controller will
be interfaced with each other. When
worker carrying this handheld device
move in leakage area his location will be
tracked as explained in methodology.
[3]
Tomas Lennvall, StefanSvensson,
Fredrik Hekland A Comparison of
WirelessHART and ZigBee for Industrial
Applications IEEE Paper 2008.
[4]
Eiman Elnahrawy, Xiaoyan Li,
Richard
Martin,
The
Limits
of
Localization Using Signal Strength: A
Comparative Study, IEEE SECON,
October 2004.
[5] Xiuming Zhu,Wei Dong,Aloysius K.
Mok, Song Han, Jianping Song, Deji
Chen,Mark
Nixon
A
Locationdetermination
Application
in
WirelessHART
2009
15th
IEEE
International Conference on Embedded
and Real-Time Computing Systems and
Applications.
[6] www.rfm.com/products/wirelesshart
[7] Is RSSI a Reliable Parameter in
Sensor Localization Algorithms An
Experimental Study by Ambili Thottam
Parameswaran,
Mohammad
Iftekhar
Husain, Shambhu Upadhyaya.
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Discussion: This is first kind of

implementation on WirelessHART with
this specialized hardware, but such a
implementation is very much costly. So
Same thing we can implement using low
cost MRF24J40 transceiver module which
supports 2.4 GHz frequency operation and
also supports proprietary protocols.
References:
[1] HCF - HART Communication
Foundation, HART7 Specification,
September 2007.
[2] Song, J et al (2008)). WirelessHART:
Applying Wireless Technology in RealTime Industrial Process Control.
190 of 446
Hysteresis Compensation using Modified Internal

Model Control for Precise Nano Positioning
Anirban Bhakta
School of Mechatronics
Bengal Engg. & Science
University, Shibpur
ani.stcet@gmail.com
Saikat Kr Shome
E&I Group
CSIR-CMERI,
Durgapur, India
saikatkshome@cmeri.res.in
AbstractOne of the crucial aspects of research in nano

technology is precision control and manipulation of devices at the
nano scale i.e nanopositioning. This paper presents a new control
scheme for the hysteresis compensation and precise positioning of
a piezo electrically actuated manipulator. This scheme follows an
adapted inverse Dahl model based Internal Model Control
algorithm. The dynamic model of the actuator is established with
the addition of Dahl hysteresis model. Results envisaged that this
control strategy improves the positioning accuracy of the system.
Moreover this proposed strategy is able to handle the possible
model uncertainty errors and errors due to measurement noise.
Arpita Mukherjee
E&I Group
CSIR-CMERI
Durgapur, India
ee.arpita@gmail.com
KeywordsMicro-nano manipulator;
model control(imc); uncertainties.
hysteresis;
internal
I. INTRODUCTION
Nano technology is the science of understanding matter
and control of matters at dimension of 100 nm or less. An
important aspect of research in nanotechnology involves
precision control and manipulation of devices and materials at
a nano scale, i.e., nanopositioning. Nano positioners are
precision mechatronic systems designed to move objects over
a small range with a resolution down to a fraction of an atomic
diameter. Micro and nano manipulators are fundamental
components for a variety of devices applied in micro and
nanotechnologies, such as scanning probe microscope (SPM),
biological cell operator, and integrated circuit chip assembly
line. They are capable of producing nanometer position
resolution, large blocking force, high stiffness, fast response
and employ a flexure-based mechanism of piezoelectric
actuators (PZTs) to deliver a submicron or sub nanometer
resolution positioning. Nevertheless PZT introduces some non
linearity due to the hysteresis property occurring at voltagedriven strategy, which attenuates the accuracy of the
manipulator.
model[6]. The efficiency of dither as an effective strategy in

the paradigm of nanopositioning has been reported in [8,11].
The performance of sliding mode control using extended
Kalman filter is studied in [12].Shaping the system input can
also serve as a promising tool against parametric plant
uncertainties [13]. The hardware model of the Feedforward
control using TMS320C6713 for piezo actuators in the context
of nano positioning is done in [14]. In the present research,
system non-linearity is developed through a second order Dahl
model which includes a lesser number of parameters. It is
assumed that the accurate system dynamics are reflected, the
finer is the positioning performance of the piezo driven micro
manipulator. Therefore an inverse Dahl model is developed
for the Internal model control technique. The implementation
of this control strategy involving the second order Dahl
hysteresis model has not been reported to best of our
knowledge. The objective of the research is to find a robust
control law which maintains system response and error signal
within prescribed tolerance despite the effect of uncertainty on
the system along with the primary advantage of using Internal
model control which is to get an efficient set point tracking.
Besides, the plant parameter uncertainty and the robustness
against the process and measurement noise are also dealt with
in the paper.
The rest of the paper is organized as follows. Section II
gives a theoretical background of the Dahl model to
appropriate the hysteresis effect. Brief description of the
conventional close loop control is given in Section III. Based
on the Inverse Dahl model and Internal model control is
demonstrated in section IV. The observations from Matlab has
been studied in section V. Section VI concludes the paper.
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Therefore hysteresis must be eliminated in order to achieve

high precision applications. One of the popular ways to
overcome the nonlinearity is to model the hysteresis first and
then develop a feedforward compensation scheme. There are a
number of hysteresis models available in the literatures. They
are Preisach model [1,2], Maxwell model [3], Duhem mode
[4], PrandtlIshlinskii model [5], Dahl model [6] and Bouc
Wen model [7].Typically, the hysteresis is compensated by
feedforward control resorting to an inverse of the hysteresis
Uma Datta
E&I Group
CSIR-CMERI
Durgapur, India
umadutta@cmeri.res.in
II. SYSTEM MODELLING AND IDENTIFICATION

A. Dynamic modeling of the system
Considering the mechanical part as linear and of second
order, and the nonlinearity arising from the PZT actuator,
dynamic model of whole system with nonlinear hysteresis can
be established as follows:
M .x D.x K .x T .u Fh
(1)
where the parameters M, D, K, and x represent the

equivalent mass, damping coefficient, stiffness, and x-axis
displacement of the XY micromanipulator, respectively. In
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addition, T is the piezo-electric coefficient, u denotes the input

voltage, and Fh indicates the hysteretic effect of the system in
terms of force.
Traditionally, the system model of can be identified by
finding the model parameters through the experiments.
Specifically, dividing by M, the left hand side equation can be
obtained as a linear second-order system in the form
x 2. .n .x n2
T
F
.u h
M
M
Fig 1Entire system overview
(2)
Where, n the natural frequency of oscillation and is the

damping ratio of the second order system.
B. Hysteresis Modeling:
It has been shown that the hysteretic force term
Fh
can be
predicted more accurately by the second-order than the firstorder Dahl model for the bearing friction in disk drive
actuators [15]. The second-order Dahl model with state space
representation
d 2F
dF
du
sgn(dx).a1.
a2 .F sgn(dx).b1.
b0 .u (3)
dt 2
dt
dt
Fig 2 Dahl hysteresis model
The second order Dahl model, which provides the hysteresis

force Fh based on the output velocities x * is shown in Fig. 2.
The time domain state representation of the equation is

0
A
a2
0
1
,
B , C b1
sgn(dx).a1
1
sgn(dx) b0
system
Parameters
q ( x)
q 1
q2 ( x)
(4)
Fh C .q
(5)
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Where the hysteresis model parameters can be derived based

on the following formulas
a1
2
peakn 1
ln(
)
peakn
T
2 a1
a2

T 2
b1 Gdc .a2
2
A
M
dx
dq
dx
Aq
Bu
dt
dt
dt
b0 s0
T denotes the period of the damped oscillation, peakn

represents the nth overshoot with respect to the steady state
values, Gdc denotes the D.C gain and S0 denotes the initial
slope respectively.
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Table:1 The Dahl model parameters adopted for the micro nano manipulator
Values
Unit
0.1828
Kg
3
2.5973 x10
N.s/m
N/m
2.6065 x 10
0.0468
a1
121.9874
a2
1.1773 x 10
b1
6
1.8485 x 10
b0
c/m
III. CONVENTIONAL CONTROLLER

A. Feedforward Control:
The input to the plant can be generated from the required
trajectory obtained through the inverse transfer function of the
plant model. The objective of feedforward control is to force
the output platform of the micromanipulator to track a given
position trajectory. Once the trajectory is assigned, the
determination of the input voltage which is applied to the PZT
is the target of the controller design. The envisaged Feed
forward control has been implemented as Fig. 3.
C. Model Implementation
Based on the dynamic plant parameters and the Dahl model
specifications the plant can be designed as a feedback system.
The entire system model is shown in Fig.1 which provides the
output displacement ( x * ) for a given reference trajectory.
Fig 3 Feedforward controller
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For a given position trajectory xd the expected input
IV. INTERNAL MODEL CONTROLLER

A. Conventional Internal Model Control
voltage can be calculated by the inverse Dahl model developed

from the system model
1
(6)
U FF Mxd Dxd Kxd Fh
T
Where, U FF is the output voltage from controller, Fh is the
hysteresis force from Eqn.(5) and
xd
is the desired trajectory.
B. Feedforward and Feedback controller

Feedforward control is an open loop system. So from the
controllability point of view it is not desired for a system.
Therefore, an additional feedback control is adopted to
compensate for the model imperfection and other disturbances
of the system. The concept is illustrated in Fig.4, where a PID
feedback controller is employed due to its robustness and ease
of implementation properties. The feedback control input can
be written as in Eqn. 7. The PID controller is demonstrated in
the Fig. 5 and Inverse Dahl model is developed in Fig. 6.
Fig 7 Block diagram of an IMC system
Consider the system shown in Fig 7 G(s) is the actual plant

model and Gm (s ) is the nominal plant model, R(s) is the
desired value, U(s) is the control, D(s) is the disturbance input,
Y(s) is the output and N(s) is the measurement noise. C(s) is
called the IMC controller and is to be designed so that y(t) is
kept as close as possible to r(t) at all the times.
From the Fig. 7, the feedback signal B(s) is
B( s) G(s)U (s) D(s) N (s) Gm ( s)U ( s)
U FB (t ) K p [e(t )
1
de(t )
e( )d Td
]
Ti 0
dt
(7)
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B( s) (G(s) Gm (s))U (s) D( s) N ( s)
(8)
Now, if the nominal and actual plant model is exact i.e

Gm ( s ) G ( s ) and the disturbance D(s) and the noise N(s) are
both zero, then B(s) is also zero and the control system is
effectively open loop. This is the condition when there is no
uncertainty. However, if
Gm ( s ) G ( s ) and D(s) and N(s) are not zero, then B(s)
Fig 4 Feedforward+ feedback control
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expresses the uncertainty of the process.

From the fig 7, we are having
Y (s) G( s)U (s) D(s)
B(s) Y (s) N (s) Gm (s)U (s)

U (s) C (s)(R(s) B(s))
Now eliminating U(s) and B(s) from the above equations
Y (s)
Fig 5 PID controller
(1 C ( s )Gm ( s )) D( s )
G ( s )C ( s ) R( s )
1 C ( s )(G ( s ) Gm ( s )) 1 C ( s )(G ( s ) Gm ( s ))
G ( s )C ( s ) N ( s )
(9)
1 C ( s )( G ( s ) Gm ( s ))
The sensitivity function S(s) that relates Y(s) and D(s) when
R(s)=N(s)=0 is
Y
1 C ( s )G ( s )
(s) S (s)
D
1 C ( s )(G ( s ) Gm ( s ))
And the complementary sensitivity function,
Fig 6 Inverse Dahl model
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(10)
T (s) 1 S (s)
C ( s )G ( s )
1 C ( s )( G ( s ) Gm ( s ))
(11)
Thus when N(s)=0, the equation becomes
Y (s) T (s) R(s) S (s) D(s)
(12)
If T(s)=1 there is perfect set point tracking. This will occur

if Gm(s)=G(s) and C(s)=1/G(s). if S(s)=0 there is perfect
disturbance rejection. Again this will occur if Gm(s)=G(s) and
C(s)=1/Gm(s).
Fig 9 Rectified sinusoidal signal
B. Modified Internal Model Structure
A. Comparison of the hysteresis loop
In this approach the IMC controller C(s) has been replaced

by a negative feedback closed loop combination of C(s) and
Gm(s). From the perfect set point tracking point of view, this
model is found to be more efficient in the presence of process
and measurement noise.
We have considered Gm(s)=G(s) and C(s)=1/Gm(s), N(s)=D(s)
0 Y (s) R(s) N (s) from Eqn. 9. This modification has
been done to remove the noise more accurately. The IMC
controller
As we go through the hysteresis plot in the Fig. 10-13, it is

observed that the area under the hysteresis loop is decreasing.
Indirectly which denotes the decrease in non-linearity.
Modified IMC gives the best performance for set point
tracking as reflected in Fig. 13
C ( s)
Now
C (s)
C ( s) / 2
1 C ( s)Gm ( s)
substituting
C(s)
by
(13)
C (s)
in
the
Y (s) ( R(s) D(s) N (s)) / 2
Eqn 9
(14)
As, D( s) N ( s) , Y (s) R(s) / 2

(15)
It is observed from the Eqn. 15 that the output trajectory has
become half of the input. So if the input trajectory is chosen
double of the required reference, there will be a perfect setpoint tracking as the external noise is sufficiently removed.
The schematic is shown is the Fig. 8.
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Fig10 Feedforward controller
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V. RESULT AND DISCUSSIONS
The effectiveness of the proposed control strategies are verified

using a rectified sinusoidal signal of amplitude 100um and
frequency 1Hz, shown in Fig. 9. The peak to peak tracking
errors and R.M.S tracking errors are tabulated for the
comparative study. Further we verify the efficiency of the
proposed control technique by varying the plant parameters by
2%.
Fig 11 Feedforward+ feedback controller
In this research, the PID controller parameters have been taken

as K p 0.12 , Ti 0.009 s, Td 0.044 s
Fig 12 Internal model controller
Fig 13 Modified IMC

Fig 8 Modified IMC structure
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A. Comparison of Set point tracking

Here we have studied the deviations from the actual
trajectory assigned to the plant. The difference between
actual path and the obtained path and the tracking errors are
highlighted for the Feedforward controller, Feedforward+
feedback controller, IMC and modified IMC in the Fig
14.a-b, 15.a-b, 16.a-b, 17.a-b respectively. The
corresponding error values are tabulated in Table 2. It is
observed that Modified IMC provides a comparatively
reduced error of
1.9 x108 as compared to the other control approaches. Here

the blue line showing the given trajectory and the green
lines are showing the output trajectory obtained from the
plant.
Fig 14.a Set point tracking of Feedforward control
Fig 14.b The tracking error of Fig 14.a
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Fig 15.a Set point tracking of Feedforward+ Feedback control
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Fig 16.a Set point tracking of IMC
Fig 17.a Set point tracking of modified IMC
Table 2: Peak to peak error and R.M.S error (m)
Control strategies
Peak to peak
error
20x107
Feedforward control
R.M.S error
6x107
Feedforward+ Feedback
control
15x107
5.85x107
Conventional
Internal
model control
Modified internal model
control
12x107
5.8x107
10x108
1.9x108
B. Performance in the presence of parameter uncertainty

The efficiency of the proposed strategy has also been
examined under the plant parameter variation. The dynamic
plant parameters like equivalent mass (M), damping coefficient (D) and stiffness (K) are varied bidirectional. The
outcomes in terms of error from the actual trajectory are
recorded in the Table 3.
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positioning System, IEEE Trans. Control syst. Technol., 15(5) pp.

867-878.
Table 3: R.M.S error under parameter variation
Control strategies
Feedforward control
R.M.S error under

parameter variation
( 2%)(m)
1.821x106
Feedforward+ Feedback control
1.79x106
Conventional Internal model control
4.056x107
Modified internal model control
7.17x107
From the above studies, we observe that modified IMC

performs more efficiently under the presence of process and
measurement noise whereas conventional IMC design gives a
satisfactory performance under plant parameter uncertainty.
But in real life environment as the plant is more prone to noise
injection, the proposed modified form of IMC is more suitable
for industry purpose.
The authors acknowledge the continuous support of the

Director, CSIR-CMERI for carrying out this research.
REFERENCES
[1]
Ge, P., and Jouaneh,M., 1995 Modeling Hysteresis in Piezoceramic

Actuators, Precis. Eng., 17(3),pp.211-221
[2]
Weibel, F., Michellod, Y., Mullhaupt, P., and Gillet, D.,2008,Real

time compensation of hysteresis in a Piezoelectric-stack actuator
tracking a Stochastic Reference,Proceeding of the American Control
Conference, pp.
[3]
Goldfarb, M., and Celanovic, N.,1997 Modeling piezoelectric stack

actuators for control of micromanipulation.IEEE trans. control
syst.technol.17(3).pp 69-79.
[4]
Stepanenko, Y and su, C-Y.,1998 Intelligent control of peizoelectric

actuators proceeding to the international conference on descision
and control, pp 4234-4239.
[5]
Bashash, S., and Jalili, N., 2007 Robust Multiple Frequency

Trajectory Tracking Control of Piezoelectrically driven Micro-nano
[7]
Ha,J.L,Kung, Y-S., Fung,R-F., and Hsien,S-C., 2006 A comparison

of fitnes function for the identification of a piezoelectric hysteresis
actuators based on the real-coded generic algorithm.sens. actuators.
[8]
S K Shome, M Prakash, A Mukherjee, U Datta, Dither Control For

Dahl Model Based Hysteresis Compensation IEEE International
Conference on Signal Processing, Computing and Control, 2013.
[9]
S K Shome, S Pradhan, A Mukherjee, U Datta, Dither Based Precise

Position Control of Piezo Actuated Micro-Nano Manipulator
proceedings of 39th Annual Conference of IEEE Industrial
Electronics Society, Austria, 2013.
[11] S Pradhan, S K Shome, M Prakash and M K Patel, "Performance

Evaluation of Dither Distributions of Piezo Electric Actuators for
Nano-Positioning" in proceedings of IEEE International Conference
on Control, Automation, Robotics and Embedded System (IEEE
CARE), India, 2013.
[12] QingsongXu and Yangmin Li.Sliding Mode Control of a PiezoDriven Micropositioning System Using Extended Kalman Filter.
Proceedings of the 2010 IEEE International Conference on
Automation and Logistics August 16-20 2010, Hong Kong and
Macau
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ACKNOWLEDGMENT
Q.Xu,Y.Li, Dahl Model-Based Hysteresis Compensation and

Precise Positioning Control of an XY Parallel Micromanipulator
With Piezoelectric Actuation. journal of dynamic system,
measurement and control, ASME, 2010.
[10] M Prakash, S K Shome and S Pradhan, "A Comparison of Dithers for

Hysteresis Alleviation in Second Order Dahl Model Based
Piezoelectric Actuator" in proceedings of IEEE International
Conference on Control, Automation, Robotics and Embedded System
(IEEE CARE), India, 2013.
VI. CONCLUSION AND FUTURE SCOPE

In this experiment, the basic control schemes such as
conventional Feedforward control representing the open loop
system and PID control as a closed looped version have been
compared with the robust Internal Model Control approach.
The results demonstrate the effectiveness of the proposed
controller under the presence of external disturbance and plant
parameter uncertainty. Due to a simple model, control
structure and robustness to noise interference, the proposed
methodology is attractive from practical implementation point
of view.
This work can further be extended to design two degree of
freedom IMC along with the proposed modification in the
IMC controller.
[6]
[13] S K Shome, A Mukherjee, U Datta, Input Shapers Against System

Parametric Uncertainty proceedings of IEEE International
Conference on Machine Intelligence Research and Advancement,
IEEE Computer Society, India, 2013. (Accepted).
[14] A Bhakta, S K Shome, A mukherjee, S Sen. Dahl model based
Feedforward control for Precise Positioning of Nano Actuators using
TMS320C6713 proceeding to IEEE International Conference on
Control, Instrumentation, Energy & Communication, CIEC
14,Kolkata (accepted)
[15] Helmick, D., and Messner, W., 2003, Higher Order Modeling of
Hysteresis in Disk Drive Actuators, Proceedings of the 42th IEEE
Conference on Decision and Control, pp. 37123716
[16] Cahyadi, A. I., and Yamamoto Y.,2006 modeling a micro
manipulator system with flexure hinge proceeding to the IEEE
International Conference on Robotics, Automation and
Mechatronics, pp 1-5.
[17] Q.Xu,Y.Li, Adaptive Sliding Mode Control With Perturbation
Estimation and PID Sliding Surface for Motion Tracking of a PiezoDriven Micromanipulator IEEE Transactions on Control Systems
Technology, vol. 18, no. 4, July 2010.
[18] SantoshDevasia, Evangelos Eleftheriou, Reza Moheimani A Survey
of Control Issues in Nanopositioning IEEE Transactions on Control
Systems Technology, VOL. 15, NO. 5, September 2007.
[19] Yu Cao.Discrete Modeling and Sliding Mode Control of
Piezoelectric Actuators.
[20] Basem M. Badr and Wahied. G. Ali Nanopositioning Fuzzy Control
for Piezoelectric Actuators.
[21] Shen, J.-C., Jywe, W.-Y., Chiang, H.-K., and Shu, Y.-L.,
2008,Precision Tracking Control of Piezoelcetric-Actuated System,
Precis. Eng.,32(2),pp 71-78.
[22] Choi,G. S., Lim, Y. A., and Choi, G. H., 2002, Tracking Position
Control of Piezoelectric Actuators for Periodic Reference Inputs,
Mechatronics,12(5),pp. 669-684.
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Reversible Data Hiding using Wavelet Transform

and Companding for DICOM Image
Poulami Jana
Amit Phadikar
Santi P. Maity
D. P. Chakraborty
Department of Electronics &

Communication Engineering,
Bengal Institute of
Technology, Kolkata, W.B.,
India.
poulami.mtech@gmail.com
Department of Information
Technology,
MCKV Institute of
Engineering, Liluah, Howrah
711204, W.B., India.
amitphadikar@rediffmail.com
Department of Information
Technology,
Bengal Engineering and
Science University, Shibpur,
Howrah 711 103, W.B., India.
santipmaity@it.becs.ac.in
Ex Professor, Department of
Electronics & Communication
Engineering, Bengal
Engineering and Science
University, Shibpur, India.
drdpc@gmail.com
AbstractIn recent years, reversible data hiding is very

important and useful in telemedicine as it extracts the embedded
data as well as recovered the original host signal. In this paper, a
reversible watermarking technique is proposed that offers high
embedding capacity and fidelity of watermarked image. The goal is
achieved by embedding watermark based on companding in integer
wavelet transform (IWT) domain. The companding technique is
introduced into the embedding process to increase data hiding
capacity. Moreover, unlike previously proposed reversible
watermarking techniques, this novel approach does not embed the
location map in the host image that ultimately helps to achieve high
fidelity of the watermarked image. Moreover, simple linear
function is used in companding to make the scheme easy to
implement. The superiority of the proposed scheme is verified by
simulation results and compared with selected other methods.
Keywordsreversible watermarking; integer wavelet transform;
DICOM image; Companding
Rapid growth in digital techniques and wide use of Internet

technology have put a serious threat to the owner of the digital
medias to place the works in their web pages or in other public
places. This is because of the fact that anyone having access to
those forums can copy that information in unlimited numbers
and without any loss. Digital watermarking technique, over the
last decade, is being used widely as a solution to the kind of
problems by imperceptible embedding of an auxiliary message
in the multimedia signals. The essential requirements of digital
watermarking scheme are imperceptibility, statistical invisibility,
and robustness against common signal processing operations as
well as deliberate attacks, low embedding cost and high
embedding rate. But it is difficult to meet all these requirements
simultaneously with: the highest degree of accuracy. Data
embedding directly in pixel values (spatial domain) of the cover
image offers advantage of low computation cost but robustness
performance particularly against lossy compression operations is
poor. On the other hand, higher resiliency is achieved in
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I. INTRODUCTION
transform domain watermarking scheme at the cost of higher

computation and complexity of the algorithms.
Most multimedia data hiding techniques modify and, hence,
distort the cover media in order to insert the additional
information. Even though the distortion is often small and
imperceptible to human visual systems (HVS), the original cover
media usually cannot be restored completely. In other words,
they are irreversible data hiding. The irreversibility is not
admissible to some sensitive applications, such as legal and
medical imaging. Medical images are normally collected in
hospitals or research centers due to the nature of the specialized
equipments. There are standard means like DICOM [7] (Digital
Imaging and Communications in Medicine) that enable the
management, storage and impression of medical images in
standard formats. For these applications, reversible data hiding
is desired to extract the embedded data as well as to recover the
original host signal. Reversible, also often referred to as lossless,
invertible, or distortion-free, data hiding has been a very active
research subject in the last a few years.
The concept of reversible watermarking firstly appeared in
the patent owned by Eastman Kodak [1]. Xuan et al. [2] embedd
data into the high frequency wavelet coefficients by companding
technique. The scheme takes advantage of the Laplacian-like
distribution of integer wavelet coefficients, which facilitates the
selection of compression and expansion functions. In [3] a
reversible watermarking scheme, based on Quantization Index
Modulation (QIM) is proposed for healthcare information
management systems. Tian [4] expanded the value differences
between two neighboring pixels to embed a bit without causing
overflows or underflows. A reversible data hiding scheme based
on integer transform is presented in [5]. Data embedding is
carried out by expanding the differences between one pixel and
each of its three neighboring pixels. Thabit and Khoo[6]
proposed a novel robust reversible watermarking scheme based
on Slantlet transform that transforms small blocks of the original
image and hiding the watermark bits by modifying the mean
values of the carrier subbands. The problem of
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overflow/underflow is avoided by histogram modification

process.
Most of the current solutions found in the literature
compromise between the quality of the reproduced medical
image and between the numbers of bits inserted, which are
indicators of the strength of the authentication and originality
mechanisms of solution. Moreover, due to the reduced number
of inserted bits, the strength of the current solutions is highly
vulnerable and it can be broken with simple security algorithms
or brute force attacks. Lastly, the schemes proposed in [2, 4]
embed location map as side information for restoration of host
image. That ultimately reduces the effective embedding capacity
of a scheme.
To solve the above problems, a novel reversible
watermarking scheme combining an integer wavelet transform
with companding technique is proposed. The multi-resolution
nature of wavelets reflects the anisotropic properties of human
visual system (HVS) more precisely and also helps to design
watermarking scheme that offers high fidelity of the
watermarked image. Because small changes in wavelet coefficients distort the image very less. Moreover, unlike
previously proposed reversible watermarking techniques, this
novel approach does not embed the location map in the host
image that ultimately helps to achieve high fidelity of the
watermarked image. The superiority of the proposed scheme is
verified by simulation results and compared with selected other
methods.
The rest of the paper is organized as follows. A reversible
watermarking scheme based on integer wavelet transform and
companding is presented in Section II. The experimental results
are shown in Section III and finally we conclude the paper in
Section IV.
experimental tests, as this one offers the best compromise

between robustness and invisibility. Moreover, in case of
scalable decoding if only the high-energy subbands are sent to
the decoder, the watermark can be detected efficiently from
those subbands without waiting for the others.
Step 3: Generation of odd-even matrix: The odd-even matrix (P)
is generated from HH subband according to the following rule.
) (1)
(2)
It is to be pointed out that the size of P and HH are same.
Step 4: Generation of sign matrix: A sign matrix (S) is generated
from HH subband according to the following rule.
(3)
(4)
It is to be pointed out that the size of S and HH are same.
Step 5: Generation of random binary matrix based on user
defined key: A binary pseudorandom matrix (R) is generated
based on the secret key (K).
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II. PROPOSED ALGORITHM
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1
Step 6: Generation of watermark bit: A content dependent

watermark (W) is generated based on P & R, according to the
following rule.
The symbol
(5)
represents bit by bit x-or operation.
In this section, we present the encoding and the decoding

schemes of the proposed method. The objective of the encoding
scheme is to hide a watermark into the cover image. On the
other hand, the decoding scheme extracts the embedded
watermark and also recovered the original host signal. The block
diagrams of the proposed watermark encoding and decoding
process are described in Figs. 1 and 2, respectively.
Step 7: Change of dynamic range: The coefficients of HH bands

are divided by two. This is analogous to compression as the
above division operation changes the dynamic range of the
original signal to a narrower range. This operation will prevent
overflow/underflow after data embedding.
A. Data Encoding
Step 1: Image transformation: Original image (I) is decomposed
into four subbands i.e. low-low (LL), low-high (LH), high-low
(HL), high-high (HH) using IWT. One may use higher level of
decomposition for batter results.
The symbol HHn represents the high-high subband after change

of dynamic range. The function abs(.) returns the absolute value
of a signal.
Step 2: Coefficients selection criteria for watermark embedding:

The scheme selects HH subbands, as this component contains
both the characteristics of horizontal and vertical edge
components. Moreover, the choice of embedding the watermark
information into the HH subbands was motivated by
(6)
Step 8: Watermark bit embedding: Then the watermark bits are

embedded into the HH subband according to the following rule:
(7)
The symbol HHw represents the watermarked coefficients. Then
the sign matrix(S) is multiplied with HHw, to get the final
watermarked HH subband.
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Step 9: Inverse image transformation: Then inverse IWT is

applied and watermarked image (Iw) is formed.
Fig. 2. Data decoding.
III. PERFORMANCE EVALUATION
Fig. 1. Data encoding.
Step 4: Extraction of odd-even matrix pattern: Then odd-even

matrix pattern (P) is generated based on the extracted
watermark W.
(8)
The performance of the proposed scheme is evaluated over

various medical images having varied image characteristics. The
size of all test medical images is (512512). All
experimentations are conducted in Pentium IV, 2.80 GHz
processor, with 512 MB RAM using MATLAB 7. The present
study uses peaksignal-to-noise-ratio (PSNR) and meanstructure-similarity-index-measure (MSSIM) [8] as distortion
measure for the watermarked image, where as relative entropy
distance (Kullback Leibler distance (KLD) [9] is used as
measure of security ( ) of hidden data. The high PSNR (dB) &
MSSIM values of the watermarked images and low security
values indicate better imperceptibility and security of the hidden
data, respectively.
Fig. 3(a) shows one of the test images. Fig. 3(b) shows the
decomposed image using integer wavelet. Figs. 3(c)-(d) show
the watermarked images along with the PSNR, MSSIM and
values and the restored images, respectively. From Figs. 3(c)(d), it is cleared that the watermark is embedded in the host
image without decreasing the fidelity of the image. Moreover,
the image is restored completely by the proposed scheme.
Step 5: Generation of sign matrix: A sign matrix (S) is generated

from HH subband according to Eq. (3) & (4).
TABLE 1. VARIATION OF PSNR, MSSIM AND KLD VALUES FOR

DIFFERENT PAYLOAD SIZE.
B. Data Decoding
Step 1: Image transformation: Decompose the watermarked
image (Iw) into 4 subbands i.e. low-low (LL), low-high (LH),
high-low (HL), high-high (HH), using IWT.
Step 2: Watermark bit extraction: The watermark bits (W) are
extracted by examining the least significant bit (LSB) of HH
subbands.
Step 3: Generation of random binary matrix based on user
defined key: A binary pseudorandom matrix (R) is generated
based on the secret key (K) that was used at the time of
watermarked embedding.
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Step 6: Restoration of HH subband of watermarked image: The

watermarked HH subband is restored to its original form
according to the following rule.
Payload (in
bits)
2,500
10,000
40,000
62,500
HHR(xi,yi)=HHw(xi,yi)+1 if P(xi,yi)=odd & W(xi,yi) = 0

HHR(xi,yi)=HHw(xi,yi)1 if P(xi,yi)=even & W(xi,yi) =1
HHR(xi,yi)= HHw(xi,yi)
otherwise
PSNR (dB)
80.38
74.36
62.88
54.32
MSSIM
0.9992
0.9980
The symbol HHR represents the restored HH subband. Then

inverse IWT is applied to get back the original image (I).
KLD
410-7
2710-7
6910-7
8310-7
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(a)
(P: 54.32, M: 0.998, K: 8310-7)
(b)
(P: , M: 1)
Fig. 4. Variation of PSNR (dB) for different watermark size (bits).
(c)
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1
(d)
Fig. 3. (a): Original image, (b): Decomposed image using integer wavelet, (c):
Watermarked image, (d): Reconstructed image. ((P, M, K) above each image
represents the PSNR (in dB), MSSIM and security values of the
watermarked image.
Table 1 shows the variation of PSNR, MSSIM and KLD values

for the image Fig. 3(a). Figs.4-6 show the average variation of
PSNR, MSSIM and KLD values. Each point on the curves is
obtained as the average value of 100 independent experiments.
Fig. 4 shows that as expected the value of PSNR is decreased
with the increase of payload size. Fig. 5 shows that the structure
of two images (original image and watermarked image) are
identical till the size of embedded watermark is 1024 bits. It is
also seen that with the increase of payload size the MSSIM
value is decreased. However, the value of MSSIM is till
approaching to one (1). That implies that the data embedding
mechanism does not alter the structure of watermarked image so
much. Fig. 6 shows the variation of KLD for different payload
size. As expected with the increase in payload size the value of
KLD is also increased. However, till the value of KLD is very
low and approaching to zero (0). That ensures that the scheme is
secured.
The capacity vs. distortion comparisons between our method,
and Xuan et al. [2] is shown in Fig. 7. It is observed from the
results of Fig. 7 that the proposed method offers better gain in
term of PSNR (dB) over other methods.
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Fig. 5. Variation of MSSIM for different watermark size (bit).
Fig. 6. Variation of KLD for different watermark size.
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[7] W. D. Bidgood, S. C. Horii, F. W. Prior, and D. E. V. Syckle,

Understanding and using DICOM, the data interchange standard for
biomedical imaging, Journal of the American Medical Informatics
Association, vol. 4, no. 3, 1997.
[8] Z. Wang, A. C. Bovik, H. R Sheikh, and E. P Simoncelli, Image quality
assessment: from error measurement to structural similarity, IEEE
Transactions on Image Processing, vol. 13, pp. 1-14, 2004.
[9] S. P. Maity, P. Nandy, T. S. Das, and M. K. Kundu, Robust image
watermarking using
multiresolution
analysis,
Proc.
of
the
IEEE INDICON, pp. 174 - 179, 2004.
80
Xuan et al. [2]
Proposed
75
70
PSNR (dB)
65
60
55
50
45
40
0.1
0.15
0.2
0.25
Payload Size (bpp)
0.3
0.35
Fig. 7. Capacity vs. distortion comparison.
4
1
IV. CONCLUSSION
In this paper, a reversible watermarking technique is
proposed based on integer wavelet transform and companding.
The experimental results show that the proposed scheme offers
high embedding capacity with no compromise in watermarked
image fidelity and security. The proposed scheme is simple, cost
effective and easy to implement, and is a possible solution for
hospital data management.
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E
I
REFERENCES
[1] C. W. Honsinger, P. Jones, M. Rabbani, and J. C. Stoffel, Lossless recovery

of an original image containing embedded data, US patent: 6278791,
2001.
[2] G. R. Xuan, C. Y. Yang, Y. Z. Zhen, Y. Q. Shi, Reversible data hiding
using integer wavelet transform and companding technique, in Proc. of
International Workshop on Digital Watermarking, Lecture Notes in
Computer Science, vol. 3304, pp. 115-124, 2005.
[3] L. Ko, J. Chen, Y. Shieh, H. Hsin, and T. Sung, Nested quantization index
modulation for reversible watermarking and its application to healthcare
information management systems, Computational and Mathematical
Methods in Medicine, pp. 18, 2012.
[4] J. Tian, Reversible data embedding using a difference expansion, IEEE
Transaction on Circuits and Systemsfor Video Technology, vol. 13, pp.
890896, 2003.
[5] S. Weng, Y. Zhao, J. Pan, and R. Ni, A novel reversible watermarking
based on an integer transform, in Proc. of IEEE International Conference
on Image Processing, pp. 241 244, 2007.
[6] R. Thabit, B. Khoo, Robust reversible watermarking scheme using slantlet
transform matrix, Journal of Systems and Software, vol. 88, pp. 74-86,
2014.
201 of 446
Study on Photovoltaic System for Isolated and NonIsolated Source Cascaded Two Level Inverter (CTLI)
Nayan Kumar
Tapas Kumar Saha and Jayati Dey
Department of Electrical Engineering,

NIT Durgapur, Durgapur -713209, India
nayansays@gmail.com

NIT Durgapur, Durgapur -713209, India,
tapassahanit@gmail.com and deybiswasjayati@gmail.com
source and non-isolated dc source. Generally, among the three

topologies, the cascaded multilevel inverter has the potential to
be the most reliable and achieve the best fault tolerance
owing to its modularity; a feature that enables the inverter to
continue operating at lower power levels after cell failure
[7], [8].
AbstractThis paper presents a, three-phase isolated source

and non-isolated source cascaded two level inverter (CTLI)
topology, for grid connected photovoltaic (PV) system. The
CTIL is one of the widespread topology in multilevel inverter.
In this work, both topology isolated source and non-isolated
source CTLI system are operated to supply active power with
available solar irradiance and reactive power in absence of
it. The system, with space vectorpulse width modulation
(SVPWM) control topology, supplies both controlled active and
reactive power for conventional CTLI topology. The
photovoltaic (PV) system is verified through simulation using
MATLAB-Simulink environment.
KeywordsPhotovoltaic system; multilevel converter; dc link
voltage balance;isolated and non-isolated sourceinverter
In this paper, a grid-connected photovoltaic system with

CTLI is connected to the primary of an open-end, low
frequency three-phase transformer. The PV source is
considered to produce a dc voltage as low as 48V under rated
operating conditions. The power converter, however, is
connected with a distribution grid of 400V (ac-line to line).
I.
INTRODUCTION
In the present day the power demand is increasing

repeatedly and it can be highly depended on the use of
conventional or non-conventional energy source. Photovoltaic
systems are smart renewable energy sources tomeet the energy
demand. The regular development of photovoltaic system
makes it cost effective and highly efficient. Thus, PV systems
become much popular. Power converters play a vital role in the
overall efficiency of a Photovoltaic system [1]. The grid
connected photovoltaic system use a photovoltaic cell to
generate electricity, which is then fed to the
conventionalcascaded two-level inverter (CTLI).The grid
connected photovoltaic system is very popular today. In
recentyears, many grid-connected photovoltaic systems use a
three phase inverter to perform this connection [2]. However,
the conventional three phase invertersproduce three output
voltage levels with higher total harmonic distortion (THD),
and have poor spectral performance in lower switching
frequencywhich is sometimes necessary for high power and
medium power applications to reduce the switching
losses.Using multilevel inverters the number of levels in the
output voltage can be increased, thereby spectral performance
can be improved and switching frequency can be decreased
with low THD in output voltage, and switching frequency can
be decreased hence reduction in switching losses. There are
other salient features, which make these kinds of power
converters very interesting for the power industry, such as,
reduced current and voltage harmonics on the ac side, high
voltage capability, low dv/dt and low EMI problems [3].
Multilevel voltage source inverters (VSI) topologies have
three major classes, show in [4], [5], and [6] with isolated dc
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The model of a photovoltaic cell that can be implemented

in any simulation environment is proposed in [9]. The model
considers irradiance and temperature as variable parameters
and obtains the I/V characteristic for that particular cell under
the above conditions. In the present study, single diode model
of solar cell is used following the equations developed in [13].
The PV systems are connected to the cascaded two-level
inverter (CTLI), and inverter output is connected to allow
frequency three phase transformer open winding primary side.
The framework of PV system with isolated source (CTLI)
topology model is depicted in Fig. 1 and non-isolated source
(CTLI) topology model is depicted in Fig. 2.
Various control strategies are available in literature to
control the output voltage of the power converters [10], [11]
and [12]. In this paper, one control technique is proposed to
keep the dc link voltages constant for the isolated sources and
non-isolated source by balancing the active power flow.
Fig. 1. Photovoltaic system with isolated source cascaded two level
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connected in parallel to form one array has been considered to

provide maximum power at 48V at the normal Indian solar
irradiance.
Fig. 2. Photovoltaic system with non-isolated source cascaded two level

Fig. 3. Photovoltic cellequivalent circuit
The topology consists of two inverters and a three phase

transformer. In the isolated source CTLI topology, dc-link
capacitor voltages of both the inverters are low, in the order of
battery voltage, and same. The control scheme adopted
successfully controls (i) reactive power (ii) average dc-link
capacitor voltage. On the other hand, non-isolated source
CTLI topology dc-link voltages of two converters are low.
The control scheme successfully controls (i) reactive power
(ii) dc link single capacitor voltage. The change of available
solar power is done by changing the solar radiation level.
II.
III. GRID CONNECTED CASCADED TWO LEVEL

ISOLATED AND NON-ISOLATED INVERTER
MODEL OF THE PHOTOVOLTAIC ARRAY
In recent years, dual two-level inverter topology gains

popularity, considering these advantages,CTLI topology
perform power conversion in multilevel voltage steps to obtain
improved power quality, lower switching losses, better
electromagnetic compatibility and higher voltage capability.
The both (isolated and non-isolated source) topology is
constructed by using conventional two level inverters as
shown in the Fig. 4 and Fig.6, respectively.
A. IsolatedSource CTLI
The two PV source are connected to each inverter
capacitors as shown in Fig.1. In the isolated source CTLI, PV
cell connected inverter-1 and inverter-2 dc link voltage, are
Vdc1=Vdc2.
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B. Non-isolated Source CTLI

The two PV source are connected to single capacitor of
inverter as shown in Fig.2.
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C. Development of Photovoltaic Array

Photovoltaic (PV) array is a device that converts
available solar irradiance into electricity by the
photovoltaic effect. A mathematical description of the
current/voltage terminal characteristic for PV cells has
provided by the equation as an exponential equation (1)
(1)
Where,
= photogene rated current (linear with irradiance) (A).
= saturation current due to diffusion mechanism (A)
T = ambient temperature, Kelvin,
= Boltzmann constant, 1.38 x 10-23 I/K
= electron charge, 1.6 x l0-19 C
To design high quality solar cell, the series resistance
Rsshould be very small and the parallel resistance, Rp,
should be very large. For solar cells used in power industry,
Rp is much greater than the forward resistance of a
diode.Cells connected in parallel increase the current and
cells connected in series increase the output voltages.
The equivalent circuit determined from the equation is
used for simulation model, shown in Fig. 3.
The parameter values of the model have been selected
following the data given in [13], [14].The number of cells
connected in series to form one set, and the number of sets
Fig. 4. Isolated source CTLI topology
A three phase transformer of suitable rating is connected in

between the two inverters. Thehv side of the transformer is
connected across the grid.For this topology, the voltage across
a, b and c windings are as follows:
(2)
(3)
(4)
Where
are the pole voltages of first inverter and
are the pole voltages of second inverter.
The control design presented here is made simpler since
it is only used to control the AC currents, being the
references usually given in a d-q reference frame. This work
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presents the modeling and design of the cascaded two-level

inverter in grid connected photovoltaic system.
The Fig.5 shows the transformer RL equivalent circuit, for
a phase; where
is source voltage, R is resistance of
transformer primary and secondary windings; L is leakage
inductance of transformer primary and secondary
windings;
is the voltage across primary of
transformer which is controlled by first and second inverter.For
three phase a, b and c
(5)
(6)
(7)
Fig. 6. Non-Isolated source CTLI topology
The reference value of d-axis current is generated from the

dc-link capacitor voltage controller. In this paper, the reference
dc voltage is kept at the required average level of
. The
reference current now can be written as:
For isolated source CTLI
Fig. 5. Equivalentcircuitforaphase
(12)
For non-isolated source CTLI
are considered to be equal to and the isequal

to
. From equation (5), (6) and (7) a state space
model is developed for the above system as follows.
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(9)
Where,
is d-axis voltage component of ac source,
qcomponent of the source voltage
and
are dq axes
components of cascaded inverter output voltage and current,
respectively.
IV.
DEVELOPMENT OF SYSTEM CONTROLLERS
The photovoltaic system is connected to both the inverters

with equal ratings and two equal groups of panels supplying
them for isolated source and non- isolated source CTLI. The
objective of the system controller is to achieve voltage
regulation of the inverter dc-link capacitors. The d-q axis
voltages in synchronous rotating reference frame are expressed
as follows:
(10)
(11)
Where
reference is average dc link capacitor
voltage of inverter, and
are the actual dc-link voltage
of the first inverter and second inverter for isolated source
inverter. The
is the actual average dc link voltage of
inverters for non-isolated source inverter. The control scheme
is shown in Fig.5. The current controllers for
and are set
up identically. The bandwidths for the current controllers are
taken as ten times of voltage controller, and voltage controller
is selected as
. The controllers are tested to operate
satisfactorily in the simulation environment.
(8)
Equation (8) is transformed intosynchronous rotating reference
frame.Due to this conversion, both active and reactive
currents are decoupled and can be controlledindependently.
The q-component of the source voltage,
, so that dcomponent of source voltage, , is aligned with synchronous
rotating reference frame. The system variablesin d-q frame are
expressed as follows:
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(13)
The dc link voltage controller ensures that the available power

from solar photovoltaic system be supplied to the grid. Thus
the reduction in solar irradiance will result in reduction of in
the controller. On the other hand, in absence of solar
energy, the dc link capacitor voltages are maintained by
keeping the
zero orlittle bit negative to supply the
losses. In this study, is considered as positive to provide
active power from the converter to the grid, and
is
considered as negative to supply lagging reactive power from
the converter to the grid. The d-q to abc conversion has
been achieved with the standard vector control practice.
The first and second converters are receiving
phase
shifted modulating signals. The gate signals are generated after
comparing them with triangular carrier wave of the switching
frequency. The cascaded two level inverter (isolated and nonisolated source) topology based photovoltaic system are as
shown in Fig. 1 and Fig.2, respectively. The three phase
transformer lv-side open end winding are connected to CTLI
output, and hv-side transformer directly connected to grid.
Here for phase a
is primary voltage. In this
paper, dc-link capacitor voltage is considered to be
.The
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secondary is star connected for the transformer. The system

parameters are taken as [17].
The , following its reference value , remains at so as

to ensure no reactive power exchange with the PV
system. This ensures maximum utilization of the available
solar power. The variations of the currents are shown in
Fig.10.The dc average voltage changes asshown in Fig. 11. It
is clearly seen that the 30% reduction inactive power supply
reduces the dc voltage only by 3 V. The Here the voltage is
retrieved to its initialvalue within 0.05 sec only. The change in
the quadrature axis current during the entire operation is
negligible.
Fig. 7. Proposed inverter controller
V.
COMPARISON OF CONVERTER PERFORMANCE
The entire grid connected photovoltaic system based onthe

cascaded two level isolated and non isolated inverter has
been simulated in MATLAB -SIMULINK environment. The
switching frequency of converter is taken as 1.2 kHz.
Fig. 10. Direct axis and quadrature axis current of the isolated source cascaded
inverter in response to the reduction of solar irradiance.
A. Isolated source CTLI and Non-Isolated source CTLI

The Fig.8 shows the output voltage of the isolated source
dual-inverter.
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1
Fig. 11. Average DC link voltage of the isolated source cascaded inverter in
response to the reduction of solar irradiance.
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Fig. 8. Isolated source inverter output voltage
The output voltage of the non-isolated source dual-inverter is

shown in Fig.9. From this structure it is possible to verify
the multilevel operation of the power converter with the
proposed controller. This is the fundamental nature of the
output voltage. The active power supplied is
.
The is designed to be of constant value since it is expressed
from the constant grid voltage. The active power (P) is directly
dependent on the magnitude of . In an isolated source dualinverter, the solar irradiance decreases at time 0.5 sec, as a
result of which the current reduces as shown in Fig.10. It is
seen that the
is reduced an amount of 30% in a step. It
settles down to 3.5 Amp from the initial value of 5 Amp.
Fig. 9. Non-isolated source inverter output voltage
At time 0.5 sec, when the solar irradiation reduces,the values

of
for both the non-isolated source dual-inverterand
isolated source dual-inverter are sameas shown in Fig.10 and
Fig. 12, respectively, given that
. The controller is same
as isolated source inverter as shown in Fig.7.The non- isolated
source dual-inverter, 30% reduction in active power supply
reduces the dc- link voltage by 7V. The dc voltage changes for
the non-isolated source dual-inverteris as shown in Fig. 13. It
is observed that non- isolated source dual-inverter dc-link
voltage undergoes a higher change in transient as compared to
isolated source dual-inverter. The solar irradiance is now
increased at 1 sec. As a result, the current increases to 5
Amp from 3.5 Amp for both the cases. The nature o
and variations are, respectively, shown in Fig. 14 and Fig.16.
The is kept at 0 by the control action. The variation in dc
link average voltage of isolated source dual-inverter is only by
3V in transient which is shown in Fig. 15.
Fig. 12. Direct axis and quadrature axis current of the non-isolated source
cascaded inverter in response to the reduction of solar irradiance.
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performance characteristic in transient condition compared to

that obtained in non-isolated topology.
Average DC link voltage of the non-isolated source cascaded inverter in

response to the reduction of solar irradiance.
Fig. 16. Average DC link voltage of the non isolated source cascaded inverter
in response to the increment of solar irradiance
References
[1]
[2]
Fig. 13. Direct axis and quadrature axis current of the isolated source cascaded
inverter in response to the increment of solar irradiance
[3]
[4]
[5]
Fig. 14. Average DC link voltage of the isolated source cascaded inverter in
response to the increment of solar irradiance
On the otherhand,for non-isolatedsource dual-inverterthe dc

link voltage increases by 7V in transient as shown in Fig.
17.This transient dc-link voltage variation in non-isolated
source dual-inverter inverter is higher.
[6]
VI.
[7]
[8]
[9]
[10]
[11]
CONCLUSION
The grid connected photovoltaic system isproposed with

space vector control scheme for dual-level inverter. The
proposed scheme successfully controls the dual level
inverter.The power converter system with the proposed
controller has been designed and verified in MATLABSIMULINK environment. The controller maintains the dc-link
capacitor voltage under both the isolated source and nonisolated source dual inverter topology, and increase in the
active power supply with change in the availability of solar
power. These results show satisfactory performance both in
steady state and transient conditions for both isolated source
and non-isolated source inverters. The isolated CTLI has good
4
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E
Fig. 15. Direct axis and quadrature axis current of the non isolated source
cascaded inverter in response to the increment of solar irradiance.
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Cascaded H-Bridge Converter-Based STATCOM, IEEE Trans. Ind.
Electronics, Vol. 55, No. 1, pp. 21-29, Jan 2008.
L. A. Silva, S. P. Pimentel, and J. A. Pomilio, Analysis and proposal
of capacitor voltage control for an asymmetrical cascaded inverter,
IEEE 36th Power Electronics Specialists Conference, 2005,PESC '05,
pp. 809-815, 16-16 June 2005.
G. Grandi, C. Rossi, D. Ostojic, and D. Casadei, A New Multilevel
Conversion Structure for Grid-Connected PV Applications, IEEE
Trans. on Ind. Electronics, vol. 56, no. 11, pp. 4416-4426, November
2009.
Marcelo Gradella Villalva, Jonas Rafael Gazoli, and Ernesto Ruppert
Filho "Comprehensive Approach to Modeling and Simulation of
Photovoltaic Arrays," IEEE Transactions on Power,Vol. 24, Iss.5, pp.
1198 - 1208 ,May 2009.
N. Kumar, T. K. Saha, and J. Dey, Cascaded Two Level Inverter
Based Grid Connected Photovoltaic System: Modeling and Control,
Proc. IEEE ICIT, 2014, pp 468- 473
[12]
[13]
[14]
206 of 446
Mass Measuring System Using Delay-and-Add

Direct Sequence (DADS) Spread Spectrum
Method
Karunamoy Chatterjee
Sankar Narayan Mahato
Electronics and Communication Engineering,

Bankura Unnayani Institute of Engineering,
Bankura, India
karuna_ds@rediffmail.com
Electrical Engineering,
National Institute of Technology,
Durgapur, India
sankar.mahato@ee.nitdgp.ac.in,
Subrata Chattopadhyay
Dhananjoy De
Electrical Engineering,
National Institute of Technical Teachers Training and
Research,
Kolkata, India
subrata0507@sify.com
Electronics and Communication Engineering,

Bankura Unnayani Institute of Engineering,
Bankura, India
dhananjoyde2@gmail.com
Abstract In the area of mass production, the products are

weighed using load cell based weighing system. A load cell is an
uncontrollable weighing device. Improvement in filtering
increases the speed of weighing and enhances the measurement
accuracy. In this paper, a novel algorithm and architecture is
proposed for the weighing system. The algorithm has been
verified and implemented in the weight measurement system
successfully.
I.
INTRODUCTION
S
E
Keywordsaccuracy; mass measurement; noise; DADS.
The weighing of articles is an essential part of modern

Life. There is a constant need for knowing the exact weight of
many items, e.g., food, ingredients for production,
pharmacology, chemistry, technology, etc. The type and the
number of products that require weigh control are increasing.
Consequently, the government bodies are trying
internationally to maintain the same constant pace. In
production, this means high accuracy and efficiency of
weighing are also constantly high on the agenda. Continuation
of this trend brings benefits for both the customer and the
producer. That is, manufacturing efficiency is increased and
hence profitability while package quality and quantity are
assured to the customer's satisfaction.
In the area of mass production, products are weighed using
electronic weighing scale that weighs a package fast and
accurately. In the mail sorting and grading machinery, the
usual internal division is 1137500 accuracy at 10 pieces /sec.
4
1
In the practice, the micro-controllers using general

algorithms cannot meet higher accuracy.
The main constraint in achieving higher accuracy and in
increasing throughput rate of the passing products is a
superimposed noise on a useful signal from the weighing
system. The common sources are: (1) constant values (2) the
noises: electromagnetic pick-up, power harmonic, thermally
unstable circuits and the gain programmable by software
(through PWM's output of the microcontroller) (3) strain-gage
based sensor (i.e., load cells) particularly sensitive to
vibration.
A moving average filter algorithm (1) is particularly
efficient when processing for very short-duration. It is high
precision for useful signal recovery and relative simplicity of
construction. But it is not suitable for long duration
measurement and particularly for industry environment.
However, the implementation of pipelined in low-power 6 taps
adaptive filter, based on the least-mean square (LMS)
algorithm (2) is useful for long duration measurement .
Although this filter has more response time, whereas moving
average filter response time was less than LMS filter. Mean
while electronic capacitive transducer (4) was designed. But
the technique for measuring (3) low-frequency and low-level
capacitance variations is opened the door of implementation of
weighing system using capacitive sensor. For that a strong
filtering circuit should be implemented with high precision
and fast response time. Application of capacitive sensor
without microcontroller (6) cannot meet our requirement.
When microcontroller was first interfaced with sensor (5) then
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at approximately 2.2 Hz, and the second and third peaks appear
to be integer multiples of this noise. Hence we can assume that
there are no significant harmonic components beyond 40 Hz.
Any sampling rate selected must therefore be greater than 80
Hz.
a programmable filter can also be designed for weighing

system. But PLC based intelligent Signal Processing method
for high speed weighing system (8) can tolerate impact of
environmental changes. Again its average variation is bounded
for higher load, although response time is improved.
From the filter theory, it is known that linear phase filters

are the best with respect to transient response time. In order to
reject the high-frequency random oscillatory component in the
circuit, there is always a RC low pass filter in the output of the
circuit. This kind of filters can restrain high frequency noise,
but its effect on low frequency noise is few. Digital filters are
ideal for the treatment of low frequency noise. They can be
implemented in real time or as post processed applications. In
this paper we discusses the development of a load cell based
the static weighing system. In particular, the focus is on using
digital filtering techniques to remove measurement noises
from the extremely low frequency noise of the static weighing
system and make a comparative study with other filter.
In this paper our objective is to implement new algorithm

for filtering method in signal processing module for weighing
system with even capacitive sensor with least average
variation and fast response time with higher accuracy and
precision. Then make a comparative study with other filtering
algorithm used for signal processing module.
The common sources are amplified before transferred into
the A/D converter, and therefore, the noise is amplified and an
error is introduced in the system.
A signal processing module (SPM) acquires the electrical
signal from the weighing device and estimates a value of
weight for the passing product as its output, as shown in fig. 1.
Fig. 1. Signal processing module (SPM) and Mass measurement.
The two main aims for improvement are increasing the

speed of weighing and achieving good measurement accuracy.
Improvement in SPM that provides any one or both aims
brings significant benefit to the overall static weighing system.
The two main aims for improvement are increasing the speed
of weighing and achieving good measurement accuracy.
Improvement in SPM that provides any one or both aims
brings significant benefit to the overall static weighing system.
S
E
Owing to the physical characteristics, when the load cell

detects the external force, it produces a weak current. The
weak current is passed through AD7730 that has the PGA
(Programmable Gain Amplifier), A/D converter and the two
stage digital filter into digital signal. The micro-controller
(8031) transfers the detected digital signal to the
communication unit and the display unit according to the
procedure set on the memory.
The communication unit consists of a transmitter and a
receiver and it uses the Delay-and-Add Direct Sequence
(DADS) spread spectrum modulation technique.
II. DESIGN METHOD
In fig. 2, the amplitude spectra reveal the significant noise
components of the weighing system. The first peak is centered
4
1
Fig. 2. Noise spectra of Mass Indicator system.
In this paper, a new spread spectrum technique (i.e.,

DADS) in the measuring system is proposed. With this novel
method, the proposed novel DADS filter algorithm used in
weighting system can meet the requirements of speed,
stability, and precision.
In fig. 3, the schematic block diagram of DADS
transmitter is shown, in which a pseudo-random bit sequence
(PRBS) generator generates a bipolar spreading code x={xi}.
In the lower branch of the modulator, this spreading code is
multiplied with the digital data dk {-1,+1} with data rate 1/M,
coming from the sensor . In the upper branch, the same
spreading code is delayed by L, with L<<M. And finally the
two signals are added together, resulting in a signal sk= {sk,i}
with,
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(1)
Fig. 5. Structure of modulated signal sk for dk = -1 with delay L= 2.
The block diagram of DADS demodulator is shown in fig. 6.
Fig. 3. Block diagram of DADS modulator.
The signal sk will be up-converted by the RF front-end and

send out.
The base band signal sk={sk,i} has two important
characteristics. First of all, sk,i is a three level signal {+2,
0,+2}. The second characteristic is of essential importance for
the receiver. Every 2 non-zero samples sk,i, separated by L,
will have the same sign if the data bit dk = +1 and will have
opposite signs if dk = -1.
Fig. 4 shows the first 15 samples of a modulated signal
{sk,i} for dk= +1 and a delay L=2. Every non-zero sample will
have, 2 samples to the left and to the right, a value that equals
zero, or a value with the same sign, e.g., sk,2 = sk,4 or sk,9 =
sk,11. Fig. 5 shows the same for L = 2 and dk = -1 . In this
case, every 2 non-zero samples, separated by 2, will always
have opposite signs, e.g., sk,1 = -sk,3. This important property
will be used for the demodulation. And also this property has
eliminated the bit synchronization technique.
Fig. 6. Block diagram of DADS demodulator.
S
E
4
1
In the DADS demodulator, the received signal r k ={rk,i}

will be delayed by the same delay L as in transmitter and
multiplied with its non-delayed version, resulting in a signal
{rk,i}. The mathematical expression for rk,i will be given by,
(2)
It can be verified that rk,i has only two possible values

{4dk,0}. This is a direct consequence of the second
characteristic of sk, as described above.
After the integrate and dump the signal sk will be,
(3)
Fig. 4. Structure of modulated signal sk for dk=+1 with delay L.
The first term in equation (3) is the useful signal. The

second and the third term tend to zero, as there is no
correlation between xi, xi-L and xi-2L for any value of i.
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III. RESULT AND DISCUSSION

In this paper, we present the comparison between the
proposed digital filters and the other filters which can be
implemented in the mass measuring system. Such as Moving
average filter algorithm, LMS adaptive filter algorithm,
Conventional FIR filter algorithm and Intelligent signal
processing which can be used in the development of
microcontroller based mass measurement system. It is found
that using DADS filter, the average variation and response time
are reduced drastically. Hence, accuracy of the system will be
increased and the system will become very fast.
has been explored to find a solution. It will enable

measurement accuracy to be 1/172000. The result shows that
new DADS filter can be employed in a practical high accuracy
mass measuring system. In DADS, a copy of the spreading
code, delayed by L, is embedded in the transmitted signal. At
the receiver, the signal is again delayed by L and multiplied
with the non-delayed signal for dispreading, without the need
for code synchronization. This results in a very simple
receiver structure, without losing the benefits of a spread
spectrum modulation. From the experimental study, it is
evident that the repeatability, linearity, and resolution are
satisfactory within the tolerable limit of industrial mass
measurement.
REFERENCES
TABLE 1. Comparison of digital filters.

[1]
ZERO
CALIBRATION
FULL
CALIBRATION
UNFILTERED
148,580-524,287
101 TAPS FIR

WITH
HAMMING
DADS
FILTER
DIVISION
K=1000
-5-+5
37.5K
-1-+4
75.1K
-3-+1.5
83.4K
10
-2-+2
93.9K
-1-+1
172K
0.8-1
[2]
[3]
64 TAPS
MOVING
AVERAGE
FILTER
LMS FILTER
RESPONSE
TIME
(Seconds)
AVERAGE
VARIATION
135,563-487,304
[4]
[5]
S
E
CONCLUSIONS
In the mass measurement systems conventional filtering

method employed have limitation in improving the accuracy
and in throughput rate. In this case, an alternative technique
4
1
A
[6]
[7]
IV.
V. Lyandres and S. Briskin, On some efficient algorithmsfor movingaverage filtering, IEEE Circuits and Systems, Proceedings of the 35th
Midwest Symposium on, vol.1 Pages616 - 619 9-12 Aug. 1992.
B. Dukel, M. E. Rizkalla and P. Salama, Implementation of pipelined
LMS adaptive filter for low-power VLSI applications, IEEE Circuits
and Systems, 2002. MWSCAS- 2002 Vol: 2, Pages: 11-533-536 Aug.
2002.
D. Marioli, E. Sardini and A. Taroni, Measurement of small
capacitance variations, IEEE Trans. Instrum. Meas., 40 (2), 426-428,
1991.
S. M. Huang, A. L. Stott, R. G. Green and M. S. Beck, Electronic
transducers for industrial measurement of low value capacitance, J.
Phys. E: Sci. Instum., 21, 242-280, 1988.
F. Reverter, M. Gasulla and R. Pallis-Areny, A low-cost
microcontroller interface for low-value capacitive sensors, Instrum.
Meas., 3, 1771-1775, 2004.
L. K. Baxler, Capacitive Sensors Design and Application, New York:
IEEE Press, 1997.
AD7730/AD7730L: CMOS, 24-Bit Sigma-Delta, Bridge Transducer
ADC Data Sheet, Analog Devices Tnc.
Huimei He, Pingjie Huang, Dibo Hou . Wen Cai . Zhe Liu . Guagxin
Zhang, An Intelligent Signal Processing method for high speed
Weighing System, International Journal of Food Engineering, 4, 15563758, 2012.
[8]
210 of 446
Fault Analysis of Wind Generator Connected

Power System Using Differential Equation
Technique
Y.MAHESH BABU
PG STUDENT(PS&A):EEE
Dept,GITAM UNIVERSITY
VISAKHAPATNAM,INDIA
mahesh.yek@gmail.com
B.DURGA PRASAD
ASSISTANT PROFESSOR:EEE
Dept.GITAM UNIVERSITY
VISAKHAPATNAM,INDIA
durga206@gmail.com
symmetrical faults that occurred on transmission line using

Differential equation algorithm technique.
Fault analysis in section 3 was done in two
stages; first stage consists of knowing the impedance values
in healthy condition and in stage 2 the fault impedance
values are compared with healthy values, classification of
faults was done based on the level of fault impedance
values. Section 4 represents the R-X graphs for different
transmission line faults
Section 5 represents the conclusions that are based
on short circuit fault level of different types of wind
generator connecting system and classification of faults.
Abstract--This paper presents an approach to analyze the

fault severity in a different types of wind farm connected to the
grid that occur on transmission line and identify the instant of
occurrence, by using Differential equation technique (DET).
Section 1 in this paper shows different ways to integrate wind
generator to the feeder and observe the short circuit current
wave form for different types of integration, which will be used
in setting the fault current value in the relay for protecting the
grid connected to the wind generator. The fault analysis is
carried out on squirrel cage induction connected Type 1 system
by using DET. The simulation study is carried out for different
types of faults on transmission line connected with wind farm.
Section 3 shows the study of faults and impedance diagrams
for different faults using Differential equation algorithm
technique. By using DET, identify and classifying the faults
was done.
The simulation was carried out in
MATLAB/SIMULINK environment.
I.
INTRODUCTION
power systems are complex systems that evolve
over years in response to economic growth and continuously
increasing power demand. With growing populations and
the industrialization of the developing world, more energy is
required to satisfy the basic needs and to attain improved
standards of human life.
In order to make energy economically available
with reduced carbon emission, renewable energy sources
like wind energy generation got importance
Mechanical power output of wind turbine was
calculated based on the pitch angle, wind velocity and
(which described below) and given input to the induction
generator to distribute electrical power through feeder
In this paper section 1 represents the different ways
to connect wind generation to the feeder; section 2
represents the fault analysis of type 1 connected system and
R-X diagrams for different
4
1
S
E
Keywords: squirrel cage induction generator; Double feed

induction generator; Differential Equation Technique;
B.VIJAY VIHARI
PG STUDENT(PS&A):EEE
Dept.GITAM UNIVERSITY
VISAKHAPATNAM,INDIA
vijayvihari5@gmail.com
Modeling of wind turbine

The power output of a wind turbine is given by the
formula (pw) as shown below. This formula was taken
from Non conventional energy sources by GD ROY
(1)
Where the inputs for turbine are shown below
Pw = mechanical power extracted from the airflow
[W], D= Air density [kg/m3],Cp = performance
coefficient or power coefficient, = tip speed ratio
Vt/Vw, (the ratio between the blade tip speed VT
and the wind speed upstream the rotor Vw [m/s])
= blade pitch angle [deg], and
Ar = area swept by the rotor [m2]
Fig 1. turbine model.
211 of 446
II.
DIFFERENT WIND FARMS
Different ways to connect wind turbine generator to the
system is taken from reference[1]
current (Amps)
A. Type 1-Squirrel cage induction generator:

Fig2 shows the connection of wind turbine couple with
induction generator and then connected to the feeder. Here
Asynchronous machine is used as generator because in wind
power system the torque of the turbine is not constant.
-1
-2
-3
-4
-5
0.1
0.2
0.3
0.4
0.5
Time (sec)
0.6
0.7
0.8
0.9
Fig.6.Current wave form for L-G fault at phase a: isc.

6
short circuit current
L-G fault is applied on the transmission line and the

variation in the current and voltage wave form are shown
x 10
0
-2
-4
0.1
0.2
0.3
0.4
0.5
Time (sec)
0.6
0.7
0.8
0.9
Fig.7 Three phase schort circuit current
B. Type2 wind turbine generator connected to grid:

In this model wound rotor induction generator is used
to add resistance to the rotor terminals as shown in
below figure8
Fig.2.The connection of wind turbine generator to the feeder
8000
4
1
6000
4000
-2000
-4000
-6000
-8000
Fig.8. Type 2 WTG connected to grid.
0.1
0.2
0.3
0.4
0.5
Time
0.6
S
E
0.7
0.8
0.9
Fig.3.Voltage form of type 1 system at healthy condition
0.6
0.4
0.2
0
x 10
1.5
0.8
Current
0.5
Voltage
Voltage
2000
-0.5
-1
-1.5
-0.2
-0.4
-2
0.01
0.02
0.03
0.04
-0.6
-0.8
0.1
0.2
0.3
0.4
0.5
Time
0.6
0.7
0.8
0.9
0.05
Time
0.06
0.07
0.08
0.09
0.1
Fig.9. Voltage wave form at healthy condition.
1.5
Fig 4.Current wave form of type 1 system at healthy condition.
x 10
Current
0.5
1.5
x 10
-0.5
1
-1
voltage
0.5
-1.5
3
Time (sec)
6
4
x 10
Fig.10. Current wave form with L-G fault at phase a: ig.
-0.5
-1
0.1
0.2
0.3
0.4
0.5
Time
0.6
0.7
0.8
0.9
-1.5
Fig 5. Voltage wave form for L-G fault at phase a.
x 10
-2
0.1
0.2
0.3
0.4
0.5
Time (sec)
0.6
0.7
0.8
Fig.11. Thee phase short circuit current for Type 2 system
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0.9
C.Type3 wind turbine generator connected to the grid:

The double feed induction generator connection to the feeder
through ac\dc\ac converter as shown in fig.c, by using this
type of system reduction in transient currents and transient
voltages are reduced compared to squirrel cage induction
generator connected Type1 system, this was achieved because
of ac\dc\ac converter connection as shown in fig 12.
D.Type4 wind turbine generator connected to grid:

In this model wind turbine generator is connected as shown
below figure in which ac to dc and dc to ac converter is
connected to get continuous output. By using this
connection the fault current is reduced than previous
models as shown in Fig18.
Fig.12. Type 3 WTG connected to feeder

Fig.18. Type 4 WTG connected to feeder
1.5
x 10
200
0.5
voltage
150
0
100
50
voltage
-0.5
-1
-50
-1.5
0.01
0.02
0.03
0.04
0.05
Time
0.06
0.07
0.08
0.09
0.1
-100
4
1
-150
-200
0.05
Fig.13.Voltage form at healthy condition
0.1
0.15
0.2
0.25
Time
0.3
0.35
0.4
0.45
0.5
0.45
0.5
Fig.19. voltage wave form at healthy condition

150
100
500
50
Current
400
300
200
-50
-150
0.01
0.02
0.03
0.04
0.05
Time
0.06
S
E
0.07
0.08
0.09
0.1
Fig.14. Current wave form at healthy condition.
150
100
Current
50
-50
-100
-150
-100
-200
-300
-400
-500
0.05
0.1
0.15
0.2
0.25
Time
0.3
0.35
0.4
Fig .20.Voltage wave form when L-G fault occurred at load end
on phase a
5
4
3
2
1
Current
200
voltage
100
-100
0
-1
-200
0.01
0.02
0.03
0.04
0.05
Time
0.06
0.07
0.08
0.09
0.1
-2
-3
-4
-5
Fig.15. Current wave form when L-G fault occurred phase a.
0.05
0.1
0.15
0.2
0.25
Time
0.3
0.35
0.4
0.45
0.5
Fig .21.Ccurrent wave form when L-G fault occurred at load

end on phase a.
x 10
1.5
voltage
0.5
2000
-1
-1.5
-2
0.01
0.02
0.03
0.04
0.05
Time
0.06
0.07
0.08
0.09
0.1
Fig.16. Voltage form when L-G fault occurred at phase a.
-0.5
1000
0
-1000
-2000
x 10
0.1
0.2
0.3
0.4
0.5
Time (sec)
0.6
0.7
0.9
Fig.22. Thee phase short circuit current for Type 4
0.5
0
-0.5
-1
0.8
0.1
0.2
0.3
0.4
0.5
Time (sec)
0.6
0.7
0.8
0.9
Fig.17.Thee phase short circuit current for Type 3
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III.
FAULTS
By using ODE formulas we can find out the impedance

values at every cycles,On comparing the impedance values
with previous cycle we can find out whether the fault is
occurred or not. Based on the magnitude of the impedance
the type of fault is classified
A.FAULT ANALYSIS:
There are different types of faults which cur in the system,
they are mainly classified as internal faults and external
faults. In wind generation internal faults mainly occur at rotor
terminals, gear box and winding.
Let i0, i1, i2 be the sample currents and v0, v1, v2

be the voltage samples
For calculating (R, X), the following definitions are made
Severity of fault on transmission line with different wind

generator Type system is tabulated below
CA=i0 + i1
DB=i 2 - i1
If the penetration of energy is more than 20% of system

energy then there is an increase in the voltage and
frequency.Fluctuations in the system and this leads to power
quality problems
R= (DA*DB-DB*VA)/ (DA*CB-DB*CA)
X=WL;
W=2**F;
External faults which occur on transmission line are mainly

symmetrical faults and unsymmetrical faults. This paper
mainly concentrates on faults like L-G, L-L-G, L-L-L faults.
These faults are classified and R-X diagrams are shown by
using Differential equation technique
X=W*DT*(VA*CB-VB*CA)/(2*(DA*CBDB*CA)
Z=R+JX;
By comparing the three phase impedances in every cycle,
The analysis of faults was done and differentiation was done
based on the level of impedance deviation from the healthy
Impedance values , based on this Algorithm the instant of
fault Occurrence and type of fault was observed and shown
in Results
D.Flow chart for differential equation technique
Table 1. Result Analysis

Category
Transient
period
Fault
current
:isc
Type1
Greater
than 10
sec
High
Type2
Less than
one cycle
Type3
Less than
one cycle
Less than
Type 1
Less than
Type
1and
Type 2
Type4
Greater
than 10
sec
Less than
Type 1,
Type
2
and Type
3
CB=i1+i2A=v0+v1
4
1
S
E
B.Effects of faults on wind turbine integrated grid:
In squirrel cage induction generator which by being

connected to the grid during grid faults may require large
currents to energize their induction generator, when the
voltage returns after a while. This can lead the possible
violation of grid codes and security standards [5].
Faults on wind farm connected power system cause flexible
drive trains to exhibit torsional oscillation and these
oscillations causes power fluctuation, if wind farm integrated
with synchronous generators system due to fault on wind
turbine synchronous generators exhibit speed oscillations.
The effect is minimum at low penetration levels but could be

challenging at high penetration level [6].
Fig.23. Flow chart for differential equation Technique
The effect of fault on wind turbine interconnected

power
system may cause to blackout due to tripping signal of the
relays, so care should be taken on wind turbine system to
detect fault quickly and to set fault current value to the relay,
both of these are done in this paper to protect the grid.
C.ORDINARY DIFFERENTIAL EQUATION TECHNIQUE :
In this technique three voltage samples and current samples
214
are required with two equal intervals of time.
IV.
ANALYSIS OF RESULTS
In this section R-X diagrams for different faults
applied Type1 induction turbine generator
connected to the feeder are shown below
Where X axis=R in ohms, Y axis=X in ohms.
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The Trajectory in Fig.24 is outside the circle which we

can say it is under healthy condition, if the trajectory in the
R-x diagram is inside the circle then the system is said to
under faulty condition as shown in Fig.25,26,27.
V.
CONCLUSION
Table 1 shows that fault severity and transient period is

more in Type 1 system, where as the Type 4 system is
less effected from faults and having less transient period.
In section 3 fault analyses is carried out on Type 1
system. The simulations were performed for different
kinds of faults on transmission line. Results show the
effectiveness of the Algorithm for different fault
conditions and that faults can be identified and classified
easily by using Differential equation technique.
VI.
[1]
Fig.24.R- X diagram at healthy condition.

[2]
[3]
[4]
[5]
[6]
REFERENCES
Eduard
Muljadi,
Nader
Samaan,
Vahan
Gevorgian, Jun Li, Subbaiah Pasupulati, Short Circuit
Current Contribution
for Different
Wind
Turbine
Generator Types,
Richard Piwko, Nicholas Miller, Juan SanchezGasca,
Xiaoming Yuan, Renchang Dai, James Lyons, Integrating Large
Wind Farms into Weak Power Grids with Long Transmission
Lines.
Eduard Muljadi, C. P. Butterfield, Brian Parsons, and Abraham
Ellis, Effect of Variable Speed Wind Turbine Generator on
Stability of a Weak Grid.
Clemens Jauch, Poul Srensen, Ian Norheim, Carsten
Rasmussen, Simulation of the impact of wind power on the
transient fault behavior of the Nordic power system.
Anca D. Hansen, Nicolaos A. Cutululis, Helen Markou, Poul
Srensen, Florin Iov Grid fault and design-basis for wind turbines
- Final report .
T.R. Ayodele, A.A. Jimoh, J.L Munda, J.T Agee, Challenges of
Grid Integration of Wind Power on Power System Grid Integrity:
A Review.
A.W.Manyonge, R. M. Ochieng1, F. N. Onyango, J. M.
Shichikha Mathematical Modeling of Wind Turbine in a Wind
Energy Conversion System:
Jawahar lal Bhukya Modeling and Analysis of Double fed
Induction Generator for Variable Speed Wind Turbine.
Badri ram power system protection and switch gear.
4
1
Fig.25.R-X diagram for L-G fault at phase b and ground
[7]
S
E
Fig.26.R-X diagram for L-L-G fault at phase a, phase b and

ground.
[8]
[9]
[10] GD. Roy Non conventional energy sources.
VII.
BIOGRAPHIES
Y.Mahesh babu was born in the year 1991 and received his Bachelors
degree in 2012 from Bapatla engineering college, India. He is currently
doing his Post Graduate course in Power Systems and Automation at
Electrical and Electronics Engineering department of GITAM Institute
of Technology, GITAM University, Visakhapatnam, India.
B.Durga Prasad received his Masters degree in 2008 in Power Systems
and Automation from AU Visakhapatnam, India. He pursuing Ph.D and
currently working as an Assistant Professor in Electrical and Electronics
Engineering Department at GITAM Institute of Technology, GITAM
University, Visakhapatnam, India. His research interest includes Power
System Protection, signal processing and Renewable energy sources
B.vijaya vihari was born in the year 1991 and received his Bachelors
degree in 2012 from AU, Visakhapatnam, India. He is currently doing
his Post Graduate course in Power Systems and Automation at Electrical
and
Electronics Engineering department of GITAM Institute of
Technology, GITAM University, Visakhapatnam, India.
Fig.27. R-X diagram for L-L-L-G fault at phases a, b, c and

ground.
215 of 446
BIOMEDICAL APPLICATION USING ZIGBEE

Ms. WAWHAL SONIYA
Ms. PROF. KULKARNI VISHWASHRI
MGMs, JNEC,
Aurangabad, India
Email id:Chandrakironji@gmail.com
MGMs, JNEC,
Aurangabad, India
Email id:vishwashri@rediffmail.com
ABSTRACT
In society, there are increasing number of people whose
health requires frequent health check up or examination.
People who suffer from specific diseases, the subsequences of
which can occur unexpectedly and result in critical health
situation. The solution for this is continuous remote
monitoring of patients. Under remote monitoring the sensing
of important data related to persons health wherever they are
can be transmitted into technological centre where they will be
evaluated and understood. The applicability of this idea has a
great potential. In addition this paper reflects exercise testing
which is used for sportspersons to increase the consumption of
oxygen and increase the endurance capacity of individual. It is
also used in medical rehabilitations. This paper considers noninvasive sensors for monitoring of some physiologic
parameters, data transport and their processing, archiving and
visualization at supervising place using computing equipment
(desktop PC, notebook).This methodology was a basis for
successive applied research projects that were developed in
cooperation with hospitals.
standard parameters are calculated by means of computer [4,

5, 6].
The embedded measuring and managing systems represent
an important integral part for development of such systems,
which are placed directly on their bodies sensing the necessary
patients data. In application of measuring and control systems
in medical systems in medical diagnostics we always face the
problems of signal processing.
KeywordsTelekard System, Remote monitoring, Zigbee
technology
II.
HARDWARE
There are two systems developed for data measuring:

A) The KARD is a system for exercise testing which is used in
laboratory.
B) The TELEKARD is a telemetric portable exercise testing
system that allow to monitor cardio respiratory function in
laboratory as well as in field (sport medicine, rehabilitation
etc).
4
1
S
E
I
I. INTRODUCTION
Physical exercise testing requires the interaction of

physiologic mechanism which enable the cardiovascular and
respiratory systems to support the increased energy demands
of contracting muscles. Both systems are consequently
stressed during exercise. Their ability to respond adequately to
this stress is a measure of their physical competence (or
health).An appreciation to the normal response profiles of
the gas transport systems that support cell respiration is
essential to recognize the abnormal response patterns that
characterize the many disease states that affect them. The
increased metabolic rate during exercise requires an
appropriate increase in O2 the muscles. Simultaneously, the
CO2 produced by muscles must be removed to avoid severe
tissue acidosis with its adverse effects on cellular function.
This involves the lungs, the pulmonary circulation, the heart,
and the peripheral circulation [1, 2, 3].Heart rate, pulmonary
ventilation and breathing frequency are non-invasively
measured in patients breadth. From these data, many of other
Fig.1.The laboratory KARD system for stress test
A. KARD system
The KARD system is used for laboratory testing which is
based on microcontroller. This system is based on AVR
Atmel16 microcontroller. If needed ECG can be connected for
heart rate measuring. The KARD system [1, 2] was designed
to use different types of old gas analyzers (Spirolyt or
Infralyt), but new type of gas analyzers can also be used. The
gas-meter with digital serial output was used for ventilation
measuring. The heart rate meter SPORTTESTER is used for
heart rate measuring and information is transmitted.
In Fig.2, the block diagram of the TELEKARD system is
drawn [1]. This is a wireless device (telemetric system). The
equipment is composed of a unit (carried by object) which
transmits the measured data to a receiver in area time. The
216 of 446
receiver is connected to personal computer (PC) which shows

the information on the The following devices are used for
B. TELEKARD system
heart beat. The digital output can be connected to

microcontroller directly to measure the Beats per minute
(BPM) rate. It works on principle of light modulation by blood
flow through finger at each pulse.
SENSOR CO2: MQ-6 is used as CO2 sensor for measuring the
content of Carbon dioxide in human breath.
SENSOR O2:OOM102-1 is used as oxygen sensor.
Its measuring range is 0-100%.
a) %O2 Expiratory- Oxygen sensor, range 0 to 100%.

b) %CO2 Expiratory-Infrared carbon dioxide sensor, 0-10%.
c) Heart pulse-Heart rate sensor or heart rate meter
SPORTMETER is used.
Additionally, other parameters can be measured like,
d) Flow-turbine flow meter, 26mm, VE range 10-250 1/min.
e) Pressure Sensor-differential dual ports integrated silicon
pressure sensor on chip signal conditioned, temperature
compensated and calibrated MPX5010 is used.
f) Temperature sensor-LM 35 can be used as temperature
sensor for measurement of temperature.
2.
Microcontroller
In this paper we are using Tmega16U4/ATmega32U4

microcontroller. This is a high performance, low power AVR
8-bit microcontroller. It has non volatile program and data
memories. It has 131 instruction and these mostly require
single clock for execution so the time required for execution
of data is far less than other microcontrollers.
3.
Zigbee RF module
a)
Serial Communications
The Xbee/Xbee-PRO OEM RF modules interface to

host device through logic-level asynchronous serial port.
Through its serial port, the module can communicate with
any logic and voltage compatible UART, or through a
level translator to any serial device (For example through
RS-232 or USB interface board) [9].
4
1
Fig.2. TELEKARD System
The TELEKARD system is used. The wireless data is

used. The signals a) - f) are processed in AVR Atmel16
microcontroller is used and transmitted to a 2.4GHz RF
module [6,7],where they are elaborated and presented to the
user using PC.
S
E
I
Devices that have UART interface can directly

connect to pins of RF-module as shown below.
Fig.4. System Data-Flow in UART-interfaced Environment
c)
Serial Data
Data enters the module UART through the DI

pin(pin-3) as an asynchronous serial signal. The signal
should be idle high when no data is being transmitted.
Each data byte consist of a start bit(low), 8-data
bits(least significant bit) and stop bit(high). The following
figure illustrates the serial bit pattern of data passing
through the module.
Fig.3.Block Diagram of Telekard System
1.
b) UART Data Flow
Heart Rate Sensor
Heart beat sensor is designed to give digital output of

heart beat when a finger is placed on it. When the heart beat
detector is working, the beat LED flashes in unison with each
217 of 446
Fig.5.UART data packets as transmitted through RF-module
The module UART performs tasks, such as timing

and parity checking, that are needed for data communication.
Serial communication depends on two UARTs to be
configured with compatible settings (baud rates, parity, start
bit, stop bit, and data bits) [9, 10].
III.
TABLE I. RESULTS
LIST OF MEASURED AND CALCULATED

DATA
Name
30
29
Heart Rate
70
73
V.
The systems non-invasive nature and ease of use makes it

ideally suited for clinical situations where monitoring of
cardiovascular and ventilatory systems responses under
conditions of precisely controlled stress is desirable. Exercise
testing with appropriate gas exchange measurements can also
serve to grade the adequacy of cardiorespiratory function and
benefit from the convenience of this simple, inexpensive test.
From the measured data, many of other parameters are
calculated by means of computer.
The tested results with reference parameters are as under
shown in table 1.
4
1
REFERENCES
[1] M. Stork, The System for Spiroergometric Data Measuring and

Evaluation, in Proceedings of measurement 2001,ISBN 80-967402-5-3,
EAN 9788096740253,2001, pp.305-308.
[2]
M. Stork, Hardware and software for Spiroergometric
Examination, Medicina sportive Bohemica & Slovaca, ISSN 1210-548,
Vol.10, No.2, 2001.
[3] Microcontroller Atmel16 data sheet http: // www. engineersgarage.
com/sites/default/files/Atmega16.pdf
[4] R.S.Khandpur, (2003)Handbook of Biomedical Instrumentation,
Tata McGraw Hill Education.
[5] M.Stork ,Hardware and software for cardiopulmonary exercise
testing,in proceedings of SIMBIOSIS 2001,VI international
conference, ISBN 80-214-0893-6.Poland,2001,pp.149-154.
[6] M.Stork, The laboratory and telemetry systems for cardiopulmonary
exercise testing, in proceedings of IFMBE,2nd European and biological
engineering Conference, EMBEC02, Vienna,Austria,ISBN-3-90135162-0, Part1, December 2002, pp.518-519.
[7] Heart rate sensor Available: http://www.sunrom.com/sensors/heartbeat-sensor/
[8] Xgbee PRO-RF-Module http://www.digi.com/products/wirelesswired-embedded-solutions/zigbee-rf-modules/point-multipointrfmodules/xbee-series1-module#overview
[9] XBee Pro 802.15.4 OEM RF module datasheet Available:
http://www.picaxe.com/docs/xbe001.pdf
S
E
I
IV. RESULT
CONCLUSION
The embedded system for some physiologic data

during physical activities was presented. A properly
administered exercise test allows the objective and
quantitative assessment of the patients performance, reserves
and limits that are necessary to make a correct differential
diagnosis and institute appropriate therapy. The programs and
systems for automatic stress testing have been developed in
cooperation with doctors for more than 15 years and now are
used in approx.20 hospitals in Czech Republic.
Unit
VE
Ventilation
1/min, BTPS
RF
Respiratory frequency
1/min, STPD
Vt
Tidal Volume
1, BTPS
VO2
Oxygen uptake
1/min, STPD
VCO2
Production of carbondioxide
1/min, STPD
FeO2
mixed expired O2
%, dry
FeCO2
mixed expired CO2
%, dry
HR
Heart rate frequency
bpm
RQ
Respiratory quotient
--VE/VO2 Ventilatory Equivalent for O2
--VE/CO2 Ventilatory Equivalent for CO2
--VO2
Oxygen pulse
ml/bpm
VO2/Kg
VO2 per Kg
ml/min*Kg
VO2 peak Maximum Value of VO2
ml/min, STPD
VEmax
Maximum value VE
1/min, BTPS
HRmax
Maximum value HR
ml/bpm
Measured
Parameters
Temperature
During the exercise testing the KARD or TELEKARD

acquires the following main signals:
Heart frequency, Flow, %O2 Expiratory, %CO2 Expiratory.
From these signals, the standard parameters are calculated by
the program are the following:
Symbol
Standard
Parameters
Name
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Resonant Frequency of 300-600-900 Right Angle

Triangular Patch Antenna with and without
Suspended Substrate
M. Biswas
Department of Electronics & Tele-Communication
Engineering, Jadavpur University
Kolkata, India
e-mail: mbiswas@ieee.org
M. Dam, B. Chakraborty
Dept. of Electronics & Communication Engg.
Hooghly Engineering and Technology College
Hooghly, India
e-mail: mihirdam@yahoo.co.in
Abstract A new, very simple expression for the effective side

length is formulated to compute the resonance frequency of a 300600-900 right angle triangular patch antenna with and without
suspended substrate. An effective permittivity expression has
been used for the proposed antenna structure. The present model
is found to be valid for both low and high permittivity substrate.
A standard commercial simulator (HFSS) has been employed to
validate the present model. Good correlation (average % error
1.357) is observed between theoretical and simulated values
compared to other model available in literature.
I.
30
r1
h1
4
1
g
Keywords resonance frequency, CAD, 300-600-900 right angle

triangular patch, suspended substrate.
r2 = 1
S
E
I
h
h2
II
INTRODUCTION
The triangular microstrip patch is a well-known microwave

network element due to its compactness compared to other
patch shape. It finds extensive application in the design of
many useful microwave circuit components like circulator,
resonators and filters [1]. Narrow band structure of triangular
microstrip patch antenna supports its application in array
configuration with reduced coupling [2].
Among all triangular geometry only equilateral shape has
been widely investigated by several researchers [1-8]. Among
other geometry of triangular patch that have attracted much
attention lately is the scalene triangular patch antenna. This is
due to its small size and less complexity in its design
compared to other triangular shapes (isosceles and
equilateral), circular as well as rectangular patch antennas as
described by James [8]. The 300-600-900 right angle triangular
patch antenna (scalene category) is most attractive patch shape
because it having least area among all the standerd triangular
patch operating in same frequency as shown by Olaimat [9].
The 300-600-900 right angle triangular patch antennaa (RTPA)
is least investigated till now. Only Olaimat [9] has predicted
theoretically the resonant frequency of the 300-600-900 RTPA
for dominant and higher order mode. The effect of fringing
field is not included in the theoretical model proposed by
Olaimat [9]. So, large discrepancy found between the
simulated and theoretical values. Full wave analysis [7] and
60
Fig. 1. (a). A schematic diagram of probe-fed

triangular patch antenna
300-600-900 right angle
other commercial software [10] are not efficient due to their

complexity and large time requirement. So, they are not
effective in of direct synthesis of antenna, whereas CAD
model containing closed form expression is highly suitable for
synthesis of patch antenna.
We have addressed these issues and proposed a very simple
and accurate CAD model based on cavity model analysis to
compute the resonant frequency of 300-600-900 RTPA with
and without suspended substrate. A new, very simple
expression for the effective side length is formulated for better
accuracy. The proposed model is found to be valid for both
low and permittivity substrate. A standard commercial
simulator (HFSS) has been employed to validate the present
model. Good correlation (average % error 1.357) is observed
between theoretical and simulated values compared to other
model available in literature. For designing the MIC on
semiconductor materials with r 10, this model will be
widely applicable.
219 of 446
TABLE I
THEORETICAL AND SIMULATED VALUES OF RESONANT
FREQUENCIES OF A 300-600-900 RIGHT ANGLE TRIANGULAR PATCH
ANTENNA ON SINGLE SUBSTRATE OPERATED IN DIFFERENT
MODES
h
p =
a

+ 0.3
r , eff
r , eff 0.258
Resonant frequency(GHz)
Mode
a
(mm)
r = r1
60
h = h1
(mm)
2.4
0.8265
Simulated
[10]
50
4.5
0.7
Present
Olaimat [9]
1.810
1.825
1.863
TM11
3.105
3.161
3.227
TM20
3.540
3.650
3.727
TM21
4.765
4.829
4.930
TM30
5.325
5.475
5.590
1.979
4.116
Avg. %Error
(3)
The q is obtained from [13] by taking equivalence relation
between rectangular and triangular geometry considering
equal area as
Computed
TM10
TM10
1.620
1.611
1.633
TM11
2.809
2.790
2.828
TM20
3.233
3.222
3.266
TM21
4.341
4.262
4.320
TM30
4.847
4.833
4.899
Avg. %Error
0.736
0.811
Total Avg. %Error
1.357
2.464
r , eff 1
0.1925 h + 0.5092 + 0.0947
r , eff
0
.
1925
+1
r , eff
1.675 +1.1547 ln 0.1667 + 0.94
2
h

r , eff
WL = (1 / 2 3 ) a 2
(4)
Now we equate the zeroth order resonant frequencies of
rectangular patch and triangular patch without fringing to get
f r ,10 =
c
c
=
2 L r a 3 r
(5)
3
Hence, L =
a
2
From relation () and () we get
1
(6)
W= a
3
The expression for computing the r,eff can be proposed as [3]
r ,eff =
4
1
re + 1 re 1
2
12 h
1+
3 a
2
1 / 2
(7)
where, re is the relative permittivity of the medium below the
II.
patch can be computed as
THEORY
Based on cavity model we have considered side walls of

the patch are perfectly magnetic. According to this assumption
the resonant frequency fr,nm of TMnml modes for 300-600-900
right angle triangular patch antenna can be computed using a
set of simple and accurate closed form expressions [9, 11-12]
as
=
c
a eff 3
r , eff
1/ 2
n 2 + nm + m 2
(1)
where, c is the velocity of light in free space, r,eff is the

effective permittivity of the medium below the patch and aeff
is the effective side length of the patch, m, n, l are integers
which are never zero simultaneously satisfying the condition
n+ m+l =0.
The effective side length of the 300-600-900 RTPA can be
computed as
(2)
a eff = a (1 + q )
In equation (2), q arises due to the fringing fields at the edge
of patch. Here q can be expressed as [13]
computed
simulated [10 ]
(GHz)
r , nm
fr,10
S
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0
20
30
40
50
60
70
a (mm)
Fig. 2. Theoretical and software computed variation of dominant mode
resonant frequency of a 300-600-900 right angle triangular patch antenna as a
function of side length with substrate thickness h =h1 = 0.8265 mm and r =
r1 = 2.4.
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re =
r1 r 2 h
r1 h2 + r 2 h1
(8)
computed
simulated [10]
TM11
RESULT
Table I shows a comparative study of theoretical and

simulated values of resonant frequencies of a 300-600-900 right
angle triangular patch antenna on single substrate operated in
different modes. Here close agreement (avg. % error 1.357) is
revealed with respect to simulation compared to Olaimat [9].
The variation of dominant mode resonant frequency of a 300600-900 RTPA having substrate thickness h =h1 = 0.8265 mm
and dielectric constant r = r1 = 2.4 as a function of side
length is visualized in Fig.2. Theoretical curve employing
present model is compared with simulated [10] data and it
reveals good agreements between them.
The variation of resonant frequency of a 300-600-900 RTPA
on single substrate with substrate thickness (h = h1) for
different dielectric constant (r = r1) is visualized in Fig. 3.
Here we have compared theoretical curve employing present
model with simulated values [10] and it exhibits close
correlation for total range of substrate thickness.
Theoretical and simulated variation of TM10 & TM11 mode
resonant frequency as a function of suspended substrate
thickness h2 of 300-600-900 RTPA with fixed upper substrate
thickness h1 = 0.8265 mm, r = 40 mm, r1 = 2.4, r2 = 1.0 is
shown in Fig.4. Comparison show good proximity between
fr,10(GHz)
III.
2.0
= = 2.4
r r1
fr,10 (GHz)
1.6
1.2
=
11
13
IV.
0.6
0.8
1.0
CONCLUSION
A new, very simple and accurate CAD model based on cavity

model analysis has been proposed to predict accurately
resonant frequency of a 300-600-900 RTPA with and without
suspended substrate. An accurate expression for the effective
side length and permittivity of 300-600-900 RTPA is proposed.
Computed resonant frequencies of a 300-600-900 RTPA
employing present model are compared simulated and
theoretical values available in open literature. The present
model shows very close agreement (average % error 1.357)
with simulated values compared to other. The present model is
valid for wide range antenna parameter. For designing the
MIC on semiconductor materials with r 10, this model will
be widely applicable.
4
1
REFERENCES
[1]
15
h = h1 (mm)
(b)
Fig. 3. Theoretical and simulated variation of dominant mode resonant
frequency as a function of substrate thickness h of a 300-600-900 right angle
triangular patch antenna with side length a =60 mm.
0.4
h2 (mm)
[2]
3
0.2
Fig. 4. Theoretical and simulated variation of TM10 & TM11 mode resonant
frequency as a function of air gap thickness h2 of a 300-600-900 right angle
triangular patch antenna with fixed substrate thickness h1 = 0.8265 mm, a =
40 mm r1 = 2.4, r2 = 1.0.
0.4
TM10
0
0.0
S
E
I
0.0
r r1 = 10.0
0.8
2.4
computed
simulated [10]
[3]
[4]
[5]
theoretical curve and simulated values [10].

[6]
J.-S. Hong and M.J. Lancaster, Theory and experiment of dual-mode

microstrip triangular patch resonators and filters, IEEE Trans.
Microwave Theory Tech., vol. 52, pp. 1237 1243, 2004.
J.T.S. Sumantyo, K. Ito, and M. Takahashi, Dual-band circularly
polarized equilateral triangular-patch array antenna for mobile satellite
communications, IEEE Trans. Antennas Propagat., vol. 53, pp. 3477
3485, 2005.
R. Garg, P. Bhartia, I. Bahl, and A. Ittipiboon, Microstrip Antenna
Design Handbook, Artech House, Canton, MA, 2001.
M. Biswas and M. Dam, Characteristics of equilateral triangular patch
antenna on suspended and composite substrates, Electromagnetics, vol.
33, pp. 99115, 2013.
M. Biswas and M. Dam, Fast and accurate model of equilateral
triangular patch antennas with and without suspended substrates,
Microwave Opt. Technol. Lett., vol. 54, pp. 2663-2668, 2012.
A. K. Sharma and B. Bhat, Analysis of Triangular Microstrip
Resonator, IEEE Trans. Microwave Theory Tech., Vol. 30, no. 11, pp.
2029 2031, Nov. 1982.
221 of 446
H. R. Hassani and D. Mirshekar Syahkal, Analysis of triangular patch

antennas including radome effects, IEE Proceedings H., vol. 139, no.
3, pp.251-256, Jun. 1992.
[8] J.R.James , P.S, Hall. The Handbook of Microstrip Antennas. ,Vol. 1 &
2. , Peter Peregrinus Ltd., London,1989.
[9] M. M. Olaimat and N. I. Dib, A study of 150-750-900 angles triangular
patch antenna, Progress In Electromagnetics Research Lett., vol. 21, pp.
1-9, 2011.
[10] HFSS 13: Ansofts Corp.
[11] P. L. Overfelt and D. J. White, TE and TM Modes of some triangular

cross-section waveguides using superposition of plane waves, IEEE
Trans. on Microwave Theory Tech., vol. 34, pp. 161-167, 1986.
[12] J. Zhang, and J. Fu, Comments on`TE and TM modes of some
triangular cross-section waveguides using superposition of plane
waves, IEEE Trans. Microwave Theory Tech., vol. 39, pp. 612-613,
1991.
[13] F. Abboud, J. P. Damiano and A. Papiernik, Simple model for the input
impedance of coax-fed rectangular microstrip patch antenna for CAD,
IEE Proc. Pt. H.,vol. 35, pp. 323-326, 1988.
[7]
4
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222 of 446
Model Free Adaptive Control in Industrial Process:

An Overview
Khaing Yadana Swe, Lillie Dewan
Electrical Engineering Department
NIT (Kurukshetra)
Kurukshetra, India
khaingyadanaswe18@gmail.com, l_dewan@nitkkr.ac.in
algorithm can be applied to any single input or multi-input

open-loop system which is stable controllable and continuous
or continuous reaction system [4].
Abstract This overview presents Model Free Adaptive

(MFA) control and its applications in industrial process control.
Model Free Adaptive Control has been widely used in most
process industries since it was invented in 1997. It is the
advanced controller in the market with significant economic
benefits for the users. It can control complex systems without the
need to use first principal model or identification-based models.
It can control single-variable or multi-variable open-loop stable
controllable industrial process without requiring any tuning,
qualitative knowledge of the process or process identifiers.
KeywordsMFA Control; Industrial Process; Applications of
MFA;
I.
INTRODUCTION
In process industry, it can be clearly seen that conventional

controls are widely suited for applications where the processes
can be reasonably described in advance. However, when the
plants dynamics are hard to characterize precisely or are
subject to environmental uncertainties, one may encounter
difficulties in applying the conventional controller design
methodologies. In this case, an alternative model-free adaptive
control (MFAC) can be used [1].
Model Free Adaptive Control was proposed in 1994 by

HOU Zhongsheng in his doctoral thesis. His method is based
on a new pseudogradient vector and pseudo-order, and uses a
series of dynamic linear time-varying model (tight format,
partial format, wide format linear model) to replace the discrete
time nonlinear systems in the vicinity of the controlled system,
this model uses the I/O data to estimate the pseudo-gradient
vector of the process, for the MFA control [3].
In 1997, Dr. George Cheng introduced MFA control
technology based on neural network. His idea approaches
model free adaptive control with neural network. This
4
1
S
E
Model Free Adaptive (MFA) Control, as its name implies,

is an adaptive control which does not need any information of
system model within the corresponding controller and it uses
I/O data of the controlled system to design controller, even
without any information of the system. It is novel and effective
idea and method to solve complex industrial process control
and it is totally different from PID and self-tuning PID control,
fuzzy control, neural network control, expert system control
[2].
MFA control avoids the fundamental problems (such as the

headache of off-line training that might be required, the
tradeoff between the persistent excitation of signals for correct
identification and the steady state system response for control
performance, model convergence and local minimum problems
and system stability issues) by not using any identification
mechanism in the system. Once an MFA controller is launched,
no controller parameter tuning is typically required. The MFA
algorithms used to update the weighting factors are based on a
sole objective, which is to minimize the error between Set
Point and Process Variable. That means, when the process is in
a steady state where error is close to zero, there is no need to
update the MFA weighting factors [2].
Model-Free controller is not a panacea, it is based on the

principle of feedback control, and applicable to the object with
clear controlled variables, operation variables and settings, and
can constitute a closed-loop regulation loop structure. ModelFree control technology has proven the applicability of the
linear and non-linear open-loop stability process in theory. (Not
suitable for open-loop instability process) [5].
A Model-Free Adaptive control system can be defined with

the following properties:
Precise quantitative knowledge of the process is not
necessary;
Process identification mechanism or identifier is not
included in the system;
Controller design for a specific process is not needed;
Manual tuning of controller parameters is not required;
and
Closed-loop system stability analysis and criteria are
available to guarantee the system stability.
II.
DIFFERENCES BETWEEN MFA AND OTHER

CONTROLLERS
By using most of the traditional adaptive control, robust

control, predictive control, and intelligent control methods, the
control system needs to design with high level expertise to
223 of 446
which average users do not have access. Because of the

difficulty for implementing these methods, practical control of
complex systems is very difficult and expensive [4].
Model free adaptive control technique has excellent
performance in the aspect of adaptiveness, robustness,
convergence and stability. It is easy to use and require
minimal investment and risk [6].
Candidate for
next generation
mainstream
controller
III.
U kk1m
B. Traditional Adaptive Control

For Traditional adaptive control methods, if the quantitative
knowledge of the process is not available, an online or off-line
identifier is required to obtain the process dynamics. For these
reasons, the system identification is difficult, and its accuracy
cannot be guaranteed. They have two main problems, the
dependence on the mathematical model structure of the
controlled plant and mismatch plant dynamics.
TABLE I.
DIFFERENCE BETWEEN CONVENTIONAL AND MODEL-FREE

ADAPTIVE CONTROL [6]
Compared
Item
PID
Model
Predictive
Robust
Control
N
Modelbased
Adaptive
N
ModelFree
Adaptive
Y
General
Purpose
Adaptive
Capability
No process
model
No
identification
No controller
design
No controller
manual tuning
Stability
criteria
available
Easy to use and
maintain
Y/N
Y/N
DESIGN OF MFA CONTROL
f [Ykk n , u (k ), U kk1m , k + 1]
(1)
= one dimensional state output for k = 0, 1,

= input variable for k= 0, 1,
= discrete time
= unknown order of output y(k)
= unknown order of input u(k)
= general Non-linear function
= {y (k), ., y (k-n)}, n = positive integer
= {u (l), , u (k-m)}, m = positive integer
The system in (1) needs to meet the following assumptions:
4
1
l. It is observable and controllable.

2. The partial derivative of f(.) about u(k) is continuous.
S
E
Differences between conventional controls and model free

adaptive control are mentioned in TABLE 1.
A. Universal Process Model

Consider the general discrete-time Non-linear system,
A. PID
Most industrial processes are being controlled by PID
=
y (k + 1)
(proportionalintegral-derivative) controllers till now. PID is a
simple general-purpose automatic controller that is useful for
where,
controlling simple processes. PID works the process with
y (k)
linear, time-invariant, small or no dynamic. Accordingly, it
cannot work effectively for the complex system with nonu (k)
linear, time-variant, coupled and which have parameter or
k
structure uncertainties. And it also requires frequent manual
tuning of its parameters when the process dynamics change [4].
m
The typical characteristic of MFA is model-free, which is
n
suitable for the system of nonlinear, strong coupling, strong
f()
interference, and time-varying nature [6]. It does not need
complicated manual tuning, quantitative knowledge of the
Ykk n
process and learning process [4].
MFA Control does not need mathematical model of

controlled system and any identifier. And it can solve the two
most important modern control theory problems: un-modeled
dynamics, the dependant problem of controlled system model
and parameters [7].
3. It is generalized Lipschitz, that is to say, y(k+1) b,

u(k) is reasonable for any k and u(k) 0. Where y
(k +1) = y(k+1) - y(k), u(k) = u(k) - u(k 1), b is a
constant.
Suppose
that y (k + 1) f [Ykk n , u (k ), U kk1m , k + 1] has a
=
continuous gradient with respect to u(k). When the system is in
the steady state, because of the condition u(k)-u(k-1) = 0, we
have y(k+1) = y(k). By using these assumptions, we have
y (k +=
1) (k )T u (k )
Equation (2) is known as Universal Model, which is to avoid

modeling before controller design and (k) is pseudo gradient
of f [U kk1m , Ykk n ] [1, 9, 10, 11, 12, 13].
B. Model Free Adaptive Control Algorithm
For the control law algorithm, consider a weighted one-step
ahead control input cost function is adopted as :
J (u (k=
)) | y * (k + 1) y (k + 1) |2 + | u (k ) u (k 1) |2
(3)
where
y*(k + 1) = desired output
= penalty/ weighted factor
In (3), | y * (k + 1) y (k + 1) |2 can reduce the steady tracking

error and [u(k)-u(k-1)]2 can restrict the change in control
output [12].
224 of 446
If the case u(k) = 0 comes forth at certain sampling time,

equation (1) can be transformed into Compact Form Dynamic
Linearization (CFDL) model as:
y (k + 1) y (k =
+ 1) (k )[u (k ) u (k )] and
y (k + 1)= y (k ) + (k )u (k )
(4)
By substituting equation (4) to equation (3) and solving

J (u (k ))
= 0 , the control law u(k) is obtained as follows:
u (k )
u (k )= u (k 1) +
(k )
Fig.1 Principle of MFA Controller
(k )[ y * (k + 1) y (k )
IV.
(5)
+ || (k ) ||2
A. Types of MFA
A series of MFA controller and related products have been
developed to solve many kinds of control problems. The
followings are the developed MFA controllers and their
purposes [2, 6].
where is the step factor. This control law (5) thus obtained is
model-free, order-free and only I/O data-related.
In the control law defined by (5), the only unclear
parameter is the characteristic parameters (k), so the main
task is to find (k) [9]. There are several ways for estimating
(k) such as recursive least square approach, recursive gradient
algorithm, the least-squares method with time varying factors,
the least-squares with variance re-set, the time-varying
parameter estimation method with Kalman filter, and so on [9],
[5]. The necessary condition that the universal model (2) could
be used in practice is that the estimation of (k), denoted as
(k), is available in real-time, and is sufficiently accurate.

Consider the below estimation criterion function as
J ( (=
k )) | y * (k ) y (k 1) (k )u (k ) |2 + | (k ) (k 1) |2
It can be estimated as given by
(k )= (k 1) +
u (k 1)
+ u (k 1)
[y (k ) (k 1)u (k 1)]
(k ) = (1) if | (k ) | or | u (k 1) |
(7)
SISO MFA : to replace PID so that manual controller

tuning is eliminated
MIMO MFA : to control multivariable processes
Non-Linear MFA : to control extremely nonlinear

processes
Anti-delay MFA : to control processes with large time

delays
Feed Forward MFA : to deal with large measurable

disturbances
The principle of MFA controller is as shown in Fig.1
4
1
Robust MFA : to protect the process variable from

running outside a bound
Time-varying MFA : to control time varying processes
MFA pH Controller : to control pH processes
Anti-delay MFA pH Controller : to control pH

processes with varying time delays
Flex-phase MFA : to control open-loop oscillating

processes
MFA XRT controller : to control exothermal Reactor

Temperature
MFA Optimizer
applications
(8)
The equation (5), (6), (7) are the Model Free Adaptive
Control laws which do not need to specify a particular
controlled system, are unrelated with the mathematical model
and the order of the controlled system [1, 5,9,10,11,12].
[2].
S
E
(6)
DIFFERENT TYPES OF MFA AND ITS APPLICATION
for
dynamic
optimization
It categorizes various processes into a few types to make it

convenient for user to meet different requirements of processes.
B. Applications of MFA
Due to its adaptive, robust and easy to use, MFA control
has been successfully implemented to solve many industrywide control problems with minimal investment and risk. The
followings are some applications of different MFA controller
in process industry [6]:
Oil recovery boilers use Anti-delay MFA for

controlling steam dryness and SISO MFA for
combustion.
225 of 446
Distillation Columns use 2x1MFA for controlling plate

and bottom temperature, Robust MFA for level and
Non-linear MFA for pressure and flow [14].
Tomato process uses SISO MFA for controlling

temperature of tomato hotbreaks and temperature of
sterilization system and MIMO MFA for evaporator
density and level [15].
[4]
[5]
[6]
Gas mixing plant use Anti-delay MFA for controlling

heating value and Robust MFA for gas pressure and
gas flow.
Coking Furnace use MIMO MFA for oil outlet

temperature and SISO MFA for combustion [16].
Air separation unit uses Robust MFA for controlling

HP column reflux level [17].
[9]
Evaporators use MIMO MFA or FB/FF MFA for

controlling density and level [18].
[10]
Water treatment plant use MFA pH or Anti-delay MFA

pH for pH control [19].
Catalyst or powder conveyor process use Anti-delay

MFA for controlling vacuum pressure.
[7]
[8]
[11]
[12]
In some applications, MFA control is used by combining

with other controllers like PI, PID and Fuzzy. For example,
MFA-PID control is used in glass furnace temperature control
system [2], MFA-PI control is used in nuclear steam turbine
water level control [20] and MFA-PID cascade controller is
used in thermal power plant to adjust main steam temperature
control system [8].
As controller design procedures are not needed for MFA,
the user can simply choose the suitable type of controller for
the application, configure with certain parameter and just
launch the controller [6].
V.
REFERENCES
[2]
[3]
4
1
S
E
CONCLUSION
Model Free Adaptive control becomes a unique technology

which can be used as general-purpose solution for various
control applications in process industries. It has been
successfully used in industrial process, especially in chemical,
power generation, oil refining, glass etc. It can not only replace
the traditional PID control but also solve tough loop control
problems. Comparing with other PID and model-based
controllers, MFA shows great advantages in control process.
[1]
[13]
Cheng, G. S., MFA process control; United State Patent, 605524[P].

April 25, 2000. Washington: US Patent & Trademark Office of the
United States Department of Commerce.
Gao Qiang, Ren Dexue, Dong Chao and Jia Zefang, The study of
model-free adaptive controller based on dSPACE, Second International
Symposium on Intelligent Information Technology Application, IEEE,
August 2008, pp.608-611.
Cheng, G. S., Model free adaptive control (MFAC), IEE Computing &
Control Engineering, vol 15, issue 3, June 2004, pp. 28 33.
Jianhua Wu, Jianhua Guo, Haitao Yang, Yaqiong Liu and Bin yin,
Simulation study on model-free control method in asynchronous motor
control system, Third International Workshop on Advanced
Computational Intelligence August 25-27, 2010 - Suzhou, Jiangsu,
China.
Ping MA, Wei Li, Guiwen Zheng and Yuguang Niu, The application of
model free adaptive control, Multiconference on Computational
Engineering in systems Applications (CESA), October 4-6, 2006,
Beijing, China.
Zhi-Gang Han and Xinghuo Yu, An adaptive model free control design
and its applications, IEEE International Conference on Industrial
Imformatic, Harbin, PR China 2004, pp. 243-248.
F.L. Lv, S.B. Chen, and S.W. Dai, A model-free adaptive control of
pulsed GTAW, Springer-Verlag Berlin Heidelberg, 2007, pp.333-339.
Leandro dos Santos Coelho, Antonio Augusto Rodrigues Coelho,
Model-free adaptive control optimization using a chaotic particle
swarm approach, Science Direct , Chaos, Solitons and Fractals, vol 41,
issue 4, Aug 2009, pp. 20012009.
Xuhui Bu, Fashan Yu, Zhongsheng Hou, and Hongwei Zhangm
Model-dree adaptive control algorithm with data dropout
compensation, Hindawi Publishing Corporation Mathematical
Problems in Engineering Volume 2012, Article ID 329186, 14 pages,
2012.
Wu Jianhua, Yang Haitao, Zhang Haixin and Zhu Mingguang, Modelfree adaptive control for model mismatch power converters, Control
and Decision Conference (CCDC), China, May 2011, pp 1168-1171.
Cheng, G. S., and Zhang, W.D., Mode-free adaptive technology
improves distillation column chain control, Hydrocarbon Processing,
Gulf Publishing Company, Houston TX, October 2004.
Cheng, G. S, Tomato Process Improvements Using Model-Free
Adaptive Controllers, Tomato News, April 2004.
Cheng, G. S., Min He, and De-Lin Li (1999). "Model-Free Coking
Furnace Adaptive Control," Hydrocarbon Processing, Gulf Publishing
Company, Houston TX, December 1999.
Seiver, Dave, and Ovidiu Marin (2001). "Air Separation Advances with
MFA Control,"Control, Putman Media, May 2001.
Major, M., Model-Free adaptive control of evaporator, Dynamic
Modeling Control Applications for Industry Workshop, 1998. IEEE
Industry Applications 1998, pp. 16-19.
Cheng, G. S. and Zhang, Z. W., Model-Free Adaptive Control in
Water Treatment, Control Engineering Europe, September 2004.
Wang Mingmei, Cheng Qiming, Cheng Yinman and Wang Yingfei,
Model-free adaptive control method for nuclear steam generator water
level, 2010 International Conference on Intelligent Computation
Technology and Automation, IEEE, January 2010, pp.696-699.
[14]
[15]
[16]
[17]
[18]
[19]
[20]
Leandro dos Santos Coelho, Marcelo Wicthoff Pessa , Rodrigo

Rodrigues Sumar and Antonio Augusto Rodrigues Coelho, Model-free
adaptive control design using evolutionary-neural compensator,
Science Direct, Expert Systems with Applications, vol. 37, issue 1, Aug
2010, pp 499508.
Qi Jianling and Ma Guang, Design of glass furnace control system
based on model-free adaptive controller , 2010 Second International
Conference on Computer Modeling and Simulation, IEEE, June 2010,
pp.130-133.
Zhongsheng Hou, The parameter identification, adaptive control and
model free learning adaptive control for non-linear system [Ph.D
Thesis], Shengyang: North-easten University, 1994.
226 of 446
Simulation of IGBT fed Mirror Inverter based H.F.

Induction Cooker
Dola Sinha
Dr. B.C.Roy Engg. College, Durgapur,
Durgapur, India
resonant loads. Burdio et al. [16] developed a series resonant

inverter based induction cooker with two heating zone. The
series resonant based multi-inverter used for multiple induction
heaters is described by Lucia et al. [17]. The overall
comparison considering full bridge, half bridge, ZVS and ZCS
have been made by Llorente et al [1]. From the literature it can
be concluded that due to robustness, cost saving and simple
circuit configuration half bridge series resonant inverter is most
popular. In this paper an attempt is made to analyze the circuit
of half bridge series resonant based mirror inverter analytically
and using PSPICE software simulation. The results are
validated with real time experimental model simulation.
Abstract This paper deals with the circuit analysis of a half

bridge series resonant IGBT-fed mirror inverter based high
frequency induction cooker. The principle of inverter operation
has been presented and different waveforms are shown at
different modes of the inverter. The circuit is also simulated
using PSPICE software. The simulated results have been
compared with analytical result. And results are coming almost
similar in nature.
Keywords Half bridge Series Resonant Inverter, Induction

cooker, Mirror Inverter, PSPICE Simulation
II.
4
1
CIRCUIT CONFIGURATION AND ANALYSIS OF MIRROR

INVERTER
S
E
I
Mirror inverters are basically half bridge series resonant

inverter and commonly used for medium power induction
heating applications [18]. The series-resonant radio-frequency
mirror inverter system has been introduced as a new
conception for induction-heated pipeline or vessel fluid
heating in medicinal plant, sterilization plant and drier for
surgical instruments by Sadhu et al. [19].
Cooking vessel
Vessel support
Choke
Q
R
IGBT1
Rsn1
C1
Bridge
rectifier
I. INTRODUCTION
Demand of domestic induction cooker increases day-byday because of its inherent advantages. In the domestic
induction cooker copper made heating coil is placed beneath
the ferromagnetic cooking pan. The heating coil is made up of
litz wire and is connected with a high frequency (4kHz to
50kHz) power source. The coupling between heating coil and
cooking pan is modeled as the series connection of an inductor
and resistor based on transformer analogy. The load power
factor is usually considered around 0.5 [1]. The induction
cooker takes the energy from the mains voltage and this
voltage is then rectified by a bridge rectifier. A bus filter is
designed to allow a high voltage ripple and the resultant power
factor close to one. Then an inverter supplies high frequency
alternating current to the heating coil. At high frequency, the
alternating magnetic flux is induced at cooking pan and
produce eddy current in it. The internal resistance of the
cooking pan causes heat to be dissipated following Joules
effect. Now-a-days resonant inverter topologies are commonly
used for induction cooker to produce high frequency resonance
loss at the cooking pan. Mostly used inverter topologies are full
bridge [2-3] or half bridge [4-8]. To reduce the switching loss,
inverter is operated in Zero Voltage Switching (ZVS) or Zero
Current Switching (ZCS) condition. Two single switch inverter
topologies ZVS and ZCS are described by Omori et al. [9],
Cohen [10], and Leisten & Hobson [11]. The circuit of half
bridge inverter using the principle of positive negative phase
shift control under ZVS and non-ZVS operation for small size
and low voltage induction cooker is analysed by Achara et al.
[12]. Jung described dual bridge series resonant inverter for 2
loads [13]. Sadhu et al. [14] used hybrid inverter for induction
heating using ZVS and ZCS condition. Forest et al. [15] built a
model based on series resonant ZVS inverter to supply several
220 V, 50 Hz
1-Ph
RX CX
Harmonic filter
IGBT2
M
Rsn2
C2
Signal for detection

of cooking vessel
Fig.1. Circuit of Mirror inverter
Fig.1 illustrates the mirror inverter circuit. The AC main

(220V, 50Hz) is routed through EMI / EMC filter before being
fed to the bridge rectifier. The output of the rectifier is passed
through an inductor and a capacitor C. The capacitor C is of
small capacity (5uF) so that the DC voltage (Vdc) across C does
not get leveled. This in turn also helps to improve the overall
power factor of the system. The return path of the high
frequency current is through this capacitor C as at high
frequency C offers negligible capacitive reactance
227 of 446
Mode3: When IGBT -1 is OFF and IGBT-2 is ON, VC1

charged through the path AQNMPOBA. In this mode C2
discharges from Vdc to zero through the path NMPON. It is
( X c 1 2 fC ), where f is in KHz range, hence, the capacitor

C acts as a short circuit and allows high frequency current to
flow. It also acts as higher order harmonic filter at the same
cost. IGBT is used as the power semiconductor switch for its
superiority for domestic induction cooker operating below the
frequency range of 50 kHz [20]. Fig.2 shows the equivalent
circuit of mirror inverter.
shown that charging current of C1 and discharging current of

C2 both flow in the same path N to M.
Mode4: When both the IGBTs are OFF, the charge on
capacitor C1 will now act as a source of energy to drive current
and thus charge C2 from zero to Vdc . After the end of this mode
Leq
Req
IGBT 1
C1
C
Vdc
Rsn1
both C1 and C2 store same voltage i.e., Vdc .

2
IGBT 2
Mode 1 to Mode 4, these four modes will repeat for

continuous conduction.
Rsn2
C2
B
Analyzing all the modes, series current flowing through the

heating coil is expressed as:
Fig. 2. The equivalent circuit of mirror inverter
The Operating principal:
Vdc
i1 (t)=
Initial mode: When both the IGBTs are OFF and capacitors C1
and C2 are not initially charged, the circuit current flows
through the snubber resistors Rsn1 and Rsn2 and capacitors C1
and C2. As the values of snubber resistors are very high
(470kohm), therefore, maximum current flows through the
capacitors. There has been no conduction through IGBTs. A
small voltage drop appears across the coil impedance and the
rest voltage is equally shared by the capacitor C1 and C2 as
initial charge voltages VC1 and VC2 respectively and the value
of this voltage is almost Vdc .
Mode1: When IGBT -1 is ON and IGBT-2 is OFF, VC2
charged through the path AQRMNOBA. The high frequency
alternating current is flowing through capacitor C because at
high frequency the capacitive reactance offered by C is
negligible hence the capacitor acts as a short circuit and
allowing the high frequency current to flow through it. In this
mode C1 discharges from Vdc to zero through the path
2
QRMNQ. It is shown that charging current of C2 and

discharging current of C1 both follow the same path M to N.
Mode2: When both the IGBTs are OFF, the charge on
capacitor C2 will act as a source of energy to drive current and
thus charge C1 from zero to Vdc .
2
L eq
Exp k1t A1 cos k 2 t A2 sin k 2 t
(1)
R
where, k1
and k 2 ( Leq Cc ) 1 k12
2 Leq
4
1
(2)
Where Cc = C1 or C2, used according to the operation of C1 or

C2.
A1
and
A2
S
E
I
R eq 2
The principle of operation of the circuit is described by

dividing it into four different modes. One resonant cycle is due
to combination of Req, Leq, IGBT1 and C2 and the next
resonant cycle is due to Req, Leq, C1 and IGBT2. Both the
cycles get repeated alternatively to push resonant current
through the heating coil. These two cycles are in ON period of
IGBTs. Between these two cycles there is an OFF period of
IGBTs. The operating modes of mirror inverter are separately
analyzed below.
C c L eq
cos t tan 1
R eq
can
be
calculated
from
the
initial
conditions.Voltage across heating coil can be obtained using

the expression
Vcoil Req i1 (t ) Leq
di1 (t )
dt
(3)
The voltage stored in capacitors C1 and C2 during charging

will be expressed as:
t
1
VC 1 VC 2
i1 (t )dt
Cc 0
III.
(4)
In this study, currents and voltages have been compared

across
the heating coil. Two different methods have been
1.
adopted during this study. In the first method, those two
parameters are obtained using the expressions (1) and (3). In
the next method, a P-SPICE-based simulation has been carried
out.
Values
of
A1
and
A2 are calculated from initial values of voltage stored in the
capacitors and obtained as 1.99 and 48.67, respectively. The
main supply voltage is 220V and applied operating frequency
at the mains is 50Hz.
METHOD 1: Analytical Solution
228 of 446
The main equivalent circuit of the mirror inverter is shown in

Fig.2. The parameters are considered for the mirror inverter is
shown in Table I.
Snubber
resistors
15
10
Coil Current (A)
TABLE I.
20
INPUT PARAMETERS OF MIRROR INVERTER

470kohm
Mains
Rsn1 & Rsn2
supply
220V
5
0
-5
voltage
-10
Coil inductance (L)
119uH
Internal resistance
0.69 ohm
-15
(R)
Capacitors C1 and
0.4uF
-20
5uF
Capacitor C
0.005
C2
0.01
0.015
Time (sec)
0.02
0.025
0.03
Fig. 5. Current through heating coil
Operating
high
38512Hz
12 usec and
IGBT ON/OFF
frequency
600
18 usec
timing
400
Voltage across coil (V)
The four modes (Mode 1 to Mode 4) will repeat according to

specified IGBT ON time and OFF time. The depth of heat
penetration on cooking pan is inversely proportional to
operating frequency and the operating frequency is inversed of
operating time period. So, by changing the IGBT ON-OFF
time operating frequency can be changed and thus the heat
penetration on cooking pan can be controlled. The circuit of
mirror inverter is analytically analyzed by MS Excel 2007 and
different graphs are shown below at different frequency.
200
-200
-400
-600
0
0.005
0.01
0.015
0.02
0.025
0.03
4
1
Time (sec.)
Fig. 6. Voltage through heating coil
The complete waveform of current and voltage across the

heating coil including ON and OFF time of each switch at
high frequency (38.512 kHz) is shown in Fig. 5 and Fig. 6
respectively.
S
E
I
Fig. 3. Applied and capacitor voltages with the time at low frequency, when
both switches are OFF
0.04
The developed PSPICE schematic circuit diagram is shown in

Fig. 7. The circuit simulation has been done with alternating
supply voltage of 220 V. A bridge rectifier is modeled using
four diodes of 1N6392 type. Total time period is taken as
26sec where IGBT on time is 12sec and off time is 14sec.
For high frequency inverter, two IGBTs of HGTP6N50E1D
are used.
0.02
0.01
L9
L8
0
1N6392
D20
-0.02
119uH
0.69
D21
1
Z5
C10
0.4uF
C9
5uF
-0.03
-0.04
0.001
R9
100uH
2
-0.01
Current (Amp)
0.03
METHOD 2: PSPICE Simulation
VOFF = 0
0.021
0.041
0.061
0.081
0.101
0.121
0.141
0.161
0.181
V14
R10
470k
HGTP6N50E1D
VAMPL = 220V
F REQ = 50Hz
Time (sec)
Figs. 3 and 4 show voltage and current across the heating

coil at low frequency. Since the current is very low at low
frequency, therefore heat penetration is also low.
D23
1N6392
1
Fig. 4. Series current at low frequency, when both the switches are OFF
D22
1N6392
V1 = -5V
V2 = 5V
TD = 0.01us
TR = 2us
TF = 2us
PW = 12us
PER = 26us
Z6
C11
0.4uF
HGTP6N50E1D
0
0
V15
V16
V1 = -5V
V2 = 5V
TD = 20.01us
TR = 2us
TF = 2us
PW = 12us
PER = 26us
Fig. 7. The circuit diagram for PSPICE simulation.
229 of 446
R11
470k
The parameters are considered for the PSpice simulation of

mirror inverter is shown in Table II. The simulated current
and voltage waveforms are plotted in Fig. 8 and Fig. 9
respectively.
REFERENCES
[1]
[2]
TABLE II. INPUT PARAMETERS OF MIRROR INVERTER FOR PSPICE

[3]
SIMULATION
Operating high frequency =

38512Hz
Coil inductance, (Leq=L9) =
119H
Capacitors, C10 and C11 = 0.4F,
each
Snubber resistors, R10 and R11 =
470kohm, each
Supply Voltage = 220V

[4]
Coil resistance, (Req=R9)= 0.69 ohm

Capacitor, C9 = 5F
[5]
IGBT ON and OFF timing = 12 s

and 14 s
[6]
[7]
[8]
[9]
[10]
Fig. 8. The waveform of current through heating coil.
[11]
[12]
L. Hobson and D.W. Tebb, Transistorised power supply for induction

heating, Int. Journal of Electronics, vol.59, pp.533-542, 1985
F.P. Dawson and P. Jain, A comparison of load commutated inverter
system for induction heating and melting applications, IEEE Trans.
Power Electronics, vol. 6, no.4, pp. 430-441, 1991.
L. Hobson, D.W. Tebb and F.G. Turnbull, Dual element induction
cooking unit using power MOSFETs, Int. Journal Electronics, vol.59,
no.6, pp. 747-757, 1985.
H.W. Koertzen, J.D. Van Wyk and J.A. Ferreira, Design of the half
bridge series resonant converter for induction cooking, IEEE Power
Electronics Specialists Conf. (PESC) Rec., pp. 729-735, 1995.
M. Kamli, S. Yamamoto and M. Abe, A 50-150 kHz half bridge inverter
for induction heating application, IEEE Trans Industrial Electronics,
vol.43, no.1, pp.163-172, Feb.1996.
S. Wang et al., Induction heated cooking appliance using new quasiresonant ZVS-PWM inverter with power factor correction, IEEE Trans
Industry Applications., vol 34, no.4, pp.705-712, 1998.
Y.S. Kwon, S. Yoo and D. Hyun, Half bridge series resonant inverter for
induction heating applications with load adaptive PFM control strategy,
IEEE Applied Power Electronics Conf. (APEC) Rec., pp. 575-581, 1999
H. Omori, H Yamasita, M. Nakaoka and T. Maruhashi, A novel type
induction heating single ended resonant inverter using new bipolar
Darlington-transistors, IEEE Power Electronics Specialists Conf.
(PESC) Rec., pp. 590-599, 1985.
I. Cohen, Evaluation and comparison of power conversion topologies,
European Power Electronics Conf. (EPE) Rec., pp. 9-16, 1993.
J.M. Listen and L. Hobson, A parallel resonant power supply for
induction cooking using a GTO, IEEE Int. Conf. on Power Electronics
and variable Speed Drivers (PEVSD) Rec., pp. 224-230, 1990.
S. Llorente, F. Monterde, J.M. Burdio and J. Acero, A comparative
study of resonant inverter topologies used in induction cooker, IEEE
Applied Power Electronics Conf. (APEC) Rec., pp. 1168-1174, 2002
P. Achara, P. Viriya and K Matsuse, Analysis of a half bridge inverter
for a small size induction cooker using positive-negative phase shift
control under ZVS and non-ZVS operation. PEDS, pp. 157-163, 2007.
Y.C. Jung, Dual half bridge series resonant inverter for induction heating
applications with two loads, Electronics letters, vol.35, no.16, pp.13451346, 1999.
P.K. Sadhu, N. Jana, R. Chakrabarti and D.K. Mitra, A unique induction
heated cooking appliances range using hybrid resonant converter, World
Scientific journal of circuits, systems and computers, vol.14, no.3, 2005.
E. Laboure Forest, F. Costa and I.J. Gaspard, Principle of a multi load
single converter system for low power induction heating, IEEE Trans.
Power Electronics, vol. 15, no.2, pp. 223-230, 2000.
J.M. Burdio, F. Monterde, J.R. Garcia, L.A. Barragan, and A. Martinez,
A two-out put series resonant inverter for induction-heating cooking
appliance, IEEE Trans. Power Electronics, vol.20, no. 4, pp. 815-822,
2005.
O. Lucica, J.M. Burdio, L.A. Barragan, J. Acero, I. Millan, Series
resonant multi-inverter for multiple induction heaters, IEEE trans. on
Magnetics, vol.24, no.11, pp. 2860-2868, 2010.
P.K. Sadhu, R.N. Chakrabarti, S.P. Chowdhury, An improved inverter
circuit arrangement, Patent Number 69/cal/2001, Patent Office
Government of India.
P. K. Sadhu, R.N. Chakrabarti, S. P. Chowdhury and B. M. Karan, A
new generation energy efficient sterilization plant for surgical
instruments The Indian Journal of Hospital Pharmacy, New Delhi; vol
XL, no. 2, pp. 60-64, 2003.
N. Pal, P.K. Sadhu, D. Sinha and A. Bandyopadhyay, Selection of power
semiconductor switches - a tool to reduce switching & conduction losses
of high frequency hybrid resonant inverter fed induction cooker
International Journal of Computer and Electrical Engineering, Vol. 3,
No. 2, April, 2011, pp. 265-270..
4
1
A
[13]
S
E
I
[14]
[15]
[16]
Fig. 9. The waveform of voltage across heating coil.
[17]
CONCLUSIONS
In this paper, H. F. mirror inverter-fed induction cooker has
been analyzed in three ways. Firstly, analytical expressions
have been developed for different modes of operation. In the
next case, it is simulated through P-SPICE software. The
series current flowing through heating coil and the voltage
across load depends on the resistance and inductance of the
heating coil. So by changing these parameters the current and
voltage of the heating coil will be changed. Results obtained
through all these methods are found to be similar and must be
feasible for real implementation.
[18]
[19]
[20]
230 of 446
A Hybrid Intelligent Algorithm Applied in Economic

Emission Load Dispatch Problems
Partha Pratim Das, Kuntal Bhattacharjee
Aniruddha Bhattacharya
Electrical Engineering Deptt.

Dr.B.C.Roy Engineering College
Durgapur, India
partha_pratim85@gmail.com
kunti_10@yahoo.com
Electrical Engineering Deptt.

NIT, Agartala
Agartala, India
ani_bhatta@rediffmail.com
Abstract This paper presents hybrid intelligent algorithm

(HIA), combine with particle swarm optimization (PSO) and
chaos searching technique (CST) to solve the economic and
emission load dispatch (EELD) problems of thermal generators
of power systems with considering valve point loading effect.
Emission substances like NOX, SOX, COX, power demand
equality constraint, operating limit constraint are considered. A
population based algorithm HIA collects a group of solutions to
reach the optimum solution. Due to some disadvantages of
popular optimization technique PSO for consumption of taken a
lot of time and efforts for appropriate adjustment of the
parameters, the CST integrated into PSO to improves the
diversity of the particle swarm so as to avoid PSO trapping the
local optima. HIA is initialized by a set of random particles which
travel through the search space. In the present paper Hybrid
Intelligent Algorithm (HIA), is tested in 40 generators system
with NOX emission. Simulation results bear out that the proposed
algorithm superior than other several existing optimization
techniques.
I.
INTRODUCTION
Economic load dispatch (ELD) problem is used to

allocating generation of all available generating units to
optimum the cost of generation with fulfillment of different
equality and inequality constraints of different thermal power
plants. However, since 1980s due to pressure of public
demand and implementation of several pollution control acts,
the power generating station has to consider the environmental
impact like NOX, SOX, COX, etc. for power producing. As a
result the concept of economic emission load dispatch (EELD)
has come up where cost and emission both are equally
considered as multi-objective function.
In the earlier age numerous approaches have been
developed to reduce the emission such as goal programming
technique [1], dynamic programming [2], But EELD problem
has many local optimum solutions and need to consider a huge
number of complex constraints. Therefore, different classical
methods are not able to solve EELD problems. The
population-based optimization techniques, which can
overcome these problems due to their efficient searching
4
1
S
E
I
KeywordsChaos searching technique (CST); Economic

emission load dispatch; Particle swarm optimization (PSO); Valve
point loading
ability such as stochastic search technique [3], multi-objective

evolutionary algorithm [4], particle swarm optimization (PSO)
[5], Differential evolution algorithm (DE) [6], biogeographybased optimization [7], bee colony optimization [8], Multiobjective quasi-oppositional teaching learning based
optimization [9] are introduced in recent past.
Different hybridization and modification have been
adopted like niched pareto genetic algorithm (NPGA) [10],
modified particle swarm optimization [11], modified bacterial
foraging algorithm [12], new hybrid approach for non convex
algorithm [13], modified NSGA-II algorithm [14],
Opposition-based
harmony
search
algorithm
[15],
Gravitational search alogorithm [16] etc. But the common
disadvantages of these algorithms are very complicated and
using many parameters.
GA has parallel search capabilities but it takes enormous
computational time and concentrate in local minima. DE has
comparatively better and faster solution using its different
crossover strategies, which can handle all the constraints like
uni-modal and multi-modal system. But when complexity and
size of the system increases, fine tuning operation in DE is
unsuccessful to give better performance. Though PSO has
good convergence performance and faster than GA but it is
easily trapping in local minima. While, chaos searing
techniques (CST) [17] can easily skip local optimal solution
with the property of non repeatedly traversal all the states
according to its own character in a certain range. Based on
this, a hybrid intelligent algorithm used for solving EELD
problems by combining global search method i.e. PSO and
local search method (CST). The intelligent algorithms have
different characteristics and it has some advantages and
disadvantages. To compare with other complicated
optimization problem, this hybridizing technique is an
efficient and make best of the advantages and avoid the
disadvantages. This technique is hybridizing different search
methods i.e. to combine global search and local search
methods, has been widely used to solve the optimization
problems. This hybrid algorithm is also used to solve the bilevel programming problems. The proposed algorithm, CST
integrated in the PSO to improve the worse particles for
overcoming the weakness that PSO may be trapped in local
minima. Simultaneously, CST is also judge the point is
231 of 446
for Pi output; i , i , i , i and i are the emission coefficients

of ith generator. The above equation is minimized subject to
the following constraints mentioned in (2) and (4).
feasible or not by solving problem. The aim of this new

develop algorithm is to combines the benefit of good
convergence performance of PSO with the advantage of easier
jumping local optimal solution of CST to overcome the
limitations of the EELD problems.
Section II of the paper provides mathematical
formulation of different types of EELD problems. Section III
has brief Idea of PSO. Section IV has brief introduction of
Chaos Searching Technique (CST). Section V has short
description the proposed Hybrid Intelligent Algorithm.
Numerical result is presented and discussed in Section VI. The
conclusion is drawn in Section VII.
II.
C. Economic Emission Dispatch

Economic emission dispatch problem may be expressed as:
MATHEMATICAL FORMULATION OF EELD PROBLEMS
(6)
Minimize C = [ F ( P ), E ( P )]
i
i
The economic load dispatch reduces the total fuel cost of
the system, without any anxiety about the rate of emission.
The economic emission dispatch reduces the total emission
from the system, which generally increase the system
operating cost. As economic emission load dispatch (EELD)
try to find a balance between the fuel cost and emission
simultaneously, so this problem may be considered as a multiobjective optimization problem.
It is supervise practically that when fuel cost increases
emission consequently decreases and vice versa. So it is very
difficult to make a solution that will give the best best
solution. Recently BCS method is proposed [7]. The modified
overall multi-objective function bi-objective of EELD
problem is represented as:
The following objectives and constraints are considered for

EELD problem.
A. Economic Dispatch
The may be described by minimizing the fuel cost function
(FT) of EcD problem is presented as:
{ (
N
N
FT = Fi (Pi ) = ai +biPi +ciPi2 + ei sin fi PiminPi
i=1
i=1
)}
(1)
Where, Fi(Pi), is the ith generator cost function for Pi output;

ai, bi and ci are the cost coefficients of the ith generator, ei and
fi are the coefficients of the ith generator reflecting the valvepoint effects; N is the number of generators; The objective
function of (1) is minimized subject to following constraints:
1) Real power balance constraint
N
P ( PD + PL ) = 0
i =1 i
N F (P ) F
N E (P ) E
i
i
min
min
i=1
+ (1 w)i=1 i i
Min C = w
F F
E E
(7)
max min
max
min
(2)
S
E
I
Where, PD is the total system active power demand. The total

transmission loss (PL) is expressed using B-coefficients as:
N N
N
PL = Pi Bij P j + B0i Pi + B00
i =1j =1
i =1
(3)
4
1
Where Ei(Pi) is the value of emission and Fi(Pi) represents the

total cost of generations. (2)
The amount by which best compromising solutions served
from the global best fuel cost and emissions are calculated
using the following indices:
n F (P ) F
min
i =1 i i
FCPI =
100
Fmax F
min
2) The Generating capacity constraint

The real power generated by each generator shall be restricted
within its respective lower and upper operating limits.
Pimin Pi Pimax
i = 1,2,.....N
(4)
B. Emission Dispatch
The emission dispatch for NOx gases may be defined as:
()
EP =
N 2
2
E P = 10 i + i Pi + i Pi + i exp i Pi
i i i=1
i =1
ECPI
)]
(5)
E (P ) E min
100
i =1 i i
=
E max E
min
(8)
(9)
However, the relative significance between fuel cost and

emissions can be varied by changing w in between 0 and 1 in
the multi objective function of (7).
The objective function for economic emission load dispatch is
used as (7) and it is used for multi-objective optimization
subject to the constraints of (2) and (4), for finding best
compromising solutions.
where E(P) is total amount of NOX released from the system

in (kg/h or ton/h); Ei(Pi) is the ith generators emission function
232 of 446
III.
PARTICLE SWARM OPTIMIZATION (PSO)
Particle swarm optimization (PSO) is very well known and

efficient optimization technique was inspired by the social
behavior of animals such as fish schooling and bird flocking.
The particle will then modify its direction such that it has
additional components towards its own best position, pbest and
towards the overall best position, gbest. The velocity update
equation is:
(k +1)
Vi
k
k
k
= W Vi + c1 r1 ( pbesti xi ) + c 2 r2 ( g best xi )
(10)
where xi & Vi are the current position and velocity of particle

i, respectively; pibest and gbest are the positions with the best
objective value found so far by particle i and the entire
population, respectively; W is the inertia weight factor; r1 and
r2 are random variables in the range [0, 1]; c1 and c2 are
acceleration constants; k is the number of iteration. The
position update equation is:
( k +1)
( k +1)
k
xi
= x i + Vi
IV.
(11)
BRIEF INTRODUCTION OF CHAOS SEARCHING

TECHNIQUE (CST)
Chaos is a kind of non periodic moving style which exists

widely in the nonlinear system and is unique to the system.
The chaos searching technique (CST) is a modern searching
method [17]. CST has two steps: first one is to search all the
points in turn within the changing range of variables and
taking the better point as the current optimum point. Then it
regards the current optimum point as the centre. A tiny chaos
disturbance is imposed and carefully searches to find out the
optimum point. The chaos search technique has many
advantages such as not sensitive to the initial value, easy to
skip out of the locally minimum value, fast searching velocity
and global gradual convergence. The following more
convenient equation is used to generate the chaos sequence:
zi+1 = zi (1 zi )
(12)
V.
HYBRID INTELLIGENT ALGORITHM
The basic idea of this new algorithm is to embed CST

into PSO for solving the multi objective EELD problems. The
CST embedded in the PSO to improve the worse particles.
CST also improves the diversity of the particle swarm to avoid
PSO trapping the local optima. The upper level and lower
levels decision variables are all randomly generated and
updated by PSO or CST. Here the upper levels decision
variable is encoding and the lower levels decision variable is
computed according to the upper levels decision variable. The
feasible weighting value is set up to replace the fitness value
of the particle when it is infeasible, which can force the
infeasible particle to be feasible. In the early stage of the
algorithm, the feasible weighting value is used to rank the
infeasible particles, which can avoid the situation that the
4
1
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I
where, zi [0,1] (i=1,2,) and is the control parameter

generated to replace that frog. The calculations then continue
for a specific number of iterations.
infeasible particle is denoted as the best particle although it is

the best of all when only the fitness value is used by all
particles. The stepwise have to be taken:
(1) At initial stage choose the parameters arbitrarily.
Population size is set M =m+n, where m and n are the particles
updated by PSO and CST respectedly. Maximum velocity,
Vmax, two learning factors, c1 and c2, and two random
variables, r1, r2 [0, 1] are set. The maximum number of
iterations (T) is initialized.
(2) Randomly initialize each of the ith (i = 1, 2..., M) particle
randomly with initial position, Xi, within the pre-specified
range and velocity, Vi, in the range of maximum speed, Vmax.
The best previously visited position of the ith particle, i.e. Pi
best, is initialized as Xi.
(3) Evaluate the fitness values of the each particle of CST. If
the solution exist the limit then the objective function value
equals zero, and the particle is feasible. Then it add to the
feasible list and set the upper levels objective function value
as the fitness value of the particle; otherwise, the particle is
infeasible, and add the particle to the infeasible list.
(4) Rank the particles. The particles, which are in the feasible
list are ranked in ascending order. Then, the other particles in
the infeasible list are ranked in ascending order.
(5) Update the local best position, Pibest, and global best
position, gbest. For the ith particle, compare particles fitness
assessment with its Pibest. If current value is better than Pibest,
then set the current value to Pibest. Compare the first particles
fitness evaluation with the global best position, gbest. If current
value is better than gbest, then set the current value to gbest.
(6) Update the particles. For the first m particles, the velocity
of particle and its new position will be assigned according to
Eq. (8-9) and the n particles in the end of the list are updated
using the CST with the initial chaos variable Xi.
(7) Terminal conditions. t = t+1, If the number of iterations is
larger than the maximum number of iterations (T), go to Step
8, otherwise go to Step 3.
(8) Output the results. Output the optimal particle, compute
and output the upper level and lower levels objective function
values.
A. HIA algorithm for economic emission load dispatch
problem:
This
subsection
describes
the
procedure
for
implementation of the HIA algorithm for solving the EELD
problems. The sequential steps of the HIA algorithm applied
to solve EELD problem are as follows:
In the case of EELD problem, each set of M is represented
by the total fuel cost of generation or emission for all the
generators of that given population set. In case of ELD
problems, it is calculated using (1) for the system having valve
point loading. In case of EED problems it is calculated using
(5) for the system having complex emission characteristic.
Using (7) Cost and emission are calculated for different values
of w, in case of EELD problems.
Step 1: For initialization, choose the no of generator units, set
the population size M, Specify maximum and minimum
capacity of each generator, power demand. Each element of a
given solution in the space should satisfy the equality
233 of 446
constraints. Initialize the ith (i = 1, 2..., M) population sets are

randomly with its initial position, Xi, within the pre-specified
range and velocity, Vi, in the range of maximum speed, Vmax.
Step 2: Initialize the value of w. Set its starting value as w=0.
Step 3: Calculate the objective function for each population
set. Here the objective functions have been taken as fuel cost
for ELD and Emission for EED.
Step 4: Update the population set. For the first m particles, the
velocity of particle and its new position will be assigned by
PSO according to Eq. (7-8) and the n particles in the end of
the list are updated using the CST with the initial chaos
variable Xi followed the Eq. (9).
Step 5: Compute the fitness values of each population set.
After that its verify the feasibility of each newly generated
population set of the modified with CST. Then each pbest
values are compared with previous pbest. The best value among
the p-bests is denoted as gbest.
Step 6: If the new value of each individual is better than
previous pbest, the current value is set to be pbest. If the best pbest
is better than gbest, the value is set to be gbest.
Step 7: Terminate the iterative process, if current iteration is
greater than or equal to the maximum iteration. Store the best
power outputs obtained as Optimal Set; otherwise repeat the
steps 3 to 6.
Step 8) Increment the value of w in step of 0.05 and repeat
the steps starting from step 3 to step 8, until the value of w
reaches to 1.
Step 9) Best Compromising Solution: - Calculate the value of
fuel cost of generation and emission for each solution sets,
those are obtained for different values w and stored as
Optimal Set. Use (1) and (5) to calculate fuel cost of
generation and emission respectively for each set. Calculate
FCPI and ECPI using the equations (8-9), for each fuel cost of
generation and emission set. Evaluate the absolute value of
difference between FCPI and ECPI for each fuel cost of
generation and emission set. The set that attains minimum
absolute value of difference between FCPI and ECPI is chosen
as the best compromising solution. The fuel cost of generation
and emission values associated with that set represent the best
compromising fuel cost and emission. Find the power output
of that best set of the Optimal Set.
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
Cost
($/hr)
Emission
(ton/hr)
TABLE 1: COMPARE WITH OTHER OPTIMIZATION METHODS:

Optimal Generation
Gen
no
1
2
3
4
5
6
FCPI
ECPI
100
Differenc
e
100
HIA Generation
EcD
[12]
EmD
[12]
BCS of
[12]
EcD
EmD
BCS of
PM
114.0000
110.8035
97.4002
179.7333
87.8072
140.0000
114.0000
114.0000
120.0000
169.3671
97.0000
124.2630
110.8159
110.7921
97.3985
179.7330
87.8085
140.0000
110.8074
114.0000
119.1198
158.4352
97.0000
116.1145
111.22
110.93
97.489
179.70
97.000
139.96
4
1
259.6066
284.6214
284.5961
130.0000
94.0004
94.0011
214.7394
394.2794
394.2780
394.2739
489.2871
489.2771
511.2868
511.2790
523.2761
523.2688
523.2785
523.2786
523.2728
523.2939
10.0000
10.0000
10.00029
87.8377
189.9989
189.9989
189.9991
164.8080
194.3624
199.9945
109.9955
109.9948
109.9934
511.2741
121414
.2375
280.8856
280.8548
280.8445
279.4388
280.8624
280.8568
413.2729
412.9083
412.9209
412.9194
413.1602
413.1625
413.1607
413.1587
413.1607
413.1619
413.1650
413.1677
413.1716
413.1732
150.0000
150.0000
150.0000
97.0000
158.4845
158.4829
158.4830
200.0000
200.0000
200.0000
93.8356
93.8366
93.8349
413.1590
161366
.113
285823
.615
176682
.2681
100
25.9149
100
6.7028
100
100
19.2121
100
100
259.61
284.63
284.64
130.00
243.61
243.60
394.29
394.27
394.27
394.27
489.27
489.27
511.22
511.24
433.54
433.54
433.60
433.51
433.56
433.55
10.004
10.003
10.013
96.994
189.97
189.96
189.97
199.96
199.99
199.99
110.00
110.00
109.99
511.19
124257
.9043
229310
.2132
33.139
0
28.724
1
4.4150
0
TABLE 2: MINIMUM, AVERAGE, MAXIMUM BEST COMPROMISE SOLUTION

OBTAINED BY HIA OVER 50 TRIALS
Total Cost ($/hr.)
Methods
Max.
NUMERICAL RESULTS
Proposed Hybrid Intelligent algorithm has been applied

in a test system and its performance has been compared with
modified bacterial foraging algorithm (MBFA) [12] for
verifying its feasibility.
299.6931
297.9093
297.2578
130.0000
298.4210
298.0264
433.5590
421.7360
422.7884
422.7841
439.4078
439.4132
439.4111
439.4155
439.4421
439.4587
439.7822
439.7697
440.1191
440.1219
28.9738
29.0007
28.9828
97.0000
172.3348
172.3327
172.3262
200.0000
200.0000
200.0000
100.8441
100.8346
100.8362
439.3868
129955.00
123638
0
356424.49 176682.26
188963
7
9
S
E
I
VI.
259.6004
284.6002
284.6006
130.0000
168.7999
168.7998
214.7598
304.5195
394.2794
394.2794
489.2794
489.2794
511.2795
511.2795
523.2794
523.2794
523.2796
523.2794
523.2795
523.2796
10.0001
10.0002
10.0002
89.5070
190.0000
190.0000
190.0000
164.8026
164.8035
164.8292
110.0000
110.0000
110.0000
511.2795
121415
.653
HIA
Min.
Av
g.
Total Emission
(Ib/hr.)
Max.
Min.
Averag No. of
e
hits to
Simulat optimu
ion
m
Avg.
Time solutio
(Sec.)
n
1242
2293
124257. 12425
229310.
229310.
57.90
10.21
0.57
9043 7.9043
2132
2132
43
32
50
Sta
nda
rd
Dev
iati
on
0.0
000
Test System: This test system using 40 generators system

having fuel cost function and the effects of valve-point loading
on emission level functions are considered. The input data
have been taken from [12]. The load demand is 10500MW.
The minimum fuel cost, minimum NOX emission results and
Comparisons of best compromising results obtained by HIA
and MBFA [12] has been presented in Table 1. The calculated
values of FCPI and ECPI with respect to minimum cost and
emission results of HIA and MBFA are also presented in
Table 1. Minimum, Average & Maximum Best Compromise
234 of 446
Solution values obtained by HIA over 50 trials are presented

in Table 2. Fig.1 and Fig.2 shows the Fuel cost and Emission
cost curve respectively for HIA. Trade-off curve obtained by
HIA for different values of w using objective function of (12)
is shown in Fig.3. All these results denote the robustness and
supremacy of HIA.
5
HIA achieves superior quality solutions near global solutions

with high convergence speed and robustness in a much
vigorous way compared to other methods. Therefore, HIA can
be considered as one of the strongest tools to solve complex
EELD problems. In future, HIA method seems to become an
important tool for solving more complex optimization
problems.
Total Fuel Cost of Generation ($/hr.)
x 10
REFERENCES
1.2152
[1]
1.2149
[2]
1.2146
[3]
1.2143
1.214
0
[4]
100
200
300
400
500 600
Iterations
700
800
900
1000
[5]
Fig. 1. Characteristics of Total Fuel cost obtained by HIA

3
x 10
[6]
Emission (ton/hr.)
2.8
2.6
[7]
2.4
2.2
[8]
2
[9]
100
200
Iterations
300
400
S
E
I
Fig. 2. Characteristics of Emission obtained by HIA

1.32
x 10
Best compromising solution

w=0.5
Cost= 113181.3013587636 ($/hr.)
Emission = 4141.3521969296 (lb/hr.)
Total Fuel Cost ($/hr.)
1.3
1.28
1.26
[10]
[11]
[12]
[13]
1.24
[14]
1.22
1.2
1.5
2.5
3.5
Emission (ton/hr.)
4
x 10
[15]
Fig. 3. Trade-off curve obtained by HIA
VII. CONCLUSION
[16]
In this present work, a newly developed Hybrid

Intelligent Algorithm has been successfully implemented to
solve different non-convex large scale EELD problems.
Analyses of all the simulation results reveal that the
performance of HIA in all respect is better in comparison with
the previously developed several optimization techniques. The
4
1
1.8
1.6
0
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P.K. Roy, S. Bhui. Multi-objective quasi-oppositional teaching learning
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MA Abido, A Niched. Pareto genetic algorithm for multi-objective
environmental/economic dispatch. Int J Electr Power Energy Syst.
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L. Wang, C. Singh. Stochastic economic emission load dispatch
through a modified particle swarm optimization algorithm. Electr
Power Syst Res, pp:14661476, vol.78, no.8, 2008.
P.K. Hota, A.K. Barisal, R Chakrabarti. Economic emission load
dispatch through fuzzy based bacterial foraging algorithm. Int J Elect
Power Energy Syst; pp:794803, vol.32, 2010.
C. Yasar, S zyn. A new hybrid approach for nonconvex economic
dispatch problem with valve-point effect. Energy; pp:58385845,
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S. Dhanalakshmi, S. Kannan, K. Mahadevan, S. Baskar. Application of
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A.Chatterjee, S.P.Ghoshal, V. Mukherjee, Solution of combined
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[17]
235 of 446
Performance Assessment of Power System by

Incorporating Distributed Generation and Static
VAR Compensator
S. RoyGhatak1
P.Acharjee2

KIIT University
Bhubaneswar, India

N.I.T Durgapur
Durgapur, India
AbstractDue to the continuous increment of the load

demand, identification of weaker buses, improvement of voltage
profile and power losses in the context of the voltage stability
problems become one of the major concerns for the larger,
complex, interconnected power systems. If the voltage profile of
the weaker buses is improved, the voltage stability can be
improved significantly. Because of the increasing importance of
the stability, it is essential to analyze and improve the voltage
profile, power losses in the context of steady state stability
considering weak buses of the network. Static VAR
Compensators (SVC) and Distributed Generators (DGs) can be
installed at the identified weaker buses to improve voltage
stability and power loss. This paper focuses on identification of
weakest bus/area of the system by analyzing several voltage
stability indices. The multi-objective PSO is used to find the
optimal location and size of DG and SVC. The impact of the
distributed generation (DG) unit installation on electric power
losses, voltage profile and steady state voltage stability is
thoroughly analyzed. The performance is also assessed by
connecting static VAR compensator (SVC). Remarkable
improvement in the system performance is observed by
integrating SVC and DG in the test systems like IEEE 30
interconnected and 12 bus radial systems. By showing results, the
performances of DG, SVC and their combined incorporation in
the same test systems are analyzed and compared.
one of the effective way to save the system from voltage

collapse is to reduce the reactive power load or add additional
reactive power sources by introducing sources of reactive
power such as SVC [2].The SVC has a positive impact on
enhancing the system voltage profile, improving the power
factor, voltage stability and reduction in power loss.
I.
INTRODUCTION
The demand of power system is growing exponentially

which is a challenging issue for power utilities. The existing
transmission line infrastructure is not capable of supporting
such a huge power demand. These results in drop in voltage
profile, increased system losses, poor system efficiency and
instability and disturbance. The distribution companies try to
provide power by proper designing and exploitation of the
network.
The power quality related problems can be alleviated to
some extent by using FACTS devices such as SVC.
Introducing FACTS device such as SVC is the most effective
way for the utilities to improve voltage profile and voltage
stability margin of the system [1]. Under stressed condition,
4
1
S
E
I
KeywordsDistributed Generation; Static VAR Compensator;

weaker buses; power loss; voltage stability
Distributed generator (DGs) can play a major role in

distribution system planning. The DGs are not centrally placed
but are directly connected to the load or near the load centre. Its
capacity varies from few KW to few MW[3].The DGs have
different types depending upon the type of energy sources
utilized for production of electric energy such as renewable and
non-renewable small energy sources. Presence of the DG in
electrical system can represent a significant impact on the
operational characteristic of the network. The integration of
DG into the system reduces overall energy loss and improves
supply quality, reliability and voltage stability [4].
The optimal placement and sizing of the equipment have

significant impact on the system parameters. The suitable
location for the reactive power compensating device for
improving the voltage profile and steady state voltage stability
of the system is the weak bus [5]. In the recent literature review
of voltage collapse revealed that the various analytical tools
had been proposed to predict voltage collapse [5]-[6].These
indices provide reliable information about proximity of voltage
instability and weak bus, weak area or line in the system.
Another method for the optimal placement of the FACTS
device or compensating device was suggested which was based
on local price method where devices were allocated in the
vicinity of most congested line [5]. In [6], a multi-objective
particle swarm optimization technique was proposed for
FACTS device allocation.
Several techniques were suggested for the optimal
placement of the DGs for the improvement of voltage profile,
reduction of line loss and improvement of voltage stability.
[7]-[11]. In [7], the quantum genetic algorithm (QGA) was
suggested for the optimal placing and sizing of the DG. In [8],
the optimal placement and sizing was determined by the new
power stability indices. The DG unit placement and sizing was
proposed using particle swarm optimization (PSO). In [10],
genetic algorithm (GA) was used for concurrent placement of
236 of 446
distributed generator and capacitor in a distribution network. In

[11], the sensitivity analysis was developed for the optimal
placement of the DG and the capacitor and heuristic technique
was used for the optimal sizing of DG and the capacitor.
power from source to consumer during steady operating

condition. Therefore, the planning for the SVC is the major
concern for power utilities. The SVC is widely used in electric
power system [13].
In this paper, various voltage stability indices are

represented so as to identify the weak bus or weak line in an
area. The SVC and the DG are separately placed at the weak
bus. The optimal size of the DG and the SVC is found by multi
objective particle swarm optimization. The performance of the
SVC which is a shunt FACTS controller connected at the
weakest bus is assessed by comparing voltage profile, steady
state stability indices and line loss reduction. The performance
of the DGs which are the active power source and which had
been optimally placed in the weak bus is also assessed on the
same parameters. Further the performance parameters are
assessed by integrated placement of the SVC and the DG in the
system. The optimal size of the DG and the SVC is solved by
multi-objective particle swarm optimization (MOPSO)
problem. Standard IEEE 30-Bus and a radial 12 bus are
considered as the test systems.
The SVC is a first generation FACTS device. It acts as a

reactive power compensator but is not capable of exchanging
the active power from the system. The SVC is a shunt device
.It can be operated as both inductive and capacitive
compensation. The susceptance (B) of SVC is controllable and
directly used in power flow equation. A pair of thyristor which
are connected in a back to back configuration is used to control
the current through the SVC.
II.
IV.
The DG refers to small generating sources or units installed

near the local loads or load centers. This avoids the need of
network expansion. The DG can be defined in a variety of
ways. The electric power research institute defines a DG from a
few KW to 50 MW [1]. The international energy agency (IEA)
defines a DG as a generating plant serving customer onsite or
providing support to a distributed network connected to grid at
distribution level voltages. The international conference on
large high voltage electric system defines DG as smaller than
50 -100mw. The DGs have many different types ranging from
conventional fossil fuel based combustion to the renewable
energy including wind, photovoltaic, micro turbines, small
hydro turbines, CHP or hybrid. The word distributed
generation is also subjective and changes with respect to
region.
VOLTAGE STABILTY
The voltage stability is concerned with the ability of a

power system to maintain acceptable voltage at all nodes in the
system under normal condition and after being subjected to
disturbance [12].As the power system is becoming more
complex and heavily loaded along with economic and
environmental constraints, the voltage instability becomes an
increasing serious problem. The voltage stability indices either
reveal the weak bus or the critical lines which are on the verge
of instability. The indices used to examine the system stability
are briefly described in this section.
A. Fast voltage stability index (FVSI)
For a typical transmission line, the Fast voltage stability
index is calculated by
(1)
is the
where Z is the line impedance, X is the line reactance
reactive power flow at the receiving end and is the sending
end voltage. To maintain secure condition the value of FVSI
should be maintained less than 1.
B. Line stabilty index LQP
LQP index is as follows
P +Q
LQP = 4
(2)
where X is the line reactance, is the reactive power flow at

is the
the receiving bus, is the voltage on sending bus and
active power flow at the sending bus. To maintain secure
condition, the value of LQP index should be maintained less
than 1. Lower the value more is the stability and in turn there
is the improvement in system security.
III.
V.
4
1
CRITERIAN FOR MEASURING THE BENEFITS OF DG OR
S
E
I
FVSI =
DISTRIBUTED GENERATION
SVC PLACEMENT
A. Voltage profile improvement index(VPII)

The voltage profile improvement can be calculated from the
following index [14].
VPII =
!"/$%
!"&/$%
(3)
where VP is given by
= *+, ( )
(4)
is the voltage magnitude, ( is the load represented as
complex power in per unit, ) is the weighting factor, N is the
total number of bus. VPW/DG and VPWo/DG is the voltage profile
with DG or SVC and voltage profile without DG or SVC
respectively.
VPII<1 Voltage profile of the system has decreased
VPII=1 No benefit
VPII>1 Improved voltage profile of the system
B. Line loss reduction index
Real and Reactive power loss indices (ILP and ILQ) are given
by following equation [15]
STATIC VAR COMPENSATOR
The primary requirement to avoid voltage instability is that

the power system should be capable of transferring reactive
-( =
./0123
./03
(5)
-( =
.4012 3
.40 3
(6)
237 of 446
4) Generator limitsof generator capacity
where 567 is the real and 567 is the reactive power line loss
with DG or SVC. 5 and 5 is the real and reactive power line
loss respectively without DG or SVC.
[ >
EEEEEEEE
HG |
|A
BCD |F|A
I
+ <= > ? |A
EEEEEEEE
|
BCD
(7)
In this paper PSO technique has been utilized to solve the

multi-objective problem of optimal location and optimal sizing
of DG and SVC.
This index is used to find the voltage deviation from the

nominal value, VJKL .Closer the index to zero better is the
network performance.
PSO is a population based stochastic optimization

technique. It is an evolutionary computation technique. Dr
Eberhart and Dr Kennedy developed PSO in 1995.In this
technique a group of random particles are generated.
According to fitness value the best solution is determined in
the current iteration and also the best fitness value is stored.
The best fitness solution is known as pbest. Another best
fitness value is also tracked in the iteration obtained so far.
The best fitness value is the global best and its corresponding
particle is called gbest, as shown in Fig. 1.
PROBLEM FORMULATION
In this section, problem formulation is made for optimum

sizing and location of DG or SVC considering the three
objectives: (i) minimizing the real power loss, (ii) minimizing
the reactive power loss and (iii) minimizing the voltage
deviation.
Each particle updates its position and velocity according to

the following equation:
The PSO based multi-objective function is given by

MN = O1. -( + O2. -( + O3. - 8
where T+, O = 1
(8)
(9)
de,
d
= wg d + h, i:jk mnopq<
s d t + h i:jk
d
d
(14)
muopq< s t
where s d = current position of the ith particle.
TABLE 1.INDICES WEIGHTS

INDICES
WEIGHT
W1
0.5
W2
0.25
W3
0.25
4
1
g d = current velocity of the ith particle
d
nopq<
= pbest of ith particle for the kth generation
d
uopq<
= gbest of the ith particle considering the whole iteration
that is up to kth generation
S
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Weights are indicated to give importance to each index for

penetration of DG or SVC.
As shown in Table 1, maximum importance is given to real

power loss while calculating OF in equation (8) for finding the
optimal size and location. This is due to the fact that real power
loss reduction will in turn stabilize the frequency of the grid.
As a result the system frequency deviation will be minimized.
The multi-objective function is minimized subjected to various
operational constants
1) Power balance constraints
J
W
X+, PUV = +, PU + PY
de,
= updated velocity of the ith particle
w=inertia weight of the ith particle

v = 0.5 +
y]>z
i:jk( )= Random number between 0 and 1

h, &h =1.5
The current searching point can be updated by the following

equation
(10)
; de, = ; d + g de,
| HZ |
3) The power flow should be
(11)
a a []^
(12)
(16)
; de,
2) Voltage constraints
| HZ |[]^
(15)
h, &h = Constriction factor
Where PUV is the real power generation by DG at bus i and PDi is

the power demand at bus i. PY is the real power loss in the system.
| HZ |[ >
(13)
[]^
VII. PATICLE SWARM OPTIMIZATION
C. Voltage deviation index
VI.
where P L J is the lower limit of generator capacity and P Lbc

is the upper limit.
ILP<1 Electrical line losses has reduced

ILP=1 Electrical line loss has not changed
ILP>1 Electrical line loss has increased
- 8 = 9:;
de,
|opq<
}opq<
;d
Where a is the power flow through the distribution line a []^ is

the max allowable limit of power flow through the line.
X
Fig.1.Searching Point by PSO
238 of 446
Set PSO
parameters
Start
IX.
Initialize particle
position and velocity
PSO parameter taken for optimal size and location is as

follows: population size=30, maximum iteration=50.
Maximum number of DG or SVC is 1 for each system. The
proposed algorithm has been tested on 2 test systems, IEEE 30
bus system [17] and radial 12 bus system [16]. To demonstrate
effectiveness of the proposed algorithm four different cases has
been introduced for each test system.
Calculate objective
function for each particle
No
Record PBEST and
GBEST
Check
convergence
criteria
SIMULATION RESULT AND DISCUSSION
Base Case- System without DG or SVC

Case 1- SVC is placed at the optimal location
Update the particle

velocity and position
Yes
Case 2-DG is placed at the optimal location

Case 3-Combined DG and SVC placed at optimal location
Print the results
End
TABLE 2. OPTIMAL DG AND SVC SIZES
30 BUS
Fig. 2.Flowchart of PSO.
VIII. PROPOSED ALGORITHM
12 BUS
BUS
NO
4
DG
MW
42.45
SVC
MVAR
10.51
BUS
NO
9
DG
MW
0.23
SVC
MVAR
.017
43.51
12.52
12
0.24
.018
PSO procedure is given in the following steps:STEP 1: Input line and bus data of the network.
STEP 2: Set the upper and lower limits of voltage magnitude,
phase angle, line power, reactive power generation of
generator bus (except slack bus) and active power generation
of DG.
S
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I
STEP 5: Apply constrained power flow using PSO at base

load and 150% of base load.
4
1
STEP 3: Set maximum number of iteration.

STEP 4: Initialize power flow variables (voltage magnitude
and phase angles) within their corresponding limits randomly.
In Table 2 the optimal DG size and corresponding location

is shown such that the objective function given in equation (8)
is minimized. Selection of optimal size and location has been
done by particle swarm optimization technique. As shown in
Fig.3 the objective function reached the global minimum and
stayed there till the end of the iteration, satisfying the
convergence criterion of maximum no of iteration.
TABLE 3. LOSS REDUCTION AND VOLTAGE PROFILE
IMPROVEMENT COMPARISON FOR 4 DIFFERENT CASES
MW loss
STEP6: Update power flow variables using PSO.
STEP 7: Check convergence criteria, if not converges then go

to step 5, otherwise go to next step.
STEP 8: Evaluate voltage stability index and obtain weakest

bus according to it.
30 bus
12 bus
Case
VPII
MW loss
VPII
Base Case
7.04
0.021
Case 1
7.03
1.013
0.015
1.005
Case 2
5.08
1.001
0.007
1.03
Case 3
5.07
1.014
0.006
1.04
STEP 9: Install DG or SVC or combination of two.

STEP 10: Initialize the size(s) of the device(s) randomly
within the corresponding limits.
STEP 11: Calculate the objective function considering ILP,
ILQ and IVD.
STEP 12: Apply PSO as shown in Fig.2.
STEP13: Update the size of the device.
STEP 14: Check the objective function for the convergence
criteria.
STEP 15: If it is converged show results, otherwise go to step
12.
For comparison of results 4 different cases has been chosen for

each test system. The location chosen is as follows, for 30 bus
system bus no 4 and 7 has been identified as weak bus and is
chosen for DG, SVC placement. For 12 bus system optimal
location chosen for DG, SVC placement is bus no 9 and 12.
From Table 3 it is observed that DG has a significant impact on
loss reduction as compared to SVC. Both DG and SVC has got
a major role in voltage profile improvement of the system,
which is evident from the Fig. 4 and Fig. 5. For 30 bus system
it is observed that loss reduction by putting DG is around
27.84% and by putting both DG and SVC it is about 29%. For
12 Bus radial system loss reduction by putting DG in the
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voltage stability analysis equations of Fast voltage stability

index (FVSI) and line stability analysis(LQP).Weak bus is a
node where the voltage profile is low or where the load is
more. Higher the value of stability index more is susceptibility
of the bus to be unstable.
optimum location is around 65% and by putting DG and SVC

it is around 69%.
0.15
Line stability analysis is done by taking weak bus/area into

consideration. As shown in Table 4 line no 5, 8 and 15 has
been identified as weak area. For clarity of results voltage
stability analysis has been done in 30 bus system by putting
150% load .The results clearly shows that there is a significant
improvement in terms of voltage stability. Lower the index or
closer the index is to zero better is the network performance in
terms of stability. Best results are observed by combined
allocation of DG and SVC in the system.
0.149
OF
0.148
0.147
0.146
0.145
In Table 5 stability analysis is being shown on 12 bus

radial distribution systems. The analysis is being done on base
load condition. Again weak bus/area is identified by FVSI and
LQP. Line 8 and 9 is identified as the weakest line. DG, SVC is
separately placed in each line and voltage stability analysis is
being done. Significant improvement is observed in each case.
Number of Iteration
Fig. 3. Convergence characteristic of 12 bus radial distribution

system for optimal DG size in a compensated system.
1.02
Base
Case
1.1
1.08
0.98
Base Case
SVC
1.06
0.96
Voltage in PU
Voltage in PU
DG
0.94
0.92
DG,SVC
4
1
1.04
1.02
1
0.98
DG,SVC
0.9
1
DG
9 10 11 12
0.96
Bus Location Number
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Fig. 4. Voltage profile of 12 bus system for 4 cases.
Best results are obtained by combined allocation of DG and

SVC.
SVC
0.94
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29
Bus Location Number

Fig. 5. Voltage profile of 30 bus system for 4 different cases
In Table 4, 5 voltage stability analyses are shown again for

4 different cases. FVSI and LQP indices are chosen for line
stability analysis. Weak bus /area is identified by solving
TABLE 4. STABILITY INDEX OF 30 BUSES AT 150% OVERLOADING

Line No
Without DG
5
8
15
FVSI
0.25
0.09
0.12
With
DG
LQP
0.348
0.807
0.143
FVSI
0.17
0.06
0.09
With
SVC
LQP
0.21
0.47
0.10
FVSI
0.247
0.085
0.112
With DG and SVC

LQP
0.297
0.803
0.132
FVSI
0.166
0.065
0.087
LQP
0.208
0.426
0.099
TABLE 5. STABILTY INDEX OF 12 BUS SYSTEM BASE LOAD

Line No
Without DG
With DG
With SVC
With DG and SVC
FVSI
0.0336
LQP
0.0024
FVSI
0.0316
LQP
0.002
FVSI
0.0318
LQP
0.002
FVSI
0.0302
LQP
0.002
0.0382
0.00265
0.0349
0.00260
0.0356
0.00262
0.0331
0.0025
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X.
[15] Amany M,EL-Zonkoly, Optimal placement of multiDG units including

different load models using PSO Scientific research Smart grid and
renewable energy system , pp. 160-171,2010
[16] D.DasH.S Negi D.P.kothari, Novel method for solving radial
distribution networkin proc. IEE Generation Transmission Distribution
vol141,pp. 291-298,july1994
[17] T.Nagaskar .M.Sukhija Power System Analysis:Oxford Publication
[18] S.Ghosh D.das, Method for load flow solution of radial distribution
network in Proc.IEE Generation transmission and distribution, vol146
,November 1999
CONCLUSION
The above study reveals that there is a significant

improvement in the performance of the system by optimal
placement of DG or SVC while satisfying constraint. In this
paper various voltage stability indices has been solved so as to
identify the weak bus. The multi-objective PSO Algorithm has
been solved to identify the optimal size and location of the
devices. It is revealed that when DG is placed in a compensated
system there is a significant improvement in system
performance in terms of voltage profile improvement, line loss
reduction and voltage stability improvement. As it can be seen
in Table 2 DG has more role in loss reduction as compared to
SVC. SVC has got a major role in improvement in voltage
profile.
REFERENCES
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
[9]
[10]
[11]
[12]
[13]
[14]
A.R Phadke,S.K .Bansal K.R Niazi , A comparision of voltage stability

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A Study of Performance Analysis on Multi-bus Power

Grid Network Modelling
1
Shouvik Kumar Samanta(Asst. Professor)

2
Indranil Das (Asst. Professor)
Dr. Sumana Chowdhuri(Asst. Professor)

4
Prof.Samarjit Sengupta(Professor)
EE dept., Seacom Engg. College, Howrah

EE dept., DIATME, Durgapur
West Bengal, India
samanta_b007@yahoo.co.in
indranil.1014@gmail.com
Applied Physics, CU
West Bengal, India
Cu05sumana@gmail.com
smarsgp@vsnl.net
AbstractIn order to achieve a more centralized control and

quick detection of fault in Multi-bus multi-machine system
planning and specification of a mapping between machine to
machine & machine to bus is to be done. The application scenario
within the IEEE 9 bus Grid system is then analyzed in detail with
a necessary ingredient of network planning and design
framework modeling sequence, we also discuss two aspects of
engineering modeling that relate to our question. The first aspect
is modeling the multi-machine through fading models. The
second aspect we review is the Grid control and traffic modelling
problem which allows us to achieve a better understanding of the
obtaining an event based alert on electrical devices requirements.
Finally, this paper reports recent studies on the electrical and
topological properties of a sample power transmission network.
Power grid topological studies are very important for networking
accuracy as the power grid is not only the information source but
also the information delivery system - a unique Interface
Reporting and Stability Index.
be, interoperability with the installed capacity systems, while

addressing interfaces between new and yet to be established
devices through Service oriented Architecture(SOA)[1]
approach and domains constituting in the fault-dependent
region of attraction locally around the controlling unstable
equilibrium points[7,9].The transient stability needs to be
enhanced to optimize the load ability of a system, where the
system can be loaded closer to its thermal limits. In this section
describes some of these widely accepted principle
characteristics that will be the basis for the, 21st Century grid
control and balance we are striving to achieve.
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KeywordsMulti-Machine System; IEEE 9 Bus; NewtonRaphson Method; Jacobian matrix; Reactive Power; stability;
Power mismatch;Relative Power angle and dqi/dvi index.
I.
INTRODUCTION
Everything about the stability of power systems has been
continued to be major concern in system operation. Modern
electrical power system has grown to a large complexity due to
increasing interconnections, installation of large generating
units and extra-high voltage tie-lines etc. Transient stability is
the ability of the power system to maintain synchronism when
subjected to a severe transient disturbance, such as a fault on
transmission facilities, sudden loss of generation, or loss of a
large load. The system response to such disturbances involves
large excursions of generator rotor angles, power flows, bus
voltages, and other system variables. Existing systems and
components must be encapsulated and re-engineered to be
compatible with new standards and new innovations. The most
significant challenge of interoperability is, and will continue to
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II.
PROBLEM FORMULATION
Occurrence of fault may lead to instability in a system or the

machine fall out of synchronism. A study of short circuit
should be done to analyze the transient stability and dynamic
stability of the power system. If the system cant sustain till the
fault is cleared then the fault instabilise the whole system. If
the oscillation in rotor angle around the final position go on
increasing and the change in angular speed during transient
condition go on increasing then system never come to its final
position. The unbalanced condition or transient condition may
leads to instability where the machines in the power system
fall out of synchronism. The goal of a power flow study is to
obtained complete voltage angle and magnitude information
for each bus with specified time in a power system for
specified load and generator real power and voltage conditions.
In this paper effective method to eliminate inconveniences has
been demonstrated to be a viable way to obtain robust system
control with high performance.
III.
THEORY AND PROPOSED SOLUTION FOR SYSTEM

MODEL
Once this information is known, real and reactive power [5]

flow on each branch as well as generator reactive power output
can be analytically determined. Due to the non linier nature of
this problem, numerical [11] methods are employed to obtain a
solution i.e. within an acceptable tolerance. The solution to the
power flow problem begins with identifying the known and
unknown variables in the system. The known and unknown
variables are dependent on the type of bus. A bus without any
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generators connected to it, is called a load bus. With one

exception, a bus with at least one generator connected to it is
called a generator bus. The calculation of load flow equation
by Newton Raphson [11] method gives the rotor angle and
initial condition. The exception is one arbitrarily selected bus
that has a generator. This bus is referred to as the slack bus. In
the power flow problem it is assumed that the real power (PD)
and reactive power (QD) at each load bus are known. For this
reason, load buses are also known as PQ buses. For generator
buses, it is assumed that the real power generated (PG) and the
voltage magnitude |V| is known. For the slack bus, it is
assumed that the voltage magnitude |V| and voltage phase()
are known. Therefore, for each load bus, both the voltage
magnitude and angle are unknown and must be solved for; for
each generator bus, the voltage angle must be solved for; there
are no variables that must be solved for the slack bus. In a
system with N buses and R generators, there are then 2(N-1)(R-1) unknowns. In order to solve for the 2(N-1)-(R-1)
unknowns, there must be 2(N-1)-(R-1) equations that do not
introduce any new unknown variables. The possible equations
to use are power balance equations, which can be written for
real and reactive power for each bus. The real power balance
equation is
0 = -Pi + ViVK (GiK CosiK + BiK SiniK)
(4)
The linearized system of equations is solved to determine the
next guess (m+1) of voltage magnitude and angles best on
m+1 = m +
m+1
and V
(1)
Where Pi is the net power injected at i bus, Gik is a real part

of the element in the Y bus corresponding to the ith row and kth
column, Bik is the imaginary part of the element in the Y bus
corresponding to the ith row and kth column and ik is the
difference in voltage angle between the ith and kth buses. The
reactive power balance equation is
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= -J-1
(6)
A. Newton Raphson methods algorithm consists of the

following steps:
1. Declare variables.
2. Set maximum number of iterations to perform.
3. Set tolerance to small value. (e.g. 1.0e-6)
4. Set an initial guess.
5. Set the counter of the number of iterations to zero.
6. Begin newton Raphson loop.
a. Find next guess via equation
new root = root fnct(root)/fnct prime(root)
b. If absolute value of fnct(new root) is less than tolerance,
then exit Newton Raphson loop.
c. Increment the count of the number of iterations.
d. If we had the exceeded the maximum number of
iterations, then exit Newton Raphson loop.
End the Newton Raphson loop.
7. If root was not found in maximum number of iterations,
then warn to the terminal.
8. Write to terminal the value of root and number of
iterations performed.
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B. dQi /dVi Index :

It is seen that at constant frequency of operation and constant
terminal voltages, at any constant power input from the
turbine, the critical steady state stability occurs when dP/d
=0.when the unbounded voltage change at the nodal point, it is
caused voltage instability [10, 8] i.e. the capacity of the system
is comparatively exceed with respect of load and power
mismatch [5] is created.
The Vi index [2, 5, 4] is define by the two reactive powers
Qi
must be equal to each other at equilibrium that means source
& load side both.
Condition for stability:
Either
or
(7)
(3)
Where P and Q are called the mismatch equations and J

is the matrix of partial derivatives known as Jacobian.
+ V
(2)
th
Where Qi is the net reactive power injected at i bus.

Equations included are the real and reactive power balance
equations for each load bus and the real power balance
equations for each generator bus. Only the real power balance
equation is written for a generator bus because the net reactive
power injected is not assumed to be known and therefore
including the reactive power balance equations would result in
an additional unknown variable. For similar reasons there are
no equations written for the slack bus.
There are several different methods of solving the resulting
non linier system of equation. The most popular is known as
the Newton Raphson method. This method begins with initial
guesses of all unknown variables (voltage magnitude and
angles at load buses and voltage angles at generator buses).
Next, a Taylor series [12] is written, with the higher order
terms ignored, for each of the power balance equations
included in the system of equations. The result is a linear
system of equations that can be expressed:
= V
The process continues until a stopping condition is met. A

common stopping condition is to terminate if the norm of the
mismatch [9, 8] equations are below a specified tolerance.
th
0 = -Qi + ViVK (GiK SiniK - BiK CosiK)
(5)
m
Qs and QL are respectively source and load reactive power.

Qi also indicates the degree of weakness for the ith bus.
Vi
As Qi being high, Vi became low, indicating minimum
Vi
Qi
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change in |Vi| for variation in Q status of the bus. Thus

Qi being higher, the degree of weakness of ith bus
Vi
becomes lesser.
If
= 0 at the voltage stability limit and positive,
bus 6 each line runs for five seconds at a time step t , set at
0.0010 sec. Solution precession for the initial LF is
0.0001000000. The fault is set to occur at five second from the
beginning of the simulation. Data for each contingency is
recorded in which one steady state data is taken before the
fault occurs and 03 sampled data taken for five second
duration after the fault occurs. From the Vi/|Qi| table we
investigate that the bus no.7-2 is the weakest bus in the above
IEEE 9 bus system. The results from theoretically the test
system indicate that system approaches that collapse point to
the generator 2 most severely. The results from practically by
simulation the test system indicate that system approaches that
collapse point to the generator 2 most severely.
it indicated as the critical operating point.

IV. POWER MODEL FOR BUS SYSTEM ANALYSIS
In this study an approach for IEEE 9 bus test system [3]
power model configuration is shown in Fig .1. The aim is to
stability analysis of the system operation, subject to a severe
transient disturbance, such as a fault on transmission facilities,
sudden loss of generation, or loss of a large load.
Case- I
IEEE 9 bus Test System:
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Fig. 2. Load flow Simulation on the IEEE 9 bus Test Systems model.
Fig. 1. Single line diagram of an IEEE 9 bus system model.
V.
Case-II.
SIMULATION, CASE STUDY ANALYSIS AND RESULTS
A. The objective of standard system bus model is to power

flow of active & Reactive through transmission line with
specified thermal limit. The calculation of load flow
equation is done by Newton Raphson[11] method which
taken data as the rotor angle and initial condition. The
exception is one arbitrarily selected bus that has a
generator. We consider non-linear numerical technique in
the simulation process to solve the IEEE 9 bus system [3]
load flow which indicated the direction among buses &
generator to or from load with simulated value. A new
approach to check the power matching between generators
to load shown in the Fig.2. It analyses the power systems
in normal steady-state operation.
B. In next context of scenario there have some complexity in
that Process i.e. short circuit analysis[6] because simulation on
the Electrical Transient Analyzer program system for a fault at
Fig. 3. Short circuit simulation data on 0.2 sec on the IEEE 9 bus Test
System model.
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Fig. 4. Generator Relative Power Angle.
Fig. 8. Speed Chracteristics of Generators at fault time 0.2sec.
Fig. 5. Electrical Absolute Power Angle
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Fig. 9. Reactive Power of Generators.
A
a.
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Fig. 6. Short circuit Impedance of Generators.
Fig. 7. Electrical Power of Generators.
For figure 4 Generator 2 in Swing mode when at fault

bus 6 Power angle of Generator 1 & 3 fluctuates & that
of generator 2 remains more or less constant . Since
Generator 2 is in swing mode, it remains stable
whereas generator 1 and generator 3 undergo heavy
swing.
b. For figure 5 Generator 2 in absolute power angle Swing
widely negative mode when at fault bus 6 and Generator
1 & 3 have positive power angle.
c. For figure 6 Reflection of generator current in terms of
synchronous impedance since we are observing bus
voltage at transient condition is constant more or less. In
generator 2 maximum impedance change occurs.
Generator 1 and generator 3 almost same impedance
level. Since generator2 is in swing bus mode.
d. For figure 7 Electrical Power of Generator 2 is peak 0.2
sec during fault time.
e. For figure 8 at the instant on that point the occurrence of
fault is slightly fluctuation of generator 2 Speed occurs.
Whereas the speed of gen1 & gen 3 remains almost
unaffected.
f. For figure 9 Generator 2 has no reactive power delivered
whereas generator 1 has delivered maximum reactive
power. Generator 3 has slow down or less reactive power
than Generator 1.
According to our all analysis point we set a common collapse
mostly severe from all aspect to the other condition remain
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unchanged and diverge point fixed at point on that particular

condition before fault occur.
C. SYSTEM
DATA
TABLE I.
DATA FOR BUS VOLTAGE
Bus
Voltage
V1
V2
V3
V4
V5
V6
V7
V8
V9
(KV)
18
16.5
13.8
230
230
230
230
230
230
TABLE II.
Type
of
Bus
No of
Buses
power angel, Short Circuit Impedance of Generators, governor

speed & Generator reactive power. By this technique we
establish to find out fault quickly and recover with lowest time
consumed that is beneficial stake-holder of power trading
owner. In this paper effective method implemented to
determine the particular fault location in odd combination
buses to be a viable way to obtain robust system control with
high performance. By visual display anybody can see the
accuracy of this prediction system and to develop practical
system due to monitoring power system operation during fault
time by the new technology.
ACKNOWLEDGMENT
Our foremost thanks go to our all Professors of Applied
Physics, Calcutta University having their constant patience and
encouragement. Their insightful suggestion and valuable
discussion helped to improve the quality of the paper.
DATA FOR BUS TYPES
Swing
V-control
Load
Total
REFERENCES
TABLE III.
V i INDEX TABLE FOR SYSTEM MODEL

Qi
[1]
Index table for Voltage stability

Sl. No
Bus No.
Vi
Qi
1-4
-j5.06*10 - 3
4-6
- j1.28*10 - 6
6-9
-j1.2047*10 - 7
9-3
-j8.47*10 - 3
5-4
5-7
7-2
7-8
8-9
VI.
[2]
-j1.190*10
[3]
4
1
A
[4]
-6
S
E
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-j1.75*10 - 8
-j0.0121
-j7.51*10 - 7
-j3.17*10
G. Eason Wilson I.E., Harvey S., Vankeisbelck R., and Kazi A.S.
(2001). OSMOS: Enabling the construction virtual enterprise. ITcon 6,
pp. 85-110.
Development of a Unique Network Equivalencing Technique for
Determining Voltage Stable States in a Multi-bus Longitudinal Power
System using Load Flow Analysis, A chakraborty,A De & C k
Chanda,IE(I) journal,PP.196-202, vol 85,March 2005.
Matlab/Simulink Based Transient Stability Analysis Of a Multimachine Power System analysis, International Journal of Electrical
Engineering Education by Ram Narayan Patel, T.S. Bhatti and D.P.
Kothari.
K S Dey, C K Chanda and Dr A Chakrabarti. .Concept of a Global
Voltage Security Indicator (VSI) and Role of SVC on it in Longitudinal
Power Supply (LPS) Systems. Electric Power System Research, vol 68,
2004, pp 1-9.
An introduction to Reactive power control and voltage stability in
Power transmission systems, Prof. A.Chakrabarti, Prof. Kothari, Prof,
Mukhopadhyay & Prof. De ,PHI, (2010).
P.K. Iyambo, R. Tzonova, Transient Stability Analysis of the IEEE 14Bus Electriharmonics effects and stability of thyristor-controlled
reactor IEEE ENCON 2000,kulalumpur.
M. Newman, The structure and function of complex network,SIAM
review,vol.45,pp.167-256,2003.
P. Kundur, Power System Stability and Control, McGraw- Hill Press,
New York, 1994.
M. Stubb, A Bihain and J Desuse, Simulation of voltage
collapse,Electrical Power and Energy systems,vol 15, no. 4, August
1993.
"Proposed terms and definitions for power system stability", IEEE
Trans. Power Apparatus and Systems, vol. PAS-101, pp.18941897,1982.
Yang D., Zhou B., Du X., A Simplification Method of Power Flow
Calculation Based on Newton-Raphson, Journal of Shenyang Institute
of Engineering (Natural Science) 4(1), 3740,(2008).
Fritz Herzog, George Piranian, Sets of Convergence of Taylor series
I, Duke Math. J. vol. 16, No. 3 (1949),pp.529-534.
S.Tripakis, Undecidable Problems of decentralized observation and
control, in IEEE conf. on Decision and control(CDC),
Orlando,Florida,Dec. 4-7,2001.
[5]
[6]
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CONCLUSION
A heuristic model based on genetic algorithms to approximate

the source to destination i.e. customer power flow problem
which has been proposed. To calibrate our genetic algorithm
we show that any parameter within any subsystem of the IEEE
9 bus system model can be easily modified through the system
input process. To suit the changes in reactive input that the
original network frequency change the synchronic balance of
power system network due to fault or a corrective action
within specified time limit of Generation. Otherwise power
mismatch is occurred and do not find their converging area for
actual system match. According to our stability analysis of
IEEE 9 bus test system the post fault admittance matrix is
change (i.e. most of the element zero after fault condition)
mostly than the pre fault admittance matrix. As indicated in
the graphical sections, the factors affect the generator relative
[7]
[8]
[9]
[10]
[11]
[12]
[13]
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Reliability Assessment of Energy Monitoring Service

for a Futuristic Smart City
Rajesh Pradhan, Shikhar, Ranjit Kumar Behera, Diptendu Sinha Roy
National Institute of Science and Technology
Berhampur, Odisha, India
Email: {rajesh.pradhan23, shikharverma201, ranjit.behera, diptendu.sr}@gmail.com
or timeout failure where waiting time of request queue is
greater than a predefined timeout for the service. Cloud
services may fail during execution due to unavailability of
registered data or computing resources or due to failure in
software, databases, and hardware and network resources. The
reliability assessment of request stage is done using markov
model and queuing theory, which is common for any service,
where as the reliability assessment of execution stage is done
using graph theory, which is different for different types of
services [5].
Abstract With the growing popularity of the service

oriented computing paradigm, reliable cloud service delivery
have assumed prime importance. This, in turn, demands
appropriate techniques for reliability assessment of cloud
services. In this paper, we present a model for reliability
assessment of cloud services in a smart city infrastructure hosted
as cloud service. Subsequently we provide the detailed
methodology for obtaining cloud services reliability using
Markov Model, Graph Theory and Queuing Theory. It has been
assumed that critical infrastructures of a smart city including
energy, water, gas, transportation, public health and safety,
irrigation, communication networks are provided as services
hosted on cloud infrastructures.
Keywords Cloud computing, Reliability, Queing Theory,
Smart Grid, Smart City
I.
INTRODUCTION
The cloud computing is more service-oriented rather than
resource-oriented. Dai et al. [1] has already mentioned that the
users do not care too much about the resources of the grid
system but are more concerned with the services they are
using. A cloud system provides many varieties of cloud
services and users can request cloud services from any corner
of the world. With the growing popularity of service oriented
computing paradigm reliable cloud service delivery assumed
prime importance. This, in turn, demands appropriate
techniques for reliability assessment of cloud services.
Among all the services the energy infrastructure is arguably

the single most important feature in any city. If unavailable for
a significant enough period of time, all other functions will
eventually cease. Hence out of all the services mentioned
above we have considered only energy monitoring service of
an IEEE 30 bus system [4] as a case study. The failures in
cloud services may either be request stage failure or an
execution stage failure [5]. Request stage failure corresponds to
failure in maintaining request queue and these may be either
overflow failure, where no request arrives when queue is full;
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A city can be defined as smart when investments in

human and social capital and traditional (transport) and modern
(ICT) communication infrastructure fuel sustainable economic
development and a high quality of life, with a wise
management of natural resources, through participatory action
and engagement [2]. The major services of a smart city are
energy, water, gas, transportation, public health and safety,
irrigation, sewerage and communication networks [3].
Therefore In this paper we present a model for reliability

assessment of cloud services in a smart city infrastructure
hosted as cloud service and subsequently we provide the
detailed methodology for obtaining cloud services reliability
using Markov Model, Graph Theory and Queuing Theory. It
considers various types of failures that have significant
influence on the success/failure of the cloud service.
The remaining of this paper is organized as follows. Section
II presents architecture of cloud computing system and its
failure modes. Section III discusses about smart city energy
services hosted on cloud infrastructure. Section IV presents the
reliability analysis for the proposed cloud based energy
monitoring service model. Section V gives the case study and
results. Section VI concludes the paper.
II. CLOUD BASED SMART CITY SERVICES: FAILURE MODE

With the advancement in server technology, it has been
possible to conceive and design systems that consist of a
network of networks. Now days, technologists are conceiving
Internet of Things (IOT) by connecting massive number of
devices or sensors through communication and information
infrastructure. Smart city is one such application of the IOT
paradigm, services like energy, water, gas, transportation,
public health and safety, irrigation and other key services are
managed in communication with other key infrastructure.
Cloud computing provides a fabric for hosting such interrelated, intelligent services on a massive scale, hiding the
details of technological infrastructure needed for supporting
them. A generic computing architectural component has been
presented by Ian Foster et al [6] and in shown in Fig. 1.
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common to all types of services, where as execution is vary on

type of service requested.
Fig. 2. An Abstrated Cloud Service Model.

Fig. 1. Generic Cloud Architecture (adapted from [6])
Thus, failures in cloud services may either be request stage

failure or an execution stage failure [5]. Request stage failure
corresponds to failure in maintaining request queue and these
may be either overflow failure, where no request arrives when
queue is full; or timeout failure where waiting time of request
queue is greater than a predefined timeout for the service [5].
It can be observed from Fig. 1 that four-layer architecture

composed of 1) fabric, 2) unified resource, 3) platform, and 4)
application Layers. The fabric layer contains the raw hardware
level resources, such as computing resources, database
resources, and network resources. The unified resource layer
contains virtualized resources so that they can be exposed to
upper layer and end users as integrated resources. Some of the
examples of virtualized resources are: a virtual computer, a
logical file system, a database system, etc. The platform layer
adds on a collection of specialized tools, middleware and
services on top of the unified resources to provide a
development and/or deployment platform, for instance, a Web
hosting environment, a scheduling service, etc. Finally, the
application layer contains the applications that would run in the
Clouds.
In this paper, we present a cloud service reliability
assessment technique for smart city services hosted on a cloud.
In an effort to do so, in this section, we provide simplified,
abstract cloud service model as shown in Fig. 2 and thereafter
identify different types of possible failure for cloud service.
Cloud services may fail during execution due to unavailability

of registered data or computing resources or due to failure in
software, databases, hardware and network resources.
III.
A. Energy Service Architecture

Much of the technology already exists for smart grid
implementation.
Significant
levels
of
automation,
communications and information technology are already being
brought to bear on the energy distribution systems of many
utilities to improve reliability. The design and architecture
offering energy services is depicted in FMC notation [7] in Fig.
3. There are several layers in the architecture. In the service
layer there are various enterprise services as a part of
Integration and Energy Management system (IEM) [8] that put
the data into business context and provide sophisticated
functionalities.
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Cloud computing is a technology which allows users to

access massive scale shared services without knowledge of
technology infrastructure that supports them. So, the main
component of cloud computing system is the Cloud
Management System (CMS): distributed or centralized set of
servers, which is shown in the Fig. 2. The main functions of
CMS are as follows:
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SMART CITY ENERGY SERVICE HOSTED ON CLOUD

INFRASTRUCTURE
Managing the requests from the different users for

cloud service in a request queue.
Managing computing and data resources over the
internet.
Scheduling and dividing the request into different
subtask for assigning to different computing or data
resources.
It can be observed from Fig. 2 that cloud services are
handled in two stages; in the first phase, user requests are
queued up in a request queue and in the second phase services
are scheduled on cloud resources for subsequent execution over
a network. It can be concluded that service requests are
Fig. 3. Energy Service Architecture (adapted from [9])
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The IEM provides various services such as Brokering

service, Information service, Analytics service, Optimization
service, Billing service, Prediction service, Monitoring service
and Management service which are hosted on cloud.
Thus,
Probability
of
occurrence
of
event
1
= Probability of having n customers at time t X Probability of
no arrivals X Probability of no service
i.e. Probability (event 1)
B. Energy Monitoring Services

Among all the energy services provided by the IEM, in this
paper we are considering the Energy Monitoring service. The
structure of energy monitoring service in RESTful web service
[9] is depicted in Fig. 4.
= pn(t)(1 dt).(1dt)
= pn(t)[1 dt-dt+(dt)2]
= pn(t)[1 dt-dt]
Similarly,
Probability (event 2) = pn+1(t)(1 dt).(dt) = pn +1(t)(dt)
Probability (event 3) = pn1(t)(dt).(1 dt) = pn1(t)(dt)
Probability (event 4) = pn(t)(dt).(dt) = pn+1(t)((dt)2) = 0
( dt is very small, (dt)20)
Thus, we have
pn(t+dt) = pn(t)[1dtdt] + pn+1(t)(dt) + pn1(t)(dt) + 0
= pn(t) pn(t)[dt+dt] + pn +1(t)(dt) + pn1(t)(dt)
[pn(t+dt) pn(t)]/dt= pn1(t) + pn +1(t) (+) pn(t)
i.e.
Taking limit when dt0, we get

d[pn(t)]/dt= pn-1(t) + pn +1(t) (+) pn(t) ,n>0
(1)
Now, for n=0 the following mutually exclusive and exhaustive

events can occur.
TABLE II.
Fig. 4. Energy Monitoring Service (adapted from [9])
Event
Since there are many users of the energy monitoring cloud

services, the Cloud Management System (CMS) manages the
requests in a request queue from the different users of the
cloud service. There are various as discussed in Section II that
may affect the success of the monitoring cloud service. Thus
there is a need for failure and reliability analysis of the cloud
services which is discussed in Section IV.
PROPOSED RELIABILITY MODEL FOR THE CLOUD BASED
ENERGY MONITORING SERVICE
A. Request Stage Reliability

Consider a single channel system with Poisson arrivals and
exponential service time distribution. Both arrival and service
rates are independent of the number of customers in the waiting
line. We have to find out the steady state probability of exactly
n customers in the system i.e. pn (t) which can be derived as
follows.
To find pn (t) we also have to find the expression for
pn(t+dt). The probability of n customers in the system at time
(t+dt) can be determined by summing up probabilities of all the
ways this event could occur in mutually exclusive and
exhaustive ways.
TABLE I.
Event
1
2
3
4
4
1
No. of
customers
at time t
n
n+1
S
E
I
IV.
1
2
MUTUALLY EXCLUSIVE AND EXHAUSTIVE EVENTS FOR N=0
No. Of
arrivals at
time dt
0
0
No. Of
services at
time dt
0
1
No. of
customers
at time t+dt
n
n
Thus,
Probability (event 1) = p0(t) X (1-dt) X 1 = p0(t)[1-dt]
Probability (event 2) = p1(t) X (1-dt) X (dt)
= p1(t)(dt)(1-dt)
Thus, Probability of having no customers in the system at time

(t+dt) is
i.e.
p0(t+dt) = p0(t)[1-dt] + p1(t)(dt)(1-dt)

[p0(t+dt) p0(t)]/dt = p1(t) p0(t)
Taking limit when dt0, we get

d[p0(t)]/dt = p1(t) p0(t) ,n=0
(2)
When the probability of having n customers in the system

become independent of time, we get,
pn(t)= pn
and
d[p0(t)]/dt = 0
Thus, equations (1) and (2) are reduced to

0 = pn-1 + pn+1 (+) pn ,n>0
(3)
MUTUALLY EXCLUSIVE AND EXHAUSTIVE EVENTS
No. of
customers
at time t
n
n+1
n-1
n
No. Of
arrivals at
time dt
0
0
1
1
No. Of
Services at
time dt
0
1
0
1
No. of
customers
at time t+dt
n
n
n
n
0 = p1 p0 ,n=0
From (4), we have,
p1 = (/) p0
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(4)
putting n=1 in (3), we get
Network components. Also there are different services

provided by the energy cloud infrastructure such as:
Monitoring, Billing, Prediction, Brokering service, etc. Thus
we need a different model for analysis of execution stage rather
than conventional model.
0 = p0 + p2 (+) p1
p2=[(+ )/ ].p1 [(+ )/ ].p0
=[(+ )/ ]. [(+ )/ ].p0 [(+ )/ ].p0
Cloud service is incorporating virtualized provisioning of

services rather than physical resources. So to represent
virtualized resources, graph based model is used [5], which is
shown in Fig. 5. Different cloud services vary in the sequence
they use the different types of virtualized resources.
=(/ ).p0[(+ )/ 1].

p2=(/ ).2p0
Similarly, for n=2, we get
p3= (/).3p0
pn= (/).np0 ,n>0
Also,
Probability of channel being busy = arrival rate/service rate
= (/).
p0=1 (/).
So,
And thus the steady state probability of exactly n customers in

the system is
pn= (/)n (1 /)
(5)
The Probability for the overflow failure NOT to occur is

thus
Roverflow =
k-1
n=0
pn
Fig. 5. A model showing different types of execution failure.
4
1
where k is the number of schedule servers.

Roverflow = [p0 + p1 + p2 +.+ pk]
= [p0 + (/) p0 + (/)2 p0 +.+ (/)k1 p0]

= p0.[1 ( /)k] / [1 ( /)]
Roverflow = 1 (/)k
(6)
S
E
I
For timeout failure we have to consider the probability

density function of waiting n requests by k schedule servers
which is given as
fn(t) = [(kt)n k.ke kt] / (nk)!
Timeout failure occurs when waiting time is longer than due

time Td.
Probability (t<Td) = Td fn(t)
And hence, RTimeout = N-1n=k pn Td fn(t)
The following parameters have been considered so as to

calculate the reliability of the execution stage of cloud service.
Tw = Length of the working time of the nth component of the
cloud service.
The time that the kth software program is running on the ith
machine is
Tw (Software) = Software workload / processing speed
= wpk / psi
(7)
Thus the Request stage reliability i.e. the probability of the

overflow and timeout failure NOT to occur is given as
Rrequest = Roverflow + Rtimeout
In this model, hardware (such as a computer) is represented

by a solid-line node, so the characteristics regarding the
hardware (such as hardware failures, processing speed, etc.)
can be associated with the node. The link of the network is
represented by a solid line which represents a communication
channel between two nodes, so the characters of the channel
(such as link failure, bandwidths, etc.) can be associated with
the link.
(8)
The value of Rrequest can be determined by putting the values of

equation (6) and (7) in equation (8).
B. Execution Stage Reliability

Request stage reliability model is universal for all types of
cloud services basically using queuing model. Execution stage
depends upon the type of service being provided by the cloud
which is difficult to model but components are known. The
different components are Hardware, Software, Database and
(9)
The time that the mth communication link is transmitting the

data is
Tw (Communication) = Amount of Data / Bandwidth
= sdij / bwm
(10)
The total working time for a hardware component is given as

Tw(Hardware) = Hardware Tw (Software) +
Hardware Tw (Communication)
(11)
The working time for Data source can be calculated as

Tw (Datasource) = Data Tw (Communication)
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(12)
Where, Rrequest can be derived from the reliability of request

stage by (8), and Rexecute can be derived from the reliability of
execute stage by (15).
1) Minimum Subtask Spanning Tree (MSST)

The set of all nodes and links involved in completing a
specific subtask form a Subtask Spanning Tree (SST). This
SST can be considered to be a combination of several minimal
subtask spanning trees (MSSTs), where each MSST represents
a minimal possible combination of available elements (nodes
and links) that guarantees the success to execute this specific
subtask (i.e., failure of any element in MSST leads to the
subtask failure).
Assume there are a total of K elements in an MSST, and
elementi (i=1,2,,K) denotes the ith element in the MSST.
Accordingly, the communication time of the ith element is
denoted by Tw (elementi) and (elementi) represents its failure
rate. The reliability of this single MSST can be simply
expressed as
V.
CASE STUDY AND RESULT
A. IEEE 30 Bus System

This section presents IEEE 30 Bus system as a case study
for explanation of reliability assessment of energy monitoring
service hosted on a cloud infrastructure. Corresponding graph
of the IEEE 30 Bus system has 30 nodes which is shown in
Fig. 6.
RMSST =
exp{ (element ).T (element )}

i
(13)
i 1
2) Minimum Execution Spanning Tree (MEST)

Similar to the MSST, a Minimal Execution Spanning Tree
(MEST) represents a minimal possible combination of
available elements (nodes and links) that guarantees the
success to execute the entire service. Thus, at least one MSST
of each MEST(Sm) (m=1,2,M) must be reliable, and then
the subtask Sm can be connected to those remote resources and
exchange data with them successfully through the network. If
any set of the M subtasks are successful, then the execution is
reliable for the cloud service to execute the required set of
subtasks.
Similar to (13), the reliability of a single MEST can be
calculated by
RMEST =
3) Execution Reliability
The IEEE 30 Bus network shown in Fig. 6 is partitioned [6]

into 5 different clusters shown in Fig. 7.
S
E
I
exp{ (elementi ).Tw (elementi )}
iMEST
4
1
Fig. 6. Graph Model of IEEE 30 Bus System.
(14)
Having the list of N MESTs and the corresponding task

completion time, one can determine the reliability of cloud
service at the execution stage, as follows.
MEST
RExecute =
(15)
i 1
which means any one MEST out of the total N MESTs being
succeeded will make the cloud service successfully executed
in the execution stage. When calculating the failure
probabilities of MESTs elements the maximal time from the
corresponding records in a list for the given MEST should be
used. Finally, if a cloud service needs to be successfully
completed; both request stage and execution stage should be
reliable. After we derive the reliability for both stages, we can
hereby get the cloud service reliability Rservice as;
Rservice = Rrequest. Rexecute
(16)
Fig. 7. Partitioned Graph.
A cloud service requested by a user can be considered as a task

and a task can be divided into many subtasks as there are
different possible use cases in a task. In cloud virtualized
resources are there, so there may be multiple simultaneous
requests for different subtask. For the case study, energy
monitoring is a task and individual device monitoring or group
monitoring is a subtask.
We have considered the following resources in the cloud as a
demonstration purpose:
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1) 2 Database Resources (D1, D2)
Tcommunication = 200 MB/(100 MB/Sec) = 2 sec
2) 2 Computing Resources (C1, C2)
So the working time for the hardware system,
3) 5 Network Resources (N1, N2, N3, N4 & N5)
Thardware = Tsoftware + Tcommunication= (2x10-4 +2) = 2.0002 sec.
So, for the subtask User Device Measurement, some of the

possible MSSTs are mentioned below:
Hence,
1) D1-C1-N1
1 T
RMSST2=
2 T
RMSST3=
2) D2-C2-N2
There may be other MSSTs, but for demonstration purpose we
have consider only 3 MSSTs. To calculate the reliability of
each MSST, we can use (13). Hence the reliability of above
three MSSTs, represented as RMSST1, RMSST2 and
RMSST3 can be written as,
RMSST1 =
1 T
RMSST2 =
2 T
RMSST3 =
=0.9989
= 0.9967
So, RMEST = 0.9964x0.9989x0.9967 = 0.992

Finally the execution stage reliability i.e. Rexecute is the OR
operation of all reliabilities of MEST. Here we considered only
one MEST, hence
(17)
Rexecute = 0.992 which is 99.2%.
(18)
3 T
(19)
Where, 1, 2 and 3 are the failure rate of the three

different resources used in 1st MSST, 2nd MSST and 3rd
MSST respectively, and these can be found as,
1 = D1* C1* N1
(20)
2 = D2* C2* N2
(21)
3 = D1* C2* N2
(22)
Assuming the following fixed failure rates as shown in the

Table III;
S
E
I
FAILURE RATES
D1
D2
C1
C2
N1
N2
0.15
0.05
0.1
0.1
0.12
0.11
1 = 0.15x0.1x0.12 = 0.0018
VI. CONCLUSION
Futuristic smart cities will be evolving over the next few
decades. They will more fully harness, integrate and utilize
information to be shared between departments, infrastructure
operators and with citizens. Cloud computing is one of the
viable IT solutions for such smart infrastructures. This paper
provides a model for reliability assessment of cloud services
and the methodology has been exemplified by means of an
energy service provided as a hosted cloud service for such an
envisioned smart city. The reliability modeling has been
broken into two phases, namely request stage reliability that
has been modeled using Markov model and queuing theory. A
graph theory based execution stage reliability model has also
been formulated and exemplified.
4
1
and T is the length of the maximum working time.
TABLE III.
3 T
=0.9964
Now, using these above values reliability of Minimal

Execution Spanning Tree .i.e. RMEST can be calculated as by
multiplying all the three values.
3) D1-C2-N2
So,
RMSST1=
[1]
[2]
[3]
2 = 0.05x0.1x0.11 = 0.00055
3 = 0.15x0.1x0.11 = 0.00165
[4]
Similarly working time can be calculated from (9), (10) and

(11).
Assuming that the number of instruction executed in the
machine = 20KLOC and the processing speed = 100 MIPS, the
working time for running a software program,
Tsoftware = 20 KLOC/100 MIPS= 2 X 10-4 sec
Assuming that the amount of data transfer between two
subtask = 200 MB and the bandwidth of the network system is
100 MB/sec, the working time for transmitting data in network
system,
[5]
[6]
[7]
[8]
[9]
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252 of 446
Performance Characteristics of 2x50kwp Roof top PV

Power Plant System
Tapas Chakrabarti
S.Biswas
Assistant Professor of E.C.E Department,

Heritage Institute of Technology, Kolkata-700107
West Bengal, India
Email:ctapash@gmail.com
Deputy Director, Heritage Institute of Technology, Kolkata,

W.B-700107, India
Email: s.biswas@rediffmail.com
environment. This change of environmental conditions may

invite major disaster to agriculture, food production etc. [4]. To
overcome these threats researchers worldwide are
concentrating their investigations to harvests renewable energy,
such as solar radiation, wind, tidal energy etc.
Abstract This paper describes the performance/ Capacity

Utilization factor (CUF) of a Roof-Top Photovoltaic (PV) Power
Plant located at the premises of Heritage Group of Institutions, to
determine the CUF of 2x50kwp PV plant, the electrical energy
generated day wise in kWh has been considered for May2012
and May2013. The CUF has also been calculated for each 50kwp
plant. The observation is that the CUF varies for different
reasons as the variation of Solar Irradiance and the ambient
temperature of PV Module. Moreover it is very important the
malfunctioning of system also the reason of variation of CUF,
which can be taken in consideration for proper diagnosis and
maintenance of the system.
Keywords Capacity Utilization Factor (CUF), Performance
Ratio (PR), Photovoltaic (PV), Energy Storage (ES), Grid Tied
Battery Storage System (GTBSS)
On the Meteorological data, India receives about 300 clear

sunny days in a year, which is equal to more than 5000 trillion
kwh /year, which is far more than the total energy consumption
of the country in a year [7].
I.
INTRODUCTION
This The conventional energy resources, especially the
fossil fuels, e.g coal, petroleum oil are going to be depleted
within a short span. The renewable energies or the sustainable
energies are the alternative resources of energy to meet the
exponentially growing power demand of the human society.
The Solar radiation is one of the most accessible renewable
energy resources [1][2]. The production of conventional
electrical energy increases the green house gases in the
environment. Emission of 36% green house gases occurs in
thermal power plants. The fossil fuel releases carbon in the
form of carbon dioxide (CO2) which contributes to green
house effect. The green house effect allows the energy from
the sun to penetrate the earths atmosphere and traps some
energy in the form of heat; ultimately the green house effect
causes the Global Warming. Every Giga-watt-hour of electrical
power production emits 106 kg of CO2 [3][4][5].
The main emission from coal combustion at thermal power
plants are carbon dioxide (CO2), nitrogen oxides (NO), sulfur
oxides (SO), chlorofluorocarbons (CFCs), and air- borne
inorganic particles such as fly ash, soot, and other trace gas
species. Carbon dioxide, methane, and chlorofluorocarbons are
greenhouse gases [4].
4
1
S
E
As one of its green initiatives, the authorities of Heritage

Group of Institutions and M/s Vikram Solar Private Limited
have installed a 100 kwp (2x50) Roof-top stand alone grid tied
photovoltaic system at roof-top of A and B building at the
premises of Heritage Group of Institutions (Latitude22.51850N and Longitude -88.41630E). The objective of this
paper is to study the performance characteristics of the above
photovoltaic system. In section II, the PV Module Array and in
Section-III, Grid Interactive Roof-top PV system has been
discussed. The Performance of Roof-top 100kwp (2x50) PV
system of HITK situated at A & B Building of Heritage
Academy has been discussed in Section-IV. Finally the
conclusions are addressed in section-V.
II. PHOTOVOLTAIC MODULE ARRAY
To convert the solar radiation in to electricity, Solar Photo
Voltaic (PV) modules are used. The PV power generation can
be expressed in watts per square meter [1]. The solar radiation
conversion efficiency is very poor; hence it is very important to
develop models of PV modules. The PV cell is in the form of a
semiconductor pn junction, which directly converts light
energy into electricity. It is also simply the forward-biased
diode that generates a photo voltage from the electron hole
pairs created by the incident photons within the built in field of
junction. [6].
The gradually increasing ambient temperature in the

atmosphere affects climate and the weather conditions. The
direct and indirect effect of different calamities like that heavy
unexpected rain, flood or drought [6] brings in changes in the
253 of 446
A PV module consists of number of solar cells connected in

series and parallel connection to optimize the specific current
and voltage. The output current of the PV module is computed
as
Vm +Rs I
Iph = Np*Isc Np*Io(exp[ nNs Vt ] -1)
(1)
Where Iph is the output current of PV module, Isc is the

short circuit current of module, Io is the diode saturation
current, I is output current, n is the ideal constant of diode, Vm
is the thermal voltage of PV module, Rs is the series resistance,
Vt is the thermal potential of a PV cell, Ns and Np are the
number of series and parallel connections of PV cell
respectively [1] [6].
III.
GRID-INTERACTIVE ROOFTOP PHOTOVOLTAIC

SYSTEM
Before The PV electricity production capacity is very low;
the modules are interconnected as array. The integration of PV
module increases the solar power production. But there are also
some drawbacks in this system, that the unpredictable solar
irradiance that is for partial shading, the solar power generation
is not a steady phenomenon. In this purpose an Energy Storage
(ES) system can be adopted, where a bank of storage cells [8]
are used to store the converted electrical energy, which is
called as Standalone PV system. Another system can be
adopted, that is Grid Tied Battery Storage System (GTBSS),
which are called also PV penetration. [9][10]. In this system
the real time PV power production can be transmitted to the
existing Grid Sub-station. For this purpose different models are
adapted to get the better efficiency.
While discussing the PV system the Capacity Utilization
Factor (CUF) and Performance Ratio (PR) of the system are
very important. They are defined as:(2)
and
Performance Ratio (PR) = Em /(GT * A * )
(3)
where, CUF is capacity utilization factor, Em is Energy

measured in kwh and Cp is the installed capacity of the plant,
GT is Irradiance (kwh/m2 ) on the panel, A is the active area of
PV module and is module efficiency.
The PV power production depends on the solar irradiance,
which can be explained as
(4)
4
1
(i). Off-line Supervision and
(ii) Real-time Monitoring.
In this paper we have studied the photovoltaic solar energy

generation of the said PV systems, on the basis of statistical
data. The specifications of these modules are noted bellow:The PV MODULEs are made by Vikram Solar Pvt. Ltd.
model no ELDORA-230 with the following specification.
Rated Peak Power (-0/+5w) Pmpp
215w
Open circuit voltage (Voc)
36.35V
Short circuit current (Isc)
Where, IA is the current produced by a PV module array [6].

Again, the solar irradiance, GT Em
Each inverter checks if the initial conditions necessary for

feeding the grid are satisfied and then, it begins to monitor the
grid. The PV voltage must reach the specified minimum value
before the inverter begins to feed the grid [11]. The inverter
automatically determines the solar generator maximum power
point (MPP) voltage, which is defined as the desired PV
voltage in the internal regulation system. The analysis of a
system can be done in two ways on the basis of statistical data.
[12][13][14]
S
E
CUF = Em/(365*24*Cp)
IA GT
Fig: Grid Tied Inverter in A & B Building at Heritage Premises
(5)
Rated voltage (Vmpp)

Rated current (Impp)
IV. THE 100KWP (50X2) PV SYSTEM

The 100kwp PV System consists of 504 numbers of PV
Modules. 18 numbers of modules are in series and 28 numbers
of strings are in parallel connection. This 100kwp Photovoltaic
roof top System is arranged in 2x50kwp on the rooftop of 2
buildings i.e. A- Building & B-building of Heritage Group
of Institutions, Kolkata. For each building the grid tied inverter
is connected to the systems.
8.00Amps
26.65V
7.55Amps
Fill factor (F/F)
74.00%
Efficiency (%)
13.36%
Fire rating (TYPE)
Class-C
NOCT
Maximum system
254 of 446
45o C
1000V TUV
Operating voltage
600V (UL)
Dimension (+/- 1.5mm)
Table-1:Day wise produced energy in kwh.
(1639x982x36) mm
The power specification is measured under standard test

condition.
In this paper, investigations have been made to the
electrical energy (in kwh) generation, by considering
May2012 and May2013, the production of kwh in each block
(50kwp) and in a total (100kwp) of these two blocks, the
Capacity Utilization Factor (CUF) of these individual building
i.e. 50 kwp each in Roof-top of A-Building and B-Building and
the year wise production.
Month
Day
1st
2nd
3rd
4th
Here, we calculate the CUF day wise taking consideration a

period of 24 hour, for each block of 50kwp system.
CUF /Day = Em/24xCp
5th
6th
(6)
7th
From the table1, and the figure -1, we can observe that the total
power generation in May 2013 is better than the May 2012. On
the basis of data of table-1, and using the equation-6, the table 2 has been derived. In table-2 the day wise capacity utilization
factor (CUF) is being calculated and using MATLAB software
the graphical waveform are plotted in fig-1,2 and 2(a),2(b). The
solar power generation depends on amount of solar irradiation
received, module temperature, wind speed [6][15][16][17]. It is
also affected by the deposition of dust and dirt on the PV panel
surface resulting in the partial shading or even malfunctioning,
which may causes overheating to the PV module. When a solar
module is heated up, the output power reduces accordingly
[5][12]. These factors are used in evaluating two figures of
merit namely efficiency and yields; ability of the plant to
produce energy and energy production by the plant [18]
8th
9th
10th
11th
12th
13th
14th
15th
16th
17th
100kwp (2x50) PV system at Roof-Top of A & B Building

at Heritage Group of Institutions
May'1
Month-5/13
May'13
Month-5/12
2
HIT-A
(kwh)
HIT- B
(kwh)
149
115
264
60
20
80
110
125
235
** 0
29
29
124
146
270
50
27
77
67
99
166
** 0
165
165
80
47
127
119
100
219
19th
20th
S
E
21st
22nd
23rd
24th
25th
26th
A Photograph of 50 kwp PV System in Roof-top of A-Building
27th
28th
29th
30th
31st
HIT-A
(kwh)
HIT- B
(kwh)
Total
kwh
39
53
92
151
** 0
151
112
133
245
177
28
205
47
58
105
208
** 0
208
116
88
204
145
12
157
84
105
189
186
** 0
186
45
62
107
90
37
127
56
48
104
159
89
248
71
97
168
117
76
193
80
95
175
187
106
293
76
89
165
103
60
163
37
41
78
166
96
262
57
67
124
200
114
314
48
55
103
114
56
170
34
35
69
189
18
207
87
62
149
86
23
109
51
** 0
51
** 0
** 0
** 0
76
** 0
76
26
86
112
34
52
86
116
178
294
33
30
63
138
143
281
52
37
89
140
157
297
41
70
111
85
84
169
40
73
113
124
22
146
56
41
97
56
60
116
28
26
54
137
144
4
1
A
18th
Total
kwh
10
92
102
194
** 0
** 0
** 0
72
39
111
TOTAL
May13
5427
kwh
May12
** system was not working that day

A Photograph of 50kwp PV System in B-Building at Heritage
255 of 446
3889
kwh
Table-2: Day wise Capacity Utilization Factor of the system

Date wise CUF in Blue & Red line for A & B bldg respectively--->
Fig-1: CUF of 2x50kwp PV plant in May 2013 at A & B building
Day
HIT-A
CUF
HIT- B
CUF
HIT-A
CUF
HIT- B
CUF
1st
2nd
3rd
0.12
0.10
0.05
0.02
0.09
0.10
0.00
0.02
0.10
0.12
0.04
0.02
0.06
0.08
0.00
0.14
0.07
0.04
0.10
0.08
0.03
0.04
0.13
0.00
0.09
0.11
0.15
0.02
0.04
0.05
0.17
0.00
0.10
0.07
0.12
0.01
0.07
0.09
0.16
0.00
0.04
0.05
0.08
0.03
0.05
0.04
0.13
0.07
0.06
0.08
0.10
0.06
0.07
0.08
0.16
0.09
0.06
0.07
0.09
0.05
0.03
0.03
0.14
0.08
0.05
0.06
0.17
0.10
0.04
0.05
0.10
0.05
th
th
6th
7th
8th
9th
10th
11th
12th
15th
16th
17th
18
th
20th
21st
22nd
23rd
24th
0.03
0.03
0.16
0.07
0.05
0.07
0.04
0.00
0.00
0.06
0.00
0.02
0.03
0.04
0.03
0.03
0.04
0.03
0.03
0.12
0.13
0.06
0.07
0.07
th
27th
28th
29th
S
E
0.00
25th
26
0.02
0.02
0.07
0.10
0.12
30
25
10
15
20
Date wise CUF of month May 2013--->
Fig-2: CUF of A & B building 50kwp each PV plant in May 2012
35
0.2
0.15
0.1
0.05
0
10
15
20
25
Date wise CUF of month May 2012--->
35
30
100
0
10
15
20
25
30
35
Day wise kwh of month 1st May-31st May 2013--->
Fig-2(b): Power Generated from 2x50kwp PV plant in May 2012 at A & B Building
400
4
1
200
0
10
15
20
25
30
35
Fig-2(c): Solar Power Generated from 2x50kwp PV plant in May 2013 & 2012 at HITK
400
200
10
15
20
25
30
35
0.12
0.03
0.06
0.10
0.02
0.05
0.03
0.05
0.05
0.02
0.02
0.11
0.01
0.00
0.01
0.08
0.09
0.00
0.00
0.06
0.06
V.
0.05
0.15
satisfactorily. The average power generation in the month of

May2012 (average power-175.06kwh) is better than the month
of May2013 (average power-125.45kwh). It signifies that the
Meteorological data e.g total sunny days, ambient temperature,
partial shading due to cloud or dirt are the factors for variations
of the CUF. Considering the CUF statistical data, the necessary
diagnostic methods are to be developed for better performance
of the system. These diagnostic methods are not covered in this
paper.
30th
31st3
0.1
th
19
0.15
Fig-2(a): Solar Power Generated from 2x50kwp PV plant in May 2013 at A & B building
200
13th
14th
0.2
Day wise PV kwh Blue & Red curve of 2013 & 2012 respectively--->
100kwp (2x50) PV system at Roof-Top of A & B Building at

Heritage Group of Institutions
Month
Month-5/13
Month-5/12
ACKNOWLEDGEMENT
CONCLUSION
This paper presents results of the performance of the PV

Plant, during May12 and May13, basis of capacitive
utilization factor (CUF). It is evident from the statistical
received data analysis that the system has been working
We would like to gratefully acknowledge the authorities of

M/s Vikram Solar Private Limited and the Heritage Group of
Institution, for the opportunity to collect relevant data of the
2x50 kwp roof-top PV Plant system and kind permission to
publish the same.
256 of 446
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257 of 446
Multiple Distributed Generator allocation by

modified novel power loss sensitivity for loss
reduction
P. Vijay Babu
National Institute of Technology Kurukshetra
Kurukshetra, India
vijaybabu212@gmail.com
Ratna Dahiya
Kurukshetra, India
ratna_dahiya@yahoo.co.in
Abstract-The objective of the paper is to reduce the losses and

improve the voltage profile of the radial distribution system with
optimal allocation of multiple Distributed Generators (DG) in the
system. In this paper, optimal sitting and sizing of DGs are
determined by Modified Novel Power Loss Sensitivity Method.
Impact of DG integration in the distribution system is
investigated in terms of voltage profile, total power losses, cost of
energy loss, cost of powers obtained from DG, powers intake
from the substation and savings in cost of energy loss. The results
are obtained on IEEE 33-bus and IEEE 69-bus radial
distribution systems.
Keywords: Radial distribution system, Modified Novel Power
Loss Sensitivity, Multiple DG, optimal locations, optimal sizes,
loss reduction, combined load power factor ( ).
I.
INTRODUCTION:
In recent years, the penetration of distributed

generator (DG) into distribution systems has been increasing
rapidly in many parts of the world. The main reasons for the
increase in penetration are the liberalization of electricity
markets, constraints on building new transmission and
distribution lines, and environmental concerns [1-3].
Technological advances in small generators, power
electronics, and energy storage devices for transient backup
have also accelerated the penetration of DG into electric
power generation plants [4].
. Optimal DG placement with uniformly distributed load is
presented in [5] using 2/3 (Thumb) rule. However, this
technique may not be effective for non-uniformly distributed
loads. An analytical method, based on the exact loss formula, is
proposed in [6] to determine optimal location and size of a DG,
this method does not meet robustness requirements. An
analytical method is proposed in [7] for finding the optimal
locations of multiple DGs in combination with the Kalman
filter algorithm for determining their optimal size. Analytical
expressions for finding optimal size and power factor of
different types of DGs are suggested in [8]. An analytical
method described in [9] computes the optimal location and size
of multiple DGs, considering also different types of DGs. Loss
sensitivity factors (LSF) are used [10] to select the candidate
locations for the multiple DG placements and Simulated
Annealing (SA) is used to estimate the optimal size of DGs at
the optimal locations. A new method for optimal sizing and
sitting of DG in radial distribution systems was proposed in
[11]. In this, optimal location for DG obtained by power loss
4
1
S
E
sensitivity and optimal size is given by Harmony Search

Algorithm (HSA).
Literature survey is showing that many authors are
focused on optimal placement of single DG in distribution
systems. Authors [12] are presented the sensitivity based
methods for single DG placement. In this work, Modified
Novel Power Loss Sensitivity Method is extended for multiple
DGs placement in distribution systems. Importance of
multiple DGs placement than single DG for the improvement
of voltage profile and total power loss reduction is presented.
Test conducted on two types of DGs that are operating at unity
and lagging power factor are considered. Results are obtained
on IEEE 33-bus and IEEE 69-bus test systems for voltage
profile, total power losses, powers taken from the substation,
cost of powers obtained from DGs, cost of energy loss, and
savings in cost of energy loss.
II.
METHODOLOGY
A. Optimal location and sizing of DGs using Modified Novel

power loss sensitivity Method
Modified Novel power loss sensitivity method [12] was
proposed for single DG allocation at unity and lagging power
factor. In this paper, the method is extended for multiple DGs
allocation and their optimal sizes are determined at unity and
lagging power factors.
1) Single DG allocation
Loss reduction by a single DG allocation. Let us consider the
following:
= total active power loss
=total reactive power loss
=branch current
=branch resistance
=active component of branch current
=reactive component of branch current
=loss associated with active component of branch current
= loss associated with reactive component of branch
current
2
=
=1
2
2
= =1 +
=1
= +
a) DG at unity power factor placed at bus k
258 of 446
(1)
(2)
(3)
=active component of current supplied by DG at node k

The optimal DG current for maximum loss reduction is given
by
=1

=1
given by
(4)
[G][ ] = [B]
(15)
Where G is a kdg x kdg square matrix and B is a kdgdimensional vector. The elements of G and B are given by
= voltage magnitude of DG at node k

Optimal size of DG at unity power factor is given as
=
(5)
b) DG at lagging power factor placed at bus k
=active component of the current to be supplied by DG
for maximum loss reduction at bus k
= reactive component of the current to be supplied by DG
for maximum loss reduction at bus k
=
=
=
=
=1

=1
=1

=1
(6)
(7)
=1

=1
=1

=1
(8)
(9)
2 + 2
(10)
2 + 2
(11)
=optimal real power supplied by DG at power factor

cos at bus k
=optimal reactive power supplied by DG at power factor
cos at bus k
= cos
(12)
= sin
(13)
The optimal size of DG can be calculated as
=
Fig.1. Single line diagram of 33-bus system
2
2
Using eqns. (5), (12) and (13), optimal DG sizes can be

obtained for unity and lagging power factor.
2) Multiple DGs allocation

The concept of loss reduction by a single DG allocation can
be extended for multiple DGs allocation. Let us consider the
following:
kdg= number of buses compensated by DG
=kdg-dimensional vector consisting of DG currents
= Set of branches from the source bus to the DG bus
(j=1, 2 k)
In Fig.1, if three DGs (k=3) are placed at buses 6, 15 and 30
the branch set
1 = [1 2 3 4 5]
2 = [1 2 3 4 5 6 7 8 9 10 11 12 13 14]
3 = [1 2 3 4 5 25 26 27 28 29]
a) DGs at unity power factor
The optimal DG currents for the maximum loss reduction is
4
1
S
E
(14)
=
(16)
= ( )
(17)
=
(18)
Only the branch resistances and real currents in the original
system are required to find the elements of G and B. The DG
currents at unity pf for the maximum loss reduction can be
obtained from eqn. (15)
= []1 []
(19)
Once the DG currents are known, the optimal DG sizes can be
written as
=
(20)
Here is the voltage magnitude vector of DG buses.
b) DGs at lagging power factor
The optimal DG currents at lagging power factor for the loss
reduction is given by
[G][ ] = [P]
(21)
[H][ ] = [Q]
(22)
Where G and H are kdg x kdg square matrix and B, C, D,E,P
and Q are kdg-dimensional vector. The elements of G and H
are given by
=
(23)
= ( )
(24)
=
(25)
=
(26)
=
(27)
= 2 + 2
= 2 + 2
(28)
(29)
= []1 []
(30)
1
= [] []
(31)
By calculating DG currents at lagging pf using eqns.(30-31)
real and reactive powers supplied by DG can be calculated as:
= cos
(32)
= sin
( 33)
The optimal DG sizes can be written as
=
2
2
259 of 446
(34)
=

$/MVARh
POWER FACTOR SELECTION
The power factor of combined load of the system ( ) is

given as [9]
=
(35)
VI.
2 + 2
ALGORITHM FOR OPTIMAL DG PLACEMENT
RESULTS AND DISCUSSIONS:
A. Results for IEEE 33-bus test radial distribution system:

For 33 bus system without installation of DG, real and
reactive power losses are 210.98kW and 143.02kVAR
respectively and the real and reactive power taken from the
substation is 3925.98kW and 2443.02kVAR respectively. It is
found that total real power loss is minimal at bus 6 as shown
in Fig.2. Therefore, it has been selected as a candidate node
for DG allocation and their sizes as shown in Fig.3.
4
1
DG AT UNITY PF
250
200
DG AT 0.85 PF
S
E
V.
(41)
In this paper the modified novel power loss sensitivity

method is applied on IEEE 33-bus and IEEE 69-bus test
systems. The total load on 33-bus test radial distribution
system is 3.715+j*2.3 MVA [14] and on 69-bus test radial
distribution system is 3.8013+j*2.6936 MVA [15]. In this
paper work, DGs at unity and lagging pf are considered for the
analysis.
The possible minimum total loss can be achieved, if the power

factor of DG is selected to be equal to that of the combined
load power factor (pf).
=
(38)
The computational steps involved in finding the optimal DG
size and location to minimize the loss in distribution system
are summarized as:
1. Run the base case load flow and obtain the base case
power losses. Find the DG sizes at each node using
eqn. (5) at unity pf and eqns. (12-13) at lagging pf.
2. Compensate each node (except the source node) with
the DG sizes obtained in step 1 then select the node
which gives maximum loss reduction, as a first DG
location.
3. Update load data after placing the DG. Find the DG
sizes at each node then identify the next compensating
node at which maximum loss reduction is obtained.
4. Compensate all DG locations by using corresponding
DG sizes found from eqn. (20) at unity power factor
and eqns. (32-33) at lagging pf.
5. Repeat step 3-4 to determine next potential location for
DG placement until it is found that there is no
significant loss reduction can be achieved by further
DG placement.
= 1.1
k=0.05-0.1
In this paper work, the value of factor k is taken as 0.1.
The total active and reactive power of the load demand is

= =1 PDk
&
= =1 QDk
(36)
The power factor of the DG injected ( ) is given as

=
(37)
IV.
2 2
cos
2 + 2
Total Real Power Loss (kW)
III.
150
100
50
0
1 2 3 4 5 6 7 8 9 101112131415161718192021222324252627282930313233
Bus Number
Fig.2. Total Real Power Loss variation with DG size of 33 bus system
COST OF ENERGY LOSS AND COST COMPONENT OF DG
DG AT UNITY PF
FOR REAL AND REACTIVE POWER
DG AT 0.85 PF
6000
A. Cost of Energy Losses (CL):

(39)
B. Cost component of DG for real and reactive power

Cost characteristic of DG is selected as per the data available
in [12]
= 2 + +
$/MWh
(40)
Cost coefficients are taken as:
a=0 b=20 c=0.25
Cost of reactive power supplied by DG is calculated based on
maximum complex power supplied by DG given as
DG Size (kVA)
5000
The annual cost of energy loss is given by [13]

CL= (Total Real power Loss)*( 8760) $
: Energy rate ($/kWh)
Where, = 0.06 $/kWh
4000
3000
2000
1000
0
1 2 3 4 5 6 7 8 9 101112131415161718192021222324252627282930313233
Bus Number
Fig.3. Optimal DG sizes for 33 bus system
260 of 446
------------
2495
1861
606
210.98
2495
111.153
2467
91.631
With 3
DGs
6
15
25
1655
606
772
3033
80.91
143.02
81.656
64.6312
57.28
0.903776
(18)
3925.98
0.9410 (18)
0.9531
(33)
1339.633
0.9532
(33)
762.48
2443.02
2381.656
2364.631
2
2357.28
110891.088
58422.0168
42526.296
Saving in cost of
energy loss ($)
---------
52469.0712
Cost of Pdg
($/MWh)
---------
50.14606
48161.25
36
62729.83
44
49.58996
Total size (kW)

Total Real Power
loss (kW)
Total Reactive
Power loss (kVAR)
Minimum Bus
Voltage (p.u.)
Real Power taken
from the Substation
(kW)
Reactive Power
taken from the
Substation(kVAR)
Cost of Energy
losses ($)
1331.35
68364.792
60.9186
TABLE.2. 33 Bus test system at combined load ( 0.85 lag) power factor
DG schedule
With Out
With 1
With 2
With 3
DG
DG
DGs
DGs
Optimum Bus
---------6
6
6
30
30
15
DG Size (kVA)
--------3003
1819
1118
1150
1149
670
Total size (kVA)
3003
2969
2937
Total Real Power
210.98
68.4837
44.74
23.28
loss (kW)
Total Reactive
Power loss (kVAR)
Minimum Bus
Voltage (p.u.)
Real Power from the
Substation (kW)
Reactive Power from
the
Substation(kVAR)
Cost of Energy
losses ($)
Saving in cost of
energy loss ($)
Cost of Pdg
($/MWh)
Cost of Qdg
($/MWh)
B. Results for IEEE 69-bus test radial distribution system:

For 69 bus system without installation of DG, real and
respectively. Real and reactive power from the substation is
4026.258kW and 2741.704kVAR respectively. It is found that
total power loss is minimum at bus 61 as shown in Fig.4.
Therefore, it has been selected as a candidate node for DG
allocation and their sizes as shown in Fig.5.
S
E
143.02
55.1316
37.20299
18.2513
0.903776
(18)
3925.98
0.9566
(18)
836.4577
0.9565
(18)
1215.62
0.9824
(25)
1220.096
2443.02
1095.5057
806.833
804.4883
110891.08
8
--------
38531.578
23515.344
12235.968
72359.51
87375.7441
98655.12
-----------
59.287
51.1324
50.6138
------------
0.4297
0.7555
0.7494
4
1
250
200
DG AT UNITY PF
DG AT 0.81 PF
150
100
50
0
1 4 7 10 13 16 19 22 25 28 31 34 37 40 43 46 49 52 55 58 61 64 67
Bus Number
Fig.4. Total Real Power Loss variation with DG size for 69 bus system
6000
DG AT UNITY PF
DG AT 0.81 PF
5000
1) At unity power factor:

With installation of single DG size of 2495 kW at 6 bus then
real, reactive power losses are 111.153 kW and 81.656 kVAR
respectively. With installation of two DG units size of 1861
kW and 606 kW at 6 and 15 buses respectively, then real,
DG Size (kVA)
DG Size (kW)
reactive power losses are 91.631 kW and 64.6312 kVAR

respectively. With installation of threeDG units size of
1655kW, 606kW and 772kW at 6, 15 and 25 buses
respectively then real, reactive power losses are 80.91 kW and
57.28 kVAR respectively. Real and reactive power taken from
the substation is reduced from without DG to three DG units
as shown in table 1.
2) At 0.85 lag power factor:
With installation of single DG size of 3003kVA at 6 bus
then real, reactive power losses are 68.4837kW and 55.1316
kVAR respectively. With installation of two DG units size of
1819kVA and 1150kVA at 6 and 30 buses respectively, then
real, reactive power losses are 44.74kW and 37.202kVAR
respectively. With installation of three DG units size of 1118
kVA, 1149kVA and 670kVA at 6,30 and 15 buses, real,
respectively. Real and reactive power taken from the
substation is reduced from without DG to three DG units as
shown in table 2.
Total Real Power Loss (kW)
TABLE.1. 33 Bus test system at unity power factor

DG schedule
Without
With 1 DG
With 2
DG
DGs
Optimum Bus
---------6
6
15
4000
3000
2000
1000
0
1 4 7 10 13 16 19 22 25 28 31 34 37 40 43 46 49 52 55 58 61 64 67
Bus Number
Fig.5. Optimal DG sizes for 69 bus system
261 of 446
With installation of single DG size of 2243 kVA at 61 bus

then real, reactive power losses are 23.3218 kW and 14.4376
kVAR respectively. With installation of two DG units size of
2129 kVA and 638 kVA at 61 and 17 buses respectively, then
real, reactive power losses are 7.293 kW and 8.07 kVAR
respectively. Real and reactive power taken from the
substation is reduced from without DG to two DG units as
shown in table 4. For further DG placement there is no
significant loss reduction.
1) At unity power factor:

With installation of single DG size of 1832 kW at 61
bus, then real, reactive power losses are 83.2 kW and
40.58kVAR respectively. With installation of two DG units
size of 1749kW and 519kW at 61 and 17 buses respectively,
then real, reactive power losses are 71.68 kW and 35.977
kVAR respectively. Real and reactive power taken from the
substation is reduced from without DG to two DG units as
shown in table 3. For further DG placements there is no
significant loss savings.
TABLE.3. 69 Bus test system at unity power factor
DG schedule
Without DG
With 1 DG
With 2 DGs
Optimum Bus
---------61
61
17
DG Size (kW)
---------1832
1749
519
Total size (kW)
1832
2268
Total Real Power
224.868
83.2
71.68
VII. CONCLUSION
loss (kW)
Total Reactive
Power loss (kVAR)
Minimum Bus
Voltage (p.u.)
Real Power taken
from the Substation
(kW)
Reactive Power
taken from the
Substation(kVAR)
Cost of Energy
losses ($)
Saving in cost of
energy loss ($)
Cost of Pdg
($/MWh)
102.104
40.58
35.977
0.9092(65)
0.9681 (27)
0.9777 (65)
4026.258
2052.139
1604.646
2741.704
2680.183
2675.577
118190.6208
43710.9984
37912.5792
--------
74479.6224
80278.0416
---------
37.25
44.88726
4
1
REFERENCES
TABLE.4. 69 Bus test system at 0.81 lag power factor

DG schedule
With Out DG
With 1
With 2 DGs
DG
Optimum Bus
---------61
61
17
DG Size (kVA)
-------2243
2129
638
Total size (kVA)
2243
2767
Total Real Power
224.868
23.3218
7.293
loss (kW)
Total Reactive
Power loss (kVAR)
Minimum Bus
Voltage (p.u.)
This study presents and evaluates a modified novel power

loss sensitivity method which can be used to determine the
optimal placement and sizing of multiple DGs. This method is
easier to implement and faster for a accuracy. The study is
carried out on two types of DG that are: DG operating at unity
power factor and DG operating at lagging power factor. The
results have been obtained for real and reactive power losses,
voltage profile, cost component for real power and reactive
power obtained from DGs and their sizes. It conclude that
there is much reduction in real, reactive power losses and
improvement in voltage profile with DG at lagging power
factor due to its real and reactive power supply to the system.
Therefore, DG operating at lagging power factor is giving
better results than DG at unity power factor.
S
E
102.104
14.4376
8.07
0.9092(65)
0.9724
(27)
1702.039
1
1599.838
3
0.994244(69)
3833.2008
114357.4128
0.9768
Real Power from the

Substation (kW)
4026.258
Reactive Power from

the
Substation(kVAR)
Cost of Energy
losses ($)
2741.704
118190.6208
Saving in cost of
energy loss ($)
--------
Cost of Pdg
($/MWh)
Cost of Qdg
($/MWh)
---------
14800.42
296
103390.1
978
42.8002
----------
0.3998
2) At 0.81 lag power factor:
1584.543
1001.4
44.7328
[1] D. Singh and R. K. Misra, Effect of load models in distributed

generation planning, IEEE Trans. Power Syst.,2007;22(4):220412.
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a deregulated environment, in Proc. IEEE PES., 2005; 3:29692976
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definition, Elect. Power Syst. Res., 2001;57(3):195204.
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distribution network, Elect. Power Ener. Syst., 2006; 28(10): 669678.
[7] S. H. Lee, et al, Selection of optimal location and size of multiple
distributed generations by using Kalman filter algorithm, IEEE
Transactions on Power Systems,2009;24(3):13931400.
[8] Hung DQ, et al. Analytical expressions for DG allocation in primary
distribution networks, IEEE Trans. on Ener. conv.,2010;25(3):81420.
[9] Hung DQ, et al. Multiple distribute generators Placement in primary
distribution networks for loss reduction, IEEE Trans. on Industrial
Electronics,2013;60(4):17001708.
[10] Injeti Satish Kumar, et al. An Efficient Method for Optimal Placement
and Sizing of Multiple Distributed Generators in a Radial Distribution
Systems, Distributed Generation and Alternative Energy,
2012;27(3):52-71
[11] R.Srinivasa Rao, et al. Power Loss Minimization in Distribution
System Using Network Reconfiguration in the Presence of Distributed
Generation, IEEE Trans on Power Systems, 2013;28(1):317-325.
[12] V.V.S.N. Murthy, Ashwani Kumar, Comparison of Optimal DG
Allocation Methods in Radial Distribution systems based on Sensitivity
Approaches, Elect. Power Syst. Res., 53 (2013) pp. 450467.
[13] D.Das, Reactive power compensation for radial distribution network
using genetic algorithm, Elect. Power Syst. Res., 2002;24:573- 581.
[14] M. A. Kashem, et al. A novel method for loss minimization in
distribution networks, in Proc. IEEE DRPT., 2000:251256.
[15] M.E.Baran, et al. Optimal sizing of capacitors placed on a radial
distribution system, IEEE Trans. Power Delivery, 1989;4(1):735-743.
262 of 446
A Novel Constraint Increasing Approach for solving

Sudoku puzzle
1
Ranjit Kumar Mandal, 2Santanu Halder

Government College of Engineering and Ceramic
Technology, Kolkata, India
2
Government College of Engineering and Leather
Technology, Kolkata, India
1
mandalranjit@yahoo.comline 2sant.halder@gmail.com
I.
The purpose of Sudoku is to fill up the entire 9x9 grid

such that the following constraints are met [7]:
Each row of cells is only allowed to contain the integers
one through to nine exactly once.
S
E
I
INTRODUCTION
4
1
Each column of cells is only allowed to contain the

integers one through to nine exactly once.
Quantum
Sudoku is the most popular logical puzzle around the

World and was developed by Howard Grans in 1979. The first
Sudoku puzzle became popular in Japan. Sudoku are easy to
learn and yet highly addictive language-independent logic
puzzles which have recently taken the whole world by storm.
Using pure logic and requiring no math to solve, these
fascinating puzzles offer endless fun and intellectual
entertainment to puzzle fans of all skills and ages [1]. Sudoku
puzzles are classified into different level of difficulties such as
easy, medium, hard etc. The difficulty of a Sudoku puzzle can
be measured by the positions of the numbers on the grid [2].
Pelanek R. [3] proposes an alternative to assess the difficulty
of Sudoku puzzles, namely, the difficulty of steps required to
solve the problem and the dependency between the steps.
There are two main reasons why this game is so particularly
interesting for computer scientists. One is that this puzzle
belongs to the class of NP-complete problems. So it is hard
enough and will remain hard enough to be interesting for a
long time. The other one was that although Sudoku can be
very hard to solve they are also simple enough to understand
for everyone as technical details are reduced to a minimum
[4]. A traditional Sudoku puzzle consists of a 9 x 9 grid
containing given clues in various places resulting in the

Jadavpur University, Kolkata , India
debotosh@ieee.org, mitanasipuri@gmail.com
sudoku puzzle having a single, unique solution. Sudoku puzzle

are a subset of Latin squares [5, 6].
Abstract In this paper, a novel technique, called Constraint

Increasing Approach (CIA), is used to solve Sudoku puzzles. The
main contribution of this paper is the solution of Sudoku with a
reduction of search space by increasing constraint and reducing
execution time. The proposed methodology has been
implemented using C++ and has been tested on many Sudoku
puzzles of different level of difficulty. The CIA was able to solve
majority of Sudoku problem in under a second. The performance
of the CIA is found to be better than the existing methodologies
described in the literature.
Keywords Sudoku, CIA, Harmony search,
Simulated Annealing, Cultural Genetic Algorithm
Debotosh Bhattacharjee, 3Mita Nasipuri
Each 3x3 sub-grid is also only allowed to contain the

integers one through to nine exactly once.
This paper is organized as follows: Section II gives the

related works on Sudoku puzzle. Section III describes the
proposed algorithm. Finally, the experiment results and the
conclusion are furnished in Section IV and Section V
respectively.
II.
RELATED WORK
There are a lot of methodologies discussed in the literature

to solve the Sudoku puzzle. Kovacs et al. [8] used brute force
methods to solve Sudoku puzzles. The simplest method
randomly assigns number to the empty cells and checks
whether it is a valid solution. If not this process is repeated
until a solution is found. While this method worked well for
easy problems and took large amount of time. In 2007, Mantere
and Koljonen et al. [9] used genetic algorithm (GA) to solve
Sudoku puzzles. In 2008, they suggest an improved GA based
on GA with cultural learning to solve Sudoku puzzles [10].
Nicolau and Ryan et al. [11] implements a GA with
grammatical evolution to solve Sudoku puzzles. This method
was unable to solve all problems. This algorithm not attempt to
reduce the computation time. Sato et al. [12, 13] attempt to
reduce the computation time of GAs in solving Sudoku puzzles
by taking multi-core approach to the implementation of the
GA. A multiple-population coarse-grained GA is used to solve
Sudoku puzzles. Geem et al. [14] proposed a method of
applying the harmony search to solve Sudoku puzzles. The
harmony search is a very intriguing search algorithm that
mimics the characteristics of a musician. This algorithm
263 of 446
follows different behaviors of musicians including memorybased play, random play and pitch-adjustment play. The
performance of this algorithm is mediocre at best. The
harmony search algorithm was able to solve easy Sudoku
puzzles in less than 300 iterations and under 10 seconds.
Satyendra Nath Mandal and Soumi Sadhu et al. [15] proposed
an efficient approach to solve Sudoku Problem by Harmony
Search Algorithm. This algorithm was able to solve easy
Sudoku puzzles in 57 iterations. But compute time was not
specified in that paper. In 2007, Herzberg and Murty et al. [16]
proposed formulating the Sudoku puzzle as a graph coloring
problem. This algorithm does not actually attempt to solve the
Sudoku puzzle and it does not provide any measurable result.
Perez and Marwala, et al. [17] proposed a cultural GA
approach to solve Sudoku puzzles. This approach includes
variant of GA and a belief space and an influence function.
This was able to solve Sudoku puzzle. Perez and Marwala et al.
[17] also proposes a quantum simulated annealing approach to
solve Sudoku puzzles. QSA is different from SA in that the
tunneling strength determines the neighborhood radius. Results
reported were that in the best case the algorithm took 65
seconds to run and found the solution after 42,700 iterations.
Perez and Marwala, et al. [17] also proposes a hybrid method
combining simulated annealing with genetic algorithms to
solve the Sudoku puzzle. This algorithm uses the genetic
algorithm to get close to an optimal solution and then controls
simulated annealing to find the optimal solution. Over 20 runs
this algorithm took between 1.447 seconds and 3 minutes to
solve the Sudoku puzzle. But these methodologies fail to
reduce the number of iterations to solve a problem. They are
also unable to solve all kind of problems.
III.
Algorithm 1
Algorithm Find_ X(S)
//S is given Sudoku puzzle.
{
for r = 1 to 9
for c = 1 to 9
If ( cellrc is empty)
Find all possible values of set Xrc
}// End of Algorithm
This section describes the constraint increasing approach

(CIA), that has been implemented to solve Sudoku problems in
this paper. CIA comprises of following three steps. (A) the first
step finds the set of all possible number for each empty cell.
(B) the second step is column checking and (C) the third step is
row checking.
A. Find set of all possible number (X) for each empty cells
For a given Sudoku problem S, all empty cells (r, c) of S
are assigned to Xrc. In other words, Xrc is a set of all possible
assignment number according to constraints. The pseudo code
for finding set of possible number for each empty cell is listed
in algorithm 1. The effect of applying Algorithm 1 to the
problem of Fig 1 is illustrated in Fig 2. For example, suppose
the set value of X11 is to be calculated. To find X11, Row-1,
Column-1 and Block-1 are to be checked. Now from Row-1, it
is to be found that X11 does not contain the values {2, 7, 1, 4}
as they are already given in the row. Hence the possible values
for X11 are {3, 5, 6, 8, 9}. Again from column-1, it is clear that
X11 can not the value {3, 1, 5, 9}. So, now the possible values
of X11 are reduced to {6,8}. Finally, Block-1 says that X11 can
not contain the values {2, 3, 1, 7} and as the possible values of
X11 do not contain these values, so the set is unchanged for X11.
Therefore, the final possible values of set X11 is {6, 8} as
shown in Fig. 2.
4
1
S
E
I
CONSTRAINT INCREASING APPROACH (CIA)
B. Column checking
This checking operation is applied to each empty cells of
each row of the Sudoku grid. The pseudo code for the column
checking operation is listed in algorithm 2. The column
checking operation attempts to place the unique numbers to the
empty cell and delete that number from all Xrc of that row and
block containing the cell. For example, consider the 3rd row
and 7th column (cell3,7 ) of Sudoku grid in Fig 1. The possible
values of cell3,7 are (3,9). But after checking the corresponding
column, it is found that 3 can not be placed in any row of that
column except row 3. That is why, element 3 is unique for
cell3,7 . So, the cell3,7 is assigned to 3 and element 3 is deleted
from all set Xrc of 3rd row and 3rd block . After that, the number
3 becomes a constraint of the Sudoku grid. The column
checking operation is applied to each cell of all rows of the
Sudoku grid sequentially. The effect of applying this method to
the grid shown in Fig. 2 is illustrated by the shaded cells in Fig.
3.
Algorithm 2
Algorithm Column_Checking(S)
{
for r = 1 to 9
for c = 1 to 9
if (any unique element x is found in column c
for Xrc ) then
{
Xrc = x;
Delete x from all set X for rth row and
current block ;
}
C. Row Checking
Like the column checking operation, the row checking
process is applied to each empty cells of each row of the
Sudoku grid. The pseudo code for the row checking operation
is listed in Algorithm 3. The row checking operation also
attempts to place the unique numbers to the empty cell and
delete that number from all set X of that column and block
containing the cell. After that the unique number becomes a
constraint of the Sudoku grid. The row checking operation is
applied to each cell of all rows of the Sudoku grid
sequentially. The effect of applying this to the grid in Fig 3 is
illustrated by the shaded cells in Fig 4. Final solution of the
Sudoku is obtained by repeated application of Column
264 of 446
checking and Row checking operation. The solution to the

Sudoku puzzle in Fig 1 is illustrated in Fig 5.
Algorithm 3
Algorithm Row_checking(S)
{
for r = 1 to 9
for c = 1 to 9
if (any unique element x is found in row r
for Xrc) then
{
Xrc = x;
Delete x from all set X for cth column and
current block;
}
Fig. 3. Application of Column checking operation
4
1
Fig. 1. Sudoku puzzle
S
E
I
Fig. 4. Application of Row checking operation
8
3
1
4
2
5
9
6
7
6
5
7
1
3
9
2
4
8
2
4
9
6
8
7
1
5
3
7
9
8
3
6
1
5
2
4
3
2
4
9
5
8
6
7
1
5
1
6
7
4
2
3
8
9
1
8
3
2
7
6
4
9
5
4
6
5
8
9
3
7
1
2
9
7
2
5
1
4
8
3
6
Fig. 5. The solution of the Sudoku puzzle shown in Fig. 1
IV.
EXPERIMENTAL RESULT
The proposed methodology has been tested on the

following problems of varying difficulty level:
Fig. 2. Application of find set operation
(i)
(ii)
(iii)
(iv)
(v)
The problems presented in Sato(2010)

100 easy Sudoku Prob. 1 (Moritz Lenz June 8, 2008)
Week 30 to 36 level easy ( www.colinj.co.uk)
Week 30 to 36 level medium ( www.colinj.co.uk)
Week 30 to 36 level hard ( www.colinj.co.uk)
265 of 446
The CIA methodology has been implemented using C++

and the configuration of the machine, on which it has been
tested, is as follows:
5
4
3
8
9
6
7
1
2
Processor: Intel Core i3

RAM: 4 GB
OS: Windows 7 Professional
Success rate and computation time is shown in Table I.
TABLE I.
SUCCESS RATE AND COMPUTATION TIME FOR FINDING

SOLUTION OF SUDOKU PUZZLE
Problem
Success
rate in %
Easy ( No. 1 & 11) (Sato 2010)

Medium (No. 27 & 29) Sato 2010)
100 easy Sudoku Nr.1 (Moritz2008)
Week 30 to 36 level easy
(www.colinj.co.uk)
Week 30 to 36 level medium
(www.colinj.co.uk)
Week 30 to 36 level hard
(www.colinj.co.uk)
2
6
9
3
1
7
8
4
5
1
7
8
5
4
2
3
9
6
6
5
4
9
3
8
1
2
7
3
2
7
4
6
1
5
8
9
9
8
1
2
7
5
4
6
3
4
9
2
1
5
3
6
7
8
8
3
6
7
2
4
9
5
1
7
1
5
6
8
9
2
3
4
Fig. 9. The solution of the Problem given in Fig. 8
Runtime(sec)
2
100
50
100
100
0.0150- 0.0160
0.0160
< 1ms
<1ms
98
0.0150 0.0160
96
0.0150 0.0160
3
1
1
8
2
7
6
6
7
2
5
5
9
1
5
8
5
3
6
7
8
3
4
6
5
8
9
3
7
1
2
9
7
2
5
1
4
8
3
6
7
9
Fig. 10. Example of a Hard Sudoku puzzle
Sample Sudoku puzzles and their solutions of different

difficulties level have been shown in Fig. 6 to Fig. 11.
9
5
3
5
8
7
6
4
3
9
1
7
3
2
6
9
2
5
8
7
5
9
4
3
2
S
E
I
6
Fig. 6. Example of an Easy Sudoku puzzle

8
5
1
7
2
4
3
9
6
6
4
2
3
9
1
7
8
5
5
9
6
4
3
2
8
1
7
2
8
7
6
1
5
9
4
3
1
3
4
8
7
9
6
5
2
7
1
9
2
5
6
4
3
8
3
2
8
1
4
7
5
6
9
4
6
5
9
8
3
2
7
1
Fig. 7. The solution of the Sudoku puzzle in Fig. 6
5
3
9
6
2
9
6
5
4
9
9
8
6
1
1
8
2
7
5
4
6
3
6
8
6
5
7
1
3
9
2
4
8
2
4
9
6
8
7
1
5
3
7
9
8
3
6
1
5
2
4
3
2
4
9
5
8
6
7
1
5
1
6
7
4
2
3
8
9
4
1
8
1
9
7
3
5
6
8
1
2
4
8
3
1
4
2
5
9
6
7
1
8
3
2
7
6
4
9
5
Fig. 11. Solution of the Problem given in Fig. 10
The performance of the CIA was compared to the existing

methodologies described in the literature. Table II shows that
Harmony Search, Quantum Simulated Annealing, Cultural
Genetic Algorithm and Hybrid (GA & SA) methods cant
solve the medium and hard sudoku problem. They can solve
only easy problem. But Brute Force and CIA methods are able
to solve Easy, Medium and Hard Sudoku problems, though
Brute Force takes more time than CIA to solve a grid. The
other existing methodologies like Harmony Search [14],
Quantum Simulated Annealing [17], Cultural Genetic
Algorithm [17], and Hybrid (GA & SA) methods [18] can
solve only easy Sudoku problems. On the other hand, the
Sudoku problems which were solved by Z. W. Geem [14]
using Harmony Search in 9 seconds, CIA can solve it in
0.015.second as shown in Table 3. Moreover, the proposed
methodology is also better than the Quantum Simulated
Annealing [17], Cultural Genetic Algorithm [17], and Hybrid
(GA & SA) methods [17] in respect of computational time to
solve a Sudoku puzzle which is shown in Table 4.
Comparative study among various methods has been shown in
Table II to Table IV.
Fig. 8. Example of a Medium Sudoku puzzle
266 of 446
TABLE II.
COMPARATIVE STUDY AMONG PROPOSED METHODOLOGY

AND EXISTING METHODOLOGIES
Sudoku Puzzle
[3]
Methodology
Easy
Brute force [8]

Harmony Search [14]
Quantum Simulated Annealing [17]
Cultural Genetic Algorithm[17]
Hybrid( GA&SA) [17]
CIA
Medium
[4]
Hard
X
X
X
X
X
X
X
X
[5]
[6]
[7]
TABLE III.
COMPARATIVE STUDY BETWEEN HARMONY SEARCH
METHOD AND CIA IN TERMS OF COMPUTATION TIME
Sudoku Puzzle
Sudoku puzzle specified at [14]
Harmony Search
9 Sec
[8]
CIA
0.0150 Sec
[9]
TABLE IV.
COMPARATIVE STUDY AMONG QUANTUM SIMULATED
ANNEALING, CULTURAL GA, HYBRID METHOD AND CIA IN TERMS OF
COMPUTATION TIME
Sudoku Puzzle
Quantum
simulated
annealing
Cultural
Genetic
Algorithm
Sudoku puzzle
specified at[17]
65 Sec
28 Sec
Hybrid
( GA
& SA)
1.447
Sec
[10]
CIA
[11]
0.016
Sec
[12]
V.
CONCLUSION
This paper presents a new methodology called Constraint

Increasing Approach (CIA) to solve a Sudoku puzzle. The
main contribution of this paper is the solution of Sudoku with a
reduction of search space by increasing constraint and reducing
execution time. Our Constraint Increasing Approach (CIA)
outperforms the existing popular approach with lower runtime.
The implemented strategy is enough to find the solution of
many Sudoku problems. Parts of our future works are adding
some features to solve super difficult level Sudoku.
[13]
[14]
[15]
[16]
[17]
ACKNOWLEDGMENT
[18]
[19]
[20]
[21]
[22]
REFERENCES
[1]
[2]
http://www.conceptispuzzles.com/index.aspx?uri=puzzle/sudoku/rules.
Henz, M., Truong, H.M. 2009. SUDOKUSAT A Tool for Analyzing
Difficult Sudoku Puzzles. Tools and Applications for Artificial
Intelligence, Studies in omputational Intelligence, Vol. 166, 25-35.
4
1
S
E
I
Authors are thankful to the "Center for Microprocessor

Application for Training Education and Research", "Project on
Storage Retrieval and Understanding of Video for Multimedia"
of Computer Science & Engineering Department, Jadavpur
University, for providing infrastructural facilities during
progress of the work. One of the authors, Mr. Ranjit Kumar
Mandal, is thankful to Government College of Engineering and
Ceramic Technology, Kolkata for kindly permitting him to
carry on the research work. Another author, Dr. Santanu
Halder, is thankful to Government College of Engineering and
Leather Technology, Kolkata for kindly permitting him to
carry on the research work.
Pelanek, R. 2011. Difficulty Rating of Sudoku Puzzles by a

Computational Model. In Proceedings of the 2011FLAIRS conference,
http://www.fi.muni.cz/~xpelanek/publications/flairs-sudoku.pdf.
Jilg, J. and Carter, J. 2009. (c - international conference) sudoku
evolution - solving Sudoku with ai-related algorithms. In ICE-GIC
International Consumer Electronics Society Games Innovation
Conference, Imperial College, London.
Delahaye, J.P. 2006. The Science Behind Sudoku. Scientific American,
81-87.
Lewis, R. 2007. Metaheuristics can Solve Sudoku Puzzles. Journal of
Heuristics, Vol. 13, Issue 4, 387-401.
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Science,
University
of
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http://www.cs.bris.ac.uk/Publications/Papers/2000948.pdf.
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[23]
[24]
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Kinematic synthesis of six bar gear mechanism

Santosh Ku. Sahu
Prof. V. P. Singh
Student, Department of Mechanical Engineering

National Institute of Technology, Kurukshetra
Haryana-136119
Email: mailmesantosh008@gmail.com

Haryana -136119
Email: Singhvijay@nitkkr.ac.in
AbstractThe study focuses on the kinematic synthesis of six bar

geared mechanism. The mechanism leads to generate desired
complex functions by using function generation. For this study, a
series of four gears are placed at specific position of six bar
mechanism. Geared linkages often present better transmission
characteristics and greater ranges of input and output rotation
than pivoted linkages. The method of complex numbers is well
suited for the synthesis of geared linkages, and is therefore
applied in the present paper to develop the equations for
synthesis of six bar geared mechanism by function generator.
Six bar geared linkage will help in packaging and robotic
industry where accuracy is the main consideration. Six bar
geared linkage will transmit the exact joint vector due to its high
mechanical stiffness. The study also focuses on Kinematic
synthesis of N-bar geared linkage which will help in future for
higher number synthesis of geared linkage. The procedure of
evaluating the joint parameter has also been discussed in this
paper. It has been found that mechanism is not only stiff but also
evaluates some special functions which are difficult to evaluate in
other method.
sequence. The body to be guided is attached to any floating

link. Function generation includes functional relationship
=f (), relates the rotation of the input crank and output link.
It is the mechanism in which the main task of designer to
synthesize a linkage which capable of generating the desired
function. Example: - In a packaging machine it is necessary to
connect input shaft and output shaft, so that at a prescribed
dwell period and timing output shaft will oscillate while the
input shaft rotates continuously. For a dwell period a simple
five bar gear mechanism as shown in fig.1 can be design:
INTRODUCTION
S
E
Keywords: Synthesis, Gear, Robotic, Packaging
The analysis and synthesis of kinematic structure of geared

kinematic chain has been the subject from number of years.
Geared linkage readily lend themselves to function, path and
motion generation. Function generation includes any problem
in which rotation or sliding motion of input and output
elements (either links or gears) must be correlated. In some
cases, the designer may want to produce a formal relationship
between the input and output. In these cases, input and output
relation can be used as the linear analogous of the independent
and dependent variables. In other cases, the designer has no
particular functional relationship in mind, but merely wants to
produce specific relationship between the input and output at
certain precision point. Path generation involves moving a
tracer point along a specified path. A point attach to any
floating link (such as coupler) may be used as tracer point. In
Motion generation, whole body is to be guided through motion
4
1
Fig.1 Dwell mechanism
Dwell mechanism has numerous applications in industry, in

machine tools, packaging, textile machinery, process
machines, and automation. The intermittent motion can be
produced by Geneva mechanism, ratchet mechanism or by
other linkages. Geared linkages are useful mechanism, which
can be formed by combining planar linkages with one or
more pair of gears. For dwell a cardan gear in fig.1.a can be
design which is used to convert rotary to linear motion
without using linkages or slide ways.
Fig.1.a Cardan gear for dwell
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Where "" input angle," " is intermediate angle, is

output angle. Above equation can be written in matrix form
as follows:
MATHEMATICAL MODELING OF KINEMATIC

SYNTHESIS OF N-BAR GEARED LINKAGE:
Consider a mechanism of the type of fig.2. Assuming a chain
of gear pair. " is angular displacement of link L2 shown
on fig. from its starting position. angular displacement of
link L3 from its starting position. is angular displacement
of link from its starting position, angular
displacement of link from its starting position.
0
0
0
1
0
1
0
0
3 1 3
1
0

0
0 n 2 1 n 2
0
0
0
0
0 2
0 3

0 0
=
0 0
1
0 0

1 n
Matrix G is the characteristic matrix of the mechanism,

describing how the angular displacement of the member is
related. The vector W has three non-zero element describing
how the angle can be calculated.
Fig.2 N-Bar geared linkage
In a geared linkage, the pair of gears as shown in fig.3
correlated as angle of rotation of link as,
4
1
S
E
Fig.3 Pair of gear

+1 = 1 + 1
Where = teeth ratio for pair of center of

connected with link Lj
1Tj
. = 2Tj + 1
From fig.2 the angles are related as follows:
2 =
3 =
1 = 2 3 3 + n3
=
Rearranging:
2 =
3 =
3 1 2 3 3 + 4 = 0

2 1 3 2 2 + 1 = 0
=
Fig.4 Link vector with angle

GEARED SIX BAR
The general approach to the synthesis of geared six bar

mechanism is shown as follows in fig.5:
gear which are
Fig.5 Geared six bar

Fig. shows the mechanism in the jth position with the links
represented by the complex number of the form:
= +
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1
e i 2
e i 3
i 4
e
e i5
T1,T3,T4 and T6 are the tooth number for various gears. The
link rotation measured from the first precision and the
relationship between 1st and jth position are given bellow:
1 = 11
2 = 12
3 = 13
4 = 14
5 = 15
6 = 16
Where, = 1 +
e
e im3
e
e
e i[ n 3 (1 n ) 3 ] e i 3
e im 4
e im5
e i[ n 4 (1 n ) 4 ] e i 4
e i[ n 5 (1 n ) 5 ] e i 5
To develop the second gear constraint equation, first imagine

link 6 is fixed as shown in figure:
4
1
= + hcos
21
2
1 = 0.5 + 0.5 cos
=
Where = 1 +
S
E
Fig.6 With one link fixed

Then with link 6 is fixed
1
e
e i 3
e i 4
e i 5
i 2
For this case let n=5, a=0.5, h=0.5
Or =
i 2
21
(1)
Due to two pair of gear, there are two relationships involving
angular rotation of various links. Therefore two of this
angular rotation can be eliminated in terms of other rotation.
The first gear constraint gives:
1+
6
4
Now with link 6 free to rotate:

= +
= j + j
= + 1 j
2 = 0.5 + 0.5 cos

3 = 0.5 + 0.5 cos
4 = 0.5 + 0.5 cos
5 = 0.5 + 0.5 cos
For = 5
1 = 0.8835
2 = 0.3154
3 = 0.0313
4 = 0.0004
5 = 0
=
=
Now we have to synthesize a geared six bar mechanism of

five precision points. For displacement angle specified for
and j measured from starting position. The first equation
which describes the mechanism in starting position and
synthesis equation for this mechanism consist of the
following:
Z 12
Z
13
Z 14 =

Z 15
Z 16
Z11
Z
11
Z11

Z11
Z11
= + cos
2
Where,
a: mid-point of the interval
h: one half of the length of the interval
n: number of precision point
: At specific precision point
k= 1, 2 - - - - 5 for five precision point
Suppose we have to design the mechanism to generate the
function of example 1 of table 2.
= 5
In the interval 0x1
The spacing of the precision point can be accomplished by
choosing chebyshev spacing. A simple formula provides the
determination of spacing to be used to minimize the error.
2 + 3 + 4 + 5 + 6 = 11
12 + 13 + 14 + 15 + 16 = 11
= 1 +
1
i[ n2 (1 n )2 ]
Chebyshev spacing of five precision points:
The link vector can be related as vector equation of closure.

From first order equation of closure is-
1
im 2
1

1

= 1,2, 5
21
25
41
25
61
25
81
25
101
25
= 0.975530
= 0.793849
= 0.50000
= 0.206105
= 0.024470
: Input angle from 1 to position j

: Output angle from 1 to position j
And : jth precision point
And : limits of ranges (higher)
And : limits of ranges (lower)
In this case x = 1 and y = 1
Hence = 1
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= 1
By varying the values of and the designer can obtain
an infinity verity of solutions provide that all other
mechanism specification held constant. In this example
= 90 , = 60 while assigned values of2 ,3 , 4 and
5 can be seen in table 2.
TABLE .1.DETERMIING OF NUMBER OF PRECSISION POSITION
FOR WHICH THE GEARED SIX BAR MECHANISM
CAN BE
SYNTHESIZE FOR PRESCRIBED INPUT AND OUTPUT ROTATION
ONCE THE GEAR RATIOS ARE SPECIFIED
It has been seen that up to five precision points, values are

arbitrarily picked. For six, seven, eight and nine only some
of known values are chosen, and for solution of unknown
values non linear compatibility procedure can be used. Thus
only up to five precision points the system of equation is
linear beyond which nonlinear compatibility solution
becomes necessary in the solution.
Precision Real
Real
position equations unknowns
12 , 13 , 14 , 10
15 , 16
12 , 13 , 14
15 , 16 ,2
10
14
18
22
b=
x=
4
1
The notations being
S
E
12 , 13 , 14
15 , 16 ,2 ,3 , 17
4 , 5 ,6 , 7 ,
8
12 , 13 , 14 18
15 , 16 ,2 ,3 ,
4 , 5 ,6 , 7 ,
8 ,9
12 , 13 , 14
15 , 16 ,2 ,3 , 13
4
12 , 13 , 14
15 , 16 ,2 ,3 , 14
4 , 5
12 , 13 , 14
15 , 16 ,2 ,3 , 16
4 , 5 ,6 , 7
12 , 13 , 14
12
15 , 16 ,2 ,3
12
16
11
12 , 13 , 14
15 , 16 ,2 ,3 , 15
4 , 5 ,6
The value of m and n should be chosen so as to give

convenient gear ratio. Although all of the free choices taken
The system of equation is linear with unknown link vector as
12 , 13 , 14 , 15 And 16 .The equation here solved by
matrix inversion method using MATLAB and using
numerical solving of complex linear system of real and
complex parts as follows:
Arbitrary
Number
choices
of real
unknowns
2
=
0(finite)
=
a r 11
r
a 21
ar
31
ar
41
br 1
r
b 2

br
n
a c 11
c
a 21
ac
31
ac
41
a r 12
a r 22
a r 32
a r 1n
a r 2n
a r 3n
a r 42
a r 4n
, =
xr 1
r
x 2

xr
n
a c 1n
a c 2n
a c 3n
a c 42
a c 4n
a c 12
a c 22
a c 32
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bc 1
c
b 2

bc
n
, =
xc1
c
x 2

xc
n
[6] Kwun-Lon Ting, Mobility criteria of geared five bar linkage

journal of mechanism and machine theory Elsevier, 1994, vol.29,
pp251-264.
[7] R.Militaru, Ioan Popa, On the numerical solving of complex
linear system International journal of pure and applied
mathematics,2012,volume.76,pp113-12.
After following the above steps we will get the link vector
which is our main task. The detail solution is discussed in
Table.2.
TABLE.2
Example
Function
Range
Scale
factor
Gear
ratio
1
= 5
01
= 90
= 60
1 2 6 6
= , =
3 6 4 2
2
= 1.5
01
= 90
= 90
1
1 6
10
Link
vector
12 = +0.7894 +
0.4652
13 = 0.4238
0.4427
14 = 0.0043 +
0.0127
15 = +0.6985
0.0811
16 = 0.0597 +
0.0458
12
13
14
15
16
Arbitrary 2 = 4 ,3 = 8 ,
link
4 = 12 ,5 = 16
= 0.8531 0.6841
= 0.2735 0.5589
= 0.0098 + 0.0044
= 0.3313 0.0646
= 0.0793 + 1.3031
4
1
S
E
2 = 0 , 3 = 20 , 4 = 40
5 = 60
REFERENCES
[1] Dan Gibson, Steven Kramer Kinematic design and analysis of

rack and gear mechanism for function generation. Journal of
Mechanism and machine theory, 1984, vol.19, pp369-375.
[2] George N.Sandor, D.R.Wilit Optimal synthesis of a geared
four link mechanism journal of mechanism, 1968, vol.4, pp 291302.
[3] D.Mundo,G.Gatti,D.B.Dooner Optimized five bar linkages
with noncircular gear journal of mechanism and machine
theory,2009 vol.44,pp751-760.
[4] V.Parlakta, E.Soylemez, E.Tanik On the synthesis of a geared
four bar mechanism journal of mechanism and machine theory,
Elsevier, 2010, vol.45, pp1142-1152.
[5] Arthur G.Erdman and G.N.Sandor, Kinematic synthesis of
geared five bar function generator ASME journal of engineering
for industry, 1970, vol.93.
272 of 446
A Simulation Based Geometrical Analysis of MEMS

Capacitive Pressure Sensors for High Absolute
Pressure Measurement
Priya Singha Roy
Madhurima Chattopadhyay
AbstractIn this paper two MEMS capacitive pressure

sensor with varying geometries are analyzed in Finite Element
Method (FEM) based Multiphysics simulation platform. The
geometries are very common, parallel plates with spring loaded.
In first stage, the shape of the parallel plates is circular and in
next stage, we have studied the same capacitive pressure sensor
with square shaped parallel plates. Both of the sensors are
designed in such a fashion that their area are equal and then
analyzed in order to sense better absolute pressure variations.
These types of pressure sensors can withstand a wide range of
absolute pressure from kilo Pascals to several order of mega
Pascals. Mechanical, electromechanical as well as material
studies were performed in the Finite Element Method based
Multiphysics simulation platform.
KeywordsCapacitive pressure sensor; MEMS; deflection of
diaphragm; Finite Element Method (FEM); absolute pressure.
I.
Deborshi Chakraborty
Dept. of Applied Electronics and

Instrumentation Engineering
Heritage Institute of Technology,
Kolkata: 700 107, India
e-mail:madhurima02@gmail.com
Dept. of Applied Electronics and

Instrumentation Engineering
Heritage Institute of Technology,
Kolkata: 700 107, India
e-mail: psroy19@gmail.com
The microfabricated pressure sensor is one of the most useful,

developed MEMS device used in a wide range of applications.
Most pressure sensors which are based on piezoresistive effect
are most common type and widely used. However in the past
years capacitive pressure sensors have received attention due
to several advantages in comparison to piezoresistive pressure
sensor. The main disadvantage of the piezoresistive pressure
sensor is the inherent temperature dependence of
piezoresistive coefficients [1].Capacitive pressure sensor has
lower power consumption than piezoresistive pressure sensor
[2]. But piezoresistive pressure sensor most widely used than
capacitive pressure sensor because of two reason; capacitive
structure is more complicated to fabricate and the capacitive
sensing principle is sensitive to parasitic capacitances. The
structure of the capacitive pressure sensor is more
complicated, because it involves formation of a cavity that
separates the two sensing electrodes from each other.
Formation of such a cavity is done in two different ways. For
first case multiple film depositions and etch of a buried
sabscrificial layer [36] or in second case bonding after the
cavity has been etched into one of the wafer. Wafer bonding
is done by fusion bonding of two silicon wafers [79] or
anodic bonding of a silicon wafer and a glass wafer [10, 11].
Capacitive pressure sensors are required in applications

including bio-medical systems, environmental monitoring and
industrial process control. Capacitive pressure sensors provide
low noise, high sensitivity, have low temperature sensitivity
and are preferred in many emerging high performance
applications and can with stand a lot of vibration.
Micromachined capacitive pressure sensors have typically
used an elastic diaphragm with springs and a sealed cavity in
between the diaphragm and the substrate below. There is a
pair of parallel plate which forms capacitor. Lower plate is
fixed and upper plate acts as movable plate which is attach
with spring and four boundaries are fixed. Pressure is applied
on upper plate; it deforms which changes the distance between
two plates due to this capacitance changes. The change of
capacitance is used for measuring pressure.
This paper explores the design parameters of MEMS
based diaphragm type capacitive pressure sensor using FEM
(Finite Element Modeling) [12] based Multiphysics software.
Here, two different shaped diaphragms with same area are
designed for sensing high absolute pressure. Mechanical and
electromechanical studies are performed. The analyzed results
are in the form of 2-D plots in section III as results and
discussion. The outcome of this designed sensors are discussed
and compared against their efficiencies. The concluding
remarks from these analyses are described in section IV.
4
1
S
E
I
INTRODUCTION
Dept. of Instrumentation Science

Jadavpur University
Kolkata: 700 032, India.
e-mail: dcphy123@gmail.com
II.
METHODS AND MATERIALS
A. Mathematical modeling
The maximum stress for circular diaphragm is given by
And the maximum deflection of the circular plate occurs at the

centre position of the plate [13]
(2)
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The maximum stress at the middle of each edge for square

diaphragm is given by
(3)
The dimensions of both the square and circular shaped

capacitive pressure sensor is provided below.
The maximum deflection for square diaphragm is given as [14]

(4)
Where, W = total force acting on the plate, h is the diaphragm

thickness, a is the radius of the circle, E is the Youngs
Modulus, is the Poissons ratio and m is the reciprocal of
the Poissons ratio [13]. Eq. 1- 4 are used for performing the
analytical analysis of the designed MEMS based capacitive
pressure sensor.
The capacitance between two parallel electric conductive plates
can be written as,
C=
(5)
Where c is capacitance,
is dielectric constant of vacuum
is the dielectric constant of material. A is the area in
between two electrode plates and d is the gap between two
electrodes plates.
Based on Hookes law, the change in thickness in the dielectric
layer is the proportional to the pressure and original
thickness(Eq. (6)).There for, the relationship between the
applied pressure and the capacitance change can be expressed
as Eq.(6) and Eq.(7).
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E
I
Where
change in thickness of dielectric layer when
pressure is applied,
is original thickness of dielectric
layer.
is applied external pressure, is original capacitance
when any pressure is not applied and
is change in
capacitance due to the pressure applied .
B. FEM modeling
Finite Element Method (FEM) is used to predict mechanical
response to a load, such as force or moment applied to a part
of the constructed model. This part is to be simulated is
broken down into small discrete element this procedure is
called meshing. Each element has a no. of nodes and its
corners at which it interacts with neighboring element. Thus
the system Partial Differential Equation (PDEs) is assumed to
be linear element within the nodes and is solved in FEM based
Multiphysics computation platform.
C. Sensor layout
For design purpose, the two different geometries (circular and
square) of the diaphragm are designed in FEM based
Multiphysics simulation platform in such a way that their area
between the plates is made similar. Both cases there are two
plates. Lower one is fixed and upper one is movable. Pressure
is applied on upper plate. Distance between two plate changes
when pressure is applied and due to this capacitance changes.
Side length of square diaphragm= 60 m
Radius of circular diaphragm= 33.84 m
Thickness of diaphragm= 1.5 m
Separation gap between the plates=3.0 m
(6)
(7)
4
1
Fig. 1.Cross-section and 3D view of the sensor geometries
D.Material Analysis
TABLE I. SOME PHYSICAL PROPERTIES OF SILICON, POLYSILICON AND

SILICONCARBIDE
Properties
Materials
Youngs
Modulus
Poissions
Ratio
Density
Thermal
Expansion
Coefficient
Thermal
Conductivity
Relative
Permitivity
Silicon
Polysilicon
Silicon
Carbide
170e9[Pa]
160e9[Pa]
748e9[Pa]
0.28
0.22
0.45
2329[kg/m ]
2320[kg/m ]
3216[kg/m3]
2.6e-6[K-1]
2.6e-6[K-1]
4.3e-6[K-1]
130[W/(m*K)]
34[W/(m*K)]
490[W/(m*K)
]
11.7
4.5
9.7
The physical properties of silicon polysilicon and silicon

carbide are noted in Table I. These properties are used in
performing the analysis of the two designed MEMS based
capacitive pressure sensor model in FEM based Multiphysics
software.
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III. RESULT AND DISCUSION

A wide range of mechanical and electromechanical studies
and also materials studies of the proposed two geometrical
structures have been performed in the FEM Multiphysics
Software platform. The detailed of the analysis is provided in
the below sections.
A. Mechanical and electromechanical study
In performing the analysis for both the designed geometries it
is seen from the Fig. 2(a, b) that for a range of applied pressure
in both square and circular diaphragms, the maximum
deflection occurs at the centre of the diaphragm. Fig. 3 shows
that for a particular pressure range the maximum deflection for
the square diaphragm is higher in comparison with that of the
circular shaped when diaphragm area are same. The effect of
the variation of the distance between the two plates is studied
in Fig. 4. Thus an increase of the separation between the plates
leads to decrease of the capacitance value for both in the
circular shaped as well as for the square shaped geometries.
When pressure is applied to the plate the distance between two
plates will be decreased and as a result the capacitance will be
increased. The applied pressure vs. change in capacitance is
shown in Fig. 5 where in circular geometry pressure sensor
shows a linear variation of the capacitance for a wide range of
the applied pressure and for a square geometry a non linear
variation of the capacitance is obtained as shown in Fig. 5. But
for a particular pressure the value of the capacitance for square
geometry is higher compared to that for the circular geometry.
A variation of the thickness of the diaphragm for circular and
square shaped for their pressure response capability is shown
in Fig. 6 and 7.
Fig. 3.Plot of maximum deflection vs. applied pressure (0.1 MPa-7 MPa)
for both square and circular shaped diaphragm
4
1
Fig. 4.Plot of capacitance with the variation of the distance between the
plates
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E
I
Fig. 2.Plot of applied pressure vs. deflection of the pressure sensor (a) square
geometry (b) circular geometry
Fig. 5. Plot of the change in capacitance with the applied pressure

(0.1-7 MPa) for circular and square shaped geometries
Fig. 6. Plot of the deflection with diaphragm thickness (1.0, 1.5 , 2m),
with the range of applied pressure from (0.1-1 MPa) for circular shaped
diaphragm.
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Fig. 7. Plot for the deflection with various diaphragm thickness (1.0, 1.5 ,
2m), with the range of applied pressure from (0.1-3 MPa) for square shaped
diaphragm.
Fig. 11. Plot of change in capacitance with the applied pressure (0.1-1 MPa)
for square shaped diaphragm of different thickness.
It is been analyzed from fig.6 and 7 that with the increase of

the thickness of the diaphragm for both case of the square and
circular shaped diaphragm for a particular pressure the
deflection gradually decreases. It is also studied that when
diaphragm thickness increases then pressure withstand
capability also increases.
Due to change in thickness
maximum pressure handling capability of diaphragm also
changes. It is analyzed that for 1 m circular diaphragm
maximum pressure withstand 3MPa and for 2 m maximum
pressure handling capability 20 MPa. Similarly, the for a
higher value of diaphragm thickness the capacitance as well as
the change in capacitance for a particular range of pressure in
square and circular shaped diaphragm is less compared to the
diaphragm having lesser value of thickness. This analysis is
shown in Fig.8-11.
4
1
Fig. 8. Plot of the capacitance with the applied pressure (0.1-3 MPa) range for
circular shaped diaphragm of various thickness.
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E
I
B. Material Study
Three materials are chosen for diaphragm material, Silicon,
Polysilicon and Silicon Carbide. Applied pressure vs.
diaphragm maximum deflection and change in capacitance is
measured. Fig. 12 and Fig. 13 shows that for a particular
pressure the deflection as well as the change in capacitance of
polysilicon type diaphragm is greater compared to the silicon
and silicon carbide type diaphragm.
Fig. 9. Plot of the change in capacitance with the applied pressure (0.1-3 MPa)
for circular shaped diaphragm of different thickness.
Fig. 10. Plot of capacitance with the applied pressure (0.1-1 MPa) for square
shaped diaphragm of different thickness
Fig. 12. Deflection of the diaphragm ( Circular and squared shaped) for a
particular pressure range 0.1 -7 MPa with silicon, polysilicon and silicon
carbide as diaphragm material.
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[7]
[8]
[9]
[10]
[11]
[12]
Fig. 13. Change in capacitance (Circular and squared shaped) for a particular
pressure range 0.1-7 MPa with silicon, polysilicon and silicon carbide as
diaphragm material.
[13]
[14]
[15]
Thus polysilicon provides a higher sensivity in various

applications when chosen as a diaphragm material. silicon is
more preferable than silicon carbide. When youngs modulus
increases then deflection of diaphragm decreases. Due to this
changes in capacitance also low for high youngs modulus
materials.
IV.
[16]
[17]
CONCLUSIONS
In this paper we have analyzed two different models of

MEMS based capacitive pressure sensor. One having circular
shaped whereas other having square shaped diaphragm.
Detailed simulation based analyses on the mechanical,
electromechanical as well as material studies were also
performed. As analyzed from the mechanical analysis that
designed model can withstand a high absolute pressure range
extends to several of mega Pascals. This design technology
allows for simple and inexpensive batch fabrication and
integration of this type of sensors with dedicated signal
detection circuits. Thus the practical implementation of these
designed sensors will cater wide range of applications over a
varied field (biomedical, robotics etc.).
[18]
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[3]
[4]
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[6]
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RAHSIS: A Tool for Reliability Analysis of

Hardware Software Integrated Systems
Shikhar, Rajesh Pradhan,, Ranjit Kumar Behera, Diptendu Sinha Roy
Department of Computer Science and Engg.
National Institute of Science and Technology,
Berhampur, India 761008.
E-mail: shikharverma201@gmail.com, r a je s h. pr a dh a n2 3 @g ma il. c o m , ra njit. behera@gma il.com, diptendu.sr@gmail.com
Abstract In this paper, we present RAHSIS (Reliability Analysis
of Hardware Software Integrated Systems), a software tool that
accounts Integrated Design State (IDS) failures. Integrated design
State (IDS) failures comprises of failures of a system including its
hardware failures, software failures and hardware-software
interaction failures. Recently there has been ample research
efforts focussing on such a combined reliability model including
hardware failure, software failure and hardware-software
interaction failure, but there exists no comprehensive tool for
reliability analysis of IDS failures, at least to the knowledge of the
authors. In this paper, we employ a Markov reliability model to
capture the combined system reliability and verify its proper
working by means of validating the tool with existing analysis
results. We have used RAHSIS for demonstrating the reliability
analysis of two case study systems, namely, a telecommunication
System (extracted from existing literature) and a Phasor
Measurement Unit (PMU) system as case studies.
Keywords M a r k o v Model, Phasor measurement unit
(PMU), Reliability Block Diagram (RBD), Fault Tree Analysis
(FTA), Event Tree Analysis (ETA), hardware failure,
software failure, Monte Carlo simulation.
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I. Introduction
that attempted to demonstrate the dependence of hardware

and software failures in a system and quantitatively
derived the fraction of such interaction failures. This
propelled a number of research focussed towards
characterization and analysis of combined hardware and
software systems accounts for interaction failures in them.
This has been technically termed as Integrated Design
State (IDS) Failure [4] and the failure propagation in such
combined hardware systems has been studied in [4]. Ref
[3] presented the effect of softwares usage profile on
hardware errors, specifically for CMOS technology as a
case study. Since the demand
of complex
hardware/software is increasing day by day, their chances
of failures also increase in every field. Therefore, reliable
hardware and software operations are required to avoid
major losses, which will entails appropriate reliability
analysis and testing.
But in practice there is no comprehensive tool for
reliability analysis of system that accounts for software
hardware interaction failures.
In this paper, we present a comprehensive reliability
analysis tool RAHSIS (Reliability Analysis of Hardware
Software Integrated Systems) which can compute
reliability of system including hardware-software
interaction failure. Markov model has been used for
computation of hardware-software interaction failures. The
tool allows reliability engineer to construct different
reliability models such as RBD, FTA, ETA for hardware
failures estimation of any system and subsequent Markov
model for computation of hardware and software
interaction failures. The analysis is done on the models
using probability distribution function in a transparent
manner to the user. User only has to specify probability of
each basic event for hardware failure and failure data.
The remainder of the paper is organized as follows: In
Section II, we present reliability model for RAHSIS
(Reliability Analysis of Hardware Software Integrated
Systems. In Section III, we elaborate upon the RAHSIS
(Reliability Analysis of Hardware Software Integrated
Systems) tool and its functionality specifically focussing
on the hardware-software interaction failures module. In
section IV, we mention the case studies and estimate their
combined reliabilities. The conclusion is presented in
section V.
With the pervasive, penetration of computers in all fields of the

modern society, reliable operation of hardware and software
components of such systems have gained utmost importance.
Nowadays, computers are embedded in wristwatches,
telephones, home appliances, buildings, aircraft and so on.
Science and technology have been demanding high
performance hardware and high quality software for making
improvements and breakthroughs.
But when hardware and software together work for overall
system functioning, their interactions lead to system failures
[1] and this has been an area of significant recent researches
[2], [3], [4]. Traditional reliability engineering has thoroughly
investigated models for hardware reliability as well as software
reliability for many systems. Also there has been a number of
literatures that, have focussed on constructing a combined
reliability model for systems taking into account the failure
nature of hardware and software components [5][6]. Reference
[7] presents a reliability model that assumes that failures of
hardware components as well as the various packages involved
in the software are independent of each other. But in case of
embedded systems where hardware and software interact
closely with each other, such an assumption imposes serious
limitations. Besides the reliability modelling tools such as
Reliability Block Diagram (RBD), Fault Tree Analysis (FTA),
Event Tree Analysis (ETA) and others have all been developed
considering hardware and software failures as independent.
The model presented in this paper does not assume such
independence, which is much more realistic.
X. Teng [1] et.al first presented a combined reliability model
II. RAHSIS Reliability Model

A. Markov Model
Markov chains have been and continue to be one of the
most important and popular tools for mathematical model
builders. Markov model [9], [10] was first proposed by the
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Soviet Union Mathematician Markov and has been extensively

used for reliability analysis. The fundamental principle
underlying Markov processes is the independence of the future
from the past given the present is known. A finite Markov
chain is a stochastic process with a finite number of states in
which the probability of being in a particular state at the (n +
l)th step depends only on the state occupied at the nth step; this
dependence is the same at all steps. Markov method is a
dynamic analysis method and has been used to estimate
reliability of repairable systems and other system which are
difficult to estimate by FTA or RBD [9]. We proposed Markov
model of any system which include three states, i.e. healthy
state, degradation state and failure states has been depicted in
fig.1. The above figure describes the different transition states
of combined hardware and software system. There are 7
different states in the above states transition diagram for
estimating hardware and software failures in a system. The
definitions of different states are:
probability (1-P1). Once hardware failures are detected

then they can be repaired or replace the fail components
with repair rate hd1 and hd2 from state HD1 and HD2
respectively.
State 2:
This state describes the fail-safe condition for detected
degradation resulting in abortion with rate 2.
State 3:
In this state we described the case of total hardware
failures transition from sub states of state 1, i.e. HD1, HD2
and HD3 with following cases.
Case1:
This case describes total hardware failures
degradation state HD1 with failure rate 3HD1.
Case2:
This case describes total hardware failures
degradation state HD2 with failure rate 3HD2.
from
from
Case3:
This case describes t ot al h ard ware fai l u res from
undetected state HD3 with failure rate 3HD3.
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State 4:
This state is derived from HD3 which describes hardware
driven software failures. Since state HD3 is an undetected
degradation state so recovery by any methods is not
feasible. Certain software methods are used to access that
undetected hardware component which might result with
errors and slow response. For e.g. if some blocks of
memory burns out resulting in failure then the
software methods used may lead to errors if software
wants to read or write that memory blocks[1].
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Fig. 1. State Transition Diagram of hardware-software system

(adapted from [1]).
Hence, this state describes that hardware failures lead to

software failures as well known as hardware-software
interaction failures.
Let the probability of being in state i at time t is Qi(t). On
the basis of Markov process, differential equations can be
defined from state transition diagram (fig.1.) are as follows:
Q1(t) = -1Q1 (t) + HD1 (t) QHD1 (t) + hd2(t)QHD2(t)
QHD1 (t) =1p1p2Q1(t) (HD1+3HD1+5)QHD1(t)
State 1:
This state describes the normal working or healthy state of
system.
State HD:
HD represents a hardware degradation state. There may be
three hardware degradation states. It describes the different
hardware degradation of system, described mainly by three sub
states, namely HD1, HD2 & HD3. State HD1, HD2 and HD3
denote the degradation state that is detected but not recovered
by software, detected but recovered by software and undetected
degradation state respectively. The hardware degrades with
failure rate 1. Among these hardware failures some are partial
and detected and hence have been denoted by probability P1
whereas undetected hardware failures are denoted by
QHD2 (t) =1p1(1-p2)Q1(t)-(HD2+3HD2)QHD2(t)

QHD3 (t) =1(1-P1)Q1(t)-(4+3HD3)QHD3(t)
Q2(t) =4QHD3(t) Q4(t) =2QHD3(t)
Q3(t) =3HD1QHD1(t) +3HD2Q3HD2(t) +3HD3Q3HD3(t)
In the above equations state 2, 3, and 4 are failures state
and state HD1, HD2, HD3 are degradation state while state
0 is normal working conditions. As we assume Q1(0)=1 and
we can obtain the solutions of above equation from
appendix of [1].The probability of no permanent
hardware/software failures till time t.
RHW/SW(t)=Q1(t)+QHD1(t)+QHD2(t)+QHD3(t) (1)
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RHW/SW(t)= (2e- 1t- 1 e- 2t)/( 2 1 )
(2)
B. Methodology of Integrated Design State (IDS) Reliability

Analysis
In this section, hardware software interaction failure of a
system is investigated using the methodology defined in
previous subsection. Any system that includes hardware and
software can be modeled and analyzed using RAHSIS and the
fraction of interaction failures can be obtained thereby. The
unit of failure rate and repair rate is failures/year. First of all we
set number year of observations and hardware failures data is
collected. The hardware part of failure is more observable than
related software failures. Therefore we have taken only
hardware failure data. The flowchart of Integrated Design State
(IDS) reliability analysis as shown in fig 2 where N, Nfailure,
Nsystem are number of observation in months, number of
failures per month and number of system deploy at each month
respectively .To calculate the extent of hardware-software
interaction failures, we analyze the hardware failure data and
assume that a fraction F of hardware failures is hardwaresoftware interaction failures. This may vary and the user
provides this. To fit the model we divide the
has been depicted in Fig. 1. We focused on undetected

hardware failures which may lead to hardware related
software failures. Therefore except 1 and 2 all failure
rates are considered zero. We model hardware-software
interaction failures for a system as a renewal process with
an inter arrival distribution [1]. Renewal process means
that the model of an item in continuous operation is
replaced at each failure, by a new statistically identical
item in a negligible amount of time. Thereafter, the derived
the number of hardware failures of each system group can
be calculated by proportionally allocating total number of
hardware failures using the ratio obtained by dividing
aggregate exposure time by total exposure time. In these
hardware failures there may be F fraction of HW/SW
failures. So Xi=Fei where ei are the values of aggregate
hardware failures. As we do not know the value of F and
G, so we will assume various value of F and G. Thereafter
we can calculate the value of 1 from (3) by partial
differentiation of sum of square errors (SSE) for different
value of F and G and 2= 1 G.
(3)
Putting the value of 2 and 1 in equation (2), the reliability
of hardware and software due to their interactions of any
system can be obtained.
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Start
Set N, F, G
Set N,
III.
The RAHSIS Tool
A. Tool functionalities
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SYSTEM
1:
SYSTE
SYSTEM2
SYSTE:
SYSTEM
3:
SYSTE
.Nfailure,
.Nsystem
.Nfailure,
.Nsystem
.Nfailure,
.Nsystem
M1:
M2:
M3:
. . .
SYSTEM N:
.Nfailure,
.Nsystem
CALCULATE ALLOCATED No.

OF H/W FAILURES (ei)
CALCULATE NO OF HW-SW
INTERACTION FAILURE
Xi=Fei
CALCULATE FAILURE RATE 2 and

1
Fig. 3: The RAHSIS interface

End
Fig. 2. Flowchart for IDS reliability Analysis

system into different groups. In this case we assume those
hardware failures that are undetected may either lead to total
hardware failures or hardware related software failures. This
The main features of RAHSIS as shown in fig 3 allow the

user to perform reliability analysis using: (1) Reliability
Block Diagram (RBD); (2) Fault Tree Analysis (FTA); (3)
Event Tree Analysis (ETA); (4) perform reliability analysis
of Integrated Design State (IDS) using Markov model.
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Items (1), (2) and (3) are described below; item (4), which
represent the core contribution of this paper.
A.1 Reliability Analysis using FTA
Fault Tree is a deductive, failure-based approach. As a
deductive approach, Fault Tree Analysis (FTA) starts with an
undesired event, such as failure of a main engine, and then
determines causes using a systematic, backward-stepping
process. In determining the causes, a fault tree (FT) is
constructed as a logical illustration of the events and their
relationships that are necessary and sufficient to result in the
undesired event, or top event. The symbols used in a FT
indicate the type of events and type of relationships that are
involved. The FT is a qualitative model that provides extremely
useful information on the causes of the undesired event. The
FT can also be quantified to provide useful
are reliability-wise related. The diagram represents the

functioning state (i.e. success or failure) of the system in
terms of the functioning states of its components. For
example, a simple series configuration indicates that all of
the components must operate for the system to operate; a
simple parallel configuration indicates that at least one of
the components must operate, and so on. When you define
the reliability characteristics of each component, you can
use software to calculate the reliability function for the
entire system and obtain a wide variety of system
reliability analysis results, including the ability to identify
critical components and calculate the optimum reliability
allocation strategy to meet a system reliability goal.
Likewise, when you also define the maintainability
characteristics of the components in the RBD, you can use
software to simulate the operation of the system and obtain
an array of system maintainability and availability results
that will help you to make decisions about the design
and/or operation of the system. In order to construct a
reliability block diagram (RBD), the reliability-wise
configuration of the components must be determined. The
module of RBD is shown in Fig.5.
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A.3 Reliability Analysis using ETA
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Fig. 4: Fault Tree Analysis (FTA) Module
Fig.5: Reliability Block Diagram (RBD) Module

information on the probability of the top event occurring and
the importance of all the causes and events modeled in the FT.
The module of Fault Tree Analysis (FTA) is shown in Fig.4.
A.2 Reliability Analysis using RBD
A Reliability Block Diagram (RBD) is a graphical
representation of the components of the system and how they
The ETA technique falls under the system design hazard

analysis type (SD-HAT) and should be used as a
supplement to the SD-HAT analysis. The ETA is a very
powerful tool for identifying and evaluating all of the
system consequence paths that are possible after an
initiating event occurs.
Fig. 6: Reliability Analysis using ETA

The ETA model will show the probability of the system
design resulting in a safe operation path, a degraded
operation path, and an unsafe operation path. The purpose
of ETA is to evaluate all of the possible outcomes that can
result from an initiating event. Generally, there are many
different outcomes possible from an initiating event,
depending upon whether design safety systems work
properly or malfunction when needed. ETA provides a
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probabilistic risk assessment (PRA) of the risk associated with

each potential outcome.
different software. Fig 8 shows the diagram of base station

controller.
The ETA technique can be used to model an entire system,

with analysis coverage given to subsystems, assemblies,
components, software, procedures, environment, and human
error. ETA module is shown in Fig.6.
A.4 Reliability Analysis of Integrated Design State (IDS)
Fig 7 shows the screenshot of combined reliability model i.e.
IDS failures. The main window of module consist of selection
of case studies i.e. telecommunication and PMU. After
selecting the system, a window display which take input as
number of months, number of system deploy at each month
and failure data of system at each month. We use Markov
model for estimating the reliability. After clicking the result
tab, it will estimate reliability of IDS and shows results on the
below part of window. Fig. 9 and 12 shows the window of
Fig.8 Base Station Controller
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Fig.7. IDS Reliability Tool
different case studies. The future work of RAHSIS is to

implement it for NANOSOFT power grid which is functioning
at N.I.S.T Berhampur Odisha using Dynamic Fault Tree
(DFT).
Fig 9. Reliability Analysis of Telecommunication

Fig. 10 shows the variation of reliability including
hardware-software interaction failures with respect to time
for the telecommunication system.
IV. CASE STUDY

A. Telecommunication System
Telecommunication application consists of component of a
wireless base station system (BSS). A BSS consists of two
network element types: the base transceiver station (BTS),
which wires the air interface connection with mobile stations,
and the base station controller (BSC) which provides switching
and control functions[1]. The core component of the BSS is a
server component that is part of the BSC which deploy
software of 500k lines of code. Different software are deploy
on same hardware configuration. So, there is chance of failure
of hardware component which may lead to the failure of
Fig 10. Reliability of telecommunication system

incorporating Hardware-Software Interaction failures
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B.
Phasor Measurement Unit (PMU)
As PMUs are systems having recent origin, thus their

failure data availability is not trivial; unlike the former
telecommunication case, where failure data is readily
available. Thus a Monte Carlo Simulation approach has
been employed for estimating the failure data. The Monte
Carlo simulation treats the whole system as an experiment.
The simulation involves generation of random numbers
based on failure rate () and repair rate () of PMU. The
failure rate and repair rate of PMU can be estimated using
fault tree analysis or event tree analysis using RAHSIS
tool.
Fig 11.Functional block diagram of PMU

The functional block of PMU is shown in Fig. 11. In this all the
modules of PMU are combined in series fashion so as to
represent that any failure in one of the module will lead to the
failure of PMU [11]. The analog three phase voltage and
current are converted to the safer level by current transformer /
potential transformer (CT/PT) module (M1). These signals are
then processed in anti-aliasing filtering module (M2) to filter
out high frequency noises from the input signals which are then
converted to digital signals by analog to digital conversion
(ADC) module (M3).
V. Conclusion
In recent times, hardware-software combined reliability
failures or in other words, integrated design state failures
have gained significant of research attention. This has led
to the application of such combined reliability model in a
number of areas. But there exists no comprehensive tool
for such analysis. This paper presents such a tool along
with its full design and methodology. We concluded that
by focusing on hardware and software interaction failures
in addition to software and hardware failures, we will get
more accurate reliability calculation of any system. In the
future, we plan to extend the tool capabilities, by adding
Bayesian Network analysis so that state space explosion
problem of Markov model can be minimized.
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Fig 12. Reliability Analysis of PMU
The CPU module (M4) process the signal to obtain the

magnitude, phase and power frequency of the input signal. The
GPS module (M4) provides a highly accurate time
synchronization signal so as to achieve time tagged
measurement [11]. The communication module (M6) transmits
the measured data from the PMU to phasor data concentrator
for further process. The power supply module (M7) provides
the necessary power for the operation of the device. Reliability
analysis of a system is an essential part of a system
development process. But the system which is supposed to be
built for highly dependable applications will be having very
low failure intensity. In this system we have CPU for
processing data and we used software on this platform to
measure the parameters of power systems like frequency, three
phase voltages and currents. There is a interaction of software
to these modules. So there may be some hardware and software
interaction failures can occur.
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Reliability Calculation, IEEE Transactions on Reliability, Vol R-34,
no. 3, pp. 262-268, 1985.
[10] K Siegriest, Reliability of Systems with Markov Transfer of
Control, IEEE Transactions on Software Engineering, Vol.14, no. 7,
PP .1049-1053, 1988.
[11] Wang, Y., Li, W., & Lu, J. (2009). Reliability analysis of phasor
measurement unit using hierarchical Markov modelling. Electric
Power Components and Systems, 37(5), 517-532.
283 of 446
Steel Fiber Reinforced Concrete in the

service of Civil Engineering
Surajit Biswas1
PG Student
Department of Civil Engineering,
National Institute of Technology Durgapur, India
E-mail: surajitce08@gmail.com
Showmen Saha3
Professor
Department of Civil Engineering
E-mail: showmen.saha@ce.nitdgp.ac.in
Debayan Ghosh2
UG Student
National Institute of Technology, Durgapur, India
E-mail: debayanghsh@gmail.com
Somnath Karmakar4
Assistant Professor,
E-mail: som_civil07@rediffmail.com
Abstract Different types of steel fibers can be used to

reinforce concrete. Steel Fibers are generally classified
depending upon their manufacturing method. Hooked end
stainless steel has proven to give the best performance. The
addition of steel fibers to concrete nesseciated an alteration
to mix design to compensate for the loss of workability due to
extra paste required for coating the surface of the added steel
fibers. While many technical and economical advantages are
benefitted from using SFRC, drawback can also be found.
They are however not likely to cause major problems. It was
thought that steel fiber will have negative implication in
concrete practice (i.e. transporting, surfacing, finishing etc.),
but experience has shown that influence of steel fiber on this
practical aspects is negligible. Dispersion of steel fibers in
concrete alter its engineering characteristics. The after crack
mechanism associated with the SFRC positively influences its
mechanical and physical properties. The improvement
differs depending on the dosage and the steel fibers
parameters considering the other strength determining
factors to be constant.
material in true sense. Conventionally reinforced concrete

is a true two phase material only after cracking when
cracked matrix is held by the reinforcing bars. Existence of
one phase (i.e., steel or concrete) does not improve the
basic strength characteristics of the other phase and
consequently the overall performance of the traditional
reinforced concrete composite is dictated by the individual
performance of the concrete and steel phase separately.
When a Reinforced Concrete beam subjected to a
combination of moment and shear force with either little or
no transverse reinforcement can fail prematurely in shear
before reaching its full flexural strength. This type of shear
failure is sudden in nature and usually catastrophic because
it doesnt give ample warning to inhabitants.
S
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Keywords SFRC, structure, strength and reinforcement
I. INTRODUCTION
Concrete is the most widely used construction material.

Because of its specialty of being cast in any desirable
shape, it has replaced stone and brick masonry. In spite of
all this, it has some serious deficiencies which, but for its
remarkable qualities of resilience, flexibility, and ability to
redistribute stress, would have prevented its use as a
building material. Plain concrete is weak in tension and
has limited ductility and little resistance to cracking.
Micro cracks are present in concrete and because of its
poor tensile strength; the cracks propagate with the
application of load, leading to brittle fracture of concrete.
Micro cracks in concrete are formed during its hardening
stage. The low tensile strength of concrete is being
compensated for in several ways, and this has been
achieved by the use of reinforcing bars and also by
applying prestressing methods. Though these methods
provide tensile strength to concrete, they do not increase
the inherent tensile strength of concrete itself. Further,
conventionally reinforced concrete is not a two phase
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1
According to IS456:2000 prevent shear failure beams

should be reinforced with stirrups. In general, the use of
stirrups is expensive because of the labor cost associated
with reinforcement installation. Also casting concrete in
beams with closely spaced stirrups could be difficult and
might lead to voids and associated poor bond between
concrete and reinforcing bars. In recent times development
of new materials and production methods have increased
within the field of construction. One example is the use of
steel fibers for various applications. Steel fibers are short
and generally deform to enhance bond with concrete. Due
to its ability to distribute and prevent cracks from
appearing steel fibers have proved rather effective as crack
controlling reinforcement. Hence, an alternative solution to
stirrup reinforcement is the use of randomly oriented steel
Fibers, which have been shown to increase shear
resistance. The advent of deformed fibers and high range
water reducing admixtures provided a big boost to the fiber
reinforced concrete use in the field. Rama Krishnan and his
colleagues established that fibers with hooked ends can be
used at much lower volume fractions than straight steel
fibers, producing the same results in the area of ductility
and toughness. These fibers were also glued together at the
edges with water soluble glue. When added to the concrete,
the fibers had a much lower (apparent) aspect ratio.
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II. STEEL FIBERS
A. TYPE OF STEEL FIBERS:-
There are are a number of different types of steel Fibers

with different commercial names. Basically, Steel Fibers
can be categorized into four groups depending on the
manufacturing process viz: cut wire (cold drawn), split
sheet, melt extract and mill cut. It can also be classified
according to its shape and section. Various nations
previously used to nominate the specific type of Steel
Fibers but in this dissertation the following notations are
used:
(h x w x l) to nominate the straight rectangular
section steel fibers. The letters h, w and l stand
for section depth and width of the fiber
respectively.
(d x l) was used to name circular or semicircular

sections straight or deformed steel fibers, d and l
stand for diameter and length respectively.
Hook ended steel fibers (i.e. 80/60 H means

aspect ratio/Length of Steel Fiber).
Major efforts have been made in recent years to
optimize the shape and size of the steel fibers to achieve
improved fiber matrix bond characteristics and to enhance
fiber dispensability. It was found that SFRC containing
hook ended stainless steel wires has better physical
properties than those containing straight fibers. This is
attributed to the better anchorage provided and higher
effective aspect ratio than that of the equivalent length of
the Steel Fiber. In addition, the high tensile stresses
localized at crack nesseciated that Steel Fibers have High
Tensile Strength. Typical Steel Fiber tensile strengths are
ranged between 1100MPa and 1700Mpa. Apart from other
mix constituents, there are four important properties found
to affect the properties of, namely type and shape of
fibers, dosage, aspect ratio and orientation of the fiber in
the matrix. The effect of each shall be clarified when
discussing the Physical and mechanical properties of
SFRC.
Different types of Steel Fiber used in Construction are

Hook Ended Fiber (HK), Crimped Fiber (CR) and Round
Fiber (RD).
a.
b.
c.
Fig 1 Hook ended fiber
Fig 2 Crimped type fiber
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1
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G.P.A.G. van Zijl, 14 February 2013; this paper outlines

analytical flexural models for steel fiber reinforced
concrete (SFRC) with and without steel bars. The models
are developed for strain softening, deflection hardening
SFRC. Models for the determination of flexural capacity
of SFRC rectangular sections based on equivalent stress
blocks for both compression and tension are developed
using strain compatibility and force equilibrium principles.
The equivalent stress blocks are derived from an elastic
perfect-plastic model for compression, and an elastic
constant post-peak response for tension. The models are
verified using experimental data. Sensitivity analysis is
conducted to assess the predictability of the models with
varying model parameters. When compared with existing
models, the proposed models fairly predict the flexural
capacity of the SFRC beams. The models may allow the
user to determine model uncertainties and hence provide
for appropriate safety margin for design.
HOOK ENDED FIBER: Hook Ended Fiber

having both ends turned in half circle as shown in
Fig 1.
CRIMPED TYPE: Its side view seems like
longitudinal wave as shown in Fig 2.
ROUND FIBER: It is thin and usually create
problem in mixing, the use of high fiber content
leads to severe reduction of the workability of the
fresh concrete as shown in Fig. 3.
Fig 3 Round Fiber
III. FIBER ORIENTATION

Fiber orientation in mixing having following types
(a) Longitudinal orientation
(b) Discrete submerging
(c) Longitudinal plus lateral
(d) Angular submerging
With further time, an effective barrier of leached glass
is established on the surface of the fiber and the corrosion
rate of the remaining unleached fiber slows, being
controlled by the diffusion of compounds through the
leached layer. Later, the corrosion rate slows to nearly zero
as the non -silica compounds of the fiber are depleted. For
a given glass composition, the corrosion rate may be
influenced by the acid concentration, temperature, Fiber
diameter and the solution volume to glass mass ratio. In
alkaline environments weight loss measurements are more
subjective as the alkali affects the network and reprecipitates
the metal oxides. Tensile strength after exposure is a better
indicator of the residual glass fiber properties for 24-hour
exposure at 96C.
IV. PREPARED MATERIAL
Prepared material is composite form of hydraulic cement,
aggregates and discrete reinforcing fibers. It is prepared by
general mixing with cement and aggregate. No extra
supervision is needed. In R.C. reinforcement is provided on
area basis but in SFRC it is provided by type of fiber,
aspect ratio, and volume fraction of fibers and the size of
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the aggregates. In this test ACC 43 grade cement

conforming to IS 12269 1987 is used. River sand is used
as fine aggregates, obtained from local river bed. Crushed
black trap basalt is used conforming to IS 383 1970 of
size 10 to 20 mm is used. Master Plast SPL
9superplasticizer is 4% of weight of cement is also used
for improving workability. Three types of steel fibers,
hook ended aspect ratio 80, hook ended aspect ratio 50,
crimped type aspect ratio 50, Round fibers aspect ratio 50
and Round fibers aspect ratio 80 are used for the
experimental work. In the Fig.4 material prepared with
crimped fiber is showing. For steel fiber reinforced
concrete, different considerations apply, with most mix
designs being arrived empirically.
Fig 4. Material prepared using fiber

V. PROPERTIES OF SFRC
The mechanical properties of SFRC are influenced by the

type of fiber, aspect ratio, and volume fraction of fibers
and the size of the aggregates. Considerable research had
been previously carried out to evaluate mechanical
properties such as:
Tensile
Compressive
Flexural strength
Impact Loading
Recently, research interest has been directed toward
understanding the torsion phenomenon as well. Several
reports of investigations have appeared describing the
improvement in strength under pure torsion when fiber
includes. Recently developed an analytical model to
predict the shear, torsion strength and bending torsion
behavior of fiber reinforced concrete beam with
experimental substantiation. However, very few works has
been reported in combined torsion and shear. Similarly to
beam with conventional reinforcement, the presence of
shear may influence on torsion strength of fiber concrete
beams. The SFRC possess many excellent dynamic
performances such as high resistance to explosion and
penetration as compared to traditional concrete. When
used in structural applications. SFRC is limited to
applications where crack distribution and reduction of
crack widths is the main purpose. However, the combined
use of SFRC and re-bars may yield synergetic effects due
to improved bond properties. Thermal property of SFRC is
such as when it reaches up to 900C mass loss occurs.
Best example of torsion strength is of airport runway.
When aircraft lands on runway surface it exerts torsion
from its type contacted with runway. This torsion balanced
through frictional resistance provided on surface. So air
pavement must possess property of torsion strength. Spread

over large areas of the sub grade and pressures on the sub
grade are very low. As a result, concrete pavements do not
necessarily require strong support from below. However, it
is important that the support be reasonably uniform with no
abrupt changes in degree of support, design and construct a
reasonably uniform subgrade and sub-base. Three major
causes of non-uniform support must be controlled1. Expansive soils
2. Frost action
3. mud-pumping
The performance of the hardened concrete is enhanced
more by fibers with a higher aspect ratio, since this
improves the fiber-matrix bond. On the other hand, a high
aspect ratio adversely affects the workability of the fresh
mix. In general, the problems of both workability and
uniform distribution increase with increasing fiber length
and volume. One of the chief difficulties in obtaining a
uniform fiber distribution is the tendency for steel fibers to
ball or clump together. Clumping may be caused by a
number of factors:
i). The fibers may already be clumped together before they
are added to the mix, normal mixing action will not break
down these clumps.
ii). Fibers may be added too quickly to allow them to
disperse in the mixer.
iii). Too high a volume of fibers may be added.
iv). The mixer itself may be too worn or inefficient to
disperse the fibers.
v). Introducing the fibers to the mixer before the other
concrete ingredients will cause them to clump together.
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VI. APPPLICTIONS OF SFRC
The applications of SFRC depend on the ingenuity of the

designer and builder in taking advantage of its much
enhanced and superior static and dynamic tensile strength,
ductility, energy-absorbing characteristics, abrasion
resistance and fatigue strength. Growing experience and
confidence by engineers, designers and contractors has led
to many new areas of use particularly in precast, cast insitu, and Short-Crete applications. Traditional application
where SFRC was initially used as pavements, has now
gained wide acceptance in the construction of a number of
airport runways, heavy-duty and container yard floors in
several parts of the world due to savings in cost and
superior performance during service.
The advantages of SFRC have now been recognized
and utilized in precast application where designers are
looking for thinner sections and more complex shapes.
Applications include building panels, sea-defense walls
and blocks, piles, blast-resistant storage cabins, coffins,
pipes, highway kerbs, prefabricated storage tanks,
composite panels and ducts. Precast fiber reinforced
concrete manhole covers and frames are being widely used
in India, Europe and USA. Cast in-situ application includes
bank vaults, bridges, nosing joints and water slides.
Sprayed-in ground swimming pools is a new and
growing area of Short Crete application in Australia. SFRC
has become a standard building material in Scandinavia.
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Applications of SFRC to bio-logical shielding in atomic

reactors and also to waterfront marine structures which
have to resist deterioration at the air-water interface and
impact loadings have also been successfully made. The
latter category includes jetty armor, floating pontoons, and
caissons. Easiness with which fiber concrete can be
moulded to compound curves makes it attractive for ship
hull construction either alone or in conjunction with Ferro
cement. SFRC short Crete has recently been used for
sealing the recesses at the anchorages of post stressing
cables in oil platform concrete structures. Recent
developments in fiber types and their geometry and also in
concrete technology and equipment for mixing, placing
and compaction of SFRC and mechanized methods for
shortcreting have placed Scandinavian and German
consultants and contractors in a front position in fiber
shortcreting
operations
worldwide.
Laboratory
investigations have indicated that steel fibers can be used
in lieu of stirrups in RCC frames, beams, and flat slabs
and also as supplementary shear reinforcement in precast,
thin -webbed beams. Steel fiber reinforcement can also be
added to critical end zones of precast pre-stressed concrete
beams and columns and in cast-in-place concrete to
eliminate much of the secondary reinforcement. SFRC
may also be an improved means of providing ductility to
blast-resistant and seismic-resistant structures especially at
their joints, owing to the ability of the fibers to resist
deformation and undergo large rotations by permitting the
development of plastic hinges under over-load conditions.
A. GENERAL APPLICATION OF SFRC
achieve hi-strength, durable and economical concrete are:

(a) OVERLYS: Roads, Airfields, Runways,
Container, Movement and Storage Yards, Industrial Floors
and Bridges.
Advantages of using SFRCi). Fatigue and impact resistance increased.
ii). Wear and tear resistance increased.
iii). Joint spacing increased.
iv). Thinner pavements possible due to higher flexural
strength of SFRC.
v). Long service life with little or no maintenance.
Steel Fiber Reinforced Concrete or Short Crete

(SFRC/SFRS) have been used in various applications
throughout the world. In India their use is picking up
slowly. The principal advantages of SFRC versus plain or
mesh/bar reinforced concretes are:
i). Cost savings of 10% - 30% over conventional concrete
flooring systems.
ii). Reinforcement throughout the section in all directions
versus one plane of reinforcement (sometimes in the subgrade) in only two directions.
iii). Increased ultimate flexural strength of the concrete
composite and thus thinner sections.
iv). Increased flexural fatigue endurance and again thinner

slabs.
v). Increased flexural toughness, or the ability to absorb
energy.
vi). Increased impact resistance and thus reduced chipping
and joint spalling.
vii). Increased shear strength and thus the ability to
transfer loads across joints in thin section.
viii). Increased tensile strength and tensile strain capacity
thus allowing increased contraction/construction joint
spacing.
The six major areas in which Steel Fibers can be used to
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GENERAL APPLICATION AND ADVANTAGE OF

STEEL FIBER CONCRETE
(b) PRE-CAST CONCRETE PRODUCTS:

Manhole covers and Frames, Pipes, Break-Water Units,
Building Floor and Walling Components, Acoustic
Barriers, Krebs, Impact Barriers, Blast Resistant Panels,
Vaults, Coffins etc.
Advantages of using SFRCi). Fatigue and impact resistance increased.
ii). Thinner sections possible with SFRC reducing handling
and transportation costs.
iii). Reduced consumption and savings in cost of
materials makes pre-cast products competitive in price with
cast iron or reinforced concrete products.
iv). Products possess increased ductility and resistance to
chipping and cracking.
v). SFRC products suffer less damage and loss during
handling and erection.
v). Overall improvement in all structural properties.
vi). Many different sizes and shapes of pre-cast units
possible with SFRC.
(c)
HYDRAULIC
AND
MARINE
STRUCTURES: Dams, Spillways, Aprons, Boats and
Barges, Sea Protection Works.
Advantages of using SFRCi). Outperforms conventional materials by exhibiting
superior resistance to cavitation and impact damage due to
wave action, hydraulic heads and swirling water currents.
ii). Ideally suitable for repair of hydraulic and marine
structures
(d)
DEFENCE
AND
MILITARY
STRUCTURES: Aircrafts Hangers, Missile and Weaponry
Storage Structures, Blast Resistant Structure, Ammunition
Production and Storage Depots, Underground Shelters etc.
Advantages of using SFRCi). Exhibits high ductile and toughness resulting in superior
resistance to blast, impact and falling loads and missiles.
ii). Fragmentation effect very less compared to other
material due to confinement effect of fibers on concrete.
iii). Far superior resistance to fire and corrosion.
iv). High resistance to penetration by drills hammers and
other almost impenetrable.
v). A highly versatile material with longer service life.
(e) SHORTCRETING APPLICATION: it is
generally used in different form of Tunnel-linings, Domes,
Mine Linings, Rock-Slope Stabilization, Repaint and
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Model 3:
Restoration Distresses of concrete Structures and etc.

Advantages of using SFRCi). Highly efficient, convenient and economical compared
to mesh and bar reinforcement used in conventional shot
crating.
ii). One stage operation for irregular profiles.
iii). High resistance to abrasion and impact loads.
iv). Reduction in 'shadow' effects resulting in compact and
dense layer.
v). Improvement in ductility.
vi). Only high performing technique suitable for tunnel
and drainage lining, rock stabilization jobs and also for
repair of bridges, dams, storage tanks etc.
vii). Construction of energy-efficient domes and shell
structures possible.
Fig 7 Beam with Minimum reinforcement and plain concrete

with 1.5% volume of concrete replaced with SFRP.
(f)
SPECIAL
STRUCTURES:
Machine
Foundations, Currency Vaults and Strong Rooms, Impact
and Fiber protective Shells and Lost Forms, ColumnBeam Joints in Seismic-Resistant Structures, End Zones of
Pre-stressed Concrete Elements, High Volume Steel Fiber
Reinforce Concrete structures made out of SIFCON and
CRC (Slurry Infiltrated Fiber Concrete and Compact
Reinforced Concrete).
Advantages of using SFRCi). Improved performances under action of any kind of
loading.
ii). High seismic-resistance in buildings due to ductile
behaviors of joints and Connections.
Model 4:
Fig 8 Beam with Minimum reinforcement and plain concrete

with 2% volume of concrete replaced with SFRP.
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1
VII. ANALYSIS USING ABAQUS
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Analytical Modeling using Finite Element Method:

Model 1:
Fig 9 Stress vs. Strain
Fig 10 Load vs. Displacement

VIII. CONCLUSION
Fig 5 Beam with Minimum reinforcement and plain
The following conclusions are drawn:
concrete without any SFRP

Model 2:
i). All the different types of steel fibers have been used,
Hook ended steel fibers were found to perform better than
the other types because of its hook ends and high tensile
strength which requires additional loads for pulling out
and/or breaking.
Fig 6 Beam with Minimum reinforcement and plain

concrete with 1% volume of concrete replaced with SFRP
ii). The mechanistic mix proportioning design approach for

SFRC strives to adjust the additional paste required to coat
the added Steel Fibers, therefore a some sort of coupling
concept can be used, in other words, any of the plane
concrete proportioning mix criterion can be used to design
the mix and thereafter the mix can be adjusted for added
fibers.
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iii). The normal transporting, placing and finishing

methods used for plane concrete can also be used for
SFRC.
iv). Steel Fibers has an effect ranging between little and

significant on the mechanical properties. Endurance limit,
impact strength and shear strength are significantly
improved while compressive strength, modulus of
elasticity and poisons ratio improve slightly when the steel
fiber is added. The flexural strength at first crack and
maximum load is slightly improved, but on the other hand,
the imparted toughness improve the equivalent strength
(after crack) significantly (as high as 100 percent).
IX. REFERENCES
[1]. ACI Committee 440. 1996. State-of-the-Art Report on Fiber
Reinforced Plastic (FRP) for Concrete Structures (ACI 440R). ACI
Manual of Concrete Practice, Part 5, American Concrete Institute,
Detroit, MI, 68 pp.
[2]. ACI Committee 544. 1982. State-of-the-Art Report on Fiber
Reinforced Concrete (ACI 544.1R-82). Concrete International, May,
Vol. 4, No. 5, pp. 9-30.
[3]. ACI Committee 544. 1988. Design Considerations for Steel Fiber
Reinforced Concrete (ACI 544.4R-88).Manual of Concrete Practice, Part
5, American Concrete Institute, Detroit, MI, 18 pp.
[4]. ACI Manual of Concrete Practice, Part 5, American Concrete
Institute, Detroit,MI, 22 pp.
[5]. ACI Committee 544. 1993. Guide for Specifying, Proportioning,
Mixing, Placing, and Finishing Steel Fiber Reinforced Concrete. ACI
Materials Journal, Jan-Feb,Vol. 90, No. 1, pp. 94-101.
Characteristics.ACI Materials Journal, May-Jun, Vol.85, No. 3, pp. 189196.
[6]. P. N. Balaguru and S. P. Shah. 1992. Fiber Reinforced Cement
Composites.McGraw-Hill, New York, 1992.
[7]. Nataraja, M. C., Dhang, N and Gupta, A. P (1999)., Statistical
Variations in Impact Resistance of Steel Fiber Reinforced Concrete
Subjected to Drop Weight Test,Cement and Concrete Research,
Pergoman press, USA, Vol. 29, No. 7, 1999, pp.989-995.
[8]. Nataraja, M. C., Dhang, N and Gupta, A. P (1999). Stress-strain
Curves for Steel Fiber Reinforced Concrete in Compression.
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289 of 446
Optimal Control of singular systems via Haar

function
Sunita Chauhan
Shilpa Arora
National Institute of Technology Kurukshetra,
Haryana,India
arora.shilpa8081@gmail.com

National Institute of Technology Kurukshetra,
Haryana,India
singh298@hotmail.com
Abstract In first part the optimal control of singular system with

a quadratic cost functional using haar function is considered.
After introducing haar function in the beginning we develop an
operational matrix for solving singular state equations. To
demonstrate the validity and applicability of the technique,a
numerical example is included .
The orthogonal set of Haar functions
square waves with magnitude of 1 in certain intervals and

zeros elsewhere , defined as:
h0 (t ) 1, 0 t 1
1, 0 t 12
h1 (t ) 1
1, 2 t 1
Keywords optimal control, singular system, orthogonal

function, operational matrix, haar function.
I.
(1)
further functions are dilations and translations of (1),

according to the relation:
INTRODUCTION
Operational matrices were constructed using orthogonal

functions for solving identification and optimisation problems
of dynamic systems, was initially established in 1975 when
the Walsh-type operational matrix was constructed by the
present authors[11].Since then, many operational matrices
based on various orthogonal functions, like Laguerre
([13],[14]), Legendre[15],Fourier[17], and, Chebyshev[17],
block pulse[12] had developed. Orthogonal functions deals
with various problems of dynamic systems as it reduces the
problems to those of solving algebraic equations. The
operational matrix of integration eliminate the integral
operation as in this approach differential equations are
converted into integral equations through integration[2].
Singular system model is necessary for description of such a
system which leads to the violation of casuality assumption.
Singular systems also arise naturally in describing large scale
systems; examples occur in power and interconnected
systems[5].
Optimal control of singular system via orthogonal functions
has been presented, among others, by Balachandran and
Murugesan [6], Shafiee and Razzaghi [7] and Razzaghi and
Marzban [8].
Very few work exist in the field of singular system
therefore many challenging and unsolved problems have to
face.
.
4
1
hn (t ) h1 (2 j t l ), n 2 j l , j 0, 0 l 2 j
where dilations and translations are indicated by
j &l
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hk (t ) is a group of
respectively. The resolution m is given by:
m 2 j and n 0,1........m 1
Advantages of Haar Function

These days Haar function is mostly used because of the
disadvantages of block pulse function and walsh function,also
it provides facility of compression and dilation. Zooming can
also be possible .and matrix multiplication is easy.
B. Integration and operational matrix
In this section we will derive a method by which we can
perform any integration by multiplying a constant matrix.
Let us take 0 , 1,..,4 and integrate them; we will have
various triangular waves [10].If we evaluate the Haar
coefficients for these triangular waves, the following formula
for approximation will be obtained:
PRELIMINARY DEFINITIONS
A .Haar function and its properties
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0 dt 1
12
dt
1 4
dt
2
16
dt 161
3
1
4
1
8
1
8
1
16
0
0
1
16
time-invariant singular systems. Suppose that the optimization

problem can be stated as follows:
minimize
1
8 1
0 2

0 3
1
8
tf
1
J (x T Qx u T Ru )dt
2 t0
and
(4)
dt P(4x 4)(4)
(2)
(6)
x Ax Bu
(7)
For simplicity, we assume that Q and R are symmetric positive

definite matrices. The Hamiltonian function is given by
The subscript means the dimension taken. It is preferable to
1
u, , t ) (x T Qx uT Ru ) T (Ax Bu )
H (x,
2
take 2 , where is an integer, as a dimension number.

Making this choice will enable us to obtain simple
results and easier calculation[1].
(8)
Necessary conditions imply that
It is noted that
dt t ;
H
xT Q A T ,
x
(3)
Therefore the Haar coefficients of
dt
0
can be found.
uT R T B 0
(9)
that is,
III.
SINGULAR SYSTEM
Consider a singular system described by
Ex Ax(t ) Bu(t )
n
r
where x t R is the state vector, u t R is the
where
(4)
control vector. E, A and B are matrices of appropriate

dimensions. If det E=0 then the system described by (4) is
called generalized state-space or singular systems[1].
Certain features of this case that are of special interest may
be list, and will serve as points of contrast with the case of
nonsingular case[9].
1.
2.
3.
Definition: Singular system is regular if and only if there

exists a scalar such that
( E A) 1 exists.
(10)
4
1
(11)
(12)
x (0) x0
(13)
(t f ) 0
(14)
S
E
The number of degrees of freedom of system is

reduced to
f rankE
(5)
The transfer function G(s) may no longer be strictly
proper.
The free response of the system in this case exhibits
exponential motions. In addition, however,
it
may contain impulsive motions.
Qx AT ,
u R1BT
satisfies the following equation:
x A BR 1BT x

AT
Q
and the boundary condition are specified as
let
Sx
(15)
where S is a constant matrix to be determined. Put this in

(9) we get
u R 1BT Sx
(16)
Substituting (16) in (7),we get

IV.
OPTIMAL CONTROL OF SINGULAR SYSTEM
x ( A BR 1 BT S) x
In this section, we consider the LQR problem for linear

By (10), (11), (15), (17), we have
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(17)
C k[ P t f M ]1
Solving (28) for C ,we obtain the Haar coefficients of the rate
(p) .Then substitute
variable x (p) rate co-state variable p
S( A BR 1BT S) x Sx Qx AT
Qx AT Sx
(28)
(18)
zthem into (26) .The answer of x(p) and

Haar function are finally obtained.
that is
(SA AT P SBR 1 BT S Q) x 0
(19)
Since this is true for any x , we obtain the following Ricatti
VI .
p(p) in terms of
IILUSTRATIVE EXAMPLE
Let us consider the example
equation for singular system:
1 0
0 1
0
0 0
1 0
1 u
SA AT S SBR 1 BT S Q 0
(20)
By (16) , the optimal state deriviative feedback control is
given by [4]:
The performance index is specified as

1
K R 1BT S
u Kx ,
J (u 2 x12 x22 ) dt
(21)
And the closed loop system becomes
The the state variable x(t) and optimal control law u(t) are
computed with m=4. Fig. 1, 2, 3. shows the result.
x (A BK ) x
V.
(22)
HAAR SERIES SOLUTION TO THE PROBLEM
-0.6
-0.7
4
1
-0.8
Firstly we normalize the problem because Haar series is

defined in the 0 to 1 interval
p / tf ;
X1(t)
-0.9
-1
(23)
-1.1
Then (12) becomes
-1.2
-1.3
0.1
S
E
and we can determine its coefficients.
x (p)
C (p)
(p)
0.3
0.4
0.5
time
0.6
0.7
0.8
0.9
0.7
0.8
0.9
0.7
0.8
0.9
Fig.1 First State Variable
1.5
0.5
X2(t)
x (p)
x(p)
(24)
(p) t f M , 0 p 1
(p)
(p) to be expanded into Haar series
Next, assume x (p) and p
0.2
-0.5
(25)
-1
-1.5
0.1
where C is an 2nXm matrix, and (p) ,an m-vector.

To perform integration on (25) eqn (2) is applied:
x(p 0)
x(p)
(p)
(p) CP (p) 0
0.2
0.3
0.4
0.5
time
0.6
Fig.2 Second State Variable
(26)
0.6
0.4
0.2
0
Substituting (26) and (25) into (24) gives

Defining k as
U(t)
-0.2
-0.4
-0.6
-0.8
x(p 0)
k
0n , 02 n...02 n
-1
-1.2
0.1
(27)
0.2
0.3
0.4
0.5
time
0.6
Fig.3 Control Input
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VII.
CONCLUSION
In this paper, a technique has been developed for obtaining

the optimal control of singular systems with quadratic cost
functional using haar functions. The proposed approach is
computationally simple. Since haar functions are piecewise
constant, one has to choose a large value for m in order to
improve the accuracy.
VIII.
FUTURE SCOPE
The work can be extended to optimal control of fractional

order singular system via hybrid of orthogonal functions.
REFERENCES
[1] Chih-Fan Chen and Chi-Huang Hsiao, Design of piecewise constant
gains for optimal control via walsh function, IEEE Trans. on
Autom.Cont.,vol.ac-20,NO.5,Oct 1975S.
[2] Leila Ashayeri, Masoud Shafiee, and Mohammad Bagher Menhaj,
Optimal control of fractional order singular system via block pulse function,
Iranian Conf.(ICEE),May 15-17 2012.
[3]
F.L.Lewis, A survey on linear singular systems, Circuits systems
signal process, vol. 5, no. I, 1986.
[4] Yuan-Wei Tseng and Jer-Guang Hsieh, Optimal Control for a Family
of Systems in Novel State Derivative Space Form with Experiment in a
Double Inverted Pendulum System ,Abstract and Applied Analysis vol.
2013, Article ID 715026, 8 pages,2013.
[5]
Iman ZamanI, Mahdi Zaynali, Masoud Shafiee, Ahmad Afshar,
Optimal control of singular large-scale linear systems, Electrical Engeering
(ICEE), Iranian Conf, pp. 1-5,2011.
[6]
K. Balachandran, K. Murugesan, "Optimal control of singular systems
via single-term Walsh series", Intern. J Computer Math.. vol. 43, pp. 153159,1992
[7] M. Shafiee, M. Razzaghi, "Optimal control of singular systems via
legendre series", Intern., J Computer Math., vol. 70, pp. 241-250,1998.
[8] M. Razzaghi, H. R. Marzban, "Optimal control of singular systems via
piecewise linear polynomial functions", Math. Meth. Appl. Sci . .vol. 25, pp.
399-408, 2002.
[9] G. C. Verghese, B. Levy, T. Kailath, "A generalized state-space for
singular systems", IEEE Trans. On Automatic Control, vol. 26, no. 4,August
1981.998.
[10] Z.H .Jiang,W.Shaufelberger, "Block pulse functions and their
applications in control systems, lecture notes in control and information
sciences,vol.179,pp.1-25.
[11] Chen, C.F., and Hsiao, C.H, "A state-space approach to Walsh series
solution of linear systems, Int. J. System Sci., pp. 833-858,1965.
[12] Chen, C.F., Tsay, Y.T., and WU, T.T., "Walsh operational matrices for
fractional calculus and their application to distributed system, J. Franklin
Inst., 303, pp. 267-284,1977.
[13] Hwang, C., and Shih, Y.P., "Laguerre operational matrices for fractional
calculus and applications, Znt. J. Control, 34,1981.
[14] King, R.E., and Paraskevopoulos, P.N., "Parameter identification of
discrete time SISO systems, Int. J. Control, 1979,
[15] Chang, R.Y., and Wang, M.L., "Legendre polynomials approximation
to dynamical linear state space equations with initial and boundary value
conditions, Znt. J. Control, 40, pp.215-232,1984.
[16]
Paraskevopoulos, P.N., "Chebyshev series approach to system
identification, analysis and optimal control, J. Franklin Inst., 316, pp. 135157,1983.
[17] Paraskevopoulos, P.N., Sparcis, P.D., and Mon-Roursos, S.G., "The
Fourier series operational matrix of inte-gration, Int. J. System Sci., 16, pp.
171-176,1985.
4
1
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E
293 of 446
Baseline Wander and Power Line Interference

Removal in ECG Signal
Pankaj K.Gakare, V. D. Jaiswal, A. K. Sapkal
Abhilasha M. Patel
Asst. Professor, Dept. of Electronics & Telecommunication

Datta Meghe Institute of Engg., Technology & Research
Sawangi(M), Wardha, India
pankajgakare@gmail.com
Programmer Analyst
Cognizant Technology Solutions
Mumbai, India
abhilasha.patel05@gmail.com
Abstract Electrocardiogram (ECG) analysis plays vital role in

diagnosis of heart diseases. In order to avoid erroneous
conclusions, it is of utmost importance that only sinus rhythms
are present in the ECG Signal. Therefore, preprocessing of the
ECG signal is necessary before utilizing it for diagnostic purpose.
In an ECG signal all kind of noises may occur simultaneously,
two major noises that can be contaminated in ECG signal are
baseline wander and power line interference, removal of those
two noises from an ECG signal is a classical problem. In this
paper digital filtering based simple approach is proposed for the
removal of baseline wander and power line interference.
Performance evaluation of this algorithm is done on recorded
ECG signals by holter recorder and MIT-BIH database.
Validation of proposed algorithm indicates that it effectively
removes baseline wander and power line interference and
preserves useful clinical information.
Two major kinds of noises that interfere with ECG signals

are
During the recording process, noise heavily affects the

signal. In addition, the ECG signals collected from different
people are heterogeneous, generally reflected by the variations
in the amplitude of the beats. Hence, computationally
intensive preprocessing is required for beat detection and
feature extraction. The most important features include the
information lying in the P, Q, R, S, and T waves of the ECG
signal. ECG beats should be classified based on these features
in order to detect different types of CVD. In ambulatory ECG,
all kinds of noise may occur simultaneously and
unpredictably[9].
Power-line interference
Different approaches that are used for removal of baseline

wander from an ECG signal are cubic spline approximation,
digital filters, median filters, adaptive filters, wavelet adaptive
filters and empirical mode decomposition.
4
1
Similarly various approaches that are used to remove the

effect of power line interference from an ECG signal include
digital notch filter, and gradient filter etc. Advantages and
limitations of these methods are discussed in next section.
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E
Baseline wandering and,
ECG preprocessing generally takes care of de-noising the ECG

signal.
Keywords: ECG, Baseline Wander, Power line Interference,

Digital Filter.
I. INTRODUCTION
The electrocardiogram (ECG) is an important tool for
providing information about functional status of the heart.
Analysis of ECG is of great importance in the detection of
cardiac abnormalities. The ECG is characterized by a recurrent
wave sequence of P, QRS and T- wave associated with each
beat. The QRS complex is the most striking waveform, caused
by ventricular depolarization and atrial repolarization of the
human heart. Once the positions of the QRS complexes are
detected, the locations of other components of ECG like P, T
waves and ST segment etc. are found relative to the position of
QRS, in order to analyze the complete cardiac period [9].
Here in this paper simple approach based on digital filters

is proposed for the removal of baseline wander as well as
power line interference from the ECG signal
The paper is organized as follows: Section II describes the
different methods for removal of baseline wander and power
line interference and the methodology used in this paper.
Section III describes the proposed algorithm. Results are
presented in section IV and the summary is concluded in
section V.
II.
METHODOLOGY
Baseline wander is a low frequency artifact in ECG signal;

the usual causes of this noise are movement of patient,
breathing, bad electrode skin contact etc. Removing this kind
of artifact is a primary step in ECG signal processing before
using it for diagnostic purpose or further processing.
Many Different methods are proposed to remove baseline
wander from ECG signal. Adaptive filtering approach does not
disturb ECG spectrum but it requires suitable reference signal
which is difficult to be estimated, and adds to the complexity
of hardware and software. Cubic spline approximation and
subtraction technique involves baseline estimation with
polynomial or cubic spline and subtracting it from signal,
performance of this technique is dependent on accuracy to
determine the knots. The empirical mode decomposition
294 of 446
adaptively decomposes an ECG signal into a series of intrinsic

mode functions (IMFs). Selective reconstructing IMF can
approximate the baseline wander, however they cause
distortion in signal because of overlapping of signal and
disturbance, which is undesirable [1]-[4].
algorithm[8], here in this paper only the filtering part of this

algorithm is considered.
Power lines to the measurement system causes power line

interference in the ECG signal despite proper grounding,
shielding and amplifier design. The frequency range of power
line interference usually varies around 50 Hz.
ECG signals from the electrodes are corrupted by various

sources, such as the power line interference, potentials from
muscular activity, and interferences from other nearby
electronic devices. Hence, the signals must undergo preprocessing like filtering to remove unwanted data from being
processed and misinterpreted [9].
Here the main application is removal of baseline wander
and power line interference. A derivative based high pass filter
is used to remove low frequency base line wander from
recorded ECG signal.
In order to remove power line interference from an ECG

signal, digital notch filters are traditionally used which are
characterized by a unit gain at all frequencies except at notch
frequency where the gain is almost zero. Tremendous number
of FIR and IIR filters has been proposed for this purpose [3],
[10].
The transfer function of high pass filter is given as follows:

H(z) = [ 0.9975(1 - z-1) / (1 0.995 z-1) ]
Most of these proposed algorithms are based on gradient

descent methods which require at least two filter structures,
one of them serves for generation of gradient signals that is
used in adaptation algorithms. This adds to hardware
complexity. Further, as the gradient filter is also needed to be
tuned during adaptation, it increases the computation
complexity also.
It is important that the filter removes baseline wander and
power line interference from the ECG signal preserving the
diagnostically useful information for correct interpretation. In
this paper simple approach based on digital filters is proposed.
High pass filter, which is a classical method to remove very
low frequency components from an ECG signal, is used to
suppress baseline wander. The typical frequency range of
baseline wander is usually below 0.5 Hz. Hence high pass
filter can serve the purpose and the components with
frequencies below 0.5 Hz are easily filtered out. The
frequency component of power line interference is usually
around 50; comb filter is used to get rid of power line
interference.
III.
y(nT) = 0.995y(nT - T)+0.9975[x(nT)x(nT-T)]

Removal of the power line interference is achieved with
the help of a comb filter which is characterized by a transfer
function:
H(z)=0.6310[1+z-9]+ 0.4161[z-1+z-8] 0.0637[z-2 +z-7]
+0.0224 [z-3 + z-6] 0.061[z-4 + z-5]
The proposed algorithm is a modified version of real time

QRS detection algorithm proposed by J. Pan and W.J.
Tompkins [8][9]. The steps involved in this algorithm are
signal filtering using low-pass, high-pass, and comb filter.
- 0.0637 [x(nT 2T) + x(nT 7T)] + 0.0224 [x(nT 3T)
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E
PROPOSED ALGORITHM
4
1
y(nT) = 0.6310[x(nT 9T)]+0.4161[x(nT- T) + x(nT 8T)]

+ x(nT 6T)] - 0.061 0 [x(nT 4T) + x(nT 5T)]]
IV.
RESULTS
Testing of the proposed algorithm is carried out on the

recorded ECG signals, as well as on the MIT/BIH dataset
available online. Some of the obtained results are shown
below.
Figure 1. Pan Tompkins real time QRS detection Algorithm
Figure 2. Raw (collected) ECG signal
Figure shows the general block diagram of Pan-Tompkins
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Figure 2 is raw ECG signal of patient from MIT/BIH

database contaminated with noises and baseline wander. This
signal when passed through Derivative based High-pass filter
it does not introduce delay in samples and preserves most of
the energy at the high frequencies corresponding to the QRS
complex, and the low frequency components such as baseline
wander are removed effectively.
A comb filter adds a delayed version of a signal to itself,
causing constructive and destructive interference. It improves
quality of signal. The implementation here is feed forward i.e.
FIR filter [9].
Output of proposed filtering algorithm obtained from the
same sample is shown in the figure 3, below.
Figure 5. Collected and Reconstructed ECG signal
After filtering the raw ECG signal, it is can be used for the
diagnostic purpose or for further processing depending upon
the requirement of the application.
V. CONCLUSION
Validation of the proposed algorithm is carried out using
MIT-BIH Database i.e. using MITDB which is available
online at Physionet website. Performance of this algorithm is
found to be satisfactory on the basis of required parameters i.e.
baseline wander and power line interference removal from the
recorded ECG signal.
4
1
Figure 3. Original and Reconstructed signal.
The signal plotted in blue color shows the original

sample, while the corresponding reconstructed signal is shown
in red color.
S
E
Some more results are shown in the following figure 4

and 5 for ECG recording with longer time duration.
The algorithm is tested on 103 ECG samples from

recorded ECG and MIT/BIH dataset out of which it give
correct output for 94 samples which implies that the accuracy
of this algorithm is around 91%.
[1]
[2]
[3]
[4]
[5]
[6]
Figure 4. Collected and Reconstructed ECG signal
[7]
REFERENCES
Laguna.P, Jane. R, Caminal. P, Adaptive Filtering Of ECG Baseline

Wander, Proceedings of the Annual International Conference of the
IEEE Engineering in Medicine and Biology Society, pp: 508-509,1992
Jane.R, Laguna. P, et al, Adaptive baseline wander removal in the ECG:
Comparative analysis with cubic spline technique, Computers in
Cardiology, pp.143-146, 1992
Jacek M. Lski and Norbert Henzel, ECG baseline wander and
powerline interference reduction using nonlinear filter bank, signal
processing, Vol85, No.4, pp.781-793, 2005.
Gradwohl.J.R, Pottala.E.W., et al, Comparison of two methods for
removing baseline wander in the ECG, Computers in Cardiology,
pp.493-496, 1988
Rune Fensli, Einar Gunnarson, Torstein Gundersen, A Wearable ECGrecording System for Continuous Arrhythmia Monitoring in a Wireless
Tele-Home-Care Situation , 18th IEEE International Symposium on
Computer based Medical systems, Dublin, June 2005.
Patrick S. Hamilton, Willis J. Tompkins, Quantitative Investigation of
QRS Detection rules using the MIT/BIH Arrhythmia Database, IEEE
Transactions on Biomedical Engineering, Vol. BME-33, N0.12,
December 1986, PP No. 1157-1165.
Thomas Ho Chee Tat, Chen Xiang, Lim Eng Thiam, Physionet
Challenge 2011: Improving the Quality of Electrocardiography Data
Collected Using Real Time QRS-Complex and T-Wave Detection,
Institute for Infocomm Research, Singapore, Singapore
296 of 446
[8]
[9]
J. Pan and W.J. Tompkins, A real-time QRS detection algorithm,

IEEE Trans. Biomed. Eng., vol. BME-32, pp. 230-236, 1985.
Pankaj K. Gakare, Abhilasha M. Patel, Jignesh R. Vaghela, R.N.Awale
Real Time Feature Extraction of ECG Signal on Android
Platform IEEE Conference on Communication, Information &
Computing Technology, Mumbai, India October 2012
[10] Santpal Singh Dhillon, Dr. Saswat Chakrabarti, Power Line

Interference Removal From Electrocardiogram Using A Simplified
Lattice Based Adaptive Iir Notch Filter 23rd annual IEEE conference
EMBS, 2001, Istanbul, TURKEY
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E
297 of 446
Prediction of relative density of clean sand: A

support vector machine approach
Sunil Khuntia
Chittaranjan Patra

National Institute of Technology, Rourkela
Rourkela, 768009, Odisha, India
sunilkhuntia.nitrkl@gmail.com

Rourkela, 768009, Odisha, India
crpatra19@yahoo.co.in
that builds a nonlinear model in the feature space where the
inputs have been transformed by means of a nonlinear
mapping . This is converted to the dual space and the use of
a positive definite kernel, without explicitly computing the
mapping . Samui et al. (2011) discussed about models which
are an alternate formulation of SVM regression (Vapnik and
Lerner, 1963) proposed by Suykens et al (2002). Consider a
given training set of N data points xk , yk kN1 with input data
Abstract: This paper demonstrates the feasibility of least

square support vector machine (LS-SVM) for the prediction of
relative density of 55 laboratory test results of clean sand
samples from its index properties based on different compactive
efforts. The comparison between the developed LS-SVM and the
regression models shows that the developed LS-SVM models
perform better than the regression models. This article shows
that the developed LS-SVM can be used to predict Relative
density (Dr) which is valuable in compaction control of
earthwork and would be well received in the development of
compaction specifications.
xk R N and output
space and r is the one-dimensional vector space. For prediction

of Dr of clean sand using its index properties and compaction
energy, x Gs , D50 , Cu , E and y Dr .
Keywords: clean sand, relative density, LS-SVM, compaction

energy, mean grain size
I.
4
1
INTRODUCTION
In feature space LS-SVM models take the form
Field compaction of sands usually involves different

equipments with the compaction energy varying significantly.
The relative density is the better indicator for specifying the
compaction of granular soil. If the relative density can be
correlated simply by any index property of the granular soil,
it can be more useful in the field. The relative density is
defined in terms of voids ratio and the minimum and
maximum voids ratio depend on the mean grain size.
Therefore, the effect of mean grain size (D50) on the relative
density of sand has been studied at different compaction
energies (E). Relative density of sand is greatly affected by
particle shapes, sizes and their packing.
S
E
Several publications have appeared in recent years

documenting the prediction of compaction parameters of
coarse-grained soils (Korfiatis and Manikopoulos 1982; Omar
et al. 2003). Very limited researches have been done to
predict the relative density of sand. This paper is an extension
of the work of Patra et al. (2010) in which an attempt is made
to develop a single empirical correlation for relative density
of clean sands [1]. In this paper a model is developed to
predict the relative density using LS-SVM which proves to be
very effective.
II.
y k r where R N the N-dimensional vector
y ( x) wT ( x) b
Where the non-linear mapping (.) maps the input data into
a higher dimensional feature space; wR n ; br; w = an
adjustable weight vector; b = the scalar threshold. In LS-SVM
for function estimation the following optimization problem is
formulated:
N
Minimize: 1 wT w 1 e 2
k
2
2 k 1
Subject to: y( x) wT ( xk ) b ek , k 1,.........., N
where ek = error variable and = regularization parameter.
The following equation for Dr prediction has been obtained by
solving the above optimization.
N
D r y( x ) k K ( x , x k ) b
(1)
k 1
Where
x x
k
K ( x k , x ) exp
2
k, l 1,........,N
is the width of radial basis function and k is the Lagrange

multiplier.
SUPPORT VECTOR MACHINE (SVM)
SVM algorithm is proposed by Vapnik (1998) and has

properties such as good generalization, convergence to
optimum solution. LS-SVM is a nonlinear regression method
In LS-SVM regression algorithm, the regularization

parameter and RBF kernel parameter 2 have to be tuned in
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order to achive accurate solution. An integrated parameter

optimization approach via simplex i.e. multidimensional
unconstrained non-linear optimization (J. A. Nelder and R.
Mead, 1965) and 10 fold cross-validation is used to minimize
generalization error. The optimum pairs of parameters [, 2]
and bias value for the developed model is represented in
Table. 4.
Minimum
2.535
1.420
0.340
360
33.7
Maximum
2.764
9.830
2.600
2700
97.7
TABLE 2 CROSS-CORRELATION BETWEEN DIFFERENT

PARAMETERS
G
III.
DETAILS OF PRESENT ANALYSIS
In this context, LS-SVM model developed for

determination of Relative density of clean sand conducted by
Patra et al. (2010) and the detailed procedure and standards
can be found from the literature [1]. To develop LS-SVM, the
data have been divided into two groups. 160 data out of 220 as
a training dataset for constructing the LS-SVM model and 60
data have been used as a testing dataset to assess the
performance of model. The data are normalized between 0 and
1. The normalization has been done by using the following
equation:
xn
x x min
x max x min
Cu
-0.718
1.000
D50
-0.682
0.895
1.000
0.000
0.000
0.000
1.000
Dr
0.232
-0.188
-0.196
0.846
Dr
1.000
4
1
N
Dr y( x) k K ( x, xk ) b
k 1
x x 2
Where
k
K ( x k , x ) exp
k, l 1,........,N
where is the width of radial basis function.

The statistical performances i.e. Mean Absolute Error
(MAE), Root Mean Squared Error (RMSE), Correlation
Coefficient (R) and coefficient of efficiency (R2) for the
model are presented in table 3.
SELECTION OF THE INPUTS OF THE MODEL
S
E
D50
In Support Vector Machine (SVM), the Least Square

SVM was used for regression modeling. The Polynomial,
RBF Kernel functions were used. The optimum values of
width of radial basis function (), regularization parameter ()
and Lagrange multiplier (k) were obtained for the best fitted
model and the final equation was formed using the following
equation (Smola and Scholkopf, 1988; Vapnik, 1988).
(2)
The maximum, minimum, average, and standard deviation

for the data set used for modeling are shown in Table 1. The
successful application of a method depends upon the
identification of suitable input parameters. The selection of
the input parameters is based on the correlation coefficient
(R) with output. This is shown in Table 2. The more the
absolute value of correlation coefficient is close to value 1,
the stronger will be the linear correlation while closer to 0
will be very poor correlation between the tested variables.
From Table 2, it is observed that G, Cu, D50 and E are the
important input parameters for predicting Dr having crosscorrelation values of 0.232, -0.188, -0.196 and 0.846
respectively. Out of these variables, two parameters D50 and E
are considered for development of model for direct
comparison with the regression model reported by Patra et al.
(2010).
1.000
V.
where x = any data (input or output), xmin= minimum value

of the entire dataset, xmax= maximum value of the entire
dataset, and xn = normalized value of the data. The optimum
values of and has been determined by the trial and
error approach during the training. The program of LS-SVM
has been developed by using MATLAB.
IV.
Cu
TABLE 3 STATISTICAL PERFORMANCES OF LS-SVM MODEL
Model
Model
Inputs
MAE RMSE
Correlation Coefficient of
coefficient determination
(R)
(R2)
Patra et
al. (2010)
D50, E
4.39
5.23
0.96
0.916
LS-SVM
model
Training 1.96
2.45
0.991
0.983
D50, E
1.99
2.45
0.989
0.978
Testing
TABLE 1 STATISTICAL VALUES OF PARAMETERS
Mean
Gs
2.633
Cu
3.606
D50
0.880
E
1240
Dr
65.7
0.061
2.233
0.614
913
18.1
Standard
Deviation
The model was compared in terms of correlation

coefficient (R) and coefficient of efficiency (R2) to access the
performance of models. The value of R has been determined
by using the following equation:
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n ( y. y p ) ( y) ( y p )
predicted. The comparison of experimental and predicted

value of Dr by regression model is shown in fig. 2 and the
performance of the model in training and testing is shown in
fig. 3 for present study.
(3)
[n y 2 ( y) 2 ][n y p 2 ( y p ) 2 ]
where y = observed value, yp = predicted value, n =

number of observations
Smith (1986) suggested that the value of R lies between 0
to 1. He suggested some guidelines for deciding the
performance of the model. If |R| 0.8: a strong correlation
exists, 0.2 < |R| < 0.8: correlation exists and |R| 0.2: a weak
correlation exists. When the value of |R| is greater than 0.9,
then a very strong correlation exists between the variables.
From table 3, it was observed that the value of |R| is nearly
equal to 0.99; hence it shows a very strong relation between
inputs and outputs.
Fig. 3. Performance of the model in training and testing (Present study).
4
1
TABLE 4 OPTIMUM VALUES OF LS-SVM PARAMETERS

Fig. 1. - values for the developed model
A
LS-SVM
S
E
16758
3.8213
1.93
VI. SENSITIVITY ANALYSIS
Iman and Hora (1990) have investigated the performance

of a sensitivity measure based on the percentage variance in f
explained by any input variable Xi. This technique is known
as measure of importance, and its use is associated with the
estimation of the quantity
Si
Var xi Ef | X i
Var f
(4)
where E (f | Xi ) indicates the expectation value of f when

the ith variable is fixed to the value Xi , Var xi stands for the
Fig. 2. Comparison between experimental and predicted value of Dr from
regression (Patra et al., 2010).
It can be observed from Table 3 that the developed model

shows good correlation in both training and testing which is
comparatively the better model for the prediction of Dr. The
optimum values of , 2 and b presented in table 4 and the
Lagrange multipliers are shown in fig. 1. By using these
optimum values and k in (1), the relative density can be
variance of the argument over all the possible values of X i

and Var(f) is the unconditional (total) variance of f. In the
present paper, the outcomes in the f are observed by keeping
mean of the Xi value fixed for other arguments varying. From
the sensitivity analysis, it is found that the mean grain size of
the sand (97%) is more sensitive towards the evaluation of
Relative density compared to the compaction energy (3%).
Hence for the prediction, the value of mean grain size has to
be determined very precisely.
300 of 446
M. Omar, A. Shanableh, A. Basma and S. Barakat, Compaction

characteristics of granular soils in United Arab Emirates, Geotech.
Geologic. Eng., 21, 2003, pp. 283295.
[6] P. Samui, T. G. Sitharam, Least-square support vector machine applied
to settlement of shallow foundations on cohesionless
soils,
International Journal of Numerical and Analytical Method in
Geomechanics, Vol.32, No. 17, 2008, pp. 2033-2043.
[7] P. Samui, T. G. Sitharam, and P. U. Kurup OCR prediction using
support vector machine based on piezocone data, Journal of
Geotechnical and GeoEnvironmental engineering 134.6, 2008, 894
898.
[8] Pijush Samui, Sarat Das, Dookie Kim and G. L. Yoon, Determination
of Compression Index For Marine Clay: A Least Square Support
Vector Machine Approach, Int. J. Advance. Soft Comput. Appl., Vol.
3, No. 1, March 2011, ISSN 2074-8523.
[9] S. H. Hwang, D. H. Ham and J. H. Kim, Forecasting Performance of
LS-SVM for Nonlinear Hydrological Time Series, KSCE Journal of
Civil Engineering, 16(5), 2012, pp. 870-882.
[10] S. K. Das, P. Samui and A. K. Sabat, Prediction of field hydraulic
conductivity of clay liners using an artificial neural network and
support vector machine, International Journal of Geomechanics, 2012,
pp. 606-610.
[11] V. N. Vapnik, The nature of statistical learning theory, Springer, New
York, 1995.
[12] V. N. Vapnik, Statistical learning theory, Wiley, New York, 1998.
[13] J. A. Nelder and R. Mead, A simplex method for function
minimization, The computer journal 7.4, 1965: 308-313.
[14] R. L. Iman & S. C. Hora, A robust measure of uncertainty importance
for use in fault tree system analysis, Risk Analysis, 10, 1990, pp. 401406.
[15] G. N. Smith, Probability and statistics in civil engineering: an
introduction. London: Collins, 1986.
[5]
VII. CONCLUSION
The performance of the developed LS-SVM models is
better than the regression model and gives very promising
result in prediction. User can use the developed equation for
prediction of Dr by knowing the values of D50 and E. The LSSVM can avoid several disadvantages such as local optimal
solution, low convergence rate, especially poor
generalization when few samples are available, etc. In
summary, it can be concluded that the developed LS-SVM
model is useful for determination of Dr of clean sand.
REFERENCES
[1] C. R. Patra, N. Sivakugan and B. M. Das and S.K. Rout, Correlations
for relative density of clean sand with median grain size and
compaction energy, International Journal of Geotechnical Engineering,
4(2), 2010, pp. 195-203.
[2] C. R. Patra, N. Sivakugan and B. M. Das, Relative density and median
grain-size correlation from laboratory compaction tests on granular
soil, International Journal of Geotechnical Engineering, 4(1), 2010, pp.
55-62.
[3] G. P. Korfiatis, and C. N. Manikopoulos, Correlation of maximum dry
density and grain size, Journal of the Geotechnical Engineering
Division, 108, 1982, pp. 11711176.
[4] J. A. K. Suykens, L. Lukas and J. Vandewalle, Sparse approximation
using least squares support vector machines, Proceedings of the IEEE
International Symposium on Circuits and Systems (ISCAS, 2000), 2,
pp. 757760.
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Strengthening of Structures using Glass Fibre

Reinforced Plastic
Dhananjoy Mandal 1
PG Student
E-mail: surajitce08@gmail.com
Showmen Saha3
Professor
E-mail: showmen.saha@ce.nitdgp.ac.in
Debayan Ghosh2
UG Student
National Institute of Technology, Durgapur, India
E-mail: debayanghsh@gmail.com
Somnath Karmakar4
E-mail: som_civil07@rediffmail.com
Abstract Glass fiber reinforced polymer (GFRP)

composite materials have been successfully used in new
construction and for the repair and rehabilitation of existing
structures. Glass Fibre Reinforced Polymer (GFRP)
reinforcement have mechanical and chemical characteristics
which make them suitable for use in concrete construction.
Glass Fibre Reinforced Polymer (GFRP) reinforcement is
increase the flexural and shear strengthening of the beam
.Reinforcing concrete with a combination of steel and glass
fiber-reinforced polymer GFRP promises favourable
strength, serviceability, and durability. To verify its promise
and to support design of concrete structures with this type of
reinforcement, we have experimentally and theoretically
investigated the load-deflection behaviour of concrete beams
reinforced with GFRP and steel bars. A comparison with the
analytical results of predicting the load capacity and central
deflection are also presented in order to evaluate the
accuracy of the analytical model. The experimental results
generally showed that both flexural strength and stiffness of
reinforced concrete beams could be increased by such a
bonding technique. Reasonably good correlations between
experimental and numerical results are achieved.
I. INTRODUCTION
Structural strengthening of a concrete buildings are currently

major activities in the construction industry. In the past,
strengthening would be carried out by casting additional
reinforced concrete or by dowelling in additional steel
reinforcement. Such a process is not only time consuming and
complicated but could also affect the structural appearance.
Strengthening of existing structures has become a routine activity
to upgrade existing deficient structures so that they can meet new
higher load demands and overcome deterioration due to natural
and man-made events. Strengthening of concrete or any material
mainly depends upon the stress and strain property of that
material. With the development of material science, many new,
high-quality, and cost-efficient materials have come with the
sensing of their strain and stress state in structural engineering.
Smart material is one good example. The prospect of engineering
use of any material depends primarily on its stress-strain profile.
Fiber reinforced polymer (FRP) materials offer higher strength
than steel, but are less stiff than steel, except some types with
high modulus such as carbon fiber reinforced polymer (CFRP).
The higher strength can result in smaller dimensions of the plate
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Keywords Glass Fibre-Reinforced Polymer, Building Material,

Durability and etc
or sheet reinforcement. From a structural point of view, however,

absence of a yield plateau may cause a sudden brittle fracture of
the plate or sheet, which may not be desirable or acceptable from
the design point of view, and much more needs to be understood
about the cracking and fracture processes in such materials.
The higher strength of the sheet or plate reinforcement
may lead to higher ultimate strengths of the sheeted
(strengthened) composite member, but this needs to be matched
with higher load factor than is currently specified in building
codes. The greatest advantage of FRP materials is that they are
not susceptible to the type of rapid electrochemical corrosion that
occurs with steel. In economic terms, steel is cheaper than FRP
materials, but considering that in repair and strengthening work
involving plate or sheet bonding, labour and operational costs
often far outweigh material costs, lightweight FRP materials can
not only substantially reduce costs, but also greatly minimize site
inconveniences and handling problems. Due to the relatively low
elastic modulus, linear elastic behaviour and limited strain
capacity of FRP's, concrete members reinforced with FRP
reinforcement exhibit a brittle failure mode. Hence, lack of
ductility in such members is one of the key issues facing
researchers. Ductility is commonly defined as the ability to
undergo large plastic deformations prior to failure. Different
approaches for achieving ductility which consists of combining a
low modulus, medium strength, polymeric material with CFRP or
GFRP as reinforcement are available in different studies. The
purpose of this paper is to provide experimental data on the
response of RC beams strengthened in flexure using GFRP sheets.
This includes different strengthening and repairing techniques.
Results of the experiments are evaluated in terms of flexural
capacity, central deflection, structural ductility and mode of
failure. A comparison with the analytical results of predicting the
load capacity and central deflection are also presented in order to
evaluate the accuracy of the analytical model. Glass Fibre
Reinforced Polymer (GFRP) reinforcement bars have mechanical
and chemical characteristics which make them suitable for use in
concrete construction, when corrosion of reinforcement is one of
the main problems. However, before the adoption of any new
reinforcement in construction extensive research is required to
enable engineers to understand its fundamental behaviour and
differences with conventional reinforcement.
II. BASICS ABOUT GLASS FIBER REINFORCED

PLASTIC
Glass
fiber-reinforced
polymer
(GFRP)
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concrete
reinforcement exhibits high strengths, is lightweight, can
designed to help with long term strength and ductility. Both

mixtures were compared with control specimens without
fibers.
Amar Khennane et al. (2003) Although it is well
known that moisture ingress in glass fiber reinforced
polymers (GFRP) enhances the phenomenon of stress
corrosion cracking in the fibers, and that this reaction is
likely to proceed more rapidly at the weakest sites in the
glass fiber surface, a fundamental law that would permit
the valid extrapolation of stress rupture curves to long
service lives is yet to be developed. As a result, design
guidelines for glass fiber reinforced polymers components
have been developed mainly on a prescriptive rather than
of a performance basis. Based on the well-established
knowledge on the chemical behaviour of glass and, in
particular, that of glass flaws, a model that combines
fracture mechanics, shear lag theory, and a probability
model for flaw size is developed to describe the behaviour
composites. The predicted results, although limited to
rather idealized situations, are very encouraging. They
suggest that, with only modest assumptions about material
properties, it is possible to obtain mechanisms of GFRP
breakdown, which correspond with observed experimental
behaviour.
decrease time of construction and is corrosion resistant.

However, research has shown that chemical reactions
deteriorate the GFRP reinforcing bars over time resulting
in a reduced tensile capacity. This paper develops a timevariant probabilistic model to predict the tensile capacity
of GFRP bars embedded in concrete. The developed
model is probabilistic to properly account for the relevant
sources of uncertainties, including the statistical
uncertainty in the estimation of the unknown model
parameters (due to the finite sample size), and the model
error associated to the inexact model form (e.g., a liner
expression is used when the actual and unknown relation
is nonlinear) and missing variables (i.e., the model only
includes a subset of the variables that influence the
quantity of interest.) The proposed model is based on a
general diffusion model, where water or ions penetrate the
GFRP bar matrix and degrade the glass fiber-resin
interface. The model indicates that GFRP reinforcement
bars with larger diameters exhibit lower rates of capacity
loss. The proposed probabilistic model is used to assess
the probability.
In the form first used, glass fibers were found to be alkali
reactive and products in which they were used deteriorated
rapidly. Alkali-resistant glass containing 16% zirconia was
successfully formulated in the 1960's and by 1971 was in
commercial production in the UK. Other sources of alkaliresistant glass were developed during the 1970's and
1980's in other parts of the world, with higher zirconia
contents. Alkali-resistant glass Fibre is used in the
manufacture of glass-reinforced cement (GRC) products,
which have a wide range of applications. Glass Fibre is
available in continuous or chopped lengths. Fibre lengths
of up to 35-mm are used in spray applications and25-mm
lengths are used in premix applications.
A.
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Research on the properties of GFRP in beams
Necessary review and collection of information regarding

available material products was conducted to select the
most appropriate material for this research. Different fiber
materials were compared in terms of phase transformation
temperature, material properties, price range, etc., before
the most appropriate one was chosen.
T. Desaib et al. (2003) Mechanical properties of
concrete mixtures with AR glass fibers are studied. Two
types of concrete mixtures representing a lean mixture and
an HPC (High Performance Concrete) mixture are used.
Two types of AR Glass fibers High dispersion (HD) and
High Performance (HP) with different sizing formulations
to help with distribution, bonding and durability were
considered. High dispersion (HD) AR Glass fibers of
several different lengths were used to evaluate the effect
of fibers which disperse thoroughly throughout the
mixture. These were compared with High Performance
(HP) type AR Glass fibers which maintain the bundle
characteristics throughout the mixing and casting and are
4
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A. Types of FRPs
The major constituents of FRP are the fiber and the resin.
The mechanical properties of FRP are controlled by the
type of fiber and durability characteristics are affected by
the type of resin. The commonly used types of FRP are:
i) Carbon Fibre Reinforced Polymer (CFRP)
ii) Glass Fibre Reinforced Polymer (GFRP)
iii) Aramid Fibre Reinforced Polymer (AFRP).
III. STRENGTHENING BY GFRP
Strengthening with externally bonded GFRP fabric has
shown to be applicable to many kinds of structures.
Currently, this method has been applied to strengthen such
structures as column, beams, walls, slabs, etc. The use of
external GFRP reinforcement may be classified as flexural
strengthening, improving the ductility of compression
members, and shear strengthening. It is well known that
reinforced concrete beams strengthened with externally
bonded fiber-reinforced polymer (FRP) or GFRP to the
tension face can exhibit ultimate flexural strength greater
than their original flexural strength. However, these FRP
and GFRP strengthened beams could lose some of their
ductility due to the brittleness of FRP and GFRP plates.
Reinforced concrete beams were strengthened with Glass
Fiber-Reinforced Polymers (GFRP) or FRP plates. They
concluded that the flexural strength of reinforced concrete
beams could be significantly increased by externally
bonded GFRP of FRP plated to their tension surface.
However, they indicted in their experimental research that
the ductility of reinforced concrete beams using externally
bonded GFRP or FRP was reduced, and the extent of
303 of 446
reduction in ductility was dependent upon the original

beams.
IV. ATTACHING THE GFRP SHEETS
After preparing the concrete surfaces and wiping out the
sheets/strips, the sheets were attached to the concrete
surfaces using epoxy. Any excess epoxy was squeezed out
by pressing the sheets/strips to the concrete. The
sheets/strips were then kept pressed to the concrete until
hardening. The specimens were kept in the laboratory
under control conditions (25 C 2 C and 30% relative
humidity), until the day of testing. The sheets were
attached to the beams as per the designed schemes. GFRP
sheets were attached at the tension (i.e. bottom) face of the
beam whereas in the second scheme, after externally
bonding a single layer of GFRP sheets at the bottom
tension face, U-strip anchorages were also provided at the
ends of the beam. For Group-2 specimens, in the first
scheme, GFRP strips were attached at 90 with respect to
longitudinal axis of the beam, whereas in the second
scheme strips were attached at an angle of 30 from the
same axis of the beam.
Fig 3- Model 1.3
Fig 3- Model 1.3
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V. DESCRIPTION OF MODELS & RESULTS

Model-1(with different steel configuration of beam): It
includes four nos. sub model of beam with different steel
configuration and the same designated as Model-1.1,
Model-1.2, Model-1.3and Model-1.4 .Model1.1 is graded
on concrete M25, 2nos of main bar,2 nos. hanger bar and
3 nos. of stirrup. Model1.2 is graded on concrete M25,
2nos of main bar, 2 nos. hanger bars and 11 nos. of stirrup.
Model1.3 is graded on concrete M25, 3nos of main bar, 2
nos. hanger bars and 3 nos. of stirrup. Model1.4 is graded
on concrete M25, 3nos of main bar, 2 nos. hanger bars and
11 nos. of stirrup. The detail geometry of all the models is
described below.
Fig 5 Load vs Displacement
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Fig 6 Stress vs Strain
Fig1- Model 1.1
Fig 2- Model 1.2
Model-2 (with GFRP wrapping of beam): These include

Model -2 include three nos. sub model of beam with
different GFRP configuration and the same designated as
Model-2.1, Model-2.2 and Model-2.3. Model2.1 is graded
on concrete M25, fully GFRP wrapping but without main
bar, hanger bar and stirrup. Model2.2 is graded on concrete
M25, one fourth length from both end GFRP wrapping but
without main bar, hanger bar and stirrup. Model2.3 is
graded on concrete M25, one fourth from middle both side
GFRP wrapping but without main bar, hanger bar and
stirrup. The detail geometry of all the models is described
below.
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rapping and steel configuration and the same designated as

Model-3.1, Model -3.2, Model -3.3, Model-3.4 , Model3.5, Model-3.6 and Model-3.7 . Model3.1 is graded on
concrete M25, 3 nos. of main bar, 2 nos. hanger bars and 3
nos. of stirrup and fully GFRP wrapping. Model 3.2 is
graded on concrete M25, 3 nos. of main bar, 2 nos. hanger
bars, 12 nos. of stirrup on both end and GFRP wrapping on
middle. Model 3.3 is graded on concrete M20, 3nos of
main bar, 2 nos. hanger bars and 12 nos. of stirrup and
fully GFRP wrapping. Model 3.4 is graded on concrete
M25, 3 nos. of main bar, 2 nos. hanger bars and 3 nos. of
stirrup and one fourth lengths from both end GFRP
wrapping. Model 3.5 is graded on concrete M25, 3 nos. of
GFRP on middle half length of the beam. Model3.6 is
graded on concrete M25, 3 nos. of main bar, 2 nos. hanger
bars and 3 nos. of stirrup and GFRP on the lower plane of
the beam. Model 3.7 is graded on concrete M25, 3 nos. of
GFRP on lower plane of the beam. The detail geometry
of the two models is described below.
Fig 7- Model 2.1
Fig 8- Model 2.2
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Fig 9- Model 2.3
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Fig 12- Model 3.1
Fig 12- Model 3.3
Fig10 Load vs displacement graph
Fig11 stress vs strain graph
Fig13 Load vs displacement graph
Model-3 (with GFRP wrapping and steel of beam): These

include 7 nos. sub model of beam with different GFRP
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Construction, November 2001, pp. 221-227.

[7]. T. Desai, R. Shah, A. Peled, and B. Mobasher, Mechanical
Properties of Concrete Reinforced with AR-Glass Fibers
October 13-15, 2003. pp. 223-232.
[8]. Amar Khennane1 and Robert E. Melchers, F.ASCE2
Durability of Glass Polymer Composites Subject to Stress
Corrosion Journal Of Composites for Construction Asce ,Vol.
7, MAY 2003, pp. 109-117.
Fig14 stress vs strain graph
[9]. Tarek H. Almusallam and Yousef A. Al-Salloum Use Of

Glass FRP Sheets As External Flexure Reinforcement In Rc
Beams, 2004, pp.1-15.
[10]. John P. Newhook, Glass FRP Reinforcement In
Rehabilitation of Concrete Marine Infrastructure Volume 31,
June 2006, pp.53-75.
[11]. M. A. A. Saafan, Shear Strengthening of Reinforced
Concrete Beams Using GFRP wraps Vol. 46, may 2006,pp.1-32.
[12]. Sing-Ping Chiew, M.ASCE; Qin Sun; and Yi Yu Flexural
Strength of RC Beams with GFRP Laminates Journal of
Composites For Construction Asce ,Vol,11,September/October
2007,pp.497-506.
VI. CONCLUSIONS
Beam test results indicate that of flexural reinforced
concrete members with composite fabrics is a very
effective technique for increasing the flexural and shear
strength of these elements. When heavier fabrics are used,
the members will fail by either compression crushing of
concrete or a shear failure at the plane passing through the
longitudinal steel bars. The behavior of GFRP laminated
beam, pure steel beam and other structural beams are
studied by using Finite Element Software (ABAQUS6.111). Consequently model element no 6 used for analysis
purpose. Numerical examples are carried out to study the
performance and the range of applicability of these
elements. For these purpose, RCC beam without
lamination and RCC beam with GFRP lamination with
various elements, various boundary support conditions,
and same mesh size are considered under different
loading. The results are compared with available solutions
and theoretical results, wherever possible. Here different
measurement occurred sometimes it gives higher results
and sometimes gives lower result.
VII. REFERENCES
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[1]. Nebojsa DURANOVIC, Kypros PILAKOUTAS, Peter

WALDRON Tests On Concrete Beams Reinforced With Glass
Fibre Reinforced Plastic Bars1985.
[13]. L V A Seshasay Behaviour In Flexure And Shear of Glass

Fiber Reinforced Self Compacting Concrete Beams 25 - 27
August 2008 14.Osmani M, and Pappu A, Utilisation of Glass
Reinforced Plastic Waste in Concrete and Cement Composites
june 28-june 30 2012,pp.1-7.
[15]. Prof. Parikh Kaushal. B., Modhera Chetan. D., Analytical
Model of Reinforced Cement Concrete Beam Using Glass Fibre
Reinforced Polymer, International Journal of Advanced
Engineering Technology, Vol. I, Issue I, April-June, 2010, pp.4759
[16]. Tianlai Yu; Chengyu Li, P.E., M.ASCE; Junqing Lei; and
Hongxiang Zhang Fatigue of Concrete Beams Strengthened with
Glass-Fiber Composite under Flexure Journal Of Composites For
Construction Asce / July/August 2011 / 557Vol 15,pp.557-564
[17]. Hussam El-Din F. El-Sheikh Nonlinear Finite Element
Studies of RC Beams Strengthened
with GFRP
Layers
International Journal of Engineering & Science Research
Volume-2, Issue-8 Aug 2012, pp.725-732.
[18]. Sathish Kumar. V, Blessen Skariah Thomas, Alex
Christopher / International Journal of Engineering Research and
Applications Vol. 2, Issue 6, November- December 2012, pp.722726.
[2]. By Hamid Saadatmanesh,1 Associate Member, ASCE, and '

Mohammad R. Ehsani,2 Member, Asce Rc Beams Strengthened
With GFRP Plates. I: Experimental Study Journal Structural
Engg Vol 117, 1991, pp.34317-3433.
[3]. Sung Woo Lee, Sokhwan Choi, Byung-Suk Kim, Young-Jin
Kim, Sung-Yong Park5, Structural Characteristics Of
Concrete-Filled Glass Fiber Reinforced Composite Piles1997,
pp.1-11.
[4]. Ugo Ianniruberto Experimental Analysis On The Shear
Behaviour of RC Beams Strengthened With GFRP Sheets2000
[5]. By Christos G. Papakonstantinou, Michael F. Petrou, and
Kent A. Harries, Fatigue Behaviour of RC Beams Strengthened
With GFRP Sheets Journal of Composites For Construction,
November 2001, pp. 246-253.
[6]. By L. Lam1 and J. G. Teng2 Strength of RC Cantilever
Slabs Bonded with GFRP Strips Journal Of Composites For
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Removal of sodium do-decyl sulfate from waste water

using adsorption on Citrus lemettioides
Jyoti Kapil Nagwanshi
Manisha A. Agrawal
Department of Applied Chemistry

Rungta College of Engineering& Technology
Bhilai, India
jyotikapiln@gmail.com
Department of Applied Chemistry

Rungta College of Engineering& Technology
Bhilai, India
dr.manisha.agrawal@rungta.ac.in
Abstract The aim of the present study is to determine the

performance of activated charcoal of peel of Citrus lemettioides
(family Rutaceae) commonly called as sweet lime, an agricultural
waste, to remove higher as well as lower concentration of some
important surfactants like, Cetyl trimethyl ammonium bromide
(CTAB), Sodium do-decyl sulfate (SDS) from waste water.
Carbonized sweet lime peel charcoal has been prepared using
muffle furnace in the laboratory at higher temperature in the
absence of air. The technique used involves adsorption of CTAB
and SDS on carbonized sweet lime peel. The analytical procedure
given by APHA (2005) is followed for the determination of
physical parameters (pH and EC) and some other related process
parameters from waste water. The carbonized activated charcoal
shows satisfactory adsorption capacity and results. This study is
initiated to investigate the ability of preparing activated carbon
from sweet lime peel. It also aims to study its adsorption of
anionic and cationic surfactants for removal from waste water.
Sweet lime peel charcoal is tested for its ability to adsorb
surfactant from waste water with alterations in the parameters
such as contact time, surfactant concentration, dose of surfactant,
variation in adsorbent beds etc. This treated waste water can be
used for irrigating farmlands, gardens and parks.
fall into four major categories, depending on their ionic

activity. These are: anionic, cationic, non-ionic and amphoteric.
Fig 1. Structure of surfactant
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Keywords activated charcoal; surfactant; pH; conductivity;

SDS; adsorption; adsorbent bed.
I.
INTRODUCTION
Water pollution due to detergents, is of great importance to

satisfy the increasing demands of water for various uses. These
detergent compounds do not decompose or degrade in aquatic
systems. Thus they are very harmful and toxic. The
accumulation of some detergents in waste water result froth
formation [1] in water and represents a serious environmental
problem. Surfactants are chemicals with a high production
volume and a wide dispersive use in the formation of soaps and
detergents. Thus surfactants have a high environmental impact
[2]. Surfactant, an organic pollutant, is the surface active agent
having water loving head and water hating or oil loving tail
thus it is miscible in water and any organic solvent [3].
Fig 1 shows the structure of surfactant in which both
hydrophilic (polar head) and hydrophobic (non-polar tail)
groups are present.
The working of surfactant is shown in the Fig 2, in which
surfactant molecules form micelle in oil droplet. Surfactants
Fig 2. Working of surfactant
Fig 3. Structural formula of surfactant: Sodium do-decyl sulfate (SDS)
The structural formula of SDS surfactant is shown in the

Fig 3. Surfactants are responsible for cancer. The presence of
such pollutants in water has undesirable effects. They are not
environmental friendly and not completely biodegradable.
Once surfactants are discharged into the streams, a part of these
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TABLE I.
TABLE OF PH AND CONDUCTIVITY MEASUREMENT BEFORE AND AFTER ADSORPTION

pH
Sample
Concentration (M)
Conductivity (mS)
2x10-4
Before
adsorption
6.16
After
adsorption
8.82
Before
adsorption
2.34
After
adsorption
6.25
2
3
3x10-4
4x10-4
5.99
5.90
8.88
8.92
2.56
3.03
6.09
6.01
4
5
5x10-4
6x10-4
6.09
6.16
8.90
9.09
3.92
4.43
5.86
5.55
6
7
8
7x10-4
8x10-4
9x10-4
6.19
6.41
6.49
9.33
9.33
9.75
5.00
5.67
6.06
5.67
5.52
5.05
10x10-4
6.55
9.90
6.71
5.04
concentrations (Ci) equals 2 10-4, 3 10-4, 4 10-4, 5 10-4,

6 10-4, 7 10-4, 8 10-4, 9 10-4 and 10 10-4 M are
prepared [15]. The pH values and conductivity values of each
solution are determined using digital water and soil analysis kit
(Model-161) before and after adsorption [16].
chemicals always persist, producing environmental problems.

The role of surfactants in the environment is indistinct. They
can cause serious environmental pollution with increased
toxicity in living organisms [4]. Due to the diversity of
surfactants and their physico-chemical properties; it is difficult
to develop a single and an effective treatment method of
detergent waste water. There are some important methods or
techniques which are reported for the removal of surfactants
and these are: biodegradation [4], coagulation/flocculation [5],
foaming [6], advanced oxidation, UV irradiation [7],
adsorption [8, 9, 10, 11, 12], ozonation, ion-exchange, ultra
filtration [6, 13]. Some of the methods are time consuming or
require lots of chemicals or require sophisticated
instrumentation and expertise.
II.
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B. Apparatus
All experiments are done at room temperature
approximately 20C. Spectrophotometric measurements are
made with a digital spectrophotometer (Model VSI-SPI) using
1 cm-quartz cell. All pH measurements and conductivity
measurements are made with digital water and soil analysis kit
(Model-161).
C. Reagent and Chemicals
All chemicals used are of analytical grade. Double distilled
water has been used for the preparation of solutions sodium dodecyl sulfate. Aqueous solutions of SDS having initial
4
1
MATERIALS AND METHODS
A. Preparation of adsorbent bed from sweet lime peels

Sweet lime peel was collected from fruit stall, washed
extensively in running tap water to remove dirt and other
particulate matter, then with double-distilled de-ionised water
and dried in an oven at 70C overnight. The dried sweet lime
peels are grounded and this material is then thermally activated
at 550C in a muffle furnace for 1 hour in the absence of air.
After that, the material is poured into ice cooled water bath.
Excess water is then drained off. The surface ash is removed by
washing it with HCl solution (0.1 M) and hot distilled water
and then dried again in an oven at 90C overnight [14]. This
product is kept in a desiccator for further use.
D. Experimental Procedure
The carbonized sweet lime peel charcoal (SLPC) used as
adsorbent is up to 2.0 mm. The determination of adsorption of
SDS from each solution on SLPC is carried out using batch
sorption technique by adding 50.0 mg. SLPC to 100 ml. of
each solution in 250 ml conical flask, with shaking for 30
minutes using rotary flask shaker for the same time and speed,
then each solution is filtered through filter paper without
washing the remainder SLPC. Now this sample solution (10
ml) is taken in a separating funnel, crystal violet and
orthophosphoric acid (100 micro l each) are added followed by
the addition of 5 ml benzene [11]. The contents are shaken for
1 minute and then allowed to settle for 3 minutes. The aqueous
layer is discarded and the benzene layer is used directly for the
absorbance measurement at a wavelength of 565 nm. In a
similar manner blank solution is also run in a separating funnel,
crystal violet and orthophosphoric acid (100 micro l each) are
added followed by the addition of 5 ml of benzene. Absorbance
is noted at the same wavelength. Difference of these two
readings is considered as the absorbance. pH and conductivity
measurement are done with remaining solution.
E. Adsorption Isotherm
Adsorption isotherm may be defined as the relation
between the amount of substance adsorbed by an adsorbent and
the equilibrium pressure or concentration at constant
temperature.
Freundlich Adsorption Isotherm: Freundlich adsorption
[17] isotherm is used most commonly to describe the
adsorption characteristics. Derived empirically, in 1912, this
isotherm is defined as eq.(1):
1
x
K f Ce n
m
where,
x = quantity adsorbed (g),
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(1)
m = mass of adsorbent (g),

Ce = equilibrium concentration of adsorbate in
studied by measuring change in the pH values and electrical

conductivity values of the SDS solutions before and after
adsorption for different initial concentrations (Ci). The values
of pH and conductivity at different concentrations before and
after adsorption are given in Table I. Blue and red curves in
solution after adsorption (mg/l), and

K f and n = empirical constants.
pH before adsorption
pH after adsorption
Conductivity before adsorption

Conductivity after adsorption
Conductivity (mS)
10
pH
8
6
4
0
10
2
4
6
8
Initial Concentration (Ci) x 10-4 M
Initial Concentration (Ci) x 10-4 M

Fig 4. Plot of initial concentrations (Ci) Vs pH (before and after
adsorption)
100
Fig 5. Plot of initial concentrations (Ci) Vs conductivity (before and

after adsorption)
100
% Removal
% Removal
% Removal
% Removal
80
80
60
40
60
4
1
40
20
20
A
0
0
2
10
pH
S
E
Fig 6. Plot of pH Vs percentage removal of SDS
80
60
% Removal
Fig 7. Plot of conductivity Vs percentage removal of SDS
log x/m
-0.6
y = 0.325x - 0.534
R = 0.9753
-0.9
-1
600
-1.5
-1
-0.5
log Ce
Fig 8. Plot of adsorbent dose Vs percentage removal of SDS
III.
Linear (log x/m)
-0.8
20
200
300
400
500
Adsorbent Dose (mg.)
10
-0.7
40
100
Conductivity (mS)
log x/m
100
% Removal
10
SDS forms 1:1 complex with crystal violet (a cationic dye).

Such complex is called ion-association complex. Crystal violet
is used in this current method relative to other dyes, due to its
property of easy solubility in water to form ion-association
complex with the SDS and maximum extractability in organic
solvent. The mechanism of adsorption of SDS on SLPC can be
Fig 9. Plot of Freundlich adsorption isotherm for the adsorption of SDS
Fig. 4 show the change in the pH values of different initial

concentration solutions before and after adsorption through
SLPC, respectively. From Fig.4, values of pH indicate that, an
increase in initial concentration (Ci) means increase of pH
value. This trend is observed in both the curves.
Fig.5 indicates that before adsorption the values of
conductivity increase, but after adsorption the values slowly
309 of 446
decrease, indicating that after adsorption the concentration of

SDS decreases.
REFERENCES
[1] K. Ruzicka, O. Gabriel, U. Bletterie, S. Winkler and M. Zessner, "Cause
and effect relationshipCause and Effect Relationship between Foam
Formation and Treated Wastewater Effluents in a Transboundary River,"
Elsevier Physics and Chemistry of the Earth, vol. 34, no. 8-9, p. 565
573, 2009.
Fig.6 shows the effect of pH on the removal of SDS, an

anionic surfactant. When pH of the SDS solution increases
from 2 to 10, the percentage removal decreases from 90 to 58.
With increase in pH from 2 to 4, the percentage removal
decreases from 90 to 73. With further increase in pH up to 10,
there is a slight decrease in percentage removal. Lower
adsorption of SDS, an anionic surfactant at alkaline pH is
provable due to the presence of excess of OH- ions competing
with the surfactant anions for the adsorption sites. As the pH of
the system decreases, the number of positively charged sites
increases and thus adsorbent favours the adsorption of anions
due to electrostatic force.
[2] El-Said and M. Saad, "Adsorptive removal of some detergents from

wastewater using friendly environmental material," Ass. Univ. Bull.
Environ. Res., vol. 7, no. 2, pp. 137-147, 2004.
[3] M. J. Rosen, Surfactants and Interfacial Phenomena, 3 ed., vol. 2, New
Jersey: John Wiley & Sons, 2004, pp. 1314-1319.
[4] J. L. Berna, G. Cassani, C.D.Hager, N. Rehman, I. Lopez, D.
Schowanek, J. Steber, K. Taeger and T. Wind, "Anaerobic
Biodegradation of Surfactants Scientific Review," Carl Hanser Verlag
Tenside Surfactants Detergents , vol. 2007, no. 06, pp. 312-347, 2007.
[5] M. A. Aboulhassan, S. Souabi, A. Yaacoubi and M. Baudu, "Removal of
surfactant from industrial wastewaters by coagulation flocculation
process," International Journal of Environmental Science &
Techhnology(1735-1472), vol. 3, no. 4, pp. 327-332, 2006.
Fig.7 shows the effect of conductivity on the removal of

SDS. When conductivity of the SDS solution increases from 2
to 10, the percentage removal decreases from 91 to 60. With
increase in conductivity from 2 to 4, the percentage removal
decreases from 91 to 75. With further increase in pH up to 10,
there is a slight decrease in percentage removal. Greater the
concentration of SDS, greater is the conductivity of solution.
[6] I. Kowalska, "Surfactant removal from water solutions by means of

ultrafiltration and ion-exchange," Elsevier Desalination, vol. 221, no. 3,
p. 351357, Mar 2008.
Fig.8 shows the removal percentage of SDS as a function of

adsorbent dosage. Increase in adsorbent dose increases the
percentage removal. For quantitative removal of surfactant
from 100 ml. of 10 x 10-4 M, a maximum dosage of 600 mg is
required.
[7] D. Smith and H. Zhou, "Advanced technologies in water and wastewater

treatment," Journal of Environmental Engineering & Science, vol. 1, p.
247264, 2002.
Fig.9 is a plot of Freundlich adsorption isotherm that shows

the linear plot log Ce Vs log x/m. From this, Regression
coefficient R2 obtained is 0.9753, which indicates that the
adsorption follows Freundlich isotherm model. The value of R2
indicates acceptability of this isotherm.
[8] A. Adak, A. Pal and M. Bandyopadhyay, "Spectrophotometric

determination of anionic surfactants in wastewater using acridine
orange," Indian Journal of Chemical Technology, vol. 12, pp. 145-148,
2005.
IV.
CONCLUSION
S
E
In this study the sweet lime peel is found to be a promising

adsorbent for the removal of SDS from waste water. 90%
removal is carried out by using 600 mg of adsorbent for all
initial concentrations and maximum removal of SDS is done at
pH 2.0 and 2 mS conductivity. This strongly suggests that the
favorable adsorption takes place on the surface of the
adsorbent. Thus sweet lime peel is found to be suitable
adsorbent for the removal of SDS. The adsorbent prepared
from the sweet lime peel would be an economically useful tool
and alternative to the commercially available activated carbon
in the treatment of waste water containing surfactants. The
primary data obtained here will be useful for further
experiment. It is also observed that the experiment gives
positive trend towards removal of SDS, so we can think over
the removal of some other surfactants present in waste water.
We can use this method in the study of adsorption of different
surfactants in case of purification or recycling of industrial,
municipal, agricultural or domestic waste water.
4
1
[9] R. Ansari, B. Seyghali, A. M. Khan and M. A. Zanjanchi, "Highly

Efficient Adsorption of Anionic Dyes from Aqueous Solutions using
Sawdust Modified by Cationic Surfactant of Cetyltrimethyl Ammonium
Bromide," Journal of Surfactants and Detergents(1097-3958), vol. 15,
no. 5, pp. 557-565, Sep 2012.
[10] P. D. Purakayastha, A. Pal and M. Bandyopadhyay, "Adsorbent selection

for anionic surfactant removal from water," Indian Journal of Chemical
Technology, vol. 12, no. 3, pp. 281-284, May 2005.
[11] A. Soni, N. Rai and S. K. Sar, "Removal of SDS from Waste Water of
(Bilaspur- Region) by Using Natural Bioadsorbent," International
Journal of Advanced Engineering Research and Studies(22498974),
vol. 2, no. 1, pp. 76-79, Oct 2012.
[12] Y. Su, B. Zhao, W. Xiao and R. Han, "Adsorption Behaviour of Light
Green Anionic Dye using Cationic Surfactant Modified Wheat Straw in
Batch and Column Mode," Environmental Science and Pollution
Research(0944-1344), vol. 20, no. 8, pp. 5558-5568, February 2013.
[13] S. R. Taffarel and J. Rubio, "Adsorption of sodium dodecyl benzene
sulfonate from aqueous solution using a modied natural zeolite with
CTAB," Elsevier Minerals Engineering, vol. 23, no. 10, pp. 771-779,
2010.
[14] S. L. Pandharipade, Y. Moharkar and R. Thakur, "Synthesis of
adsorbents from waste materials such as Ziziphus jujube seed and mango
kernel," International Journal of Engineering Research and Application,
vol. 2, no. 4, pp. 1337-1341, 2012.
[15] G. Svehla, Vogel's Qualitative Inorganic Analysis, London: Penguin
Books Limited, 2002.
[16] I. A. R, E. K. M and S. A. M, "Study of Adsorption Mechanism, Mode,
Isotherms and kinetics of Dodecyl Sulfate from Raw drinking water on
Activated Charcoal using pH Measurements," International Journal of
ChemTech Research, vol. 2, pp. 1314-1319, 2010.
[17] Metcalf and Eddy, Wastewater Engineering-Treatment and Reuse, 4 ed.,
New York: McGraw-Hill Ryerson, 2003.
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Design of Adiabatic Adder Structures for Low Power

VLSI & DSP Applications
Samik Samanta
Rajat Mahapatra
Ashis Kumar Mal
Associate Professor, ECE

Department,
Neotia Institute of Technolgy,
Management & Science, Kolkata
samik_ss@rediffmail.com

Department.
Durgapur, India
rajat.mahapatra@ece.nitdgp.ac.in

Department.
Durgapur, India
akmal@ece.nitdgp.ac.in
Abstract
In this paper a new approach of reducing power dissipation for a
given digital circuit is presented that is adiabatic logic. Here
various types of adiabatic adders are presented. The comparison
results of power dissipation are also shown. The simulations are
done using Tanner EDA VLSI CAD Tools & MICROWOIND.
The silicon area consumption of various adiabatic adders are also
estimated and compared.
S
E
I
I. INTRODUCTION
4
1
KeywordsPFAL, CVSL, Adiabatic, VLSI, 2N2N2P.
There is an unprecedented spurt in growth in electronics

industry for decades. This is due to the use of integrated
circuits in computing, telecommunications and consumer
electronics. Unfortunately, such performance improvements
have been accompanied by an increase in power and energy
dissipation of the systems. Higher power and energy
dissipation in high performance systems require more
expensive packaging and cooling technologies and decrease
system reliability. This paper investigates one of the major
sources of the power/energy dissipation and proposes and
evaluates the techniques to reduce the dissipation.
The objective of this paper is to provide new low power ideas
and solutions for Very Large Scale Integration (VLSI)
designers. Especially, this work focuses on the reduction of
the power dissipation, which is showing an ever-increasing
growth with the scaling down of the technologies[1]. Various
techniques at the different levels of the design process like
circuit level, architecture level and system level have been
implemented to reduce the power dissipation. The number of
gates per chip area is constantly increasing, while the gate
switching energy does not decrease at the same rate, so the
power dissipation rises and heat removal becomes more
difficult. To limit the power dissipation, alternative solutions

at each level of abstraction are proposed. Here a new CMOS
logic called adiabatic logic, based on the energy recovery
principle is presented. The term adiabatic comes from
thermodynamics. This is used to describe a process in which
there is no exchange of heat with the environment. In the
paper, it is shown that use of adiabatic logic structure,
dramatically reduces the power dissipation. The adiabatic
switching technique can achieve very low power dissipation,
but at the expense of circuit complexity and speed.
In this paper three types of adiabatic adders namely ECRL,
PFAL and 2N2N2P adder structures have been presented. The
power dissipations of these adders have also been computed.
.
II. ADIABATIC LOGIC
Adiabatic families can be classified as either fully adiabatic

or partially adiabatic circuit. In partially adiabatic circuit some
charge is allowed to be transferred to the ground. In fully
adiabatic circuits all charge on the load capacitance is
recovered by the power supply[3,4]. In adiabatic logic power
supply is called power clock. Moon and Jeong proposed
efficient charge recovery logic. The circuit is similar to cascade
voltage switch logic(CVSL). An AC power supply pwr is used
for ECRL gates, so as to recover and reuse the supplied energy.
Both out and /out are generated so that the power clock
generator can always drive a constant load capacitance
independent of the input signal. A more detailed description of
ECRL can be found in. Full output swing is obtained because
of the cross-coupled PMOS transistors in both precharge and
recover phases. But due to the threshold voltage of the PMOS
transistors, the circuits suffer from the non-adiabatic loss both
in the precharge and recover phases. That is, to say, ECRL
always pumps charge on the output with a full swing. In fig1.
the structure of ECRL is shown.
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Fig1. ECRL adiabatic structure
The partial energy recovery circuit structure named Positive

Feedback Adiabatic Logic (PFAL) has been used. It shows the
lowest energy consumption if compared to other similar
families, and a good robustness against technological
parameter variations. It is a dual-rail circuit with partial energy
recovery. The general schematic of the PFAL gate is shown in
Figure 2. The core of all the PFAL gates is an adiabatic
amplifier, a latch made by the two PMOS M1-M2 and two
NMOS M3-M4, that avoids a logic level degradation on the
output nodes out and /out. The two n-trees realize the logic
functions. This logic family also generates both positive and
negative outputs. The functional blocks are in parallel with the
PMOSFETs of the adiabatic amplifier and form a transmission
gate. The two n-trees realize the logic functions. This logic
family also generates both positive and negative outputs.
Fig3. ECRL SUM circuit
4
1
S
E
I
Fig4. ECRL CARRY circuit
Fig2. PFAL adiabatic structure
III. ADIABATIC ADDER

An adiabatic adder circuit is designed using ECRL and PFAL
logic. The adder circuits are simulated using VLSI EDA Tools.
Power dissipations and effect of supply voltage scaling are
computed using SPICE and MICROWIND. The designs are
done taking adiabatic logic and minimum no. transistor
requirement concept.
Fig5. PFAL SUM Circuit
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TABLE III. COMPARISON OF POWER DISSIPATION WITH CMOS ADDER
Frequency
ECRL
Adder
52fJ
39fJ
156 fJ
100K
64fJ
46fJ
190 fJ
10M
105fJ
60fJ
290 fJ
V. 2N2N2P ADDER
IV. SIMULATION RESULT
TABLE I. COMPARISON OF POWER DISSIPATION
ECRL Adder
50K
52fJ
100K
64fJ
10M
105fJ
TABLE II.
Voltage(V)
4
1
PFAL Adder
39fJ
S
E
I
46fJ
The 2N-2N2P logic family was derived from ECRL in order

to reduce the coupling effect. The major difference
with respect to ECRL is that the latch is made by two
pMOSFETs and two nMOSFETs, rather than by only two
pMOSFETs as in ECRL. The additional cross-coupled
nMOSFET switches lead to non-floating outputs for a large
part of the recovery phase. The primary advantage of PFAL
over ECRL and 2N-2N2P is that the functional blocks are in
parallel with the transmission pMOSFETs Thus the equivalent
resistance is decreased when the capacitance needs to be
charged, leading to a reduction of the energy dissipation at
high frequency. Using this logic the adder structure is built
and power dissipation is calculated.
60fJ
TABLE IV. COMPARISON OF POWER DISSIPATION

Frequency
EFFECT OF SUPPLY VOLTAGE SCALING
ECRL Adder
CMOS
Adder
50K
Fig2. PFAL CARRY Circuit
Frequency
PFAL
Adder
2N2N2P Adder
PFAL Adder
50K
39fJ
39fJ
100K
46fJ
46fJ
10M
61fJ
60fJ
PFAL Adder
1.6
16 fJ
12 fJ
1.2
14 fJ
8 fJ
1.0
10 fJ
6 fJ
TABLE V. COMPARISON OF AREA

Adder Circuit
2N2N2P Adder
PFAL Adder
RCA
34.5m2
17.5 m2
Pipelined RCA
10.5 m2
15.6 m2
313 of 446
VI. CONCLUSION
From the above results it is clear that positive feedback
logic adder structures have minimum power dissipation
compared to ECRL and CMOS adders. 2N2N2P adiabatic
adder has nearly same power dissipation as PFAL adder but it
consumes more silicon are than PFAL adders. In parallel
connections the equivalent capacitance may increase but this
increase of capacitance is corrected by proper transistor sizing
in pull up and pull down networks.
REFERENCES
[1] W.C. Athas, L. Svensson, J.G. Koller et al.: Low-power digital
systems based on adiabatic-switching principles. IEEE Transactions
on VLSI System. Vol. 2, Dec. 1994, pp. 398-407
[2]Y. Moon and D.-K. Jeong: An efficient charge recovery logic

circuit.IEEE Journal of Solid-State Circuits, Vol. 31, 1996, pp. 514522
[3] A. Kramer, J.S. Denker et al.: 2nd order adiabatic computation
with2N-2P and 2N-2N2P logic circuits. Proc. Intern. Symp. Low
Power Design, 1995, pp. 191-196
[4] N. Weste and K. Eshraghian, Principles of CMOS VLSI Design:
A Systems Perspective, 2nd ed. New York: Addison - Wesley,1993.
[5] J. S. Denker, A review of adiabatic computing, in Proc. of the
Symposium on Low Power Electronics,1994, pp. 94-97.
[6] P.D. Khandekar, S Subbaraman ,Manish Patil Low power
Digital Design Using Energy-Recovery Adiabatic Logic
International Journal of Engineering, Research and Industrial
Applications, Vol1, No.III, pp199-2081994, pp. 94-97.
[7] S.Samanta Adiabatic Computing a contemporary review 4th
international conference on computer and devices for
communication: codec 09. Kolkata .2009.
[8] S.Samanta Power Efficient VLSI Inverter Design using
Adiabatic Logic and Estimation of Power dissipation using VLSIEDA Tool Special
issue of International Journal of computer
communication Technology.vol 2.isuue 2,3,4.pp300-303. 2010.
[9] L.Svensson Adiabatic Switching in low power Digital CMOS
Design, Kluwer Academic Publisher, 1995.
[11] Dickinson, A.G. and Denker, J.S., Adiabatic Dynamic Logic,
IEEE J. Solid-State Circuits, 1995, vol.30, no. 3,pp.311315.
[12] V.I Starosel, Adiabatic Logic Circuits: A Review, Russian
Microelectronics, 2002, Vol.31, No. 1, pp.37-58.
[13] Y. Takahashi, Y. Fukuta, T. Sekine, and M. Yokoyama,
2PADCL: Two Phase drive Adiabatic Dynamic CMOS Logic, Proc.
IEEE APCCAS, Dec 2006, pp. 1486-1489.
4
1
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I
314 of 446
Variable Frequency Drives

a successful mode of speed control of AC motors
SANCHEETA BASAK
Dr. AMUL AGARWAL
ELECTRICAL & ELECTRONICS

ABES ENGINEERING COLLEGE
GHAZIABAD, INDIA
sweetsanchita@gmail.com
ELECTRICAL & ELECTRONICS

ABES ENGINEERING COLLEGE
GHAZIABAD, INDIA
hodeee@abes.ac.in
Abstract Variable Frequency Drive (VFD) is gradually

becoming extensively popular where speed control of AC drive
motor is required in an industrial process. Notwithstanding the
degree of freedom available in the mode of controlling speed,
VFD has additional utility of saving potential of large quantity of
electric power due to efficient operational regime of the driven
equipments. With the advent of the advanced devices in power
electronics, converter - Inverter topologies, filtering techniques
and resolution of many technological issues, VFD has become the
most efficient mode for controlling AC motor speed. In the
present paper, efficiency improvement of the driven equipment,
general topology of VFD, technological challenges generally
encountered by industries and also the resolution of the problems
are discussed.
operating thermal power plant. Since the power is proportional

to cube of speed there will be an appreciable saving in power
consumption especially when the fans are required to operate
at low loads.
Keywords Variable Frequency Drive (VFD); speed control;

saving; electric power; efficiency improvement
One way of varying speed of ID Fan is Hydraulic Coupling

directly coupled with the drive motor. However, efficiency of
hydraulic coupling is very poor particularly at reduced speeds
(typically, at 50% speed, efficiency will be less than 50%). ID
fans normally operate at 60% to 70% of its rated capacity even
when the power plant is operating at its rated capacity because
of design margins.
I.
INTRODUCTION
S
E
I
Power consumption by auxiliaries in a large power plant is, of

the order of 6%-8% of the generated power. With ever
increasing cost of generation of electricity and the demand for
electricity outstripping the availability, energy conservation
has become the key factor of efficiency in all spheres. To
reduce auxiliary power consumption, losses in air/flue gas and
water/steam flow paths because of mechanical devices used
for flow control shall be needed to be reduced.
4
1
II.
ID FAN FLOW VS POWER REQUIREMENTS
A. Outlet Damper Control
Outlet Damper restricts the airflow at the outlet of the fan.

Therefore, flow path resistance is varied in controlling the
airflow which means the system curve is the controlled
parameter. It is important to note that drive motor speed is not
controlled.
In a thermal power plant, there are basically two flow paths

for the fluids i.e (i) Air/flue gas path and (ii) Water/Steam
path. The major auxiliaries in the air/flue gas path are Induced
Draft (ID) fans, Forced Draft(FD) fans & Primary Air (PA)
fans. ID Fans are one of the biggest drives in the air/flue gas
path while Boiler Feed Pumps (BFP) and Circulating Water
(CW) pumps are the major auxiliaries in the Water /Steam
path which consume major auxiliary power in a thermal power
plant. The common practice to run these equipments is to use
constant speed induction motors for fans with inlet guide
vane/outlet damper for control of air/flue gas. In this process
due to increase in the system resistance, a lot of energy is
wasted resulting in low system efficiency. By efficient use of
VFD, speed of the motor is varied rather than varying the
system resistance for flow control of the parameters in an
315 of 446
Fig 2:
Fig 1:
Typical ID Fan characteristics showing outlet pressure and

input power requirement for different quantum of airflow due
to variation in inlet guide vane position.
Typical ID Fan characteristics showing outlet pressure and

input power requirement for different quantum of airflow due
to variation in outlet damper opening are shown below.
B. Variable Inlet Vane

Inlet vanes modify the physical characteristics of the fan by
means of controlling air intake of the fan. Therefore, the fan
characteristics curve is varied with variation in inlet guide
vane position whereas drive motor speed is not changed.
C. Hydraulic Coupling
Fig 3:
D.
Typical characteristics curve of a hydraulic coupling showing

input power requirement for different speed of the output shaft
due to variation in scoop position.
4
1
S
E
I
Blade Pitch
Varying
the
pitch angle of
industrial fan
proportional
on the static
pressure at fan
output
duct.
Increasing the
pitch
angle results in
a
higher static
pressure and
vice
versa. For any
specified duty, the applicable fan will have a optimum pitch
angle setting pertaining to its maximum achievable efficiency.
Variable pitch describes axial fans with blades that change
pitch in operation, so that the precise amount of airflow is
furnished to meet the requirements for a process.
blade
an
has a
effect
E. Variable Speed Drive (VFD)

In VFD, the fan is directly coupled with the drive motor and
accordingly fan speed is changed by changing the motor speed
whereas the system curve remains the same.
316 of 446
Fig 5:
Fig 4:
It is clearly seen that for a particular speed/flow of an ID Fan,

overall drive efficiency is maximum in case of VFD for
complete range of speed control and are only equal at the rated
(100%) speed. This undoubtedly justifies that VFD is
optimum mode of speed control among other available modes
in industrial application giving maximum power saving where
fan speed is required to be varied widely as an operational
requirement.
Typical characteristics curve of a variable frequency drive

(VFD) showing pressure and input power requirement for
different speed of the output shaft due to variation in flow.
It may be noted that input power requirement drastically

reduces due to reduction in fan speed since input power is
proportional to the cube of fan speed. Therefore, by affinity
laws we may state that
4
1
S
E
I
HP2 / HP1 = (N2 / N1)3

HP1 & HP2 are the horsepower required for the fan for speeds
N1 & N2 respectively.
The typical efficiency curves for VFD, hydraulic coupling,

inlet guide vane and outlet damper or throttling.
III.
DESCRIPTION OF VFDS, LAYOUTS AND

PRESCRIPTION REQUIRED
There are two basic categories of self-commutating

converters:
a) Voltage-sourced converters in which the dc voltage
always has one polarity, and the power reversal takes
place through reversal of dc current polarity.
b) Current-sourced converters in which direct current
always has one polarity, and the power reversal takes
place through reversal of dc voltage polarity.
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Fig 6: Voltage-sourced and current-sourced converter

concepts: (a) voltage sourced converter; (b) current-sourced
converter.
c) No limitation on the number of starts

d) No contribution to fault current
Conventional thyristor-based converters, being without turnoff capability, can only be current-sourced converters, whereas
turn-off device-based converters can be of either type.
Figure 3.1(b) shows the basic functioning of a voltage-sourced
converter. The internal topology of converter valves is
represented as a box with a valve symbol inside. On the dc
side, voltage is unipolar and is supported by a capacitor. This
capacitor is large enough to handle at least one full cycle of
sustained charge/discharge current that accompanies the
switching sequence of the converter valves and shifts in phase
angle of the switching valves without significant change in the
dc voltage.
It is also shown on the dc side that the dc current can flow in
either direction and that it can exchange dc power with the
connected dc system in either direction. Shown on the ac side
is the generated ac voltage connected to the ac system via an
inductor. Being an ac voltage source with low internal
impedance, a series inductive interface with the ac system
(usually throughFig
a 7:
series inductor and/or a transformer) is
essential to ensure that the dc capacitor is not short-circuited
and discharged rapidly into a capacitive load such as a
transmission line. Also an ac filter may be necessary (not
shown) following the series inductive interface to limit the
consequent current harmonics entering the system side.
Basically a voltage-sourced converter generates ac voltage
from a dc voltage. It is, for historical reasons, often referred to
as an inverter, even though it has the capability to transfer
power in either direction. With a voltage-sourced converter,
the magnitude, the phase angle and the frequency of the output
voltage can be controlled.
IV.
LCI TYPE VFD
Absence of voltage dip problems associated with

DOL starting of large motors since the starting
current in this drive is limited to about 100% of the
motor full load current.
b) Increased motor life due to the lower thermal and
mechanical stresses in view of the absence of starting
inrush currents and reduced speed operation.
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LCI type VFD is a Variable speed mechanism which adjusts

the fan or pump speed so as to get the desired output. In this
type of drive system flow demand signal is received from the
control system due to change in load conditions and the
system adjusts the speed of the motor to the desired level
resulting in optimum power consumption. Apart from saving
in operational cost due to reduced power consumption Lei
type VFD offers the following additional advantages;
LCI type
VFD can
be either 6 pulse single channel type or 12 pulse dual channel
type. Each channel consists of an isolating transformer, source
converter, DC link inductor and load converter. In a single
channel type VFD, the synchronous motor will have one
winding whereas in dual channel type VFD, the synchronous
motor will have two windings, one for each channel. The
source side converter operates in rectifier mode whereas the
load side converter operates in inverter mode. Commutation
VAR's for source side converter is taken from the source
whereas the leading VARs produced by the synchronous
motor is used for commutation of load side converter. The DC
link inductor effectively isolates load side frequency and
source side frequency and smoothens the DC link current.
The demand signal received from the control system prompts
the source side converter to provide the required current to the
DC link inductor at the DC voltage level set by the load side
converter. Thus the source side converter plus the DC link
inductor become current source controller to the motor and the
motor torque, frequency (hence speed) and voltage level get
adjusted to the load requirements.
a)
V . TECHNOLOGICAL CHALLENGES
a)
High common mode voltage appears between the

neutral point of inverter and star point of the motor.
Use of input isolation transformer helps in reduction
of common mode voltage. Common mode filters can
also be used to get rid of this problem. It should be
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ensured that the earthing of the VFD System

equipments should have equi-potential bonding
taking into account common mode stresses & electro
mechanical interference issues.
b) Inverter voltage and frequency are generally
controlled by advanced techniques like pulse width
modulation (PWM) which leads to very high
switching over voltages and ripples. Presence of high
frequency also limits the length of the cable between
VFD and motor. Therefore, cables used should have
very good screening capability. Shielded symmetrical
multi-core cable between VFD to motor to achieve
low ground impedance for high frequency shall be
provided, if required. High frequency dv/dt limiter
and sinusoidal filters, as required, should also be
provided at the inverter output terminals.
c) In a retrofitting application for a motor of noninverter duty, bearings get damaged in the long run
due to induced shaft current when run by a VFD.
Suitable insulation must be provided between bearing
seat and outer race so that shaft current cannot flow.
d) Additional cooling of the motor may be necessary
due to reduced cooling fan speed along with the
motor where cooling fan is mounted on the same
motor shaft.
e) Vibrations and pulsating torque may appear due to
presence of switching ripples. Sinusoidal filters and
Gearing backlash compensation of suitable design

may be necessary to be fitted.
VI. CONCLUSION
The use of VARIABLE FREQUENCY DRIVES for 10 fans
(in place of modulating damper or hydraulic coupling) and for
BOILER FEED PUMPS (in place of gearbox and hydraulic
coupling) in a power plant reduces the auxiliary power
consumption approximately by 10% at peak generation and by
15% at 60% generation. The payback periods for the
additional investment are quite attractive.
REFERENCES
[1]
[2]
[3]
[4]
[5]
[6]
[7]
http://in.rockwellautomation.com
www.yantraharvest.com
www.abb.co.in
N. HINGORANI- Understanding FACTS, IEEE PRESS, A JOHN
WILEY & SONS, INC., PUBLICATION
www.voith.com
Bureau of Energy Efficiency, Govt of India Web site
www. hitachi.co.in
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Using Appointment system to improve the loading process of trucks in a

steel plant: A simulation based case study
Bhawesh Sah#1, Rajeev Kumar Mondal#2, Rohit Titiyal#3,Tarun Kumar Gupta#4
Department of Management Studies, Indian School of Mines
Dhanbad(India)
Corrosponding author-sahbhawesh89@gmail.com
Abstract- Trucks face significant delays in the process of loading

in the steel plant, these delays are one of the major problems in
the steel sector and lead to high cycle times and higher waiting
times for the trucks. In this paper we study the current truck
loading process ,and try to improve the current process by using
an appointment system , such that the delays in the process are
reduced, and the cycle time for loading is reduced as well. We then
compare the current system with the proposed system using a
simulation software called ARENA, the results prove the proposed
system to be better than the current system based on our
parameters.
it is not possible for the trucks to enter the loading process

without any appointment, it is further assumed that there is
no chances of no- shows once an appointment is given to a
truck. We will analyse all the appointments systems and
choose the one best suiting the process , such that the demand
for the day is filled along with the reduction in delays,
bottlenecks and cycle time from the loading process.
Keywords- Appointment system, Simulation, ARENA, cycle time
I. INTRODUCTION
In plant Logistics is very important part of an enterprise,
especially in large steel manufacturing companies. It is an
indispensible process of the supply chain and reflects on how
well a company implements its business strategy. The
loading process of trucks is an important part of the logistics
process in the steel plant. In this paper we analyse the loading
process in a typical steel manufacturing plant using a generic
simulation software ARENA, it was found that the current
loading process has many bottlenecks, due to which there
are queues at various points in the process, leading to delays
and thus high cycle time. Analysing data of several months,
the reasons for delays and thus high cycle time were
investigated. Earlier it was proposed, that addition of
resources at various points in the loading process was the
only viable option. But this was ruled out as the management
could not be convinced that the process improvement was at
par with the cost required to add resources at various points
in the loading process. Thus, the problem was to find a
method that does not require any significant resources from
the managements side. This led to incorporating the
appointment system in the loading process.
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We develop a simulation model of the current loading

process. Then we introduce several appointment systems that
can be used to give appointments to trucks, it is assumed that
We will now explain the actual loading process in the steel

plant. The turnaround time (TAT) process can be understood
from the flowchart (fig.1).The whole process starts when DO
is issued by the marketing department to the trailers. The
marketing dept. issues delivery order (DO) to the trailers on
the first come first serve basis. The DO has information
about what material is to be loaded from which yard, the
amount of material & no of pieces etc. Now with DO at hand
trailers enter the JSPL gate ,there is security check at the gate
by the guards. Then the trailers move to the weighbridge,
here Tare weight is done. Then the trailers move to their
respective loading yards as specified in the DO. Various
loading yards are MLSM, PLATEMILL & RUBM .Here the
trailer driver submits its DO at the office of logistics dept. of
respective loading yards. Now as the DO is submitted again
trailers are called at various loading points ( as there are 4-5
loading points in each dept) according to FIFO basis. When
loading is completed loaded material slip is issued by the
logistics dept. of various loading yards viz. MLSM,
PLATEMILL & RUBM. The loaded material slip is issued
by the logistics dept. after the PGI (post goods issue) process.
With help of PGI process the loading yards maintain a record
of their inventory.PGI process can simply be understood as
removal of products from companys database as they are
loaded to the trailers. Thus PGI process maintains inventory
records. Now with Loaded material slip at hand ( this slip has
information about the material loaded) trailers move for
Gross weightment (GW) ,the GW process considers a
tolerance level of +-10% . If the weight is found within
specified limits , TC for the trailer is issued if not the trailer
is sent back to respective loading yards for removing extra
material or loading material. After TC is cleared the Invoice
dept prepares the invoice for the trailers ,while adjusting for
the amount of the under/extra loaded material as it is
impossible to load the exact weight of material. Thus the
PGI,TC & Invoicing process are to be done in particular
sequence .TC can only be done when PGI is done, and
Invoicing can only be done after TC is done .Delay in one
thus delays the other. After the Invoice is prepared it is kept
at at the Invoice counter to be picked up by the transporter .
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we could use ARENA for As-is as well as What-if

analysis.
Our motivation for using the appointment systems stems
from the fact that, though delays at the loading process may
be a result of mismatched demand(no of trucks to be loaded)
and supply(resources available for loading the trucks such as
yard cranes). At first thought it might seem reasonable to
increase the capacity at points where the maximum delay
occurs. But such an approach may lead to another problem
i.e. resources being idle at most times, and any management
would not want its resources to be kept idle. In such
situations it is better to employ the appointment systems,
these systems do not require too much new resources from
the management sides. A detailed overview of various
appointment systems is given [6].Appointment systems are
increasingly being used at various facilities such as hospitals,
shipping ports etc[7], this is because they are quite simple,
and do not require a lot of resources to be employed.
III. DATA COLLECTION

3.1 Results of time study for the loading process
.As the prepared invoice is not directly handed over to the

trailers driver. It passes through the transporter who verifies
it and does some paper work .Thus the transporter after
completing the required formalities ,that he is required to do
,hands over the Invoice to the driver. The driver then moves
to the exit gate , again while going out there is a security
check , the tolerance level for security clearance is 2.5% as
against 10% of logistics dept. When the tolerance level is b/w
(2.5-10)% an email is required by the security dept for
clearance. The email is send by HODs of the loading yards.
Time study for the loading process was done for about a
month, study was done individually at various points in the
loading process. The objective was to find out the actual time
for completing the sub processes for loading. It was also
important to break the process into sub processes as the
analysis becomes easy.The time study yielded following
results. These results also serve as inputs for our simulation
model.The results of time study for various sub processes are
consolidated in fig.2
II. BACKGROUND
Time(mins)
Sub Processes in Loading
Scarce literature exists about using appointment systems to

reduce delays and waiting times for trucks in a loading
process.Appointment systems have the potential to reduce the
overall delays in any process [1].
Simulation can be used to model systems, regardless of their
complexities. With simulation methods we can model
complex systems such as hospitals [2], it can also be used to
model air transport [3] systems. As our system too is quite
complex thus simulation seems to be the right choice. These
days various good simulation software are available, one
such software is ARENA. It works well regardless of the
complexity of the system[4]. Arena simulation software helps
protect any business by analyzing the impact of new, "whatif" business ideas, rules, and strategies before implementation
on live customersoffline, without causing disruptions in
service[5]. Thus with help of ARENA we could get a good
idea of how the system i.e. the loading process here, would
behave under influence of various appointment systems, so
that the management could choose the best appointment
system based on whatever preference they might have.Thus
Average
Min.
Gate In
Tare Weighment
MLSM
25
30
20
RUBM
23
28
16
Platemill
25
32
19
TC
Invoicing
Invoice collection
Gate Out
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Max.
Loading
Fig 2.Results of time study
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3.2 Various causes of delays can be summarised as

Further studies were conducted for the Loading and Invoice
to Gate Out process .Various delays and bottlenecks were
identified .This can be well understood with the help of the
Fishbone diagram. Fig 3
Fishbone Analysis is commonly known as the "Problem
"ProblemAnalysis
lysis Tool" or the "Cause
"Cause-&-Effect Diagram". Dr.Kaoru
Ishikawa a Japanese Quality Control Statistician invented the
Fish Bone Diagram in the year 1960. He pioneered the
quality management process in the Kawasaki Shipyard.
The causes are arranged according to their level of
importance to identify the root cause of a problem
(effect).The observations made during field studies in and
continuous Time Study at loading areas and at other
departments is analyzed. Fishbone analysis to find the
various causes leading
ng to high turnaround time is shown
shown. The
major concern when these delays was found was that, if these
delays were to be reduced the conventional way, then that
would require a lot of additional resources to be added in the
form of man, material, and money. The management concern
was that adding resources will lead to high cost, and would
not justify itself from the reduced cycle time and delays.
Thus the option of adding resources could not be justified,
and other methods that would not require any or negli
negligible
addition of resources were explored.
IV. SIMULATION OF THE SYSTEM

Simulation copies the properties of the system over time.
Simulation can be effectively used to analyse any system, to
ask What-if
if questions, and also plays an important role in
the design of the system.[8]
With the help of simulation we can (a) Do Wha
What if analysis
of the real system, by modifying various operations in it, at a
very low cost and without interfering with the real system.
(b) thorough investigation of the POI(Phenomena of interest).
Various simulation packages are now available in the ma
market
which are user friendly. One such simulation package is
ARENA , it provides the analysis of proce
processes at an
accelerated speed.[9]
We will simulate the system in stages. In the first stage we
will
ill simulate the existing process or the As-is system. Then
we will simulate the effects of the appointment systems on
the existing process(the loading process of trucks). The point
to be noted here is that, while using the appointment systems
we need to make sure that we are able to serve atleast that
much customers
ustomers that we were able to serve without the
appointment systems. If we can not meet the daily
demands/or the daily targets of trucks to be loaded , then our
appointments systems are of no relevance. Fig 4 illustrates
how the loading process was simulat
simulated in ARENA.
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Fig 3.Various
.Various causes of delays
Fig 4. ARENA simulation illustrated
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There may be many reasons causing the delay for the loading
process but the root cause of delay at loading yards is simply
a function of supply(resources) & demand(no of trucks).
Resources are yard cranes, loading supervisors , clerks etc.
The problem facing the Loading process is that the truck
arrivals are fluctuating where as the resources remain more
or less constant. Resources may also decrease at times due to
reasons such as crane breakdown, operator unavailability etc.
Thus when (demand>supply ) trucks are forced to wait for
their turn in the loading yard. For this problem we suggest
the appointment method please see fig.5
One solution to the fluctuati
fluctuating truck arrivals is to employ an
appointment system whereby the terminal operator
designates available time windows
windows(the constant time
intervals in which trucks enter the system) for containers and
subsequently truckers choose one of the available time
windows.
dows. With an appointment system, the terminal operator
could effectively control the truck arrival rates to keep its
resources operating at the maximum level while at the same
time ensuring timely service to the trucks.
trucks.[10]
4.1Simulation Result
SUB
PROCES
SES
DELAY
CONTRIBU
TION
Gate In
Gate
Out
Invoice
Collect
Invoicin
g
MLSM
Plate
mill
RUBM
Tare
Weighm
ent
TC
Total
Delay
We have used four types of appointment systems i.e.

APS1,APS2 ,APS3 ,APS4. The difference between these
appointment systems is in the time windows duration for
them. APS1 has a time window of 10 min, it allows only a
single truck to enter the system(loading process) in constant
10 min intervals, trucks enter alternatively after every 10
min, entry between the time interval is not allowed. For
APS2, the time window is 20 min, and the no of trucks is
two, there two trucks are to be entered simultaneously into
the system. Similarly for APS3 and APS4 the time windows
are 30 min and 40 min, and number of trucks to be entered
are 3 and 4 respectively. Thus the overall demand of the
trucks to be served also does not get affected when we use
the appointment systems. Fig 6 shows the results oof
simulation for the existing as well for the various designated
appointment systems.
Existi
ng
APS1
APS2
APS3
APS4
0.12
0.03
0.06
0.09
0.11
0.09
0.01
0.03
0.05
0.07
0.76
0.66
0.48
0.82
0.84
1.57
2.01
0.81
0.73
0.61
1.73
0.33
0.79
0.66
0.95
0.36
0.79
0.49
0.99
0.45
0.01
0.01
0.02
0.04
0.03
0.03
0.01
0.02
0.03
4.67
3.86
2.68
3.38
3.1
0.173
45
0.426
12
0.276
23
0.336
19
5.56
4.38
5.08
4.8
% Deviation From
Existing
Cycle Time
6.37
Fig 6...Results of simulation
V. CONCLUSION
From Fig .6 it is apparent that using the appointment systems
leads to considerable reduction in delays in the overall
loading process of finished products in the steel plant. Out of
the four appointment systems considered, it can be seen that
APS2 gives the best performance
formance in terms of reduction of
overall delays, as is apparent from the deviation and the
overall cycle time. Thus using the appointment systems gives
the management a good option to reduce delays from the
loading process and thus achieve a better(lesser
better(lesser) cycle time.
People to be benefited are truck drivers and contractors, and
also the management. Thus it is a win
win-win situation.
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ACKNOWLEDGEMENT
This work was supported by the Department of Management
Studies of ISM Dhanbad which is gratefully acknowledged.
Fig 5.Diagram
Diagram for the Appoinment system
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References
[1] Morais et al., 2006 Morais, P., & Lord, E. (2006).
Terminal appointment system study. Prepared for
Transportation Development Centre of Transport Canada.
[2] T. Cayirli, E. Veral Outpatient-scheduling in healthcare:
a review of the literature Production and Operations
Management, 12 (12) (2003), pp. 519549
[3] J. Kim, An agent-based model for airline evolution,
competition, and airport congestion, Ph.D. thesis, Virginia
Tech (05 2005).
[4] Arena Basics Simulation Modeling and Analysis with
ARENA, 2007, Pages 65-105 Tayfur Altiok, Benjamin
Melamed
[5] Guan and Liu, 2009 C.Q. Guan, R.f. Liu Container
terminal gate appointment system optimization Maritime
Economics and Logistics, 11 (4) (2009), pp. 378398
[6] Crainic et al., 2009 T. Crainic, M. Gendreau, J. Potvin
Intelligent freight-transportation systems: Assessment and
the contribution of operations research Transportation
Research Part C, 17 (2009), pp. 541557
[7] Morais and Lord, 2006 P. Morais, E. Lord Terminal
Appointment System Study Transport Canada, Ottawa
(2006)
[8] Banks, J., 1998. Handbook of Simulation. John Wiley
& Sons, Atlanta, Georgia, pp. 3389.
[9] Kelton, W.D., Sadowski, R.P., Sadowski, D., 2002. A
Simulation with Arena, second ed. McGraw-Hill, New York.
[10] B.Sah,R.K Mondal and S. Mondal
In Plant logistics: A case study of the turn around process of
trailers in a steel plant. IIJC(Vol 3) Issue 4
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Productivity Improvement Through Line

Balancing using Simulation
Tarun Kumar Gupta#1, Mayank Kumar#2, Akhilesh Jha#3 , Bhawesh Sah#4
#1
M.Tech (IEM)-ISM, Dhanbad

B.Tech (IEM)-NIT, Kurukshetra
#3
M.Tech (IEM0-ISM, Dhanbad
#4
M.Tech (IEM)-ISM, Dhanbad
#2
AbstractProductivity improvement is essential to the profit of a

company because it helps to achieve more with less. Some of the
most critical issues with Rolling mill production are bottlenecks
in process, demand uncertainity and low productivity. This
paper describes a case study as well as the tools & technique to
improve the productivity at a Rolling Mill. The underlying
problems and bottlenecks are identified using data analysis and
line balancing techniques. Simulation is used to model different
alternatives and the results are then evaluated to reach a optimal
solution.
Keywords Productivity Improvement, Line balancing,
Simulation, Bottleneck.
I. INTRODUCTION
Indias First rolling mill was established in the year 1928 at
Kanpur . The steel rolling mill is one of the most important
segments of the steel industry and is a key link in the supply
chain of iron and steel production in the country.In Rolling
Mill metal is being passed between rolls or machines to give
different shapes to the metal. Rolling mill is of two type Hot
Rolling and Cold Rolling. Hot metal (metal above
recrystallization temperature) is passed through Hot Rolling
and Cold metal (metal below recrystallization temperature) is
passed through Cold Rolling to give appropriate sahpe to the
metal.In india problems regarding Rolling Mills are:long
production lead tme, low productivity, layout problem,
bottlenecking, lack of technology etc. .Number of products is
being produce in Rolling Mill like product:A, B , C & D. In
this paper we talk about productivity improvement of product
A.
Productivity is an economic measure of output per unit
input, input includes labour and capital while output is the
total revenue of the product. The purpose of this Study is to
assess the current Production Capability & Thereafter Identify
Bottlenecks and Required modifications in the System to
achieve 11000 Plus MT of Production per Month at Rolling
Mill .For that Line balancing and Arena Simulation tools is
being used to identify the bottlenecks and to develop new
models after implementing the improvement suggestion. Line
balancing is use for product layout design, Line balancing
technique is used to defines the no. of resources requires and
their sequence to minimize imbalance between workers and
workloads in order to achieve required run rate, identifying
the bottlenecks, equalise the amount of work at each stations,

reduce production cost , Solve problems occuring on assembly
line and to determine no. of workstation.
The existing process as well as proposed process is
modelled in Arena Simulation software to compare and
measure the outcome of existing and proposed model. Arena
Simulation model is behaving like a real world terminal, since
it is highly accurate and understandable. Evaluating the
efficient use of resources (people, money and space) is one of
the primary uses for simulation modeling, both in terms of
space utilization and retail income. Simulation is based on the
process of modeling that mimics the operation of a real or
proposed system with a set of mathematical formulas to see
how they behave under different condition. The simulation is
time based, and takes into account all the resources and
constraints involved, as well as the way these things interact
with each other as time passes to get the optimal solution.
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The paper is therefore an attempt to:
Develop simulation model to visualize existing

production proces of product A to to identify
bottlenecks and problems .
Develop different
performance.
Achieve 11000 plus MT product A production per

month to meet the demand of customers by doing
some modification in the system.
Evaluate and measure the results of different

alternatives through simulation to get the optimal
solution.
altenative
to
improve
the
II. EXISTING PROCESS

Process of production goes through several workstations
from blast furnace to inspection area of Rolling Mill. Billets
and Bloom is being used as a raw material for production.
Hot Billet or Bloom first comes out from Reheating furnace
then it goes to hot rolling Mill like BD Mill, KV-1 and
Tandem Mill where shaping is done also its length increases
to around ten times of billet or bloom length. Then it goes to
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III. METHODOLOGY
Hot Saw where it cuts into 9 or 10 pieces then it goes to

Cooling bed. From cooling bed it pass through straightening
machine where shape is straighten after that it goes to NDT
machine where colour coding is done automatically. After that
it goes to Cold Saw 1 & 2 and Lazzarie saw where final length
of product is given, then it goes to Gag press, Berner press and
Nencky press where bend identification, straightening and
Straightness Measuring is done after that it goes to inspection
bed from where after inspection crane stacks the material or
directly load into the rack. Flow process of production is
show in figure 1 .
Optimal
solution
benchmark
ing/targeti
ng
Data
collection
of existing
system
Analyse all
the models
and compare
with as-is.
Data
Analysis
RHF
New model
B3
Bed
Changing
parameter
Simulation
/Modelling
Nenky
Press
Inspection
Inspection
Figure 2: Methodology use to improve productivity
B4 Bed
Gag
Press
B5 Bed
Inspection bed
Pile
Compactor
Figure 1: Flow process of product A production
To analyse the production process different methodologies

and tools is being used to carry out this study like Data
collection, time study , Data analysis, Modelling/simulation,
Line balancing and Benchmarking .
Data collection is an important aspect in simulation
modelling for accurately representing the actual system. Data
collection of the existing system is done by direct field
observations, video recording and data analysis. The
parameters that are analysed are the Capacity of each station,
time taken at each wiorkstations and the overall time taken in
the entire production process, then standard time is being
established by Time Study. The simulation should take into
account all these parameters, for this ARENA Simulation
software was used for building the simulations of existing and
proposed model to get the optimal solution.
Line balancing use to identify the bottlenecks and equalise
the amount of work at each station to achieve the production
rate. Benchmarking is used to measure performance using a
specific indicator (cost per unit of measure, productivity per
unit of measure, cycle time ) to achieve the goal. In this paper
we take productivity level as a benchmark.
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Cooling
Bed
Straightening
Machine
Hot Saw
T2
Bed
Technogama
NDT
Tandem
B1
Bed
KV1
CS-1
CS-2
BD Saw
B2
Bed
BD Mill
Berner
Press
Lazarrie
Saw
De Scaler
III. MEHODOLOGY
IV . AS-IS MODEL
The existing process is modelled in ARENA Simulation
Software which containes the data like Capacity of each
workstations, Time spend by product and no. of resourses at
each workstations. The outcomes of the model matched the
direct field observations .Simulation model is run for 20 hours
per day.
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- Bend Identification (12%)

- Straightening (56%)
- Post Straightening Inspection (32%)
Time Spent on Bend Identification & Post Straightening
Inspection activity can be rationalized by adopting certain
changes in work place Layout, operating Procedure and Tools.
Process with Manual Checking with Solid steel Bar Gauge is
left side inspection then right side inspection then top side
inspection then release. With the help of automatic guage
simultaneously all side inspection is done. Based on past data,
(10% of X) Piecesl is to be Re- processed after Inspection and
(3% of X) Piece to be Re- processed for 2nd time. Reprocessing occurs due to lack of accuracy on Press operator
end. Most Probable reason is the manual method of Bend
Inspection.With Suitable provision of high accuracy
Automatic Gauge equipments, Manual Error during inspection
can be Reduced. This will further lead to enhanced Production
of another 10 11 %.
fg
Benefits of using Proposed Gauge:1) Reduction in Processing time on Press Locations by

26%. Processing time reduce from 11.45 minutes to
8.45 minutes.
Figure 3: Process flow of as-is system.

The Simulation result shows that the production slows down
at finishing area of Rolling Mill.With the current system
production is around 8424 MT per month.
2) Manual Error can be Reduced, which will further

enhance the Production by another 10 11 %.
Sub System
output
4
1
Reduction in Processing time of Product As on Press

Locations by 26%.
Cooling
Bed
Horizontal
Straighten
-ing M/c
Straightening M/c
(S-8)
(S-9)
Vertical
91 Pcs./ Hr
NDT
M/c
53 Pcs./ Hr
CS1, CS2
&
Lazzarie
Berner, Nencki
& Gag Press
Inspection
Process
Figrue: Gantt Chart for Existing And Propose Process on

Press.
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34 Pcs./ Hr
18 Pcs./ Hr
Existing
Practice
Total Time
Elapsed: 11: 45
35 Pcs./ Hr
Figure 4: Bottleneck diagram-Finishing Area
Based on Line Balancing study & Identified bottlenecks in

the Finishing area, Workstations/ facilities which need urgent
attention for Improvement are: Nenck, Burner & gag Press,
Inspection Activity and Cold Saw operation.
V. IMPROVEMENT SUGGETIONS
Suggetion-1:- Replace existing guage with Automatic
guage.
Existing practice in Necky, burner & Gag press:-The Present
Output rate of Individual Press Machine is around 5 to 6 /Hr
for product A. Micro level analysis shows that Processing
time of each l press station comprises of mainly 3 activities:
Proposed
Practice
Total Time
Elapsed: 8: 45
Figure 5: Existing process takes 11:45 mins. Propose

process will take 8:45 mins.
Suggetion-2:-Replace existing guage with Perforated

gauge.
With Reduction in Existing Weight of scale, the fatigue
among operator/ worker in this area can be reduced. In
Existing process two persons is required to lift the guage for
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measuring , By using perforated guage one person can lift and

measure.
Suggetion-3:- Install one more press.
Suggetion-5:- for Enhancing Productivity of Carbide

Saws.
With the help of ARENA Simulation it shows that in
existing system Lazzarie Saw utilization is only 38%. By
changing the facilitie layout for direct Shifting of product A
from Bed-1 to Bed-2 should be provided to enhance
utilization of CS1,CS2 & Lazzarie saw .
In Order to Meet the Target production , asking rate of all the

three Press is more than 100% . So as per the data it shows
that three press is not sufficient, so to meet the target
production one more press is need to be instsll.
Resource Utilization Level Based on Target Production
Target Monthly Prod.
Avg. Daily Prod.
Total Working Time / month
Speed
(Tonnes/ Hr)
Required Operating
Hrs./ month
utilization During
the month
Tonnes
Tonnes
Hours
11000
367
630
100
39
13
27
110
283
847
403
17%
45%
134%
64%
Assumptions:
- Additional 10 to 11 % quantity has been considered in Target Production Level due to
Deviations
Figure 6: Resourse utilization level based on target

production
Figure 7: Shows the utilization of lazzarie saw
Presently, following key activities

Inspection area prior to their dispatch.
o
o
o
o
are
performed
By implementing suggetion 3 (installing one more press) and

suggetion 5 (direct shifting from bed-1 to bed-2) will enhance
the utilization of CS1, CS2 and Lazzarie saw as shown in
Arena simulation result.
in
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Dimension & Symmetry check (use of Height gauge,

Foot gauge, Head gauge, etc.)
Straightness Check
Punching activity.
Colour Coding.
Scenario Manager
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1
Combined Effect of Suggestion No: 3 & 5
Suggetion-4:- Improvement Suggestions in Quality

Inspection Process.
(Hours)
(MT / Hour)
(Hours)
(MT / Hour)
(Hours)
(Ratio)
(Nos.)
(Nos.)
Case I
Actual Rate
(Streamlined Flow)
13
2.7
35
1.0
24
1.5
0.91
Case II
Discrete Flow
35
1.0
35
1.0
24
1.5
2.46
Berner
Press
Bed 1
Rate of Arrival of Time to Stack a Rate of Inspection Lot Inspection Rate of Rail Shifting Lot Shifting Bed Clearance Nos. of QC Men Nos. of Shifting
Rails on B-4 Bed Lot for Inspection of Rails
Time from B-4 to Stockyard Time
Index
Req.
Men Req.
(MT / Hour)
CS 1 O/p
CS 1
New
Press
Bed
-2
Nencki
Press
CS 2
CS 2 O/p
Gag Press
Table 1: Inspection capacity

Presently Potential Rate of Inspection is 35 Pcs./ Hr
However, this Rate of Inspection Requires Continuous
Manpower Deployment throughout the day. And the Rate of
Shifting from B-4 to Stockyard is 24 Pcs./ Hr which slows the
rate of inspection. Presently a team of only 6 men is there for
QC Inspection, Additional. 6 Contractor Men Required per
day for shifting process.
Bed
-3
Bed 5
Bed 4
Lazzarie O/p
Lazzarie
Saw
Figure 8: Movement of Product A after implementing

suggetion 3 & 5
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REFERENCES
[1] Vaidyanathan, B.S., Miller, D.M., Park, Y.H. (1998). Application of
discrete event simulation in production scheduling, Proceedings of the
1998 Winter Simulation Conference, SCS, 965-971.
[2] C. Becker and A. Scholl, A survey on problems and methods in
generalized assembly line balancing, European Journal of Operational
Research, vol. 168, pp. 694715,2006.
[3] W.Q. Zhang, M. Gen, Process planning and scheduling in distributed
manufacturing system using multi objective genetic algorithm, IEEl
Trans. Electr. Electron. Eng., 2010, Vo1.5, pp.62-72.
[4] Law, A.M.; Kelton, W.D. (2000). Simulation Modeling and Analysis,
3rd edition. Singapore: McGraw-Hill.
[5] Xue, X. 1997. Brief hybrid method for real time simulation, Proc. of the
World Congress on System Simulation (WCSS97). Singapore,
September 01-03, 19-21.
Figure 9: Utilization of all 3 saws.

After implementing suggetion 3 & 5 ulitization of all 3 saws
(CS1,CS2 & lazzarie) is more than 80%.
VI. CONCLUSION
With Implementation of above suggestions, the simulated
results indicates that potential production per month would
increase to 11388 MT. This would result in equivalent
increase in productivity of 35%. Furturemore, process and
layout will be more flexible so that it can respond quickly to
changes in demand pattern.
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A Genetic Algorithm Trained Artificial Neural

Network Based Selective Harmonic Elimination
Technique for Cascaded Multilevel Inverters
Soumyasanta Saha
Chiranjit Sarkar

Jalpaiguri Government Engineering College
Jalpaiguri, West Bengal, India

Sankar Das
Pradip Kumar Saha


Gautam Kumar Panda

AbstractIn this paper, a method is presented to eliminate

the selected harmonics of a three phase seventeen level cascaded
multilevel inverter by calculating the switching angles using the
genetic algorithm trained artificial neural network technique.
The dc sources feeding the multilevel inverter are equal. For a
desired fundamental voltage, the switching angles are computed
off-line at closed interval of modulation indices by the developed
algorithm for minimum total harmonic distortion with
elimination of selected lower-order harmonics. The off-line
computed switching angles are used to train the artificial neural
network. The switching angles from ANN for any desire
modulation index are used to trigger the switching devices of
cascaded multilevel inverter. The proposed concept is validated
with proper simulation results done in MATLAB.
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KeywordsArtificial Neural Network, Cascade H-Bridge

Inverter, Genetic Algorithm, Multilevel inverter, Selective
Harmonic Elimination(SHE), Total Harmonic Distortion(THD).
I.
INTRODUCTION
Now a days, Multilevel inverters are broadly used in high

power industrial applications such as static VAr compensators,
ac power supplies, drive systems etc., [1]-[2]. Several
topologies used for multilevel inverts are diode clamped, flying
capacitor and cascaded H-bridge structures[3][4]. The
advantage of cascaded multilevel inverter is the capability of
utilizing different DC voltages on the individual H-bridge cell
which results in splitting the power conversion amongst highervoltage lower-frequency and lower-voltage higher frequency
inverts[5].
A major issue with the inverter is elimination of harmonics
from the output voltage. To improve performance and output
4
1
voltage quality[6], sinusoidal pulse width modulation[7],

selective harmonic elimination PWM[8], space-vector
modulation[9][10], optimized harmonic stepped waveform and
optimal minimization of Total Harmonic Distortion are used.
By solving the non linear equation of multilevel inverter,
selective harmonics elimination and minimization of the total
harmonic distortion is possible. Several methods have been
suggested to solve the non linear equations[11]. One of the
popular method is NewtonRaphson (NR)[12]-[14]. But the
method is depends on that initial guess for solving the
equations and divergence problems are likely to occur for large
numbers of inverter levels.
In this paper a 17 level cascaded multilevel inverter is taken
for analysis. Selective Harmonics Elimination (SHE) technique
is used to eliminate the lower order harmonics like fifth,
seventh, eleventh, thirteenth etc. after satisfying the desired
fundamental component. The transcendental non-linear
equations characterizing the SHE. The switching angle are
computed off line with varying modulation index using GA.
The calculated switching angles are used to train the Artificial
Neural Network (ANN). The calculated switching angles from
ANN, are used to trigger switching devices of seventeen level
cascaded multilevel inverter. To validate the propose concept
the model is developed in MATLAB environment and
harmonic analysis is carried out.
II.
CASCADED H-BRIDGE MULTILEVEL INVERTER
In this paper a three phase seventeen level cascaded

multilevel inverter is considered. Fig. 1 shows the structure of a
single phase of this inverter.
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4
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Fig. 2. Output waveform of A single phase 17 level cascade H-bridge

multilevel inverter.
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The output voltage waveform V(t) of the multilevel

inverter, shown in Fig. 2 can be expressed in Fourier series as,
V t =
n=1
a n cos nt + bn sin nt
(1)
Due to odd quarter wave symmetry of the output voltage

waveform the even harmonics are absent (an = 0) and only odd
harmonics are present [16]. The amplitude of the nth harmonic
can be expressed with the first quadrant switching angles i.e.
1, 2, ..... , m as follows:
bn = (4Vdc /n)
n=1
sin t
(2)
and,
Fig. 1. A single phase seventeen level cascade H-bridge multilevel inverter
It consists of eight simple H-bridge inverters, each can

produce three output voltages +Vdc, 0 or Vdc by connecting
the dc source, to the ac output side by different combinations of
the four switches, S1, S2, S3 and S4. The total ac output voltage
waveform is the sum of all the individual inverter outputs[17].
Thus the whole inverter can produce seventeen voltage levels.
The output voltage waveform of 17- level cascaded multilevel
inverter are odd-symmetric level shifted modulation each phase
shows in Fig. 2
0 < 1 < 2 < m <

III.
(3)
SELECTIVE HARMONICS ELIMINATION
In selected harmonic elimination problem, b1 is

assigned the desired value of fundamental voltage. And the
amplitude of selected lower order harmonics are eliminated
while remaining harmonic components are reduced to
minimize THD. In this paper lower order harmonics i.e. 5th,
7th, 11th, 13th are eliminated. Mathematically, SHE problem
can be formulated as:
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For successful implementation of GA, the optimum setting

of different input parameter is to be determinate. Different tires
have been performed for optimum setting of input parameter.
Best of the tires the following input parameter are found to be
best for optimal performance of the current problem;
h1 =cos(a1 ) + cos(a 2 ) + ..............+ cos(a 8 )= 8M

h5 = cos(5a1 ) + cos(5a 2 ) + ...............+ cos(5a 8 ) 1
h7 = cos(7a1 ) + cos(7a 2 )+.................+ cos(7a 8 )2
h11 = cos(11a1 )+cos(11a 2 )+..............+cos(11a 8 ) 3
Population size: 100
h13 = cos(13a1 )+cos(13a 2 )+...............+cos(13a 8 ) 4

.
hn = cos(na1 )+cos(na 2 )+...............+cos(na 8 )m
Number of generations: 500

Crossover rate: 0.2
Mutation rate: 0.01
(4)
The flowchart of the optimization process is shown in Fig.
where, 1, 2, 3, 4....m are tolerance, and M is

modulation index and defined as,
3.
M = V1 /4Vdc
THD (%) =
1
h1
(0 M 1)
(
n
k=2,3..
h2k )
(5)
(6)
The (4)-(6) is solved using GA to calculate 1, 2, 3, 4,

5, 6, 7 and 8 . A set of switching angles are computed offline with varying modulation indices.
IV.
SHE USING GENETIC ALGORITHM
Genetic Algorithm is a computational adaptive heuristic

search algorithm which is based on the theory of natural
evolution that solves optimization and search problems [17][19].
Minimize f(z)=k1|h1- M|2 + k2|h5-1|2 + k3|h7-2|2 +

31
k4|h11-3|2 + k5|h13-4|2 + k6 n=17,19 |hn |2
Subject to: 0 < 1 < 2 < 8 <
4
1
The fitness function to solve (4)-(6) can be formulated as,
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(7)
In (7), 1, 2, 3 and 4 are the tolerance of h5, h7, h11 and h13
respectively. For this particular problem 1 set as 0.01, 2 as
0.02, 3 as 0.03 and 4 as 0.04. k1 to k6 are the genetic
coefficients. Trial and error method is used to find the value of
k1 to k6 . k1 is 10 and k2 = k3 = k4 = k5 =k6 is 100.
In the present problem each chromosome is composed by
the switching angle 1 to 8 per angle. At first an initial
population of switching angle is randomly generated after
satisfying the boundary condition 0 < 1 < 2 < 8 < for

2
chosen no of population. In the second step the performance of
each individual is computed using this random value. Then the
selection mechanism chooses best individual for mating. In the
fourth step, the new offspring are generated using genetic
manipulation process. The manipulation process comprises to
genetic operator; crossover and mutation. Then fitness of each
individual generated new offspring is evaluated. The selection,
manipulation, evolution process is repeated for a pre defined
number of iteration.
Fig. 3. Flowchart of the genetic algorithm
V.
IMPLEMENTATION OF ARTIFICIAL NEURAL NETWORK
Artificial Neural Network (ANN) are simplified model of

the biological nervous system and therefore have drawn their
motivation from the kind of computing performance by a
human brain. It consist of interconnected series of nodes that is
processing unit analogues to neurons in the brain. Each node
has a mathematical function, which are applied for input/output
mapping. The important feature of ANN which makes it
suitable for this problem is that it can learn through
example[20][21]. Therefore they can be trained with known
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examples of a problem to acquire knowledge about it. Once

appropriately trained, the network can be put to effective use in
solving for untrained or unknown system.
The last three stages is repeated until the convergence in the

error is less than the tolerance value.
The input parameter of ANN to solve the current problem
are;
Maximum Number of Training Epochs :- 30
Number of hidden layer :- 2
Minimum gradient :- 1e-07
VI.
SIMULATION RESULT
The offline computed switching angles from GA with

varying modulation indices from 0.1 to 1 are shown in Table 1.
In this case, the lower order harmonics, i.e. 5th, 7th, 11th and
13th harmonics are eliminated, where as higher order
harmonics are optimized to contribute minimum voltage THD.
The calculated THD (%) up to 31st order in the output voltage
waveform with varying modulation indices are shown in Table
II.
TABLE I.
Fig. 4. Feed forward ANN topology
In this problem a feed forward back-propagation ANN is

used. The data set, obtained by the GA, used to train the
proposed feed forward back-propagation ANN topology which
is shown in Fig. 4. The back-propagation is a systematic
method for training feed forward multi layer networks. It
consist of hidden layer with hyperbolic tangent sigmoid
activation function and output layer with linear activation
function. This ANN takes modulation index as input and
switching angles as output. The training algorithm of back
propagation involves four stages, that is, initialization of
weights, feed forward, back propagation of errors and updation
of the weights[22].
1
0.078
0.215
0.212
0.225
0.191
0.216
0.265
0.227
0.245
0.267
M
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1.0
2
0.215
0.212
0.225
0.191
0.216
0.265
0.227
0.245
0.267
0.288
3
0.373
0.356
0.358
0.324
0.341
0.332
0.352
0.351
0.346
0.365
4
0.423
0.512
0.511
0.612
0.532
0.534
0.541
0.576
0.527
0.554
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TABLE II.
5
0.721
0.702
0.71
0.723
0.727
0.643
0.674
0.692
0.676
0.771
6
0.891
0.732
0.931
0.899
0.915
0.911
0.99
0.956
1.002
1.012
7
0.973
0.952
0.978
1.108
1.102
1.082
1.076
1.101
1.003
1.087
8
1.383
1.486
1.374
1.503
1.497
1.489
1.553
1.552
1.523
1.512
THD AT VARIOUS MODULATION INDEX (M)
Modulation Index
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1.0
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The training algorithm begins with some randomly

assigned small value as weight. During feed forward stage, An
input signal is received by the input unit and it transmit this
signal to each hidden unit of hidden layer. By multiplying
corresponding weight, each hidden unit calculated the
hyperbolic sigmoid activation function and send the signal to
the output unit. The output unit calculate the linear activation
function from the response of the net for the given input
pattern. After the feed forward stage each output unit compares
its computed activation function with its targeted value to
determine the error and error factor. The output error factor
distribute the error at output unit back to all units in the
previous layer. Thus a new error factor is computed for each
hidden unit. During final stage, which is the updation of weight
and biases, the weight and biases are updated using the new
error factor.
SWITCHING ANGLES (IN RADIAN) AT VARIOUS MODULATION

INDEX (M)
THD (%)
3.56
1.59
1.93
1.47
0.96
1.21
0.95
0.47
0.92
1.02
The variation of angles with modulation indices is plotted

in Fig 5.
Fig. 5. Variation of angles with modulation indices.
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ANN tries to apply the thinking process of a human brain to

solve a problem. The ANN have a intention to learn from the
data set which is given to it. In this particular problem TABLE
I is used to train the ANN. The Performance of ANN is
evaluated during training as shown in Fig. 6.
Fig.9. Per Phase Output Voltage waveform of the inverter for the
modulation index 0.72.
Fig. 6. The performance of ANN during training period
The simulated output voltage waveform and corresponding

harmonic spectrum for a seventeen-level cascaded inverter
operating with equal DC sources using the angles which is
obtained by ANN for the modulation indices 0.85 are shown in
Fig.7 and Fig.8 respectively. Eight equal DC source voltages
are applied per phase which is equal to 25 volts. Hence finally
the output AC voltage for each phase is equal to 200 volts. The
output phase voltage is approximate (200*0.85)= 170Volt.
Fig.10. Harmonic spectrum of the output voltage at modulation index 0.72
4
1
The output voltage waveform and corresponding harmonic

spectrum for the same cascaded inverter at 0.66 modulation are
shown in Fig. 11 and Fig 12. The output voltage is approximate
(200*0.66)= 132V
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Fig.7. Per Phase Output Voltage waveform of the inverter for the
Fig.11.Per Phase Output Voltage waveform of the inverter for the

Fig. 8. Harmonic spectrum of the output voltage at modulation index 0.85
Similarly the output voltage waveform and corresponding

harmonic spectrum for the same cascaded inverter using the
angles which is obtained by ANN at 0.72 modulation are
shown in Fig. 9 and Fig. 10 respectively. Here the output
voltage is approximate (200*0.72)= 144 Volt.
Fig.12. Harmonic spectrum of the output voltage at modulation index 0.66
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[4]
. The numerical results of simulation corresponding to

different modulation indices are shown in Table. III.
TABLE III.
Modulation
Index
0.85
0.72
0.66
NUMERICAL RESULTS OF SIMULATION
Fundamental
Voltage (V)
163.39
145.49
133.9
h5(%)
h7(%)
h11(%)
h13(%)
0.61
0.12
0.25
0.65
0.15
0.47
0.41
0.15
0.45
0.6
0.85
0.81
[5]
THD
(%)
1.91
1.64
1.84
[6]
[7]
The comparison between calculated THD (%) shown in

Table II and simulated THD from ANN with varying
modulation indices of the same seventeen level cascaded
multilevel inverter are plotted in Fig. 13.
[8]
[9]
[10]
[11]
[12]
Fig.13. Simulated THD (%) from ANN vs Calculated THD (%)
[13]
VII. CONCLUSION
A genetic algorithm trained artificial neural network based
technique is proposed to eliminate the selected lower order
harmonics i.e. 5th, 7th, 11th and 13th as well as to minimize
the overall THD up to 31st order. With the help of the
developed genetic algorithm the switching angles are computed
from the SHE equations. The off-line computed angles are
used to train the artificial neural network for on-line
applications. The technique is applied to a 17 level multilevel
inverter with eight equal dc sources. Simulation results are
presented to validate the proposed technique.
[1]
[2]
[3]
[14]
[15]
[16]
[17]
[18]
[19]
[20]
[21]
[22]
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4
1
S
E
The advantage of this method is that, besides eliminating

the targeted order harmonics, it also optimize the other order
harmonics by minimizing the objective function while
maintaining the required fundamental voltage. Moreover, the
overall voltage THD is minimized without adding of additional
switches. The proposed topology also can be applied to the
multilevel inverter supplied from different dc sources. The
proposed technique is simple and the cost of implementation
will not differ much from that of a standard multilevel inverter.
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IEEE Trans. Ind. Electron., vol. 56, no. 8, pp. 28522861, Aug. 2009
B. K. Bose, Neural network applications in power electronics and
motor drivesAn introduction and perspective, IEEE Trans. Ind.
Electron., vol. 54, no. 1, pp. 1433, Feb. 2007.
S. Huang and K. Kiong Tan, Intelligent friction modelling and
compensation using neural network approximations, IEEE Trans. Ind.
Electron., vol. 59, no. 8, pp. 33423349, Aug. 2012.
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335 of 446
Performance Analysis of Genetic Algorithm in

Direction of Arrival of Wideband Sources Over Wide
SNR Range
Jitesh Setia
Sandeep Santosh
Post Graduate student, ECE Department

NIT, Kurukshetra
Haryana, India
setiajitesh@gmail.com
Assistant Professor, ECE department

NIT, Kurukshetra
Haryana, India
Abstract Various methods like MUSIC, ESPIRIT,

Maximum Likelihood have been developed for DOA estimation
of narrowband signal sources. But these methods do not provide
their worth when applied directly to the wideband signal sources.
So many algorithms have been proposed in the past to deal with
the wideband signal sources. Lately along with these algorithms
many optimization techniques have been also applied to improve
the performance of the system as well as to reduce the
computational load. In this paper one of the famous optimization
techniques Genetic Algorithms has been analyzed and its
performance has been studied over various parameters such as
population and SNR.
KeywordsDOA Estimation, Genetic Algorithm, Frequency
Bins
I.
S
E
Several models based on DOA estimation are given in the

literature. In its modern version, DOA estimation is usually
studied as part of the more general field of array processing.
The problem of acoustic direction estimation was also studied
extensively, mostly in the context of sonar [1]. In fact much of
the development of what is now called modern DOA
estimation was done for sonar applications where the
relatively small bandwidth of the signals to be processed made
the computational requirements of advanced algorithms
feasible with the technology that existed then. As processing
power kept increasing, it became possible to apply advanced
techniques to the more demanding wider bandwidth
communications and radar signals [2]. But the prominent
techniques like multiple signal classification (MUSIC),
estimation of signal parameters via rotational invariance
techniques (ESPRIT), maximum likelihood (ML) are still
4
1
INTRODUCTION
The need for direction-of-arrival (DOA) estimation arises

in many engineering applications including wireless
communications, radar, radio astronomy, sonar, navigation,
tracking of various objects, and rescue and other emergency
assistance devices. It is often required to identify the DOA of
signals emanating from every possible direction. This is
important for military as well as for civilian applications. The
directions to targets are usually expressed by the DOA of the
transmitted signals from the sources.
applicable to narrowband signal sources only. Narrowband

signals are those which are having energy which is
concentrated over a frequency band which is much smaller
than the center frequency. But over wireless communications is
not limited to narrowband sources only. Wideband signals find
their application in key signal processing areas such as seismic
signal processing, passive sonars and speech signal processing,
etc. Unfortunately, when the existing techniques are applied
over wideband signals they fail miserably and lead to
performance degradation of the system. This is because in
narrowband signals the sensor output can be easily vectorized
by using just one frequency component, i.e., the center
frequency of the source as the energy of narrowband signals is
concentrated over a frequency band that is relatively small
compared with the centre (carrier) frequency [3]. Thus vector
space is being framed with the help of sensor output vector and
this provides the key foundation for the signal subspace
methods.
With the help of the spatial correlation matrix [4] of the
sensor output the vector space can be easily found. The
primary reason of not applying narrowband signal subspace
methods to wideband sources is that the phase difference
between sensor outputs not only depends on DOA, but it also
depends on the temporal frequency, which has a wide range
[5]. To overcome this problem in narrowband estimators the
sensor array output of wideband signal sources is divided into
various narrowband signals with the help of Discrete Fourier
Transform (DFT). These DFTs provide a group of various
narrowband signals having different center frequency and their
corresponding correlation matrices. These correlation matrices
are then exploited to estimate DOA of wideband signals.
Performance of a wideband estimator depends on how wisely
these correlation matrices are used. Hence as compared to
narrowband estimator where estimation is done with the help
of a single centre frequency, wideband estimators makes use of
a set of frequencies for their DOA estimation purpose .
For DOA estimation of wideband sources there are many
techniques proposed and many of them are extension to the
current existing techniques for narrowband signals. The major
classification of these techniques has been done into two
groups namely incoherent signal subspace methods (ISSM) and
336 of 446
coherent signal subspace methods (CSSM) [6]. In the ISSM

sensor output is passed through a filter bank to decompose the
wideband sources into narrowband and after this, narrowband
techniques are applied irrespectively of the sensor output. As
far as the SNR range is behaving well for the detection, these
methods provide good estimation [7]. But as soon as SNR
range varies at each frequency, then the estimated output could
be bad as some of the DOAs could have been estimated at very
low SNR and might not provide correct estimate. Hence to
overcome this problem, CSSM methods [8] are used which
provide the weighted average at each frequency bin, i.e., at
lower SNR range the weight multiplied would be small and it
would be high for the large SNR cases [9].
II.
The array outputs, signal amplitudes, and noise

residuals are represented by the M 1 vector x, the P 1
vector s, and the M
1 vector n, respectively. The number of
sensors, M, is usually assumed to be larger than the number of
sources, P. In the expression for the steering vector, dm is the
sensor displacement of the mth element with respect to the first
element, c is the speed of propagation, and i is the azimuth
angle pointing to the ith source. For linear array geometry, the
elevation angle is completely ambiguous.
On the other hand, for a wideband source, the array output
after baseband conversion is no longer constant. For the
wideband case, the array outputs are modeled as
WIDEBAND SIGNAL MODEL

=
A. DOA Estimation of wideband signals

For many applications, wideband signals are exploited for
localization. A wideband signal is any signal whose energy is
distributed over a bandwidth that is large in comparison to the
signals center frequency. For example, ultra wideband (UWB)
noise radars use wideband offering low probability of detection
(LPD), while achieving good target detection and high
resolution. In the acoustic vehicle tracking scenario, the target
emits a set of narrowband harmonics.
(5)
Where
= , 0 . . , 1 + ()
And
, = [1 2
Direct exploitation of an array of raw wideband signals for

localization using traditional narrowband techniques will fail
miserably. The shortcoming is that the narrowband methods
exploit the fact that time delays directly translate to a phase
shift in the frequency domain
. 2
4
1
j2f
S(f)e
S(f)e
j2f c
S
E
I
s(t)e
j2f c
= 0 . . 1 + ()
= [1 2
(3)
1 steering vector, or array
(4)
. 2
(8)
Where v = d/c, and d is the spacing between array

elements. Usually, the array outputs are collected in a sequence
of snapshots, where the time interval between snapshots is
large enough for the signal amplitudes S( f ) to decorrelate over
time. As a result, the covariance for the array output at
frequency f ; that is, X( f ) exp{-j2( f fc )t}, is modeled as
(2)
The phase shift is now independent of time, where the

time delay t is a function of the location of the source relative
to the array elements. When the signal is mixed with a pure
tone at the center frequency (i.e., baseband conversion), the
outputs along a linear array due to P far-field sources are
viewed as an approximately constant signal. A well-accepted
model for the linear array outputs is given by a weighted sum
of steering vectors embedded in noise
Where ) is the M
manifold, for the ith source,
(1)
For narrowband signals, where the bandwidth is small

relative to the center frequency c, the phase-shift is
approximately constant over the bandwidth. The delayed signal
in the time domain is
(7)
In a sense, narrowband sources represent a special case of

(5), where S(f) = S(f) (f fc). For the special case of a ULA,
the steering vector takes on the Vandermonde form
, = [1 2 . 2 (1) ]
(6)
= , , + 2
(9)
Where
, = [(, 0 (, 1 )]
(10)
Rs(f) is the covariance matrix for S( f ), and 2 is the

noise variance. The composite covariance matrix for array
output X(f) is
R=
(11)
.
B. Mathematical Representation
Consider an emitter transmitting a signal s() , where
s(t) is the baseband signal, and wc=2fc, where fc is the carrier
frequency.
The received signals are delayed versions of the transmitted
signal
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( 1 ) 1
2
= ( 2 )
( )
(12)
Moreover for two populations 10 and 100, the results have

been analyzed.
For these simulations MATLAB R2013a software is being
used.
Where xpb(t) is the vector of the received passband signals and

M are the propagation delays determined by the direction of the
source relative to the array. For example, in the case of a linear
array
M =0(dM/c) sin
(13)
Where 0 is the propagation delay from the emitter to a

reference point on the array, dM are the distances of the array
elements from that reference point, c is the speed of light, and
is the emitter direction measured relative to the line
perpendicular to the array. Without loss of generality we can
assume that 0=0. (This is equivalent to defining s(t) as the
baseband signal at the reference point the receiver array, not as
the source signal.) Thus, it is assumed that
M= dM/c) sin
Fig.1. Resolution probability against SNR for population =10
(14)
The above graph clearly demonstrates that in low SNR

region, i.e., from -15 db to 5 db, genetic algorithm provides
good resolution probability as compared to our already defined
conventional methods. In our conventional methods such as
WMUSIC, Maximum Likelihood, Capon Method, etc. we do
not get such high resolution probability in low SNR region.
After transforming the passband signals to baseband, we have

( 1 ) 1
( 2 ) 2
( )
(15)
Where x(t) is the vector of received baseband signals.

III.
4
1
S
E
GENETIC ALGORITHM
1) Calculating the constant beam width weights wi i=1,2,..M

for each frequency in the frequency range with respect to the
reference frequency f0.
2) Computing beam-forming matrix for each discrete
frequency.
3) Computing beam space output matrix at each frequency
and then average them together to form the output matrix Y(0 )
at the reference frequency.
4) Using conventional genetic algorithm to do the DOA
estimation.
IV.
SIMULATION
Fig.2. Resolution probability against SNR for population =100
The performance of genetic algorithm is analyzed using

computer simulations on MATLAB software. A twelve-sensor
ULA is taken in consideration having spacing of 0.15 meter.
Monte Carlo simulations are being performed over the system.
Two uncorrelated Gaussian white noise sources lying in far
field region are placed at -4 and 4 respectively. The focusing
frequency is 5 kHz for 40 frequency bins while the sampling
frequency is taken as 15 kHz. The above simulations are
performed over wide SNR Range ranging from -15db to 5db.
In Figure 1 at low SNR of -15db we are getting a reolution

probability of 30% while increasing population size of the
system to 100 in Figure 2 we get a resolution probability of
50% at the same SNR. We can obtain even high resolution but
this will result in a high computational load in the system. So a
tradeoff is reqired between resolution probability and
computational complexity of the system
338 of 446
Sources, IEEE Trans on ASSP, August 1985, vol33, no. 4, pp.823-831.

[9] M Li, Y Liu, Genetic Algorithm Based Maximum Likelihood DOA
Estimation, RADAR 2002, 502 -506
Fig.3. RMSE for signal 1 against SNR

Figure 3 shows comparison results among WMUSIC
(Wideband MUSIC), JDS (Joint Diagonalisation Structure) and
MGA (Modified Genetic Algorithm). The results clearly show
that in low SNR region MGA provides lower rmse than
WMUSIC and JDS.
V.
CONCLUSION
The results of genetic algorithm clearly imply that genetic

algorithm provides better resolution probability in low SNR
regions as compared to our existing algorithms. While the
genetic algorithms can provide resolution probability upto 60%
at lower SNR value, the existing technologies are known to
provide resolution probability upto 30% at given SNR value.
Moreover genetic algorithm provides lower rmse in low SNR
regions. The results can be further improvised by using a
higher population number but the computational complexity of
the system is increased. Hence a tradeoff has to be maintained
between resolution probability and computational complexity.
4
1
S
E
REFERENCES
[1] S Valaee, P Kabal, Wideband Array Processing Using a Two-side

Correlation Transformation, IEEE Trans on SP, 1995, 43 (1): 160-172
[2] J. C. Chen, K. Yao, and R. E. Hudson, Source localization and
beamforming, IEEE Signal Process. Mag., vol. 19, no. 2, pp. 3039,
Mar. 2002.
[3] W.-J. Zeng, X.-L. Li, and X.-D. Zhang, Direction-of-arrival estimation
based on the joint diagonalization structure of multiple fourth order
cumulant matrices, IEEE Signal Process. Lett., vol. 16, no. 3, pp. 164
167, Mar. 2009.
[4] J Krolik, D Swingle, Focused Wide-band Array Processing by Spatial
Resampling, IEEE Trans on ASSP, 1990, 38 (2): 356-360
[5] Z. Tang, G. Blacquiere, and G. Leus, "Aliasing-free wideband
beamforming using sparse signal representation, " IEEE Trans. Signal
Process., vol. 59, no.7, pp. 3464-3469, Jul. 2011.
[6] J. Krim and M. Viberg "Two decades of array signal processing research:
The parametric approach", IEEE Signal Process. Mag., vol. 13, no. 3,
pp.67 -94 1996
[7] W.-J. Zeng and X.-L Li "High-resolution multiple wideband and nonstationary source localization with unknown number of sources", IEEE
Trans. Signal Process., vol. 58, no. 6, pp.3125 -3136 2010
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Detection and Estimation of Angles of Arrival of Multiple Wide-band
339 of 446
Intelligent Co-ordinated Control for Boiler Turbine

Unit
M. S. Murshitha Shajahan #1, Dr. T. R. Rangaswamy *2.
#1
Assistant Professor(SG), *2Professor.

Dept of EIE, B. S. Abdur Rahman University, Chennai, India
1
murshitha4@yahoo.com
AbstractAn intelligent co-ordinated control for boilerturbine unit is proposed. As strong couplings exist between the
main steam pressure control loop and the power output control
loop, in the boiler-turbine unit, with large time-delay and
uncertainties, automatic coordinated control of the two loops is a
very challenging task. The co-ordinated control of these two
loops is not much addressed. To enhance the performance, this
paper presents the new development of the boiler-turbine
coordinated control strategy using fuzzy inference system to
match the power demand by controlling the air and fuel ratio
and also to maintain the steam flow to the turbine inlet
simultaneously. The fuzzy based co-ordinated controller controls
the combustion process and steam flow to the turbine inlet at all
loads. The merits of the proposed system are highlighted
through a simulation study.
Index Terms Thermal power plant, co-ordinated control,
Boiler Turbine unit, Fuzzy reasoning.
I. INTRODUCTION
A typical power plant often consists of a boiler-turbine
unit, which is generally considered to be a highly nonlinear
and strongly coupled complex system, in which the chemical
energy of coal is transformed into mechanical energy acting
on the turbine and generator, which in turn transforms the
mechanical energy into electricity. In recent years, there have
been dramatic changes in the electric power generation
industry. The changing market demands and competition have
forced the older conventional coal-fired power plants to
operate in a much more dynamic environment. For the boilerturbine control system, the main objective is to adjust the
power output to meet the demands while maintaining the
steam pressure and temperature within desired ranges. The
standard multi-loop single-input-single output (SISO)
strategies are turbine following and boiler following
configurations. In turbine follow mode, the power output is
controlled by the boiler firing rate, whereas in boiler follow
mode, the power output is controlled by the throttle valve
position as the power output is directly proportional to the
amount of steam supplied to the turbine. Generally, the
turbine follow mode can provide minimal variations to steam
temperature and pressure, but it cannot track the load demand
quickly due to the slow steam generation in conventional coalfired power plants. In contrast, by opening the throttle valve,
different amount of steam can be supplied immediately, but
this is at the expense of depleting stored energy in the boiler
leading to main steam pressure variations. To overcome this

co-ordinated control of boiler-turbine unit is preferred.
Fuzzy Inference Systems (FIS), which are generally rule
based, are used in industries to perform intelligent efficient
control. They can be easily applied for complex systems like
boilers, as they are rule based. The rule base contains
linguistic rules that are provided by experts. It is also possible
to extract rules from numeric data. Once the rules have been
established, the FIS can be viewed as a system that maps an
input vector to an output vector.
This paper is organized as follows: Section 2 describes the
Coordinate mode of a boiler-turbine unit and PID tuning
parameter values. Section 3 describes the fuzzy controller for
fuel and air combustion control. Section 4 describes the
results & discussion and the summary & conclusion are
presented at the end.
4
1
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E
I
II. SIMPLE BOILER-TURBINE UNIT

Although the boiler-turbine unit is highly nonlinear for the
entire operating range, most power plants usually operate at
ramp-load of 80%-100% during area regulation. Hence, the
process is reasonably linear. Many results have been reported
in the literature to show that multi-input-multi output (MIMO)
linear control design provides better tracking performance
compared with decentralized PID control. Ling Wang et al [1]
presented a novel adaptive fuzzy controller to implement nonovershoot control in power plants in which the Lyapunovbased adaptive law is employed to guarantee the stability of
the controller while a modified Adaptive Binary Harmony
Search (ABHS) algorithm is utilized to search the optimal
control parameters to improve the dynamic performance. Hao
wan-jun et al [2] presented a novel scheme for the coordinated
control of power units. A fuzzy state space model and pole
placement based on PSO of boiler-turbine system is built.
Guolian HOU et al [3] proposed a supervisory predictive
control (SPC), considered as a improved generalized
predictive control is developed for coordinated control system
of 1000MW once through boiler. Yufei Zhang et al [4]
applied self-adaptive fuzzy PID control strategy to design
controller for the combustion system. Hulinjing et al [5]
presented a study on the boiler drum water level based on
Fuzzy Adaptive Control. Li Jing et al [6] implemented
control and optimization strategy for a design of intelligent
controller combustion process of Stack-boiler. Aipeng Jiang et
340 of 446
al [7] researched on combustion control and heat efficiencys

online computing of slime fluidized bed boiler. Yonglin Wang
et al [8] proposed a fuzzy diagnosis method is put forward,
whose membership functions are determined by PSO
algorithm. Xiao-Feng Li et al [9] proposed a new sequential
relay feedback method for the tuning of decentralized PID
controllers in intelligent coordinated control systems (CCS)
and also advanced controller design [10], coordinated control
strategy [11][12] nonlinear control [13], gain scheduling
design [14][15], dynamic matrix control (DMC) [16][17], and
robust control [18][19]. However, those results usually fail to
address the PID control design properly. Advanced PID
control design is reported for boiler-turbine unit. The coordinated control of boiler-turbine unit is not much addressed.
In this paper, an intelligent technique is used to achieve coordinated control of boiler-turbine unit and the performance
also evaluated.
A. Coordinate mode
The coordinated boiler-turbine control system is a key
element in the operation of large modern fossil-fuelled steamelectric generating stations. In this mode the turbine valves
and firing rate are manipulated to regulate throttle pressure
and generator load. It achieves the responsiveness of boilerfollowing mode but with the stability of turbine-following
mode.
During load increases, when stored energy is being
withdrawn from the boiler, there will be an inherent drop in
the throttle pressure. Ordinary boiler control systems will
overcompensate with integrating control and cause general
instability. Co-ordinated mode utilizes self-calibrating Energy
Balance signal, to apply the correct amount to make up for the
loss of stored energy in the boiler. As the pressure approaches
set point, the Energy Balance Signal automatically decreases
to a level where energy input to the boiler equals generation
output. Overshoot and instability is avoided.
and the pressure set point. The schematic diagram for

coordinated mode is shown in Fig.1 Using simulator the set
point for air fuel for combustion control and steam flow to the
turbine inlet was derived.
The PID controller is the most widely used control
algorithm in many industrial applications. It uses the principle
that the control action is proportional to the error as well as
derivative and integral of the error. Using Zieglar Nichols
method PID tuning parameters for air, fuel and steam flow to
the turbine inlet were obtained from the simulation carried out
for various load conditions with respect to real time data
collected from thermal power plant using MATLAB simulink.
Table I shows the tuning parameter values.
Control loop
Fuel Controller
Air Controller
Steam Flow to
the Turbine Inlet
Controller
In coordinated mode, the load controller generates the

demand for the fuel/air valves from the unit load demand and
the measured generated power. Then demand to the throttle
valve is calculated from the measured throttle steam pressure
KI
1.0
KD
0.4
1.6
1.0
0.4
0.9
0.6
III. FUZZY CONTROLLER

A fuzzy inference system essentially defines a nonlinear
mapping of the input data vector into a scalar output, using
fuzzy rules. The mapping process involves input/output
membership functions, FL operators, fuzzy ifthen rules,
aggregation of output sets, and defuzzification. An FIS
contains four components: the fuzzifier, inference engine, rule
base, and defuzzifier.
4
1
S
E
I
Fig. 1 Schematic Diagram of Coordinate mode
PID parameter
KP
1.6
The fuzzifier maps input numbers into corresponding fuzzy

memberships. This is required in order to activate rules that
are in terms of linguistic variables. The fuzzifier takes input
values and determines the degree to which they belong to each
of the fuzzy sets via membership functions. The inference
engine defines mapping from input fuzzy sets into output
fuzzy sets. It determines the degree to which the antecedent is
satisfied for each rule. If the antecedent of a given rule has
more than one clause, fuzzy operators are applied to obtain
one number that represents the result of the antecedent for that
rule. It is possible that one or more rules may fire at the same
time.
Outputs for all rules are then aggregated. During
aggregation, fuzzy sets that represent the output of each rule
are combined into a single fuzzy set. Fuzzy rules are fired in
parallel, which is one of the important aspects of an FIS. In an
FIS, the order in which rules are fired does not affect the
output. The defuzzifier maps output fuzzy sets into a crisp
number. Given a fuzzy set that encompasses a range of output
values, the defuzzifier.
The proposed fuzzy inference system for fuel, air and steam
flow to the turbine inlet is shown in Fig.2. An inference
mechanism is designed using Mamdani (min-max) method
that gives the output signal. The output of the inference
341 of 446
mechanism is a fuzzy value and is converted into crisp value

using center of area method of defuzzification and applied to
the controller.
100
80
Fuel Flow (t/hr)
60
40
20
0
10
20
30
40
50
60
70
80
90
100
90
100
Time (Sec)
Fig. 3. Fuel flow (Load 80 MW - 110MW).
Fuel flow set point 80 t/hr.
250
200
Fig. 2. FIS for fuel/air/steam flow to turbine inlet control

Air Flow (t/hr)
The rule base is generated considering the error and

change in error values. The error range is fixed to +25 to -25
in that Positive Big (PB), Positive Small (PS), Zero (ZE),
Negative Big (NB), Negative Small (NS) is fixed. The rule
base for the proposed fuel, air and steam flow to turbine inlet
is generated. Table II shows the rule base for steam flow rate
to the turbine inlet.
150
100
50
0
10
20
NS
ZE
PB
400
NB
NB
NS
NS
ZE
NS
NB
NS
NS
ZE
PS
ZE
NS
NS
ZE
PS
PB
PS
NS
ZE
PS
PS
PB
PB
NS
PS
S
E
I
PS
PB
A. Simulation and Results

An Intelligent technique for fuel, air and steam flow to the
turbine inlet for coordinated controller using PID and fuzzy
schemes were proposed. Simulation studies were carried out
using PID and fuzzy schemes for several load conditions.
Response of an Intelligent Fuel flow, airflow and steam flow
to the turbine inlet for a load change from 80MW to 110MW
is shown.
The proposed design has the ability to
accommodate and account for the change in the dynamics due
to sudden load change, without much time delay.
200
70
80
100
0
0
10
20
30
40
50
Time (Sec)
60
70
80
90
100
Fig. 5. Steam flow to Turbine inlet (Load 80MW 110 MW)

Steam flow to Turbine inlet set point 440 t/hr
PB
IV. SIMULATION AND RESULTS
300
A
Steam Flow (t/hr)
NB
60
4
1
500
PS
50
Fig. 4. Air flow (Load 80MW 110 MW)

Air Flow set point 220 t/hr
TABLE .II
NB
40
Time (Sec)
FUZZY RULE MATRIX FOR U

e/e
30
Figs 3-5 shows the responses of fuzzy control

schemes for a load changes with respect to steady state values
for fuel flow, air flow and steam flow to the turbine inlet.
Table III presents the comparison of time domain
specification and performance for PID and fuzzy control
schemes.
From Table III, it is observed that the proposed fuzzy
scheme has less settling time, minimum integral square error
(ISE) and integral absolute error (IAE) when compared with
conventional controller.
342 of 446
TABLE. III
[5]
Yufei Zhang, Huajie He, Hanbo Zhu, Zhigang Su, Yongsheng Hao,
Multivariable Control strategy for Combustion System of Circulating
Fluidized Bed Boiler IEEE trans, Asia-Pacific Power and Energy
Engineering Conference, pp 1-4, March 2012.
[6]
Hulinjing, Zhangke, Liutao, Study on the Boiler Drum Water Level

Based on Fuzzy Adaptive Control, IEEE trans, 24th Chinese Control
and Decision Conference, pp 1659-1663, May 2012.
[7]
Li Jing, Lang Jian-hua, Li Zhi, The Intelligent Boiler Control System

Of Self learning And Self-Optimizing, IEEE trans, International
Conference on Automatic Control and Artificial Intelligence, pp 2137
2140, March 2012.
[8]
Aipeng Jiang , Weiwei Lin, Qiang Ding, Zhifeng Liu, Jiafeng Fan, Shao
Bing Research on combustion control and heat efficiencys online
computing of slime fluidized bed boiler, IEEE trans, World Congress
on Intelligent Control and Automation, pp 34123416, July 2012.
[9]
Yonglin Wang, Shengjun Wen, Dongyun Wang, Fuzzy Fault Diagnosis

Method Based on Particle Swarm Optimization Algorithm, IEEE trans,
Conference on Fuzzy Systems and Knowledge Discovery pp 307310,
May 2012.
COMPARISONS OF PERFORMANCES
Control Loop
Fuel flow
Air flow
Steam Flow to the

Turbine Inlet
Control
Scheme
Conventional
Co-ordinated
Controller
Intelligent
Co-ordinated
Conventional
Co-ordinated
Controller
Intelligent
Co-ordinated
Conventional
Co-ordinated
Controller
Intelligent
Co-ordinated
Settling
Time(sec)
65
ISE
IAE
969
956
35
721
811
65
941
967
35
741
713
75
981
884
45
813
810
[10]
V. CONCLUSION
Intelligent coordinated controller was designed for the
boiler turbine unit. The performance of the proposed
controller performed better than the conventional controller,
showing faster transient response and less settling time and
oscillations. The control output is smooth without any
oscillations, which would increase the life of the control
elements. The performance of the control schemes are
validated quantitatively using time domain specifications.
This proposed scheme has 45% improvement over
conventional schemes in settling time. The proposed
intelligent scheme, results in, least ISE and IAE values for
various load. The comparisons of the performance reveal the
superiority of the proposed intelligent controller over the
conventional scheme.
Xiao-Feng Li, Weidong Zhang Coordinated Control of FossilFuel Power Plant Based on the Fuzzy PID Control, IEEE trans,
Conference on Decision and Control, pp 30803085, December 2012.
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Kwong Ho Chan, B. Erik Ydstie And Xu Cheng, Advanced

Control Design for Boiler-Turbine Unit, Proc.IEEE International
conference on Control Applications (CCA),Sep.2011, pp.864-870.
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T.R.Rangaswamy, Shanmugam J, Thyagarajan T, Fuzzy Based

Coordinated Controller for Thermal Power Plant, Proc.IEEE
International conference on IICPE, Dec.2006, pp.377-382.
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E
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Shaoyuan Li, Senior Member, IEEE, Hongbo Liu, Wen-Jian Cai,

Yeng-Chai Soh, and Li-Hua Xie, A new coordinated control strategy
for Boiler-Turbine system of a Coal Fired Power Plant, IEEE Trans.
Control Systems Technology, vol.13.No.6,pp.943-954,Nov.2005.
F. Fang, W. Tan, and J.Z Liu, Tuning of Coordinated Controllers
for Boiler-turbine Units, Acta Automatica Sinica, vol. 31, no. 2, 2005,
pp.291-296.
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W. Tan, H.J. Marquez, T.W. Chen, and J.Z Liu, Analysis and
control of a nonlinear boiler-turbine unit, Journal of Process Control,
vol. 15, no. 8, 2005, pp. 883-891.
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P.C. Chen, and J.S. Shamma, Gain-scheduled -optimal control for

boiler-turbine dynamics with actuator saturation, Journal of Process
Control, vol. 14, no. 3, 2004, pp. 263-277.
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Z.Y. Huang, D.H. Li, X.Z. Jiang, and L.M. Sun, Gain scheduled
servo system for boiler-turbine unit, Proceedings of CSEE, vol. 23, no.
10, 2003, pp. 191-198.
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Ling Wang, Ruixin Yang, Panos M. Pardalos, Lin Qian, Minrui Fei,
An adaptive fuzzy controller based on harmony search and its
application to power plant control, International Journal of Electrical
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Hao wan-jun, Qiao yan-hui, Lize, Wu yong-zhi, Gao han-wen, Yang

jun, T-S Fuzzy Coordinated Control for Power Unit Based on Multiobjective Optimization, IEEE trans, 25th Chinese Control and Decision
Conference, pp 3639-3644, May 2013.
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[3]
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Application of Supervisory Predictive Control in Supercritical Unit
Coordinated Control System, IEEE trans, 8th Conference on Industrial
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A.Selwin
Mich
Priyadharshan,
T.R.Rangaswamy,
Behavior Responses and Control Modeling
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Cascaded PID
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343 of 446
Vulnerability Assessment of Reinforced Concrete

Buildings having Plan Irregularity using Pushover
Analysis
Sandesh Giri
S.K. Madan
Post Graduate student, Department of Civil Engineering

Kurukshetra, India
sandeshgiri@hotmail.com
Professor, Department of Civil Engineering

Kurukshetra, India
Abstract Reinforced buildings being constructed today possess
e)
some degree of irregularities in it. In past earthquakes, it has

been observed that irregular buildings are most vulnerable to
earthquakes. The study summarizes a review of plan irregular
buildings as defined by codes and analysis of each type of
irregularity is carried out by non linear static procedure.
Further, the response of each building has been studied on the
basis of seismic vulnerability by the help of vulnerability indices
and the results are compared with a regular building. It has been
observed that buildings having torsional irregularity are most
severe than other plan irregular buildings.
A. Torsional Irregularity
Buildings with non-uniform mass, stiffness and/or strength
over their plan are often described as being torsionally
irregular. The code proposed parameter of the torsional
irregularity is the ratio of the maximum displacement drift of a
floor corner to the average displacement drift of the considered
edge of the floor. Buildings with severe torsion are to be
avoided.
Keywordsplan irregularity; pushover analysis; vulnerabilty

assessment
I.
S
E
Building configurations that are adequate for resisting

gravity loads may not be necessarily suitable for resisting
earthquake forces. Buildings with regular geometric shape and
regularly distributed mass and stiffness without any abrupt
discontinuities in lateral load carrying structures suffer
significantly less damage [1]. However, due to demand in
aesthetics and increased performance levels of structures in
modern times has made designers inevitably include various
irregularities in the structures. As a result, such buildings need
to be specifically studied in order to understand the behaviour
in earthquakes and prevent complete collapse.
The plan irregularities are of different types as per IS 1893
(Part I):2002 code [2].
a)
b)
c)
d)
Torsional Irregularity
Re-entrant corners
Out of plane offsets
Diaphragm Discontinuity and
4
1
B. Re entrant corners
The re entrant or lack of continuity is one of the common
characteristic of overall building configurations, that in plan
assume the shape of L, T, C, X, or combination of these
shapes. According to IS 1893:2002 (Part 1), buildings where
both projections of the structure greater than 15% beyond the
re entrant corner are to be classified as irregular buildings.
INTRODUCTION
Much of the loss in past earthquakes has occurred due to the

collapse of buildings. Both modern and traditional buildings
suffer damage if there are no earthquake resistant features
incorporated in the structure.
Non parallel systems
C. Out of plane offsets

This is characterized by having discontinuity in lateral
load resisting system of primary element in different planes of
the building. common cases are lateral load resisting element
is present in one story, but do not continue, or is offset out of
plane in the story immediately adjacent to it.
D. Diaphragm Discontinuity
It is defined to exist where there are diaphragms with
abrupt discontinuities or variations in stiffness, including those
having cut-out or open areas greater than 50% of the gross
enclosed diaphragm area, or changes in effective diaphragm
stiffness of more than 50% from one story to the next.
E. Non parallel systems
When the line of action of the lateral load resisting
elements of the structure is not parallel to X or Y axis, a non
parallel system irregularity exists.
In our present study, irregular RC buildings involving plan
irregularities is studied. The performance point and hinge status
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was assessed after pushover analysis using ATC 40 manual [3].

Further the vulnerability of each type of building was shown
using various vulnerability indices based on different response
parameters of each building. The vulnerability indices were
considered. These indices provide a measure to numerically
quantify the seismic damage of individual element, storey or
complete structure.
II.
15 m
35 m
PARAMETRIC DETAILS OF MODEL
Fig1: Floor plan of the reference building
A 12 storey reinforced concrete frame has been modelled as

a reference building. The building is regular in both plan and
elevation. The analysis of the irregular buildings is then
compared with the analysis results of this regular building.
The plan of regular building is as shown in Fig.1.
.
The building models were analyzed in SAP 2000 [4]. The
plan dimension of all buildings is 35m X 15m. The sizes of all
beams are 600 X 350 mm and columns are 700 X 700mm up
to fifth storey and 550 X 550 mm for storeys above fifth floor.
The concrete used is of grade M230 with a Poissons ratio of
0.15 and steel used is Fe 415 with a Poissons ratio of 0.3.
Floor to floor height is 3m with a plinth level of 1m from the
fixed base.
15 m
15 m
Floors are assumed to act as rigid diaphragms. The dead

load for walls is taken as 10 KN/m except for ground floor and
roof. The dead load including both the slab and floor finishing
is taken as 6 KN/ m2 for all floors except ground floor. The
live load is taken as 3 KN/ m2 for all floors except in the case
of roof the live load is taken as 1.5 KN/m2.
35 m
4
1
Fig 2 : Floor plan of building with diaphram discontinuity
35 m
S
E
For modelling buildings with irregularities, the provisions

of IS 1893 (Part I):2002 was followed. For modelling building
with diaphragm discontinuity, an opening was considered that
continues in all the floors of the building (Fig. 2). The area of
the opening is maintained greater than 50% of the gross
enclosed diaphragm area. For buildings with re-entrant corner,
a building with T shaped plan is chosen (Fig. 3). The
provision of projections of the structure beyond re-entrant
corner greater than 15% of its plan dimension in the given
direction is maintained as per the IS code. For non parallel
system, the building is cut out in one plane so that the vertical
element in plan is not parallel to the major orthogonal axis and
the plan of such building is as shown in Fig. 4. Out of plane
offset is modelled by discontinuing the shear wall at the
ground floor and making it offset in a different plane (Fig. 5).
20 m
15 m
Fig 3 : Floor plan of building with re-entrant corner
20 m
Similarly for building with torsional irregularity, the criteria

of maximum story drift (or inter-story drift) at one end of the
structure transverse to an axis is more than 1.2 times the
average of the story drifts (or inter-story drifts) at the two ends
of the structure has been maintained. This is modelled as
concentrating the lateral load resisting element in terms of
reinforced wall in only one plane of the building and its
isometric view is as shown in Fig. 6.
15 m
35 m
Fig 4 : Floor plan of building with non-parallel system
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displacement is an estimation of the top displacement of the

building when exposed to the design earthquake excitation.
Fig 7 : Load- Deformation curve
Then a pushover analysis is carried out on the building until

the top displacement of the building equals to the target
displacement and the second one force controlled type in
which the total amount of force acting is estimated and applied
to the structure and the analysis is carried out [6].
Fig 5 : Isometric view of building with out of plane offset exported from
SAP2000
Force-deformation criteria for hinges used in pushover

analysis is defined in the FEMA documents and shown in Fig
7 [7]. Five points labelled A, B, C, D, and E are used to define
the force deflection behaviour of the hinge and three points
labelled IO, LS and CP are used to define the acceptance
criteria for the hinge. (IO, LS and CP stand for Immediate
Occupancy, Life Safety and Collapse Prevention respectively.)
The criteria for the structural performance of a building can be
represented by deformation capacity inherent in the structure.
4
1
S
E
Fig 6 : Isometric view of building with torsion irregularity exported from

SAP2000
III.
METHOD OF ANALYSIS
The recent development of performance based design has

brought the nonlinear static pushover analysis procedure to
determine the seismic performance of building. Pushover
analysis is a static, nonlinear procedure in which the
magnitude of the structural loading is incrementally increased
in accordance with a certain displacement. With the increase
in the magnitude of the loading, weak links and failure modes
of the structure are found. The loading is monotonic with the
effects of the cyclic behaviour and load reversals being
estimated by using a modified monotonic force-deformation
criteria and with damping approximations [5].
The pushover procedure consists of two parts. First, a
target displacement for the building is established. The target
IV.
The analysis results of each type of building are obtained

and are quantified using various vulnerability indices [8].
These indices reflect the degree and region of vulnerability
and also provide a way to identify the deficiencies, suggest
and compare the retrofitting methods.
A. Index based on lateral load resistance
This index is based on lateral load resistance of the
building and is defined as the ratio of lateral load demand to
the maximum lateral load sustained. Greater the value of this
index reflects the building is significantly deficient in lateral
load resistance.
(1)
The lateral load capacity (V max) can be observed from the
capacity curve and V dem is the lateral load demand from the
demand spectrum. From the analysis, the index is tabulated as
below.
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TABLE I.
VULNERABILITY INDEX BASED ON LATERAL LOAD

RESISTANCE IN X DIRECTION
Serial
No.
Type of Building
Vulnerability
Index
1.
Regular Building
0.626
2.
Diaphragm Discontinuity
1.000
3.
Non Parallel Systems
0.9902
4.
Out of Plane offsets
0.9827
5.
Re entrant corners
0.9208
6.
0.8937
(3)
A weightage factor ( ) is assigned to each performance level
of the hinges. The proposed values are given below in the
Table III. As columns are more important than beams in the
global safety of a building, an importance factor of 1.5 is
additionally assigned for columns.
and
are the number
of hinges in columns and beams respectively.
TABLE III.
B. Index based on overall drift of the building

The roof displacement from the capacity curve
corresponding to maximum lateral load divided by the height
of the building is a measure of overall drift ratio
corresponding to the lateral load capacity. As per FEMA 356,
a typical value of the overall drift for the collapse prevention
performance level is 0.04. Vulnerability index based on
building drift is defined as the ratio of the drift under
unfactored loads at lateral load capacity from the capacity
spectrum to the typical value of building drift. Buildings with
significantly higher values of drift results in higher
vulnerability index.
Serial
No.
Performance Range (i)
Weightage
Factor (xi)
1.
<B
2.
B-IO
0.125
3.
IO-LS
0.375
4.
LS-CP
0.625
5.
CP-C
0.875
6.
C-D, D-E AND >E
1.000
(2)
TABLE II.
S
E
Type of Building
1.
Regular Building
0.1405
2.
0.0807
3.
0.1089
4.
0.1567
5.
Re entrant corners
0.0990
6.
0.1960
VULNERABILITY INDEX BASED ON PERFORMANCE

OF MEMBERS OF BUILDING
Serial
No.
Type of Building
Vulnerability
Index
1.
Regular Building
0.179
2.
0.137
3.
0.149
4.
0.211
5.
Re entrant corners
0.137
6.
0.276
VULNERABILITY INDEX BASED ON DRIFT OF

BUILDING IN X DIRECTION
Serial
No.
4
1
From the output results, the vulnerability index is as

tabulated below.
TABLE IV.
Here, is the roof displacement and H is the overall height

of the building.
The values of the analysis are as follows.
WEIGHTAGE FACTORS FOR PERFORMANCE RANGE
Vulnerability
Index
V.
CONCLUSION
The indices quantifying the seismic vulnerability of framed

multi storied buildings, based on pushover analysis were
validated and based on the results we can conclude that
buildings having torsional irregularity are the most vulnerable
type of plan irregular buildings.
C. Index based on performance of members of the building

It is defined as the scaled linear combination of
performance measures of the hinges in the components,
and is calculated from the performance levels of the
components at the performance point of termination of the
pushover analysis.
From the results in both the indices for drift in X direction

and for members of buildings, the building with torsional
irregularity is proven most severe. Similarly, such type of
irregularity is also deficient in lateral load resistance. The
formation of hinges in beams and columns in these buildings
are beyond the safe limit compared with other plan
irregularities.
347 of 446
REFERENCES
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
Poonam, Kumar Anil, Gupta A., Study of Response of Structurally

Irregular Building Frames to Seismic Excitations, International Journal
of Civil, Structural, Environmental and Infrastructure Engineering
Research and Development, Vol. 2, Issue 2, 2012, pp. 25-31.
BIS (2002), IS 1893-2002 (Part I): Indian Standard Criteria for
Earthquake Resistant Design of Structures, Part 1- General Provisions
and Buildings, Bureau of Indian Standards, New Delhi.
ATC 40, Seismic Evaluation and Retrofit of Concrete Buildings,
Report ATC 40, Applied Technology Council, USA. Vol. 1&2.
CSI, SAP 2000 Integrated Software for Structural Analysis and
Design, v.14, Analysis Reference Manual, Computers and Structures,
Inc., Berkeley, USA.
Ravikumar CM, K S Babu Narayan, B V Sujith, Venkat Reddy D,
Effect of Irregular Configurations on Seismic Vulnerability of RC
Buildings, Architecture Research, 2012, 2(3), pp. 20-26.
Kadid A., Boumrkik A., Pushover Analysis of Reinforced Concrete
Frame Structures, Asian Journal of Civil Engineering (Building and
Housing), Vol. 9, No. 1, 2008, pp. 75-83.
FEMA 356, Prestandard and Commentary for the Sesimic
Rehabilitation of Buildings, Federal Emergency Management Agency,
American Society of Civil Engineers, 2000.
N. Lakshmanan, Seismic Evaluation and Retrofitting of Buildings and
Structures, ISET Journal of Earthquake Technology, vol. 43, MarchJune, 2006, pp. 31-48.
4
1
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E
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A Comparative Analysis of performance of

Three-Phase, Four Wire D-STATCOM
Topologies for Power Quality Improvement
Siddhartha V
Yash Pal

Kurukshetra, India
Email: vsiddhu251@gmail.com

Kurukshetra, India
Email: yash_pal1971@yahoo.co.in
AbstractDSTATCOM(Distribution Static Compensator) is

one of the shunt connected power device, which is used for
the mitigation of current based distortions such as current
harmonics, load balancing, power factor correction and
source neutral compensation. Various topologies of three
phase four wire DSTATCOM topologies have been reported
in the literature for the mitigation of power quality
problems. Broadly, these reported topologies may be
classified depending upon the mitigation of source neutral
current through active or passive compensation. In this
paper, three conventional topologies of three phase four wire
DSTATCOMs have been compared for linear loads of load
balancing, neutral current compensation, voltage regulation
and required hardware for their realization. For this
comparative analysis MATLAB/SIMULINK using PSB is
exploited to demonstrate the simulation results.
Keywords DSTATCOM; SRFT; UPF; ZVR.
I.
II.
WIRE D-STATCOM
Fig. 1 shows the four leg VSC based three phase four
wire D-STATCOM, Fig. 2 shows the split capacitor threeleg VSC based three phase four wire D-STATCOM, Fig.
3 shows the three single phase VSC based three phase
four wire D-STATCOM, respectively. The selection
criteria for dc capacitor, dc bus voltage, interfacing
inductor, ripple filter are explained in the literature [9].
In recent years, with the increase of non-linear loads

drawing non sinusoidal currents, power supply pollution
has become a serious problem in electrical power system.
The distribution systems are facing severe power quality
problems such as poor voltage regulation, high reactive
power burden, injection of harmonic currents, excessive
load unbalancing, harmonic distortion at point of common
coupling (PCC) voltages etc. The power quality aspects
are governed by various standards such as the IEEE-519
standard [1].
Three phase, four wire systems are used to supply
single phase loads. Many of these loads are non-linear in
nature, so these will inject harmonics in supply as well as
neutral current. The unbalanced loads inject more
harmonics in neutral current. Three phase four wire shunt
compensators are reported in literature for the mitigation
of power quality problems and neutral current [3-5].
Different D-STATCOM topologies of three phase four
wire are reported in the literature are three leg VSC with
split capacitor [6], three single phase VSC [7], four leg
VSC [8] etc.
In this paper, three different topologies of DSTATCOM, four leg VSC, three leg VSC with split
Capacitor and three single phase VSC are compared for
load balancing, neutral current compensation, voltage
regulation and also hard ware required for all topologies.
4
1
A
Three
Phase
Source
S
E
INTRODUCTION
DIFFERENT TOPOLOGIES OF 3-PHASE, 4-
Three Phase
Four Wire
Linear/
Balanced/
Unbalanced
loads
Ripple
Filter
Four Leg VSC
Fig. 1. Four leg VSC based DSTATCOM
In four leg topology for neutral current compensation

source neutral current is compared with zero as reference
current to generate pulses. In three leg topology or split
capacitor model middle point of capacitors is taken as
neutral current compensation. In single phase VSC
topology primary side of transformer are connected in
star, which provides neutral connection, it supplies
compensating neutral current.
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available to the DSTATCOM during transients [9]. The

principle of energy conversion is applied as,
1
2
2
[(
)-(
(2)
1 )]=3V(aI)t
2
Where, = reference dc voltage
1 = minimum voltage level of dc bus
a= overloading factor
t=time by which the dc bus voltage recovered
Three Phase
Four Wire
Linear/
Balanced/
Unbalanced
loads
Three
Phase
Source
C. Selection of interfacing inductor

The selection of inductance of a VSC depends on
the current ripple, , , switching frequency , dc bus
voltage and the is given as [9]
= 3 /12 ,
(3)
D. Selection of ripple filter
A high pass first order filter tuned at half the
switching frequency is used to filter out the noise from the
voltage at the PCC. The time constant of the filter should
be very small compared to fundamental time period (T),
<<T/10, where and are the ripple filter
resistance and its capacitance respectively.
Ripple
Filter
Three Leg VSC with Split
Capacitor
Fig. 2. Three leg VSC with split capacitor
Three Phase
Four Wire
Linear/
Balanced/
Unbalanced
loads
Three
Phase
Source
CONTROL SCHEME
IV.
4
1
This theory was reported by Bhattacharya et. al

[2].This theory based on the transformation of currents
from a-b-c to synchronous rotating frame (d-q-0 frame).
Then the fundamental component is the dc quantity and
the high frequency components are the ripples in the
currents in d-q-0 frame. The fundamental components of
the load currents extracted using a low pass filter (LPF)
which is used to generate the reference source currents. A
block diagram of control scheme is shown in Fig. 4. The
load currents and supply voltages are sensed and these
three phase load currents are transformed into d-q-0 by
using Parks transformation.
S
E
Ripple
Filter
Three Single Phase VSC

Fig. 3. Three single phase VSC based DSTATCOM
III.
SYSTEM DESIGN
A. Selection of DC bus voltage

The minimum dc bus voltage of VSC of DSTATCOM should be greater than twice of the peak of
the phase voltage of the distribution system [9]. The dc
bus voltage calculated as
=2 2 / ( 3m)
(1)
Where, m is modulation index.
B. Selection of Dc bus capacitor
The value of dc capacitor ( ) of VSC of
DSTATCOM depends on the instantaneous energy
cos
2
3
cos(
cos( +
sin
2
3
2
3
) sin(
) sin( +
2
3
2
3
)
)
2
1
2
1
(4)
A three phase PLL (Phase Locked Loop) is used to

generate the sine, cosine signals of unity magnitude and in
phase with the supply voltage. The generated d-q
components are passed through LPF, which gives dc
components of load currents , . Error between the
reference dc voltages to the sensed dc bus voltage is given
to PI controller, this output of PI considered as loss
component. To generate d-axis reference current, is
added to the loss component. The error between the
amplitude of load terminal voltage and its reference value
is given to another PI controller. Output of this PI
controller is added to the to generate the q-axis
reference current. Then these resultant reference currents
again transformed into the abc reference frame using
reverse Parks transformation. If this control scheme is
used to regulate the voltage at PCC, elimination of
350 of 446
500
0
-500
100
Is
Vs
harmonics in load current, load balancing, then this mode

of operation is called as ZVR mode of operation of DSTACOM. If, we consider q-component of current as
zero, then this mode of operation is called as UPF mode of
operation of DSTATCOM. It means that reactive current
supplied by source is zero.
VL
-100
500
0
-500
100
0
-100
50
IL
Sensed DC
Voltage
Isn
Iln
dq to abc
transformation
Ilq
LPF
Three
Phase
PLL
0
-50
750
Vdc
Source
current
PWM
Controller
0.3
0.35
0.4
0.45
0.5
0.55
0.6
0.65
Vs
-500
100
0
IL
VL
500
0
Is
Fig. 5. Neutral current compensation and load balancing for voltage

regulation in Four leg VSC DSTATCOM
-100
500
0
-500
100
0
-100
50
Isn
The performance of the four leg VSC based three

phase four wire DSTATCOM is shown in Fig. 5. At 0.3s,
the load is changed to two phase load. At 0.4s, the load is
changed to single phase load and at 0.5s, again load
become two phase and again at 0.6s, three phase load. The
source voltage ( ), source current ( ), load current ( ),
load voltage ( ), dc bus voltage ( ), amplitude of
voltage ( ), load neutral current ( ), source neutral
current ( ), converter current ( ) are also depicted in
Fig. 5. It is also observes that dc bus voltage is maintained
close to the reference value under all disturbances. The
source neutral current is reduced to very little amount
compared to load neutral current. The source currents are
balanced under all disturbances of load variations The
amplitude of voltage is maintained at the reference value
under various load disturbances which shows the ZVR
mode operation of DSTATCOM. The performance of
three single phase VSC based DSTATCOM is shown in
Fig. 6. In this topology also the same results which are
shown for four leg topology are depicted in Fig. 6. Here, it
is observed that dc bus voltage maintained at half of the
value of the four leg topology. The amplitude of voltage is
maintained at the reference value under various load
disturbances which shows the ZVR mode operation of
DSTATCOM.
330
0.25
Iln
S
E
340
-50
50
0
-50
50
Icn
Fig. 4. Block diagram of SRFT control scheme
4
1
350
Gate Pulses
For VSC
Ref. peak
voltage
700
650
Vt
PI
controller
+
V.
0
-50
50
(Cos , sin)
Amplit
ude
Supply
voltage
Ild
Icn
LPF
abc to dq
transformatio
n
Vdc
Load
current
0
-50
50
-50
400
350
300
350
Vt
Ref. DC
voltage
PI
contr
oller
340
330
0.25
0.3
0.35
0.4
0.45
0.5
0.55
0.6

regulation in three single phase VSC based DSTATCOM
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0.65
VI.
Is
Vs
500
0
-500
100
The 3-P, 4-W DSTATCOM topologies are compared

in terms of results and hardware required for the circuit.
From the results and table 1, all three topologies efficient
for neutral current compensation, load balancing and
voltage regulation operation. Single phase VSC based
topology requires more number of switches and also
additional transformer is required as compared to other
topologies. Three legs VSC based DSTATCOM requires
two capacitors of double the rating of four leg topology.
From this analysis four leg and three leg based
DSTATCOMs are more economical as they dont require
any additional transformer.
Iln
Isn
IL
VL
0
-100
500
0
-500
100
0
-100
50
0
-50
50
0
-50
50
0
-50
1600
1500
1400
1300
350
340
330
800
750
700
650
800
750
700
650
0.45
CONCLUSION
Vdc2
Vdc1
Vt
Vdc
Icn
VII.
0.5
0.55
0.6
0.65
0.7
0.75
0.8
S
E
The performance of three leg VSC based DSTATCOM

is shown in Fig. 7. In this topology also the same results
which are shown for four leg topology are depicted in Fig.
7. Here, it is observed that the dc bus voltage is
maintained at double the value of the four leg topology.
The amplitude of voltage is maintained at the reference
value under various load disturbances which shows the
ZVR mode operation of DSTATCOM.
TABLE I
DSTATCOM
Topology
[1]. IEEE Recommended Practices and Requirements for Harmonics

Control in Electrical Power Systems, IEEEstd. 519.1999.
[2]. S.Bhatacharya and D.Divan, Synchronous frame based controller
implementation for a hybrid series active filter system, in Proc.of
IEEE Industry Applications Conference,(IAS 95), vol. 3, Oct.
1995, pp.2351-2540.
[3]. B.Singh and J.Solanki, A Comparison of Control Algorithms for
DSTATCOM, IEEE Trans. On Industrial
Electronics, vol.
56, no.7, pp.2738-2745,July 2009.
[4]. M.C.Benhabib and S.Saadate, New control approach for four wire
active power filter based on the use of synchronous reference
frame, Electric PowerSystems Research, vol.73, no. 3, pp. 353362, march 2005.
[5]. Maria Isabel Milanes, Enrique Romero Cadaval and Femin Barrero
Gonzalez, Comparison of Control strategies for shunt active
power filters in three-phase four wire systems, IEEE Trans. On
Power Electronics, vol. 22, no. 1, pp.229-236, Jan. 2007.
[6]. H.l.Jou, K.D.Wu, J.C.Wu, C.H.Li, and M.S.Huang, Novel power
converter topology for three phase four wire hybrid power filter,
IET Power Electron., vol. 1, no. 1,
pp.164-173, 2008.
[7]. Bhim singh, P.Jayaprakash, D.P.Kothari, New control approach
for capacitor supported DSTATCOM for three phase four wire
distribution system under non ideal supplyvoltage conditions based
on synchronous reference frame
theory, Electrical Power
and Energy Systems,vol.33, pp.1109-1117, 2011.
[8]. Bhim singh, P.Jayaprakash, D.P.Kothari, Three single phase
voltage source converter based three phase four wire
DSTATCOM, Third International conference on power system,
Kharagpur, India, pp.27-29, dec., 2009.
[9]. B.N Singh, Rastgoufard P, B. Singh, A.Chandra and K Al-Haddad,
Design, simulation and implantation of three-pole/four-pole
topologies for active filters, IEE
Proceedings Electric Power
Applications, vol. 152,
no.4,pp:467-476,July 2004.
4
1
0.85

regulation in three leg VSC based DSTATCOM
REFERENCES
Hardware comparison
Number
of
Switches
Number
of
Capacitors
Transformer
Four leg VSC
Single Phase VSC
12
Required
Three leg VSC
352 of 446
HOW ERGONOMICS PLAY AN IMPORTANT ROLE IN

PRODUCTIVITY IMPROVEMENT OF AN
ORGANIZATION
Anuradha1, Dr. S. K. Sharma2
1
M.Tech. Scholar, Department of Mechanical Engineering, National Institute of Technology, Kurukshetra

(Haryana), India (anuradha7sept@gmail.com)
Professor, Department of Mechanical Engineering, National Institute of Technology, Kurukshetra (Haryana), India
(sksharma49nitk@yahoo.com)
ABSTRACT
This paper explores how ergonomics and productivity
of an organization are intimately related. Productivity
has become an important term for every organization
both manufacturing and service Sector. Ergonomics
play an important role in improving the productivity.
Because of the increasing number of injuries caused by
repetitive motion, excessive force, self-conscious
postures, and the use of heavy tools, ergonomics has
become a critical factor in workplace safety. Ergonomic
1. INTRODUCTION
Continuous improvement in product quality and

productivity can only be realized by means of
systematic analyses and optimization of all of the
industrial production processes. Capable production
processes and ergonomically designed workplaces
provide the basis for the manufacture of products of
consistently high quality and productivity.
4
1
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I
Ergonomics is a "buzz word" familiar to

most people in the construction field and
manufacturing
industry.
Merriam
Webster's
dictionary defines it as "an applied science concerned
with designing and arranging things people use.
Ergonomics is the science that seeks to adapt tasks
and tools to fit the person. It's a way of looking at the
overall organization of the design of tasks, tools,
equipment, and workplace layouts, with individual
people to fit the job to the worker, rather than the
worker to the job.
guidelines may allow prediction of those postures and

workplace layouts that maximize the speed at which
employees can work. Now a days manufacturer is
moving ahead by promoting comfortable work areas
and ergonomically designed tools. These results in
happy workers, better safety, and improved
productivity. This study also show that Comfortable
employees offer productivity enhance with quality.
KEYWORDS
Ergonomics, Productivity, Productivity Improvement
Ergonomic design is the application of the body of

knowledge (about human abilities, human limitations
and human characteristics that are relevant to design)
to the design of tools, machines, systems, tasks, jobs,
and environments for safe, comfortable and effective
human use.
The primary work characteristics that are called
ergonomic risk factors include task physical
characteristics (interaction between the worker and
the work setting; posture, force, velocity/
acceleration, repetition, duration, recovery time,
heavy dynamic exertion, and segmental vibration)
and environmental characteristics (interaction
between the worker and the work environment; heat
stress, cold stress, whole body vibration, lighting, and
noise). After evaluating and controlling the work risk
factors, assessing the workplace for ergonomic risk
conditions generally involves two steps of
identification of the existence of ergonomic risks and
quantification of the degree of ergonomic risk.
353 of 446
2.
ERGONOMICS
IMPROVEMENT
AND
long term negative impact on profitability due to

increases in workers compensation and other
related medical and legal costs. If workstations are
designed with both of these objectives in mind, the
potential savings in labor and health and safety costs
can be significant.
PRODUCTIVITY
The utility of ergonomics research is not limited to

predicting and eliminating workplace injuries. Good
ergonomic design can also be used to enhance
productivity. For example, not only are workers
more likely to be injured when they are fatigued, but
they also tend to slow down. Ergonomics application
has been found to improve worker productivity,
occupational health, safety and satisfaction. This has
both direct and indirect effects on the overall
performance of a company. It would, therefore, be
extremely difficult to attain company objectives
without giving proper consideration to ergonomics.
Effective application of ergonomics in work system
design can achieve a balance between worker
characteristics and task demands. This can enhance
worker productivity, provide worker safety and
physical and mental well-being, and job satisfaction.
Many research studies have shown positive effects
of applying ergonomic principles in workplaces,
machine design, job design, environment and
facilities design. Studies in ergonomics have also
produced data and guidelines for industrial
applications. The features of ergonomic design of
machines, workstations, and facilities are well
known. However, there is still a low level of
acceptance and limited application in industry. The
main concern of work system design is usually the
improvement of machines and tools alone.
Inadequate or no consideration is given to the work
system as a whole. Therefore, poorly designed work
systems are a common place in industry. Neglect of
ergonomic principles brings inefficiency and pain to
the workforce. An ergonomically deficient workplace
can cause physical and emotional stress, low
productivity and poor quality of work. It is believed
ergonomic deficiencies are the root causes of
workplace health hazards, low level of safety and
reduced worker productivity and quality. Although
the application has gained significant momentum in
the developed countries, it remains unrecognized in
developing countries. The application of ergonomics
in improving worker productivity, OHS needed to be
explored. The objective of this research was to
conduct a study to identify ergonomic factors that
could cause low worker productivity and poor OHS
in industries in the Developing Countries.
Improving worker productivity, occupational

health and safety (OHS) are major concerns of
industry, especially in developing countries. Some of
the common features of these industries are improper
workplace design, ill-structured jobs, mismatch
between worker abilities and job demands, adverse
environment, poor human-machine system design
and inappropriate management programs. This leads
to workplace hazards, poor worker health,
mechanical equipment injuries, disabilities, and in
turn this reduces worker productivity and
product/work quality and increases cost.
3. FACTORS THAT AFFECT WORKERS AT

Here we have discussed various ergonomic factors
which affect workers health and also a cause of poor
health of workers. A cause and effect diagram can be
constructed as shown in figure1 to analyze the factor
that causes the ergonomic problems. The factors that
contribute to ergonomic problem are discussed
below.
S
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Workplace design specifications that

maximize ergonomic safety but hurt productivity
would not be well received in industry. On the other
hand, specifications
that maximize short term
productivity but increase the rate of work related
musculoskeletal disorders (WRMDs) will have a
4
1
WORK-PLACE
A. Working Environment
The factors of Working Environment are as below:
1. Dust: If the working area of the production
department is a dusty environment. Employees are
both mentally and physically affected by this dusty
environment. Working in this environment for a
long working periods or shifts will cause
Bronchitis and sneezing this will affect the work.
2. Sound: The continuous exposure to the sound will
cause headache, loss of attitude, presence of mind
and hearing loss will occur.
3.Temperature: The
temperature
of
the
production department should be well controlled
otherwise this will affect the working performance
and attitude of the worker.
B. Working Time
The working time includes two factors such as shift
and wage system.
1. Shift: If the workers are working for too long
shifts mental stress will be more for the worker and
354 of 446
This adversely affects the work and this result in poor

quality products.
2. Wage System: This wage system ensures
guaranteed minimum wage and they get rated for the
products they have produced more than the target
rate. The workers are motivated to work for a long
shift due to the wage system adopted. The more hour
shift will cause serious problems to the worker
because they have stand and work this will cause
back pain, ligament problems to legs cause leg pain.
This will badly effect on the work of the employees
and cause lack of focus on the work and the illness
dominates.
C. Machines: The machines in the department

should be in in good working condition otherwise
they will cause the loss of efficiency and productivity
of the work. The machine layout should also be very
well design otherwise it will cause unnecessary
material handling of material and finally will result in
the more stress on the worker.
D. Industrial Safety
Industrial safety is an important aspect while running
a company. The company should provide sufficient
safety measures and to make the employees
aware about the importance of the safety
precautions to be taken while working.
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Fig 1: Cause and effect diagram of ergonomics problem
4. WORKER COMPLAINTS
When a survey was conducted for getting information
regarding awkward postures and complex task,
various illnesses were informed by these workers
including fatigue, back pain, upper-body, shoulder
pain, neck-pain and hand or arm soreness. All these
problems will definitely reduce efficiency of workers
and in severe cases long duration pains. Motion study
reveals reasons of these illnesses (Mr. Gurunath V
Shinde, Prof. V.S.Jadhav). Analysis of these factors
is done by motion film and root causes of these
things are found out Managers received workers
complaints in an earlier study (Shikdar, Carlopio,

Cross, Stanley, & Gardner, 1993) it was found that
operators were unable to work in normal standing or
sitting postures due to poorly designed and installed
machines, poorly designed tasks, inappropriate work
heights and lack of suitable work chairs. It is evident
that worker complaints received by managers could
be attributed to ergonomic deficiencies. The top two
worker complaints were: 28% of the companies
received complaints of headache while18% received
complaints of back pains.
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Fig 2: Most common worker complaints as reported by manager
5. WORKPLACE AND ORGANIZATIONAL

ATTRIBUTES
As shown in below figure the result of survey which
was conducted in 50 industries at industrial state of
Oman (Ashraf A. and Shikdar and Naseem M.
Sawaqed 2003). Majority of the companies were
metal, plastic and food manufacturing. According to
survey around 16% of the managers considered that
they have inadequate facilities and resources. Twenty

percent of production managers (20%) indicated
having problems with machines, 16% with manual
material handling, 16% with motivating workers, and
12% with training workers.
4
1
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Fig 3: Some work and facility related attributes

.
With respect to the shop floor environment 54% of
managers indicated that they have a hot work
environment. The temperature in the factory could be
as high as 40 C during the dayshift in the summer
months. The other major problems reported in terms
of environment were excessive noise (28%) and a

dusty environment (24%). Excessive noise was
considered a sound level above 90dBA most of the
time during the work shift.
356 of 446
6. SAFETY AND
ATTRIBUTES
QUALITY
RELATED
7. ERGONOMIC ASSESSMENT
Managers were asked: If they carried out a systematic
hazard analysis that dealt with identification and
control of hazards, conducted a task analysis in
developing a sound task method and checked the
fulfillment of OHS compliance in their companies.
Ergonomic assessment that included identification of
ergonomic hazards was seldom conducted in the
companies. The companies (94%) did not have any
information or access to ergonomics or knowledge
and its application for safe use of machinery and
work practices. It is a fundamental principle of
ergonomics that a machine must be safe in operation
and maintenance. However it often becomes a source
of injury. Ergonomically designed equipment and
proper safety training can significantly reduce
accidents. In most industries equipment is never
assessed in terms of ergonomics. Fig.5 shows the
types of analysis and assessments carried out in the
companies.
There was a lack of OHS committees in the

companies surveyed. Only 14% of the companies
claimed that they had OHS committees, although
54% indicated having safety committees. This
indicates a lack of workers health consideration. It
should be noted here that the majority of the
companies declined to provide information regarding
the number of injuries over the past few years. About
38% of the managers reported that their workers had
injuries over the past five years. With respect to
quality, the majority (84%) of the companies had
adopted a quality assurance program while 50% had
TQM program. Sixty-four percent of the companies
indicated they had quality circles and 78% reported
having a safety standard in their organizations. These
programs indicated attention to quality and safety.
4
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Fig. 4: Various ergonomic analysis and assessments.
These are, obviously, potential hazards and the

sources of injuries in industries. In an earlier study it
was observed that the application of ergonomics to
the design and safe use of machinery was virtually
non-existent in small manufacturing industries.
Although the managers responses did not indicate a
high accident and injury rate, ergonomic deficiencies
were clearly significant. Some ergonomics was
applied indirectly since the companies had to ensure
that they meet OHS regulations imposed by the
government. The OHS problems identified in the
study were related to ergonomic deficiencies in the
system components. Designing out ergonomic

deficiencies would reduce accidents and injuries, and
thus improve worker productivity and satisfaction.
Appropriate application of ergonomic data in the
design of the workplace can significantly reduce
musculoskeletal injuries. Lack of ergonomics
knowledge and awareness of the employers and
employees could have been responsible for the poor
acceptance of ergonomics in the workplace.
Management did not check the workplaces
for unsafe features and did not enforce safety rules,
or provide instructions and training for safe
357 of 446
performance. Poor ergonomic conditions in industry

not only hinder productivity but also affect health and
safety of workers and the quality of work and
products.
8. CONCLUSION
It was the aim of this paper to convince
ergonomists to focus more on the positive side of
ergonomics. The positive aspects of increasing
comfort and productivity are high-lighted.
Ergonomics and productivity can sometimes present
conflicting recommendations for workstation design.
Other times, they may indicate analogous design
guidelines. The optimal workplace design must
consider both of these objectives. In this way, a
workplace can be designed to improve long term
performance and maximize the contribution of the
job to the profitability of the organization.
It is quite widespread that, improper ergonomics
causes employee grievance and health problem,
companies are insisting to increase their productivity
and profits by speeding up the production tempo,
excessive
splitting
of
work,
disregarding
physical/environmental hazards, alternating shifting
systems, etc. This attitude, which is not of course
tolerated by the workers, makes it necessary to search
for a tradeoff, and consequently to investigate the
present working conditions, look for alternative
ways, and design new production tools and
equipment for the improvements which are possible.
Ergonomic improvements attained due to this type of
need provide the basis to increase the efficiency of
the production units as well as the work life quality
of employees. A satisfied employee will work
hard for the company and the company can
achieve the required target. So the company
should take care about the ergonomic factors
otherwise it will cause bad effect on
the
employees and finally will results in low
productivity and non-achievement of the target.
[4] M.L. Resnick and A. Zanotti . USING ERGONOMICS

TO TARGET PRODUCTIVITY IMPROVEMENTS.
Computers
ind.Engng Vol. 33, Nos 1-2, (2007) pp. 185-188.
[5] Andy Nicholson, Calum Smith &Arran Mitchell. Cost
benefits studies that support tackling musculoskeletal
disorders.Hu-Tech Ergonomics for the Health and Safety
Executive 2006.
[6] Peter Vink , Ernst A.P. Koningsveld , Johan F.
Molenbroek . Positive outcomes of participatory
ergonomics in terms of greater comfort and higher
productivity.Applied Ergonomics 37 (2006) 537 546.
[7] David Beevis. Ergonomics - Costs and Benefits
Revisited. Applied Ergonomics 34 (2003) 491496.
[8] Mr. Gurunath V Shinde,Prof.V.S.Jadhav. Ergonomic
analysis of an assembly workstation to identify time
consuming and fatigue causing factors using application of
motion study.Mr. Gurunath V Shinde et al. / International
Journal of Engineering and Technology (IJET).
[9] Shikdar, A., Carlopio, J., Cross, J., Stanley, P., &
Gardner, D. Mechanical equipment injuries in small
businesses In: Ergonomics in a Changing World.
Proceedings of the Ergonomics Association of Australia,
Australia: Perth, (1993). pp.199 205.
[10] Cross, J. Raising. The value of maintenance in the
corporate environment. Management Research News,
11(3), (1988). 8-11.
[11] Dal, B., Tugwell, P. & Greatbanks, R. Overall
equipment effectiveness as a measure for operational
improvement: A practical analysis.International Journal of
Operations
&
Production
Management,
20(12),
(2000).1488-502.
4
1
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E
I
9. REFERENCES:
[1] Arun Narayanan, Cijo Mathew, VinodYeldo Baby.
International Journal of Engineering Science and
Innovative Technology
(IJESIT) Volume 2, Issue 1, January 2013.
[2] Ashraf A. Shikdar ,Naseem M. Sawaqed.Worker
productivity, occupational health and safety issues in
selected industries. Computers & Industrial Engineering 45
(2003) 563572.
[3] MesutKumru, Pnar Kilicogullari. Process Improvement
through Ergonomic Design in Welding Shop of an
Automotive Factory.
358 of 446
Modeling and Simulation of YNvd

Transformer for Single Phase Electrified
Traction System
Vinod Rohilla, R.S.Bhatia
NIT Kurukshetra
Kurukshetra, India
vinodrohilla08@gmail.com, rsibhatia@yahoo.co.in
TABLE I. COMPARISON OF YNVD AND EXISTING TRACTION
TRANSFORMERS
AbstractThis paper presents modeling and simulation of YNvd

transformer for single phase traction system. YNvd transformer
is a 3-phase to 2-phase power balancing transformer. The
modeling of YNvd transformer is done based on mathematical
equations. Further the traction load is modeled and their
characteristics are presented followed by the calculation of
voltage losses in two phases. The simulation results are provided
to demonstrate the proposed model. These studies found to be
great significance in application of YNvd transformer in co phase
electrified traction system.
Keywordselectric traction system; Ynvd transformer; Matlab
Simulink Introduction
I.
INTRODUCTION
In traditional electrical traction power supply system, the

single-phase load of electric railway will produce particularly
poor power quality, and its characteristics are strong
fluctuation and rich harmonic content, etc. This type of
problems directly influences the three-phase industrial grid
through traction substations (SSS).
YNvd
Scott
impedancematching
balance
YNd1
1
Neutral ground
in primary side
Electrical link of
secondary windings
Delta connection of
secondary windings
Balance transformer
Supply three- phase
AC source for
substation
Making technology
Price
Yes
No
Yes
Yes
No
No
Yes
Yes
Yes
No
Yes
Yes
4
1
S
E
In traditional traction power supplies, for balancing the

two-phase loads the scheme using two-phase feeding wires in
one SS supply section is widely adopted. But unfortunately,
because the speed and load condition of loco-motives in twophase feeding system will change frequently, the feeding
currents in two-phase traction supply system are commonly
unbalanced. The YNvd transformer one kind of novel threephase to two phase balance transformer, can be used in
electrified railways traction power supply system without
phase exchange based on adjustable symmetrical
compensations [1, 2].
Name
II.
Yes
simple
Yes
complex
Yes
simple
No
simple
simple
low
medium
medium
complex
high
simple
low
CONNECTION PRINCIPLE AND MATHEMATIC MODELING
A. Connection principle
An YNvd transformer is shown in Fig. 1.
,
and
represent windings of primary side in Y connection, the
secondary windings composes two groups, one is V-type
connection and the other is delta-type connection.
a1 and c1 compose the output-port a1 c1 (phase) of
secondary side in V-form, a2, b2 and c2 compose the
output-port a2 b2 (phase) of secondary side in delta form.
The primary neutral can be isolated or grounded according to
requirement.
A new co-phase traction power supply system based on

YNvd transformer but the operating calculations for
engineering application were still lacking [3]. Compared with
existing traction transformer, such as impedance- with existing
traction transformer, such as impedance-matching balance
transformer, Scott transformer, YNd11 transformer and so on,
YNvd transformer has several properties and the comparison
is shown in TABLE I [4,5,6].
Fig. 1. Connection diagram of YNvd Transformer
359 of 446
B. Phasor diagram
And
represent a two phase voltage system with a
phase angle 90 between them. The phasor diagram is shown
in Fig. 2.
4) output-port voltage equations:

U U a1 Uc1
U Ub 2
5) output-port current equations:

I Ic1 I a1
I Ic 2 Ib 2
It is found that there is no mutual impedance and electrical
contacts between and phases and phase is nominated as
the leading phase, and phase the lagging phase.
6) Condition for balancing:
U U
U jU
I I
I jI
Fig. 2. Phasor diagram of YNvd Transformer
C. Mathematic modeling
III.
1) In YNvd transformer, the winding turns satisfy
A B C 1
A. Structural Model Of Traction Power System With Ynvd

The traction transformer is the core electrical equipment,
Comprehensive compensator and filter are also essential to be
installed in traction substation because of heavy unbalanced
three phase, large harmonics and reactive power in traction
power supply system.
a1 c1 2
a 2 b2 c 2 3
3 32
S
U ABC
Z A Z B ZC Z1
S
E
Za1 Zc1 Z II
Zb2 Z III
Z III 3Z II
is the impedance matching coefficient
3) YNvd transformer input voltages

output voltages
are:
1
1
0
UA
U
1 3
3
UB
U
1
K 1 2
UC
3
3 3
4
1
2) The equivalent impedance of windings satisfy
Za 2 Zc 2 Z III
EQUIVALENT TWO PHASE CIRCUIT AND MODEL FOR

TRACTION POWER SYSTEM
and
Power system
impedance
3-phase equivalent
leakage impedance of
Ynvd transformer
SS
I ABC
S
I ABC
UABC
SS
UABC
U I
Compensator
and filter
Ynvd
transformer
Traction load
U I
IABC
Fig. 3. Structural model of traction power system with YNvd
The three-phase voltage and current of power system are

USABC and ISABC, USSABC and ISSABC are the threephase voltage and current of feed line in traction substation,
primary voltage and current are UABC and IABC of YNvd
transformer.
B. Two Phase Circuit Equivalent:
(1)
AC
Z T
U SS
U SS
AC
ZT
From (1),
1
1
0
UA
U 1 3
3
U 1 2 1 UB
K
UC
3
3 3
(2)
Fig. 4. Two-phase equivalent circuit of YNvd transformer
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C. Voltage losses in traction system:

Traction systems are huge consumers of reactive power. It
is due to the presence of inductive reactance in traction
transformer, traction motors, auxiliary motors, smoothening
reactor. Due to all these effects Voltage losses occur traction
system. Acceptable range of voltage in traction system is in
between 19kV to 29kV [7].
Let Z I RI jX I
Z II RII jX II
Z III RIII jX III
U 2 RII I 2
3K
XI
I cos j 2 X II
3K 2
R
2
RIII I 2
2
3K
Here
respectively.
XI
2
I sin j 2 X III 2
K
are power factor angle of

IV.
I sin
I sin
and
phases
SIMULATIONS AND RESULT
In order to improve the power quality in the analyzed

substation, a model of the traction power system with YNvd
was made using MATLAB/SIMULINK software [8].
An electrified traction system with two railway feeders is
considered for this study. Grid side voltage is 132kv and
traction load on each railway feeder is supplied by a 25 kV
single phase via a distribution transformer. Then this voltage
is again step down by locomotive transformer in a range of
1000 to 1500 according to the requirement of traction motor
simulation model is shows in Fig. 5. And parameters of
transformer are listed in TABLE II.
TABLE II.
S.No
1.
2.
3.
4.
Item
Power Rating
A.
Description
Modeling and Characteristics

of traction load:
Usually, trains work in three typical situations:
accelerating to start up, running at an invariable speed or
decelerating to break down [8]. Traction load are nonlinear
load and generate lots of harmonics in running time. Therefore
this is essential to determine the level of harmonics. Most
commonly used measure of harmonic distortions is called total
harmonic distortion (THD) factor [9][10].
S
E
TRANSFORMER PARAMETER
4
1
Fig.5. Simulation model of YNvd
25MVA
THD
132kV
12.5kV
21.65kV
h2
U h2
U1
100
Where h is the harmonic order, s the fundamental and

is the
harmonic order of the waveform.
Traction loads also produced unbalancing by producing
negative sequence to the voltage and current. Therefore this is
essential to determine the level of unbalance. Load unbalance
is defined as the ratio of negative sequence to positive
sequence.
1).
Voltage unbalancing:
Unbalancing
2).
Un
100
Up
Current unbalancing:
Unbalancing
In
100
Ip
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is negative sequence current,
is positive sequence
voltage,
is negative sequence current and
is positive
sequence voltage. Parameters of transformer are listed in
TABLE III.
60
S.No
LOAD PARAMETER
Current (amp)
TABLE III.
40
Item
Description
7500 kVA
2.
Coupling Transformer
Power
Primary Voltage
3.
Secondary voltage
1500V
4.
Dc Motor HP
250
5.
Voltage Rating
500V
6.
R.P.M
1750
7.
Field Voltage
300V
20
-20
-40
1.
-60
0.01
0.02
0.03
0.04
0.05
0.06
0.07
0.08
0.09
0.1
Time (sec)
25kV
Fig.8. Balance primary current.
V.
CONCLUSION
The YNvd transformer is one kind of 3-phase 3-winding

balance transformer. Compared with existing traction
transformers, it has several properties and can satisfy the
requirement of AT power supply system. Therefore, it is
valuable in electric railway engineering.
Simulation model of traction load is shown in Fig. 6.
In this paper modeling of Ynvd transformer is done based

on mathematical equations. Then the traction load is modeled
and their characteristics are studied. These studies are
significant and the conclusions are useful for optimum design
of traction power supply system based on the YNvd
transformer.
4
1
REFERENCES
[1] Li Qunzhan and He Jianmin, Electrified railway feeding system
Fig.6. Simulation model of traction load
S
E
B.
Simulation result:
Simulation result of output voltage in Fig. 7 shows that
magnitude is same and phase difference between two phases is
90 . Figure 8 shows that balance primary current.
x 10
1.5
Voltage (v)
0.5
-0.5
-1
-1.5
-2
0.01
0.02
0.03
0.04
0.05
0.06
0.07
0.08
0.09
0.1
Time (sec)
Fig.7. Result of output voltage
without phase exchange and symmetrical compensation technology,

Automation of Electric Power Systems, vol. 20, no. 4, pp. 9-11, April
1996.
[2] He Jianmin and Li Qunzhan, Symmetrical compensation technology
used in feeding system without phase exchange, JOURNAL OF THE
CHINA RAILWAY SOCIETY, vol. 20, no. 6, pp. 47-51, December
1998.
[3] Wei Guang, Li Qunzhan, Huang Jun, and Zhou Jin, A New Cophase
Traction Power Supply System, Automation of Electric Power
Systems, vol. 32, no. 10, pp. 80-83, May 2008.
[4] Wu Mingli and Fan Yu, Impedance matching and mathematical model
of wye-prolonged delta connected balance transformer, Proceedings of
the CSEE, vol. 24, no. 11, pp. 160-166, Nov. 2004.
[5] Wu Mingli, Fan Yu, and Xin Chengshan, Study on operation
characteristics and equivalent model of Scott connection traction
transformer, Transactions of China Electrotechnical Society, vol. 18,
no. 4, pp. 75-80, Aug. 2003.
[6] H. Cheng-Ping, W. Chi-Jui, C. Yung-Sung, P. Shih-Kai, Y. Jung-Liang,
and H. Ming-Hong, Loading characteristics analysis of specially
connected transformers using various power factor definitions, IEEE
Trans. Power Del., vol. 21, no. 3, pp. 14061413, Jul. 2006.
[7] Yujie Xia, Guosong Lin, Liya Guo, Qiang Li, Research on Voltage
Losses of AT Traction Power Supply System scirp. Energy and Power
Engineering, 2013, 5, 780-784.
[8] C. M. Ong, Dynamic Simulation of Electric Machinery using Matlab /
Simulink, Prentice Hall, New Jersey, 1998.
[9] Gholizad, B.; Akhbari, M., "A new algorithm for simultaneously
compensating harmonics and load unbalance in single phase traction
systems," Industrial Technology, 2009. ICIT 2009. IEEE International
Conference on, vol., no., pp.1-6, 10-13 Feb. 2009.
[10] Dai Wenjin; Wu Songhui, "Real-Time Detecting Method of Negative
Sequence Current in Traction System," Electronic Measurement and
Instruments, 2007. ICEMI '07. 8th International Conference on, vol. no.
pp.3-829-3-832, Aug. 16 2007-July 18 2007.
362 of 446
Transient Response and Load Sharing Improvement

in Islanded Microgrids
Anil kumar
Ratna Dahiya

Kurukshetra, Haryana-136119, India
anil.agrahari12@gmail.com

ratna_dahiya@yahoo.co.in
interfaced DGs increases system damping at the expense of

increasing frequency deviation, it also decrease rotor-angle
deviations and improve voltage profile at the user end of the
system [8][11].
AbstractThe characteristics of DGs like possessing low

inertia, coupled with less short circuit ratio compared to large
synchronous generators in centralized power generation,
compromises the transient stability of the microgrid when
isolated from the main grid. Droop control method is used to
share power according to their capacity without any form of
communication by sources of microgrid. A battery storage
system and droop control method for inverter to improve the
frequency response of microgrid under disturbances involving
large frequency deviations is proposed in this paper. Design and
simulation of microgrid consisting of synchronous generator,
inverters, storage system and wind generator have done using
MATLAB/Simulink software to test the proposed control
strategy.
KeywordsDroop control, frequency stability, islanding,
distributed generation, energy storage system, power sharing.
I.
S
E
Inverters have low inertia due to absence of rotating mass.

Thus higher penetration of inverter based static sources in
microgrid may give the poor result in voltage and frequency
response during the large disturbances [6]. This type of poor
response problem of frequency and voltage may develop into a
transient stability problem. The factors on which microgrids
transient stability depends are its penetration level nature of
loads, type and location of fault [7], [8]. DGs based on the
synchronous machine reduce maximum frequency deviation at
the expense of increasing oscillation duration, while inverter-
4
1
INTRODUCTION
Now days, microgrids have essential role in the integration

of renewables and distributed generation [1], [2]. Various types
of renewables and distributed generation (DGs) such as wind,
PV, fuel cells, microturbines, and energy storage integrate to
the grid through DC/AC inverters. The most common strategy
for providing stable power (i.e. active and reactive power)
sharing between sources in microgrids without communication
is voltage and frequency droop. There are many modifications
for droop have been proposed to identify the problems
associated with unequal line impedance between sources,
harmonic current sharing and resistive line impedance [3]-[5].
Since the internal combustion engine driven synchronous
generators are the most commonly used distributed generation
source , that will play an essential role in microgrid
installations. This type of generation source with a combined
installed capacity exceeding 100,000 MW [2].
Ultracapacitors and battery alongside DGs improve the

transient response of the system, which is known as energy
storage devices [12]. Some interaction problem of inverter and
diesel generator based sources is analyzed in reference [13].
Now, at least one source is required to regulate voltage,
frequency to stabilize the islanded operation of microgrid,
which gives the quick response in changes of load [14]. This
problem can be fulfilled by energy storage or the fast
responding energy source. For microgrids when inverters in
voltage control mode operate with parallel of generators, they
will transiently supply the majority of any load step. This lack
of transient load sharing forces the inverters to be rated to
handle the largest possible load step, which gives the problem
with high inrush load and gives the negative impact on battery
life by increasing the size of transients seen by the inverters.
While inverters have short duration overload capabilities,
which may not be feasible for the energy source with absorbing
large negative problematic load step.
In this paper, a control technique is used for inverter
interfaced DGs and battery storage to improve the frequency
response of microgrid in islanding mode and also the power
management. The microgrid under study is modeled using the
power system toolbox of MATLAB /Simulink with
synchronous generator, inverters based DGs, wind energy
system and battery storage.
II.
MODEL DESCRIPTION
The proposed microgrid model contains a diesel engine

generator, wind power generator, inverter interfaced DGs and
converter interfaced battery storage system as shown in Fig. 1.
The required parameters of proposed microgrid are given in the
Appendix. The droop controller has used for inverter based
DGs to improve the power sharing among load during load
disturbance and islanding of microgrid from main grid. Breaker
connected to the utility source is open under islanded
conditions.
A. Diesel Generator
Diesel oil is used as fuel to produce pressure and heat to
move the piston inside a cylinder, this linear motion is
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converted to rotation of a crankshaft, which will rotate an ac

electric generator. The capacities of diesel generators used in
distribution generation are from 500kVA to 25 MW. The ac
frequency of diesel generator is controlled by controlling
engine speed [15]. In this paper work, a synchronous generator
with excitation systems and governor turbines is used to model
the diesel engine. The diesel engine model of a 2.4kV;
3.125MVA is developed in [16], where generator is a salient
pole synchronous generator.
and Vwind is the wind speed (m/s). Induction generator is used

to convert the mechanical power into electrical power.
IDC
DC
Lf
Lf
Va
Vb
VDC
AC
-
Lf
Vc
VSC
B. Inverter Interfaced DGs

Inverter interfaced DGs can be simply regarded as constant
dc voltage sources connected to the three-phase inverters [13].
The connection diagram of a voltage source converter (VSC) is
shown in Fig. 2, which consists of the six insulated gate bipolar
transistor (IGBT) switches driven by space vector pulsewidth
modulated (SPWM) gate circuits. The VSC converts dc voltage
into the three phase ac voltage.
Fig. 2.
Block diagram of a VSC
Fig. 3.
WT power output characteristics
C. Wind Energy Conversion System

Wind turbine (WT) model is based on the wind speed
versus WT output power characteristics as shown in Fig.3. The
output power of the wind turbine is given by [17]:
Pm Cp ,
A
2
3
Vwind
(1)
Where Pm is mechanical output power extracted from turbine,
4
1
S
E
I
Fig. 1.
The proposed model of microgrid
III.
Cp is power coefficient of the turbine, is the tip speed ratio

(TSR) of the rotor blade, is the rotor blade pitch angle (rad.),
is the air density (Kg/m3), A is the turbine swept area (m2),
CONTROL ANALYSIS
A.
Droop Control
The transmission of active and reactive power is dependent
on the voltage amplitude and phase angle at receiving end and
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Fig.4 shows the (P-) droop characteristics for various

droop gains of inverter based DGs. It is clear from Fig.4 and
(6) that an inverter with higher value of droop gain m supply
less power. Similarly for lower droop gain m supply high
power. The proposed droop controller is shown in Fig.5.
sending end of transmission line respectively. So active and

reactive power flowing in line at sending end is given as (since
sin= and cos=1):
Ps
Qs
VsVr
(2)
Vs (Vs Vr )
X
(3)
DG Source
VDC
V
V*
*
Where Ps is sending end active power, Qs is sending end

reactive power, X is the line reactance and is power angle.
From equation (4) and (5), two conclusions can be drawn-
Voltage
Controller
Active
Damping
Fig. 5.
m1>m2>m3>m4
Voc(DOD)
Fig. 6.
4
1
Frequency ()
m3
P 1 P2 P3
P4
Active Power (W)
Fig. 4.
Active power sharing with various values of droop gain
A source with lower droop gain will share high power

compared to a source with higher droop gain. Likewise, a
source with small power capacity can be made to supply full
power during disturbances by reducing its droop gain.
IB
Vbattery
Equivalent circuit diagram of a battery
The following equation can be written with the help of

equivalent circuit diagram [12]:
Vbattery Voc ( DOD ) I B Rint

DOD
1
Qmax
SOC
Qmax Qused
1 DOD
Qmax
m4
m2
m1
S
E
dq to polar
Rint(DOD)
(5)
(6)
abc to dq
Block diagram of droop control for the inverter
To obtain the reference voltage of inverter, (Q-V) droop

control is given as:
m1P1 m2 P2 m3 P3 .......... ........ mn Pn
Iabc
B. Battery storage System

In this paper, the Li-ion battery is used from the Simulink
library in power system toolbox. The simple equivalent circuit
of battery can be drawn to understand the charging and
discharging phenomena and shown in Fig. 6.
Where * and n are the inverter reference frequency and

microgrid nominal frequency respectively, Pn and P are
nominal and calculated real power of the inverter respectively
and m is the frequency droop gain of inverter.
A source that have the identical nominal real power will

contribute in inverse proportion to the droop gain can be given
as:
Cf
Vabc
(4)
Where V* and Vn are reference voltage and nominal voltage of

inverter respectively, Qn and Q are nominal and calculated
power of inverter respectively and n is the voltage droop gain
of inverter.
Vs
Vabc
Calculate
P and Q
Q-V
droop
From above conclusions, the (P-) droop control is used to

obtain the inverter reference frequency can be given as:
V * Vn n(Qn Q)
Lf
AC
P-
droop
Reactive power has strong coupling to the voltage at

sending end of system.
* n m( Pn P)
DC
Ic
Active power has strong coupling to the power angle of

system.
SPWM
tdt
(7)
(8)
(9)
Where Vbattery is terminal voltage of battery (V), IB is current

flowing through battery (A), Qused is used battery capacity (Ah)
and Qmax is maximum battery capacity at fully
discharged/charged conditions (Ah). The value of Voc and Rint
has calculated in reference [12]. The depth of discharge (DOD)
is an alternate method to indicate a batterys state of charge
(SOC). The phenomena like charging and discharging of
battery will help to improve power sharing and transient
response, when applied in the microgrids.
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IV.
Time-domain
simulations
are
carried
out
in
Simulink/Matlab. The simulations are conducted for two cases:
Microgrid without storage system
Microgrid with battery storage system
The voltage waveform of the proposed system is stiff in nature
throughout the time, which is shown in Fig.7.
Fig. 7.
Fig. 10.
Power sharing of microgrid with storage system
Fig. 11.
Power sharing of microgrid without storage system
Voltage profile of microgrid
The current output of both cases is shown in Fig.8 and

Fig.9. The output current is decreased from 1s to 3s time
duration due to disconnection of load L2, for this particular
time duration both microgrid and main grid are supplying the
load demand. From 3s to 5s time duration microgrid is islanded
from the main grid, after 5s again load L2 is connected in this
time duration whole load demand supplied by microgrid.
The comparison of frequency response of microgrid in both

cases (with and without) is shown in Fig.12, in which the
transient response improves under different conditions (like
connected load, disconnected load and islanding) due to
presence of battery storage system in comparison of its absence
in microgrid. Fig.13 shows the rotor speed of diesel generator.
4
1
S
E
Fig. 8.
Output current waveform with battery storage system
Fig. 9.
Output current waveform without storage system
With the help of droop control power sharing is possible

among inverter interfaced DGs, by employ battery storage
system in microgrid, which improves the transient response
during disturbances. The power sharing of both cases is shown
in Fig.10 and Fig.11.
Fig. 12.
Frequency response comparison of microgrid
Fig. 13.
Rotor speed(p.u.) of diesel generator
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V.
[5]
CONCLUSION
In this paper, the proposed model of a microgrid with a

diesel generator, wind energy system, inverter interfaced DGs
and battery storage system with load is developed in
Matlab/Simulink. The droop control technique is applied to
inverter based DGs of small capacity. The result shows that by
employing droop control and battery storage system allows
them to share the power transiently, at reduced frequency
deviations. Due to improvement in transient response it is
possible to reduce unwanted triggering and to reduce load
shedding in islanded microgrids. This approach can help for the
integration of electrical devices with less frequency deviations
but cost of microgrids will be increased. DSTATCOM can be
used to control the voltage fluctuations created by the wind
generator due to speed variations.
[6]
[7]
[8]
[9]
APPENDIX
[10]
[11]
TABLE I. MICROGRID PARAMETERS

Parameters
Values
Synchronous generator
500kVA
Wind generator
250kVA
Battery storage system
150kW
Inverter based DG
50kW
Storage side transformer
120V/400V
Grid side transformer
11kV/400V
P- droop gain
-5e-4(rad/s)/W
Q-V droop gain
-8e-2V/Var
Lf
5mH
Cf
1350F
100kW
L2
200kW+j50kVAr
L3
300kW+j150kVAr
L4
400kW+j50kVAr
L5
50kW
[13]
[14]
[15]
4
1
A
[16]
S
E
TABLE I. LOADS
L1
[12]
Soni N., Doolla S., and Chandorkar M.C., "Improvement of Transient

Response in Microgrids Using Virtual Inertia," IEEE Transactions on
Power Delivery, vol.28, no.3, pp.1830-1838, July 2013.
J. G. Slootweg and W. L. Kling, Impacts of distributed generation on
power system transient stability, in Proc. IEEE Power Eng.
Soc.Summer Meeting, 2002, pp. 862867.
Z.-X. Xiao and H.-W. Fang, Transient stability analysis of microgrids
containing multiple micro sources,Adv. Mat. Res., vol. 403408, pp.
36083614, Nov. 2011.
A. H. K. Alaboudy, H. H. Zeineldin, and J. L. Kirtley, Microgrid
stability characterization subsequent to fault-triggered islanding
incidents, IEEE Trans. Power Del., vol. 27, no. 2, pp. 658669, Apr.
2012.
A. Azmy and I. Erlich, Impact ofdistributed generation on the sta-bility
of electrical power system, in Proc. IEEE Power Eng. Soc.
Gen.Meeting, 2005, pp. 10561063.
F. Katiraei, M. R. Iravani, and P. W. Lehn, Micro-grid autonomous
operation during and subsequent to islanding process, IEEE Trans.
Power Del., vol. 20, no. 1, pp. 248257, Jan. 2005.
L. Meegahapola and D. Flynn, Impact on transient and frequency
stability for a power system at very high wind penetration, in Proc.
IEEE Power Eng. Soc. Gen. Meeting, 2010, pp. 18.
A. K. Srivastava, A. A. Kumar, and N. N. Schulz, Impact of distributed
generations with energy storage devices on the electric grid, IEEE Syst.
J., vol. 6, no. 1, pp. 110117, Mar. 2012.
Z. Miao, A. Domijan, and F. Lingling, Investigation of microgrids with
both inverter interfaced and direct ac-connected distributed energy
resources,IEEE Trans. Power Del., vol. 26, no. 3, pp. 16341642, Jul.
2011.
Paquette A.D., Reno M.J., Harley R.G. and Divan D.M., "Transient load
sharing between inverters and synchronous generators in islanded
microgrids," Energy Conversion Congress and Exposition (ECCE), 2012
IEEE , vol., no., pp.2735-2742, 15-20 Sept. 2012.
H. L. Willis and W. G. Scott, Distributed Power Generation: Planning
and Evaluation. New York: Marcel Dekker, 2000.
K. Yeager and J. Willis, Modeling of emergency diesel generators in an
800 megawatt nuclear power plant, IEEE Trans. Power Syst., vol.8, no.
3, pp. 433441, Aug. 2003.
E. Muljadi, C.P. Butterfield, Pitch-controlled variable-speed wind
turbine generation, IEEE Trans. Industry Appl., vol. 37, pp. 240246,
Jan.-Feb. 2001.
[17]
REFERENCES
[1]
[2]
[3]
[4]
N. Hatziargyriou, H. Asano, R. Iravani, and C. Marnay, "Microgrids,"

IEEE Power and Energy Mag., vol. 5, pp. 78-94, 2007.
H. B. Puttgen, P. R. MacGregor, and F. C. Lambert, "Distributed
generation: Semantic hype or the dawn of a new era?," IEEE Power and
Energy Mag., vol. 1, pp. 22-29, 2003.
J. M. Guerrero, J. C. Vasquez, J. Matas, L. G. de Vicuna, and M.
Castilla, "Hierarchical Control of Droop Controlled AC and DC
Microgrids; A General Approach Toward Standardization," IEEE
Trans. Ind. El., vol. 58, pp. 158-172, 2011.
K. De Brabandere, B. Bolsens, J. Van den Keybus, A. Woyte, J.
Driesen, and R. Belmans, "A Voltage and Frequency Droop Control
Method for Parallel Inverters," IEEE Trans. Power Electron. , vol. 22,
pp. 1107-1115, 2007.
367 of 446
Intelligent Hybrid Fuzzy PD Control for Trajectory

Tracking of Robot Manipulator and Comparative
Analysis
Shrestha Saurabh, Sathans
Kurukshetra, India
shres687tha@gmail.com, sathans@rediffmail.com
Abstract This paper presents the design of an intelligent

hybrid fuzzy proportional-derivative (PD) controller, for a planer
robotic manipulator with 2-degree-of-freedom (DOF). Fuzzy
logic is used for tuning the gain parameters of the PD controller.
For comparison purpose, the conventional PD, and PID
controllers, tuned heuristically, have also been implemented for
the same system. The simulation results obtained illustrate the
tracking capability and effectiveness of the proposed intelligent
hybrid controller and comparative analysis indicates that the
intelligent controller gives better performance than conventional
controllers in terms of error reduction and smoothening of
torque. Simulations have been performed using Matlab.
so that the end-effector can follow a predefined path with a

minimum deviation.
Fuzzy logic, since it was proposed by Zadeh [10], has
extensively used for control applications and has proven to be
an efficient tool for controlling ill-defined, highly nonlinear
systems and parameter-variant systems. Robot manipulator
systems control is one such application. In the fuzzy logic
controller (FLC), the control algorithm is built into heuristic
if-then rules and the implementation is very easy. The
Keyword Robot manipulators, PD, PID controller, Fuzzy-PD

controllers
I.
INTRODUCTION
S
E
Robotic manipulators are highly nonlinear, dynamically

coupled and time-varying systems that are very commonly
used in industrial applications [1]. The robotic manipulators
are generally subjected to uncertainties both structured
(parametric) and unstructured [2]. Structured uncertainties are
because of imprecision in the manipulator link properties,
unknown loads, whereas unstructured uncertainties are caused
by unmodeled dynamics such as nonlinear friction,
disturbances, and the high-frequency dynamics. Motion
control of rigid robot manipulators is a real difficult task,
primarily because of the nonlinearities and the coupling
effects as is present in robotic systems [3]. The inertia, gravity
and Coriolis Effect have been largely identified as the major
contributors for the inaccuracy in the positioning of the robot
arms. Different control concepts, such as feedback
linearization [4, 5], model predictive control [6], and sliding
mode control [3, 7] have been utilized to address this problem.
In respect of the robotics control, the feedback linearization is
accomplished by the so-called inverse dynamics control [8]. In
[1], a neural network is used in combination with a linear
robust control, however, these designs are possible only when
the robotic dynamics are well known. The adaptive control
schemes have been employed to deal with the unknown
robotic dynamics [9]. Motion control being an important part
of robot manipulators, a controller should exert desirable force
4
1
controller performance with fuzzy controller is improved

significantly as compared to conventional methods in the
presence of model uncertainties [11, 12]. FLC as such works
in many areas but fuzzy based tuning of the PID coefficients
most of time is challenge [13].
The proposed intelligent hybrid fuzzy PD controller is
applied to a 2 DOF planar manipulator arm through
simulations. The simulation results indicate that the control
performance of the robot manipulator system is satisfactory.
The performance of the proposed controller is compared with
that of the conventional controllers viz. PD and PID,
implemented on the same system. Hybrid Fuzzy PD controller
gives better performance. The remainder of this paper is
organized as follows: Section II presents the dynamical model
of the robot, Section III presents the design of controller,
Section IV presents the simulation results and discussion, and
Section V summarizes the contributions of the work.
II.
DISCRIPTION OF ROBOTIC MANIPULATOR
The fundamentals of robot dynamics and control are now

well known and established. Therefore, derivation of the
control algorithm is discussed in brief here. The EulerLagrange dynamic equations form n-link robot [14, 15]
M ( q ) q C ( q, q ) q G ( q )
(1)
Where q, q and q n denote the link position, velocity

and acceleration, respectively. Each element of M (q), C (q, q)
and G (q ) is in general, a relatively complex expression of the
position and velocities ( q and q ) of each joint. M (q) nn
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(m1 m2 ) ga1 cos 1 m2 ga2 cos(1 2 ) 1
(7)
m2 ga2 cos(1 2 )
is the matrix of the moment of inertia, C (q, q )q n is the

vector of centripetal and coriolis forces, G (q )
is the
vector of gravitational force, and is the vector of

applied joint torques. In general, a robotic manipulator is
always having uncertainties such as frictions and disturbances
n
M ( q ) q C ( q, q ) q G ( q ) D
Where,
(2)
M (q)
Where, D is the uncertainties of the dynamics, including

frictions Fr ( q ) and the disturbance d . Several fundamental
properties of the robot model [9] have been obtained as
follows:
(m1 m2 )a12 m2 a22 2m2 a1a2 cos 2
m2 a22 m2 a1a2 cos 2
The parameters of the robot used for simulation are

a1 = a2 = 1 m, m1 = m2 =1 kg are the masses of the two links
and g=9.8m/s2. The error signal is given as
e qd q
(8)
Property 1
The inertia matrix M ( q ) is a positive definite symmetric
matrix, e.g. non-singular and bounded by
mmin X
X T M (q ) X mmax X
X n
Where, qd is the desired position of the joints and q is the

actual position of the joints.
(3)
Where, mmin and mmax are minimum and maximum

eigenvalues of M.
(x2,y2)
Property 2
M (q) 2C (q, q) is skew-symmetric matrix, i.e.
X T ( M 2C ) X 0X n
a1
S
E
Property 4
The friction in the dynamic equation (2) is in the form
Fr (q) Fv Fc sgn(q) with Fv the coefficient matrix of
viscous friction and Fc a dynamic friction term. The friction is
dependent on the angular velocity and the bound of the friction
terms may be assumed to be in the form of
(6)
In the following analysis, it will be assumed that the

nonlinear dynamic model of the robot manipulator to be
controlled is well known and uncertainties are negligible.
A. Dynamic of Two Link robot[2,15]
The general form of the robot arm dynamic equation is as
in (1) and the dynamic equation of two link planer robot, as
shown in Fig. 1, is given as:
qT 1 2
m a a (2 2 )sin 2
M (q) 1 2 1 2 1 2 2
m2 a1a212 sin 2
4
1
(4)
(5)
Fv q Fc (q) r1 q r 2 , r1 , r 2 0
m2
a2
Property 3
The unknown disturbance d is assumed to be unknown
but bounded, i.e.
d d
m2 a22 m2 a1a2 cos 2
m2 a22
m1
Fig. 1. Two Link Robot Manipulator
III.
CONTROLLER DESIGN
A. Conventional Controllers
PID is the most commonly used and popular feedback
controller as used in industrial process control applications.
The PID controller, after tuning the three gain parameters, can
provide control action designed for specific process
requirements. Proportional (P) calculates a term proportional
to the error, Integral (I) controller calculates a term
proportional to integral of error, whereas, Derivative (D)
controller calculates a term proportional to derivative of error.
A derivative control action often produces faster response. The
PID controller output can be obtained by adding the three
terms, as in (10) where, Kp, Ki and Kd are the proportional,
integral, and derivative gains, respectively.
For PD Controller, the control signal u is given as
u K p e(t ) K d e(t )
(9)
For PID Controller, the control signal u is given as
u K p e(t ) Ki e(t )dt Kd e(t )
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(10)
This initial representation in a way facilitates a smooth

transition from linear PID to nonlinear PID controllers.
Further improvement of the performance is achieved by tuning
the new degrees of freedom provided by the fuzzy controller.
B. Fuzzy-PD Controller
Fig. 2 shows the block diagram of the hybrid fuzzy logic
based PD controller. The two inputs of the proposed fuzzy
controller are error e and rate of change e, and the output is
the control action u, when multiplied with the scaling factor
GU. The appropriate fuzzy rule base is as given in Table I,
where NL, NM, NS, Z, PS, PM, and PL represent negative
large, negative medium, negative small, zero, positive small,
positive medium, and positive large, respectively. The domain
of the membership functions is in the range of -100 to 100 and
output membership functions have been scaled between -200
to 200. Using this rule base, gaussian membership functions,
equally distributed, and with 0.5 overlap, a fuzzy PD
controller is implemented. The controller gain parameters can
be initially provided by the scaling factors at the input and the
output of the controller, with the scaling factors related as
[16].
(11)
GCE GU K d e(t )
(12)
GE max e 100
(13)
GE max e 100
(14)
d1 2(1 sin(4t )
d 2 2(1 cos(4t )
Subsequently, further tuning of the membership functions

results in improvement of the performance of the fuzzy
controller.
GE
qd
u
GU
+
d / dt
S
E
Fig. 2. Block Diagram of Fuzzy PD Controller
TABLE I.
RULE BASE USED FOR FUZZY PD CONTROLLER
NL
NM
NS
PS
PM
PL
NL
NM
NS
Z
PS
PM
PL
NL
NL
NL
NL
NM
NS
Z
NL
NM
NM
NM
NS
Z
PS
NL
NM
NS
NS
Z
PS
PM
NL
NM
NS
Z
PS
PM
PL
NM
NS
Z
PS
PS
PM
PL
NS
Z
PS
PM
PM
PM
PL
Z
PS
PM
PL
PL
PL
PL
All initial values of actual angles are taken as zero. Based

on heuristic tuning, the coefficients, KP and Kd, for the PD
controller are chosen as 15 and 20 respectively, and the
coefficients, KP, Ki and Kd, for the PID controller are chosen
as 55, 3 and 65 respectively. For Hybrid Fuzzy-PD Controller,
scaling factors GE, GCE, and GU are chosen as 1.5, 2 and 100
respectively. Then further tuning of fuzzy controller is done
using heuristics and optimally selected GE, GCE and GU as
90, 1.2 and 100 respectively. Fig. 3 and Fig. 4 show the
position tracking and Fig. 5 and Fig. 6 show the velocity
tracking for joints 1 and 2 respectively. The response of the
proposed intelligent controller shows more accurate position
tracking results as compared to conventional controllers. As is
evident from the response, the proposed controller tracks the
desired trajectory with smaller error, almost zero, as shown in
Fig. 7 and Fig. 8 respectively. From the simulation results, it
can be concluded that the proposed controller demonstrated
superior performance for two joints and the proposed Hybrid
Fuzzy-PD Controller has smaller error values as compared to
both conventional controllers, which proves the efficiency of
the proposed controller.
4
1
GCE
MANIPU
-LATOR
SIMULATION RESULTS AND DISCUSSION
Simulations were performed using MatlabSimulink and

the Fuzzy Logic Toolbox. The desired trajectory used in this
work is given as
5
4
Angle q1 of joint 1 (rad)
GE GU K p
IV.
3
2
1
0
Desired
PD
PID
-1
FUZZY-PD
-2
4
6
Time (sec)
Fig. 3. Position Tracking of joint 1
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10
4.5
Desired
PD
2.5
PID
FUZZY-PD
PD
Error e1 of joint 1 (rad)
Angle q2 of joint 2 (rad)
1.5
3.5
1.5
1
PID
FUZZY-PD
0.5
-0.5
0.5
-1
0
-0.5
4
6
Time (sec)
10
4
6
Time (sec)
10
Fig. 7. Tracking Error of joint 1
Fig. 4. Position Tracking of joint 2

0.5
50
Desired
PID
FUZZY-PD
30
20
10
-10
S
E
-20
4
6
Time (sec)
Fig. 5. Velocity Tracking of joint 1
15
10
4
1
-30
velocity q2dot of joint 2 (rad/sec)
Error of joint 2(rad)
PD
-0.5
PD
PID
FUZZY-PD
4
6
Time (sec)
10
Fig. 8. Tracking Error of joint 2
60
40
Desired
10
PD
PID
20
Torque (N-m)
velocity q1dot of joint1 (rad)
40
FUZZY-PID
0
-20
-40
-5
-60
-10
-80
-15
4
6
Time (sec)
10
joint 1
joint 2
0
4
6
Time (sec)
Fig. 9. Torque signal of joint 1 and 2 using PD control

Fig. 6. Velocity Tracking of joint 2
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10
[2]
100
[3]
50
Torque(N-m)
[4]
-50
[5]
-100
joint 1
joint 2
-150
[6]
-200
-250
[7]
0
4
6
Time(sec)
[8]
10
[9]
Fig. 10. Torque signal of joint 1and 2 using PID control
[10]
[11]
x 10
[12]
Torque(N-m)
0.5
joint 1
jont 2
[13]
[14]
4
6
Time(sec)
S
E
8
4
1
A
[15]
-0.5
-1
F. L. Lewis, D.M. Dawson, and C. T. Abdallah, Robot manipulator

control: Theory and practice, 2nd ed., New York: Marcel Dekker, pp.
107-247, 2004.
A.F. Amer, E.A. Sallam, and W. M. Elawady, Adaptive fuzzy sliding
mode control using supervisory fuzzy control for 3 DOF planar Robot
manipulators, Appl. Soft Compt., vol.11, pp.49434953, December
2011.
B. Abdallah, D. Dawson, P. Dorato, and M. Jamshidi, Survey of
Robust control for rigids Robots, IEEE Control Syst. Mag., vol. 11,
,pp. 2430, February 1991.
C.Y. Kuo, S.P.T. Wang Nonlinear Robust industrial Robot control,
ASME J. Dyn. Syst. Meas. Control, vol. 111, pp. 2430, March 1989.
J.N. Juang and K.W. Eure, Predictive feedback and feedforward control
for systems with unknown disturbances, NASA/Tm-1998-208744,
1998.
Y. Chen and J.L. Chang, Sliding-mode force control of Manipulators,
Proc. Natl. Sci. Counc. ROC(A), vol. 23, pp. 281289, 1991.
M.J.K. Adam, Basics of Robotics: Theory and Components of
Manipulators and Robots, Springer Wien, NJ, 1999.
H.F. Ho, Y.K. Wong, A.B. Rad, Robust fuzzy tracking control for
Robotic Manipulators, Simul. Modell. Pract. Theory, vol. 15, pp. 801
816, April 2007.
L. Zadeh, Fuzzy sets, Inform. Control, vol. 8, pp. 338353, 1965.
Ya Lei Sun and Meng Joo Er , Hybrid Fuzzy Control of Robotics
Systems, IEEE Trans. on fuzzy systems, vol. 12, pp. 755-765,
December 2004
W. Li, X.G. Chang, F.M. Wahl, Jay Farrell, Tracking control of a
manipulator under uncertainty by fuzzy P+ID controller, Fuzzy Sets
and Syst., vol. 122, pp. 125137, 2001.
F. Piltan, N. Sulaiman, A. Zargari, M. Keshavarz, and A. Badri Design
PID-Like Fuzzy controller with minimum rule base and mathematical
proposed on-line Tunable Gain: Applied to Robot Manipulator, Int. J.
of Art. Intellig. and Expt. Syst., vol. 2, pp.184-195, 2011.
Mark W.Spong and M. Vidyasagar, Robot Dynamics and control, 2nd
ed, John Wiley and Sons, 2004.
L Peng, P.Y. Woo, Neural-fuzzy control system for robotic
manipulators, IEEE Contr. Syst. Mag., vol. 22, pp.5363, February
2002.
J. Espinosa, J. Vandewalle, and V. Wertz, Fuzzy logic, identification and
Predictive control, Springer-Verlag, pp. 123-138, 2005.
10
[16]
Fig. 11. Torque signal of joint 1 and 2 by Fuzzy-PD control
V.
CONCLUSION
The intelligent hybrid fuzzy PD controller is designed and

implemented for performance evaluation of the two-link
robotic manipulator. The performance is compared with
conventional controllers, viz. PD, PID, implemented on the
same system. The proposed controller demonstrated very good
performance with tracking error converging to zero and very
effective and accurate trajectory tracking capability as
compared to conventional controllers. Also the response with
the intelligent controller was having no oscillations about the
desired trajectory. Torque response of the proposed controller
is smooth. The proposed controller is not only simple to
design and implement but easy to modify also.
REFERENCES
[1]
M. Loudini, Modelling and Intelligent Control of an elastic link Robot

manipulator, Int. J. Adv. Robot Syst., vol. 10, pp. 1-18, January 2013.
372 of 446
Improvement in DC- link Voltage of Doubly Fed

Induction Generator using SMES
A. K. Dahiya
Dept. of Electrical Engg
Kurukshetra, India
e-mail: anildau@yahoo.co.in
Siddharth Jain
Dept. of Electrical Engg
Kurukshetra, India
e-mail: applesiddharth@gmail.com
Abstract In this paper improving the performance of doubly fed

induction generator (DFIG) under fault condition is proposed
using shunt resistance with SMES. During fault condition because
of high surge current (stator, rotor) there is an increase in DCLink voltage along with oscillations in torque. In this paper, a
shunt resistance is connected across the DC- Link capacitor, along
with SMES on the rotor side to decrease the DC-Link voltage and
oscillations, during fault conditions. Moreover the results are
compared with the conventional approach using crowbar. All the
results are compared using MAT-LAB/SIMULINK.
Keywords: DFIG, SMES, Shumt resistance, Crowbar.
I.
INTRODUCTION
The usage of doubly fed induction generator in electrical power

system has significantly increasing time to time [1]. The main
objective of aerodynamic system is that it must be capable of
operating a wide range of wind speed to transform the kinetic
energy contained in the moving air into mechanical/electrical
energy which can achieve optimum aerodynamic efficiency by
tracing the optimal tip-speed ratio. Therefore, the generators
rotor must be capable to operate at a variable rotational speed.
The DFIG is a system which operates in both sub-synchronous
and super-synchronous speeds [2]. DFIG machines are
basically electric machines which fed ac currents into the stator
and as well as in rotor windings. In most of the industries today
use the three phase wound-rotor induction generator, that why
many manufactures around the world have already installed
dozens of this type of wind turbine. DFIG are the far most
widely used type of machine and one of the most common type
of generator to produce electricity. DFIG have number of
advantages over single fed induction generator when used in
wind turbines, one major advantage is that the use of power
electronic equipment in DFIG which handle a fraction (20%30%) of the total system power, which means that total losses
in power electronic equipment and cost are reduced [3]. Other
advantage is that it allow the amplitude and frequency of their
output voltages which is maintained at constant value, no matter
what the speed is wind blowing on the wind turbine of the rotor.
When the voltage dip occurs at the terminal of the DFIG the
stator flux cant follow the rapid change in the stator voltage
and DC component in the stator flux appears. The rotor keeps
on rotating and the machine slip increases, which creates
overvoltages and overcurrents in rotor, due to theres high
transient currents and overvoltages appearance during LVRT
4
1
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E
events, some special protection technique is needed to protect

the DFIG system during these events [4].
In this paper three techniques has been used, first
Crowbar once the fault takes place the rotor circuit are short
circuited by the crowbar resistance and the DFIG becomes
wound rotor induction generator during fault [11] means, it
increases the stator and rotor current, produces oscillations in
the torque and voltages across the DC-Link capacitor increases,
Crowbar improves your stator current, rotor current, torque
oscillations, and the DC-Link voltage (Vdc) during fault [5].
Second, the shunt resistance the work of shunt resistance is to
lower the DC-Link voltage even more then the Crowbar alone
the shunt resistance will not affect the fault current (rotor,
stator), the torque oscillations if the proper value of resistance
is chosen in the Crowbar and the shunt resistance as shown in
figure 1, the third is the use of Superconducting Magnetic
Energy Storage System (SMES) [6] when fault occurs the
SMES coil is charged and when the fault is cleared the Vdc
voltage becomes lower than the initial voltage the SMES supply
the charged power to the Vdc to increase the voltage to initial
value as shown in figure 4. The main aim in this paper is to
investigate and transient simulation analysis of 1.5 MVA DFIG
for the wind power application under the three-phase short
circuit fault. All the investigation and analysis has been carried
out on MAT-lab simulation.
II.
SYSTEM CONFIGRATION OF DFIG
A. DFIG model
The DFIG is an induction machine with a wound rotor and
stator which are connected to electrical sources. The
AC/DC/AC converter are used on the rotor which consists of
two voltage convertors, i.e rotor side convertor (Rconvertor), grid
side convertor (Gconvertor), which are connected back to back
between the them a DC-Link capacitor is placed, which acts as
an energy storage system, in order to keep the voltage ripples in
the DC-Link voltage small. With the (Rconvertor) it is possible to
control the torque and the speed of the DFIG at the stator
terminals. And the main objective of (Gconvertor) is to keep the
DC-Link voltage across the capacitor constant regardless the
magnitude and the direction of the rotor power [2]. A
transformer is placed between the rotor and (Rconvertor) which act
as stator and rotor turns ratio it is important in DFIG which
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minimizes the rotor current without exceeding the maximum

rotor voltage.
Fig 2. Power flow in DFIG
G B- Gearbox
IG- Induction generator
T= Transformer
Rconvertor= Rotor side convertor

Gconvertor= Grid side convertor
Rsh= Shunt resistance
Fig. 1. Doubly fed induction generator.
Pm:
Ps:
P r:
Pgc:
Qs:
Q r:
Qgc:
Tm:
Tem:
r:
s:
J:
Mechanical power captured by the wind turbine and

transmitted to the rotor
Stator electrical power output
Rotor electrical power output
Gconvertor electrical power output
Stator reactive power output
Rotor reactive power output
Gconvertor reactive power output
Mechanical torque applied to rotor
Electromagnetic torque applied to rotor by generator
Rotational speed of rotor
Rotational speed of magnetic flux in the air gap of the
generator.
Combine rotor and wind turbine inertia coefficient.
Pm = Tmr
(1)
Ps = Tems
(2)
For the loss less generation the mechanical equation is:
J = Tm - Tem
(3)
In steady- state at fixed speed for a loss less generator:

Tm = Tem
(4)
T m = Ps + Pr
(5)
It follows that:

Ps =Pm Ps = Tmr - Tems = -Tm
= -sPs
Where s is the slip of the generator:
s=
s = -sTms
(6)
4
1
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E
The mechanical power and the stator electric power output

are computed as follows [5]:
Generally the absolute value of the slip is much lower than 1,

consequently the rotor electrical power output P r is the only
fraction of stator real power output P s. Since the
electromagnetic torque Tm is positive and constant for, constant
frequency grid voltage, the sign of P r is a function of slip sign.
Pr is positive for negative slip (speed greater than the
synchronous speed) and it is negative for positive slip (speed
lower than the synchronous speed). For the super synchronous
speed operation, Pr is transmitted to DC-Link capacitor and
tends to rise the DC-Link voltage. For the sub synchronous
speed operation, Pr is taken out of the DC- Link capacitor and
tends to decrease the DC-Link voltage. The Gconvertor is used to
generate or absorb the grid electrical power Pgc in order to keep
the DC-Link voltage constant. In steady state for lossless
AC/DC/AC convertor Pgc is equal to the Pr and speed of the
wind turbine is determined by the amount of power P r absorbed
or generated by the Rconvertor [10]. The voltage measured at the
grid terminal can be controlled, by controlling Gconvertor DCLink voltage of the capacitor can be regulated.
B. Wind turbine control
The wind turbine controller purpose is to maintain the turbine
for optimal Cp and over speeding of DFIG in super synchronous
operation. This is controlled via regulations in electromagnetic
torque as in equation 8, of DFIG and pitch angle of the rotor
blade.
3
Te = (ds iqs- qs ids)
(8)
4
Where and i, stands for flux linkage and current, p are the
number of poles, ds, ids and qs, iqs are the d and q components
of the space vector of the stator and rotor flux linkage and
current [7].
C. Crowbar
The prevalent DFIG convertor protection scheme is crowbar
protection. A crowbar is a set of resistors that are connected in
parallel with the rotor winding on occurrence of an interruption.
The crowbar circuits bypasses the rotor side convertor. The
active crowbar control scheme connects the crowbar resistance
[5] when necessary and disables it to resume DFIG control. The
crowbar controls overcurrents both on stator and rotor, torque
oscillations and DC-Link capacitor voltage.
(7)
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D. Shunt Resistance
A breaking resistance [9] is used which is connected in parallel
with the DC-Link capacitor to limit the overcharging during
low grid voltage. This protects IGBT from overvoltage and can
dissipate energy, but this has no effect on the rotor current,
stator current as shown in figure 3.
F. Network model
A 9 MW wind farm is connected to a 25 KVA network, via
120/25 KV transformer. The transformer is rated at 12 MVA to
a 40 km transmission line. A resistive load of 400 KW is
connected between the 25KV/440V transformer and the wind
generator [8].
III.
SIMULATION RESULT OF DFIG
The three phase fault is located at the connection between 40

Km transmission line and 25KV/220V transformer, is
simulated at t=600ms to t=700ms.
The Simulation results are been carried out in different
conditions as follows:
Fig 3. Shunt resistance connected in parallel with DC-Link capacitor
A. Under normal operatating conditions.

The transient stator current, rotor current, electromagnetic
torque, when the Crowbar is not implemented and without fault.
The following results also show Active Power (P), reactive
power (Q), rotor current in direct axes (Id) and quadrature axes
(Iq), electromagnetic torque (Tem) followed by DC-Link voltage
across the capacitor.
E. Superconducting Magnetic Energy Storage System (SMES)

SMES consists of a large superconducting coil capable of
storing large electric energy in the magnetic field generated by
DC current following through it. A verity of storage technology
are available in the market but most viable are battery energy
storage system (BESS) [6], the disadvantage of BESS include
limited life cycle, voltage and current limitations and potential
hazards. The one major advantage of SMES coil is that it can
discharge large amount of power for a small period of time.
A SMES consists of high conduction coil which can
be treated as, constant current source. Due to its
superconducting in nature the energy can be stored for a long
duration of time without leakage and may then be used to inject
the active power into the grid, value are given in Table 1 .
There are two modes of operation of the SMES coil Ls
[12]. The first mode is the charging of SMES coil. The second
mode is the discharging of SMES coil into DC-Link capacitor.
a) Charging mode:
In chaging mode SMES coil is charged to by the fault
current flowing in the Rconvertor. In this mode GTO 1 and GTO
2, breaker 1 and breaker 2 is always in ON state and breaker 3
and breaker 4 are on the OFF state.
b) Discharging mode
In the discharging mode the SMES coil discharges into
the DC-Link capacitor of the AC/DC/AC convertor of DFIG.
In this mode GTO1 and GTO2, breaker 1 and breaker 2 is
always in OFF state and breaker 3 and breaker 4 are on ON state
as shown in figure 4 .
4
1
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E
B. Under fault contition

When the fault is implemented the voltage across the DFIG
terminals drops which leads to decrease of the stator and rotor
flux which results into reduction in power and rotor current (Id,
Iq) increased to around 4 p.u, there is increase in reactive power
for some ms than its decreased, it produces oscillations in Tem
and DC-Link capacitor voltage is also increased to a very large
value.
C. With fault and with Crowbar
When the fault is occur the DC-Link capacitor voltage rises up
and the protection disconnects the rotor from the DC-Link by
turning off the gate pulse of IGBT and immediately Crowbar
become active and short circuit current is absorbed by the
Crowbar. The crowbar lower the fault current rotor less than 3
p.u, as shown in figure 7,8 electromagnetic torque oscillation
are reduced, DC-Link voltage across is lowered.
D. With Crowbar and Shunt resistance with fault
When the fault is occur the DC-Link capacitor voltage rises up
and the Crowbar lowers the DC-Link capacitor voltage during
fault. The shunt resistance lower DC-Link capacitor voltage
even more when the crowbar alone. As the figure 10 show the
reduction in DC-Link capacitor voltage during fault.
E. With SMES and Shunt resistance with fault
As shown in figure 4 the SMES system is connected across the
rectifier, thus the SMES system is charging mode during fault
conditions and when the fault is over the SMES system is
discharged across the DC-Link capacitor, seen in figure 10,
when the fault is removed in the case of crowbar and Shunt
resistance the voltage across the DC-Link capacitor is lowered
then the initial value, thus SMES increases the DC-Link
capacitor voltage to be near the initial value, the figure 11 shows
the charging and discharging of SMES coil.
Fig 4. SMES system
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Fig 5. Simulation results of Active power (P).
Fig 9. Simulation results of electromagnetic torque (Tem).
Fig 6. Simulation results of Reactive power (Q).

Fig 10. Simulation results of Voltage across DC-Link capacitor.
4
1
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E
Fig 7. Simulation results of Rotor current direct axis (Id).
Fig 11. SMES current during charging and discharging.
IV.
CONCLUSIONS
In this paper the effect of shunt resistance in parallel with DCLink capacitor, crowbar and SMES connected across rotor side
has been studied. With the shunt resistance across DC-Link
limit the sudden increase in the voltage during fault as
compared to crowbar, with the use of SMES DC-Link voltage
dip is less, when the fault is cleared. Further SMES store energy
during fault that can be utilized later on, while in crowbar
energy is dissipated as heat.
APPENDIX
TABLE-I
Fig 8. Simulation results of Rotor current quadrature axis (Iq).

S.No
1.
2.
3.
4.
5.
Parameters
Crowbar resistance (Rc)
Shunt resistance (Rsh)
DC-Link Capacitor (C)
SMES coil (Ls)
SMES resistance (Rcs)
Values
0.3
0.1
0.1 F
0.1 H
0.01
REFERENCES
[1]
Lohde, R; Jensen, S; Knop, A; and Fuchs, F.W; Analysis of three phase

grid failure and Doubly fed induction generator ride-through using
376 of 446
Crowbar Power electronic and application, European conference on,

pp1-8, 1-5 Sep 2007.initial value
[2] Jin Yang; Fletcher, J.E.; O'Reilly, J., "A series dynamic resistor based
converter protection scheme for doubly-fed induction generator during
various fault conditions," Power & Energy Society General Meeting,
2009. PES '09. IEEE , vol., no., pp.1,8, 26-30 July 2009.
[3] J. Lopez, P. Sanchis, X. Roboam, and L. Marroyo, Dynamic behavior of
the doubly fed induction generator during three-phase voltage dips, IEEE
Trans. Energy Convers., vol. 22, no. 3, pp. 709717, Sep. 2007.
[4] Abed, N.Y.; Abdlsalam, G.M.; Kabsha, M. M., "Simulation and
evaluation of Low Voltage Ride Through protection techniques for
DFIG," Power and Energy Society General Meeting, 2012 IEEE , vol.,
no., pp.1,5, 22-26 July 2012.
[5] Noubrik, A.; Chrifi-Alaoui, L.; Bussy, P.; Benchaib, A., "Analysis and
simulation of a 1.5 MVA doubly fed wind-power in MATLAB
SimPowerSystems
using
crowbar
during
power
systems
disturbances," Communications, Computing and Control Applications
(CCCA), 2011 International Conference on , vol., no., pp.1,6, 3-5 March
2011.
[6] Padimiti, D.S.; Chowdhury, B.H., "Superconducting Magnetic Energy
Storage System (SMES) for Improved Dynamic System
Performance," Power Engineering Society General Meeting, 2007.
IEEE , vol., no., pp.1,6, 24-28 June 2007.
[7] Thomas Ackermann, Wind power in power systems, john Wiley &
sons, 2005.
[8] MATLAB
SimPowerSystems
User's
Guide,
Version
8.1
(R2013a),http://www.mathworks.in/help/physmod/sps/examples_v2/win
d-farm-dfig-detailed-model.html.
[9] Pannell, G.; Zahawi, B.; Atkinson, D.J.; Missailidis, P., "Evaluation of the
Performance of a DC-Link Brake Chopper as a DFIG Low-Voltage FaultRide-Through Device," Energy Conversion, IEEE Transactions on ,
vol.28, no.3, pp.535,542, Sept. 2013.
[10] Balasubramaniam Babypriya, Rajapalan Anita, Modelling, simulation
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of ELECTRICAL ENGINEERING, VOL. 60, NO. 2, 2009, 7985.
[11] Kalantarian, S.R.; Heydari, H., "A new crowbar protection method for
improvement in performance of doubly fed induction generator under
fault conditions," Environment and Electrical Engineering (EEEIC),
2011 10th International Conference on , vol., no., pp.1,4, 8-11 May 2011.
[12] Ali, Mohd.H.; Bin Wu; Dougal, R.A., "An Overview of SMES
Applications in Power and Energy Systems," Sustainable Energy, IEEE
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377 of 446
Implementation of energy storage and FACT device with

renewable power generation system
Parag Swarup1
Shelly Vadhera2
M.Tech student, Department of Electrical Engineering

paragswarup04@gmail.com
Associate Professor, Department of Electrical Engineering

shelly_vadhera@rediffmail.com
Abstract Renewable sources of energy are the fastest

growing energy sources in todays world. With the
advancements in technology of renewable sources like (wind,
solar, hydro) the, cost of energy has become competitive with
other fuel based generation systems. These energy sources are
promising, but intermittent in nature. In order to account for
intermittency of these sources, large scale energy storage can
exist in combination with renewable power generating system
like compressed air energy storage , flow batteries, flywheel,
super capacitor, pumped hydro energy storage, fuel cell, Super
conducting magnet energy storage etc. Integration of energy
storage along with FACT devices with renewable power
generation will reduce fluctuation and thus consumer will be
getting smooth power with flat voltage profile. In this paper,
different types of storage devices along with their advantages
and disadvantages are tabulated. Further this paper serves as
performance analysis of energy storage and FACT device with
renewable power generation, primarily focusing on wind
energy generation coupled with energy storage systems along
with FACT device through MATLAB/SIMULINK model and
shows that voltage at consumer end is stable up to large extent.
I. INTRODUCTION
World is facing an impending energy crisis and the
dependency on fossil fuel for energy production has increased,
which has led to increase in global warming issue due to emission
of various toxic gases. A lot of initiatives have been taken
throughout the world to limit the emission of greenhouse gases,
especially within energy sector. And to reduce the emission of
greenhouse gases some new technologies associated with
renewable energy are required to be developed. Since energy plays
a very important role in our day to day life, therefore the
technologies which offers alternative to oil gas and coal will be
important for the future.
In comparison to all the emerging renewable energy sources, solar
and wind energy are one of the fastest growing markets in the
world today [1]. And todays modern economy depends on the
ready availability of cheap energy and new technologies for
generating electricity from sources that do not generate CO2. Since
energy extracted from solar, wind is intermittent in nature so there
is a need to couple them with an energy storage device along with a
FACT device, but the major challenge in realizing the vision of the
4
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Index Terms - CAES (compressed air energy storage),

Energy storage system (ESS), flow batteries, super capacitor,
SMES (super conducting magnet energy storage), wind power.
development of effective electrical energy storage system (ESS)

which could be suitable for the type of generation and its
conditions. The efficient generation and use of clean electricity is a
vital aspect for every nations future.
ESS will be required to store electricity generated from solar or
wind sources for use at peak time. Because requirement of energy
is at its peak during the day, the electricity generated during lowdemand periods i.e. (at night) need to be stored efficiently for use
during peak demand. ESS is also needed to mitigate short-term
fluctuation in power, which represents a major problem in the
current electrical supply grid [2]. And through FACT devices the
voltage profile and reactive power associated with the system can
be improved. And following are its advantages and disadvantages.
A. Advantages
Energy extracted from renewable sources such as wind, solar are

the most promising energy resources for the future. Energy from
fossil fuel is costly and may vary considerably. In contrast to it
renewable power is inexhaustible and requires no fuel. Wind
turbines or solar energy do not produce greenhouse gasses that may
cause global warming.
B. Disadvantages
The main disadvantages associated with renewable energy
resources like wind/solar are site selection, high installation cost.
And most important disadvantage of these sources is their
intermittent nature. And this drawback can be compensated by
relevant energy storage system. In large wind farm the problem
associated with grid stability due to reactive power flow is also a
major disadvantage. And this drawback is mitigated by use of
FACT device. This paper emphasises that when ESS (i.e. battery)
and FACT device (i.e. STATCOM) with renewable power
generation system are implemented then the voltage profile at
consumer end can be maintained.
II. ENERGY STORAGE TECHNOLOGIES

There are various kinds of ESS available in the power
systems. But identifying the most suitable and relevant ESS for
renewable power generation involves many essential parameters to
be included such as: cost, lifetime, reliability, size, storage capacity
and environmental impact.
ESS technologies for power application can be divided into three
groups-:
Mechanical.
Electrochemical.
Electric.
378 of 446
Mechanical storage consists of CAES and flywheels.

Electrochemical storage includes all types of batteries and fuel cells
and electrical storage includes super capacitor and SMES. Fig. 1
shows different types of energy storage technologies grouped
according to energy storage capacity [3-4].
S.
No
Energy storage systems (ESS)

NAME
OF ESS
ADVANTAGES
DISADVANTAGES
Flywheels
High power
Low energy density
SMES
High power
Low energy density, high

cost
10
Capacitors
Long cycle life, High

efficiency
Low energy density,

High discharging rate
Pumped hydro
High capacity
Compressed air
Hydrogen fuel cell

Vanadium-redox
Medium
capacity
Flow batteries
III. NEED OF FACT DEVICE
Zn-Br
Ni-Cd
Batteries
Li-ion
Other types of
batteries
Ultra capacitor
Low capacity
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1
Flywheels
SMES
Fig. 1. Different types of ESS
A. Advantage and disadvantage of different ESS

Table 1
S.
No
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Energy storage systems (ESS)

NAME
OF ESS
ADVANTAGES
DISADVANTAGES
CAES
High capacity, low

cost
Need of gas fuel, special

site requirement
Pumped
energy
storage
High capacity, Low

cost
Special site requirement
Flow
batteries:
vanadium
redox
battery
High
capacity,
Independent power
and energy rating
Low energy density
NaS
High power and high

energy density, high
efficiency
Production cost and safety

concern
Li-ion
High power and high

energy density
High production cost and

requires special charging
circuit
Other
advanced
batteries
High power density

and high efficiency
High production cost
Lead acid
Low capital cost
Limited cycle when deeply

discharged
The reasons behind the need of FACT device are given below
To widen the stability of the system.
Better utilization of machines connected with the system.
To decrease the losses associated the system.
Voltage profile improvement.
It is a well-known fact that the voltage on a transmission network
is associated with reactive power flow. Hence by improving the
voltage profile the reactive power flow has been controlled in this
paper. Further in this paper for renewable power generation (i.e.
wind power generation) the energy is extracted by the DFIG
(Doubly fed induction generator) wind turbine which has capability
of controlling reactive power through the connection network. But
in a large wind farm controlling of individual DFIG wind turbine to
control reactive power flow is not feasible. So to improve system
voltage profile and to compensate reactive power of system FACT
device is implemented [5]. The voltage profile of wind farm
without FACT and energy storage device is shown in Fig. 2.
Fig.2. Voltage profile of wind farm without FACT device
In the above simulation the voltage profile which ranges from 0.31.5 p.u. is unregulated voltage of the system.
A. Methods of compensating reactive power

To compensate reactive power and improve voltage profile of the
system there are various FACT devices available like SVC (static
var compensator), STATCOM (static synchronous compensators),
and DVR (dynamic voltage restorer) etc.
In Simulink model STATCOM is being used with wind farm
because at voltage lower than the normal voltage regulation range,
the STATCOM generates more reactive power than that of SVC.
This is due to the reason that the maximum capacitive power
generated by SVC is proportional to the square of the system
voltage where as in STATCOM the capacitive power generated by
it decreases linearly with voltage. Therefore STATSCOM has
ability to provide more capacitive reactive power during voltage
collapse, which is a major advantage over SVC [6].
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B. Model of wind farm with STATCOM
IV. BLOCK DIAGRAM OF ESS

Power generated by wind farm
Less
power
More
power
Pref=215
Comparator 1
For p>pref
Comparator 2
For p<pref
Switch
Q1
Switch
Q2
Output
to load
ESS
Fig. 3. Wind farm with FACT device
Fig. 6. Block diagram of energy storage system
The system voltage profile of the Simulink model is shown in Fig.

4. The above model is based on 1.5 MW DFIG wind turbine. Wind
speed is given as input to the DFIG. In this paper a 450 MW wind
farm is designed for 250 km with 220kv source.
In the above block diagram the power generated by wind farm in

previous workspace (i.e. output power of wind farm without ESS)
is taken as source. And this output of wind farm is given to
comparators with reference at 215 MW. When the generated power
is greater than 215MW comparator 1 is ON which trips switch Q1
and thus charges the ESS. And when the output of wind farm is
less than 215 MW then comparator 2 is ON which trips switch Q2.
When switch Q2 is tripped ESS is discharged and when switch Q1
is tripped ESS is charged. Thus output at the load will be less
fluctuating because during low power the extra power will be
compensated by ESS. Therefore output at consumer end will be
smoothened.
The simulation results of ESS system fed up from output power of
wind farm are shown in Fig. 7.
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Fig. 4. voltage profile of system with FACT device
In Fig. 4 the voltage profile of the system gets stable after some
seconds and settles around 1.004p.u. Thus it can be concluded that
voltage profile is somewhere near 1p.u. and without much
fluctuation as it was seen in Fig. 2 i.e. system profile without
STATCOM. The STATCOM is activated at 7.032 seconds and
after that the fluctuations reduces and finally gets stabled. And to
perform this function of maintaining the voltage profile of the
system, STATCOM injects reactive power when voltage is below
1p.u. and absorbs reactive power when voltage is above 1p.u. The
reactive power of the system after integrating STATCOM is shown
in Fig. 5.
Fig.7. Output of ESS

Fig.5. Generated reactive power of the system
In the above result it can be seen that since voltage in Fig. 5 is

slightly above 1p.u. i.e. 1.004 have the reactive power is being
absorbed by the STATCOM.
In the above Fig. 7 the triggering of switches can be seen when Q1

is ON (i.e. at 1) voltage waveform shows charged and when Q2 is
on (i.e. at 1) voltage waveform shows discharging. The initial state
of charge for ESS is taken as 20%.
380 of 446
and simulation, Electric Power Systems Research vol. 80,

2010 pp. 345353.
[6] C. Sintamarean, A. Cantarellas, H. Miranda, Rodriguez and R.
Teodorescu:
SmartSTATCOM
control
strategy
implementation in wind power plant 3rd IEEE International
V. CONCLUSION
Renewable power like solar and wind are very essential in todays
world. A lot of technologies have been researched for these energy
sources. The numbers of wind farms are being installed and
performance of wind farm depends on reactive power component
and ESS to maintain stability. This paper shows that by integrating
wind farm with FACT (STATCOM) and ESS (Battery) devices
system voltage stability at the consumer end can be achieved up to
certain extent.
Symposium on Power Electronics for Distributed Generation Systems

2012.
APPENDIX
Table 2
S.no
Generator data
value
(i)
Nominal power
450 MW
(ii)
Frequency
50hz
(iii)
Vrms
575v
Table 3
S.no
Turbine data
value
(i)
Kp
500
(ii)
Maximum pitch angle
45
S.no
STATCOM data
value
(i)
Vref
1.00 pu
(ii)
Droop
.03
(iii)
Vac( Kp)
(iv)
Vac (Ki)
1000
Table 4
Table 5
S.no
ESS data
(i)
Batery type
(ii)
Initial SOC
(iii)
Internal resistance
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value
Nickel- Metal
hydride
20%
.001632 ohms
VI. REFERENCES
[1] Ming-Shun Lu and Chung-Liang Chang Combining the wind
[2]
[3]
[4]
[5]
power generation system with energy storage equipment,

IEEE transactions Industry Applications, vol. 45, no. 6,
November/December 2009 pp. 2109-2115.
M.R. Islam, S. Mekhilef and R. Saidur Progress and recent
trends of wind energy technology, Renewable and Sustainable
Energy Reviews vol. 21, 2013 pp 456-468.
Francisco Daz-Gonzlez, Andreas Sumper, Oriole GomisBellmunt and Roberto Villaffila-Robles A review of energy
storage technologies for wind power applications Renewable
and Sustainable Energy Reviews vol. 16, 2012 pp. 2154
2171.
Mahamadou Abdou Tankari, Mamadou Balo Camara, Brayima
Dakyo Use of ultra-capacitors and batteries for efficient
energy management in winddiesel hybrid system IEEE
Transactions Sustainable Energy, vol. 4, no. 2, April. 2013 pp.
414-424.
G.O. Suvire, P.E. Mercado DSTATCOM with flywheel energy
storage system for wind energy applications: Control design
381 of 446
Development of flexible pavement cost model for

weak subgrade stabilized with fly ash and lime
Aditya Kumar Das
Mahabir Panda

Rourkela-769008, Odisha
kumaradityanitr@gmail.com

panda.mahabir@gmail.com
(2004) reported the effect of fly ash on various engineering

properties of expansive soil. Joel H. Beeghly (2003) reported
that a combination of lime and fly ash is beneficial for lower
plasticity, higher silt content soils and clay soils. Neeraj
Kumar Sharma, S. K. Swain & Umesh C. Sahoo illustrate that
addition of fly ash from 10% to 20%, increased the
Unconfined Compressive Strength of soil to 63.38 kPa.
Further increase in fly ash decreased UCS, indicating that 20
% is the optimum percentage of fly ash.
Abstract: Most of the flexible pavements in India need to be

constructed over problematic and poor sub-grade having low
subgrade strength. The practice of treating soil with fly ash and
lime is a technique when the project requires improvement of the
weak soil for the construction of stabilized bases under
pavements thereby reducing the thickness of pavement. It was
found that for weak sub-grade, a mix of 70% soil, 30% Fly Ash,
and 3% lime gives optimum CBR and UCS value at low cost. The
feasibility and economic study was carried out for the various
mixes considering major roads using SPSS and a generalized
model for cost prediction for different layers was developed.
II.
MATERIAL SELECTION
Key words: stabilization, CBR, UCS, Cost optimization

I.
INTRODUCTION
Reliable road network is prime requirement for the

progress of any country. Particularly for a vast & diverse
country like India, it is utmost necessary to provide good
connectivity to the rural areas so that complete social &
economical progress can be achieved. So far the progress in
this regard has been minimal. So the construction method
should be such that with minimum expenditure it is possible to
have good roads. The current production of fly ash in India is
about 100 million tones. Disposal of such huge quantity of
waste is a problem that needs utmost attention. Utilizing this
for road construction provides a valuable method for disposal.
Fly ash roads can provide a far better surface than
conventional WBM roads due to the higher durability, readily
availability and environmental friendly, which can be
upgraded to a higher type of pavement at a later stage as well
as minimize the total cost of the road.
As there are many industries coming up in Western Odisha
region, mainly in steel sector and many plants with captive
power plants, the ample opportunity to use this fly ash to
improve the road network with economy became quite easy.
The current study aims at finding the proper way of doing this,
which can play an important role regarding the reduction of
cost of the road reconstruction and widening of NH-6 and the
widening of Hirakud-Remed road.
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The use of stabilized fly ash sub-grade/sub-base is

particularly attractive where fly ash is easily available &
supplies of aggregates are unavailable or expensive. It is
possible to construct lime fly ash stabilized layer without
admixing soil for sub-base layer. This would increase the
utilization of fly ash & also prevent use of valuable top soil.
Considering the type of soil with reference to the test
conducted in accordance with the IS, was dug and brought to
the laboratory from nearby N.H-6. The fly ash used in the
study was brought from HINDALCO. The lime used in the
study was quick lime and was brought from local market.
III.
EXPERIMENTAL PROGRAMME
Basic engineering properties were examined for the soil

sample collected from the site near NH-6, whose result will
decide the need and type of stabilization of collected soil
sample.
A. Determination of engineering properties of soil sample
It was concluded from the tests result that the soil sample
is very weak in strength according to CBR value. IRC
37:2012 recommended that if the CBR value of the sub-grade
soil is less than 3%, the soil should undergo for the process of
stabilization. The results of the engineering properties tests are
mentioned in tabular form.
TABLE- 1 PROPERTIES OF UN-STABILIZED SOIL
Test Properties
In recent years, several researchers worked on the

stabilization of problematic soil applying fly ash and lime.
Pandian et al. (2002) studied the effect of fly ash on CBR
characteristics of black cotton soil, Phani Kumar and Sharma
Result
3
Maximum dry density (KN/m )
19.45
OMC (%)
13.30
Liquid limit (%)
24.40
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Plastic limit (%)
12.3
Plasticity index (%)
12
CBR (%) (Heavy Compaction)
2.30
TABLE-4 VARIATION OF 4 DAYS SOAKED CBR VALUES WITH BOTH LIME

AND FLY ASH CONTENT:
Soil +lime + fly ash content
4 days soaked CBR (%)
1.04 Kg/cm
90% S + 10% FA
3.8
Unified soil classification
CL
80% S + 20% FA
4.2
Classified as per AASHTO
CL
70% S + 30% FA
4.4
60% S + 40% FA
4.9
50% S + 50% FA
5.8
UCS
Inorganic clay
Typical soil name
of low plasticity
B. Determination of optimum quantity of lime & fly ash:

Through-out the project and current research work the
characteristics of combination of soil lime and fly ash was
thoroughly studied. Laboratory testing determined the index
properties of all the materials and test procedures adopted were
as per the Bureau of Indian Standards.
100% S + 1% L
7.8
100% S + 2% L
18.8
100% S + 3% L
22.3
100% S + 4% L
35
100% S + 5% L
39.5
TABLE-5 VARIATION OF CBR VALUES WITH BOTH LIME AND FLY ASH
CONTENT INCLUDING CURING PERIOD:
TABLE-2 VARIATION OF MAXIMUM DRY DENSITY AND OPTIMUM

MOISTURE CONTENT AND % INCREASE OF CBR WITH LIME CONTENT:
Soil +lime +
fly ash content
4 days
CBR
(%)
7 days
CBR
(%)
12 days
CBR (%)
Lime content
(%)
MDD
(KN/m3)
OMC
( %)
Maximum
CBR (%)
% increase
of CBR
90% S + 10% FA+ 2% L
17.54
16.56
30
19.45
13.30
2.30
90% S + 10% FA+ 3% L
18.6
25.33
35.2
19.40
13.80
7.80
239.13
80% S + 20% FA+ 2% L
21.26
25.33
35.8
2
3
19.30
19.03
14.00
14.90
18.80
22.30
717.39
869.56
80% S + 20% FA+ 3% L
31.66
34.5
49.7
18.77
15.50
35.00
1421.74
70% S + 30% FA+ 2% L
30.53
33.1
48
18.67
16.10
39.50
1617.39
70% S + 30% FA+ 3% L
36.53
37.02
55.8
100% S + 3% L
22.3
20.46
60.8
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TABLE- 3 VARIATIONS OF MAXIMUM DRY DENSITY AND OPTIMUM

MOISTURE CONTENT AND % INCREASE OF CBR WITH FLY ASH CONTENT:
Fly ash
Content(%)
MDD
(KN/m3)
OMC
( %)
19.45
13.3
10
18.93
14.9
20
18.47
15.3
30
40
50
17.93
17.01
16.10
16.5
18.3
20.4
3.8
S
E
4.2
82.61
4.4
4.9
5.8
91.31
113.04
152.17
Maximum
CBR (%)
I
2.3
% increase
of CBR
-
E. Unconfined Compressive Strength:

UCS is a quick test to obtain the shear strength parameters
of cohesive (fine grained) soils either in undisturbed or
remolded state.
TABLE 6 UCS TEST RESULTS FOR 7 AND 12 DAYS CURING PERIOD:
65.22
7 days UCS
(kg/cm2)
12 days UCS
(kg/cm2)
90% S + 10% FA+ 2% L
2.5
4.122
90% S + 10% FA+ 3% L
4.27
4.212
80% S + 20% FA+ 2% L
2.18
2.6
80% S + 20% FA+ 3% L
3.38
3.707
70% S + 30% FA+ 2% L
1.23
2.4
70% S + 30% FA+ 3% L
2.91
1.79
2.66
Soil + Lime + fly ash content
C. Sample Preparation:
The soil sample was dried in hot air oven for a period of 24
hrs. at 105C and was pulverized. The fine sample was
thoroughly mixed with fly ash and lime for a period of 15 mins.
After the sample was well prepared, it undergone CBR test for
4days, 7days, 12 days and UCS test for 7days and 12days.
D. California Bearing Ratio:
This test is conducted to know the strength property of soil
sub-grade and pavement layer thickness.
100% S + 3% L
F. Elastic Modulus of Stabilized Soils

Elasticity modulus Es of sub-base (assuming this to behave
as unbound granular layer (in MPa), is given by IRC: 37-2012
as:
E2 = 0.2 (h2)0.45 E3
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[(1 r ) n 1] D F
106 20 msa
r
[(1 r ) n 1] D F
Ns [ n 10] 365 A
106 50 msa
r
[(1 r ) n 1] D F
Ns [ n 15] 365 A
106 100 msa
r
Where h2=thickness of sub-base layer in mm (considered

as 200mm) and E3 =modulus of underlying layer, i.e. subgrade in MPa IRC: 37-2012 suggest the following relationship
between elastic modulus of sub-grade and its CBR:
Ns [ n 2] 365 A
E (in MPa) = 10 x CBR (if CBR is less than 5%)

= 17.6CBR0.64 (if CBR is more than 5%)
Based on above correlations, elastic modulus of
chemically stabilized soil of 500mm thickness as sub-grade is
estimated to lie between 133 and 167 MPa for sub-grade CBR
of 7 to 10 percent.
TABLE 8 THICKNESS OF EACH LAYER OF FLEXIBLE PAVEMENT

RESTING ON AN UN-STABILISED SUB-GRADE SOIL:
TABLE 7 TABULATION FOR MODULUS OF ELASTICITY

Modulus of elasticity
Soil + fly ash+ lime
Design
(MPa)
content
CBR (%)
Sub-grade
Sub-base
Only soil
2.3
24.64
53.47
90S+10FA+2L
22.5
129.09
280.147
90S+10FA+3L
26.4
143.00
310.31
80S+20FA+2L
26.9
144.70
314
80S+20FA+3L
37.3
178.40
387.13
70S+30FA+2L
36
174.39
378.42
70S+30FA+3L
41.9
192.18
417.03
100S+3L
45.6
202.88
440.25
CBR
Value
Traffic
Intensity
(msa)
Sub
grade
(mm)
Subbase
(mm)
WMM
(mm)
2.3
20
500
433
250
130
40
1353
2.3
50
500
437
250
170
40
1397
100
500
437
250
190
50
1427
2.3
DBM
BC
(mm) (mm)
Total
(mm)
B. Layer Tthickness Reduction
IV.
The laboratory test results shows that CBR value of subgrade soil increases with lime and fly-ash content. As a result
there is a possibility in reducing the thickness of GSB. The
study has been extended to evaluate the thickness of different
layers above the stabilized sub-grade soil at different lime and
fly-ash contents and for a traffic intensity of 20 msa, 50 msa and
100 msa. Under traffic conditions of NH-6 which were
considered for cost analysis and are mentioned in table 9.
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1
C Structural Design
S
E
ECONOMIC ANALYSIS
A. Response Model (as per IRC 37: 2012)
The main objective of this project is to evaluate the benefits

in terms of Layer Reduction Thickness (LRT) on stabilising the
sub-grade soil with lime and fly ash. The thickness of different
layers of flexible pavement resting on stabilized and unstabilized sub-grade for a traffic of 20 msa, 50 msa and 100 msa
has been evaluated using IRC 37:2012. The thickness of subgrade has been taken as 500mm. IRC 37:2012 recommended
that if the CBR value of the sub-grade soil is less than 3%, the
design should be based on CBR of 3% and a capping layer of
150mm thickness should be provided in addition of the sub-base
thickness thickness. In the present study, the CBR value of subgrade soil is greater than 3%, for which no capping layer is
required.
In the present case we are taking into account N.H-6,whose
traffic volume is 5462 CVPD/day. It is a single carriage two
way traffic major road ( carriage width 7.5m). The number of
standard axle for a VDF of 0.75 given by:
Structural strength is principal criterion for determining the

pavement performance and the evaluation of layer thickness is
very much essential. Structural design of flexible pavement for
optimum dose of fly-ash and lime treated soil was evaluated
according to IRC 37:2012. The vertical compressive strain on
the top of sub-grade imposed by a standard axle load of
magnitude 8.2t which should not exceed specified limit.
Otherwise it will cause deformation in the sub-grade which is
manifested in the form of rutting on the pavement surface.
Structural stability directly depends upon the strength of the
material which can be compared from their CBR and UCS
values.
D Cost Evaluation
Total cost of the flexible pavement is evaluated for
probabilities of its practical applications in the field. For
which the cost evaluation were prepared for different reduced
thickness layers and traffic volume according to the P.W.D.
rate chart of Govt. of Odisha for the year 2011-2012 and was
mentioned in Table 10.
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TABLE 9 THICKNESS OF VARIOUS LAYERS AND TOTAL THICKNESS OF PAVEMENT RESTING ON STABILIZED SUB-GRADE SOIL ( IRC: 37-2012):
Sl. No.
Soil + fly ash +

lime (%)
90+10+2
90+10+3
80+20+2
80+20+3
70+30+2
70+30+3
100+0+3
Traffic
Intensity
(msa)
Design
effective CBR
value (%)
20
50
100
20
50
100
20
50
100
20
50
100
20
50
100
20
50
100
20
50
100
8.5
8.8
10
10
9.8
10
Subgrade
(mm)
GSB (mm)
WMM
(mm)
DBM (mm)
BC (mm)
Total (mm)
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
500
200
200
200
198
198
198
195
195
195
200
200
200
200
200
200
197
197
197
200
200
200
250
250
250
250
250
250
250
250
250
250
250
250
250
250
250
250
250
250
250
250
250
85
120
140
85
120
140
85
120
140
75
110
130
75
110
130
80
115
135
75
110
130
40
40
50
40
40
50
40
40
50
40
40
50
40
40
50
40
40
50
40
40
200
1075
1110
1140
1073
1108
1138
1070
1105
1135
1065
1100
1130
1065
1100
1130
1067
1102
1132
1065
1100
1130
Soil + fly ash + lime

(%)
CBR(%)
Cost according to Traffic (in lakhs)
2.3
124.037
90+10+2
30.0
97.317
90+10+3
35.2
100.007
80+20+2
35.8
97.97
80+20+3
49.7
97.395
70+30+2
48.0
70+30+3
100+0+3
E Graphical Representation of Cost Analysis
S
E
I
20 m.s.a 50 m.s.a
Only soil
4
1
TABLE 10 TABULATION FOR COST ANALYSIS [WIDTH OF THE PAVEMENT

IS 7.5M FOR A ROAD LENGTH OF 1KM.]
100 m.s.a
139.409
151.332
110.316
122.239
113.006
124.939
110.969
122.892
110.022
121.945
98.523
108.522
115.95
55.8
99.657
112.656
124.579
60.8
95.252
108.251
120.169
The above data from was used in SPSS and statistical

mathod correlation was formulated between CBR (%),Traffic
volume (msa) and cost of road. As the RMS value from SPSS
software was high than RMS value from statistical method, the
model formulated from SPSS software was considered, which
is given by.
Cost (LAKHS) = 115.08 0.47(CBR) + 0.3(MSA)
[R2 = 0.997]
Fig-2(a) variation of cost (in lakhs) for different traffic volume (m.s.a) between
untreated and treated soil (90%S, 10%FA & 3%L/2%L)
385 of 446
Fig-2(b) variation of cost (in lakhs) for different traffic volume (m.s.a) between
which increases with the addition of lime and fly ash. With
several combination of the untreated soil sample, fly ash and
lime the CBR value increases more than that obtained for the
unstabilized general soil sample. Similarly the UCS and
modulus of elasticity of the stabilized soil was found to be more
than that of unstabilized general soil sample. Hence it is
recommended to use a combination of 70:30:3, So as to
maximize the use of fly ash thereby reducing the cost of
construction of roads. A generalized equation using SPSS
Software & Statistical Method for cost model prediction was
developed and the inter-relation between cost, CBR and traffic
was known. A multiplying factor of 5% per annum may be
incorporated on the generalized equation to take care of the
escalation and inflation cost for future trend of cost prediction.
From the design and cost of sub-grade it was observed that the
combination of 70% soil, 30% fly ash and 2% lime gives the
maximum saving of 25.537 lakhs for 20 msa, 30.887 lakhs for
50 msa and 35.372 lakhs for 100 msa per km of road as
compared to road using only soil sub-grade. As compared the
combination of soil and lime it uses 30% of fly ash per km of
road. So ultimately it results in saving of valuable land use for
filling of fly ash and less pollution hazard from storage of fly
ash.
4
1
REFERENCES
[1] IRC 37:2012, Guideline for the Design of Flexible Pavements, Indian Roads
Congress, New Delhi.
[2] S. K. Khanna and C. E. G. Justo. Highway engineering, Nem Chand & Bros,
1991.
[3] Highway Research Board. and IRC A study on cost effectiveness of lime
stabilized soil for rural road construction, NIT Tiruchirappalli. Highway
Research record, No 32, IRC.
[4] State Technical Agency, Ground Improvement Techniques, Chapter XIII,
Training Manual, Training Program For Engineers involved in PMGSY.
[5] M. Pal, K. Majumdar, M. Barman and D. Sarkar. "Study of strength, CBR,
resistivity and conductivity of soiljute mixture." Indian Highway. IRC 6
(2010): 53-62.
[6] P. Kumar, H. C. Mehendiratta, and S. Rokade. "Use of reinforced fly ash in
highway embankments." Highway Research Bulletin, IRC, No-73 (2005): 113.
[7] A. Hilmi Lav and M. Aysen Lav. "Microstructural development of stabilized
fly ash as pavement base material," Journal of Materials in Civil
Engineering 12, no. 2 (2000): 157-163.
[8] A study on cost effectiveness of stabilized Fly Ash for Rural road
construction NIT, Tiruchirappalli. Highway Research Record, No. 32, IRC,
Highway Research Board.
[9] Joel H. Beeghly, "Recent experiences with Lime-Fly ash stabilization of
pavement subgrade soils, base and recycled asphalt," In 2003 International ash
utilization symposium. 2003.
[10] Use of Waste Materials, Indian Roads Congress, Chapter 9, Special
Publication:, pg. 230-234. [2000-2002]
[11] PWD Schedule of Rate: 2011-12 Govt. of Orissa.
S
E
I
Fig-2(c) variation of cost (in lakhs) for different traffic volume (m.s.a) between
CONCLUSIONS
Durability and strength properties of the soil sub-grade are

directly dependent upon the CBR and UCS value. The CBR
value for the unstabilized soil sample was found to be 2.3%
386 of 446
Prediction of compression index of clay using

artificial neural network
Shamshad Alam
safzal88@gmail.com
Sunil Khuntia
sunilkhuntia.nitrkl@gmail.com
Chittaranjan Patra
crpatra19@yahoo.co.in
Abstract- This study investigates the application of Artificial

Neural Network (ANNs) for the determination of Compression
Index (Cc) of clay. It is time consuming and practically important
parameter for the soil foundation over clay. The input
parameters of ANN models are natural water content (w n), liquid
limit (LL), initial void ratio (e0), and plasticity index (PI). ANN
model equations have also been developed for the prediction of
Cc and a comparative study has also been done between the
developed ANN model and regression models available in
literature. The results indicate that ANN is a useful technique for
predicting Cc of clay.
The data set (Kalantary, 2012) consists of consolidation

test data for soil samples collected from 125 construction sites
in province of Mazandaran, Iran. A neural network model has
been developed using this set of data. The results from the
developed model have been compared with the results
obtained by using various empirical equations available in
literature. It is found that the ANN model gives better
prediction and finally the model equation is presented.
Keywords- compression index, clay, ANN, natural water

content, void ratio
Artificial neural network (ANN) is now being used as an

alternate statistical method with high predictability. The
fundamental building blocks are units (nodes) comparable to
neurons, and weighted connections that can be likened to
synapses in biological systems. Nodes are simple information
processing elements. The ideal number of nodes in the hidden
layer has to be found through trial and error. As a general rule,
an ANN should contain the minimum number of neurons that
are capable of simulating the training data. Each connection
between nodes carries a weight representing some previous
learning process and by varying these weights, the inputoutput
relation can be simulated. The network has to be trained to
reproduce this inputoutput relation that is to find the optimal
weights. The training procedure uses the backpropagation
algorithm.
I.
INTRODUCTION
II.
Settlement due to expulsion of pore water is of engineering

importance. Due to increase in stress caused by the
construction of foundations or other loads, the soil
compresses. The various causes of compression are
deformation of soil particles, relocation of soil particles, and
expulsion of water or air from the void spaces. To calculate
settlement in clayey soil layers, laboratory consolidation
tests which depict one-dimensional compression behavior
need to be performed on samples taken as representative.
4
1
S
E
As the oedometer test in laboratory takes a much

longer time than simpler index property tests various
attempts have been made to estimate this index to obtain an
initial estimate and also to cross check the results of the
consolidation test.
Empirical formulas relating various
parameters to the compression index have been presented
by many researchers (Azzouz et al., 1976; Koppula, 1981;
Herrero, 1980; Park and Lee, 2011; Nishida, 1956;
Cozzolino, 1961; Sower, 1970; Ahadiyan et al., 2008; AlKhafaji and Andersland, 1992; Yoon and Kim, 2006; Ozer et
al., 2008). However, due to fact that the index is affected
by multiple parameters and highly non-linear, simple
regression analysis is not sufficient and hence non-linear
regression such as Artificial Neural Network (ANN) is more
effective. The advantage of the ANN is that it is very
useful in learning complex relationships between multidimensional data. ANNs have been applied in a number of
geotechnical problems where mathematical models sustain
simplifications, lack of robustness or are not available at all.
ARTIFICIAL NEURAL NETWORK (ANNs)
III. METHODOLOGY
In the current paper, 391 experimental results of
compression index have been used. The data set is subdivided
into two groups as training data set (290 data) and testing data
set (101 data). Liquid Limit (LL), Plasticity index (PI), natural
water content (wn) and initial void ratio (e0) are considered as
input and compression index (Cc) as output parameter. From
the cross-correlation matrix (Table 1), it is observed that the
above inputs wn and e0 with cross-correlation values of 0.75
and 0.82 respectively affect Cc more than the other input
parameters (i.e. LL and PI). Hence two models are selected for
the prediction of compression index. The statistical values of
all the input and output parameters are given in Table 2.
A feedforward-backpropagation neural network is used
with hyperbolic tangent sigmoid function and a linear function
387 of 446
TABLE 1 CROSS-CORRELATION MATRIX FOR ALL DATA

LL
PI
wn
e0
where P = predicted value, fn = transfer function, h = no. of

neurons in the hidden layer, Xi = value of inputs, m= no of
input variables, wik = connection weight between ith layer of
input and kth neuron of hidden layer, wk = connection weight
between kth neuron of hidden layer and single output neuron,
bhk = bias at the kth neuron of hidden layer and b0 = bias at the
output layer.
Cc
LL
1.00
PI
0.97
1.00
wn
0.33
0.28
1.00
e0
0.31
0.26
0.90
1.00
Cc
0.40
0.36
0.75
0.82
TABLE 3 CONNECTION WEIGHTS AND BIASES FOR MODEL 2

1
TABLE 2 STATISTICAL VALUE OF THE PARAMETERS
Weights
Hidden
Neuron
LL
PI
wn
biases
e0
Cc
bhk
LL
PI
wn
e0
Cc
k=1
-0.181
0.12
-0.313
12.22
-0.043
6.409
Mean
Standard
Deviation
39.8
18.58
28.61
0.767
0.206
k=2
0.008
-0.01
0.006
-0.936
-24.64
2.999
9.89
8.57
7.79
0.176
0.0774
k=3
-0.062
0.22
-0.0001
-6.003
7.636
7.189
Minimum
24
10.2
0.357
0.05
k=4
-0.0713
0.24
-0.004
-6.123
-7.303
7.535
Maximum
81
50
70
1.882
0.628
III.
as transfer function. The network is trained with LevenbergMarquardt algorithm as it is efficient in comparison to
gradient descent backpropagation algorithm (Goh et al. 2005;
Das and Basudhar 2006). The ANN has been implemented
using Matlab R2010b.
The schematic diagram of ANN architecture is shown in
Fig. 1. The number of hidden neurons is varied with mean
square error (MSE) and finally selected as proposed by Z.
Boger (1997). Therefore the final architecture in this study
will be 4-4-1 (4-input, 4-hidden neuron, 1-output). The
weights and biases were used to formulate the neural network
model and presented in table 3. The different trials were made
using linear, sigmoidal activation functions.
Fig. 1. Neural Network architecture.
Finally the best fitted model was created by using the

formula given by Goh et al. 2005.
h
P f n b0 w k f n
k 1

b hk w ik Xi
i 1
(1)
24.2884
The models has been created and compared with the

empirical correlations given by various researchers shown in
table 4. The comparison is made in terms of correlation
coefficient (R) and coefficient of efficiency (R2). The
performances of the developed ANN model and the empirical
formulas are compared and presented in table 5. From the
comparison it is found that the two ANN models are showing
better performance than others. Between model 1 and 2, model
2 is providing more accuracy in both training and testing. The
performance of model 2 in training and testing is shown in fig.
2.
4
1
S
E
b0
TABLE 4 SOME WIDELY USED EQUATIONS
Sl. No
1
Author
Azzouz et al. (1976)
Azzouz et al. (1976)
Cc =
0.01 wn - 0.05
Koppula (1981)
Cc =
0.01 wn
Herrero (1980)
Cc =
0.01 wn - 0.075
Park and Lee (2011)
Cc =
0.013 wn - 0.115
Skempton (1944)
Cc =
0.009 (LL-10)
Nishida (1956)
Cc =
0.54 e0 - 0.19
Cozzolino (1961)
Cc =
0.43 e0 - 0.11
Sower (1970)
Cc =
0.75 e0 - 0.38
10
Kalantary et al. (2012)
Cc =
0.0074 wn - 0.007
11
Kalantary et al. (2012)
Cc =
0.3608 e0 - 0.0713
Cc =
Equation
0.4 (e0 + 0.001 wn - 0.25 )
Sensitivity analysis is performed for selection of important

input variables. Different approaches have been suggested to
select the important input variables. Goh (1994) and Shahin et
al. (2002) have used Garsons algorithm (Garson, 1991) in
which the input hidden and hidden output weights of trained
388 of 446
TABLE 5 RESULTS OF DIFFERENT MODELS FOR PREDICTION OF

COMPRESSION INDEX OF CLAY
Model
Model
Inputs
RMSE
R2
e 0, w n
0.047
0.823
0.63
wn
0.063
0.75
0.56
wn
0.098
0.74
0.54
wn
0.055
0.75
0.49
wn
0.0846
0.75
0.52
LL
0.111
0.397
0.37
e0
0.057
0.82
0.67
e0
0.048
0.82
0.62
e0
0.082
0.82
0.615
10
wn
0.051
0.75
0.56
11
e0
0.044
0.823
0.677
Training
0.043
0.85
0.721
Model 1
e 0, w n
Testing
0.0423
0.775
0.59
Training
0.038
0.87
0.76
Testing
0.04
0.852
0.72
Model 2
LL,
PI,e0,
wn
Neural Interpretation Diagram (NID), in which the actual

values of input hidden and hidden output weights are taken. It
sums the products across all the hidden neurons, which is
defined as Si. The relative inputs are corresponding to absolute
Si values, where the most important input corresponds to
highest Si value. The details of connection weight approach
are presented in Olden et al. (2004).
The relative importance of the four input parameters as per
Garsons algorithm is presented in Table 6. The wn is found to
be the most important input parameter with the relative
importance value being 95.85 % followed by 2.27 % for PI,
1.09 % for LL and 0.781 % for e0. The relative importance of
the present input variables, as calculated following the
connection weight approach (Olden et al., 2004), is also
presented in Table 6. wn is found to be the most important
input parameter (Si = 21.41) followed by e0 (Si = 0.188), LL
(Si =-0.154) and PI (Si = 0.128). The Si values being negative
imply that LL is indirectly related and wn, e0 and PI are
directly related to Cc value. In other words, increasing LL will
lead to a reduction in the Cc and increasing wn, e0 and PI will
increase the Cc.
TABLE 6 RELATIVE IMPORTANCE OF DIFFERENT INPUTS AS PER
GARSON'S ALGORITHM AND CONNECTION WEIGHT APPROACH
4
1
Parameters
Garson's algorithm
(1)
Relative
importance
(%) (2)
Ranking of
inputs as per
relative
importance
(3)
Si values as
per
connection
weight
approach (4)
Ranking of
inputs as
per relative
importance
(5)
LL
1.09
-0.154
PI
2.27
0.128
e0
0.781
0.188
wn
95.85
21.41
S
E
Connection weight approach
The model equation is developed using the weights and

biases obtained from the trained neural network model (Goh et
al. 2005).
A1 0.1805 LL 0.1201PI 0.3128 w n 12.22 e0 6.4086

A 2 0.0085 LL 0.0089 PI 0.006 w n 0.9357 e0 2.9993
A3 0.062 LL 0.219 PI 0.0001w n 6.0033e0 7.1895
A 4 0.0713LL 0.2407 PI 0.0038 w n 6.123e0 7.5349
e A e A
B1 0.0432 A
A
e e
Fig. 2. Performance of model 2 in training and testing.
ANN model are partitioned and the absolute values of the

weights are taken to select the important input variables, and
the details with example have been presented in Goh (1994). It
does not provide information on the effect of input variables in
terms of direct or inverse relation to the output. Olden et al.
(2004) proposed a connection weight approach based on the
A
B2 24.6409 e e
e A e A
A
e A e A
A
B 4 7.3033 e e
B3 7.6356 A
A
e A e A
e e
C c B1 B 2 B3 B 4 24.2884
3
where Cc = predicted value of compression index of clay

from Neural Network modeling.
389 of 446
IV.
CONCLUSION
The objective of this paper is to develop an ANN model

that can be used to predict compression index of clay. The
results obtained with these models are compared to each other
and with different regression models. The result shows that the
proposed model equation gives better predictability in
comparison with others. Sensitivity analysis is fulfilled to
recognize the most sensitive parameters. Natural water content
(wn) is found to be the most effective parameters for
prediction of compression index. From the above model
equation, the compression index of clay soil can be predicted
quickly and satisfactorily.
REFERENCES
[1] A S Azzouz, R J Krizek, R B Corotis, Regression Analysis of Soil
Compressibility, Soils and Foundations, 16(2), June 1976, pp. 19-29.
[2] A W N Al-Khafaji, O B Andersland, Equations for compression index
approximation, Journal of geotechnical engineering 118.1 (1992): 148153.
[3] A. T. C. Goh, F. H. Kulhawy, and C. G. Chua, Bayesian neural
network analysis of undrained side resistance of drilled shafts,
Journal of geotechnical and geoenvironmental engineering 131.1 (2005):
84-93.
[4] A. T. C. Goh, Modeling soil correlations using neural network, Journal
of computing in civil engineering 9.4 (1995): 275-278.
[5] F Kalantary and A Kordnaeij, Prediction of compression index using
artificial neural network, Scientific Research and Essays 7.31 (2012):
2835-2848.
[6] H I Park , S R Lee, Evaluation of the compression index of soils using
an artificial neural network, Computers and Geotechnics 38.4 (2011):
472-481.
[7] J Ahadiyan, J R Ebne, M S Bajestan, Determination of Soil Compression
Index, Cc, in Ahwaz Region," Journal of Faculty of Eng., Vol. 35, No.3,
2008 (Civil Eng.).
[8] M. A. Shahin, H. R. Maier and M. B. Jaksa, Predicting settlement of

shallow foundations using neural network, J. Geotech. Geoenviron.
Eng., 128(9),2002, pp. 785793.
[9] O R Herrero, Universal compression index equation, Journal of the
Geotechnical Engineering Division 106.11 (1980): 1179-1200.
[10] S D Koppula, "Statistical estimation of compression index," ASTM
Geotechnical Testing Journal 4.2 (1981).
[11] S. K. Das and P. K. Basudhar, Prediction of residual friction angle of
clays using artificial neural network, Engineering Geology 100.3
(2008): 142-145.
[12] S. Karsoliya, Approximating Number of Hidden layer neurons in
Multiple Hidden Layer BPNN Architecture, Internat J Eng Trends
Technol 3.6 (2012): 714-717.
[13] V. M. Cozzolino, Statistical forecasting of compression index,
Proceedings of the 5th International Conference on Soil Mechanics and
Foundation Engineering Paris. Vol. 1. 1961.
[14] Y. Nishida, A brief note on compression index of soils, J. Soil Mech.
Found 504.82 (1956): 3.
[15] Z. Boger and H. Guterman, "Knowledge extraction from artificial neural
network models, Systems, Man, and Cybernetics, 1997. Computational
Cybernetics and Simulation., 1997 IEEE International Conference on.
Vol. 4. IEEE, 1997.
[16] R. N. Behera, C. R. Patra, N. Sivakugan, and B. M. Das. "Prediction of
ultimate bearing capacity of eccentrically inclined loaded strip footing
by ANN, part I," International Journal of Geotechnical Engineering 7,
no. 1, 2013, pp. 36-44.
[17] J. D. Olden, Michael K. Joy, and Russell G. Death. "An accurate
comparison of methods for quantifying variable importance in artificial
neural networks using simulated data." Ecological Modelling 178.3,
2004, pp. 389-397.
[18] A. T. C. Goh, "Seismic liquefaction potential assessed by neural
networks," Journal of Geotechnical engineering 120.9, 1994, pp. 14671480.
[19] G. D. Garson, "Interpreting neural-network connection weights," AI
expert 6.4, 1991, pp. 46-51.
[20] G. B. Sowers, Introductory soil mechanics and foundations, 3rd edition,
The Macmillan Company, Collier-Macmillan Limited, 1970,
London, pp. 102.
[21] A. W. Skempton, Notes on the compressibility of clays, Quarterly
Journal of the Geological Society 102, no. 1-4 (1946): 205-209.
4
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390 of 446
On the Directivity and Multiband Characteristics of

Sierpinski Fractal on Bowtie
P.S.R.Chowdary
A.Mallikarjuna Prasad
Department of ECE
Raghu Institute of Technology
Visakhapatnam, India
psr_satish@yahoo.com
Department of ECE
University College of Engineering (A), JNTUK
Kakinada, India
P.Mallikarjuna Rao
Jaume Anguera
Department of ECE
AUCE (A), Andhra University
Visakhapatnam, India
Department of Electronics & Telecommunications

University Ramon Llull
Barcelona, Spain
AbstractIn this work a multiband Sierpinski fractal

microstrip antenna on co-axial fed bowtie structure which is
derived from a square patch is considered. This is similar to
cutting fractals on classic geometry and further analyzed to
understand the effect of the fractals in electromagnetics. The
geometry has shown a shift in the resonant frequency and an
increase in directivity which are studied from the reflection
coefficient and directivity curves. The geometry is well designed
in High Frequency structure Simulation (HFSS) using its efficient
CAD environment and further solved using the Finite Element
(FEM) Solver embedded in it.
Keywordsmicrostrip antennas; bowtie; Sierpinski fractal;
multiband antennas;
I.
A. Combining Fractals and Electromagnetic Theory

The 20th century has
witnessed
several
telecommunication revolutions in which the fascinating part is
the wireless technology [1]. The rapid development in wireless
technology can be understood from the development of
WLAN, WiFi, WiMax, GPS, UMPTS, Blue tooth, mobile
communication systems and many more with personal, social
and military applications. The quality of the system is
evaluated based on the performance of the antenna section.
The antenna for such applications took many changes in the
geometry as well as in its characteristics. One such is the
multiband antenna. The inclusion of the 5.2 GHz band into the
Industrial Scientific Medical (ISM) band along with the
existing 2.4 GHz leads to the demand of multiband antennas.
Being frequency independent is certainly considered the

basic characterization of an antenna to be multibanded.
But it is not only the criterion, it should also show
similar impedance and radiation patterns at several
resonating frequencies. Considering the applications of
multiband like wireless communications and the environment
4
1
S
E
INTRODUCTION
like handheld radio devices, the antenna has to be compact in

size so as to give the ease of installation and also should
maintain low profile to facilitate for the decorum of the
device. The radiating element took many changes in its
geometry when high directivity and miniaturization of the
device were targeted. This process has been a continuous
phenomenon. Since the advent of Mandelbrot, the father of
fractal geometries, the idea of utilizing fractals as frequency
independent radiating elements for several wireless and
mobile communications took initiation. A lot of new geometry
has been derived from Mandelbrots Concept of New
Geometry [2]. Some of them are so popular in serving as
radiating elements. Among those, Sierpinski triangle and
Sierpinski carpet are named after Sierpinski (1916), Hilbert
curves named after Hilbert.D (1891), Koch curves named after
Koch.V.H (1904), Julian structures named after Julia.G (1918)
and Contor shapes named after Contor.G (1872) have wide
applications in electromagnetics
with their vital
electrodynamics.
B. Self Similarity and Frequency Independent Features of
Fractals
Self-similarity and the recursive structure of the
fractals have drawn the attention of Electromagnetic Engineers
[3-4]. The frequency independent characteristics of an element
are due to the ability to retain the shape of many iterations or
transformations [5]. But even before the Mandelbrot selfsimilar, self-complimentary and recursive structures like Log
periodic and Spiral were proposed [6] and proved to have
constant impedance characteristics. Rumsey V.H, in his
conclusive literature about frequency independent antennas
proposed a new way of defining an antenna and stated that If
the antenna dimensions are mentioned only in terms of angles
then the radiation patterns and impedance pattern
characteristics of that antenna are frequency independent.
391 of 446
Multiresonant characteristics of the Sierpinski [7] and Koch

curves [8] are explored for applications in WLAN.
The thrust focus of the research in fractal antenna
significantly lies in developing new geometries with high
directivity and wide bandwidth. In the due course some of the
traditional fractal geometries are considered and modified.
These modifications resulted in many varieties of flavors in
fractals. Sometimes classic geometries are embodied with
fractals. One such experimentation is performed in this work.
A classic Bowtie antenna is carved from square patch geometry
and triangle shapes of 3 different scales are tweaked from the
surface of the bowtie to depict Sierpinski structure on it. The
2D and 3D radiation characteristics, reflection coefficient vs
frequency and frequency vs directivity graphs are plotted for
further analysis. An investigation on the improved directivity,
diminished surface area and varying resonant frequencies at
each stage is performed.
II.
A. Effective area considerations in SPK

The Sierpinski (SPK) geometry exists in two different
forms namely SPK triangle and SPK carpet. The basic structure
of SPK is derived from a triangle patch and runs through
several iterations to show multiband characteristics. For each
iteration the circumference and the hole size varies. If a triangle
of unit area is considered then after the first iteration 1/4 of the
area is removed. Consequently after the second and third
iteration, 3/16 and 9/64 of the area is removed respectively as
shown in the figure (1). The generalized expression for this
phenomenon is given by
N
AN 1 / 3 (3 / 4)i
i 1
where AN refers to the area removed. From the above

equation it can be inferred that after infinite iterations A=1.
This means that the resultant gasket has no area but has infinite
circumference. The same is depicted in the figure (1)(a)-(d).
The triangle in figure 1(a) is considered to have A0 =1 area
then, the corresponding generations from (b) through (d) will
have A1 (3 / 4) A0 ,
and
A2 (3 / 4)2 A0
BOWTIE ANTENNA FOR WIRELESS APPLICATIONS
Bowtie antenna can be realized from a bi-triangular sheet of

metal on a substrate with the feed generally at its vertex. It has
extensive applications in ground penetrating radars and
wireless communications. The simplified, compact and low
profile structure of bowtie antenna have replaced conical
unipole or biconical antennas for their applications in VHF
and UHF ranges [9]. Inspite of exhibiting broadband and
excellent radiation characteristics, the massive solid or shell
structure in biconical antennas made it impractical for
operation at most frequencies. This has been efficiently
overcome by triangular sheet [10] and bowtie antennas with
varying flare angles.
A lot of research was done on printed bowtie antenna with
different techniques in designing for various applications. A
new technique of introducing different slot sections in the
bowtie arms at different positions is reported in [11]. The
resultant geometry has shown multiband characteristics for
applications in wireless communications. The arms of the
printed bowtie antenna can be conveniently placed on either of
the top or bottom surfaces of the substrate. The choice of feed
can be either coaxial cable from the other side of the substrate
or coplanar waveguide with strip lines excited from the edges
of the substrate. The resonant frequency of a simple Bowtie is
reported as follows in [12].
A3 (3 / 4)3 A0 respectively.
2c m2 mn n 2
f
3a
III.
(a)
(d)
(0.15345 0.34 x) hce ( 1 )n for n 0

fr
c n
for n 0
0.26 he
he
An SPK has various flavors of construction. These variations

are observed with respect to rotation and scaling. The
multiband behavior of the fractal shaped SPK is described in
[13] and further a comparative study between the SPK
monopole and dipole is also presented in it. The resultant log
periodic behavior of the SPK is due to the self similarity
property of it.The SPK fractals have been well explored for
multiband and improved bandwidth applications [14,15].
(c)
B. Formulation for resonant frequencies

The analytical estimation of the resonant frequencies of a
Sierpinski monopole after 4 iterations is as mentioned below
by [16].
(1)
SIERPINSKI FOR MULTIBAND APPLICATIONS
(b)
Fig.1. Variation in area from (a) generation 1 and iteration 0 through (d)
generation 4 and iteration 3 in Sierpinski geometry.
Where
where m and n are modes of operation.
4
1
S
E
(2)
0, k 0
x
1, k 1
3S e
, Se S t ( r ) 0.5
2
and
=scale factor of the geometry, 1
0.230735
C. High Directivity and Broadbanding features of SPK

An excellent survey on the fractal shapes for
multiband and high directivity is presented in [1]. Also a wide
variety of SPK geometries have been well explored in it.The
392 of 446
resonating frequency in the case of patch is 5.67GHz, and in

the case of Classic Bowtie and SPK3- Bowtie are 4.65 GHz
and 4.18 GHz respectively. The resonant frequency has
dropped considerably from 5.67 GHz in patch to 4.65 GHz in
classic Bowtie and to 4.18 GHz in SPK Bowtie. This change in
resonant frequencies is in analogy with [24] in which a
thorough analysis for the similar geometry is performed using
Method of Moments in the lower (<2GHz) and upper
frequency regions.
high directivity features of Sierpinski triangles on classic

Bowtie are analyzed in [17]. The proposed structures are
further used in planar array and witnessed to have shown
better directivity characteristics than an ordinary planar array
of circular patches. This has been demonstrated in [18]. The
quest for multiband antennas have paved way to many
experiments. Some of them resulting in excellent radiation
characteristics. One such technique is to combine a dual band
with mono band characteristics using microstrip patch
antennas presented in [19]. Another method involves in
modifying the typical rectangular patch with fractal shapes
unlike modifying a fractal alone. This has been effectively
implemented and thoroughly analyzed in [20]. In this work not
only a patch is modified at one of its edge but also attached
with an unmodified patch. This resulted in an enhanced
bandwidth in dual band antenna at all bands that a narrow
band MPA would produce. Furthermore in [21] a triangular
patch is employed. Two modified parasitic models are
obtained from the original TPA and stacked with it. This
method also produced enhanced bandwidth.
IV.
(a)
A. Simulation environment
A simple coaxial fed Square Patch antenna is designed with
a side length of a=40mm. The antenna is etched on a substrate
having thickness of 1.52mm and relative dielectric constant of
3.38 representing RO4003 material in HFSS with ground plane
equal to the size of substrate. This patch is fed by a coaxial
probe of 1mm thickness at 7mm from the center. A bowtie
geometry is formed from the patch as shown in the fig.2(a-c)
which is fed at 1.5mm from the center of the bowtie. After
three iterations the Sierpinski Bowtie which is fed at 2.5 mm
from the center is as shown in the figure. The effective CAD
tool integrated in HFSS is used to design these geometries.
HFSS uses Finite Element Method as a computational
technique to solve the electromagnetic problems. Though the
technique is time consuming, it is accurate with modified
meshing. There are some disadvantages even with this as there
is always a contrary issue in using rectangular mesh for
triangular geometries. To avoid this, the mesh cell size is
considered very low as possible to allow quick convergence.
4
1
(b)
S
E
(c)
Fig.3. Frequency vs Reflection Coefficient plots for (a) square patch, (b)
BOWTIE and (c) SPK-3 Bowtie
(a)
(b)
(c)
Fig.2. a)Square Patch Geometry, b)BOWTIE Geometry, c)SPK-3 on

Bowtie
B. Miniaturisation features of SPK Bowtie

The reflection coefficient plots for the above three
geometries in the upper frequency region (>3GHz) are shown
in the fig. 3(a)-(c). It can be read from the plots that the
Along with the decrease in electrical size from square patch to

SPK-3 Bowtie interestingly there is a decrease in resonant
frequency as mentioned in table I. This characteristic nature
enables this geometry to find its applications where small
antennas are required for low frequencies. The area of the
patch at low frequencies is large but, here we observe that
with fractal geometry the size has also come down along with
its frequency. This results in the miniaturization features of the
proposed fractal geometry.
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TABLE I.
VARIATION OF THE RESONANT FREQUENCY WITH THE

GEOMETRY
S.No
Geometry
1
2
3
Patch
Bowtie
SPK3-Bowtie
Dip Frequency
(GHz)
5.72
4.65
4.18
S11 (dB)
-44.68
-9.98
-17.53
C. Fabrication Details
The fabricated prototype is as shown in the figure. Agilent
8719ES model network analyzer is used for reflection
coefficient and VSWR measurements. Initially the cable
losses are nullified in open-cal conditions by calibrating it to
0dB. The start and stop frequencies are 2GHz and 6 GHz
respectively. The measured resonating frequency from the
reflection coefficient measurement is 4.38 GHz with S11 of
-12 dB and the corresponding VSWR is 1.7 which is well
below the desired level of 2. These measured values are in
good agreement with the simulated values of S11 which is
4.18 GHz.
(a)
(b)
(c)
(d)
4
1
(a)
S
E
I
(b)
Fig.4. Fabrication Details (a)SPK-3 Bowtie prototype and (b)Measurement

setup
(e)
(f)
Fig.5. 2D and 3D Radiation pattern diagrams of (a&b) patch antenna, (c&d)

BOWTIE antenna, (e&f) SPK3-Bowtie , for all and =00.
Directivity is one of the radio-electrical properties of an

antenna. In this work the high directivity behaviour of the
fractal SPK Bowtie antenna is compared with classic
euclidean one. Based on the Frequency vs Directivity plots
drawn for the Bowtie and SPK-3 Bowtie as shown in the
figures 6(a&b) the directivity values are tabulated in table 2. It
can be summarised from table II that the beam reduction in
SPK-3 Bowtie results in directivity of 7dB which is almost
twice that of square patch. This is due to the existence of a
fracton mode.
D. Radiation Chracateristics and High Directivity features

To support the dip frequencies and consider them as
resonant frequencies the reflection coefficient graphs alone are
not conclusive. Radiation pattern plots for the observed dip
frequencies are as shown in the fig.5(a-f). All the graphs have
shown similar trend of a patch antenna with one main lobe on
the upper sphere and no or minimal lobe on the backward
direction. The corresponding 3D radiation plots are given
adjacent to the 2D plots.
(a)
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(b)
Fig.6. Frequency vs Directivity plot for (a)Bowtie and (b)SPK Bowtie
TABLE II.
S.No
1
2
VARIATION OF DIRECTIVITY WITH GEOMETRY
Geometry
Bowtie
SPK3-Bowtie
V.
Directivity (dB)
3.5
7.0
CONCLUSION
From patch to Bowtie and further for each iteration the

resonating frequency decreases considerably with diminishing
surface area. At the same time there is an improvement in the
directivity and gain. This paves a way towards miniaturized
geometries with increased directivity. There is always a
complexity involved with the fabrication of these typical
antennas which can be minimized by proposing modified
structures of fractal shapes depending on the operating
frequency regions and bandwidth. A study of the trend of the
bandwidth with change in frequency would have a good scope
of future work from this step.
S
E
REFERENCES
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
[9]
Anguera, J., Puente, C., Borja, C. and Soler, J. 2005. Fractal Shaped
Antennas: A Review. Encyclopedia of RF and Microwave Engineering.
B. B. Mandelbrot, The Fractal Geometry of Nature, 1983 :W. H.
Freeman
Ahmed Najah Jabbar, "New Elements Concentrated Planar Fractal
Antenna Arrays for Celestial Surveillance and Wireless
Communications," ETRI Journal, vol. 33, no. 6, Dec. 2011, pp. 849-856.
L. Lizzi, R. Azaro, G. Oliveri, A. Massa, " Multiband Fractal Antenna
for Wireless Communication Systems for Emergency Management"
Journal of Electromagnetic Waves and Applications Vol. 26, Iss. 1, 2012
Werner, D. H., and P. L. Werner (1996), Frequency-independent
features of self-similar fractal antennas, Radio Sci., 31(6), 13311343.
Mushiake, Y., "Self-complementary antennas," Antennas and
Propagation Magazine, IEEE , vol.34, no.6, pp.23,29, Dec. 1992.
P. S. R. Chowdary, A. Mallikarjuna Prasad, P. Mallikarjuna Rao, and
Jaume Anguera, " Simulation of Radiation Characteristics of Sierpinski
Fractal Geometry for Multiband Applications," International Journal of
Information and Electronics Engineering vol. 3, no. 6, pp. 618-621,
2013.
K.J. Vinoy, K.A. Jose and V.K. Varadan, "Generalized design of multiresonant dipole antennas using Koch curves," Applied Computational
Electromagnetics Society Journal. pp. 22-31, vol 19, no. 1a, 2004
Constantine A. Balanis, Antenna Theory, 2ed, Wiley.
4
1
ACKNOWLEDGMENT
The first author would like to acknowledge the support
from Sri Raghu Kalidindi, Chairman, Raghu Educational
Institutions for his kind support.
[10] G.H.Brown and O.M.Woodward, Jr., "Experimentally Determined

Radiation Characteristics of Conical and Triangular Antenas," RCA
Rev., Vol. 13, No. 4, p. 425, December 1952.
[11] Tawk, Y.; Kabalan, K.Y.; El-Hajj, A.; Christodoulou, C.G.; Costantine,
J., "A Simple Multiband Printed Bowtie Antenna," Antennas and
Wireless Propagation Letters, IEEE , vol.7, no., pp.557,560, 2008.
[12] Rahim, M. K A; Aziz, M.Z.A.; Goh, C. S., "Bow-tie microstrip antenna
design," Networks, 2005. Jointly held with the 2005 IEEE 7th Malaysia
International Conference on Communication., 2005 13th IEEE
International Conference on , vol.1, no., pp.4.
[13] Puente-Baliarda, C.; Romeu, J.; Pous, R.; Cardama, A., "On the
behavior of the Sierpinski multiband fractal antenna," Antennas and
Propagation, IEEE Transactions on , vol.46, no.4, pp.517,524, Apr 1998.
[14] Anagnostou, D.; Chryssomallis, M.T.; Lyke, J.C.; Christodoulou, C.G.,
"Improved multiband performance with self-similar fractal antennas,"
Wireless Communication Technology, 2003. IEEE Topical Conference
on , vol., no., pp.271,272, 15-17 Oct. 2003.
[15] Yao Na; Shi Xiao-wei, "Analysis of the multiband behavior on
Sierpinski carpet fractal antennas," Microwave Conference Proceedings,
2005. APMC 2005. Asia-Pacific Conference Proceedings , vol.4, no.,
pp.4 pp.,, 4-7 Dec. 2005.
[16] Mishra, R.K.; Ghatak, R.; Poddar, D.R., "Design Formula for Sierpinski
Gasket Pre-Fractal Planar-Monopole Antennas [Antenna Designer's
Notebook]," Antennas and Propagation Magazine, IEEE , vol.50, no.3,
pp.104,107, June 2008
[17] Jaume Anguera, Carles Puente, Carmen Borja, Raquel Montero, and
Jordi Soler, Small and High Directivity Bowtie Patch Antenna based on
the Sierpinski Fractal, Microwave and Optical Technology Letters,
vol.31, n3, pp.239-241, Nov 2001.
[18] Jaume Anguera, Gemma Montesinos, Carles Puente, Carmen Borja, and
Jordi Soler, An Under-Sampled High Directivity Microstrip Patch
Array with a Reduced Number of Radiating elements Inspired on the
Sierpinski Fractal, Microwave and Optical Technology Letters, vol.37,
n2, pp.100-103, April 2003.
[19] Jaume Anguera, Enrique Martnez, Carles Puente, Carmen Borja, and
Jordi Soler, Broad-Band Triple-Frequency Microstrip Patch Radiator
Combining a Dual-Band Modified Sierpinski Fractal and a Monoband
Antenna, IEEE Transactions on Antennas and Propagation, vol.54,
n11, pp.3367-3373, Nov.2006
[20] Jaume Anguera, Carles Puente, Carmen Borja, and Jordi Soler, Dual
Frequency BroadBand Stacked Microstrip Antenna Using a Reactive
Loading and a Fractal-Shaped Radiating Edge, IEEE Antennas and
Wireless Propagation Letters vol.6, pp. 309-312, 2007.
[21] Jaume Anguera, Enrique Martnez, Carles Puente, Carmen Borja, and
Jordi Soler, BroadBand Dual-Frequency Microstrip Patch Antenna
With Modified Sierpinski Fractal Geometry, IEEE Transactions on
Antennas and Propagation, vol. 52, n1, pp.66-73, Jan. 2004
Authors
P Satish Rama Chowdary received M.Tech in Radar and
Microwave Engg from Andhra University in the year 2009. He is
currently pursuing PhD in Department of Electronics &
Communication Engg, JNTUK, Kakinada, AP. He is working in
the Department of ECE, Raghu Institute of Technology, Visakhapatnam, AP.
His area of interest includes Computational Electromagnetics and Antennas.
He is a Life Member of Institute of Electronics and Telecommunication
Engineers (IETE),and Instrument Society of India(ISI).
A.Mallikarjuna Prasad did his B.Tech in ECE from Nagarjuna

University, during 1984-88. He did his M.Tech in
Electronics&Instrumetation from Andhra University in 1992 and
completed his Ph.D in 2009 from JNTU in the field of Antennas.
He has joined JNT University service as Associate Professor of ECE in June
2003. He got promoted as Professor in ECE during Nov 2011.He has 20
publications in various International and National Journals and conferences.
His areas of interest includes Antennas and Bio-Medical Instrumentation.
395 of 446
He is a Life Member of Society of EMC Engineers (India), Indian

Society for Technical Education (ISTE), Intitute of Electronics and
Telecommunication Engineers (IETE),and Instrument Society of India(ISI).
He won best teacher award by student evaluation of 2008 batch.
P. MallikarjunaRao, received B.E, M.E and PhD degrees from
Andhra University, Visakhapatnam. He is a recipient of Best
PhD Award during 1999. He joined as Assistant Professor in the
Department of ECE, Andhra University in 1990 and became
Associate Professor in 1994 and Professor in 2002. He is
Chairman, Board of Studies, ECE, Andhra University. Prior to this he served
as Assistant Professor in SRKR College of Engineering, Bheemavaram during
1985-90. His areas of interest includes Antennas and Bio Medical Signal
Processing. He has 19 International Journal publications and 31 International
and National Conferences papers.
Prof P.Mallikarjuna.Rao is a fellow of Intitute of Electronics and
Telecommunication Engineers (IETE). He is a Life Member of Society of
EMC Engineers (India) and Indian Society for Technical Education (ISTE).
Jaume Anguera, was born in Vinars,Spain, in 1972. He received the

Technical Ingenierodegree in electronic systems and Ingeniero
degreein electronic engineering, both from the RamonLlull
University (URL), Barcelona, Spain, in 1994and 1997,
respectively, and the Ingeniero and Ph.D.degrees in
telecommunication engineering fromthe Polytechnic University
of Catalonia (UPC),Barcelona, Spain, in 1998 and 2003, respectively. He
published more than 150 papers in National, International Journals and
Conferences. He has chaired for many International and National conferences
organized by URSI, IEEE etc. He has 70 granted patents, 50 patent
applications and 31 patent families. He is reviewer of many international
journals like IEEE, IEE Electronics Letters, PIERS, ETRI etc. He is the author
of books titled "Antenna Theory" and "Antennas: An interactive approach".
Since 2005, he is leading a research in antenna for handset and wireless
devices in the frame of University-Industry collaboration with Fractus, S.A.
and University Ramon Llull. He has been participating in 10 national projects,
as principal investigator in some of them.
4
1
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396 of 446
Power Quality Improvement Using DPFC Under

Fault Condition
Santosh Kumar Gupta
Shelly Vadhera
M.Tech. Student, Department of Electrical Engineering

santoshgupta1990@gmail.com

dc-link which is an interconnection between series and shunt
convertors. Therefore any failure that happens at one converter
will influence the whole system.
AbstractIn this paper power quality issues are improved

using distributed power flow controller. The DPFC is basically
derived from the unified power-flow controller and the DPFC
has the same control capability as the UPFC. The UPFC can be
replaced by the DPFC with elimination of common dc link. In the
DPFC active power takes place between the shunt and series
converters through the transmission lines at the 3rd harmonic
frequency. The DPFC employs the distributed FACTS idea,
which is to use multiple small-size single phase converters instead
of the one large-size three-phase as in UPFC. So the cost of the
DPFC system is lower than the UPFC. The dynamic performance
of the DPFC has been studied in this paper by considering
symmetrical three phase fault near to the load end. The proposed
detection method of fault condition is based upon vector control
technique. The existence of difference between Vector values of
reference and actual grid voltages shows voltage sag and it is
consider as require vector value of injected voltage by the DPFC.
Finally MATLAB/SIMULINK results indicate improved
performance in voltage sag mitigation, notable reduction in
harmonic of load voltage and enhance power flow control.
KeywordsDPFC, load voltage harmonic reduction, power
flow control, sag mitigation.
I.
Grid
AC
The emphasis on high quality electrical power is owing to

increase in electricity requirements and also due to increase in
non linear loads and in number of non-linear loads in power
grids [1]. Flexible alternating current transmission system
(FACTS) and custom power devices, improves power quality
improvement progressively [2]. The effective FACTS device
is one which can simultaneously control all system parameters:
the bus voltage, the transmission angle and the line impedance.
The unified power-flow controller (UPFC) is the most
powerful FACTS device, which can simultaneously control all
the above system parameters [3]. The UPFC is the combination
of a static synchronous compensator (STATCOM) and a static
synchronous series compensator (SSSC), both are linked via a
common dc link, to permit bidirectional flow of active power
between output terminals of the SSSC and the STATCOM are
shown in Fig. 1. The UPFC converters can independently
generate or absorb reactive power at its own ac terminal. The
two converters are operated from a dc link provided by a dc
storage capacitor. But in practice the UPFC is not widely
applied, because firstly the components of the UPFC handle the
currents and voltages of high rating; so, the total cost of the
system becomes very high and secondly due to the common
AC
Fig. 1. Block representation of a UPFC.
The UPFC can be considered as a DPFC with an

elimination of common dc link between series and shunt
convertor as shown in Fig. 2. And the active power exchange
between the shunt and the series converter is now through the
transmission line at the 3rd harmonic frequency [4].
4
1
S
E
INTRODUCTION
DC
DC
UPFC
Elimination
of common
dc link
Distributed
series
convertors
DPFC
Fig. 2. Conversion from UPFC to DPFC.
The DPFC has two major advantages over the UPFC: 1)

low cost because of the low voltage isolation and the low
component rating of the series converter and 2) high reliability
because of the redundancy of the distributed series converters.
The structure of the DPFC is derived from the UPFC structure
that which includes one shunt converter and number of small
independent series converters, as shown in Fig. 3.
In this paper a symmetrical fault is considered near the load
end. By taking appropriate controlling parameters of DPFC
and using vector value comparison technique, the DPFC
mitigates the load voltage sag as well as reduces the load
voltage harmonics in seconds. Further the dynamic
performance of DPFC is studied and results indicate
improvement in power quality and enhanced power flow
control.
Transmission line
Grid
AC
AC
DC
DC
AC
AC
AC - - - AC
AC
DC
DC
DC
DC
DC
Series convertors
Shunt
convertor
Fig. 3. Simplified DPFC structure.
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Grid
High pass
filter
II.
OPERATING PRINCIPLE OF DPFC
There are two approaches that applied to the UPFC for

modelling of DPFC.
A. Elimination of DC Link
In case of DPFC, the transmission line is used as a
connection between the dc terminal of shunt converter and the
ac terminal of series converters, instead of direct connection
using dc-link for power exchange between converters. The
method of power exchange in DPFC is based on power theory
of non-sinusoidal components [4]. Based on Fourier series, a
non-sinusoidal voltage or current can be presented as the sum
of sinusoidal components at different frequencies. The product
of voltage and current components provides the active power,
since the integral of some terms with different frequencies are
zero. Mathematically the active power is given as following:
harmonic frequency from transmission line and inject it back

into the line at fundamental frequency as per disturbances.
P Vi I i cos
Active power at fundamental frequency
Active power at hormonic frequency
Grid
AC
DC
Fig. 4. Active power exchange between converters of DPFC.
C. The DPFC Advantages

The DPFC has some advantages over UPFC, as follows:
High Control Capability
The DPFC alike UPFC, can control all parameters of

transmission network, such as line impedance, bus voltage
magnitude and transmission angle.
(1)
High Reliability
The distributed series converters redundancy increases the

DPFC reliability during these converters operation. It means, if
one of distributed series converters fails, the other converters
can continue to work.
Low Cost
4
1
The single-phase distributed series converters rating are less

than one three-phase converter. Furthermore, the series
converters do not need any high voltage isolation in
transmission line connecting in the DPFC; single-turn
transformers can be used to floating the series converters.
S
E
Grid
High
pass
filter
Series convertors
Shunt
convertor
i 1
From (1) the active power at different frequencies are

independent from each other and the voltage or current at
one frequency has no influence on the active power at other
frequencies. After applying the above concept to the DPFC,
the shunt converter can take active power from the grid at the
fundamental frequency and inject the power back to grid at a
harmonic frequency as shown in Fig. 4. The transmission line
carries dual power one at fundamental frequency and other at
3rd harmonic frequency, using superposition theorem both
power can be attained. The high-pass filter in the DPFC
structure blocks the fundamental frequency components and
allows the harmonic components to pass in ground, thereby
providing a return path for the harmonic components. The
series and shunt converters, the ground, and the high-pass
filter form the closed loop for the harmonic current. Due
to the unique characters of 3rd harmonic frequency
components, it is selected to exchange the active power
between series and shunt convertors in the DPFC. The reasons
to select 3rd harmonic for exchange of active power between
shunt and series convertors are as following:
Higher transmission frequencies will cause high
impedance and lead to an increase of voltage level of
converters.
The third harmonic in each phase is identical in a
three-phase system.
The third harmonic is same as the zero-sequence. The
zero sequence current can be naturally blocked by Y
transformers there is no any requirement of costly
filter to block of harmonic current from receiving
end.
B. Distributed Series Converters Concept
For a lower cost and higher reliability, the distributed
FACTS was invented [5]. Distributed FACTS device (DFACTS) is the concept to use multiple low-power
converters attached to the transmission line by single turn
transformers [6]. The converters are hanging on the line so
that no costly high voltage isolation is required. The
distributed series convertors take the active power at 3rd
AC
AC
AC
AC - - - DC
DC
DC
DC
AC
AC
DC
DC
III.
CONTROL OF DPFC
The DPFC consists of following types of controllers to

control the converters:
A. Central Control
The central control generates the reference signals for both
the shunt and series converters of the DPFC as shown in Fig.
5. Its control function depends on the specifics of the DPFC
application at the power system level. By using concept of
single phase to d-q transformation, according to the system
requirements, the central control provides corresponding
current reference signal for the shunt converter and voltage
reference signals for the series converters [7]. All the
reference signals for series and shunt convertors generated by
the central control concern the fundamental frequency
components.
Transmission line
Grid
AC
DC
AC
AC
DC
DC
AC
AC - - - AC
AC
DC
DC
DC
DC
Central
control
Shunt
control
Ish ref 1
Series
control
Series
control
Grid
High
pass
filter
Series
control
Vse ref 1
Fig. 5. DPFC central control block diagram.
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B. Series Control
Every series converter has its own series control. The
controller is used to maintain the dc capacitor voltage of its
own converters, by using 3rd harmonic frequency components,
in order to generate series voltage at the fundamental
frequency as needed by the central control. The controller
inputs are line current, series voltage reference in the d-q
frame, and series capacitor voltages. The 3rd harmonic
frequency control is the main control loop with the DPFC
series converter control as Fig. 6. Vector control principle is
used for the dc voltage control [7].
difference between them , this value is considered as the

dq0 values of DPFC required to inject.
IV.
The whole model of system under study is shown in Fig. 8

and Fig. 9. This system contains two three-phase identical
sources one is at sending end and other is at load end, a
nonlinear RLC load is connected at load end and transmission
line of 100 km length. The DPFC is placed in transmission
line, in which the shunt converter is connected to the
transmission line in parallel through a -Y three-phase
transformer, and series converters are distributed among the
line. The system parameters are listed in Appendix Table I. To
simulate the dynamic performance of DPFC, a three-phase
fault is considered near the load end. The time duration of the
fault is from 0.2 seconds to 0.3 seconds. As shown in Fig. 10,
significant voltage sag is observable during the fault, without
any compensation (without DPFC). The voltage sag value is
about 0.5 per unit. After adding a DPFC, load voltage sag can
be mitigated effectively, as shown in Fig. 11.
3rd homonicfrequency control loop

Vdc,se,ref
Refv series 1st

dc controller
Vdc,se
Refv series 3rd
From local
measurement
Single
phase
inverse dq
Vse,ref,3
+
+
3
3rd pass i3 Single 1
3
filter
phasePLL
Vse,ref
PWM
Gen.
To
convertor
From central controller
Vse,ref,1
Fig. 6. DPFC series converter control.
C. Shunt Control
The main objective of the shunt control is in order to inject
a constant 3rd harmonic current into the transformer neutral to
supply active power for the series converters. At the same
time, shunt control maintains the dc capacitor voltage of the
shunt converter at a constant value by taking active
power from the grid at the fundamental frequency and
injecting the required reactive current at the fundamental
frequency into the grid [8]. The fundamental frequency
components control has two cascaded controllers to generate
3rd harmonic current. The current control is the inner control
loop, which modulates the shunt current at the fundamental
frequency. And dc controller control loop is used to maintain
constant dc capacitor voltage.
Vsh,3,d
From central
controller
From
measurement
Ish,3,ref
Vs
Current
control
PLL
Single
phase
inverse dq
Vsh,3,q
1st frequency control loop

Ish,ref,1,d
Vsh,1,d
Vdc,sh
dc
Current
control
Inverse
Ish,ref,1,q control Vsh,1,q
From central
dq
+
+
4
1
S
E
3rd frequency control loop
IMPROVEMENT OF POWER QUALITY WITH DPFC
Fig. 8. Simulation model of system without the DPFC.
PWM
Gen.
To
convertor
controller
From local
measurement
Vs
PLL
Fig. 7. Shunt converter control.
D. Method of sag Detection and Determination

In this paper the detection of voltage sags and
determination of the three single phase reference voltages of
the DPFC are done by proposed vector value comparison
technique. In the first step of this method the line to neutral
voltage of the grid in the sag condition is transformed
from abc coordinate system to vector (dq0) system.
Secondly, the dq0 values of actual and reference line to neutral
grid voltages are compared, if there is existence of the
Fig. 9. Simulation model of system with the DPFC.
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STUDY OF SIMULATION RESULTS
Vload [ p.u.]
V.
(a)
Voltage sag during fault
Time(sec.)
V load [ p .u .]
Fig. 10. Three-phase load voltage sag waveform during fault.
(b)
Fig. 13. Load voltage. (a) Signal selected for calculating THD with DPFC.
(b) THD with DPFC.
Mitigation of voltage sag

Time(sec.)
Vdc(kvolts)
Fig. 11. Mitigation of three-phase load voltage sag with DPFC.
The load voltage harmonic analysis without presence of

DPFC is illustrated in Fig. 12. It can be seen, after DPFC
implementation in system, the even harmonics are eliminated,
the odd harmonics are reduced within acceptable limits, and
total harmonic distortion (THD) of load voltage is minimized
from 0.12 to 0.01 percentage (Fig. 13), i.e., the standard THD
is less than 5 percent which is according to IEEE standards.
The shunt convertor voltage is almost constant as shown in
Fig. 14 which provides the active power for series convertors.
Time(sec.)
S
E
(a)
4
1
Fig. 14. Voltage across the capacitor of shunt converter.
VI.
CONCLUSION
This paper presents, the voltage sag mitigation using a new

FACTS device called distributed power flow controller
(DPFC) using vector value comparison technique. The
structure of DPFC is similar to unified power flow controller
(UPFC) and has a same control capability to balance the line
parameters, i.e., the bus voltage, the transmission angle and
the line impedance. However, the DPFC offers some
advantages, in comparison with UPFC, such as high control
capability, high reliability, and low cost. The DPFC is
modelled using three control loops. The system under study is
a two machine infinite-bus system, with and without DPFC.
To simulate the dynamic performance of DPFC, a three-phase
fault is considered near the load end. It is shown that the
DPFC has an acceptable performance in power quality
improvement and for power flow control.
APPENDIX
TABLE I.
THE SIMULATED SYSTEM PARAMETERS
Symbols
Descriptions
Value
Unit
Rated frequency
60
Hz
(b)
Vs
KV
Vr
Nominal voltage of sending end

s
Nominal voltage of receiving end
r
X/R ratio of three phase sources
230
Fig. 12. Load voltage. (a) Signal selected for calculating THD without DPFC.
(b) THD without DPFC.
230
KV
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[2]
Continue of Table I
Ps
R
L or C
Psh
Transmission angle between s

and r
Rated power of three phase
source
Line length
Line resistance
Line inductance/ capacitance
reactance
Shunt transformer nominal power
DC link capacitor
Series coupling transformer turns
ratio
Three phase fault type
Fault resistance
degree
100
MW
100
0.012
0.12/0.
12
60
1800
5:25
km
pu/km
pu/km
ABC
0.111
[3]
[4]
[5]
MVA
F
[6]
Ohm
[7]
REFERENCES
[1]
Y. H. Song and A. Johns, Flexible AC Transmission Systems (FACTS)

(IEE Power and Energy Series), vol. 30, London, U.K.: Institution of
Electrical Engineers, 1999.
[8]
N. G. Hingorani and L. Gyugyi, Understanding FACTS : Concepts And

Technology of Flexible AC Transmission Systems. New York: IEEE
Press, 2000.
L. Gyugyi, C. D. Schauder, S. L. Williams, T. R. Rietman, D. R.
Torgerson, and A. Edris, The Unified Power Flow Controller: A New
Approach to Power Transmission Control, IEEE Trans. Power Del.,
vol. 10, no. 2, pp. 10851097, Apr. 1995.
Zhihui Yuan, Sjoerd W.H de Haan, Braham Frreira and Dalibor Cevoric
A FACTS Device: Distributed Power Flow Controller (DPFC), IEEE
Trans. Power Electronics, vol. 25, no. 10, Oct. 2010.
Deepak Divan and Harjeet Johal, Distributed FACTS A New Concept
For Realizing Grid Power Flow Control, IEEE Power Electronics
Specialists Conference, pp. 8-14, June 2005.
M. D. Deepak, E. B. William, S. S. Robert, K. Bill, W. G. Randal, T. B.
Dale, R. I. Michael, and S. G. Ian, A Distributed Static Series
Compensator System For Realizing Active Power Flow Control on
Existing Power Lines, IEEE Trans. Power Del., vol. 22, pp. 642-649,
Jan. 2007.
Salaet, J. Alepuz, S. Gilabert and A. Bordonau, DQ Transformation
Development For Single Phase Systems to Compensate Harmonic
Distortion And Reactive Power, IEEE Power Electronics Specialists
Conference, pp. 177-182, Oct. 2004.
K. Ramya and C. Christober Asir Rajan, Analysis And Regulation of
System Parameters Using DPFC, IEEE International Conference on
Advances in Engineering, Science And Management (ICAESM), pp. 505509, March 2012.
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1
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Benchmarking and Analysis of the User-Perceived

Performance of EPICS based ICRH DAC
Ramesh Joshi
Manoj Singh
PG Student [IT], Shantilal Shah Engineering College,

Engineer-SD, Institute for Plasma Research, Gandhinagar
Gujarat, India
rjoshi@ipr.res.in
Engineer-SE, Institute for Plasma Research, Bhat Village,

Gandhinagar
Gujarat, India
parihar@ipr.res.in
Kiran Trivedi
S V Kulkarni
Asso. Prof., EC Engg., Shantilal Shah Engineering College,

Bhavnagar,
Gujarat, India
krtrivedi@gmail.com
Scientist-SG, Institute for Plasma Research, Bhat Village,

Gandhinagar
Gujarat, India
kulkarni@ipr.res.in
Abstract VME based Ion Cyclotron Resonance Heating

(ICRH) Data Acquisition Control system (DAC) is commissioned
for remote operation of heating experiment on SST-1 tokamak.
ICRH-DAC is physically distributed into two sections at RF Lab
and SST-1 hall. RF Generation section at RF Lab and
Transmission line, interface and antenna section at the SST-1
hall having its own independent Versa Module Euro card (VME)
based DAC. Linux client software of both DACs have been
connected with Ethernet. Master DAC client acts as
Experimental Physics and Industrial Control System (EPICS)
Input/ Output Controller (IOC) server which is used for Slave
DAC client communication for parameter exchange during
experiment. This paper describes the benchmarking result of the
user-perceived performance of EPICS based ICRH DAC and an
analysis of the performance optimization. We give an
interpretation of the performance data, and further analyze them
with respect to the memory subsystem, CPU speed and the
specific implementation of networking protocols. Thorough
analysis enables us to identify the performance bottlenecks and
approaches to improve the performance. We also programmed
system in a way to better accommodate these Channel access
layer provided by EPICS.
I.
ICRH SYSTEM
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I
KeywordsVME; ICRH; EPICS; DAC; IOC, Optimization
heating at high density, and established technology for high

power handling at low cost. For the same reason 1.5-Megawatt
ICRH system is developed for Steady State Superconducting
tokamak (SST-1). 1.5 MW of RF power is to be delivered to
the plasma for pulse lengths of up to 1000 second [1]. The
block diagram of the integrated ICRH system has shown in the
figure-1. The first block named RF Source will generate RF
Power as per the requirement with different frequencies for the
experiment. This operation remotely controlled by Master
DAC system and the other part means generated power
transmission with matching network and antenna diagnostics
would be controlled and monitored by slave DAC system.
There is hardware as well as software interlock have been
implemented and tested before experiment and maintained
periodically [2, 3]. The master DAC has been installed at RF
Lab to control and monitor the RF generator system, which are
provides RF power at 22 - 25 MHz, 45.6 MHz and 91.2 MHz
frequencies. All the signals coming from different stages have
been connected through front end electronics and signal
conditioning which ends at VME terminal end. The application
allows control of a variety of hardware, ranging from
straightforward, continuous data streaming of a few channels to
multi-rack based data acquisition instruments. Slave DAC
system is responsible to control and monitor RF transmission
and diagnostics using two transmission lines matching system
followed by Interface sections and antenna diagnostics. Slave
DAC server get triggered with the trigger pulse provided by the
Master DAC either by external hardware or software. One
single line transmits the power from the RF generator to the
two antenna boxes placed at diametrically opposite radial ports.
II.
Fig. 1. ICRH Block diagram
ICRH is a promising heating method for a fusion device

due to its localized power deposition profile, a direct ion
INTEGRATED DAC APPROACH
A. Architecture
Integrated DAC system block diagram has been shown in
figure-2. Both DAC systems have been connected with
Ethernet communication and hardware link for fast controller
trigger line. The acquisition of the data during experiment
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would be done at very fast scale like 1 KHz. This process will
follow the cycle like the VME processor board will get data
from the analog or digital board register memory buffer. At the
time of shot the data would be available at the digitizer cards.
After shot the data would be demanded by the Linux user
interface the socket communication is been established and the
packet structure wise data have been available on Ethernet. The
processor board will store the data in buffer memory from the
digitizer board using messages queue implemented by
program. Linux terminal will take the data from that buffer
using Ethernet network. The data will be acquired (stored) on
user interface computer by the GNU socket library program.
B. Database Concept
application software that offers a satisfying solution for

measuring, processing tasks and secondary development
software which is a powerful technology that allows software
integrators and application uses to customize and automate the
application software. Several extensions provided with EPICS
could also be used for alarm handler, interlocking and alarming
mechanism implementation. We could also able to use the CSS
Best Opi Yet (BOY) for the user interface development which
provides the XML based markup language integration with
bundled widget options and integration based on Eclipse
platform. Certain aspects of the existing EPICS communication
software interfaces appear to be important facilitators for
advanced toolkits. Software interfacing with systems capable
of independent actions needs interfaces that can generate an
asynchronous response synchronized with external events.
Fig. 2. Block diagram of integrated DAC systems
(Modal data system) MDSplus is a data management

system used in several Nuclear Fusion experiments to handle
experimental and configuration data [4]. The MDSplus system
has been successfully adopted in many fusion experiments for
data acquisition, storage and access [5,6]. MDSplus has been
implemented with ICRH DAC for data acquisition during the
experiments required to use acquired data in the active control
of the experiment [7]. We could use Channel Archiver tool for
binary data storage of process variable to MDSPlus database.
The Channel Archiver [8] is a generic periodic sampling
toolset for EPICS. Using the EPICS Channel Access (CA)
network protocol [9], it can collect real-time data from any CA
server on the network. The Channel Archiver acts as a Channel
Access Client and stores recorded data, acquired via periodic
scan or monitored, into indexed binary files [10]. The acquire
data at the slave DAC will be done with the shot number at
slave DAC which is embedded with master DAC shot number
for synchronization. Shot detail form master DAC broadcast
the required variable which gives information in real time to
slave DAC for diagnostic data acquisition. We have also used
cython package for the load shared object module as dynamic
library which was made using C program for socket
communication with fast controller [11].
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III.
EPICS IMPLEMENTATION
The EPICS software [12] was originally designed to be tool

based approach to process control and this continues to be its
primary application. An infrastructure that encourages proper
design of distributed software systems is also important. For
example, in multi-threaded distributed systems, toolkit needs
communication software interfaces designed to avoid
application programmer introduced mutual exclusion
deadlocks. The EPICS based software tools includes
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Fig. 3. Integrated Architecture of connected DAC system
The requirement of different channel IOs have been catered

with the EPICS base module installation at Linux terminal. To
make user interface the state notation language (XML) has
been used with CSS IDE and assign required field widgets with
respective process variables. The signal naming has been
specified at the ICRH:<signal_name>. Using softIOC module
we have broadcasted the process variables (PVs). XYgraph has
been chosen for monitoring the voltage and current signals.
Python script has been used for the periodic assignment of the
channels process variables using caput command for apply
periodic new value to the respective process variable. Separate
python script is running periodically using execute command
function provided on action button click event. In this script we
have used pyepics [13] package and import epics as python
module and will able to process caget and caput command as
per requirements.
The fast fiber optic trigger network will give trigger pulse
to fast controller at Master DAC. This fast controller get
triggered that will trigger the fast controller at RF transmission
DAC fast controller. As fast controller triggered the digitizer
card buffer memory will get filled with the given on-time
reference time. This data will be acquired by the Linux
terminal user interface program with acquire button by socket
command using Ethernet. The integrated architecture of both
DAC systems has been shown in figure-3. Master DAC will be
communicated by Central Control System (CCS)
communication with details of shot number and experimental
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parameters by Ethernet based communication program and

time synchronization by Network Time Protocol (NTP) from
Master GPS timer. Master DAC will communicate with slave
DAC system with EPICS process variables [14]. Data acquired
at master DAC have been sent to the slave DAC and that will
acquire data accordingly.
IV.
PERFORMANCE ANALYSIS
Communication performance is bounded by the channel

access protocol, TCP/IP packet overhead, and the physical
communication media. Channel access makes efficient use of
the communications overhead, by combining multiple requests
or responses. To avoid collisions and therefore avoid nondeterminism, the Ethernet load is kept under 30% [18]. At this
level, we can issue 10,000 monitors per second. Use of LAN
bandwidth can reduce by 50%-80% by changing the channel
access protocol to variable command format and compressing
the monitor response data (~ 6-15 bytes per packet). In JTEXT, EPICS provides improve productivity with channel
access [19]. SPIDER tokamak has also support same kind of
implementation with performance [20].
Fig. 4. IOC CPU Load at 10 Hz Scan Rate
The IOC provides the physical interface to a portion of a

machine. The limiting factors in the performance of the IOC
are the CPU bandwidth and memory. It is important to note
that most signals are not monitored by channel access clients
and that monitors are only sent on change of state or excursion
outside of a dead-band. In addition, records can be processed
on end-of-conversion and change-of-state. For analog inputs,
scanning on end-of-conversion significantly reduces the
latency between gating a signal and processing the record. The
database scanning is flexible to provide optimum performance
and minimum overhead. For time measurement, we set a
monitor PV, and the PV can automatics change its value at
regular time intervals. ITER Control Data Access and
Communication (CODAC) has identified for the development
platform [15]. Instead of using the original EPICS IOC [16,
17], we decided to develop our own EPICS software toolkit,
custom implementation, which is capable of building EPICS
Channel Access (CA) server and client programs.
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Fig. 6. Memory Utilization at 10 Hz Scan Rate
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Fig. 7. Utilization with Different User Interfaces
Fig. 5. Network Utilization at 10 Hz Scan Rate
Channels as process variables have been broadcasted every

required time period so when the shot is applied to master
DAC, the information has been automatically available to slave
DAC on same network. There is no need to run separate thread
for this purpose and lightweight process of broadcasting
process variable will be accomplished easily. A prototype
system has been developed for the same. One EPICS based
prototype has been about to complete by which we can produce
results and check performance parameters with standard
optimization results. We ran the benchmark with the scanning
period of 1, 0.5, 0.2, 0.1, and 0.01 second, which corresponds
to 100, 200, 500 and 1000 processed records/sec. Tables 1 and
2 show the IOC CPU usage and network utilization
respectively. Linux System monitor was used to measure the
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CPU and memory usage, and the Wireshark network Analyzer

tool was used to measure the network segment utilization.
TABLE I.
Record Processed (100 ms)
CPU Load (%)
CONCLUSION
IOC CPU LOAD
The EPICS toolkit provides an environment for

implementing systems that range from small test stands
requiring several hundred points per second to large distributed
systems with tens of thousands of physical connections. The
EPICS environment supports system extensions at all levels,
enabling the user to integrate other systems or extend the
system for their needs. The base software is also being
extended to support some of the fundamental needs of the
projects that are controlling user facilities. In IOC, either CPU
or memory may become the bottleneck depending on number
of PVs, clients, and scan rate. However the scalability of
EPICS allows a redistribution of databases and
applications to balance the load. Network overhead can be
removed with EPICS light weight broadcasting mechanism
with the help of channel access layer.
0
2
100
4.3
1000
22.7
During Shot
90
If the record of process variables would be broadcasted

than the CPU utilization for every 100 millisecond we can get
Table-1 results. If the record of process variables would be
broadcasted in the network at every 100 millisecond we can get
Table-2 results. During shot each connected sub systems are
working together and client computer acquires data from fast
real-time server which increase the CPU load up to 90 percent
and network load up to 82 percent as shown in both the table
last column. After completion of the experimental shot it come
down to the normal state.
REFERENCES
TABLE II.
NETWORK UTILIZATION
[1]
Record Processed (100 ms)

Network Load (%)
0
0.89
100
4
1000
12
During shot
82
Another interesting observation is that while running the

user interface of TCL/TK and CSS OPI both has not make
significant change effect on memory. The parameter of CPU
utilization with CSS OPI user interface is slightly lower than
while running existing system with TCL/Tk.
[2]
[3]
[4]
[8]
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E
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CSS Opi for User Interface Development

Intel Core i5 with Fedora OS 14
100 MBPS Ethernet segment
[6]
[7]
4
1
A. The following system setup was used for the EPICS

benchmark database measurements
EPICS version 3.14.12.2
PC with Linux OS
[5]
Engineering design report (EDR) of ICRH-SST1; SST-2.03-050199-RF

Group, 2000
Durodie F., Veriver M.; European physics society (EPS), 1992,p 81
D. Bora et al ,Nucl. Fusion 46 (3), 2006
J.Stillerman, T.Fredian, The MDSplus data acquisition system, current
status and future directions, Fusion Engineering and Design 43,1999,
301308.
T. Fredian, J. Stillerman, G. Manduchi, MDSplus extensions for long
pulse experiments, Fusion Engineering and Design 83,2008, 317320.
MDSPlus online reference http://www.mdsplus.org
Ramesh Joshi et al. EPICS and MDSplus integration for ICRH data
acquisition, International Journal of Computer Science Research and
Application, 2013
L.R. Dalesio et al, Data Archiving in Experimental Physics,
ICALEPCS97, Beijing,1997.
J.O. Hill, Channel Access: A Software Bus for the LAACS,
ICALEPCS 89, Vancouver,1989.
Manduchi G et al New EPICS channel archiver based on MDSplus data
system IEEE Transactions on Nuclear Science,2011
Ctypes Python Package, http://python.net/crwe/theller/ctypes/.
EPICS Home Page. [Online] Available http://www.aps.anl.gov/epics
PyEpics
Python
Package,
http://cars.uchicago.edu/software/python/pyepics3/
Ramesh Joshi et al. Conceptual design of EPICS based implementation
for ICRH DAC system, Conference preceding Springer,2013
The
Plant
Control
Design
Handbook,
http://www.iter.org/doc/www/edit/Lists/
WebsiteText/Attachments/94/PCDHv.61.pdf
Experimental Physics and Industrial Control System Home
Page, http://www.aps.anl.gov/epics/
Paulo Carvalhoa, et al., EPICS IOC module development and implementation for the ISTTOK machine subsystem operation and
control, Fusion Engineering and Design 86,2011,10851090.
Nemzow, M., "Keeping the Link: Ethernet: Ethernet Installation and
Management", Magraw-Hill Book Co., pp. 219-220.
Wei Zheng et al. J-TEXT-EPICS:An EPICS toolkit attempted to
improve productivity, Fusion Engineering and Design 88,2013,30413045
Architecture of SPIDER control and data acquisition system, A.
Luchetta et al., Fusion Engineering and Design 87,2012,1933-1939
It should be noted that resource usage depends not only

on the total number of records processed/sec but also on the
number of channel access (CA) clients. This was measured
by running several copies of the benchmark display. Fig. 4
to Fig. 6 show resource usage vs. number of connected CAs.
In all cases the 10 Hz scan rate was used. Thus for 100 CA
clients 1000 records/sec were processed. Fig. 7 shows the
memory, network and CPU utilization with different options of
user interface like only broadcasting of PVs, with TK interface,
with CSS interface and both interface simultaneously running.
CSS provides facility with Java and python programming which
gives more reliability and one can develop platform independent
programming using Java.
[9]
[10]
[11]
[12]
[13]
[14]
[15]
[16]
[17]
[18]
[19]
[20]
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Power Flow Control in Smart Micro Grid

using Fuzzy Controllers
Saurabh Kumar Singh
Shelly Vadhera
M.tech Student, Department of Electrical Engineering

91tsst@gmail.com

Abstract In this paper the use of fuzzy controllers for active

power flow control in smart micro grid is studied. Micro grid is
considered as separate entity of a self-regulated power system
which can operate as a single load. The paper highlights the use
of fuzzy controllers for controlling the change in power and
limiting the power flow at point of common coupling. Further
with controlled entities, the different controllers used in single
area micro grid regulate the frequency also. The simulation done
in Matlab/Simulink indicates notable improvement in active
power flow, frequency regulation and as well as stabilizes the
micro grid.
II. MICRO-GRID CONTROL SYSTEM
Keywords Fuzzy PI controller, Fuzzy PID controller, Load

frequency control, PI controller, PID controller, Point of common
coupling, Power flow control.
The control block diagram of active power flow for microgrid is shown in Fig. 1. Using the controlled transformer, the
active power flow from the grid can be controlled at the
common connection to a desired value determined by the
utilities. The research reveals that different kind of control
strategies can be introduced to follow the command of
controllers which have abilities to regulate the micro-grid [6].
The block diagram consists of main grid, micro-grid,
controlled transformer and the controller. Controller gives
signal to transformer to limit the power flow at PCC. The
power set limit can be changed as desired. Micro grid consists
of controlled (can be considered as negative generators) and
uncontrolled loads [7].
I. INTRODUCTION
Micro grids are modern, small-scale versions of the
centralized electricity system. They achieve specific local
goals, such as reliability, carbon emission reduction,
diversification of energy sources, and cost reduction,
established by the community being served. Like the bulk
power grid, smart micro-grids generate, distribute, and regulate
the flow of electricity to consumers, but do so locally.
Emerging plans are approaching decentralized energy
generation and micro grids [1]. Smart micro-grids are an ideal
way to integrate renewable resources on the community level
and allow for customer participation in the electricity
enterprise. They form the building blocks of the perfect power
system. The micro grid can run in connected and isolated mode
with main grid in a rapid and seamless fashion. Active and
reactive power can be controlled and meet the need of loads [2]
[3].
The interconnected power system is typically divided into
control areas, with each consisting of one or more power utility
companies. Sufficient supply for generation of each connected
area to meet the load demand of its customers and frequency
regulation is commonly referred to as load frequency control
(LFC) [4].
In this paper fuzzy logic controller (FLC) is used to
improve the response of micro grid parameters with controlled
power at point of common coupling (PCC). The variable gains
are used for controllers like PI, PID, fuzzy PI and fuzzy PID. In
this first the input and output of controllers are defined and
then scheduling of gains for better response is done [5].
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1
Main Grid
S
E
Controlled
Transformer
Smart Micro
Grid
Plimit
Controller
Fig. 1 Control block diagram of active power flow for micro-grid.
III. FUZZY CONTROLLER

The real world is pervaded by concepts which do not have
sharply defined boundaries. The fuzzy controller requires
some imprecise data as input, some statements which has to be
followed by controller and the decision on basis of rules and
inputs [8].
The fuzzy controllers have two inputs that is change in
power limit (A) and differentiation of change in power limit
(B).
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Decisions K, I and D are fragmented in S (small), M

(medium) and B (Big). These are shown in Fig. 5, Fig. 6 and
Fig. 7 respectively.
Fig. 2 Fuzzification of input A.
Fig. 5 Defuzzification of proportional constant K.
Fig. 3 Fuzzification of input B.
Inputs A and B are fragmented in NB (negative big), NS

(negative small), ZZ (nearby zero), PS (positive small), PB
(positive big). These are shown in Table 1.
Fig. 6 Defuzzification of integral constant I.
Table 1 Rule table
K/I/D
NB
NS
ZZ
PS
PB
NB
NS
ZZ
PS
B
B
B
M
B
M
B
M
B
B
PB
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Fig. 7 Defuzzification of derivative constant D.
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The fuzzy controllers consist of twenty five rules and

decisions are made for proportional constant (K), integral
constant (I) and derivative constant (D) for fuzzy PI and fuzzy
PID controller. Fig. 4 shows the rules written for K, I and D.
IV. SIMULATION MODEL
The Fig. 8 to Fig. 11 shows simulation models of control of

active power flow in micro grid using PI, PID, fuzzy PI and
fuzzy PID respectively. In these simulation models the LFC
gives signal to power limiter.
The output response of the generating system in these
models is having drooping characteristics given by equation
(1):
( )
(
)
(1)
Whereas the load droop characteristics for controlled load
is given by equation (2):
( )
(2)
The controller gain is given by equation (3) and (4):

With ( )
( )
Fig. 4 Rule viewer
Where
Kp = Proportional gain constant (K),
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(3)
(4)
Fig. 10 Simulation model of single area micro-grid with fuzzy PI controller.
Ki = Integral gain constant (I),

Kd = Derivative gain constant (D),
N = Filter constant.
Fig. 11 Simulation model of single area micro-grid with fuzzy PID controller.
Fig. 8 Simulation model of single area micro-grid with PI controller.
Proportional or integral controllers can be replaced with

conventional controllers to get fast and good dynamic
response in load frequency control problems. When the system
robustness and reliability are more important, then fuzzy logic
controllers can be more useful in solving a wide range of
control problems since conventional controllers are slower and
also less efficient in nonlinear system applications [9].
The parameters of the investigated system are following:
Controller constants:Proportional constant (K) = 0.01,
Integral constant (I) = 0.04,
Derivative constant (D) = 3,
Filter constant (N) = 3.518*
,
Micro grid constants:Inertia constant (M) = 5,
Damping constant (D) = 1,
Generator constants:Tpg = 0.26 second,
Tpl = 0.01 second,
Controlled load constant:Ttg = 0.26 second,
AGC constants:Rg = 0.167 Hz/pu,
Rl = 0.1 Hz/pu.
4
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Fig. 9 Simulation model of single area micro-grid with PID controller.
The Fig. 10 and Fig. 11 are the model with fuzzy PI and
fuzzy PID controller. PID controller is also considered for this
simulation and compared.
V. SIMULATION RESULTS
The simulation results of micro-grid control are shown in
Fig. 12 and Fig. 13 with 0.1 pu change in the set point of
power limiter transformer. The Fig. 12 shows the frequency
response of the micro-grid with conventional PI, PID, fuzzy PI
and fuzzy PID controller. Whereas Fig. 13 shows the
incremental change in the controllable load for conventional
PI, PID, fuzzy PI and fuzzy PID.
408 of 446
Fig. 12 Comparison of frequency response for different controllers.
Fig. 16 Surface of fuzzy rules for derivative constant D.
VI. CONCLUSION
Fig. 13 The incremental change in controllable load for different controllers.
In this paper fuzzy PI and fuzzy PID controllers are

designed for active power flow control with load frequency
control of single area micro-grid for controlled and
uncontrolled loads. With these controllers the active power
from main grid is also limited by controlled transformer at
common connection. The system performance shows that
fuzzy controllers give better performance than conventional PI
and PID controllers. Further it is also observed that fuzzy PID
gives better results than fuzzy PI. Henceforth this paper
establishes the superiority of fuzzy PID in active power
control of smart micro grid.
The following Fig. 14, Fig. 15 and Fig. 16 shows surface

of fuzzy controller for K, I and D with inputs A and B.
4
1
VII. REFERENCES
A
[1]
[2]
S
E
[3]
[4]
[5]
Fig. 14 Surface of fuzzy rules for proportional constant K.

[6]
[7]
[8]
[9]
F. Katiraei and J. Driesen, Design of distributed energy resources,

Power and Energy Magazine, pp. 30-40, June 2008.
Jalpa Shah, Ranjan K. Gupta, K. Mohapatra and Ned Mohan, "Power
management with a dynamic power limit by a power electronic
transformer for micro-Grid," Power & Energy Society General Meeting,
pp.1-5, July 2010.
R. H. Lasseter and P. Paigi, "Microgrid: a conceptual solution," Power
Electronics Specialists Conference, vol. 6, pp. 4285-4290, June 2004.
P. Kundur, Power System Stability and Control. New York: McGrawHill, 1994.
C. S. Chang and Weihui Fu, Area load frequency control, using fuzzy
gain scheduling of PI controllers, Electrical Power System Research,
vol. 42, issue 2, pp. 145152, Nov. 1997.
Jalpa Shah, Bruce F. Wollenberg and Ned Mohan, Decentralized power
flow control for a smart micro-grid, Power and Energy Society General
Meeting, pp. 1-6, July 2011.
Jalpa Shah, Rashmi Prasad, Shabri Nath and Ned Mohan, A novel
dynamic power limiter for a smart micro grid, Power Systems
Conference and Exposition, pp. 1-5, March 2011.
S. N. Sivanandam, S. Sumathi and S. N. Deepa, Introduction to fuzzy
logic using matlab. Berlin Heidelberg: Springer 2007.
Atul Ikhe, Anant Kulkarni and Veeresh, Load frequency control using
fuzzy logic controller of two area thermal-thermal power system,
International Journal of Emerging Technology and Advanced
Engineering, vol. 2, issue 10, pp. 425-428, Oct. 2012.
Fig. 15 Surface of fuzzy rules for integral constant I.
409 of 446
Harmonics Mitigation with the help of ZSource Inverter based DVR

Bussa Vinod Kumar
R. S. Bhatia

Kurukshetra, India
bussavinod7@gmail.com

Kurukshetra, India
rsibhatia@yahoo.co.in
II.
Abstract--The effectiveness of ZSI based DVR to reduce

the THD level of load voltage to safeguard the sensitive
equipments from voltage disturbances is investigated in this
manuscript. Due to ease of digitalization, high utilization of
dc bus voltage and reduced harmonic content, Space Vector
Pulse Width Modulation (SVPWM) technique has been used
in this work for ZSI. Simulation results have been obtained
for the different levels of distortions in the supply voltage in
MATLAB/SIMULINK software environment.
Keywords-- Dynamic Voltage Restorer (DVR); Space
Vector Pulse Width Modulation (SVPWM); Total Harmonic
Distortion (THD); Z-Source Inverter (ZSI).
I.
DVR is a series connected custom power device. Its

main function is the protection of sensitive loads from any
voltage disturbances except voltage outage [7]. It basically
consists of power circuit and control circuit. The power
circuit of the DVR has four main parts; voltage source
inverter (VSI), voltage injection transformer, DC energy
storage device and low pass filter. The block diagram of
DVR has shown below in Fig.1. In this proposed work
instead of voltage source inverter, Z-source inverter has
been incorporated to supply the required voltage under
voltage disturbances.
INTRODUCTION
Power quality (PQ) is becoming an important issue of

concern for power industries nowadays. Poor quality of
power is appeared due to the voltage disturbances like
voltage sag, swell, harmonics, etc. [1]. To protect the
voltage sensitive equipments such as computers,
microprocessors, and power electronic loads [2] under
voltage disturbances, the supplied power should be of
good quality to reduce the cost and to get the continuity of
supply. Therefore, to supply the quality of power, we need
custom power devices under voltage disturbances.
Various devices such as DVR, distribution static
compensator (STATCOM), flywheel, uninterruptable
power supplies (UPS) and tap changing transformers are
used to solve power quality problems, voltage sags are
serious power quality issue among them [3]. DVR is a
series connected custom power device which is used to
compensate voltage disturbances to provide quality of
power [4]. The basic operation principle of DVR is to
inject a voltage of the required magnitude, phase angle and
frequency in series with distribution feeder to maintain the
desired amplitude and waveform for load voltage even
when the voltage is unbalanced or distorted [5].
In this proposed work, SVPWM Z-Source inverter
based DVR has been implemented to reduce the harmonic
content in the load voltages under voltage disturbances.
The quality of electrical power is determined by the
voltage, high-quality voltage is the best guarantee for
continuous operation of equipment.
DYNAMIC VOLTAGE RESTORER
4
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Fig. 1. Single line diagram of DVR
III.
Z-SOURCE INVERTER
The Z-source inverter is a low-cost, efficient, and

reliable inverter for applications like fuel cell (FC), PV
cells as the input source. In case fuel cell, output voltage
will be decreasing with the increase of output power.
Because of the wide voltage range of the fuel cell, the
inverter has to be oversized to accommodate the constant
output voltage. The Z-source inverter could be a cheap and
reliable solution for this application. In [9] a detail
comparison traditional inverter, inverter plus dc-dc
converter and Z-source inverter was presented.
Z-source inverter [10] topology was first proposed in
2002 to overcome the disadvantage of VSI and CSI. In
[10] a detail analyse of the ZSI was presented. Fig.2
shows the main circuit of ZSI.
410 of 446
L
C
dc
a b c
1
Fig. 2. Block diagram of Z-Source Inverter
Fig. 3. Schematic diagram of control strategy
Different control methods are proposed for ZSI based

on traditional PWM methods [10-12]. In this work,
SVPWM control technique to generate the pulses for a Zsource inverter has been considered.
IV.
CONTROL STRATEGY OF DVR
V.
The control technique is elaborated in Fig. 3. The load

voltages are sensed and these three phase load voltages are
transformed into d-q-0 by using Parks transformation
given in equation 1. A three phase PLL (Phase Locked
Loop) is used to generate the sine, cosine signals of unity
magnitude and in phase with the supply voltage. A
constant magnitude of peak of supply voltage is multiplied
with d-axis component, to generate the reference d-axis
component of voltage. Then these reference voltages are
transformed again into a-b-c by using Reverse Parks
transformation given in equation 2. These reference
voltages are compared with actual load voltages. Error
between reference and actual is used for pulse generation
by Space vector pulse width modulation (SVPWM).
cos(
) cos( +
= sin
sin(
1
cos
cos(
cos( +
sin( +
1
In this proposed work, different combination of

harmonics with different magnitudes superimposed on
supply voltage have been considered, and the effectiveness
of DVR to reduced the harmonic content in the load
voltage has been demonstrated. Simulation results have
shown below in Fig.4 for the injection of 3rdharmonic with
the amplitude variation from 0.1 to 0.9 p.u. And tabular
forms have shown below for different combination of
harmonics with different amplitude variation and V in
simulation diagrams represents the load voltage.
4
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cos
SIMULATION RESULTS AND DISCUSSIONS
400
200
VL 0
-200
-400
400
200
0
DVR
-200
(1)
-400
0
0.05
0.1
0.15
Time(sec)
0.2
0.15
Time(sec)
0.2
0.25
0.3
0.25
0.3
Fig. 4a. Injection of 3rd harmonic with 0.1 p.u amplitude

400
sin
) sin(
) sin( +
200
(2)
-200
Space vector pulse width modulation technique is an

advanced, computationintensive PWM method and is
possibly the best among all the PWM techniques for
variable frequency drive applications [8]. Because of its
superior characteristics and easy implementation with
digital signal processors, it has been finding wide spread
application in recent years. The space vector modulation is
a highly efficient way to generate the pulses.
-400
400
200
V
0
DVR
-200
-400
0
0.05
0.1
rd
Fig. 4b. Injection of 3 harmonic with 0.2 p.u amplitude
411 of 446
400
500
200
V
-200
-500
-400
400
400
200
200
-400
0
-200
-400
0
0.05
0.1
0.15
Time(sec)
0.2
0.25
0.3
0.1
0.15
Time(sec)
0.2
0.25
0.3
Fig. 4h. Injection of 3 harmonic with 0.8 p.u amplitude

500
500
V
0.05
rd
Fig. 4c. Injection of 3rd harmonic with 0.3 p.u amplitude
DVR
L
0
DVR
-200
0
-500
400
-500
400
200
V
200
V
DVR
DVR
-200
-400
0
-200
-400
0
0.05
0.1
0.15
Time(sec)
0.2
0.25
0.3
0.05
0.1
0.15
Time(sec)
0.2
0.25
0.3
Fig. 4i. Injection of 3rd harmonic with 0.9 p.u amplitude
Fig. 4d. Injection of 3rd harmonic with 0.4 p.u amplitude
4
1
500
TABLE I
S.No
V
-500
400
200
V
DVR
-200
-400
0
0.05
0.1
rd
S
E
I
0.15
Time(sec)
0.2
0.25
0.3
Fig. 4e. Injection of 3 harmonic with 0.5 p.u amplitude

500
Type of injected
harmonics with
p.u magnitude
without DVR
With DVR
(V)
at 50Hz
THD
(%)
(V)
at 50Hz
THD
(%)
3rd (0.1)
335.1
10.09
336.2
2.08
3rd (0.2)
335.1
20.20
337.5
2.62
3rd (0.3)
335
30.31
338.2
3.16
3rd (0.4)
335
40.42
338
3.72
3rd (0.5)
335
50.53
337.7
4.73
S.No
Type of injected
harmonics with
p.u magnitude
-500
400
200
V
TABLE II
0
DVR
-200
-400
0
0.05
0.1
0.15
Time(sec)
0.2
0.25
0.3
rd
Fig. 4f. Injection of 3 harmonic with 0.6 p.u amplitude
without DVR
(V)
at 50Hz
THD
(%)
With DVR
(V)
at 50Hz
THD
(%)
500
V
5th (0.1)
335.1
10.09
336.6
2.11
5th (0.2)
335.1
20.20
337.7
2.84
5th (0.3)
335
30.31
338
3.44
5th (0.4)
335
40.42
338
3.96
5th (0.5)
335
50.52
337.9
5.07
-500
400
200
V
DVR
-200
-400
0
0.05
0.1
0.15
Time(sec)
0.2
0.25
0.3
Fig. 4g. Injection of 3rd harmonic with 0.7 p.u amplitude
412 of 446
TABLE III
S.No
Type of
injected
harmonics
with p.u
magnitude
without DVR
With DVR
(V) at
50Hz
THD
(%)
(V) at
50Hz
THD
(%)
S.No
TABLE V
without DVR
Type of injected
harmonics with
THD
p.u magnitude
With DVR
(V) at
50Hz
(%)
(V)
at 50Hz
THD
(%)
3rd (1/3) &

5th (1/5)
335
39.28
338.1
3.93
3rd (1/3) &

5th (0.1)
335
35.16
337.8
3.48
3rd (1/3) &

7th (1/7)
335
36.64
338.4
3.79
3rd (1/3) &

5th (0.2)
335
39.28
338.1
3.93
3rd (1/3) &

11th (1/11)
335
34.91
338.3
3.67
3rd (1/3) &

5th (0.3)
335
45.31
338.8
4.64
3rd (1/3) &

13th (1/13)
335
34.56
338.1
3.62
3rd (1/3) &

5th (0.4)
335
52.60
339
5.73
3rd (1/3) &

17th (1/17)
335
34.20
338.3
3.58
3rd (1/3) &

5th (0.5)
335
60.69
339.2
7.11
3rd (1/3) &

19th (1/19)
335
34.09
338.2
3.55
3rd (1/3) &

23rd (1/23)
335
33.96
338.2
3.70
3rd (1/3) &

25th (1/25)
335
33.92
338.2
3.63
TABLE VI
Type of
injected
harmonics
with p.u
magnitude
without DVR
With DVR
4
1
Type of
injected
harmonics
with p.u
magnitude
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TABLE IV
S.No
S.No
without DVR
With DVR
(V)
at 50Hz
THD
(%)
(V)
at 50Hz
THD
(%)
3rd (0.1) &

5th (1/5)
335.1
22.58
337.9
2.94
3rd (0.2) &

5th (1/5)
335
28.57
337.4
3.19
(V)
at 50Hz
THD
(%)
(V) at
50Hz
THD
(%)
3rd (0.3) &

5th (1/5)
335
36.43
337.8
3.71
3rd (0.1) &

5th (0.1)
335.1
14.28
336.6
2.31
3rd (0.4) &

5th (1/5)
335
45.19
339
4.31
3rd (0.2) &

5th (0.2)
335
28.57
337.4
3.19
3rd (0.5) &

5th (1/5)
335
54.41
339.4
5.33
3rd (0.3) &

5th (0.3)
335
42.86
338.6
4.42
3rd (0.4) &

5th (0.4)
335
57.14
339.3
6.54
3rd (0.5) &

5th (0.5)
335
71.30
344
13.39
Table I represents the injected 3rd harmonic with

amplitude variation.
Table II represents the injected 5th harmonic with
amplitude variation.
Table III represents the combination of harmonics w.r.t

the 3rd harmonic from 5thto 25th harmonic.
Table IV represents the combination of injected 3rd&
th
5 harmonics with amplitude variation.
Table V represents the combination of injected 3rd& 5th
harmonics with amplitude variation in 5th harmonic only at
constant amplitude of 3rd harmonic.
Table VI represents the combination of injected 3rd&
th
5 harmonics with amplitude variation in 3rd harmonic
only at constant amplitude of 5th harmonic.
Table VII represents the combination of two harmonics
from 3rd to 29th harmonic respectively.
413 of 446
TABLE VII
S.No
Type of
injected
harmonics
with p.u
magnitude
without DVR
With DVR
(V)
at 50Hz
THD
(%)
(V) at
50Hz
THD
(%)
3rd (1/3) &

5th (1/5)
335
39.28
338.1
3.93
7th (1/7) &

11th (1/11)
335.1
17.10
336.9
2.69
13th (1/13)
& 17th 1/17)
335.1
9.77
336.5
2.48
19th (1/19)
& 23rd (1/23)
335.1
6.89
336.5
2.37
25th (1/25)
& 29th (1/29)
335.1
5.33
336.3
2.38
VI.
CONCLUSION
This paper has presented SVPWM Z-Source inverter

based DVR to mitigate the harmonics and protect the
linear loads from the damage. Due to Z-source network,
wide range of operating voltages possible by inserting
shoot through states and reliable operation achieved by
overcoming the short circuit due to misfiring of switches.
With the help of SVPWM control technique, high
utilization of dc bus voltage and reduced harmonic content
in the output voltage of inverter achieved. Therefore by
using the Z-Source inverter and SVPWM control
technique in the DVR concept, reliable, continuous and
reduced harmonic content of voltage at consumer premises
under voltage distortions has been achieved.
4
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E
I
VII.
Energy Operator, Energy Conversion and Management vol.52,

pp.19591967,2011.
[3] E. Najafi , A.H.M. Yatim, A novel current mode controller for a
static compensator utilizing Goertzel algorithm to mitigate voltage
sags, Energy Conversion and Management, vol.52 pp.19992008,
2011.
[4] M. Hosseini , H.A. Shayanfar , M. Fotuhi-Firuzabad, Modelling of
unified power quality conditioner (UPQC) in distribution systems
load flow, Energy Conversion and Management, vol.50, pp.1578
1585, 2009.
[5] D. Mahinda Vilathgamuwa, H. M. Wijekoon, S. S. Choi, A Novel
Technique to Compensate Voltage Sags in Multiline Distribution
SystemThe Interline Dynamic Voltage Restorer, IEEE
Transactions On Industrial Electronics, vol. 53, no.5, pp. 16031611,2006.
[6] P. Jayaprakash, Bhim Singh, D. P. Kothari, Ambrish Chandra,
Kamal-Al-Haddad, Control of Reduced Rating Dynamic Voltage
Restorer with Battery Energy Storage System, Joint International
Conference on Power System Technology and IEEE Power India
Conference (POWERCON), pp.1-8,2008.
[7] Shairul Wizmar Wahab, Alias Mohd Yusof , Voltage Sag and
Mitigation Using Dynamic Voltage Restorer (DVR) System,
Elektrika Journal of Electrical Engineering, vol. 8, no. 2,
pp.3237,2006.
[8] R. Baier, J. I. Guzman, J. R. Espinoza, M. A. Perez, and J. R.
Rodriguez, Performance evaluation of a multi cell topology
implemented with single-phase non regenerative cells under
unbalanced supply voltages, IEEE Trans. Ind. Electron., vol. 54, no.
6, pp. 29692978, Dec. 2007.
[9] Meioses Shen, Alan Joseph, Jin Wang, Fang Z. Peng, Donald J.
Adams, Comparison of Traditional Inverters and Z-Source Inverter
for Fuel Cell Vehicles, IEEE Transactions on Power Electronics,
vol.22, no.4, pp.1453-1463, 2007.
[10] Fang Zheng Peng, Z-Source
Inverter, IEEE Transactions on
Industry Applications, vol.39, no.2, pp.504-510, 2003.
[11] F. Z. Peng, M. S. Shen, Z. M. Qian. Maximum boost control of the
Z-source inverter, IEEE Transactions on Power Electronics, vol. 20,
no. 4, pp. 833-838, 2005.
[12] M. S. Shen, J. Wang, A. Joseph, F. Z. Peng, L. M. Tolbert, D. J.
Adams. Constant boost control of the Z-source inverter to minimize
current ripple and voltage stress, IEEE Transactions on Industry
Applications, vol. 42, no. 3, pp. 770-778, 2006.
APPENDIX
Input dc supply = 350 V

Filter unit parameters L = 2 mH, C = 20 F
Impedence N/w parameters L = L = 5 mH
C = C 0.6 mF
Input ac supply = 415 V (rms ph-ph)
1 p.u = 415 V (rms ph-ph)
Output frequency = 50 Hz
Switching frequency = 10 KHz
REFERENCES
[1]
Z. Moravej , S.A. Banihashemi, M.H. Velayati, Power quality

events classification and recognition using a novel support vector
algorithm
Energy Conversion and Management ,
vol. 50, no.12, pp. 3071-3077,2009.
[2] Abdulhamit Subasi , A. Serdar Yilmaz , Kadir Tufan, Detection of
generated and measured transient power quality events using Teager
414 of 446
Assessment of Retailers quality in Dairy Supply

Chain Using AHP Technique
Man Mohan Siddh
Gaurav Gadekar

Malaviya National Institute of Technology Jaipur
Jaipur, India
manmohansiddh@gmail.com

Jaipur, India
gauravgadekar23@gmail.com
Om Ji Shukla
Gunjan Soni

Jaipur, India
gauravgadekar23@gmail.com

Jaipur, India
gunjan.mnit@gmail.com
Rakesh Jain
Jaipur, India
rjain.mnit@gmail.com
Abstract- The analytic hierarchy process (AHP) is a structured

technique for organizing and analyzing complex decisions by
comprehensive and rational framework. In the present paper
an empirical study was conducted to find out the relative
importance of the factors affecting the quality of retailer shop
in dairy industry. Three popular dairy were identified in a
brainstorming session and a questionnaire based on 5 point
Likert Scale was sent to 160 customers, out of which 70
customers responded. The input from the result was used for
the pair-wise comparison of the factors affecting quality of
product service. The comparison of the alternatives in AHP is
based on the input taken from an expert team consisting of
three members who resided in each of dairy under study. At
last sensitive analysis was done to access the consumer
perception of product quality. (Abstract)
I.
INTRODUCTION
The food sector in India is an important part of the service

sector has related quality of service to the customers
expectations. Due to Globalization, dairy in India operate in
a highly competitive atmosphere, and therefore as a
consequence, factors affecting quality of service becomes
the driving force for them to perform well in business.
Factors affecting quality of product according to consumer
perception becomes the driving force for them to perform
4
1
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Keywords- Multi criteria decision making (MCDM), Analytic

Hierarchy Process (AHP), Quality, Dairy supply chain.
(Keywords)
well in business. Quality of product according to consumers

perception plays an important role in business performance
of an organization. Many researchers have discussed their
cases with enlisting the critical parameters using Analytic
Hierarchy Process (AHP) technique. According to [1], the
authors suggested a mathematical model for measuring the
effectiveness of technical education/service after enlisting
the critical factors that affect the technical education.
According to [2], the authors used AHP based model for
supplier performance evaluation.
Following factors, which are responsible for the quality of
dairy product according to consumes perception have been
identified from the literature and have been shortlisted based
on the expert opinion.
Cost of Product (COP)
Brand Value (BV)
Product Availability (PA)
Product Quality (PQ
Retailer Cooperation (RC)
Cost of Product (COP)
Costs of product have much importance to consumer. It is
also an important process for manufacturer. Cost is also key
determinant in the decision making process customers use to
purchase a product or service.
Brand Value (BV)
According to aaker and joachimsthaler the developments of
brand was the only way to remove oneself from commodity
status and price competition [3].
415 of 446
Step3: Synthesize these judgments to yield a set of

overall priorities for the hierarchy. In this step
weighted criteria scores are calculated which yields
relative ranking of parameters or criteria.
Product Availability (PA)

The detrimental effects of demand amplification are
well understood and include excess inventory, poor
product availability, difficulties in resource planning
and increased production and delivery costs [4, 5].
All supply chains is to make good quality product
availability to the end consumer. The development of
a more systematic and integrated approach to demand
management across food supply chains would
improve customer service by contributing to higher
levels of product availability.
Step4: Compare the qualitative and quantitative

information using informed judgments to derive
weights & priorities for checking the consistency of
the judgments.
Product Quality (PQ)
Step4: Compare the qualitative and quantitative

information using informed judgments to derive
weights & priorities for checking the consistency of
the judgments.
Manufacturing firm located its cooling centre and

pasteurization plant nearby local farms in order to
ensure high product quality and freshness. This is
also partly because the suppliers infrastructure could
not support sufficient temperature control and
monitoring at all times, risking product spoilage
during transportation [6].
Retailer Cooperation (RC)
Customers are increasingly interested in food quality.
Concerns include the health risks of consuming food
and the environmental and animal welfare
implications of production processes [7, 8, 9].
Retailer cooperation is also very important criteria for
product marketing or product service.
Step5: Selection of best alternative on the basis of

available sample data and calculating the final score
of each alternative.
The formula used during solving the matrices in AHP
steps is given in Table I and the flow chart of AHP
steps is shown in fig.1.
II. ANALYTIC
(AHP)
HIERARCHY
PROCESS
According to [10] the steps to be followed while

implementing AHP technique are described below:
Step1: Develop a decision hierarchy by decomposing
the entire problem in to hierarchy of parameters or
criteria.
Consistency Index,
Parameters.
S
E
I
The concept of AHP was developed by Thomas L.

Saaty in1970s. The AHP is a structured technique for
organizing and analyzing multiple criterion decisions.
According to [10], the research questions are
addressed by constructing a decision model. The
AHP methodology was chosen due to its capacity to
handle complex decision problems that are
characteristic of modern business decision making
[10, 11]. The method has been proposed in academic
literature as a solution approach to large, dynamic,
and complex real-world, multi-criteria decision
making (MCDM) problems [12, 13].
4
1
TABLE I.Formula used in [10] AHP theory

A= max, where A is preference matrix, is Eigen Vector of
order n, max is Maximum Eigen value.
Consistency Ratio,
, where n is the number of
, where R.I. is Random Index
For selection of best option:

Option performance matrix Eigen value vector = Final score
vector
III. APPLICATION OF AHP TECHNIQUE

Step1: Developing a Decision Hierarchy
AHP decision hierarchy (Fig.1) show goal, criteria
and alternatives arranged linearly and the network
connections denotes the set of pair-wise comparisons
between them.
Assessment of retailers quality in dairy supply chain
Cost of
Product
Step2: Establish priorities among the parameters or

criteria of the hierarchy by making a series of
judgments based on pair wise comparisons. In this
step preferences among parameters are rated on the
scale 1-9.
Importance
of brand
value
Ease of
Product
availability
R1
Product
quality
R2
Fig. 1 AHP Decision Hierarchy
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Retailer
cooperation
R3
in TableVIII. The 0.417 means the factor product

quality is the most important factor which affects the
dairy supply chain; whereas the factor brand value
has been given the least importance. In the next stage,
calculate the Eigen value vector, max, C.I. & C.R. of
five parameters COP (Table IX), BV (Table X), PA
(Table XI), PQ (Table XII), RC (Table XIII).
Step 2: Establishing priorities

After the problem is decomposed into the parameters,
the next step is to generate the overall performance
matrix (A) as in Table.II. This matrix is made up
from experts opinion after a number of
brainstorming sessions. In the next stage, there is a
need to calculate pair wise comparisons for three
dairy retailers R1, R2 and R3 in terms of five
parameters COP (Table III), BV (Table IV), PA
(Table V), PQ (Table VI) and RC (Table VII).
TABLE VIII. Eigen Value Vector (, max, C.I., C.R. for overall
performancematrix
TABLE II. Overall performance matrix (A)

COP
BV
PA
PQ
RC
COP
1
2
1/2
1/3
1
BV
1/2
1
1/3
1/5
1/3
PA
2
3
1
1/3
1
PQ
3
5
3
1
2
RC
1
3
1
1/2
1
Eigen Value Vector (EVV)

COP
0.136
BV
0.068
PA
0.196
PQ
0.417
RC
0.183
R1
R2
R3
R1
1.099
1.198
R2
0.909
1.089
R3
0.835
0.918
Eigen Value Vector

R1
0.3644
R1
1
1.089
0.973
R2
0.918
1
0.814
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TABLE V. Preference matrix of the parameter PA

PA
R1
R2
R3
R1
1
1.008
1.234
R2
0.992
1
1.225
R3
0.81
0.816
1
TABLE VI. Preference matrix of the parameter PQ

PQ
R1
R2
R3
1
0.927
1.075
R2
1.078
1.159
R3
0.93
0.862
R1
1
0.93
0.84
R2
1.07
1
0.90
0.3313
R3
0.3043
C.I. = 0
C.R. = 0
TABLE X. Eigen Value Vector (), max, C.I.,C.R. for Preference

matrix of BV
Eigen Value Vector
R1
0.3261
max = 3
C.I. = 0
R2
0.3663
R3
0.3077
C.R. = 0
TABLE XI. Eigen Value Vector (), max, C.I., C.R. for Preference
matrix of PA
Eigen Value Vector
R1
0.3569
max = 3
C.I. = 0
R2
0.3541
R3
0.2890
C.R. = 0
TABLE VII. Preference matrix of the parameter RC

RC
R1
R2
R3
R2
R3
1.027
1.227
1
R1
C.R. = 0.017
max = 3
4
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TABLE IV. Preference matrix of the parameter BV

BV
R1
R2
R3
C.I. = 0.019
TABLE IX. Eigen Value Vector (), max, C.I., C.R. for Preference
matrix of COP
TABLE III. Preference matrix of the parameter COP

COP
max = 5.078
R3
1.189
1.11
1
TABLE XII. Eigen Value Vector (), max, C.I., C.R. for
Preference matrix of PQ
Step 3: Synthesis
After preparing the pair wise comparison matrix,
calculate the normalized weights (Eigen values) for
each parameter. The Eigen values of COP, BV, PA,
PQ, RC and the value of max, C.I. & C.R. are given
Eigen Value Vector

R1
0.3324
max = 3
C.I. = 0
R2
0.3584
R3
0.3092
C.R. = 0
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TABLE XIII. Eigen Value Vector (), max, C.I., C.R. for
Performance matrix of RC
Eigen Value Vector
max = 3
R1
0.3606
C.I. = 0
R2
0.3363
C.R. = 0
R3
0.3031
Step 4: Check the consistency of the judgments

To ensure whether the pair wise comparisons are
logical or not, consistency ratio of comparison
matrices are calculated. The consistency ratio should
be less than 10% (or 0.1) for validation of the relative
comparisons.
Step 5: Selection of the best dairy retailer
For selection of the best dairy retailer, final score
matrix (Table XVI) is generated from multiplying the
option performance matrix (Table XIV) with Eigen
value vector for overall performance matrix (Table
XV).
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TABLE XIV. Option Performance Matrix (OPM)
R1
R2
R3
COP
0.3644
0.3313
0.3043
BV
0.3261
0.3663
0.3077
PA
0.3569
0.3541
0.2890
PQ
0.3324
0.3584
0.3092
RC
0.3606
0.3363
0.3031
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TABLE XV. Eigen Value Vector for Overall Performance matrix

Eigen Value Vector (EVV)
COP
0.136
BV
0.068
PA
0.196
PQ
0.417
RC
0.183
TABLE XVI. Final score vector
R1
R2
R3
Final Score Vector

0.3463
0.3504
0.3034
high importance enablers and the low importance

enablers. In our study we found; Product quality (PQ
0.417) is the high importance enabler whereas Brand
value (EVV 0.068) is the least important enabler.
Product quality and brand value for Retailer2 are
better than its competitors whereas Retailer2 fares
low against its competitor Retailer1 in the cost of
product, product availability and retailer cooperation.
Retailer1 is better than its close competitor
Retailer2 in all enablers except product quality and
brand value. Final results of the AHP bring out
Retailer2 (Final score value 0.3504) as the most
preferred choice, whereas, Retailer3 (Final score
value 0.3034) is the least preferred choice for the
customer.
Retailer2 is the best retailer among three retailers but
in the factor Retailer cooperation which is third
highest enabler, Retailer2 fares low against Retailer1.
However low focus on retailer cooperation, can prove
costly as it may lead to the customer dissatisfaction.
Retailer1 (Final score value 0.3463) is very close to
Retailer2 (Final score value 0.3504) in final score
value. Retailer3, the least preferred choice, fared low
against all the attributes. It is suggested that with the
use of AHP, dairy retailers can conduct similar
studies on a large scale and do the analysis to find out
inputs for the future strategic and operational level
decisions.
0.988
Relative score vector
1.000
0.866
REFERENCES
[1]. R. Gupta, T.K. Garg, S. Gupta, A. Goel,

Decision Analysis Approach for Quality in
Technical Education, Global Journal of Human
Social Science, Vol.10, Issue 1 (Ver1.0), pp. 14-18,
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[2]. R. Ohdhar, P. K. Ray, Suppliers Performance
Evaluation and Ranking in a Supply Chain: An
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IUP Journal of Supply Chain Management, Vol. IX,
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[3]. D. A. Aaker, and E. joachimsthaler Brand,
leadership The Free Press, New York, NY., 2000.
IV. ................................................................R [4] D.H. Taylor, Demand amplification has it got

ESULTS AND DISCUSSION
usbeat?, The International Journal of Physical
In the current competitive environment in dairy
sector, a diary retailer becomes important part for that
dairy supply chain. A retailer must focus upon the
high importance enablers in order to attract customers
and maintain goodwill to stay in the market. First
level pair-wise comparison, i.e. comparison of factors
with respect to goal, gives the Eigen values which
can be used as a score to differentiate between the
Distribution & Logistics Management, Vol. 30 No. 6,

pp. 515-33, 2000.
[5]. D.H. Taylor and A. Fearne, Demand
management in fresh food value chains: a framework
for analysis and improvement, Supply Chain
Management: An International Journal, Vol. 14 No.
5, pp. 379-392, 2009.
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[6]. P. K.. ngam, Y. Shi and M. J. Gregory,

Exploring geographical dispersion in Thailandbased food supply chain (FSC), Benchmarking: An
International Journal, Vol. 18 No. 6, pp. 802-833,
2011.
[7]. J.G.A.J.V.D.Vorst,, Effective food supply
chains: generating, modeling and evaluating supply
chain scenarios, PhD thesis, Wageningen
University, Wageningen, 2000.
[8]. L.H. Aramyan, M.P.M. Meuwissen, , A.G.J.M.O.
Lansink, J.G.A.J. V. D. Vorst, O. V. Kooten and
I.A.V.D. Lans, The perceived impact of quality
assurance systems on tomato supply chain
performance, Total Quality Management &
Business Excellence, Vol. 20 No. 6, pp. 633-53,
2009.
[9]. L. Aramyan, P. Ingenbleek, G. Backus, K.D.
Roest and R. Tranter, Evaluating the likelihood of
the adoption of an animal welfare assessment system
in European agri-food supply chains, International
Journal of Quality & Reliability Management, Vol.
30 No.1, pp.59-79, 2013.
4
1
[10].T.L.
Saaty,
The
Analytic
Hierarchy
Process,,McGrawHill, New York, 1980.
[11]. T.L. Saaty, How to make a decision: the
analytic hierarchy process, Interfaces, Vol. 24 No. 6,
pp. 19-43, 1994.
S
E
I
[12]. H. Lorentz, Production locations for the

internationalizing food industry: case study from
Russia, British Food Journal, Vol. 110 No. 3, pp.
310-334, 2008.
[13]. J. Yang and H. Lee, An AHP decision model

for facility location selection, Facilities, Vol. 15 No.
9/10, pp. 241-54, 1997.
419 of 446
Effect of Conflicting Vehicles on

Service Delay
Under Mixed Traffic Conditions
Gourab Sil
Smruti Sourava Mohapatra
Partha Pratim Dey
M.Tech. Student: Infrastructure

Indian Institute of Technology
Bhubaneswar, India.
silgourab@gmail.com
Ph.D. Student: Infrastructure

Bhubaneswar, India.
smruti.sourava@gmail.com
Asst. Professor: Infrastructure

Bhubaneswar, India.
deyparthapratim@rediffmail.com
Abstract Delay indicates the excess time consumed in

a transportation facility in comparison to a reference
value. Service delay is a basic parameter by which the
performance of median openings can easily be
determined. Performance is a measure of effectiveness
of median openings and described by the delay
experienced by the low priority movements i. e. U
turns. Delay is the time difference between the arrival
and departure of the subject vehicle at the reference
line. The service delay experienced by the lower priority
movements any uncontrolled (i.e. no signal, no road
signs, no police personnel) median openings in mixed
traffic conditions under a varying number of conflicting
vehicles was studied. To collect data, video recording
technique was adopted. Four different median openings
on 6-lane divided urban roads were selected for the
study. Service delay to different category of vehicles,
namely 2-wheeler, 3-wheeler, sports utility/multi utility
vehicles, cars, and light commercial vehicles were
determined. It was found that the service delay to a
subject vehicle is directly proportional to the number of
conflicting vehicles and some mathematical models are
developed to determine the service delay easily.
openings. The service delay depends upon the

conflicting traffic flow [9], [14]. HCM (2010) uses
the term service time for delay experienced by a
vehicle at the stop line. Service delay mainly depends
upon the conflicting traffic volume and the priority of
the movement. Previous reports are available for the
estimation of delay at median openings under
homogeneous traffic condition. In developing
countries like India, where a highly heterogeneous
traffic condition prevails, researches have been
carried out on the estimation of service delay at
uncontrolled intersections. But till now no report is
available on the assessment of service delay at
uncontrolled median openings in mixed traffic
conditions. Therefore, the present study was
undertaken with the following objectives:
4
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Keywords Mixed traffic; uncontrolled median

openings; U-turn; service delay; number of conflicting
vehicles.
I.
II.
INTRODUCTION
Capacity and effectiveness of median

openings can be described by the service delay
experienced by the U-turning vehicles. The service
delay is the waiting time experienced by a vehicle at
the reference line looking for a sufficient gap to
complete U-turn. It is the time difference between a
realized and an ideal operation time [9]. Service delay
is a measure of effectiveness of an intersection
experienced by the road users. The users perception
to measure the quality of service is very difficult and
therefore, delay is a widely used to measure the
quality of service at intersections. Delay is also a
fundamental parameter in the economic analysis of
highway investments [9]. So, service delay can also
be used to identify the performance of median
To estimate the average service delay for

different category of vehicles at uncontrolled
median openings in 6 lane divided urban
roads; and
To find the effect of number of conflicting
vehicles (n) to service delay for different
category of vehicles.
EARLIER STUDIES AND MODELS ON
SERVICE DELAY
Reference [1] assessed the influence of

stopped delay on drivers gap acceptance behavior.
Reference [2] projected capacity of U-turn at median
openings. He concluded that the capacity and average
total delay models for U-turn movements at median
openings were being significantly influenced by the
conflicting traffic flow. Reference [3] developed
delay models at congested unsignalized intersections.
They suggest a linear empirical model to estimate the
average service delay as a function of conflicting
traffic volume and a set of empirical models to find
the average queue delay as a function of the subject
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approach traffic intensity. Reference [4] proposed a

hybrid approach for predicting delay at under
saturated two-way stop controlled intersections.
Reference [5] assessed the effect of heterogeneity of
traffic on delay at signalized intersections from the
data collected at three intersections of Chennai city.
Reference [6] developed a simulation program to
analyze service delay at TWSC intersections and
opined that the increase in service delay is directly
proportional to the conflicting traffic. Reference [7]
estimated critical gap through the clearing behavior
of drivers at unsignalized intersections. They
proposed an area as the influence area for gap
acceptance by a right turning vehicle from minor
street. Reference [8] proposed the methods for
determining the average stopped delay at signalized
intersection. Reference [9] developed exponential
models to estimate the service delay to different
category of vehicles for various priority movements
and for varying proportions of heavy and light
vehicles in the conflicting traffic in mixed traffic
conditions. Reference [10] estimated intersection
control delay using large data sets of travel time from
global positioning system. Reference [11] projected
capacity and delay for priority unsignalized
intersections. Reference [12] reported a strong
correlation between the delay and the gap
characteristics. Reference [13] studied delay at
signalized intersections under mixed traffic
conditions. Reference [14] investigated capacity and
characteristics
of
tow-way
stop-controlled
intersection. They developed a set of preliminary
empirical models to estimate delay and capacity at
two way stopped controlled intersections (TWSC).
Reference [15] developed a probabilistic delay model
at stop controlled intersections. Reference [16]
analyzed gap acceptance behavior at U-turn median
openings in the city of Jordan. They concluded that
male drivers tended to accept shorter gaps than
female drivers and the younger drivers were more
likely to accept shorter gaps than older ones. The
waiting time was also found to affect the gap
acceptance behavior of the drivers. Reference [17]
opined a new method for the field measurements of
capacity and delay at unsignalized intersections.
done. But, no report is available on the estimation of

delay at uncontrolled median openings and that too
under mixed traffic conditions. Therefore, present
study involves analyzing the service delay at
uncontrolled median openings in mixed traffic
conditions.
III.
From the earlier reports it was found that

estimation of delay at intersections under
homogeneous and mixed traffic conditions were
For the present study data were collected by

video recording technique at four different sections in
the state of Odisha, India. Six-lane divided urban
roads having width around 9.5 m with raised kerb on
either side of the road were selected. All the sites
considered for the study were free from the effect of
any upstream and downstream junctions, side friction
due to on-street parking, pedestrian movements,
curvature or bus stop. The details of U-turning traffic
composition at all the test sections are mentioned in
Table 1. The recorded video was played in the
laboratory several times to obtain the service delay
experienced and the number of conflicting vehicles
for each subject approach vehicle (U-turning vehicle).
The subject vehicles were divided into five
categories, namely two wheeler (2w), three wheeler
(3w), sports utility vehicle (SUV)/multi utility vehicle
(MUV), car, and light commercial vehicle (LCV).
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FIELD DATA COLLECTION AND

EXTRACTION
Data were extracted from the recorded film by

adopting the method proposed by Reference [9]. Each
and every subject movement was considered for the
microscopic analysis of the present study. The service
delay to a subject vehicle was measured for the
present study from the time (t0) the front bumper
arrived at the reference line to the time (td) the rear
bumper passed over the adjacent lane marking (i. e.
road marking of the lane adjacent to the median. It is
very significant to identify the reference line, where
the subject vehicle will stop before merging. From
the preliminary study, it was observed that around
80% of U-turning vehicles generally stop at around
1/3rd width of the lane adjacent to the median. This
line was considered as a reference line for the
measurement of t0. To measure td, the adjacent lane
marking was considered because it has been observed
that once the rear bumper touches the line, the vehicle
dose wait no more in the conflicting area. Therefore,
service delay is the difference between td and t0.
Where, t0 = time of arrival of the front bumper of
subject vehicle at the reference line; td = time of
departure of the rear bumper of subject vehicle from
the adjacent lane marking at median opening. Video
image-processing software was used to extract data
from video.
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SUV/
MUV
CAR
LCV
HV
Other
Total
4416
5876
5521
4736
3-W
Approaching through
traffic volume,
v ph
1
2
3
4
1(a) represents the arrival of the subject vehicle

towards the reference line, 1(b) represents the time
when front bumper of the subject vehicle just arrived
at the reference line (t0) i. e. starting of service delay,
and 1(c) represents the time when rear bumper of the
same subject vehicle just departs from adjacent lane
marking (td) i. e. the end of service delay. Therefore,
the service delay experienced by the subject vehicle is
the difference between td and t0.
U-turning traffic volume, vph
2-W
Section
Table 1 Traffic composition at different sections
492
647
178
700
213
72
23
343
36
30
4
92
153
103
15
287
24
12
2
94
6
6
23
18
12
66
942
882
222
1605
(a)
The software extracts video image into frames in

which 1s of video data were converted into 25
frames. The microscopic analysis of service delay to
a vehicle requires the definition of the conflicting
traffic flow as seen by the subject approach vehicle i.
e. U-turning vehicle [9]. Let, n = number of observed
conflicting vehicles for the subject vehicle, including
the conflicting vehicle passing just after the departure
of the subject vehicle; tn= time of arrival of nth
conflicting vehicle at the reference point. The vehicle
passing just after the departure of subject U-turning
vehicle (i.e. after accepting gap) was considered as
conflicting vehicle. However, at low traffic volume it
is common for the conflicting vehicle, representing
the end of the accepted gap to pass through the
median opening long after the departure of the subject
vehicle. Thus the subject vehicle never sees this
conflicting vehicle. Reference [12] proposed that a
maximum value can be used for accepted gap based
on criteria of sight distance and major street speed.
They suggest a maximum of 12 s is reasonable. In our
present study also, when tn td was greater than 12 s,
the vehicle representing the end of accepted gap was
not considered as conflicting vehicle. It is obvious
that in this case the movements of both the vehicles
are totally uninfluenced by each others movement.
The counting of conflicting vehicles demands
identification of reference point where the arrival of
conflicting traffic will be noted. Reference point for
calculating n was taken at an approximate distance
of half length of that median opening. From the
recorded film it was also found that maximum 10 m
width of the median opening was utilized by the
subject vehicles to complete their U-turns. So, a
reference point was considered at this distance from
the nose of the median opening for counting the
conflicting numbers of vehicles for any particular
subject movement (U-turning movement). During
data extraction parallel U-turn movements were not
considered. The photographic presentation of data
extraction for service delay shown in Figure 1. Figure
U-turning Vehicle approaching towards reference line
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1
(b)
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E
The front bumper of the U-turning Vehicle arrives at

reference line (t0: service delay starts)
(c)
The rear bumper of the U-turning Vehicle departs from

adjacent lane marking (td: end of service delay)
Figure 1 Photographic presentation for the estimation of

service delay
IV.
ANALYSIS OF DATA
Reference [9] defined the conflicting flow rate

(veh/s) as seen by particular subject approach vehicle
is the number of observed conflicting vehicles
divided by the observation time
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n
(t n t0 )
Table 2: Service delay statistics of different category of

vehicles
(1)
This definition differs from the standard macroscopic

method of estimating flow rates, in which averages
are reported for some fixed period, usually 15 min or
1h [9]. The major advantage of using disaggregated
data in microscopic analysis is that information is not
lost by aggregation and also the data points are
tremendously increased. It also gives an
instantaneous conflicting flow rate as faced by
vehicle waiting for a suitable gap. It is more relevant
in mixed type of traffic where the instantaneous flow
is many times much larger than average flow due to
the clustered or abreast movement of vehicles [9]. In
the present work the conflicting flow rate (veh/s) was
not considered for the estimation of service delay
(S.D.). The Equation (1) is rewritten as:
Category of
vehicle
2-w
3-w
SUV/MUV
Car
LCV
Conflicting flow rate =
n
(t n t d ) (t d t0 )
n
(t n t d ) S .D.
(2)
From the above equation it is clear that the

conflicting flow rate is a function of service delay.
Therefore, the effect of conflicting flow rate on
service delay gives an error in the estimation of
service delay. Again, it has been observed from the
preliminary study of the recorded film that as the
number of conflicting vehicles (n) increases, the
service delay increases. In other words, the service
delay is directly proportional to the number of
conflicting vehicles (n). Therefore, as there is an
increase in the number of conflicting vehicles, there
is no significant change in conflicting flow rate. So,
the use of conflicting flow rate would lead to an error
in the estimation of service delay to vehicles. To
eliminate this error in the estimation of service delay
the number of approaching through vehicles
conflicting to the subject vehicles movement was
considered and it gives a better estimation.
The microscopic analysis was done in

this study with a large amount of data on service
delay and the corresponding instantaneous conflicting
vehicles. The analysis was done separately for five
categories of vehicles: two wheeler, three wheeler,
SUV/MUV, car, and LCV at 4 different median
openings on 6-lane divided urban roads. The service
delay statistics for different category of vehicles were
estimated from the collected data and are given in
Table 2. As may be seen that it is the least for 2wheeler and the maximum for LCV.
Standard deviation
(), s
4.42
5.77
3.90
6.09
4.89
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E
Mean (),
s
6.86
7.56
8.34
8.92
10.64
It was observed that number of conflicting vehicles

have a great influence on the waiting time for service
of a vehicle at the reference line at median opening.
Figure 2 shows the scatter plot between service delay
and conflicting number of vehicles for 2-w, 3-w,
SUV/MUV, car, and LCV respectively. It has been
observed that as the number of conflicting vehicles
increases, service delay increases, in other words the
service delay is directly proportional to the number of
conflicting vehicles (n). At higher traffic volume it is
the psychological behavior of a diver to reject gap
which would have otherwise been accepted at lower
traffic volume. Thus it is obvious that the presence of
high approaching through traffic volume would inflict
to reject more number of gaps resulting in increased
number of conflicting vehicles and therefore service
delay increases. This aspect was explored
mathematically in the present study. The linear
regression resulted an R2 value of 0.89 and above for
all the categories except 2-wheelers. High R2 values
indicate the good strength of the models in predicting
the service delay. The value is 0.80 and this is due to
a wide range of different category of 2-wheelers as
well as variation in drivers. It has been observed that
around 40% drivers are female for the category of 2wheelers whereas the proportion is less than 5% in
other category of vehicles like car, SUV etc. The
mathematical models given in Table 3 could be used
to quantify the effect of number of conflicting
vehicles on service delay to a vehicle.
40
2w
Service delay (sec)
Conflicting flow rate =
30
20
10
0
0
10
20
30
Number of conflicting vehicles (n)

(a)
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40
Table 3: Category wise empirical models
40
Service dealy (sec)
3w
Model
R2 - value
2-w
y = 1.081x + 0.433
R = 0.80
3-w
y = 1.111x + 0.448
R = 0.89
SUV/MUV
y = 1.030x + 0.580
R = 0.95
Car
y = 1.144x + 0.605
R = 0.89
LCV
y = 1.064x + 0.918
R = 0.97
Category of
vehicle
30
20
10
0
0
10
20
30
40
Where, x = number of conflicting vehicles, and y = service delay

(b)
40
V.
CONCLUSIONS
Service dealy (sec)
SUV/MUV
30
20
10
0
0
10
20
30
40
Car
Service delay (sec)
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E
30
20
10
0
0
10
20
30
40

(d)
40
LCV
Service delay (sec)
4
1
(c)
40
This study provides preliminary linear

models to estimate service delay to different
categories of vehicles for low priority movements, i.e.
U-turning movements for varying number of
conflicting vehicles at uncontrolled median openings
on 6 lane divided urban roads. Due to the dimensions
and frontal shape of 2-wheelers the average service
delay is found to be less as compared to other
category of vehicles. The average service delays to
SUV/MUV are less as compared to cars. This is
attributed to car ownership, age and gender of the
driver, engine power, and drivers aggressiveness.
But it is true that irrespective of all the factors
mentioned above, the subject vehicle experience
service delay and it depends mainly on the number of
conflicting traffic count. The number of vehicles
conflicting with the subject vehicle, seeking for a gap
to merge with the traffic stream, was found to be
more appropriate to the study the service delay and
could be used in the microscopic analysis of service
delay.
30
Models were developed relating service delay of a

vehicle with the number of conflicting vehicles. The
performance of the median openings could be
assessed by the delay experienced by low priority
movements i.e. U-turning vehicles. Therefore, the
findings of this study can be used as a measure of
effectiveness (MOE) to assess the operational
condition of uncontrolled median openings in India.
20
10
0
0
10
20
30
40

(e)
Figure 2: Effect of conflicting vehicles (n) on service delay
424 of 446
[17] T. Zongzhong, M. Kyte, and J. Colyar, Field measurement of

capacity and delay at unsignalized intersections, ITE Journal,
April 1997, pp. 22-26, 1997.
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driver gap acceptance behavior, Journal of Transportation
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[18] Highway Capacity Manual, Transportation Research Board,

Washington, D.C., 2010.
[2] H. R. Al-Masaeid, Capacity of U-turn at median openings,

ITE Journal, pp. 32-34, June 1999.
[3] B. Al-Omari, and R. F. Benekohal, Delay at congested
unsignalised intersections, Conference on Traffic congestion and
traffic safety in the 21st century: challenges, innovations, and
opportunities, Chicago, Illinois, pp. 194-200, June 1997.
[4] B. Al-Omari, and R. F. Benekohal, Hybrid delay models for
unsaturated two-way stop controlled intersections, Journal of
Transportation Engineering, ASCE, Vol. 125, No. 4, pp. 291-296,
July 1999.
[5] T. V. Arasan, and K. Jagadish, Effect of Heterogeneity of
Traffic on Delay at Signalized Intersections, Journal of
Transportation Engineering, ASCE, Vol.121, No.4.pp. 397-404,
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[6] R. Ashalatha, and S. Chandra, Service delay analysis at TWSC
intersections through simulation, KSCE Journal of Civil
Engineering, Vol. 15, No. 2, pp. 413-425, January 2011.
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behavior of drivers at unsignalised intersection, KSCE Journal of
Civil Engineering, Vol. 15, No. 8, pp. 1427-1434, March 2011.
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Using 1985 and 1994 Highway Capacity Manual Procedures,
Transportation Research Record 1555, TRB, National Research
Council, Washington, D.C., pp. 23-32, 1996.
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analysis of service delay at uncontrolled intersections in mixed
traffic conditions, Journal of Transportation Engineering, ASCE,
Vol. 135, No. 6, pp. 323-329, June 2009.
4
1
S
E
[10] B. Hoeschen, D. Bullock, and M. Schlappi, Estimating

intersection control delay using large data sets of travel time from
global positioning system, TRR 1917, Transportation Research
Board, National Research Council, Washington, D. C., pp. 18-27,
2005.
[11] A. Khattak, & P. Jovanis, Capacity and delay estimation

approaches for priority unsignalized intersections: Conceptual and
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National Academies, Washington, D.C., pp. 129-137, 1990.
[12] W. K. Kittelson, and M. A. Vandehey, Delay effects on

driver gap acceptance characteristics at two-way stop-controlled
intersections, TRR 1320, Transportation Research Board,
National Research Council, Washington, D.C., pp.154-159, 1991.
[13] R. P. Kumar, and, G. Dhinakaran, Estimation of delay at
signalized intersections for mixed traffic conditions of a
developing country, International Journal of Civil Engineering,
Transaction A: Civil Engineering, Vol. 11 (1), pp. 53-59, July
2012.
[14] M. Kyte, C. Clemow, N. Mahfood, B. K. Lall, and C. J.
Khisty, Capacity and delay characteristics of two-way stopcontrolled
intersections,
TRR
1320,
Transportation
ResearchBoard, National Research Council, Washington, D.C., pp.
160-167, 1991.
[15] S. M. Madanat, M. J. Cassidy, and M.-H. Wang, Probabilistic
delay model at stop-controlled intersection, Journal of
Transportation Engineering, ASCE, Vol. 120, No. 1, pp. 21-36,
January 1994.
[16] T. A. Obaidat, and M. S. Elayan, Gap acceptance behavior at
U-turn median openings-case study in Jordan, Jordan Journal of
Civil Engineering, Vol. 7, No. 3, pp. 332-341, April 2013.
425 of 446
Defining Level of Service at Uncontrolled

Median Openings through K-Medoid
Clustering
Smruti Sourava Mohapatra
Gourab Sil
Partha Pratim Dey
Ph. D. Student,
Bhubaneswar, India.
E-mail: smruti.sourava@gmail.com
M. Tech. Student,
Bhubaneswar, India.
E-mail: silgourab@gmail.com
Bhubaneswar, India.
E-mail: deyparthapratim@rediffmail.com
AbstractDelay ranges for Level of Service (LOS)

categories of uncontrolled median openings on
urban multilane roads are not well defined for the
heterogeneous traffic condition prevailing in India.
To estimate the LOS ranges at uncontrolled median
opening service delay was considered as a measure of
effectiveness. An attempt was made in this regard by
collecting service delay data from different median
openings on multilane divided urban roads. To have
variation in traffic volume data were collected at different
duration on various weekdays to have wide variation in
conflicting traffic volume. Five validation parameters are
used on service delay data to find the optimal number of
clusters which is required to decide the number of LOS
categories. After deciding the optimal number of clusters
the service delay data were clustered into six LOS
categories and delay range of each LOS category was
determined.
I.
INTRODUCTION
Level of Service (LOS) is a term that designates a

range of operating conditions on a particular type of
facility. LOS is defined as a quality measure
describing operational conditions within a traffic
stream, generally in terms of service measures such as
speed and travel time, freedom to maneuver, traffic
interruptions, comfort and convenience [1]. Quality of
service describes how well a transportation facility or
service operates from a travelers perspective. Level of
service (LOS) is a quantitative stratification of a
performance measures that represent quality of service
(HCM, 2010). The HCM-2010 designates six levels of
service for each type of facility, from A to F, with
LOS A representing the best operating conditions and
LOS F the worst. The HCM focuses particularly on
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Keywords Service delay, Median Opening, Clustering,

Cluster validation, Mixed traffic, U-turn
the travel time, speed, delay, maneuverability, and

comfort aspects of quality of service [1].
The performance of an unsignalized intersection is
described by the delay experienced by low priority
movements [2]. Delay is a term that describes excess or
unexpected time spent in travel. Interrupted facilities
like un-signalized intersection, signalized intersection,
and arterials or corridors have control delay, total delay
and average travel speed as the measure of
effectiveness respectively. Delay is also a fundamental
parameter in the economic analysis of highway
investments [2].
A U-turning vehicle while taking a U-turn need to
merge but not to cross the approaching traffic. The Uturning maneuver is of lowest priority movement at the
median opening as the U-turning vehicle has to wait
and has to find a suitable gap to complete the merging
maneuver with great caution [3].
Therefore, the present study attempts to measure
the performance of uncontrolled median openings by
the delay experience by low priory movement i.e. Utuning movement.
II.
LITREATURE REVIEW
For heterogeneous traffic condition prevailing in

India LOS was classified into four groups (I-IV) [4].
Reference [5] considered congestion as a measure of
effectiveness for the prevailing heterogeneous traffic
condition in India divided LOS into nine groups A to
I. The set of variables that affect control delay at
signalized intersection was determined by the use of
SIDRA and Transyt-7F [6]. A new methodology to
estimate control delay based on segment delay was
proposed by researchers [7]. An empirical model was
developed to estimate the delay for minor street traffic
at two way stop control intersections for multilane
roads [8].
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Defining LOS criteria is basically a classification

problem and cluster analysis is a suitable technique that
can be applied for the solution of it. For this cluster
analysis large amount of service delay is required
because service delay was considered as a measure of
effectiveness for defining LOS criteria of uncontrolled
median openings in heterogeneous traffic condition
prevailing in India. Clustering technique has been
utilized by various researchers to solve various traffic
problems. LOS of a signalized intersection was
analyzed taking user perception and fuzzy c-means
clustering into account [9].
Fuzzy
C-means
(FCM),
Hierarchical
Agglomerative Clustering (HAC), k-means and kmedoid clustering algorithms were used with the
collected GPS speed data to quantify LOS speed ranges
of urban Indian roads [10,11,12]. Reference [13] used
free flow speed (FFS) and average travel speed during
peak and off peak hours, inventory of road segments
and self organizing map (SOM) in their study to define
LOS categories of urban roads in India. A framework
was proposed to define LOS categories of urban Indian
street using a hybrid algorithm comprising of Genetic
Algorithm (GA) and Fuzzy C-mean [14]. GPS and
clustering techniques were applied to define LOS
Criteria of signalized Intersections for Indian Cities
[15]. The authors from their study found that
intersection delay ranges for LOS categories valid in
the Indian context are much higher and are
approximately two times to those values mentioned in
HCM 2000.
III.
as that object for which the average dissimilarity to all

other objects in the cluster is minimal. Once the kmedoids are found, the data are classified into the
cluster of the nearest k-medoid. The medoid method
partitions the observed data into mutually exclusive
clusters, and returns a vector of indices indicating to
which cluster the data has been assigned.
The K- medoid is one the simplest algorithm that
can solve the well known clustering problem. Choosing
the number of clusters 1< c < N and initializing random
cluster centers from the data set, the following steps
were followed
Step-1: From a data set of N points, k-means algorithm
allocates each data point to one of c clusters to
minimize the within-cluster sum of squares:
Dik2 ( xk vi )T ( xk vi ), 1 i c, 1 k N . (1)
Where, is the distance matrix between data points and
the cluster centers, xk is the kth data point in cluster i,
and vi is the mean for the data points over cluster i,
called the cluster centers.
Step-2: Selecting points for a cluster with the minimal
distances, they belong to that cluster.
Step-3: Calculating fake cluster centers
Cluster analysis is the process of grouping objects

based on the information found in the data set
describing their relationships. The objective of the
clustering technique is that the data points in a group
will be similar to one another and different from the
data points in other groups. Data points in a cluster are
closer to the center of a cluster, then the center of any
other cluster. An efficient clustering method will
produce clusters with property that their intra-cluster
distance is small and their inter-cluster distance is large
[16]. The commonly used clustering algorithms those
can be used for defining LOS criteria are k-means, kmedoid, and hierarchical agglomerative and fuzzy cmeans clustering, affinity propagation, self organizing
map and etc. Out of these algorithm k-medoid
clustering algorithm is used for this study.
A. K-Medoid Clustering
The k-medoid partitioning algorithms presented
here attempt to accomplish partition a set of objects into
two or more clusters in such a way that objects within a
cluster are similar and objects in different clusters are
dissimilar by finding a set of representative objects
called k-medoids. The k-medoid of a cluster is defined
j 1
(2)
Ni
Step-4: Choosing the nearest data point to be the
cluster center
(3)
Dik2* ( xk vi* )T ( xk vi* )
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CLUSTER ANALYSIS AND CLUSTER

VALIDATION MEASURES
4
1
*
vi( l )
and xi* arg mini ( Dik2* ); vi(l ) xi*

Until max v (l ) v (l i ) 0
Where,
Dik2* is the distance matrix between data points
and the fake cluster centers, xk is the kth data point in

*
cluster i, xi is the fake data point in the cluster i which
approximate to the calculated fake cluster center point
and closer to any data point from the input data set, vi*
is the fake mean for the data points over cluster i, vi(l ) is
the center of cluster i after l number of iterations.
B. Validation measure
Cluster validity is concerned with checking the
quality of clustering results. It has been mainly used to
evaluate and compare whole partitions, resulting from
different algorithms or resulting from the same
algorithms under different parameters. A common
application of the cluster validation measure is to
determine the correct number of clusters for a set of
data [17]. Different validity measures have been
proposed in the literature, none of them is perfect by
oneself, and therefore several indices are used in this
study, such as: Weighted inter-intra index (W),
Hartigan index (HI), R-squared Index (RSI),
Krzanowski-Lai Index (KLI) and Davies-Bouldin Index
(DBI).
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nj
SSt ( X A x j ) 2 and SS w
(A) Weighted inter-intra index (WI)

This index can be utilized to get the right number
of clusters for a particular data set. The objective here is
to maximize intra-cluster similarity and minimize intercluster similarity. The inter-cluster and intra-cluster
similarity are given bellow:
1
inter ( X , , i, j )
S ( X a , X b ) (4)
ni n j a i ,b j
j 1 k 1
nij
(X
xj )
i 1... c k 1
j 1... m
Here, c is the number of clusters, m is the number of

dimensions of data, nj is the number of data values of j
dimension, nij corresponds to the number of data values
of j dimension that belongs to cluster i. x j is mean data
, X b ) (5)
value of j dimension. XA chosen any arbitrary data

point. The optimal number of clusters is that point for
which the parameter value on the graph goes downward
[21].
S is the similarity matrix. The quality measure

is
found out by the ratio of weighted average inter-cluster
to weighted average intra-cluster similarity.
(D) Krzanowski-Lai Index (KLI)

The index of Krzanowski and Lai (KLI) is defined as
DIFF (c)
KLI (c)
(9)
DIFF (c 1)
And
intra ( X , , j )
2
(ni 1) ni
S(X
a b i ,b a
(Q )
( X , ) 1
(Q)
ni
nn
i 1
inter( X , , i, j )
j
i j1,... i 1,i 1... c
n
(6)
ni intra( X , , i)
i 1
Here i and j are cluster indices. n is the number of data

points in the input matrix. X is the input matrix. Xa and
Xb are two vertices. is a vector containing the output.
(Q ) can have highest value 1 and lowest value 0.

Reference [18] stated that the highest value of
Weighted Inter-Intra Index (WI) gives the optimal
number of clusters for a given data set.
Here err (c) describes the fitness of clustering result.

c
err (c)
( X a ,Ci )
i 1 a 1,ai
In this formulation c is the number of clusters and c 1

; n is the number of data points. d is the distance
between data sample Xa and the centre Ci. i, j are
indices. The lowest value of the Hartigan Index (HI)
signifies the optimal number of clusters for a particular
set of data [19, 20].
(C) R-squared Index (RSI)
R-squared index (RSI) is defined as follows:
SS SS w
RSI t
SSt
Where,
(8)
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(E) Davies-Bouldin Index (DBI)

This index is a function of the ratio of the sum of
within-cluster scatter to between-cluster separation.
This DB index is defined by Davies and Bouldin as
follows
D (i) Dc ( j )
1 c
DBI max c
(10)
c i , j 1 i j d ce (i, j )
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(B) Hartigan index (HI)

Hartigan index (HI) is applied to get the optimal
number of clusters for a set of data. The index is
calculated as follows:
err (c) err (c 1)
(7)
HI (n c 1)
err (c 1)
Where, DIFF (c) (c 1) p W (c 1) c pW (c)

And p denotes the number of features in the data set, c
denotes the number of clusters and c 2 , W(c) denotes
the within cluster sum of the square of the partition.
The highest value of Krzanowski-Lai index (KLI) gives
the optimal number of clusters for a given data set [20].
Here Dc
X a Ci
and d ce Ci C j
Ni
Here Dc and dce are intra-cluster and inter-cluster
distances respectively. Consequently Davies- Bouldin
index is small for good cluster. The optimal number of
clusters for a data set is the number of clusters for
which the Davies-Bouldin index (DBI) value is the
lowest [22].
i
IV.
FIELD STUDIES
Service delay data were collected at different
uncontrolled median openings in multilane divided
urban roads with the help of videographic technique.
The effects of any upstream and downstream junctions,
side friction due to on-street parking, pedestrian
movements, curvature or bus stop were not considered
to choose the test sections. At each test section about 6
to 8 hours of video recording was carried out during
both peak and off peak periods on various weekdays.
All the vehicles were categorized into five categories,
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namely two wheeler (2-W), three wheeler (3-W), sports

utility vehicle (SUV) /multi utility vehicle (MUV), car,
and light utility vehicle (LCV). The service delay
experienced by HVs were not considered for this study
as the U-turning HVs were found to be less than 1% in
U-turning traffic composition.
From the recorded video, the time of arrival and
departure of U-turning vehicle at the median opening
was noted. The time difference between these two
events is the service delay experienced with the Uturning vehicle.
V.
ANALYSIS
Service delays experienced by five categories of
vehicles: 2-W, 3-W, SUV/MUV, car, and LCV at
different median openings on multilane divided urban

roads were analyzed. The average service delays for
each category of vehicle were estimated from the
collected data at different approaching traffic volume
(vph) are given in Table 1. From the table it can be seen
that the average service delay experienced by a 2-W is
lowest and it goes on increasing for 3-W, SUV/MUV,
car and LCV. The average service delay experienced by
the low priority movements, i.e. U-turns are also given
in Table 1. Service delays of 1752 vehicles were
observed in this study and these data were clustered
with K-medoid algorithm to obtain the delay ranges for
each LOS category.
Table 1 Effect of approaching traffic volume on service delay

Traffic
Volume
(vph)
Upto 1600
1600-2200
2200-2800
2800-3400
3400-4000
4000-4600
4600-5200
5200-5800
5800-6400
6400-7000
7000-7600
2-W
3-W
SUV/
MUV
CAR
LCV
MEAN
MEAN
MEAN
MEAN
MEAN
MEAN
S.D.
3.17
4.83
5.14
5.92
7.35
7.88
8.85
9.73
12.10
12.91
15.14
5.44
5.96
6.55
7.33
7.58
11.10
11.46
13.36
13.80
14.43
15.32
5.36
5.93
6.42
7.57
7.79
11.67
11.53
13.55
13.88
14.38
16.07
5.88
6.16
6.61
8.23
8.73
11.06
12.60
13.41
15.40
16.81
17.88
5.83
6.15
8.31
9.51
10.36
11.39
13.34
14.99
15.78
16.32
19.66
4.15
5.50
5.85
6.79
7.82
9.38
10.29
11.59
13.33
14.16
16.16
2.63
2.76
2.73
3.65
4.17
6.85
7.40
9.04
7.96
8.08
7.91
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By deciding the optimum number of clusters the

service delay data can be clustered into number of LOS
categories. It is always considered that lesser number of
clusters is preferred as optimal cluster if variation in
parametric values between two consecutive numbers of
clusters is minimal [21].
The computed index values of different validation
measures, i.e. WI, HI, RSI, KLI and DBI with
corresponding cluster numbers are illustrated in Figure
1 (a-e). The figure shows the variation of index values
for 2-8 number of clusters. These five numbers of
cluster validation measures were utilized for the
determination of optimal number of clusters and after
deciding the optimal number of clusters for this data set
the service delay data were classified into the specified
number of LOS categories. The weighted inter-intra
index is having the highest value for 6 numbers of
ALL
clusters. Therefore, 6 is chosen as the optimal number

of clusters. HI value is lowest for 7 numbers of clusters.
So, seven can be inferred to be the optimal number of
clusters. RSI graph goes downward beyond six clusters
suggesting the optimal number of clusters to be 6. From
the graph it can be observed that KLI is highest for 6
numbers of clusters so 6 is selected as the optimal
number of clusters. For DBI optimal number of clusters
is found to be 6. These five parameters determine the
quality of the cluster obtained by classifying the service
delay data into number of groups. It is found that when
the input data set is grouped into optimal number of
clusters the quality of clusters is the best. Out of five
validation parameters considered in this study four
parameters give the optimal cluster value as 6 which is
also same as suggested by HCM-2010. That is the
reason for which in this study the LOS has been
classified into six types.
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0.0006
3
2.5
H Index
W Index
0.0005
0.0004
1.5
0.0003
0.5
0.0002
0
0
3 4 5 6 7
Cluster Number
(a)
0.008
0.004
0.006
0.003
3 4 5 6 7
Cluster Number
(d)
0.002
0.004
0.001
0.002
0
0
3 4 5 6 7
Cluster Number
(c)
4
1
0.0008
DB Index
3 4 5 6 7
Cluster Number
(b)
KL Index
RS Index
0.0007
0.0006
0.0005
0.0004
0
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2
4
5
Cluster Number
(e)
Figure 1 Validation Measures for Optimal Number of Clusters Using K-medoid clustering
Figure2 Level of Service of uncontrolled median opening
Service delay data of 1752 vehicles collected at

different median openings were analyzed in this study.
So to get the service delay ranges of different LOS
categories these collected data were clustered using Kmedoid clustering. Service delay data are given to the
algorithm as input. As from validation parameter

analysis it was found that the optimal number of
clusters to be 6, number of cluster was chosen as six for
clustering of service delay. Service delay ranges of
level of service categories obtained in the present
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context using k-medoid cluster analysis is shown in the

Figure 2 and are summarized in Table 2. As this is a
single variable (service delay) classification problem
the X axis represents the LOS category and the Y
axis represents service delay. In this figure delays for
LOS categories A to F are shown in six different
symbols and delay rages are shown in the legend. From
this figure it is observed that data points are falling
under level of service category A for a service delay of
less than 5 seconds and that is more than 23 second for
the worst condition.
[4] B.R. Marwah, B. Singh, Level of service classification for urban

heterogeneous traffic: A case study of Kanpur metropolis, In Proc.,
Fourth International Symposium on Highway Capacity, Hawaii, , pp.
271-286, June-July 2000.
[5] B. Maitra, P.K. Sikdar, and S.L. Dhingra, Modeling congestion
on urban roads and assessing level of service, Journal of
Transportation Engineering, ASCE, vol.125, no.6, pp.508-514, 1999.
[6] Y. Darma, M. R. Karim, J. Mohamad, and S. Abdullah, Control
delay variability at signalized intersection based on HCM method, In
Proceedings of the eastern Asia society for Transportation Studies,
vol. 5, pp. 945-958, 2005.
[7] B. Hoeschen, D. Bullock,, and M. Schlappi, Estimating
intersection control delay using large data sets of travel time from a
global positioning system, Transportation Research Record, 1917,
Transportation Research Board, Washington, D.C., pp. 1827, 2005.
Table 2 Delay Ranges for LOS Categories of uncontrolled

median openings
LOS Category
Service Delay Range
<5
5-8
8-11
11-15
15-23
>23
VI.
[8] H. Zhou, L. Hagen, J. J. Lu, and Z. Tian, Empirical delay models

for multi-lane two-way stop-controlled intersections, ITE Journal,
vol. 76, no.9, 2006.
[9] F.C. Fang, K.K. Pecheux, Fuzzy data mining approach for
quantifying signalized intersection level of services based on user
perceptions, Journal of Transportation Engineering, vol.135, no
6,pp.349-358,2009.
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[10] P. K. Bhuyan, and K. V. Rao, FCM clustering using GPS data

for defining level of service criteria of urban streets in Indian
context, Transport problems, vol.5, no.4, pp.105-113, 2010.
CONCLUSION
Service delay is the time spent at the median

opening by a U-turning vehicle, waiting for sufficient
gap in the approaching conflicting traffic so as to safely
complete the merging. The service delay is used in this
study as a measure of effectiveness to quantify the LOS
at uncontrolled median openings in multilane urban
roads under mixed traffic condition. In this regard data
were collected at different median openings for five
categories of vehicles at different duration on various
weekdays. 1752 vehicles data were extracted from the
recorded video. The optimal number of clusters was
determined with five cluster validation measures. The
optimal number of clusters was found to be six and the
observed service delay data were classified into six
groups with K-medoid clustering algorithm to get the
delay ranges of six LOS categories. Delay ranges for
LOS category A found to be less than 5 seconds,
which describes the best operating condition and for the
worst operating condition, i.e. LOS F the delay range
was found to be more than 23 seconds.
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REFERENCES
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introduction to cluster analysis, vol. 344, Wiley. Com, 2009.
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Optimum Design of FRP Rib Core Bridge

Deck Panel using Gradient based
Optimization
TusharKanti Dey1, Anupam Chakrabarti2 and
Umesh Kumar Sharma3
manufacturing criteria. The trials which satisfy the

design constraints (i.e., the deflection criteria) are
further considered for optimization. The
optimization function based on gradient based
optimization is defined corresponding to the
minimum volume leading to the optimum cost of
material.
Finally,
the
optimum
design
configurations of the bridge deck are analyzed to
satisfy the buckling and failure load criteria.Very
few studies are available in the literature on the
optimization of FRP Rib core bridge deck
structures for which the initial cost of construction
is very high. Some of these studies related to the
present topic are discussed below.
1,2,3
Department of Civil Engineering, Indian

Institute of Technology Roorkee, Roorkee,
Uttarakhand, Pin: 247667, India.
Email id: tkdiitr@gmail.com
Abstract-In this paper an optimum design scheme has

been proposed for Fiber Reinforced Polymer (FRP)
bridge deck having a Rib core configuration where
the Ribs are placed only in one direction i.e. across
the span. The optimization has been carried out using
criteria based on the maximum deflection, critical
buckling load and failure load based on gradient
based optimization. The process of optimization has
been executed using modified PYTHON script
generated by Graphical User Interface (GUI) of
ABAQUS CAE. The values of the design parameters
are finalised based on the solutions corresponding to
the minimum volume of the FRP materials used. Thus
a comprehensive optimisation scheme is adopted in
the present study to get a cost effective FRP
structural panel.
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Keywords- FRP; Composite; Optimization;

I. INTRODUCTION
Fiber Reinforced Polymer (FRP) laminated

panels are gaining acceptance in many
engineering applications all over the world as they
are light weight and durable. However, high
initial cost of FRP has restricted its wide use in
civil
engineering
applications.
Therefore,
optimisation of structures made of FRP is of prime
importance to restrict the cost within manageable
limits. It is observed in the literature that till now
very little work has been done on the optimisation
of FRP structures. In the present study a simple
methodology is proposed for the optimization of
FRP Rib core bridge deck structures using the
commercial FEA package ABAQUS CAE 6.8. The
PYTHON script generated using the above package
is modified to perform multiple trials by varying
the structural design parameters (i.e., thicknesses of
top and bottom face plates; thickness, depth and
number of Ribs in the core). The initial dimensions
of the design parameters are chosen in view of the
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1
An optimization process suggested for

FRP bridge deck with cellular and stiffened box
geometries by Burnside et al. [1]. Shape
optimization of FRP beams with wide-flange
section has been carried out by Qiao [2]. An
optimization design of FRP structural system was
performed by Salem [3] to analyze the impact of
high cost of FRP materials on the design of bridge
system. Mantell et al. [4] proposed and validated a
general methodology for assessing minimum cost
beam design for various pultruded shapes of a glass
fiber reinforced composite box beam. Park et al. [5]
performed a three dimensional numerical modeling
to optimize the geometry of bridge decks and
properties of FRP materials. Kim et al. [6]
developed an optimization procedure based upon
modified genetic algorithm (GA) which was
implemented into a computer code. Qiao et al. [7]
conducted a combined homogenization and multiobjective technique to study and optimize the
properties of thin-walled sinusoidal honeycomb
cores. In the present study a simple methodology is
proposed for the optimization of FRP rib core
bridge deck structures using the commercial FEA
package ABAQUS CAE 6.8 [8]. The PYTHON
script generated using the above package is
modified to perform multiple trials by varying the
structural design parameters (i.e., thicknesses of top
and bottom face plates; thickness, depth and
numbers of ribs in the core).
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II. GENERAL SPECIFICATIONS

A typical representative bridge panel (simply
supported on two opposite edges while the other
two edges are free) of span 3 m and width 1 m is
considered in the present study for the
optimization. The different depths considered for
optimization are 150 mm, 175 mm, 200 mm and
225 mm. For each depth 5, 7 and 11 numbers of
Ribs are taken in the present study to get different
optimized configurations. The details of the bridge
panel are shown in the Fig. 1. IRC 70R track
vehicle loading [9] with impact effect is applied on
the bridge decks in addition to the self weight. The
structural system is subjected to a typical patch
load of 350 kN over an area of 4570 mm x 840 mm
with an intensity of 0.11 N/mm2.The permissible
deflection limit of Span (L)/800 as per
AASHTO[10]specifications is adopted in this
study. Structural optimisation has been performed
considering number of Ribs, depth and thicknesses
of Rib; thickness of top and bottom face plates as
the basic design parameters. The design parameters
are varied to obtain different trial solutions in
different steps using Abaqus CAE where material
properties for different components are treated as
invariable. The ply stacking sequences used for top
and bottom plate are (0/90/0). Whereas the ply
sequence for Rib is (45/-45). The material
properties of FRP Composites used in the present
problem is (EL=23 GPa, ET=18 GPa, GLT=9 GPa,
LT=0.25, Density=1826 kg/m3)
generated, python scripting is modified using the

Graphical User Interface (GUI) of ABAQUS CAE
6.8 [8].
For optimization, an objective function is
chosen to minimize the volume of the structural
system. The following objective function is used in
the present study:
V = W*tb +W*tt +n*tw *( Dtb tt ) +2*W*L

Where L -total length of the components,
tb thickness of bottom plate, tt-thickness of top
plate, D-depth of Rib, W-width of the component
IV. OPTIMIZATION ALGORITHM
In the present optimization scheme an elaborate
and efficient iteration methodology is incorporated
in the code to obtain a range of probable solution
based on minimum volume criteria. After getting
the above range, the design parameters are further
refined in the iteration to reach the optimum
design. The full optimization coding is done using
python scripting language with the help of
graphical user interface (GUI) of ABAQUS CAE
6.8 [8].The algorithm for the modified code used in
the present study is also illustrated by a typical
flowchart in Fig. 2. Thus the proposed optimization
scheme has a wide range of application due to the
availability of multiple looping function which
helps in handling multiple design parameters.
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Fig. 1. Cross sectional view of a typical bridge deck
III. OPTIMIZATION METHODOLOGY

In general design optimization is carried out for
both structural as well as material components. In
order to perform the optimization for both of the
above components, a number of design variables
and constraints are required involving a long
iteration process. As mentioned before, very
limited optimization techniques are reported in the
available literature on the present problem of FRP
rib core bridge deck structure. In the present study
the material optimization is not considered as the
range of material property variation for FRP
composite is very limited in the global market. To
make the structural optimization simple and self
Fig. 2. Typical flowchart for the proposed optimization code
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V.MODELING
0.65
The model comprises of three components i.e.

bottom face plate, unidirectional rib core, and top
face plate. The various components of the structure
are generated in the part module of ABAQUS CAE
6.8 [8] and assembled as shown in Fig. 3. The
elements used for the present FE analysis are
conventional shell elements having three
displacements and three rotational degrees of
freedom. The element type used is: S4R (S4R:
Conventional Stress/Displacement Shell, 4-node,
Reduced Integration). The shape of the element is
quadrilateral having linear element geometry.
Volume(m )
0.64
0.63
0.62
0
10
20
30
40
50
60
70
80
Trial numbers
Fig 4. Convergence of solution
optimization for each configuration. Typical

deflection profile and the stress contours under
general static load obtained in the present analysis
is shown in Fig. 5 and Fig. 6 respectively. A typical
buckling mode shape for the optimized bridge deck
system is also shown in Fig. 7 for the applied load.
The results of a typical failure analysis carried out
on the optimized configuration are shown in Fig. 8,
Fig.
9,
Fig.
10
and
Fig.
11
respectively.Optimizations of various combinations
performed are summarised in the Table 1. In Table
2 detail result of the Structural Analysis of bridge
deck is presented
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Fig.3. Components of the structural system
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VI.RESULT
In the present study a thorough optimization is

performed for the FRP rib core bridge deck based
on the deflection criteria (permissible deflection
limit = Span /800) to obtain the minimum volume
using iteration method. The design parameters to be
optimized are the thicknesses of top face plate,
bottom face plate and ribs; and the number of ribs.
The depth of the rib is varied from 150 mm to 225
mm taking three different numbers (i.e., 5, 7 and
11) of ribs to obtain different optimized
configurations for practical applications. Fig. 4
represents the plot of the total volume of the FRP
bridge deck corresponding to different trial
configurations. The best range of configurations
with least volume is selected in this stage of
TABLE 1.Summary of optimum design (Span: 3m, width: 1 m)

Depth
(mm)
150
175
200
225
No. Of
Ribs
Optimized
Configuration (mm)
Rib
thickness
5
7
11
5
7
11
5
7
11
5
7
32
31
32
27
27
26
26
22
23
20
20
11
19
Volume
(m3)
Face plate
thickness
34.375
33.25
32.5
29
27.875
26.875
23.875
23.875
22.5
21
20
19.375
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0.7243
0.7194
0.7482
0.6259
0.6246
0.6384
0.5441
0.5441
0.5614
0.4770
0.4770
0.4941
TABLE 2. Result of the Structural Analysis

Description
Stress in Fiber
Direction (MPa)
Stress in
Transverse
Direction (MPa)
In-plane Shear
Stress (MPa)
Tsai-Hill failure
Criteria
Tsai-Wu failure
Criteria
Azzi-Tsai-Hill
failure
Maximum stress
Theory Failure
Buckling
Strength (N/sq.
mm)
Maximum
Deflection
of
Depth (L/800,
mm)
Design
Limits
Results of
Analysis
Factor of
Safety
427
11.82
36.1
324
4.82
67.1
179
4.27
41.8
<1.0
0.02
35.5
<1.0
0.03
30.2
<1.0
0.02
32.3
<1.0
0.02
38.6
18.70
88
0.11
170.0
3.75
3.74
1.0
Fig 7. Deflection contours under buckling load of the bridge

deck system
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Fig 8. Failure contours under Tsai-Hill theory of the bridge deck

system
Fig 5. Typical deflection pattern
Fig 9. Failure contours under Tsai-Wu theory of the bridge deck

system
Figure 6. Stress contours of the bridge deck system
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.
8
Top Plate
Bottom Plate
Web
Depth
Deflection(mm)
60
Fig 10. Failure contours under Maximum stress Theory Failure

of the bridge deck system
70
80
90
100
110
120
130
120
130
140
120
130
140
Variation(%)
Fig 12. Deflectionsensitivity
Stress
20
4
1
15
A
10
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60
70
80
90
100
Top Plate
Bottom Plate
Web
Depth
110
Variation(%)
Fig 11. Failure contours under Azzi-Tsai-Hill failure theory of

the bridge deck system
Top plate
Bottom plate
Web
Depth
210
Buckling
Sensitivity analysis has been performed to find the

effect of different design parameters on deflection.
The sensitivity analysis for deflection, stress, and
buckling load with the variations of design
parameters are shown in the Fig. 12, 13 and 14
respectively. Finally, interaction curves are plotted
in Fig. 15, 16, and 17 to show the variations of
thicknesses for different depth of the rib core.
These curves (Fig. 15, 16, and 17) shouldbe useful
for design purpose also.
Fig 13. Stresssensitivity
140
70
60
70
80
90
100
110
Variation(%)
Fig 14. Buckling loadsensitivity
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140
Web thickness(mm)
VII. DISCUSSION AND CONCLUSION
5 numbers of webs
7 numbers of webs
11 numbers of webs
A simple optimum design for FRP rib core bridge

deck panel is presented by using a computer
coding. The code developed for optimization in this
study has a wide application because the tedious
coding for the structure can be overcome with the
help of Graphical User Interface of ABAQUS CAE
6.8 [8]. It has added advantage due to the
availability of special features of multi-looping
which helps to simultaneously vary multiple design
parameters. The best optimum design of each
configuration also reveals that with the increase in
the depth of the bridge panel, the volume reduces
drastically. The depth of bridge panel is limited to a
certain extent due to some practical application
consideration. There are several outcomes of the
present study which are summarized below.
30
24
18
150
160
170
180
190
200
210
220
Depth(mm)
Fig 15. Variation of Rib thickness for different depth
Top plate thickness(mm)
35
5 Number of webs
7 Number of webs
11 Number of webs
4
1
28
21
150
160
170
180
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190
200
210
220
Depth(mm)
Fig
16.
thickness
Interaction
curve
for
top
plate
Bottom plate thickness(mm)
35
5 Number of webs
7 Number of webs
11 Number of webs
28
21
150
The sensitivity study reveals the effect of

different structural components on the design
constraints. When the depth is less the Rib
thickness is more sensitive for deflection and stress
while on increasing the depth of Rib core, the depth
becomes more sensitive and has greater
contribution in deflection. While designing a FRP
bridge deck of lesser depth emphasis should be
given on the thickness of the Rib; only a little
change in the thickness of the Rib of the deck leads
to a greater reduction in the overall deflection of
the bridge deck system. Similarly in case of bridge
deck with greater depth the depth of the bridge
deck becomes more dominant in deflection pattern
i.e. a small change in the depth causes a greater
reduction in the deflection of the overall bridge
deck system. It is found that the top plate is much
more sensitive to buckling load for lesser depth
bridge deck, whereas the bottom plate is more
sensitive for greater depth. The depth of the bridge
deck also plays a key role in sensitivity analysis.
The global deflection is much more sensitive to
depth of the deck than the thickness of the top and
the bottom plates. The depth of bridge deck is
limited to a certain extent keeping in view the
practical application consideration.
160
170
180
190
200
210
220
Depth(mm)
It is observed that the design of FRP

bridge decks is governed by deflection criteria. In
this present study of different FRP bridge deck
configurations buckling is not found to be critical.
In this rigorous optimization study several graphs
have been plotted which can be used as standard
graphs to select any configuration of the various
components of a bridge deck as per requirements.
Fig 17. Interaction curve for bottom plate thickness
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REFERENCES
[1]
P.Burnside, E. J.Babero, J. F.Davalos, and H.Ganga

Rao, Design optimization of an all-FRP bridge,
Proceedings of 38th Int. SAMPE Symposium 1993.
[2]
P.Qiao, Analysis and design optimization of fiberreinforced plastics (FRP) structural beam, PhD
dissertation, West Virginia University, 1997.
[3]
M. A.Salem, Optimum design of precast bridge

systems prestressed with carbon fiber reinforcement
polymers, MS thesis, Concordia University, 2000.
[4]
Mantell, C.Susan, Hoiness Brent,Optimized design

of pultruded composite beams,Journal of
Reinforced Plastics and Composites, vol.15, pp. 758778,1996.
[5]
K.T.Park, S.H.Kim, Y.H.Lee, Y.K.Hwang,Pilot test

on a developed GFRP bridge deck, Composite
Structures, vol. 70, pp.48-59,2005.
[6]
H.Y.Kim,
Y.M.
Choi,
Y.K.Hwang,
H.N.Cho,Optimum design of a pultruded FRP
bridge deck, ECI Conference on Advanced
Materials for Construction of Bridges, Buildings, and
Other Structures III 2003.
[7]
P. Qiao, W. Fan, J.F. Davalos,

Homogenization and optimization of
honeycomb cores for transverse shear
Journal of Sandwich Structures and
vol.10, pp.385-412, 2008.
[8]
ABAQUS CAE 6.8. DassaultSystmesSimulia Corp,

2008.
[9]
Indian Road Congress (IRC), Standard specifications

and code of practice for road bridges. Section: II
Loads and stresses. IRC: 6-2000 (Fourth revision),
2000
4
1
G. Zou,
sinusoidal
stiffness,
Materials,
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[10] AASHTO, LRFD bridge design specifications, 2nd

Ed., Washington, D.C1998.
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Optimization design of FRP web core skew

bridge deck system using Genetic Algorithm
TusharKanti Dey1, Anupam Chakrabarti2 and
Umesh Kumar Sharma3
is made of different rib configurations while the

laminated face sheets are manufactured by stacking
GFRP composite layers with different orientations.
Reducing the weight of decks/panels presents the
opportunity of rapid replacement and reduction in
dead load which also raises the live load rating of
the structure. Studies of some demonstration
projects
have
recognized
that
FRP
bridges/walkways are highly stiffness driven. The
development of high flexural-stiffness-to-weight
panel systems in the form of FRP laminated rib
core structures has, therefore, received a great deal
of attention in recent times.
1,2,3
Department of Civil Engineering, Indian

Institute of Technology Roorkee, Roorkee,
Uttarakhand, Pin: 247667, India.
Email id: tkdiitr@gmail.com
Abstract-An efficient and simple optimization
technique based on Genetic Algorithm (GA) has been
proposed for FRP composite laminated web core
skew bridge deck panels. The uniqueness of this
proposed methodology lies on work saving and time
saving characteristics than other traditional
optimization techniques. The response surface for
different design parameters, namely, top plate
thickness, bottom plate thickness and web thickness
has been generated using a D-optimal based
algorithm. The optimization of the design function
(i.e., volume) has been carried out simultaneously
with other design parameters using typical GA
algorithm. The optimization based on GA has been
performed by following different criteria based on
deflection limit; stresses, buckling and failure
analysis. Various configurations of web core bridge
decks have been studied by considering laminated
layers made of orthotropic materials. Thus, the
results obtained for different skew bridge deck
systems by using the proposed GA based optimization
technique have been validated with the results
obtained from conventional methods of optimization.
Keywords- Genetic Algorithm; Composite bridge;
Skew;
Although FRP composites are becoming

competitive, the higher initial construction cost is
still one of the major obstacles for their wide
spread adoption in the construction market.
Considerable endeavor has been focusing on
developing cost-effective FRP panel systems that
can take advantage of the unique material
characteristics provided by FRP composites.
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I. INTRODUCTION
Fiber Reinforced Polymer (FRP) laminated panels

are gaining acceptance in many engineering
applications all over the world as they are light
weight, durable and cost effective alternative to
reinforced concrete for new constructions as well
as for rehabilitation of bridges and walkways. The
favorable properties of FRP materials include high
specific stiffness and strength, corrosion and
fatigue resistance, ease of installation and
fabrication, and expected low life-cycle cost.
A rib core bridge deck/panel system having
lightweight core and stiff laminated FRP face
sheets provides high mechanical performance with
minimum weight. In this structure (Fig. 1),the core
Fig 1. Plan view of FRP bridge deck having skew

configuration
A number of theoretical and experimental

(laboratory and in-situ) investigations have been
conducted to study the behavior of FRP laminated
rib core/sandwich panels for new construction as
well as rehabilitation of bridge decks/panels. The
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concept of light weight and heavy duty FRP

honeycomb panels, with sinusoidal wave core
configurations in the plane extending vertically
between face laminates was introduced by Plunkett
[1]. Since then the Kansas deck (Plunkett [1]) and
Hardcore deck (Bakis et al. [2]) are by far the most
frequently used sandwich panels in bridge
constructions. Davalos et al. [3] presented a
combined
analytical
and
experimental
characterization of FRP honeycomb panels. The
core consists of in-plane sinusoidal cells extending
vertically between top and bottom face laminates.
The emphasis of this study is on evaluation of
equivalent properties for both face and core
components. One of the important theoretical
works is due to He and Aref [4]. They developed a
good and easy to handle tool to allow engineers in
designing rib core FRP bridge decks to estimate
geometries and other properties without performing
detailed finite element analysis. The structural
behavior of a FRP rib core skew bridge
superstructure is studied in a two part paper by
Aref et al. [5]. The FRP bridge deck is a sandwich
structure with a two way rib core matrix and face
skin, fabricated by a moulding process with E-glass
fibers and vinylester resins. In the first part, the
bridge structural configurations and field test
results are presented. A finite element model is
developed and validated by field testing to simulate
the bridge structural behavior. In the second part,
using finite element model, a parametric study is
considered to assess the contributions of the
individual structural components to structural
behavior. Parameters including the integral parapet,
web thickness, and configuration are considered to
reveal the several possible design improvements.
Salim et al. [6] presented a one term macroflexibility series solution including transverse shear
deformations for the approximate analysis of
simply supported, stiffened and unstiffened
orthotropic plates. The formulation is applied to
FRP decks and is used to define wheel load
distribution factors for symmetric and unsymmetric loading. Keller et al. [7] presented a new
concept for a lightweight hybrid FRP bridge deck.
The sandwich construction consists of three layers:
a FRP composite sheet with T-upstands for the
tensile skin, lightweight concrete for the core and a
thin layer of ultra high performance fiber
reinforced concrete (UHPFRC) as a compression
skin.
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Numerous studies have been carried out

for the optimization of structures for other
applications. Many optimization methodologies are
also available which require a large number of
design variables and constraints leading to a
complicated analysis. However, very few studies
are available in the literature on the optimization of
FRP rib core bridge deck structures for which the
initial cost of construction is very high. Some of
these studies related to the present topic are
discussed below.
The purpose of structural optimization in
real application and the theories behind it are
performed by Cohn and Dinovitzer [8]. The authors
have attempted to establish the extent of practical
use of optimization in structural engineering and to
examine the possible causes for its rather limited
and slow adoption, by conducting surveys of
relevant books and optimization examples. The
authors have suggested that optimization could
become more attractive to practicing designers if
more concrete examples of its application were
available, especially for realistic structures, loading
conditions, and limit states.An optimization process
has been suggested for FRP bridge deck with
cellular and stiffened box geometries by Burnside
et al. [9]. Shape optimization of FRP beams with
wide-flange section has been carried out by Qiao
[10].An optimization design of FRP structural
system is performed by Salem [11] to analyze the
impact of high cost of FRP materials on the design
of bridge system. The author has provided an
optimum design solution to minimize the cost by
utilizing Excel Solver based on a nonlinear
optimization technique. A cost-based objective
function for different design systems is established
and utilized to investigate optimum design
alternatives.Mantell et al. [12] proposed and
validated a general methodology for assessing
minimum cost beam design for various pultruded
shapes of a glass fiber reinforced composite box
beam. Incorporating laminated plate theory and
failure criteria, an optimization code is developed
to model beam failure. The predicted results are
compared by experimental data for a commercial
box beam design. Park et al. [13] performed a three
dimensional numerical modeling to optimize the
geometry of bridge decks and properties of FRP
materials. The proposed optimization techniques
are capable of handling more complex objective
functions and constraints. Numerous tests are
performed to validate the performance of proposed
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FRP deck. Kim et al. [14] developed an

optimization procedure based upon modified
genetic algorithm (GA) which was implemented
into a computer code. Using a commercial FE
analysis engine, the authors presented an optimum
deign of GFRP bridge deck of pultruded cellular
cross-section. Sensitivity analysis is also performed
to show the dependence of geometrical and
material design variables on the optimum designs.
Qiao et al. [15] conducted a combined
homogenization and multi-objective technique to
study and optimize the properties of thin-walled
sinusoidal honeycomb cores. A sequential
quadratic programming code is implemented using
the tools available in MATLAB to compute the
optimal design. The optimal design is aimed at
maximizing the transverse shear stiffness for the
core and minimizing the composite solid material
volume fraction. The results of the code are
validated by using a commercial FEA package.
In the present study a simple methodology
is proposed for the optimization of FRP rib core
bridge deck structures using the commercial FEA
package ABAQUS CAE 6.8 [16]. The PYTHON
script generated using the above package is
modified to perform multiple trials by varying the
structural design parameters (i.e., thicknesses of top
and bottom face plates; thickness, depth and
number of ribs in the core). The initial dimensions
of the design parameters are chosen in view of the
manufacturing criteria. The trials which satisfy the
design constraints (i.e., the deflection criteria) are
further considered for optimization. The
optimization function is defined corresponding to
the minimum volume leading to the optimum cost
of material. Finally, the optimum design
configurations of the bridge deck are analyzed to
satisfy the buckling and failure load criteria.
make the structural optimization simple and self

generated, python scripting is modified using the
6.8 [16].
For optimization, an objective function is
chosen to minimize the volume of the structural
system. The following objective function is used in
the present study:
V W * tb * Sin W * tt * Sin n * tw * D tb tt 2*W * L
(1)
whereL, D, W, tb, tt, tw, and n are the panel

length, depth, width, thickness of bottom plate,
thickness of top plate, thickness of web ribs and the
number of ribs respectively.
III. DESIGN CONSTRAIN
4
1
S
E
The design constrains are varied depending upon

the applicability of the structural components. In
this present study optimization has been performed
for FRP bridge deck system under a load as
provided by IRC: 6 [17]. The deflection of the FRP
bridge deck has been observed to be governing
criteria. Therefore the design constraint considered
for the present structural optimization is deflection.
The limit for the deflection (i.e., design constrain)
can be varied based upon the utility of the FRP
bridge deck system. The function for design
constrain of deflection depends on the performance
limitation of bridge deck:
max req 0
Where
max is
(2)
the maximum deflection of the
structure, calculated by the simplified analysis

method and
req
is the limit provided by the code.
Indian Standard remains silent regarding the

deflection of composite bridge deck system. The
deflection limit (i.e. req ) considered for the present
II. BASIS FOR OPTIMIZATION

In general design optimization is carried out for
both structural as well as material components. In
order to perform the optimization for both of the
above components, a number of design variables
and constraints are required involving a long
iteration process. As mentioned before, very
limited optimization techniques are reported in the
available literature on the present problem of FRP
rib core bridge deck structure. In the present study
the material optimization is not considered as the
range of material property variation for FRP
composite is very limited in the global market. To
study is L/800 based upon AASTHO [18]

specification. L is considered to be the span of the
bridge deck.
IV. RESPONSE SURFACE METHODOLOGY
On the basis of statistical and mathematical
analysis, the Response Surface Methodology
(RSM) gives an approximate equation which
relates the input features and output features y for
a particular system.
y = f (1, 2, . . . ,k ) +
442 of 446
(3)
wheref denotes the approximate response function

and is the statistical error term having a normal
distribution with mean zero. kis the number of
input parameters. The are usually coded as
dimensionless variables having mean zero and a
standard deviation of . The commonly used first
order and second order polynomials are of
following shapes.
First-order model (interaction)
mixed continuous/discrete data structures since

they cannot introduce new genes that are not
carried by either parents, and the exchanged
information are very limited. In order to attain the
maximum possible information exchange, it is
necessary to fit the crossover operators to this
specic data structure. Typically, the arithmetical
crossover is used in this study. The arithmetical
crossovers are dened as a linear combination of
two mixed-oating-integer-arrays x1 and x2, as
show below,
y 0
i xi
i 1
ij xi x j
(4)
i 1 j i
x1' ax1 (1 a) x2
(6)
Second-order model
y 0
i 1
i xi
i 1 j i
ij xi x j
2
ii xi
and
(5)
i 1
x2' ax2 (1 a) x1
The meta-model is fit approximately to a set of

points in the design space (which may be chosen
using design of experiment approach) using a
multiple regression fitting scheme. Design of
experiments (DOE) is an efficient procedure for
planning experiments so that the data obtained can
be utilized to achieve any particular goal. The
useful DOE methods for constructing response
surface models are described below.Optimal design
requires fewer samples than standard design
procedures and is thus computationally much more
feasible in case of a large number of input factors.
In this design, position of design points is chosen
algorithmically according to the number of factors
and the desired model and the points are not at any
specific positions; instead, they are selected to meet
the optimality criteria. Optimal designs can be used
to create a good design for fitting a linear,
quadratic, cubic or higher order models.
where a [0,1] is a random value, and resulting

crossover values are rounded to the nearest integer
in the corresponding pre-dened sets for the
integer-valued genes.
V. GENETIC ALGORITHM
4
1
VI.OPTIMIZATION ALGORITHM
Optimization has been carried out for different
structural components of FRP bridge deck namely
thicknesses of top plate, bottom plate, web core and
depth. The various steps that have been followed
for the optimization process are summarised below:
S
E
(7)
1.
Design variables are identified
2.
Design points are analysed depending
upon the numbers of design variables
3.
Model of bridge and ultimately python
script has been developed in GUI of ABAQUS
CAE 6.8 [16]
4.
Design points are incorporated in the
python script
GENETIC OPERATOR
The proposed mixed-floating-integer-array is not a
standard data structure used in the classical GAs
since the array contains mixed floating-point and
discrete valued data types. As a result, the classical
genetic operators ((Melanine M [19]) cannot be
applied directly to such a nonstandard data
structure. Hence, the genetic operators need to be
modified suitably for this specific data structure as
described by the following sections.
5.
Python script been simulated to find the
response i.e., deflection
6.
Response Surface of the design variables
are analysed using the response obtained from
simulation
7.
Response surface are optimized with
respect to design constrains and objective function
using GA code in MATLAB R2011a [20].
CROSSOVER OPERATOR
8.
Thus
structural
optimized
design
parameters of the bridge deck system are obtained
The canonical one-point or two point crossover

operators ((Melanine M [19]) are often appear
outdated when dealing with the combination of a
9.
The optimized configuration has been
checked for other different analysis
443 of 446
mm x 840 mm with an intensity of 0.11 N/mm2.

This vehicle loading is suitably arranged to get
maximum deflection/maximum bending stress or
maximum shear stress. The edges having larger
size (i.e. 7.5m) are considered to be simply
supported whereas the rest are taken to be free.
Specification regarding the permissible deflection
is not available in the Indian Standards. Therefore,
the permissible deflection limit of Span (L)/800 as
per FHWA's Advisory (AASTHO [18])
specifications is adopted in this study as that of the
previous cases. The ply stacking sequence used for
top and bottom plate is 0/90/0 and that for the web
plate is 45/-45. The material properties of FRP
Composites used in the present problem are same
as that of the previous problems as also shown in
Table 1.
VII. MODELLING AND SIMULATION

A parametric mode for FRP bridge deck has been
developed by python scripting language using
6.8 [16]. The structural components of bridge deck
system considered are top face sheet, bottom face
sheet, web core and patch area. The parts of the
bridge deck have been modeled using conventional
shell
elements
(i.e.,
S4R:
Conventional
Stress/Displacement 3D Shell, 4-node, Reduced
Integration) having three displacements and three
rotational degrees of freedom at each node. The
shape of the shell elements considered for
modelling are quadrilateral having linear element
geometry. In mesh module, the top and bottom face
plates are meshed by 80 by 80 divisions and the rib
core is meshed with a global seed size of 80 mm.
The mesh sizes have been finalized using
convergent studies of mesh division as shown in
Fig. 3. In the convergence study, the mesh
divisions are varied unless the response gets
saturated. The interaction between the common
nodes of the individual components is defined by
using tie elements and the analysis is done by
general static loading option. The reason behind the
usage of conventional tie members is to avoid the
slip between two adjacent surfaces. The loading of
70R tracked vehicle as per IRC: 6 [17] has been
considered with the effect of impact along with the
self weight.
TABLE 1. Elastic properties
In the present study bridge deck panel having

laminated top face plate, bottom face plate and
unidirectional laminated web is considered for
optimization where the skew angles are varied. The
webs are considered to be aligned along the span
(i.e. shorter side) of the FRP bridge. This study
comprises of bridge decks with span of 2 m while
the width is taken as 7.5 m. The depth of the rib is
varied according to the practical requirement. The
various skew angles considered for this study are
30 and 45 in addition to the normal (0)
configuration. The different depths considered for
optimization are 150 mm, 175 mm and 200 mm.
These depths are selected to cover a wide range of
available sections having different numbers of ribs
in the core. For each depth 5, 7 and 11 numbers of
ribs are taken in the present study to get different
optimized configurations. The detail of the bridge
panel is shown in the Fig. 8. IRC 70Rtracked
vehicle loading (IRC: 6 [17]) with impact effect is
applied on the bridge decks in addition to the self
weight. The structural system is subjected to a
typical patch load of 350 kN over an area of 4570
4
1
S
E
VIII. DESIGN PROBLEM
Composite laminate elastic properties

of FRP glass/vinlyester (QM6408)
EL
23 GPa
ET
18 GPa
GLT
9 GPa
LT
0.25
Density
1826 kg/m3
IX. RESULT AND DISCUSSION
The optimization of the FRP bridge deck has been

performed considering the deflection limit (i.e.
L/800) as the design constrain. The results obtained
for different spans with different skew orientations
using Genetic algorithms are presented in Tables 2.
It has been observed that the total optimized
volume of FRP materials for both the cases are
almost same. Therefore, the designer is flexible to
use design thicknesses from either of the
optimization algorithms.
In Tables 2, it has been observed that the minimum
volume for a particular depth corresponds to the
maximum number of webs (i.e. 11 webs). It is
noticed that the volume of webs is the major
contributor towards the total volume of FRP
bridges. This is due the fact that small span bridges
(as in the present cases) are shear dominated while
bridges having larger span are governed by
bending. Since the webs of the bridge generally
carry the shear, therefore web thickness are
generally higher in lower span bridges.
444 of 446
TABLE 2. Optimized configuration (span: 2 m)
TABLE 3. Results of typical structural analysis of the optimized

configuration using genetic algorithm
Optimization technique
Dept
h
(mm)
150
175
0
200
150
175
30
200
150
175
45
200
No.
of
web
s
Description
Design
Limits
Results
of
Analysis
Factor
of
Safety
Vol.
(m3)
Stress in Fiber
Direction (MPa)
427
10.79
39
Stress in
Transverse
Direction (MPa)
324
11.74
In-plane Shear
Stress (MPa)
179
Tsai-Hill failure
Criteria
<1.0
Tsai-Wu failure
Criteria
<1.0
Azzi-Tsai-Hill
failure
<1.0
Maximum stress
Theory Failure
<1.0
Buckling Strength
(N/sq. mm)
7.86
Maximum
Deflection of
Depth (L/800,
mm)
3.75
GA
Optimized
Configuration
(mm)
tw
tb / tt
24.3
23.9
2.33
7
11
5
7
11
5
7
11
5
7
11
5
7
11
5
7
11
5
7
11
5
7
11
5
7
11
23.2
15.7
23.8
20.9
15.6
22.5
19.5
12.9
19.66
16.53
13.87
19.51
16.64
11.03
18.41
15.55
10.67
15.43
13.00
10.32
14.45
12.34
9.55
14.34
11.32
8.03
21.2
14.1
23.2
19.9
12.9
23.2
19.9
12.9
19.08
16.79
10.79
18.97
16.11
10.9
19.04
16.13
10.20
14.98
12.70
7.87
15.07
12.68
7.69
15.06
12.28
7.79
2.11
1.44
2.30
2.01
1.36
2.32
2.02
1.35
1.63
1.45
0.99
1.65
1.42
0.99
1.67
1.43
0.95
1.06
0.92
0.62
1.08
0.93
0.61
1.101
0.912
0.61
7.63
23
0.05
18
0.06
15
4
1
S
E
27
0.05
18
0.04
23
0.11
71
3.74
X. DISCUSSION AND CONCLUSION
The optimized configurations of FRP bridge deck

obtained by different optimization algorithms by
satisfying the deflection criteria are further
analyzed to check for other design criteria.
Therefore, further analyses are carried to satisfy the
stress failure and buckling criteria. Table 3 shows
different results for the optimized FRP bridge deck
using genetic algorithm. It may be observed in
Table 3 that deflection criteria is governing the
design as expected. This is due to the fact that the
web core deck system made of FRP laminates is
stiffness driven.
In this study an efficient optimization based on

response surface method using D-optimal condition
has been proposed for optimization of FRP bridge
decks for different number of webs in the core. The
proposed optimization methodology is thus
computationally more efficient and economic than
previous traditional optimization solutions. The
various conclusions that can be drawn from this
present study are summarised below.
It is observed that the design of FRP

bridge decks is governed by deflection
criteria. This is expected as the FRP
materials have generally a low value of
elastic modulus as compared to many
conventional materials.
445 of 446
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i

International Conference on Industrial

International Conference on Industrial

International Conference on Industrial

Progressive Failure Analysis of Laminated

AbstractComposite materials present striking potentials to

The failure mechanisms are best understood at micro level.

Tsai and Wu [1] were the first to present that an

Over the last few decades, composite laminates are

Lees failure criterion. Sahid and Chang [16] developed a

was reduced by 20% and the process went on till the

Kim and Hong [11] studied macroscopic failure models

Kim et al. [18] carried out PFA to predict the failure

involved an incremental load analysis through modified

B. Independent Failure Criteria

2) Maximum Strain Criteria: According to maximum

C. Interactive Failure Criteria

which when expanded in two dimensional form gives,

The failure indices for different theories are as follows.

PROGRESSIVE FAILURE ANALYSIS

To carry out PFA, it is necessary to determine the first ply

A. Total Ply Failure Method

Fig. 1. Flowchart of Progressive Failure Analysis Methodology

Various literatures on laminated composite structures and are

[22] P. Pal and C. Ray, Progressive Failure Analysis of Laminated Composite

Plates by Finite Element Method, Journal of Reinforced Plastics And

S. W. Tsai and E. M. Wu, A General Theory of Strength for Anisotropic

G.V.Turvey, An initial flexural failure analysis of symmetrically laminated

[24] B. Gangadhara Prusty, Progressive Failure Analysis of Laminated

A. K. Pandey and J. N. Reddy A Post First-Ply Failure Analysis of

[25] G. Akhras and W.C. Li Progressive failure analysis of thick composite

[23] Norman F. Knight Jr., Charles C. Rankin, Frank A. Brogan, STAGS

S. Tolson and N. Zabaras, Finite element analysis of progressive failure in

[26] Vladislav Las and Robert Zemck , Progressive Damage of Unidirectional

O. O. Ochoa and J. J. Engblom Analysis of Failure in Composites.

F. K. Chang and K. Y. Chang, A progressive damage model for laminated

[28] R. Ganesan and D.Zhang, Progressive failure analysis of composite

F. K. Chang and L. B. Lessard, Damage tolerance of laminated composites

[29] SB Singh, A Kumar and NGR Iyengar, Progressive failure of symmetrically

[30] SB Singh, A Kumar and NGR Iyengar, Progressive failure of symmetric

[10] Y. N. S. Reddy, C. M. Dakshina Moorthy and J.N. Reddy, Non-Linear

[31] SB Singh, A Kumar and NGR Iyengar, Progressive failure of symmetric

laminated composites based on finite element approach., Journal of

[32] R. Zahari and A. El-Zafrany, Progressive failure analysis of composite

laminated stiffened plates using the finite strip method, Composite

a hole under compressive loading, Journal of Reinforced Plastics and

[15] M.S. Cheung, G. Akhras and W. Li, Progressive failure analysis of

structure using a progressive failure analysis methodology, Procedia

[34] A. Ahmed and L. J. Sluys, A Computational Model For Prediction Of

[35] Konstantinos N. Anyfantis and Nicholas G. Tsouvalis, Post Buckling

[36] Elisa Pietropaoli, Progressive Failure Analysis of Composite Structures

composite plates by the finite strip method, Computer Methods in AppIied

Using a Constitutive Material Model (USERMAT) Developed and

[37] Travis A. Bogetti, Jeffrey Staniszewski, Bruce P Burns, Christopher PR

shear failures of laminated composite plates., Journal of

[17] J. Echaabi, F. Trochu, X. T. Pham and M. Ouellet, Theoritical and

[38] Theodore P Philippidis and Alexandros E Antoniou , A progressive damage

[19] L.N.B. Gummadi and A.N. Palazotto, Progressive failure analysis of

[20] G. S. Padhi, R. A. Shenoi, S. S. J. Moy and G. L. Hawkins, Progressive

[41] P. Seshu and V. Ramamurti, Vibration of twisted composite plates, Journal

[21] S. Michael Spottswood and Anthony N. Palazotto , Progressive failure

analysis of composite shell., Composite Structures, Vol.53, 2001, pp 117131