Proceedings

CONFERENCE
PROGRAM
2015 International Conference on
Advanced Mechatronic Systems

August 22-24, 2015, Beijing, China
2015 ICAMechS
International Conference on Advanced Mechatronic Systems
August 22-24, 2015
Beijing, China
PROGRAM
Organizers:
International Journal of Advanced Mechatronic Systems
Beijing University of Posts and Telecommunications, China
Tokyo University of Agriculture and Technology, Tokyo, Japan
IEEE Systems, Man, and Cybernetics Society
Sponsors:
Zhongyuan University of Technology, China
Agricultural Robotics and Automation Technical Committee, IEEE Robotics & Automation Society
The Institute of Complex Medical Engineering
International Journal of Modelling, Identification and Control
International Journal of Innovative Computing, Information and Control
Cooperation with:
The Society of Instrument and Control Engineers
The Institute of Systems, Control and Information Engineers
Group C of The Institute of Electrical Engineers of Japan
The Japan Society of Mechanical Engineers
Organizing Committee (1)
General Chairs: Mingcong Deng, Tokyo University of Agriculture and Technology, Japan
Xiaoguang Zhou, Beijing University of Posts and Telecommunications, China
Hongnian Yu, Bournemouth University, UK
Mengchu Zhou, New Jersey Institute of Technology, USA
Shinji Wakui, Tokyo University of Agriculture and Technology, Japan
Program Chairs: Yixin Yin , University of Science and Technology Beijing,China
Xinkai Chen, Shibaura Institute of Technology, Japan
Luige Vladareanu, Romanian Academy, Romania
Dongyun Wang, Zhongyuan University of Technology, China
Local Arrangement Chairs: Shengjun Wen, Zhongyuan University of Technology, China
Dianwei Qian, North China Electric Power University, China
Special Session Chairs: Z. Q. Lang, University of Sheffield, UK
Jose Ragot, Nancy-Universite, France
F. Smarandache, University of New Mexico, USA
Shiro Masuda, Tokyo Metropolitan University, Japan
J. X. Zhang, Swinburne University of Technology, Australia
Toru Yamamoto, Hiroshima University, Japan
S.G. Ponnambalam, Monash University, Malaysia
B. Bandyopadhyay, Indian Institute of Technology Bombay, India
Yan Shi, Tokai University, Japan
Publication Chairs: Changan Jiang, Ritsumeikan University, Japan
Hossam A. Gabbar, University of Ontario Institute of Technology, Canada
David Raisz, Budapest University of Technology and Economics, Hungary
Yoshihiro Ohnishi, Ehime University, Japan
Publicity & Exhibition Chairs: Shuoyu Wang, Kochi University of Technology, Japan
Giancarlo S. Gajani, Politecnico di Milano, Italy
Manabu Yamada, Nagoya Institute of Technology, Japan
Tomohiro Henmi, Kagawa National College of Technology, Japan

Organizing Committee (2)
Registration Chairs: Shuhui Bi, Shandong Academy of Science, China
Zijiang Yang, Ibaraki University, Japan
Jinglong Wu, Okayama University, Japan
Students Activity Chairs: Yegui Xiao, Prefectural Univ. of Hiroshima, Japan
Yang Shi, University of Victoria, Canada
Takao Sato, University of Hyogo, Japan
Best Paper Award Committee Hansheng Wu, Prefectural University of Hiroshima , Japan
Chairs:
Grigore Gogu, Institut Franais de Mcanique Avance , France
Zabih Ghassemlooy, Northumbria University, UK
Advisory Chairs: Hiroyuki Ohno, Tokyo University of Agriculture and Technology, Japan
Tianyou Chai, Northeastern University, China
Xiaoping Liu, Beijing University of Posts and Telecommunications, China
Akira Inoue, Okayama University, Japan
Tsu-Tian Lee, Chung Yuan Christian University, Taiwan
Honorary General Chairs: Hong Wang, University of Manchester, UK
Chun-Yi Su, Concordia University, Canada
Ken Nagasaka, Tokyo University of Agriculture and Technology, Japan
Ikuro Mizumoto, Kumamoto University, Japan
Zongxiao Yang, Henan University of Science and Technology, China
Quanmin Zhu, University of the West of England, UK
Secretary: Shin Wakitani, Tokyo University of Agriculture and Technology, Japan
Aihui Wang, Zhongyuan University of Technology, China

Program Committee (1)
Chairs: Yixin Yin, University of Science and Technology Beijing, China
Xinkai Chen, Shibaura Institute of Technology, Japan
Luige Vladareanu, Romanian Academy, Romania
Dongyun Wang, Zhongyuan University of Technology, China
Members List: Adrian Olaru, University Politehnica of Bucharest, Romania
Ajiboye Osunleke, Obafemi Awolowo University, Nigeria
Chenzhong Li, Florida International University, USA
Cunchen Gao, Ocean University of China, China
Dong Yue, Huazhong University of Science & Technology, China

Dongya Zhao, China University of Petroleum, China
Eldert van Henten, Wageningen University, Netherlands
Feng Qiao, Shenyang JianZhu University, China
Guangdong Tian, Northeast Forestry University, China
Haibin Yu, Chinese Academy of Sciences, China
Hao Chen, China University of Mining and Technology, China
Hiroyuki Takanashi, Nihon University, Japan
Hongbo Wang, Yanshan University, China
Huijun Gao, Harbin Institute of Technology, China
Huimin Xiao, Henan University of Finance and Economics, China
Huiping Li, Northwestern Ploytechnical University, China
Ionel Staretu, Transilvania University of Brasov, Romania
Jiacun Wang, Monmouth University, USA
Jianqiang Yi, Institute of Automation, China
Jing Yao, Tongji University, China
Jinliang Ding, Northeastern University, China
Jin-Oh Hahn, University of Alberta, Canada
John Billingsley, University of Southern Queensland, Australia
John Reid, John Deere Moline Technology Innovation Center, USA

Program Committee (2)
Members List: Jose Ragot, Nancy-Universite, France
Junming Xiao, Zhongyuan University of Technology, China
Kazuki Umemoto, Kanagawa University, Japan
Kazuyuki Ito, Hosei University, Japan
Liangyong Wang, Northeastern University, China
Longguo Jin, Qingdao Technical College, China
Marcel Bergerman, Carnegie Mellon University, USA
Mitsuaki Ishitobi, Kumamoto University, Japan
Nader Barsoum, Cutrin University of Technology, Malaysia
Ni Bu, Qingdao University of Science and Technology, China
Nobutaka Wada, Hiroshima University, Japan
Pandian Vasant, University Technology Petronas, Malaysia
Puya Ghasemi Afshar, Yokogawa UK Ltd., UK

Shan Liang, Chongqin University, China
Shaoyuan Li, Shanghai Jiaotong University, China
Shigang Yue, University of Lincoln, UK
Shuichi Wakimoto, Okayama University, Japan
Tomohiro Henmi, Kagawa National College of Technology, Japan
Wanli Yang, Academy of Armored Force Engineering, China
Wei Wang, Dalian University of Technology, China
Wenxin Liu, New Mexico State University, USA
Xiangjie Liu, North China Electric Power University, China
Xiaolei Wang, Zhongyuan University of Technology, China
Yang Liu, University of Aberdeen, UK
YangQuan Chen, University of California, USA
Yinlai Jiang, The University of Electro-Communications, Japan
Yonghong Tan, Shanghai Normal University, China
Yukinori Nakamura, Tokyo University of Agriculture and Technology, Japan

Zhengguang Hou, Institute of Automation, China
Zhengtao Ding, The University of Manchester, UK
Zofia Lukszo, Delft University of Technology, Netherlands


August 22-24, 2015
Beijing, China
GREETINGS FROM THE GENERAL CHAIRS
On behalf of ICAMechS 2015 Organizing Committee, it is our great pleasure and honor to welcome
you all to the 2015 International Conference on Advanced Mechatronic Systems. The conference is
held on August 22-24, 2015 in Beijing, China, sponsored by International Journal of Advanced
Mechatronic Systems (ICAMechS), Beijing University of Posts and Telecommunications, Tokyo
University of Agriculture and Technology, Tokai University, IEEE Systems, Man, and Zhongyuan
University of Technology, Cybernetics Society, IEEE Robotics & Automation Society Agricultural
Robotics and Automation Technical Committee, International Journal of Modelling, Identification
and Control and The Institute of Complex Medical Engineering and cooperation with The Society of
Instrument and Control Engineers, The Institute of Systems, Control and Information Engineers
and The Japan Society of Mechanical Engineers.
ICAMechS 2015 is an all-volunteer conference, and it provides an international forum for

professionals, academics, and researchers to present latest developments from interdisciplinary
theoretical studies, computational algorithm development and applications of mechatronic systems.
Reflecting these methodological and technological trends, this conference includes presentations of
excellent and interesting papers in all theoretical studies and applications of advanced mechatronic
systems. Novel quantitative engineering and science studies are also considered.
Beijing is the capital of the People's Republic of China located in the north of China. It is the
political, cultural, educational and diplomatic center of China. Beijing is one of the most populous
ancient cities in the world with a long history. There are many magnificent historical interesting
places, such as The Great Wall, Palace Museum (Forbidden City), Summer Palace, Tiananmen
Square and Temple of Heaven Park which attract many tourists from all over the world. Beijing is
also a food-lovers dream, the food is delicious. In this summer, we expect you to fully experience the
unique charm and vastness of the city. Hope to see you in Beijing.
In this conference we have invited three distinguished speakers, Prof. Anthony A. Maciejewski
(Colorado State University. USA), Prof. Tianyou Chai (Member of Chinese Academy of Engineering,
Northeastern University, China), and Prof. Chun-Yi Su, (Concordia University, Canada), as plenary
speaker, and we also have four organized sessions and one invited session. We would like to present
our sincere thanks to plenary speakers and organizers of special sessions for their valuable
contribution.
Finally, we would like to present our special thanks to authors and participants of this conference,
and the members of Advisory Committee, Program Committee and Organizing Committee.
Especially, we would like to give our sincere acknowledgement to local arrangement chair, Profs.
Shengjun Wen and Dianwei Qian, for their devoted work to success of the conference.
We hope that you all enjoy the conference and beautiful Beijing.
Best regards,
General Chairs
Mingcong Deng Xiaoguang Zhou Hongnian Yu Mengchu Zhou Shinji Wakui

CONFERENCE HIGHLIGHTS
Under three reviews for each paper by Program Committees and Organizing Committees, a total of 113
papers from different parts of the world were accepted and included into the final program of ICAMechS
2015. Among which 79 are the oral papers and 34 are poster papers. There are three plenary speeches, one
plenary panel discussion. Each oral session consists of 5-6 papers, where we have one invited session, 4
organized sessions, one poster session and 10 regular sessions. Papers were assigned with the sole purposed
of forming coherent sessions.
CONFERENCE REGISTRATION
The conference registration desk, located at the lobby of Beijing Fujian Hotel, will be opened during the
following time:
14:30-17:30, August 21, 2015 (Friday)
08:10-17:30, August 22, 2015 (Saturday)
08:20-17:30, August 23, 2015 (Sunday)
The full registration includes Welcome Reception, Conference Banquet, Technical Tour and Conference USB
Proceedings.
Additional sets of USB proceedings may be purchased at the registration desk ($50 USD for USB
proceedings).
SOCIAL EVENTS
Welcome Reception (Beijing Fujian Hotel, 18:30 - 20:30, August 21, 2015)
Conference Banquet (Beijing Fujian Hotel, 18:30 - 20:30, August 23, 2015)
Technical Tour (The Great Wall, Whole day, August 24, 2015)
CONFERENCE LOCATION
Beijing Fujian Hotel

Address: No.11, Anzhen Xili, Chaoyang District, Beijing, China
All conference rooms are at second floor of Beijing Fujian Hotel, the room guide map will be
available at the conference registration desk.
The conference site map is given as follows.
Beijing North
Railway Station
Beijing
Railway Station
Beijing West
Railway Station
Beijing South
Railway Station
Transportation
From the Airport (About 25.2km)

Take airport bus Gongzhufen line () to Anzhen Bridge bus stop and walk to Beijing Fujian
Hotel, About 1h50mins
Subway Line: Airport LineNo.10 No.8, About 1h30mins
Take a taxi for about 31 minutes
From Railway station

Beijing Railway Station-
Subway Line: No.2 No.8, About 50mins
Beijing West Railway Station-
Subway Line: No.9 No.6 No.8, About 50mins
Beijing North station-
Bus No.387, About 50mins
Beijing South Railway Station-
Subway Line: No.2 (Daxing line) No.2 No.8, About 50mins
D B C
A
A A
A
A
A A
A A
A A A
3
1
A
A A
A A 2 1
A A A
4
A A
A
A
Nearby stations:
Subway station Bus stop

A Anhua Bridge subway station ()
1 Anzhen Bridge ()

B Bus North Tucheng subway station ()
2 Anzhen Bridge west ()

C Anzhenmen subway station ()
Anhua Bridge north()

D Jiandemen subway station ()
4 Anhua Bridge south ()
HOTEL RESERVATIONS
1. Beijing Fujian Hotel (Conference site)

Address: No.11, Anzhen Xili, Chaoyang District, Beijing, China
Phone:+86-10-64428833
URL: http://beijingfujianhotel.com/en/
2. Nearby Hotels
Yuanshan Hotel Beijing (About walk 1.4 km)
Address: No. 2 Deshengmen Yumin Street Xicheng district- Beijing-China
Phone: 4007-889-889
URL: http://www.dfzsh.com/hotel/more-9355
Buding Hotel water cube (Beijing Anhua bridge) (About 870m)
Address: No. 3 North Third Ring Road jia Xicheng district- Beijing-China
Phone: 010-62058128
URL: http://www.budingjiudian.com/
Buding Hotel Beijing Anzhen bridge (About 960m)
Address: No. 9 BuildingAnzhenli 2 district-Chaoyang district- Beijing-China
Phone: 010-64448788
Buding Hotel Beijing Anzhen bridge (About 960m )
Address: No. 9 BuildingAnzhenli 2 district-Chaoyang district- Beijing-China
Phone: 010-64448788
Beijing GeHua Kaiyuan Hotel (About 990m)
Address: GuLou outer street Chaoyang district- Beijing-China
Phone: 4007-889-889
URL: http://www.dfzsh.com/hotel/4616
Zhejiang Tower Hotel (About 250m )
Address: No. 26 Anzhen xili 3 district- No.3 North ring-Chaoyang District-Beijing-China
Phone: 010-5166 3288
URL: http://www.huilv.com/H/cantact12843/
* Red circles indicate the hotels. Please check the corresponding hotel numbers and locations.
PLENARY SPEAKERS
Prof. Tianyou Chai, Northeastern University, China
Prof. Tianyou Chai received the Ph.D. degree in control theory and engineering in 1985 from
Northeastern University, Shenyang, China, where he became a Professor in 1988. He is the
founder and Director of the Center of Automation, which became a National Engineering
and Technology Research Center and a State Key Laboratory. He is a member of Chinese
Academy of Engineering, IFAC Fellow and IEEE Fellow, director of Department of
Information Science of National Natural Science Foundation of China. His current research
interests include modeling, control, optimization and integrated automation of complex
industrial processes. He has published 150 peer reviewed international journal papers. His paper titled Hybrid
intelligent control for optimal operation of shaft furnace roasting process was selected as one of three best papers
for the Control Engineerig Practice Paper Prize for 2011-2013. He has developed control technologies with
applications to various industrial processes. For his contributions, he has won 4 prestigious awards of National
Science and Technology Progress and National Technological Innovation, the 2007 Industry Award for
Excellence in Transitional Control Research from IEEE Multiple-conference on Systems and Control.
Title:
Intelligent Feedback Control for Operation of Complex Industrial Processes
Abstract:
Process control should aim at not only ensuring controlled variables to best follow their set points, but also
requiring the optimal control for the operation of the whole plant to make the operational indices (e.g. quality,
efficiency and consumptions during the production phase) into their targeted ranges. It also requires that
operational indices for quality and efficiency should be enhanced as high as possible, whilst the indices related to
consumptions are kept at their lowest possible level. Based upon a survey on the existing operational optimization
and control methodologies, this talk presents a data-driven hybrid intelligent feedback control for operation of
complex industrial processes and a hybrid simulation system. Simulations and industrial applications to a roasting
process for the hematite ore mineral processing industry are used to demonstrate the effectiveness of the proposed
method. Issues for future research on the optimal operational control for complex industrial processes are outlined
in the final section.
Prof. Anthony A. Maciejewski, Colorado State University. USA
Anthony A. (Tony) Maciejewski received the B.S., M.S., and Ph.D. degrees in Electrical
Engineering in 1982, 1984, and 1987, respectively, all from The Ohio State University. From
1988 to 2001, he was a Professor of Electrical and Computer Engineering at Purdue
University. In 2001, he joined Colorado State University where he is currently the Head of
the Department of Electrical and Computer Engineering. He has co-authored over 250
technical publications in the areas of robotics and high-performance computing and served
on eight journal editorial boards and over 100 conference program committees. He is a Fellow of IEEE and
currently serves as the Vice-President of Financial Activities for the Robotics and Automation Society. A complete
up-to-date vita is available at www.engr.colostate.edu/~aam
Title:
Designed to Fail: Incorporating Kinematic Redundancy into Robotic Systems
Abstract:
Operations in remote or extremely hazardous environments, e.g., in space, underwater, or in nuclear/chemical

waste sites, are frequently performed by robotic devices. Unfortunately, the very nature of these environments
makes the probability of a failure in the mechanical or electronic hardware of the robot more likely. Because by
definition the operating environment precludes the intervention of a human to repair or retrieve the device, fault
tolerance becomes a critical issue. By fault tolerance it is meant that damage to any portion of the robotic system,
such as the mechanical actuators, control electronics, sensors, etc., will not render the system uncontrollable. A
damaged fault tolerant system can be operated, albeit in a somewhat degraded capacity, to complete the assigned
task or at a minimum to retrieve the robotic device without compromising the working environment. This
presentation will focus on two approaches for designing failure tolerant robotic systems. The first is to develop
software that can control robots of an arbitrary design to achieve maximum fault tolerance. This would allow the
use of conventional manipulators to their maximum capability, regardless of the extent of the damage to the
device. The second is to design robotic arms with kinematic redundancy that maximizes the dexterity and
maneuverability of the arm after the occurrence of a fault.
Prof. Chun-Yi Su, Concordia University, Canada
Dr. Chun-Yi Su received his Ph.D. degrees in control engineering from South China
University of Technology in 1990. After a seven-year stint at the University of Victoria, he
joined the Concordia University in 1998, where he is currently a Professor of Mechanical
and Industrial Engineering and holds the Concordia Research Chair in Control. He has also
held several short-time visiting positions including a Chang Jiang Chair Professorship by
Chinas Ministry of Education and JSPS Invitation Fellowship from Japan, and Qian Ren
Talents Professor from China. His research covers control theory and its applications to various mechanical
systems, with a focus on control of systems involving hysteresis nonlinearities. He is the author or co-author of
over 300 publications, which have appeared in journals, as book chapters and in conference proceedings. In
addition to his academic activities, he has worked extensively with industrial organizations on various projects.
Dr. Su has been an Associate Editor of IEEE Transactions on Automatic Control, IEEE Transactions on Control
Systems Technology, Mechatronics, Control Engineering Practice, and several other journals. He has served as
Chair/Co-Chair for numerous international conferences.
Title:
Modeling and Control of Hysteresis Nonlinearities in Smart Actuators
Abstract:
Hysteresis nonlinearities are very common in magnetic materials, smart materials and industrial systems. For
decades, the existence of such nonlinearities have provided one of the most difficult challenges to control design
engineers since the entire Laplace domain and most state space control design techniques were developed
exclusively for differentiable linear or nonlinear systems. Hence, the existence of hysteresis nonlinearities in smart
material based actuators and systems were neglected and the controllers were designed based on the nominal
smooth systems. When the systems are considered with non-differentiable nonlinearities, these methods
encountered substantial difficulties in the analysis, model fitting and control design stages. It was extremely
difficult, if not impossible, to design or prove stability of such systems. The development of techniques for the
identification of such nonlinearities in realistic industrial plants has emerged as a significant problem in itself.
This talk is intended to raise awareness of modeling and control techniques and to provide an opportunity to
discuss state-of-the-art solutions for the problems. The presentation and discussion will range from modeling of
hysteresis, to the design of corresponding control schemes, especially in the absence of complete information
concerning the system model and state.
August 22-24, 2015

Beijing, China
CONFERENCE PROGRAM
Friday, August 21, 2015
14:30 - 17:30 Registration (Beijing Fujian Hotel, Beijing)
18:30 - 20:30 Welcome Reception (Beijing Fujian Hotel, Beijing)

Saturday, August 22, 2015
08:40-08:50 Opening Remarks Main Conference Hall

08:50-09:50 Plenary Speech 1 (PS01) Main Conference Hall
Title: Intelligent Feedback Control for Operation of Complex Industrial Processes
Speaker: Tianyou Chai, Northeastern University, China

Chair: Hongnian Yu, Bournemouth University, UK
09:50-10:00 Break
Title: Modeling and Control of Hysteresis Nonlinearities in Smart Actuators
Speaker: Chun-Yi Su, Concordia University, Canada

Chair: Xinkai Chen, Shibaura Institute of Technology, Japan
11:00-13:00 Lunch Break
13:00-14:40 Parallel paper sessions

Room No.01 Room No.02 Room No.03
SatM01 SatM02 SatM03
Renewable sources of energy Advanced intelligent control in Optimization methods and

robotics and mechatronics applications I
14:40-14:50 Break

SatP01 SatP02 SatP03
Optimization methods and Advanced nonlinear control in Control of mechatronic systems

applications II robotics I
16:30-16:40 Break
16:40-18:20 (18:40) Parallel paper sessions

SatE01 SatE02 SatE03
New developments on ESP Information processing Nonlinear systems modeling,

control and applications
Sunday, August 23, 2015
Title: Designed to Fail: Incorporating Kinematic Redundancy into Robotic Systems
Speaker: Anthony A. Maciejewski, Colorado State University, USA

Chair: J. X. Zhang, Swinburne University of Technology, Australia
09:50-10:20 Break
10:20-11:30 Poster Session Main Conference Hall
11:30-13:00 Lunch Break

SunM01 SunM02 SunM03
Advanced control systems Mechatronic systems analysis Complex systems control and
design - theory and applications and control I applications I
14:40-14:50 Break

SunP01 SunP02 SunP03
Control of mechatronic systems Mechatronic systems analysis Complex systems control and
II and control II applications II
16:50-17:00 Break
17:00-18:00 Plenary Panel Discussion Main Conference Hall
Title: New Developments in Advanced Mechatronic Systems
Organizers: Mingcong Deng, Tokyo University of Agriculture and Technology, Japan

Hongnian Yu, Bournemouth University, UK
18:30-20:30 Banquet (Beijing Fujian Hotel, Beijing)
Monday, August 24, 2015
Technical Tour to The Great Wall of China

August 22-24, 2015

Beijing, China
TECHNICAL PROGRAM
ICAMechS 2015 ICAMechS 2015

Friday, August 21, 2015 Saturday, August 22, 2015
14:30 - 17:30 08:40 - 08:50 Main Conference Hall

Registration Opening Remarks
(Beijing Fujian Hotel, Beijing)
08:50 - 09:50 Main Conference Hall
18:30 - 20:30 Plenary Speech 1
Welcome Reception Intelligent Feedback Control for Operation of
Complex Industrial Processes
Tianyou Chai
Northeastern University, China
End of the 1st Day Chair: Hongnian Yu Bournemouth Univ., UK
09:50 - 10:00 Break
10:00 - 11:00 Main Conference Hall

Plenary Speech 2
Modeling and Control of Hysteresis Nonlinearities
in Smart Actuators
Chun-Yi Su
Concordia University, Canada
Chair: Xinkai Chen Shibaura Institute of Tech., Japan
11:00 - 13:00 Lunch Break
Early Afternoon Technical Sessions

13:00-14:40, Saturday, August 22, 2015
SatM01 Session Room No.01
Renewable sources of energy

Organized Session
Organizer: Zongxiao Yang Henan Univ. of Sci. and Tech., China mechatronics
Chair: Zongxiao Yang Henan Univ. of Sci. and Tech., China Organized Session
Co-Chair: Aihui Wang Zhongyuan Univ. of Tech., China Organizer: Luige Vladareanu Romanian Acad., Romania
Chair: Luige Vladareanu Romanian Acad., Romania
13:00 - 13:20 SatM01-01
Co-Chair: Zengguang Hou Chinese Acad. of Sci., China
Cluster analysis on the service oriented alliance enterprise
manufacturing resource 13:00 13:20 SatM02-01
Yunxia Wang Nanjing Institute of Tech., China Active training research of a lower limb rehabilitation robot
Shenghai Qiu Nanjing Institute of Tech., China based on constrained trajectory
Chengchong Gao Nanjing Institute of Tech., China Hongbo Wang Yanshan Univ., China
Jun Wei Nanjing Institute of Tech., China Dong Zhang Yanshan Univ., China
Hao Lu Yanshan Univ., China
13:20 - 13:40 SatM01-02 Yongfei Feng Yanshan Univ., China
Performance and exhaust emissions of a turbocharged common Peng Xu Yanshan Univ., China
rail DI diesel engine fueled with alcohol Razvan-Viorel Mihai Romanian Acad., Romania
Bin Xu Henan Univ. of Sci. and Tech., China Luige Vladareanu Romanian Acad., Romania
Yibin Liu Henan Univ. of Sci. and Tech., China
Jian Wu Henan Univ. of Sci. and Tech., China 13:20 13: 40 SatM02-02
Chuang Li Henan Univ. of Sci. and Tech., China Fuzzy controller design of the wire feeder of invasive vascular
Weiwei Shang Henan Univ. of Sci. and Tech., China interventional surgery robot
Zhihao Ma Henan Univ. of Sci. and Tech., China Hongbo Wang Yanshan Univ., China
Shuaishuai Wang Yanshan Univ., China
13:40 - 14:00 SatM01-03 Wen Zhang Yanshan Univ., China
Design and simulation of passive filter based on fundamental Liyu Xie Yanshan Univ., China
magnetic flux compensation Xue Yang Univ. of Jinan, China
Qun Chen Henan Univ. of Sci. and Tech., China Luige Vladareanu Romanian Acad., Romania
Zongxiao Yang Henan Univ. of Sci. and Tech., China Radu Munteanu Romanian Acad., Romania
14:00 14:20 SatM01-04 13:40 14:00 SatM02-03

Research on large supermarket fresh food supplier evaluation Advanced intelligent walking robot control through sliding
and selection based on SWOT-entropy weight fuzzy motion control and bond graphs methods
comprehensive model Ionel Alexandru Gal Romanian Acad., Romania
Ying Yuan Henan Univ. of Sci. and Tech., China Luige Vladareanu Romanian Acad., Romania
Yi Zhang Henan Univ. of Sci. and Tech., China Hongbo Wang Yanshan Univ., China
Long Di Henan Univ. of Sci. and Tech., China Hongnian Yu Bournemouth Univ., UK
Ganggang Wu Henan Univ. of Sci. and Tech., China Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan
Zongxiao Yang Henan Univ. of Sci. and Tech., China
14:00 14:20 SatM02-04
14:20 14:40 SatM01-05 Versatile intelligent portable robot platform for flexible robotic
A novel outer rotor axial primary magnetic circuit permanent cells with AGV
magnet generator Luige Vladareanu Romanian Acad., Romania
Ximei Li Henan Univ. of Sci. and Tech., China Cristian Spirleanu Romanian Acad., Romania
Zongxiao Yang Henan Univ. of Sci. and Tech., China Mihaiela Iliescu Romanian Acad., Romania
Dongliang Song Henan Univ. of Sci. and Tech., China Hongnian Yu Bournemouth Univ., UK
Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan
Weizhong Guo Shanghai Jiao Tong Univ., China
SatM02 Session Room No.02
Feng Gao Shanghai Jiao Tong Univ., China
Advanced intelligent control in robotics and

14:20 14:40 SatM02-05
Haptic intelligent interfaces for NAO robot hand control
Octavian Melinte Romanian Acad., Romania 14:40 - 14:50 Break
Luige Vladareanu Romanian Acad., Romania
Ligia Munteanu Romanian Acad., Romania Middle Afternoon Technical Sessions
Hongnian Yu Bournemouth Univ., UK 14:50-16:30, Saturday, August 22, 2015
Shuang Cang Bournemouth Univ., UK
Zengguang Hou Chinese Acad. of Sci., China
SatP01 Session Room No.01
Guibin Bian Chinese Acad. of Sci., China

Hongbo Wang Yanshan Univ., China
Optimization methods and applications II
Regular Session
Chair: Guangdong Tian Northeast Forestry Univ., China
SatM03 Session Room No.03 Co-Chair: Zongxiao Yang Henan Univ. of Sci. and Tech., China
14:50 15:10 SatP01-01

Optimization methods and applications I
Scheduling of rescue vehicles to forest fires via multi-objective
Regular Session
particle swarm optimization
Chair: Shuhui Bi Univ. of Jinan, China
Yaping Ren Northeast Forestry Univ., China
Co-Chair: Huimin Xiao Henan Univ. of Economics and Law, China
Guangdong Tian Northeast Forestry Univ., China
13:00 13:20 SatM03-01 Mengchu Zhou New Jersey Institute of Tech., USA
Weak reachability of probabilistic boolean control networks
Zhiqiang Li Henan Univ. of Economics and Law, China 15:10 15:30 SatP01-02
Huimin Xiao Henan Univ. of Economics and Law, China An effective VNSSA algorithm for the blocking flowshop
scheduling problem with makespan minimization
13:20 13:40 SatM03-02 Chaoyong Zhang Huazhong Univ. of Sci. & Tech., China
Oscillation criteria for a class of nonlinear impulsive parabolic Zhanpeng Xie Huazhong Univ. of Sci. & Tech., China
system under Dirichlet boundary condition Xinyu Shao Huazhong Univ. of Sci. & Tech., China
Junhong Liu Acad. of Armored Force Eng., China Guangdong Tian Northeast Forestry Univ., China
Wenxue Liu Acad. of Armored Force Eng., China
Lifeng Li Acad. of Armored Force Eng., China 15:30 15:50 SatP01-03
Qi Jin Acad. of Armored Force Eng., China Simulation modeling of shuttle racking system based on automod
Bingfeng Sang Beijing Univ. of Posts and Telecommunications, China
13:40 14:00 SatM03-03 Yukun Liu Beijing Univ. of Posts and Telecommunications, China
Operator-based left coprime factorization for nonlinear systems
Fazhan Tao Tokyo Univ. of Agri. and Tech., Japan 15:50 16:10 SatP01-04
Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan An expected value multi-objective optimization model to locate a
vehicle inspection station
14:00 14:20 SatM03-04 Guangdong Tian Northeast Forestry Univ., China
Passivity-based robust control for uncertain nonlinear feedback MengChu Zhou New Jersey Institute of Tech., USA
systems
Ni Bu Qingdao Univ. of Sci. and Tech., China 16:10 16:30 SatP01-05
Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan Experimental study on nonlinear vibration control of an L-shape
arm
14:20 14:40 SatM03-05 Yanfeng Wu Tokyo Univ. of Agri. and Tech., Japan
Correlated neural activity in spiking networks with topographic Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan
couplings Longguo Jin Qingdao Technical College, China
Jinli Xie Univ. of Jinan, China
Qinjun Zhao Univ. of Jinan, China
Jianyu Zhao Univ. of Jinan, China
Regular Session
Chair: Shinji Wakui Tokyo Univ. of Agri. and Tech., Japan
Co-Chair: Kazuyuki Ito Hosei Univ., Japan
Advanced nonlinear control in robotics
Regular Session
14:50 15:10 SatP03-01
Chair: Hongnian Yu Bournemouth Univ., UK
An interpretation of unbalance vibration compensator for
Co-Chair:Yukinori Nakamura Tokyo Univ. of Agri. and Tech., Japan
five-axes active magnetic bearing systems based on internal model
14:50 15:10 SatP02-01
principle
The mechatronic system of eco-dolphin - a fleet of autonomous
Taiki Nakamura Tokyo Univ. of Agri. and Tech., Japan
underwater vehicles
Shinji Wakui Tokyo Univ. of Agri. and Tech., Japan
Hong Liu Embry-Riddle Aeronautical Univ., USA
Yukinori Nakamura Tokyo Univ. of Agri. and Tech., Japan
Xudong Shi Civil Aviation Univ. of China, China
Junzhen Shao Embry-Riddle Aeronautical Univ., USA
15:10 15:30 SatP03-02
Qi Zhou Embry-Riddle Aeronautical Univ., USA
Vibration suppression of galvano mirror considering whirling of
Stacey Joseph-Ellison Embry-Riddle Aeronautical Univ., USA
shaft
Johnathan Jaworski Embry-Riddle Aeronautical Univ., USA
Keisuke Nakade Tokyo Univ. of Agri. and Tech., Japan
Ci Wen Embry-Riddle Aeronautical Univ., USA
Taiki Nakamura Tokyo Univ. of Agri. and Tech., Japan
15:10 15:30 SatP02-02
Extended development of LinuxCNC for control of a delta robot
Feng Huo National Univ. of Singapore, Singapore
15:30 15:50 SatP03-03
Geoksoon Hong National Univ. of Singapore, Singapore
A consideration of parameter identification of a linear stage using
Aunneow Poo National Univ. of Singapore, Singapore
particle swarm optimization
Marino Watanabe Tokyo Univ. of Agri. and Tech., Japan
15:30 15:50 SatP02-03
Minimizing energy consumption in a U-shaped robotic assembly
line
J. Mukund Nilakantan Monash Univ. Malaysia, Malaysia
15:50 16:10 SatP03-04
S.G. Ponnambalam Monash Univ. Malaysia, Malaysia
Development of a torque-sensorless viscometer for food
George Q. Huang The Univ. of Hong Kong, China
processing applications
Seiji Hashimoto Gunma Univ., Japan
15:50 16:10 SatP02-04
Yuqi Jiang Gunma Univ., Japan
Charged system search algorithm for robotic drill path
Amat Basari Gunma Univ., Japan
optimization
Wei Jiang Yangzhou Univ., China
G. Kanagaraj Thiagarajar College of Eng., India
S.G. Ponnambalam Monash Univ. Malaysia, Malaysia
16:10 16:30 SatP03-05
C.K. Loo Univ. of Malaya, Malaysia
Study on detection of earthquake using DI value and its
application to switching control for air type anti-vibration
16:10 16:30 SatP02-05
apparatus
Implementation of remotely controllable mobile robot system
Masayuki Kubota Tokyo Univ. of Agri. and Tech., Japan
over mobile Ad-hoc network
Hirokazu Mineo Tokyo Univ. of Agri. and Tech., Japan
Mohammad Shahidul Hasan Staffordshire Univ., UK
Hongnian Yu Bournemouth Univ., UK
16:30 - 16:40 Break

Control of mechatronic systems I
Last Afternoon Technical Sessions
16:40-18:20, Saturday, August 22, 2015
SatE02 Session Room No.02
Information processing
New developments on ESP Regular Session
Invited Session Chair: S.G. Ponnambalam Monash Univ. Malaysia, Malaysia
Organizer: Jie Shi Univ. of Electro-Communications, Japan Co-Chair: Ken Nakasaka Tokyo Univ. of Agri. and Tech., Japan
Chair: Jie Shi Univ. of Electro-Communications, Japan
16:40 17:00 SatE02-01
Co-Chair: Yan Yu Univ. of Electro-Communications, Japan
Modelling a 20MW scale solar farm in an unused angled area
16:40 - 17:00 SatE01-01 near Fukushima nuclear power plant
An overview of supplementary teaching materials for advanced Amin Mohammadirad Tokyo Univ. of Agri. and Tech., Japan
EST students in Japan Ken Nagasaka Tokyo Univ. of Agri. and Tech., Japan
Yan Yu Univ. of Electro-Communications, Japan
Jie Shi Univ. of Electro-Communications, Japan 17:00 17: 20 SatE02-02
Temporal and spatial projection of wind speed based on modular
17:00 - 17:20 SatE01-02 network SOM for installation of off-shore wind generation
Profiling Japanese EST students vocabulary ability using the Mitsuharu Hayashi Tokyo Univ. of Agri. and Tech., Japan
new general service list test (NGSLT) and the new academic Ken Nagasaka Tokyo Univ. of Agri. and Tech., Japan
word list test (NAWLT)
Shinichi Hashimoto Univ. of Electro-Communications, Japan 17:20 17:40 SatE02-03
Yan Yu Univ. of Electro-Communications, Japan A household load priority scheduling model based on real-time
Jie Shi Univ. of Electro-Communications, Japan electricity price
Haiyan Zhan Univ. of Electro-Communications, Japan Bo Hu State Grid Energy Research Institute, China
Xiao Zhong North China Electric Power Univ., China
17:20 - 17:40 SatE01-03 Song Liu North China Electric Power Univ., China
Peer evaluation of academic presentations by Japanese graduate
students: qualitative evaluation 17:40 18:00 SatE02-04
Jie Shi Univ. of Electro-Communications, Japan Study on cutting surface stripe and wettability of AZ91D
Cross John Univ. of Electro-Communications, Japan magnesium alloy by WEDM-HS
Jinkai Xu Changchun Univ. of Sci. and Tech., China
17:40 18:00 SatE01-04 Kui Xia Changchun Univ. of Sci. and Tech., China
Teaching poster by using genre approach to science and Rongxian Qiu Changchun Univ. of Sci. and Tech., China
technology students of a Japanese university Linshuai Zhang Changchun Univ. of Sci. and Tech., China
Toyo Univ., Univ. of Zhanjiang Yu Changchun Univ. of Sci. and Tech., China
Rajagopalan Maheswari Uma
Electro-Communications Huadong Yu Changchun Univ. of Sci. and Tech., China
Jie Shi Univ. of Electro-Communications, Japan
18:00 18:20 SatE02-05

18:00 18:20 SatE01-05 Influence of microstructure on surface wettability
Corpus-based analysis of academic RA genre: the Results Xinxin Zhang Changchun Univ. of Sci. and Tech., China
sub-genre Jinkai Xu Changchun Univ. of Sci. and Tech., China
Louvign Sbastien Univ. of Electro-Communications, Japan Zhongxu Lian Changchun Univ. of Sci. and Tech., China
Jie Shi Univ. of Electro-Communications, Japan Zhanjiang Yu Changchun Univ. of Sci. and Tech., China
Huadong Yu Changchun Univ. of Sci. and Tech., China
18:20 18:40 SatE01-06
Understanding the most essential types of words for Physics
undergraduate students
Sonia Sharmin Univ. of Tsukuba, Japan

Nonlinear systems modeling control and
applications
Organized Session
Organizer: Shiwen Tong Beijing Union Univ., China
Chair: Shiwen Tong Beijing Union Univ., China
Co-Chair: Dianwei Qian North China Electric Power Univ., China
16:40 17:00 SatE03-01

Influences from LCL filter on behaviors of three-phase
three-level PWM rectifier
Dongsheng Yu China Univ. of Mining and Tech., China
Hong Zhu China Univ. of Mining and Tech., China
Ciyan Zheng China Univ. of Mining and Tech., China
17:00 17:20 SatE03-02

Sliding mode output tracking control based on a fuzzy clustering
model
Shiwen Tong Beijing Union Univ., China
Dianwei Qian North China Electric Power Univ., China
Jianjun Fang Beijing Union Univ., China
17:20 17:40 SatE03-03

PID control of air tank temperature system with parameters
tuning through network
Shiwen Tong Beijing Union Univ., China
Yushan Li Beijing Union Univ., China
Junjie Ren Beijing Union Univ., China
Yinong Zhang Beijing Union Univ., China
17:40 18:00 SatE03-04

Sliding-mode-based disturbance rejection control of nonlinear
power systems with renewable sources
Hong Liu North China Electric Power Univ., China
Dianwei Qian North China Electric Power Univ., China
18:00 18:20 SatE03-05

Research and application of predictive control algorithm based
on fuzzy model
Yuan Li Beijing union Univ., China
Sen Cong Beijing union Univ., China
Shiwen Tong Beijing union Univ., China
Jianjun Fang Beijing union Univ., China
End of the 2nd Day

Comprehensive functions of eco-industrial park in conserving
ICAMechS 2015 energy and improving ecology
Sunday, August 23, 2015 Xinjiang Univ. of Finance and
Litifu Zulati
Economics, China
08:50 - 09:50 Main Conference Hall Ken Nagasaka Tokyo Univ. of Agri. and Tech., Japan
Plenary Speech 3
Designed to Fail: Incorporating Kinematic 10:20 11:30 Poster-05
Redundancy into Robotic Systems Study on fuzzy-logic PID control system of synchronous jack-up
system of turbine runner static equilibrium experiment
Anthony A. Maciejewski
North China Univ. of Water Resources and
Colorado State University. USA Yongxing Hao
Electric Power, China
Chair: J. X. Zhang Swinburne University of Technology, Australia
Chaofeng Wang
Electric Power, China
09:50 - 10:20 Break
Lihui Song
Technical Poster Session Electric Power, China
10:20-11:30, Sunday, August 23, 2015

10:20 11:30 Poster-06
Poster Main Conference Room
The straight line mechanism base on peaucellier inversion
instrument
Chair: Changan Jiang Ritsumeikan Univ., Japan Beijing Univ. of Posts and
Kai He
Xiaoguang Zhou Beijing Univ. of Posts and Telecommunications, China
Telecommunications, China Beijing Univ. of Posts and

Lei Guo
Co-Chair: Shin Wakitani Tokyo Univ. of Agri. and Tech., Japan Telecommunications, China
Yixin Yin Univ. of Sci. and Tech. Beijing, China Beijing Univ. of Posts and
Yuan Song
Telecommunications, China
10:20 11:30 Poster-01
Bipolar neutrosophic sets and their application based on 10:20 11:30 Poster-07
multi-criteria decision making problems Mechanical design and realization of automatic docking
Irfan Deli Aralik University, Turkey mechanism
Mumtaz Ali Quaid-e-azam Univ., Pakistan Beijing Univ. of Posts and
Xinhu Mo
Florentin Smarandache Univ. of New Mexico, USA Telecommunications, China
Beijing Univ. of Posts and
Lei Guo
10:20 11:30 Poster-02 Telecommunications, China
Evaluation method of main production resource in society and Beijing Univ. of Posts and
Yuan Song
industrial park of extreme arid region (1) Telecommunications, China
Xinjiang Univ. of Finance and Beijing Univ. of Posts and
Litifu Zulati Ying Zhang
Economics, China Telecommunications, China
10:20 11:30 Poster-03 10:20 11:30 Poster-08

Research on control methods of permanent magnet synchronous Design and implementation of a mechanical calculator for
motor position servo system quadratic equation with one unknown
Fen Yang Xidian Univ., China
Bin Xing
Zhengfeng Ming Xidian Univ., China
Tao Wen Xidian Univ., China
Lei Guo
Tong Zhang Xidian Univ., China
Zhanxia Zhu Northwestern Polytechnical Univ., China
Shimin Wei
10:20 11:30 Poster-04 Yuan Song Beijing Univ. of Posts and
Beijing Univ. of Posts and 10:20 11:30 Poster-15
Ying Zhang
Telecommunications, China Strongly stable GPC with suppression of steady state gain and
closed-loop poles
10:20 11:30 Poster-09 Akira Inoue Okayama Univ., Japan
A comparative study on inter-tern short circuit fault of PMSM National Institute of Tech., Kagawa
Tomohiro Henmi
using finite element analysis and experiment College, Japan
Yongcan Li Hebei Univ. of Sci. and Tech., China Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan
Yongchun Liang Hebei Univ. of Sci. and Tech., China
10:20 11:30 Poster-16
10:20 11:30 Poster-10 Model free fault detection using one set of reference input and
A research on construction of 30 bus large-scale smart grid model output data
Sho Kainose Tokyo Univ. of Agri. and Tech., Japan Akira Inoue Okayama Univ., Japan
Ken Nagasaka Tokyo Univ. of Agri. and Tech., Japan National Institute of Tech., Kagawa
Tomohiro Henmi
College, Japan
10:20 11:30 Poster-11 Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan
Modeling a lithium-ion battery based on a threshold model
Zhi Zhang Beijing Jiaotong Univ., China
10:20 11:30 Poster-17
10:20 11:30 Poster-12 Research on algorithm of nonlinear self-adaptive flight control
Modelling the relationship between constituents and anti-RSV system
effect of baikal skullcap root Hao Long Beijing Union Univ., China
Ke Li Shandong Acad. of Sci., China Shujie Song Aviation Industry Co. of China, China
Shandong Acad. of Chinese Medicine,
Bonian Zhao
China 10:20 11:30 Poster-18
Shandong Acad. of Chinese Medicine, The indoor real-time 3D localization algorithm using UWB
Yan Gao
China Xuehong Li Univ. of Sci. and Tech. Beijing, China
Shandong Acad. of Chinese Medicine, Shuhua Yang Univ. of Sci. and Tech. Beijing, China
Bianli Wang
China
Shandong Acad. of Chinese Medicine, 10:20 11:30 Poster-19
Zongyuan Yu
China Operator and sliding mode based nonlinear control for cooling
Qianfo Mountain Hospital of Shandong and heat-retention system actuated by Peltier devices
Hongpeng Zhao
Province, China Takafumi Hatano Tokyo Univ. of Agri. and Tech., Japan
Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan
10:20 11:30 Poster-13 Shin Wakitani Tokyo Univ. of Agri. and Tech., Japan
Energy-saving improvement and simulation study on digital
hydraulic system 10:20 11:30 Poster-20
Fei Song Naval Univ. of Eng., China Control system design for ionic polymer metal composite using a
Jingjun Lou Naval Univ. of Eng., China single neuron based adaptive PID approach
Likun Peng Naval Univ. of Eng., China Yiping Chang Zhongyuan Univ. of Tech., China
Hui Wang Zhongyuan Univ. of Tech., China
10:20 11:30 Poster-14
Path planning of airfoil surface for robotic fibre placement 10:20 11:30 Poster-21
Evaluation method of main production resource of society and
Lina Li Chinese Acad. of Sci., China
industrial park of extreme arid region (2)
Xingang Wang Chinese Acad. of Sci., China
Xinjiang Univ. of Finance and
De Xu Chinese Acad. of Sci., China Litifu Zulati
Economics, China
Min Tan Chinese Acad. of Sci., China
10:20 11:30 Poster-22 Qixian Zhou Henan Univ. of Sci. and Tech., China
Dynamic and energy analysis based on bumper system low-speed Tengteng Cui Henan Univ. of Sci. and Tech., China
collision test
Zhiming Wang Shanghai Univ., China 10:20 11:30 Poster-29
Li Chen Shanghai Univ., China Maximum efficiency control method of permanent magnet
synchronous motor based on three-dimensional table
10:20 11:30 Poster-23 Gensheng Li Henan Univ. of Sci. and Tech., China
Feasibility of neucube spiking neural network architecture for Jinfa Xie Henan Univ. of Sci. and Tech., China
EMG pattern recognition Liyou Xu Henan Univ. of Sci. and Tech., China
Long Peng Chinese Acad. of Sci., China
Zengguang Hou Chinese Acad. of Sci., China 10:20 11:30 Poster-30
Nikola Kasabov Auckland Univ. of Tech., New Zealand Modeling and simulation of hydro-mechanical continuously
Guibin Bian Chinese Acad. of Sci., China variable transmission system based on Simscape
Luige Vladareanu Romanian Acad., Romania Zhili Zhou Henan Univ. of Sci. and Tech., China
Hongnian Yu Bournemouth Univ., UK Jiazhen Zhang Henan Univ. of Sci. and Tech., China
Zhiqiang Guo YTO Group Corporation, China
10:20 11:30 Poster-24 Liyou Xu Henan Univ. of Sci. and Tech., China
Optimal fiber orientations and topology of compliant mechanisms

using lamination parameters 10:20 11:30 Poster-31
Xinxing Tong Northwestern Polytechnical Univ., China Performance comparison for savonius type wind turbines by
Wenjie Ge Northwestern Polytechnical Univ., China numerical analysis approaches
Yonghong Zhang Northwestern Polytechnical Univ., China Lei Song Henan Univ. of Sci. and Tech., China
Hongzhao Liu Xian Univ. of Tech., China
10:20 11:30 Poster-25 Zongxiao Yang Henan Univ. of Sci. and Tech., China
A software platform for interactive analysis on 3D medical data
Wei Cheng Shandong Acad. of Sci., China 10:20 11:30 Poster-32
Yongfei Xiao Shandong Acad. of Sci., China Fuzzy clustering analysis of batch production recipe
Taikoo (Shandong) Aircraft Eng. Shanzhong Liu Henan Univ. of Sci. and Tech., China
Youlei Zhao
Co.,Ltd., China Xiaonan Song Henan Univ. of Sci. and Tech., China
10:20 11:30 Poster-26 10:20 11:30 Poster-33

Master-slave force control based on Grey GM(1,1) model of robot Fully discrete subgrid stabilized finite element method for the
grippper Darcy-Brinkman equations in double-diffusion convection
Wei Cheng Shandong Acad. of Sci., China Yunzhang Zhang Henan Univ. of Sci. and Tech., China
Xuelin Wang Shandong Acad. of Sci., China Zhoufeng Wang Henan Univ. of Sci. and Tech., China
Haiyan Ma Shandong Acad. of Sci., China Qili Tang Henan Univ. of Sci. and Tech., China
10:20 11:30 Poster-27 10:20 11:30 Poster-34

Remote automatic test system based on MATLAB using VISA The simplified homogeneous balance method and its application
over LAN to Whitham-Broer-Kaup-Like equations
Wei Cheng Shandong Acad. of Sci., China Wei Li Henan Univ. of Sci. and Tech., China
Fenggui Wang Shandong Acad. of Sci., China Xinrui Wang Univ. of Chicago, USA
Haiyan Ma Shandong Acad. of Sci., China
10:20 11:30 Poster-28

11:30 - 13:00 Lunch Break
Cubic spline solution for a class of boundary value problems
using spectral collocation method
Tianjun Wang Henan Univ. of Sci. and Tech., China
Early Afternoon Technical Sessions Mechatronic systems analysis and control I
13:00-14:40, Sunday, August 23, 2015 Regular Session
Chair: Xinkai Chen Shibaura Institute of Tech., Japan
SunM01 Session Room No.01
Co-Chair: Hongbo Wang Yanshan Univ., China
Advanced control systems design - theory and 13:00 13:20 SunM02-01

applications Size and weight reduction of semicircular duplex manipulator for
Organized Session rescue operation
Organizer: Shin Wakitani Tokyo Univ. of Agri. and Tech., Japan Soichiro Kimura Hosei Univ., Japan
Takao Sato Univ. of Hyogo Kazuyuki Ito Hosei Univ., Japan
Chair: Shiro Masuda Tokyo Metropolitan Univ., Japan
Co-Chair: Shin Wakitani Tokyo Univ. of Agri. and Tech., Japan 13:20 13:40 SunM02-02
Adaptive fault diagnosis for continuous time-delay repetitive
13:00 13:20 SunM01-01
system subject to sensor fault
Tracking control of quad-rotor helicopters suspended a power
Haigang Zhang Univ. of Sci. and Tech. Beijing, China
supply cable with on-line estimation of disturbances
Sen Zhang Univ. of Sci. and Tech. Beijing, China
Hayami Hayakawa Nagoya Institute of Tech., Japan
Yixin Yin Univ. of Sci. and Tech. Beijing, China
Shogo Obata Nagoya Institute of Tech., Japan
Manabu Yamada Nagoya Institute of Tech., Japan
13:40 14:00 SunM02-03
Model identification and adaptive control design for a 6 DOFs
13:20 13:40 SunM01-02
manipulator
Multivariable controller design evaluating closed-loop interaction
Univ. of Electronic Sci. and Tech. of
by iterative LMI optimization using frequency response data Weilaing Ge
China, China
Shogo Shinoda Mie Univ., Japan
Wei He Univ. of Sci. and Tech. Beijing, China
Kazuhiro Yubai Mie Univ., Japan
Yunchuan Li Univ. of Maryland College Park, USA
Daisuke Yashiro Mie Univ., Japan
Chenguang Yang Plymouth Univ., UK
Junji Hirai Mie Univ., Japan
14:00 14:20 SunM02-04

13:40 14:00 SunM01-03
Precise tracking control for Piezo-actuated stage using inverse
Flow disturbance suppression for a pneumatic vibration isolator
compensation and model predictive control
using a central pattern generator
Nguyen Manh Linh Shibaura Institute of Tech., Japan
Tran Vu Minh Shibaura Institute of Tech., Japan
Daishi Funaki Tokyo Univ. of Agri. and Tech., Japan
Xinkai Chen Shibaura Institute of Tech., Japan
Mami Kimura Tokyo Univ. of Agri. and Tech., Japan
14:20 14:40 SunM02-05
Oscillatory behavior based fault feature extraction for bearing
14:00 14:20 SunM01-04
fault diagnosis
Design of a fault tolerant control system using
Juanjuan Shi Univ. of Ottawa, Canada
Mahalanobis-Taguchi(MT) system
Ming Liang Univ. of Ottawa, Canada
Shin Wakitani Tokyo Univ. of Agri. and Tech., Japan
Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan SunM03 Session Room No.03
14:20 14:40 SunM01-05 Complex systems control and applications I

Data-driven PID gain tuning for unknown impulse disturbance Regular Session
attenuation Chair: Ni Bu Qingdao Univ. of Sci. and Tech., China
Shiro Masuda Tokyo Metropolitan Univ., Japan Co-Chair: Zhengfeng Ming Xidan Univ., China
SunM02 Session Room No.02 13:00 13:20 SunM03-01

Switched reluctance motor/generator simulation research based
on compressed air energy storage system Songming Cao Beijing Univ. of Posts and Telecommunications, China
Xiaoshu Zan China Univ. of Mining and Tech., China Yong Liu Beijing Univ. of Posts and Telecommunications, China
Hong Zhu China Univ. of Mining and Tech., China Ming Hu Beijing Univ. of Posts and Telecommunications, China
Xin Fu Beijing Univ. of Posts and Telecommunications, China
13:20 13:40 SunM03-02

Surface flaws detection algorithms for large aperture optical 15:10 15:30 SunP01-02
element Precision size measurement instrument for irregular objects
Zhengtao Zhang Chinese Acad. of Sci., China Wanji Liu SIPO , China
De Xu Chinese Acad. of Sci., China Xian Tao Chinese Acad. of Sci., China
Xian Tao Chinese Acad. of Sci., China
Feng Zhang Chinese Acad. of Sci., China 15:30 15:50 SunP01-03

A new method of periodicity estimation for mechanical acoustic
13:40 14:00 SunM03-03 data
An adaptive observer-based fault detection and diagnosis for Zhipan Hong Shandong Univ., China
nonlinear systems with sensor and actuator faults Guoliang Lu Shandong Univ., China
Xiaomo Yan Univ. of Manchester, UK
Bailing Tian Tianjing Univ., China 15:50 16:10 SunP01-04
Hong Wang Univ. of Manchester, UK Acoustic emission signal harr wavelet denoise research
Kenan Shen Southwest Forestry Univ., China
14:00 14:20 SunM03-04 Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan
Minimum mutual information control for multi-variable Ming Li Southwest Forestry Univ., China
non-Gaussian stochastic systems
Qichun Zhang Univ. of Manchester, UK 16:10 16:30 SunP01-05
Aiping Wang Anhui Univ., China Operator-based nonlinear networked control system with packet
Hong Wang Univ. of Manchester, UK error
14:20 14:40 SunM03-05 Tomohito Hanawa Tokyo Univ. of Agri. and Tech., Japan
Design and simulation of dual fuzzy self-adjusting immune PID Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan
controller for grain drying system
Aini Dai Beijing Univ. of Posts and Telecommunications, China 16:30 16:50 SunP01-06
Xiaoguang Zhou Beijing Univ. of Posts and Telecommunications, China Optimal control of non-prehensile manipulation control by two
Chi Zhang Beijing Univ. of Posts and Telecommunications, China cooperative arms
Xiangdong Liu Beijing Univ. of Posts and Telecommunications, China Changan Jiang Ritsumeikan Univ., Japan
Huiling Zhou Beijing Univ. of Posts and Telecommunications, China Satoshi Ueno Ritsumeikan Univ., Japan
Yoshikazu Hayakawa Nagoya Univ., Japan
14:40 - 14:50 Break
SunP02 Session Room No.02

Middle Afternoon Technical Sessions
14:50-16:50, Sunday, August 23, 2015
Mechatronic systems analysis and control II
SunP01 Session Room No.01 Regular Session
Chair: Shengjun Wen Zhongyuan Univ. of Tech., China
Control of mechatronic systems II Co-Chair: Dongyun Wang Zhongyuan Univ. of Tech., China
Regular Session
14:50 15:10 SunP02-01
Chair: Changan Jiang Ritsumeikan Univ., Japan
SVR-based input-output mapping of a micro-hand
Co-Chair: Junming Xiao Zhongyan Univ. of Tech., China
Kou Fujita Tokyo Univ. of Agri. and Tech., Japan
14:50 15:10 SunP01-01 Shuichi Wakimoto Okayama Univ., Japan
A brushless DC motor speed control system based on DSP Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan
controller Shin Wakitani Tokyo Univ. of Agri. and Tech., Japan

15:10 15:30 SunP02-02 Yong Liu Beijing Univ. of Posts and Telecommunications, China
Nonlinear remote temperature control of a spiral plate heat Ming Hu Beijing Univ. of Posts and Telecommunications, China
exchanger Songming Cao Beijing Univ. of Posts and Telecommunications, China
Ryohei Fujii Tokyo Univ. of Agri. and Tech., Japan

Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan 15:10 15:30 SunP03-02
Shin Wakitani Tokyo Univ. of Agri. and Tech., Japan IPMC robust nonlinear tracking control design based on a
multi-objective particle swarm optimization-based RRCF
15:30 15:50 SunP02-03 approach
Operator based voltage control experiments of thermoelectric Wudai Liao Zhongyuan Univ. of Tech., China
generation system Tongbin Yan Zhongyuan Univ. of Tech., China
Ryuji Yoshida Tokyo Univ. of Agri. and Tech., Japan Aihui Wang Zhongyuan Univ. of Tech., China
Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan Yiwen Fu Zhongyuan Univ. of Tech., China
Shin Wakitani Tokyo Univ. of Agri. and Tech., Japan
15:30 15:50 SunP03-03
15:50 16:10 SunP02-04 Robot arm with micro-hand robust control design using
Robust controller design for networked control system with operator-based robust right coprime factorization approach
packet dropout and quantization error Aihui Wang Zhongyuan Univ. of Tech., China
Haiquan Wang Zhongyuan Univ. of Tech., China Hongnian Yu Bournemouth Univ., UK
Rongxiang Gao Zhongyuan Univ. of Tech., China Dongyun Wang Zhongyuan Univ. of Tech., China
Qian Zhang Zhongyuan Univ. of Tech., China Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan
Shengjun Wen Zhongyuan Univ. of Tech., China
16:10 16:30 SunP02-05 15:50 16:10 SunP03-04
Active power filter design for improving power quality Complex event processing on uncertain data streams in product
Junming Xiao Zhongyuan Univ. of Tech., China manufacturing process
Xiangming Zhang Zhongyuan Univ. of Tech., China Na Mao Chinese Acad. of Sci., China
Shengjun Wen Zhongyuan Univ. of Tech., China Jie Tan Chinese Acad. of Sci., China
Zhengbo Liu Zhongyuan Univ. of Tech., China
16:10 16:30 SunP03-05
16:30 16:50 SunP02-06 Detecting cracks on a concrete surface using histogram of
Fractional PID based stability control for a single link rotary oriented gradients
inverted pendulum Lin Meng Ritsumeikan Univ., Japan
Wudai Liao Zhongyuan Univ. of Tech., China Zhongkui Wang Ritsumeikan Univ., Japan
Zhengbo Liu Zhongyuan Univ. of Tech., China Yoshiyuki Fujikawa Ritsumeikan Univ., Japan
Shengjun Wen Zhongyuan Univ. of Tech., China Shigeru Oyanagi Ritsumeikan Univ., Japan
Shuhui Bi Univ. of Jinan, China
Dongyun Wang Zhongyuan Univ. of Tech., China 16:30 16:50 SunP03-06
Power balance control for switched reluctance generator
integrated in DC microgrid
SunP03 Session Room No.03
Lanzhou Institute of Physics and National Key Lab. of
T. Wang
Vacuum and Cryogenic, China
Complex systems control and applications II
Regular Session D. He
Vacuum and Cryogenic, China
Chair: Aihui Wang Zhongyuan Univ. of Tech.., China
Q. Wang China Univ. of Mining and Tech., China
Co-Chair: Hong Wang Univ. of Manchester, UK
Y. Huo
14:50 15:10 SunP03-01 Vacuum and Cryogenic, China
Design of the automatic sample preparation system L. Lu China Univ. of Mining and Tech., China
Xin Fu Beijing Univ. of Posts and Telecommunications, China J. Li China Univ. of Mining and Tech., China
Shimin Wei Beijing Univ. of Posts and Telecommunications, China
16:50 - 17:00 Break
17:00 - 18:00
Plenary Panel Discussion
New Developments in Advanced Mechatronic Systems
Speaker: Mingcong Deng Tokyo Univ. of Agri. and Tech., Japan

Hongnian Yu Bournemouth Univ., UK
18:30 - 20:30
Banquet
End of the 3rd Day
ICAMechS 2015
Monday, August 24, 2015
Technical Tour to The Great Wall of China
End of the Conference

ABSTRACT
Organized Session
Renewable sources of energy
Time: 13:00-14:40, Saturday, August 22, 2015 Chair: Zongxiao Yang (Henan Univ. of Sci. and Tech., China)
SatM01, Room No. 01 Co-Chair: Aihui Wang (Zhongyuan Univ. of Tech., China)
SatM01-01 SatM01-02
Cluster analysis on the service oriented alliance enterprise Performance and exhaust emissions of a turbocharged common
manufacturing resource rail DI diesel engine fueled with alcohol
Yunxia Wang, Shenghai Qiu, Chengchong Gao, and Jun Wei Bin Xu, Yibin Liu, Jian Wu, Chuang Li, Weiwei Shang, and Zhihao Ma
(Nanjing Institute of Tech., China) (Henan Univ. of Sci. and Tech., China)
To alliance manufacturing enterprises, there are some problems in resources such Three kinds of alcohol fuels and diesel were blended and combusted in an
as different kinds, ununiform standards, high repeatability etc. Under cloud electronic control high-pressure common rail turbocharged DI diesel engine
manufacturing service platform, using cluster analysis method to classify respectively. Without any modifications in the original engine structure, the
intelligent resources of alliance enterprise was studied. The same or similar combustion characteristics and emissions of alcohol-diesel fuel were investigated.
resources are divided into one resources cluster. The uniqueness attribution of It shows that the peak heat release rate and the brake specific fuel consumption
resources is solved. According to the cloud user needs, resources in a cluster not in increase with the increase of mixing ratio. At the same blending ratio, the peak
all resources set are searched and matched. Using the evaluation method of heat release rate of methanol-diesel is the highest, but the brake specific fuel
manufacturing dynamic capacity, optimal resources are provided. It can improve consumption is lower; N-butanol/diesel has the lowest CO and HC emissions but
using ratio of the resources. Finally an instance was verified. has the highest NOX emissions. NOX emissions of methanol-diesel and
ethanol-diesel are approximated, but CO and HC emissions of ethanol-diesel is the
highest. In consideration of the fuel economy and emission performance,
methanol-diesel mixing fuel is better.
SatM01-03 SatM01-04
Design and simulation of passive filter based on fundamental Research on large supermarket fresh food supplier evaluation and
magnetic flux compensation selection based on SWOT-entropy weight fuzzy comprehensive
model
Qun Chen and Zongxiao Yang
(Henan Univ. of Sci. and Tech., China) Ying Yuan, Yi Zhang, Long Di, Ganggang Wu, and Zongxiao Yang
(Henan Univ. of Sci. and Tech., China)
The harmonic problem becomes more and more serious in power grid, passive Aiming at the subjectivity and random problems existing in traditional evaluation
filter is one of the effective way to filter harmonic. This paper presented the design and selection processes of supermarket fresh goods suppliers, and combined with
and simulation of passive filter based on the theory of fundamental magnetic flux the perishable and vulnerable characteristics and the current situation and
compensation (FMFC). The primary winding of transformer is in series between development trend of supermarket fresh food, the paper constructed the ladder
the passive filter and the power supply, in the primary winding of series type evaluation framework by using SWOT analysis method, which is used to
transformer, the fundamental current component of system was detected and study the external environment and capacity of the suppliers of supermarket fresh
tracked to produce a fundamental compensation current by inverter, which was goods. In view of the deficiencies of common comprehensive evaluation methods
injected into the secondary winding, when the injected fundamental current and on weight determination, therefore, this study proposed a structured methodology
the fundamental current component of the system satisfied the FMFC, the system for supplier selection and evaluation based on the Entropy Weight Fuzzy
fundamental current could pass transformer successfully, but most of the harmonic Comprehensive Evaluation. In the end, the method was applied on the course of
current was forced to flow into passive filter, thus achieved the purpose of the fresh goods suppliers optimization in one supermarket to validate the
harmonic isolation, and made most of the harmonic current flow into passive feasibility and correctnessexample.
filter. Compared with the using of passive filter singly, it improved the efficiency
of passive filter. The validity of the new method of filtering characteristics was
verified by simulation through Matlab. The simulation results show that this
method can filter out harmonic more efficiency in power systems when the
waveform distortion is serious.
SatM01-05
A novel outer rotor axial primary magnetic circuit permanent
magnet generator
Ximei Li and Zongxiao Yang, and Dongliang Song
(Henan Univ. of Sci. and Tech., China)
Wind energy has attracted persistent attention as a renewable energy, so it is very

significant to research the permanent magnet generator which is an essential part
of wind energy conversion system. This paper proposes a novel outer rotor axial
primary magnetic circuit permanent magnet generator. For the sake of small size
and light weight with extra low speed for direct coupling, the outer rotor structure
is used. The stator windings are adopted double fractional-slot concentrated to
reduce the cogging torque. The most highlight is a novel axial primary magnetic
circuit. Through the air gap magnetic flux density test experiments, there exist the
linear relationship of the negative slope between the magnetic flux density and the
air gap. This novel type of magnetic circuit structure makes greatly improved the
sensitivity gap, so that the key Tech. such as structure design process route
determined and manufacturing become easier to achieve, significantly reduce
generator costs, ease of construction practical application. Meanwhile, the novel
outer rotor axial primary magnetic circuit permanent magnet generator can
overcome the problems of the lager overall start reluctance generator torque and
the lower wind energy conversion rate under the condition of small wind.
Organized Session
Advanced intelligent control in robotics and mechatronics
Time: 13:00-14:40, Saturday, August 22, 2015 Chair: Luige Vladareanu (Romanian Acad., Romania)
SatM02, Room No. 02 Co-Chair: Zengguang Hou (Chinese Acad. of Sci., China)
SatM02-01 SatM02-02
Active training research of a lower limb rehabilitation robot based Fuzzy controller design of the wire feeder of invasive vascular
on constrained trajectory interventional surgery robot
Hongbo Wang, Dong Zhang, Hao Lu, Yongfei Feng, and Peng Xu (Yanshan Univ., China) Hongbo Wang, Shuaishuai Wang, Wen Zhang, and Liyu Xie (Yanshan Univ., China)
Razvan-Viorel Mihai and Luige Vladareanu (Romanian Acad., Romania) Xue Yang (Univ. of Jinan, China)
Luige Vladareanu and Radu Munteanu (Romanian Acad., Romania)
In order to help patients achieve effective and coordinating multi-joints movement A fuzzy controller is analyzed for the wire feeder of the invasive vascular
easily, the paper presents an active training method of a lower limb rehabilitation interventional surgery robot in this paper. First of all, the mechanism of the wire
robot based on constrained trajectory. The realization process of the method is as feeder is introduced, and the axial motion is analyzed. Second, the dynamic model
follows. The patients movement intention is recognized by analyzing the signals of the wire feeder is established. Next, the fuzzy PID controller is analyzed to
from torque sensors installed in rehabilitation robot joints, and the moving improve the positioning accuracy. At last, the controller is simulated by
velocity of the mechanical arm terminal is calculated through the establishment of MATLAB. Comparing with normal PID controller, the fuzzy PID controller has
the damping function and the design of constrained trajectory. The velocity of better dynamic properties and anti-jamming ability. The result verifies the
joints can be calculated through kinematic Jacobi matrix, and is used to drive the effectiveness of the controller strategy.
joints. The moving velocity of the mechanical arm terminal on a constrained
trajectory can be controlled through adjusting the damping function, in order to
achieve the active rehabilitation training for different patients at different levels.
Finally, the feasibility of the method is validated by the experiment.
SatM02-03 SatM02-04
Advanced intelligent walking robot control through sliding motion Versatile intelligent portable robot platform for flexible robotic
control and bond graphs methods cells with AGV
Ionel Alexandru Gal and Luige Vladareanu (Romanian Acad., Romania) Luige Vladareanu, Cristian Spirleanu, and Mihaiela Iliescu
(Romanian Acad., Romania)
Hongbo Wang (Yanshan Univ., China)
Hongnian Yu (Bournemouth Univ., UK)
Hongnian Yu (Bournemouth Univ., UK) Mingcong Deng (Tokyo Univ. of Agri. and Tech., Japan)
Mingcong Deng (Tokyo Univ. of Agri. and Tech., Japan) Weizhong Guo and Feng Gao (Shanghai Jiao Tong Univ., China)
In this paper, we tested a dynamic control law on a 2DOF robot walking leg. To The paper studies the flexible robotic cells in cooperation with automated guided
achieve this, we modeled the system using bond graphs, and the Sliding Control vehicle (AGV), in the presence of obstacles, at constant or variable speed and
Method for real time control. To increase performance of the robot trajectory variable load, aiming to optimizing the interaction between AGV and flexible
tracking control a fuzzy gain adjustment inside the dynamic control method has robotic cell components. Overall system performance is analyzed by using
been used and the new results include the systems influence on the sliding modeling tools for discrete event systems like Generalized Stochastic Petri Net
parameter. The research results lead to improve of the walking robot movement (GSPN). The interaction between AGV and flexible robotic cell components is
control on unstructured and bumped surfaces. implemented through communication messages using serial data received from an
optical XY encoder, communication protocol receive function is modeled with
GSPN. Improving of the stability performances and real time motion control are
analyzed and the virtual projection method is adopted using the Versatile
Intelligent Portable Robot Platform VIPRO. The obtained results, validated on the
experimental RTOS robotic platform and DMQX language extension for robotic
applications, lead to higher performance in relation to interaction optimization,
decreased the flexible cells cycle time, increased mobility and stability of the
AGV and also the development of new technological capabilities of the control
systems.
SatM02-05
Haptic intelligent interfaces for NAO robot hand control
Octavian Melinte, Luige Vladareanu and Ligia Munteanu
(Romanian Acad., Romania)
Hongnian Yu and Shuang Cang (Bournemouth Univ., UK)
Zengguang Hou and Guibin Bian (Chinese Acad. of Sci., China)
Hongbo Wang (Yanshan Univ. , China)
The paper presents a new approach on haptic interface control for NAO robotic
hand. The haptic teleoperation of NAO robots hand raises some issues, the most
important being mapping the haptic device dynamic for NAO robot hand. The
mapping was achieved by determining a dynamic gain of robot haptic feedback
through Neural Network. The results lead to the achievement of the haptic
intelligent interfaces for the NAO robot hand control which can be integrated into
an innovative haptic robot control system.
Regular Session
Optimization methods and application I
Time: 13:00-14:40, Saturday, August 22, 2015 Chair: Shuhui Bi (Univ. of Jinan, China)
SatM03, Room No. 03 Co-Chair: Huimin Xiao (Henan Univ. of Economics and Law, China)
SatM03-01 SatM03-02
Weak reachability of probabilistic boolean control networks Oscillation criteria for a class of nonlinear impulsive parabolic
system under dirichlet boundary condition
Zhiqiang Li and Huimin Xiao
(Henan Univ. of Economics and Law, China) Junhong Liu, Wenxue Liu, Lifeng Li, and Qi Jin
(Acad. of Armored Force Eng., China)
This paper concerns the weak reachability of probabilistic Boolean control In this paper, the authors discuss oscillation of non-zero solutions for a class of
networks (PBCNs). Using semi-tensor product, PBCNs are expressed as discrete impulsive parabolic system. Several oscillation criterias are obtained under
time bilinear systems with respect to states and controls. From the algebraic form Dirichlet boundary condition by using the Green formula and Jensen inequality.
of PBCNs, the maximum transfer probability matrix for PBCNs is constructed.
From the matrix, necessary and sufficient condition for weak reachability of
PBCNs is given. Also, a numerical example is presented to show the applicability
of our approach.
SatM03-03 SatM03-04
Operator-based left coprime factorization for nonlinear systems Passivity-based robust control for uncertain nonlinear feedback
systems
Fazhan Tao and Mingcong Deng
(Tokyo Univ. of Agri. and Tech., Japan) Ni Bu (Qingdao Univ. of Sci. and Tech., China)
Mingcong Deng (Tokyo Univ. of Agri. and Tech., Japan)
In this paper, a class of nonlinear systems are considered with the left factorization This paper is concerned with passivity-based robust control and tracking
approach. More specially, the stability of the nonlinear systems are guaranteed performance for nonlinear feedback system with unknown perturbations. By
using the proposed design scheme that links the stability to the Bezout identity. At designing the feedforward controller in smaller norm, not only the nonlinear
the same time, through the proposed scheme, the left coprime factorization of the system with nominal plant but also that with perturbed plant can be stabilized,
nonlinear systems is verified. Based on the proposed design scheme, a sufficient moreover, the plant output can be proved to be closer to the reference output. The
condtion is found to establish a relationship between the left coprime factorization effectiveness of the proposed is confirmed by the simulation results.
and the right coprime factorization. Finally, a numerical simulation is given to
confirm the effectiveness of the proposed method.
SatM03-05
Correlated neural activity in spiking networks with topographic

couplings
Jinli Xie, Qinjun Zhao, and Jianyu Zhao (Univ. of Jinan, China)
A neural field model with topographic feedforward and feedback is chosen to

confirm how correlated activity in spiking neural networks depends on spatial
couplings. Numerical simulations reveal that the intensity of the correlated firing
is suppressed as the feedback spatial scale decreases. Afterwards, as the feedback
becomes topographic, the correlation coefficient is almost unchanged with further
decreases in feedback spatial scale. Correspondingly, the relatively flat values of
correlation coefficient with decreasing feedforward spatial scale imply that the
effect of spatial spread of feedforward on correlated firing of the neurons keeps
almost invariable. Therefore, the correlation coefficient and the spatial scales are
uncorrelated in the network with topographic couplings. In brief, the global
feedback enables the system to modulate correlated neural activity with the spatial
scale, while the introduction of topography in couplings brings little effect on
network correlations.
Regular Session
Optimization methods and applications II
Time: 14:50-16:30, Saturday, August 22, 2015 Chair: Guangdong Tian (Northeast Forestry Univ., China)
SatP01, Room No. 01 Co-Chair: Zongxiao Yang (Henan Univ. of Sci. and Tech., China)
SatP01-01 SatP01-02
Scheduling of rescue vehicles to forest fires via multi-objective An effective VNSSA algorithm for the blocking flowshop
particle swarm optimization scheduling problem with makespan minimization
Yaping Ren and Guangdong Tian (Northeast Forestry Univ., China) Chaoyong Zhang, Zhanpeng Xie, and Xinyu Shao
Mengchu Zhou (New Jersey Institute of Tech., USA) (Huazhong Univ. of Sci. and Tech., China)
Guangdong Tian (Northeast Forestry Univ., China)
It is complex and difficult to perform the rescue vehicle scheduling to handle This paper proposes a hybrid algorithm based on the variable neighborhood search
forest fires in order to reduce the operational cost and improve the efficiency of (VNS) and the simulated annealing approach (SA) for minimizing the makespan
fire-extinguishing services. A new research issue arises when a) decision-makers in a blocking flowshop scheduling problem. The proposed hybrid algorithm
want to minimize the number of rescue vehicles while minimizing the rescue time; (VNSSA) adopts simulated annealing approach (SA) as the local search method in
and b) decision-makers prefer to complete the fire-extinguishing task given the third stage of variable neighborhood search (VNS), and uses a perturbation
limited vehicle resources. To do so, this work presents a novel multi-objective mechanism consisting of various neighborhood operators to diversify the search.
scheduling model to handle forest fires subject to limited rescue vehicle The destruction and construction phases of iterated greedy algorithm are used to
constraints, in which a fire spread speed factor is introduced into this model to generate a trial solution during the perturbation process of SA to further promote
better describe a practical forest fire. Also, a Multi-objective Particle Swarm the search capability. To validate the performance of the proposed VNSSA
Optimization (MPSO) algorithm is proposed to yield a set of Pareto solutions for algorithm, computational experiments and comparisons were conducted on the
this problem. This approach is applied to a real-world emergency scheduling well-known benchmark problems of Taillard. The computational results of the
problem of the forest fire in Mt. Daxing'anling, China. Both theoretical and proposed algorithm when evaluated against the state-of-art algorithms from the
simulation results demonstrate that the proposed approach is able to quickly literature show good performance, some new best solutions for Taillards
produce Pareto solutions for decision makers. instances are reported for this problem.
SatP01-03 SatP01-04
Simulation modeling of shuttle racking system based on automod An expected value multi-objective optimization model to locate a
vehicle inspection station
Bingfeng Sang and Yukun Liu
(Beijing Univ. of Posts and Telecommunications, China) Guangdong Tian (Northeast Forestry Univ., China)
Mengchu Zhou (New Jersey Institute of Tech., USA)
The paper researches modeling method of shuttle racking system based on Optimally locating a transportation facility and automotive service enterprise is an interesting
Automod. By analyzing the real system, the system model of shuttle racking and important problem. In practice, many related factors, e.g., customer demands, allocations,
system was put forward. A method of simulation modeling of LIFO type and the and locations of customers and facilities, are changing, and thus the problem features with
modeling step for the shuttle racking system are provided. At last, an example of uncertainty. To account for this uncertainty, some researchers have addressed its stochastic time
some warehouse of refined grain verifies the feasibility, the effectiveness, and the and cost issues. A new research issue arises when a) decision-makers want to minimize the
reusability of the method. transportation time of customers while minimizing their transpiration cost when locating a
facility; and b) users prefer to arrive at the destination within the specific time and cost. By
taking a vehicle inspection station as a typical automotive service enterprise example, this work
proposes a novel stochastic multi-objective optimization approach to address it. Moreover, some
regional constraints can greatly influence its solution; while vehicle velocity is an uncertain
variable due to the influence of some unpredictable factors in a location process. This work
builds a practical stochastic expected value multi-objective programming model of its location
with regional constraints and varying velocity. A hybrid algorithm integrating stochastic
simulation and Genetic Algorithms (GA), namely a random weight based multi-objective GA, is
proposed to solve the proposed models. A numerical example is given to illustrate the proposed
models and the effectiveness of the proposed algorithm.
SatP01-05
Experimental study on nonlinear vibration control of an L-shape arm
Yanfeng Wu and Mingcong Deng

(Tokyo Univ. of Agri. and Tech., Japan)
Longguo Jin
(Qingdao Technical College, China)
In this paper, an experimental system is set up to control the vibration of an L-type

arm which is driven by linear motor. Firstly, the vibration dynamics the L-shape
arm is modelled based on Euler-Bernoulli beam theory, the relation between
motor motion and arm vibration is investigated. Secondly, based on nonlinear
operator control theory, two nonlinear control schemes are designed to control the
motion of the motor and suppress the vibration of arm by using piezoelectric
actuator, respectively. The vibration of arm is considered when controlling the
motor. A tracking compensator is designed to eliminate the hysteresis effect of the
piezoelectric actuator. Finally, by using two piezoelectric sensors to measure the
transverse displacement and one piezoelectric actuator to suppress the vibration of
arm, the experimental system is set up, and some experiments are conducted to
verify the effectiveness of the proposed control scheme.
Regular Session
Advanced nonlinear control in robotics
Time: 14:50-16:30, Saturday, August 22, 2015 Chair: Hongnian Yu (Bournemouth Univ., UK)
SatP02, Room No. 02 Co-Chair: Yukinori Nakamura (Tokyo Univ. of Agri. and Tech., Japan)
SatP02-01 SatP02-02
The mechatronic system of eco-dolphin - a fleet of autonomous Extended development of LinuxCNC for control of a delta robot
underwater vehicles
Feng Huo, Geoksoon Hong, and Aunneow Poo
Hong Liu (Embry-Riddle Aeronautical Univ., USA), (National Univ. of Singapore, Singapore)
Xudong Shi (Civil Aviation Univ. of China, China)
Junzhen Shao, Qi Zhou, Stace y Joseph-Ellison, Johnathan Jaworski, and Ci Wen
(Embry-Riddle Aeronautical Univ., USA)
This paper presents the mechatronic system of a fleet of three autonomous In recent years, open architecture motion controllers, including those for CNC
underwater vehicles (AUVs) called Eco-Dolphin. Besides common features of machines and robots, have received much interest and support among the global
robots, the unique challenges for underwater robots such as water proof Tech. and control and automation community. This paper presents work done in extending a
underwater communication are addressed. The Eco-Dolphin fleet is built to serve well-known and supported open-source control software called LinuxCNC for the
both societal and the academic needs specified below. Coastal areas have the control of a Delta robot, a translational parallel mechanism. Key features in the
densest human populations and serve as critical economic and recreational areas. development process are covered and discussed and the final customized system
However, they are sensitive to both human-induced and natural alterations as well based on LinuxCNC described.
as disasters. While robots are widely used to replace humans for dangerous work
in many other fields, environmental monitoring missions in coastal waters still
mostly rely on human divers. To serve the societal need, the Eco-Dolphin fleet
presents a novel prototype of cost effective robots for monitoring coastal
environments. The fleet can collect data cooperatively with minimal supervision
from the users on a nearby boat. To contribute to academic research, the fleet is
used to test swarming algorithms for robot formation in 3D space. To contribute to
Sci. education, the Eco-Dolphin project offers a platform for students to gain
hands-on research experiences and an incubator to find first-hand scientific
research problems.
SatP02-03 SatP02-04
Minimizing energy consumption in a U-shaped robotic assembly Charged system search algorithm for robotic drill path
line optimization
J. Mukund Nilakantan and S.G. Ponnambalam G. Kanagaraj (Thiagarajar College of Eng., India)
(Monash Univ. Malaysia, Malaysia) S.G. Ponnambalam (Monash Univ. Malaysia, Malaysia)
George Q. Huang (The Univ. of Hong Kong, China) C.K. Loo (Univ. of Malaya, Malaysia)
Manufacturing industries these days are more concerned about the energy This paper presents a Charged System Search (CSS) algorithm to solve for robotic
consumption due to the increasing energy cost. It is observed that industries can drill path optimization involved in printed circuit board (PCB) manufacturing
achieve significant savings in the energy cost even when a small percentage of industries. Most of the operational time of a PCB Robotic Drill are spent on
energy consumption is reduced. In a manufacturing industry, assembly lines are moving the drill bit between the holes. An optimized path translates to a minimal
equipped with robots to perform the assembly tasks and there is a need for cost of operating the robot. The drill path consists of a number of potential
efficiently balancing the assembly line by reducing the energy consumption during locations where the holes are going to be drilled. As the number of holes required
the production phase. The authors could not find any research on optimizing increases so thus does the complexity to find the optimized path. Recently
energy consumption in U-shaped robotic assembly line systems to date. The developed CSS algorithm proposed to solve this complex problem with minimal
objective of this paper is to propose an optimization models with an objective of computational time. The performance of CSS algorithm is tested and verified with
minimizing the energy consumption in a U-shaped robotic assembly line when the four case studies from the literature. The computational experience conducted in
number of workstations are fixed. Since the assembly line balancing problems this research indicates that the proposed algorithm is capable to efficiently find the
falls under the category of NP-hard, an efficient bio inspired algorithm is optimal path for PCB holes drilling process with reasonable computational time.
implemented to solve the problem. The model proposed is very well applicable for
automobile assembly line where robots are employed. The energy consumption is
evaluated on the benchmark data and energy consumption obtained by the
U-shaped robotic assembly line is compared with the energy consumption
obtained with straight robotic assembly line. The cycle time of the layouts are also
compared. The results obtained using this proposed model can be used for the
decision making process in the industry. The paper also proposes an optimization
model for minimizing the cycle time. The energy consumption of the assembly
line when the cycle time is minimized is evaluated and presented.
SatP02-05
Implementation of remotely controllable mobile robot system over

mobile Ad-hoc network
Mohammad Shahidul Hasan (Staffordshire Univ., UK)
Hongnian Yu (Bournemouth Univ., UK)
Remotely controllable wireless mobile robots are being used in many applications
now days. Such systems can be restricted by the range of wireless signal. Mobile
Ad-hoc Networks offer a number of advantages e.g. multi hop communication i.e.
longer range; can be deployed without any infrastructure etc. This paper presents
the implementation details of a wireless mobile robot system over Mobile Ad-hoc
Network. It consists of a target mobile robot and a relay / observer robot. The
target robot is equipped with a robotic arm to execute various tasks. The relay /
observer robot can route network packets between the controller and the target
robot. It also produces visual feedback of the target robot to the user at the
controlling end.
Regular Session
Control of mechatronic systems I
Time: 14:50-16:30, Saturday, August 22, 2015 Chair: Shinji Wakui (Tokyo Univ. of Agri. and Tech., Japan)
SatP03, Room No. 03 Co-Chair: Kazuyuki Ito (Hosei Univ., Japan)
SatP03-01 SatP03-02
An interpretation of unbalance vibration compensator for Vibration suppression of galvano mirror considering whirling of
five-axes active magnetic bearing systems based on internal model shaft
principle
Keisuke Nakade, Taiki Nakamura, Shinji Wakui, and Yukinori Nakamura
Taiki Nakamura, Shinji Wakui, and Yukinori Nakamura (Tokyo Univ. of Agri. and Tech., Japan)
Five-axes active magnetic bearing (AMB) systems are widely utilized for the field Main movement of a galvano mirror is the rolling motion. However, since the
of precision such as semiconductor exposure machines. This paper considers an structure of galvano mirror is cantilever, this mirror is vertically vibrated to mirror
interpretation of an unbalance vibration compensator PGC for five-axes AMB. As reflective surface. This paper considers the suppression of the above vibration,
methods for the rejection of periodic disturbance, repetitive control and PIS which is called pitching vibration. Although the galvano mirror is equipped with
control, which are based on internal model principle, have been known. The PIS an encoder to detect the roll angle of mirror, the pitching vibration of mirror
control can be considered as a special case of the repetitive control. This paper cannot be detected. To overcome this problem, the pitching vibration is verified by
investigates the relationship between the PGC and the PIS control from the the frequency response and the time response using two dimensional position
similarity of the pole assignment and shows that the PGC suppresses the sensitive detector. Moreover, three rubbers with different hardness are inserted on
unbalance vibration from the perspective of the internal model principle. the basis of a structure of the motor shaft in order to suppress the vibration.
SatP03-03 SatP03-04
A consideration of parameter identification of a linear stage using Development of a torque-sensorless viscometer for
particle swarm optimization food processing applications
Marino Watanabe, Yukinori Nakamura, and Shinji Wakui Seiji Hashimoto, Yuqi Jiang, and Amat Basari (Gunma Univ., Japan)
(Tokyo Univ. of Agri. and Tech., Japan) Wei Jiang (Yangzhou Univ., China)
This paper considers the model-based controller in order to achieve the high speed Demands for automatic food processors are growing rapidly year by year. In this
and high precision positioning of a linear stage. In the controller design, particle paper, a novel viscosity measurement method which can provide real-time
swarm optimization (PSO) is employed for the parameter identification of the monitoring in food processing application has been proposed. Instead of using a
linear stage. Particles of the PSO are updated so that the difference between torque sensor for the viscosity measurement, the proposed method applies
simulation and experimental results becomes small. After the parameter disturbance observer-based estimation technique to the viscometer. The
identification, the feedforward controller whose parameters correspond to the effectiveness of the proposed method is verified through simulations and
identified model of the linear stage is designed. Effectiveness of the proposed experiments.
method is shown by simulation and experiment.
SatP03-05
Study on detection of earthquake using DI value and its application

to switching control for air type anti-vibration apparatus
Masayuki Kubota, Hirokazu Mineo, Shinji Wakui, and Yukinori Nakamura
In semiconductor manufacturing, air type-vibration apparatuses (AVAs) are

widely employed.Sheng
WhenLi (Qingyang Chemical
an earthquake Industry
occurs, Co., have
the AVAs China)to be stopped in
order to avoid serious damage to semiconductor exposure machines. Spectrum
intensity (SI) value is the metric effective for the detection of earthquake though it
takes time to calculate this value. To avoid long computation time, this paper uses
destructive intensity (DI) value instead of SI value. Simulation demonstrates that
DI value, whose computation time is short, can be applied to switching control for
AVAs.
Invited Session
New developments on ESP
Time: 16:40-18:40, Saturday, August 22, 2015 Chair: Jie Shi (Univ. of Electro-Communications, Japan)
SatE01, Room No. 01 Co-Chair: Yan Yu (Univ. of Electro-Communications, Japan)
SatE01-01 SatE01-02
An overview of supplementary teaching materials for advanced Profiling Japanese EST students vocabulary ability using the new
EST students in Japan general service list test (NGSLT) and the new academic word list
test (NAWLT)
Yan Yu and Jie Shi (Univ. of Electro-Communications, Japan)
Shinichi Hashimoto, Yan Yu, Jie Shi, and Haiyan Zhan
(Univ. of Electro-Communications, Japan)
EST (English for Science and Technology) is an important area of ESP in Japan. Understanding the vocabulary profiles of students is an important point for improving classroom-based pedagogy as
The success of EST courses for science and technology/engineering disciplines is well as materials development based on students abilities and needs in ESP (English for Specific Purposes). As the
partially dependent on the choices of teaching materials. As shown in previous second phase of a longitudinal research to assess Japanese university students vocabulary competency, the
research done by the same presenters of this study in ICAMechs 2014, the researchers collected data on the performance of second and third-year students majoring in science and
quantity of teaching materials for lower and intermediate levels of EST courses in engineering on the New General Service List Test (NGSLT) and the New Academic Word List Test (NAWLT)
Japan is considered to be satisfactory though the concerns over the quality and developed by Phil Bennett and Tim Stoeckel in 2015 using words from the New General Service List 1.01 (NGSL
variations of technical disciplines still exist. This research is a continuation of the 1.01) and the New Academic Word List (NAWL) developed by Charles Browne, Brent Culligan and Joseph
investigation of teaching materials for EST courses in Japan with a focus on the Phillips in 2014. The NGSL 1.01 consists of 2,801 of the most frequently-appearing words in general use, and is a
supplementary or reference materials for advanced students of EST at Japanese revision of the original General Service List (about 2,000 words) which was compiled by Michael West in 1953.
universities. This study aims to conduct an overview of the market available The NWAL consists of 963 frequently-appearing words in academic text, and is a revision of the original Academic
reference books for advanced EST students at Japanese universities. The Word List (570 words) which was compiled by Averil Coxhead in 2000. Both the NGSLT and NAWLT are
categories of the overview include languages used, publication information, main diagnostic tests of written receptive knowledge of the New General Service List and the New Academic Word List
content themes/topics and/or skills, target audience/level of English, and length. respectively. The NGSLT and NAWLT use the same specifications as the Vocabulary Size Test (VST) which was
developed by Paul Nation and David Beglar in 2007, and have relatively good test reliability. This paper introduces
the background about the tests, the participants in the study, and the data collection method. It also interprets the
results of the collected scores, and discusses the implications of the results between departments and years. In
future studies, the researchers hope to find ways to perceive the vocabulary abilities of students in their particular
ESP fields. By doing so, they can be better informed providers of instruction and create materials tailored to
students particular needs.
SatE01-03 SatE01-04
Peer evaluation of academic presentations by Japanese graduate Teaching poster by using genre approach to science and
students: qualitative evaluation technology students of a Japanese university
Jie Shi and Cross John Rajagopalan Maheswari Uma
(Univ. of Electro-Communications, Japan) (Toyo Univ., Univ. of Electro-Communications, Japan)
Jie Shi (Univ. of Electro-Communications, Japan)
This study reports an investigation on the qualitative data of Japanese graduate Science and technology students require the specialized skill of making poster and the explicit
students evaluation on peers academic presentation in English which is designed teaching of which is lacking in the curricula of general Japanese English tertiary education. This
to be part of a collaborative learning project. A total of 772 peer comments was paper considers posters as an expanded form of abstracts and reports teaching of posters to 20
extracted from 265 peer evaluation on 10 group presentations as the dataset of this third-year students of an undergraduate ESP course at a Japanese university of science and
investigation. Results indicate that students focuses are on the quality of slides engineering. First, students were taught to write an abstract using genre theory which required
including figures, tables and texts, the understanding of the technical content of teaching of the generic moves of an abstract of a research article (RA). Teaching of the abstract
the research presented by peers though students come from various laboratories, involved the explicit teaching of the basic moves of background, purpose, methods, results and
and peers delivery abilities such as eye contact, reading from prepared notes and summary that are needed to construct RA abstract. Following that, students deconstructed
rate/speed of speech. The data also shows that students gave more positive abstracts taken from authentic research articles selected by both the teacher and the student
comments than negative ones and that the suggestion type of comment is the least themselves into moves. Having understood the moves, a democratic choice of several topics
in terms of the quantity. from the experiments done as part of the subject curriculum was chosen for constructing
abstracts. The abstract drafts were peer evaluated with checklists, followed by teachers
comments based on which the students submitted a final draft. Next, with the final draft, the
students expanded the abstract to construct a poster. This task involved writing the contents of
each of the moves in the abstract to detailed content expanding each of the sections,
Introduction, Methods, Results and Summary. Contents of all the sections except for the Results
were prepared in groups of three or four with each member being responsible for each section.
Although group members constructed the contents through discussion, poster making and
presentation were done individually. Though there were some overlaps in the contents, the
current project was found to empower the students with the required poster making and
presentation skills which was also shown from the post survey.
SatE01-05 SatE01-06
Corpus-based analysis of academic RA genre: the Results Understanding the most essential types of words for Physics
sub-genre undergraduate students
Louvign Sbastien and Jie Shi Sonia Sharmin (Univ. of Tsukuba, Japan)
(Univ. of Electro-Communications, Japan)
Research Article (RA) is the kind of academic publication that all researchers The field of English for Specific Purposes (ESP) concerns not only English
must produce constantly but not necessarily have learned systematically in their practitioners or EFL (English as a Foreign Language) but also disciplinary
university education. RA consists of multiple parts as typically summarized to be specification and the teaching faculty of disciplines of English learners, commonly
IMRAD (Introduction, Method, Result and Discussion) which is a considered to known as subject-matter specialists because those specialists could also instruct or
be one of the academic genres. Each of the multiple parts of the RA genre is assist the EFL students in terms of proper usage of science and technological
comprised of one or more sub-genres, which makes the RA genre complex and English. The participation of the specialists in ESP education is a growing area of
challenging, especially for novice EST (English for Science and Technology) both ESP and disciplinary research fields and has become a fast developing area of
researchers. As an effort to decode the RA genre in order to help the novice EST ESP research. Identifying content-area English academic language is essential for
researchers, the researchers of this study analyze the sub-genre of Results using proper instruction of students. This study analyzed a well-known and widely used
corpus-based approach, after they analyzed the Abstract, Introduction and Method physics textbook for undergraduate students of first year, namely, Fundamentals
sub-genres in previous studies. The purpose of this study is threefold: to determine of Physics by David Halliday, Robert Resnick, and Jearl Walker (8th edition), to
the linguistic features of the common moves (structure) in the Results sub-genre understand the words of highest frequency used in this book. The high frequency
of RA using corpus analysis, to compare the linguistic features of Results with words as well as a low frequency words in the textbook were assessed. In this
those of the whole RA, Introduction, and Method. study, investigation of the language functions based on the analysis of the corpus
and identification of the words that construction the functions are the ultimate aim
of this study. The free corpus software, AntWordProfiler, was employed for the
analysis.
Regular Session
Information processing
Time: 16:40-18:20, Saturday, August 22, 2015 Chair: S.G. Ponnambalam (Monash Univ. Malaysia, Malaysia)
SatE02, Room No. 02 Co-Chair: Ken Nagasaka (Tokyo Univ. of Agri. and Tech., Japan)
SatE02-01 SatE02-02
Modelling a 20MW scale solar farm in an unused angled area Temporal and spatial projection of wind speed based on modular
near Fukushima nuclear power plant netrowk SOM for installation of off-shore wind generation
Amin Mohammadirad and Ken Nagasaka Mitsuharu Hayashi and Ken Nagasaka
(Tokyo Univ. of Agri. and Tech., Japan) (Tokyo Univ. of Agri. and Tech., Japan)
Mega-Solar generation becomes one of the important parts in the global energy supply with current situation of the Wind generation is one of the fast growing and introduced resources among renewable energies
fossil fuels exhaust and replacement of nuclear power energy after the nuclear power plant acceded caused by Great through worldwide including Japan. As Japan, on the other hand, is an island country
East Japan Earthquake and tsunami on March 11,2011. Also, the CO2 emission must be reduced based on the surrounded by ocean, the topography suitable for wind generation is limited for the on-shore.
Kyoto protocol. One of the effective ways to reduce the CO2 emission is to use renewable energy such as wind and Therefore, based on the wind map of up to 2030, it is expected that new introduction suitable for
solar energies. For this reason, how to make optimal allocation of large-scale PV and wind farms with maximum wind power generation will be more on off-shore. For this reason, it is very important to
power become necessary both for the world as well as Japan. In this study we are focusing on Mega-Solar issue for determine the wind characteristics of the candidate area for installing wind generation, however
the flat and angled lands. As different slop directions will affect the Maximum Point Power Tracking (MPPT) of in most cases of off-shore installation, existence of weather condition data is poor and it may
each PV systems. We also consider the MPPT for these angled lands. So far, Mega-Solar farms are installed in flat need lots of time and cost for collecting such weather condition data as a new pin-point
lands. However, recently, there are great needs (almost more than 1000 projects are waiting to run) for introducing information. In this study, the goal of this research is to project a wind speed of an unseen area
Mega-Solar farms not only in flat but also in hills or angled lands. These lands with slope are no longer omitted (where its weather condition data are not available) by mapping the modularized Artificial
from the planning of a Mega-Solar farm. In this paper, we consider on Mega-Solar farm which combines flat and Neural Network (SOM: Self-Organization Map) of seen areas (where their weather condition
angled lands and solve the Maximum Power Point Tracking (MPPT) of PV , cost and environment issues. In this data are available) around the target area. By learning the correlation between modularized
study, for analysis the slope directions and site selection, the Geographical Information System (GIS) technique is ANNs of seen and unseen areas, the result of this temporal and spatial projection will be the
used. Maximum Power Point Tracking (MPPT) using Perturb and Observe (PandO) Mega-Solar components are all prediction of wind speed of target place. It is believed, by the help of the proposed technique, a
designed on MATLAB/SIMULINK environment. One of the unique points of this study is to use the lands located huge amount of time and cost will be saved in the selection of installation point of off-shore
near the area where affected by the radiation. These lands cannot be used for living and agricultural activity, wind power generation. Moreover, it is intended to contribute to the introduction increase in the
however, as for Mega-Solar farm, it is suitable. The targeted site was a golf-course which we are planning to install amount of wind power.
about 20[MW] solar farm.
SatE02-03 SatE02-04
A household load priority scheduling model based on real-time Study on cutting surface stripe and wettability of AZ91D
electricity price magnesium alloy by WEDM-HS
Bo Hu (State Grid Energy Research Institute, China), Jinkai Xu, Kui Xia, Rongxian Qiu, Linshuai Zhang,
Xiao Zhong, and Song Liu Zhanjiang Yu, and Huadong Yu
(North China Electric Power Univ., China) (Changchun Univ. of Sci. and Tech., China)
In this paper, we present a household load priority scheduling model based on Low discharge energy was used to machine AZ91D magnesium alloy using
real-time electricity price, the optimization objective is to satisfy users comfort reciprocating type high speed wire electrical discharge machining (WEDM-HS).
demand and reduce the electricity cost. The constraints are electric power Co.'s Different microstructures were found on bright and dark stripes. Using water
response to electrical and the working time of household appliances that user contact angle of the droplet at the magnesium alloy surface evaluated the
expect. The model divides all appliances into three categories: important wettability. Results show that contact angle value of magnesium alloy surface
appliances which cannot be dispatched, non-interruptible appliances which can be after WEDM-HS was higher than magnesium alloy matrix. There were differences
dispatched and interruptible appliances which can be dispatched, and the third surface microstructures between bright and dark stripes, which is the key reason of
type can be subdivided into demandable appliances and rechargeable appliances. hydrophoby. Compared with the bright stripe, the value of contact angle of dark
The proposed model not only takes various electrical models of appliances into stripe was higher and more stable. On submillimeter groove surface, the value of
account, but also includs users psychological satisfaction. Electricity bill and contact angle was increased to 154.71. This paper provided the facile and
users satisfaction curve will generated by the system, through adjusting the cost-effective process method for support the industrialized fabrications of
proportion of satisfaction, different users can get different power saving and super-hydrophobic AZ91D surface.
comfort effect according to their different demands, it has important practical
significance. Finally, the article verify the effectiveness of the proposed
optimization model by simulations.
SatE02-05
Influence of microstructure on surface wettability

Xinxin Zhang, Jinkai Xu, Zhongxu Lian, Zhanjiang Yu and Huadong Yu
(Changchun Univ. of Sci. and Tech., China)
Wettability is one of the important performance measuring the hydrophobicity of

metal surface. There has important relationship between microstructures and
surface wettability. In this paper, square pillar microarrays with different
geometrical parameters were processed on hydrophilic metal substrates by
high-speed micro-milling Tech., observed superficial morphologies and apparent
contact angles of microstructures, and analyzed the influencing laws of
geometrical parameters on surface wettability. Experimental results showed that
the wetting transition from hydrophilicity state to hydrophobicity state was
successfully achieved by fabricating micron-grade regular array on aluminum
alloy surface, and the hydrophobic property on solid surface is a common coupling
results of micronano-binary structures both microscale pillars and nanoscale pits
and convexities. In this experiment, a good hydrophobic surface with larger
apparent contact angle can be obtained when pillar width is 20 m, pillar spacing
is 100 m, pillar height is 50 m and the droplet volume is 3 l. In addition, the
water droplets on aluminum alloy surface with square pillar microarray is in a
mixed state between Wenzel and Cassie-Baxter, and the surface wettability can be
control by changing the geometry parameters of microstructures.
Regular Session
Nonlinear systems modeling, control and applications
Time: 16:40-18:20, Saturday, August 22, 2015 Chair: Shiwen Tong (Beijing Union Univ., China)
SatE03, Room No. 03 Co-Chair: Dianwei Qian (North China Electric Power Univ., China)
SatE03-01 SatE03-02
Influences from LCL filter on behaviors of three-phase three-level Sliding mode output tracking control based on a fuzzy clustering
PWM rectifier model
Dongsheng Yu, Hong Zhu, and Ciyan Zheng Shiwen Tong (Beijing Union Univ., China),
(China Univ. of Mining and Tech., China) Dianwei Qian (North China Electric Power Univ., China)
Jianjun Fang (Beijing Union Univ., China)
In this paper, system description of a three-phase Neutral-Point-Clamped (NPC) A sliding mode output tracking control method based on a fuzzy clustering model
rectifier is briefly given by depicting its power circuit and controller. In has been proposed in this paper. This technique describes the controlled system by
consideration of tracking target current and minimizing current ripples, the rulebased fuzzy models. Parameters (antecedent membership functions,
allowable parameters of inductorcapacitorinductor (LCL) filter are calculated. consequent parameters, etc.) in this structure can be fine-tuned with input-output
The filter inductor is then adopted to investigate the influences from LCL filter on data. By means of this technique, the complicated system can be decomposed into
dynamic behaviors of this three-phase three-level rectifier. Based on a number of simpler local models with a characteristic of smooth transitions
proportional-integral control method, the simulation analysis is carried out to between these sub-models by means of overlap membership functions. Then the
explore the operational behavior differences caused by the variation of filter implicit membership functions have been transformed into explicit functions of
inductor. The curves of output variables and their phase trajectories are the antecedent variables with neural networks. Thus the control actions of a
comparatively addressed in terms of different parameters of the LCL filter. The discrete sliding mode controller can be designed. Simulative results demonstrate
simulated results indicate that the filter parameters has significant impacts on the the effectiveness of this method.
operational performance of rectifier system, which implies that suitable control
method is required to eliminate unexpected influences.
SatE03-03 SatE03-04
PID control of air tank temperature system with parameters Sliding-mode-based disturbance rejection control of nonlinear
tuning through network power systems with renewable sources
Shiwen Tong, Yushan Li, Junjie Ren, and Yinong Zhang Hong Liu and Dianwei Qian
(Beijing Union Univ., China) (North China Electric Power Univ., China)
This paper presents an application of Networked Control in the air tank In this paper, an integral sliding mode control (I-SMC) method for load frequency
temperature system. The system is controlled by control (LFC) is investigated in interconnected power systems in the presence of
Proportion-Integration-Differential (PID) algorithm running in the Siemens wind turbines. Generation rate constraint (GRC) has been considered. For
S7-200 PLC. Through an OPC server component, controller parameters implementation, neural networks are adopted to approximate the entire
(proportion, integration, differential) can be remote tuning by Matlab. Thus, uncertainties. The integral sliding mode controllers and the neural networks work
complex control algorithm such as fuzzy inference, expert system and genetic in parallel to achieve disturbance rejection control. It has been observed from
optimization can be utilized. The process is supervised by configuration simulation results that the presented method was able to maintain the feasibility,
software, for example King Views, located in different geographical areas at the validity and robustness.
same time.
SatE03-05
Research and application of predictive control algorithm based on

fuzzy model
Yuan Li, Sen Cong, Shiwen Tong, and JianJun Fang
(Beijing Union Univ., China)
In this paper, predictive control algorithm is described in detail and the ANFIS
(Adaptive neuro fuzzy inference system) is introduced. The fuzzy model is built
by ANFIS. Fuzzy model and predictive control are combined to form a predictive
control based on fuzzy model which is used to complex system with time delay.
For example, as system of three water tanks. First, using matlab software, we
established the model of three-water tank with ANFIS, and verified it by the prior
data. Simulation shows that the model is effective. Then we design the actual
control system of three-water tank in which AC800F is controller. Predictive
control based on fuzzy model is programmed with Function Block language. It is
also demonstrated that, by comparing the operation results of the PID with
predictive control based on fuzzy model, the control method introduced in the
paper is practical and effective, has great value in practical application.
Poster Session
Time: 10:20-11:30, Sunday, August 23, 2015 Chair: Changan Jiang (Ritsumeikan Univ., Japan)
Poster, Main Conference Hall Xiaoguang Zhou (Beijing Univ. of Posts and Telecommunications, China)
Co-Chair: Shin Wakitani (Tokyo Univ. of Agri. and Tech., Japan)
Co-Chair: Yixin Yin (Univ. of Sci. and Tech. Beijing, China)
Poster-01 Poster-02
Bipolar neutrosophic sets and their application based on Evaluation method of main production resource in society and
multi-criteria decision making problems industrial park of extreme arid region (1)
Irfan Deli (Aralik University, Turkey), Litifu Zulati
Mumtaz Ali (Quaid-e-azam Univ., Pakistan) (Xinjiang Univ. of Finance and Economics, China)
Florentin Smarandache (Univ. of New Mexico, USA)
In this paper, we introduce concept of bipolar neutrosophic set and its some Three kinds of alcohol fuels and diesel were blended and combusted in an
operations. Also, we propose score, certainty and accuracy functions to compare electronic control high-pressure common rail turbocharged DI diesel engine
the bipolar neutrosophic sets. Then, we develop the bipolar neutrosophic weighted respectively. Without any modifications in the original engine structure, the
average operator (Aw) and bipolar neutrosophic weighted geometric operator combustion characteristics and emissions of alcohol-diesel fuel were investigated.
(Gw) to aggregate the bipolar neutrosophic information. Furthermore, based on It shows that the peak heat release rate and the brake specific fuel consumption
the (Aw) and (Gw) operators and the score, certainty and accuracy functions, we increases with the increase of mixing ratio. At the same blending ratio, the peak
develop a bipolar neutrosophic multiple criteria decision-making approach, in heat release rate of methanol-diesel is the highest, but the brake specific fuel
which the evaluation values of alternatives on the attributes take the form of consumption is lower; N-butanol/diesel has the lowest CO and HC emissions but
bipolar neutrosophic numbers to select the most desirable one(s). Finally, a has the highest NOX emissions. NOX emissions of methanol-diesel and
numerical example of the method was given to demonstrate the application and ethanol-diesel are approximated, but CO and HC emissions of ethanol-diesel is the
effectiveness of the developed method. highest. In consideration of the fuel economy and emission performance,
methanol-diesel mixing fuel is better.
Poster-03 Poster-04
Research on control methods of permanent magnet synchronous Comprehensive functions of eco-industrial park in conserving
motor position servo system energy and improving ecology
Fen Yang, Zhengfeng Ming, Tao Wen, and Tong Zhang Litifu Zulati (Xinjiang Univ. of Finance and Economics, China)
(Xidian Univ., China) Ken Nagasaka (Tokyo Univ. of Agri. and Tech., Japan)
Zhanxia Zhu (Northwestern Polytechnical Univ., China)
This paper compares common PI controller with proximate time-optimal This research explained the comprehensive function of eco-industrial park in
servomechanism (PTOS), composite nonlinear feedback (CNF) control law, and a the aspects of intensive utilization of energy and other main resources used in
mode switching control (MSC) scheme .The structure of PI controller is simple production in extreme arid areas, such as Turpan Prefecture of Xinjiang, China, in
and easy to implement .The PTOS control law devotes to fast acceleration and which water resource is seriously lack of. On the other hand, this research
deceleration ,while the CNF control law consists of a linear feedback part for analyzed environmental efficiency formed by eco-industrial. Extended service of
achieving fast response and a nonlinear feedback part for suppressing the eco-industrial parks can be realized by greening area around the parks by using
overshoot caused by the linear part, so as to improve the transient performance in waste water. Three basic functions of eco-industrial park are considered, namely
set-point tracking. The MSC scheme is proposed to achieve fast and precise expanding carrying capacity of limit energy and other main resource of
set-point tracking in servo systems .The control scheme incorporates a CNF production, formation of concentrated district based on industrial park, and the
control law into PTOS control. These control laws were then applied to the function of expanded service of eco-industrial park for ecology and agriculture.
position-velocity control loop in a permanent magnet synchronous motor (PMSM) Mentioned three functions are important for the extreme arid area.
servo system in simulation. The simulation results verify that the PTOS control is
capable of tracking the target position fast, the CNF control can achieve the target
position with a small overshoot and under the MSC scheme the servo system is
able to track a wide range of target positions fast and accurately.
Poster-05 Poster-06
Study on fuzzy-logic PID control system of synchronous jack-up The straight line mechanism base on peaucellier inversion
system of turbine runner static equilibrium experiment instrument
Yongxing Hao, Chaofeng Wang, and Lihui Song Kai He, Lei Guo, and Yuan Song
(North China Univ. of Water Resources and Electric Power, China) (Beijing Univ. of Posts and Telecommunications, China)
Basing on the LabVIEW platform, a Fuzzy-logic PID controller is developed. This paper gives the preliminary analysis based on the Peaucellier inversion
And the controller is applied to a control system of synchronous jack-up system of instrument, and calculates the inverse apparatus according to the theory of
turbine runner static equilibrium experiment. Inputting with a unit step signal, the inversion, a straight mechanism based on the Peaucellier inversion is designed and
control system was simulated. The result shows that, with only a small amount of calculate the maximum circle radius of inversion instrument. Then instrument
overshoot, the control system using fuzzy-logic PID controller responses and could switch between the straight line and circle by improving the straight line
stabilizes faster than the one using normal PID controller. Fuzzy-logic PID organization of inversion instrument. An assembly of straight-line mechanism is
controller shows great value in the practical implementation of the hydraulic drew. The prototype is built, and the validity of the mechanism is verified by
system control. It also can be extended to other areas such as bridge reinforcing experiments.
and migration of cultural relic and so on.
Poster Session
Poster-07 Poster-08
Mechanical design and realization of automatic docking Design and implementation of a mechanical calculator for
mechanism quadratic equation with one unknown
Xinhu Mo, Lei Guo, Yuan Song, and Ying Zhang Bin Xing, Lei Guo, Shimin Wei, Yuan Song, and Ying Zhang
(Beijing Univ. of Posts and Telecommunications, China) (Beijing Univ. of Posts and Telecommunications, China)
Automatic docking technology is broadly used in the fields of aerospace and The mechanism structure and the mechanical measure method of the calculator are
mechanical manufacturing. However, the technology is rather complicated to designed, which are the key technology of calculator for the quadratic equation
understand. In this paper, an effective automatic docking model based on the with one unknown. Firstly, the basic principle of a kind of mechanical calculator
mechanical properties of the four-bar parallelogram linkage is proposed for for quadratic equation with one unknown is proposed. Secondly, the function and
teaching demostration. To make the docking mechanism keep equilibrium, the performance requirements of the system is analyzed and the linkage mechanism is
auxiliary link and leveling mechanism are added to the original four-bar selected as the core computing mechanism. Then the overall structure is designed.
parallelogram mechanism. In order to keep the two docking objects in the correct Finally, the control system is designed, after designing the system operation
attitude during docking, movement status of the model is analyzed. Then the process, the GUI is realized. The ability of solving quadratic equation with one
modeling, virtual assembling and motion simulation are realized in the software unknown is verified through the physical prototype debugging.
Solidworks. At last, a physical prototype is built, and the feasibility of the docking
mechanism is verified by experiments.
Poster-09 Poster-10
A comparative study on inter-tern short circuit fault of PMSM A research on construction of 30 bus large-scale smart grid model
using finite element analysis and experiment
Sho Kainose and Ken Nagasaka
Yongcan Li and Yongchun Liang (Tokyo Univ. of Agri. and Tech., Japan)
(Hebei Univ. of Sci. and Tech., China)
Permanent magnet synchronous machines (PMSM) are used in many This study aims at constructing a large-scale smart grid model on the
applicationsinter-turn short fault is the most probably fault in permanent motor. MATLAB/Simulink. Smart grid is the next-generation power network which
The motor we use in this reaearch is a 3-phase, 10-pole, 12-slot PMSM machine. introduces information and communication technology into a power system. In our
Model the motor by using MAXWELL 14, the waveform and the frequency laboratory, a power system simulation model based on the IEEE 30 Bus Test
spectrum of stator current under normal and inter-turn short-circuit fault condition System was constructed on the MATLAB/Simulink in past. In this study, we
is given out. In order to verify the result, we conducted experiments on normal and concentrate on modeling a suitable communication system model combined with
fault motors by using LabVIEW. Obtain the waveform and the frequency the IEEE 30 Bus power system model on the MATLAB/Simulink. This
spectrum of stator current under normal and inter-turn short-circuit fault condition. communication model can reproduce influence which usually occurs in
The research was under without load and with load condition.The comparison communication, such as noise, delay, fluctuation of arrival time of packets, and
result shows that the simulation result is correct and FEA method is an effective packet loss. In model construction, effective design is given to prevent a drop of
method to study the inter-tern short circuit fault of PMSM. simulation speed. Finally, it is tried to incorporate the communication blocks into
the 30 bus power system model.
Poster-11 Poster-12
Modeling a lithium-ion battery based on a threshold model Modelling the relationship between constituents and anti-RSV
effect of baikal skullcap root
Zhi Zhang
(Beijing Jiaotong Univ., China) Ke Li (Shandong Acad. of Sci., China),
Bonian Zhao, Yan Gao, Bianli Wang, and Zongyuan Yu
(Shandong Acad. of Chinese Medicine, China)
Hongpeng Zhao (Qianfo Mountain Hospital of Shandong Province, China)
Modeling a lithium-ion (Li-ion) battery is the core issue for electric vehicles In this work, based on least squares support vector machine regression, a model
applications. The valid battery model and accurate model's parameters can that characterizes the relationship between constituents of Baikal skullcap root and
improve accuracy of the state of charge (SOC) estimation and thus promote the therapeutic index of anti-respiratory syncytial virus was established. The
commercialization of electric vehicles. Considering an electrical battery model computational simulation showed that this model fits well with the experimental
with two resistance-capacitance (RC) parallel networks, the series resistance and data, and validation experimental results also supported the theoretical predictions.
the open-circuit voltage (OCV)-SOC function, the accurate estimate of battery
parameters through a threshold model, namely threshold autoregressive and
moving average with exogenous inputs (TARMAX) model is proposed, in this
paper, which only needs online terminal voltage and current data. The approach is
built by dividing voltage data into several regimes according to the thresholds. For
each regime, a linear ARMA model is established which can be represented by the
state-space equation for the linear battery model. Thus, the battery's parameters
can be identified. To facilitate obtaining the time-variant model parameters, the
terminal voltage and current data are collected by the sliding window. Finally, the
effectiveness of the proposed modeling approach is verified by the simulation.
Poster Session
Poster-13 Poster-14
Energy-saving improvement and simulation study on digital Path planning of airfoil surface for robotic fibre placement
hydraulic system
Lina Li, Xingang Wang, De Xu, and Min Tan
Fei Song, Jingjun Lou, and Likun Peng (Chinese Acad. of Sci., China)
(Naval Univ. of Eng., China)
In order to solve the inefficiency problem of the constant pressure digital In this paper, a new path planning algorithm based on triangular meshes of the
hydraulic system, this paper built the model of the system and found primary airfoil open surface for four commonly used laying angles in robotic fibre
reasons leading to power losses through model simulation. With the pressure placement is proposed. In the proposed algorithm, the 0o paths are easily
compensation technology and the variable frequency hydraulic technology, a new computed by the slicing method, the 45o paths are obtained by general rotation
load-sensing digital hydraulic system was designed to instead of the original transformation, and the method for equally divide arc is adopted to get the 90o
system and the energy-saving controller of the new system was also designed. paths which can ensure the complete fibre tows connecting the root and tip part
Through the simulation comparison study of two systems, it was found that the distributed evenly on the surface. Then the redundant path points are deleted, the
load-sensing system can effectively reduce the overflow loss and the throttling final path points are obtained to generate the poses of the fibre placement head
loss and that the average efficiency of the new system is 30% more than the which is mounted at the robot manipulators end-effector. Finally the simulation is
original system. carried out in software RobotStudio and the effect of laying is displayed using
OpenGL. The results of the simulation verify the effectiveness of the proposed
method.
Poster-15 Poster-16
Strongly stable GPC with suppression of steady state gain and Model free fault detection using one set of reference input and
closed-loop poles output data
Akira Inoue (Okayama Univ., Japan), Akira Inoue (Okayama Univ., Japan),
Tomohiro Henmi (National Institute of Tech., Kagawa College, Japan) Tomohiro Henmi (National Institute of Tech., Kagawa College, Japan)
Mingcong Deng (Tokyo Univ. of Agri. and Tech., Japan) Mingcong Deng (Tokyo Univ. of Agri. and Tech., Japan)
Strongly stable control system is defined as a system having both of stable poles This paper proposes a method for fault detection of control plants without using
of closed loop systems and stable poles of controllers. The strong stability is plant models. Safety is the most important issue in control and for safety, fault
important for safety, that is, the system is stable even when feedback loop get detection is inevitable. So far, mainly, there exist two methods to detect faults. The
breakdown by an accident. The authors have already derived a strongly stable first is a statistical method, which uses statistical characteristics of input signals
controller for GPC systems. In designing the strongly stable GPC, three and fault signals. To extract the statistical characteristics, this method requires
characteristics should be specified. (1) The poles of the closed loop system. (2) sufficiently fluctuated signals, which is not satisfied in practical applications. The
The poles of the controller. (3) The steady state gain. The existing strong stable second method is to use a model, such as to estimate an output in normal state of
GPC by authors is extended from the standard GPC to two degree of freedom the plant using an observer and compares the estimated output to a measured
compensators by using coprime factorization approach and introducing new output of the plant to be detected. But usually plant models are not available in
design parameters. In the extended GPC, there exist hidden poles brought by industry. Hence, a method for fault detection without using signals of sufficient
pole-zero cancellation. And in initial condition mismatch or sudden change of richness and also without using plant models is required. The method in this paper
state by impulsive disturbances, the effect of the hidden poles appears. This means does not require sufficient richness of signals and plant models, hence it is
for safety, all the poles including the hidden poles should be stable. To design safe practically useful. The method uses a pair of input and output data of a normal
GPC, it requires to satisfy these three characteristics and needs complicated state as reference data instead of using a model. From the data, the method derives
trade-off between design parameters. The paper proposes to calculate the an impulse response sequence and compares the output estimated from the
mathematical expressions by using symbolic computation software to make the sequence with the measured output and detects a fault from the difference of the
trade-off simple. In an example of a water level control plant, the mathematical outputs. A simulation example of a water level control experimental plant is given
expressions are obtained explicitly and using the expressions, a controller is to show the effectiveness of the method.
designed to satisfy the three specifications.
Poster-17 Poster-18
Research on algorithm of nonlinear self-adaptive flight control The indoor real-time 3D localization algorithm using UWB
system
Xuehong Li and Shuhua Yang
Hao Long (Beijing Union Univ., China) (Univ. of Sci. and Tech. Beijing, China)
Shujie Song (Aviation Industry Co. of China, China)
For the nonlinear control problem of Super-maneuver aircraft, a nonlinear flight The actual location application always demands rapid initial positioning, high real
control law was presented based on the nonlinear structure adaptive model time performance and high accuracy. In order to meet the demands above, this
inversion system. The sufficient and necessary condition of the control law was paper mainly focus on the UWB indoor real-time 3D TDOA localization
analyzed. Finally the results of the height-angle maneuver simulation shows that algorithms based on the kalman filter. Firstly, the LKF, EKF and UKF algorithms
the designed control system has good performance. are applied to 3D localization, and the model parameters are given. And then, this
paper proposes a collaborative algorithm which is the Chan algorithm provides the
initial value and the LKF, EKF, UKF real time positioning algorithms do the
subsequent operations, and proposes a method to switch the algorithms
dynamically. Finally, the result of the simulation shows the indoor real-time 3D
dynamic positioning algorithms achieve a good performance in both speed and
precision.
Poster Session
Poster-19 Poster-20
Operator and sliding mode based nonlinear control for cooling Control system design for ionic polymer metal composite using a
and heat-retention system actuated by Peltier devices single neuron based adaptive PID approach
Takafumi Hatano, Mingcong Deng, and Shin Wakitani Yiping Chang and Hui Wang
(Tokyo Univ. of Agri. and Tech., Japan) (Zhongyuan Univ. of Tech., China)
In this paper, a nonlinear control system is designed for a Cooling and Owing to simple structure and strong robustness characteristics, the traditional
Heat-retention system using peltier devices. First, stability of this system is (proportional-integral-derivative) PID controllers have been widely used in
guaranteed by the operator theory. Second, tracking performance is compensated designing control systems of industrial process. However, due to complex
by Sliding mode control with reducing the chattering using sigmoid function. nonlinear properties in some dynamics plants, it is difficult to obtain accurate
Third, tracking perforance is proven. Finally, the effectiveness of the designed mathematical models, and vulnerable to the object and environment. So, it is
controller is showned by simulation results. difficult to set controller parameters, especially no online self-tuning. Addressing
an ionic polymer metal composite (IPMC) artificial muscle with high nonlinear
properties and model uncertainties, an IPMC position tracking control system
based on single neuron adaptive-PID control approach is proposed by using neural
network self-learning and nonlinear mapping ability. The designed system can not
only achieve position tracking and online self-tuning, but also guarantee robust
stability in the presence of effect of uncertainties the effectiveness of the
proposed method is confirmed by simulation results.
Poster-21 Poster-22
Evaluation method of main production resource of society and Dynamic and energy analysis based on bumper system low-speed
industrial park of extreme arid region (2) collision test
Litifu Zulati Zhiming Wang and Li Chen
(Xinjiang Univ. of Finance and Economics, China) (Shanghai Univ., China)
This research presented three kinds of evaluation methods that can be feasibly The dynamic load strength test of bumper system is an important parameter for
applied for the short energy and water sources areas, such as the evaluation vehicle passive safety, but different test standards, different test requirements,
methods of regional potential energy including the estimation of general potential which caused much trouble to the test authority. So dynamic and energy analysis
energy, and the energy used in the industrial production process, and also the based on bumper system low-speed collision test is very impotant. Build
available renewable energy that may be developed. The Potential Energy Index parameterized model of bumper system, analyse the dynamic characteristics and
that can describe the effective support period for society economy is presented in energy conversion characteristics when the bumper system low-speed collision
this paper. The Input and Output Theory is used for converting the renewable occurs, which is based on the ADAMS virtual prototype technology. At the end of
energy into the regular energy resources that can be regarded as a steady energy the paper we will use the test machine for the dynamic load strength trials of
element in the society economy system. This paper also considered the evaluation bumper system on the basis of three typical standards, the result is compared with
method of the degree of energy intensive utilization in the process of industrial the below result that is analysed by ADAMS. According to the comparisonwe
production and society utilization, the evaluation of industrial process mainly can find the correctness of the simulation result is verified.
deals with the Industrial Parks that widely exist in short energy area.
Poster-23 Poster-24
Feasibility of neucube spiking neural network architecture for Optimal fiber orientations and topology of compliant mechanisms
EMG pattern recognition using lamination parameters
Long Peng and Zengguang Hou (Chinese Acad. of Sci., China), Xinxing Tong, Wenjie Ge, and Yonghong Zhang
Nikola Kasabov (Auckland Univ. of Tech., New Zealand), Guibin Bian (Chinese Acad. of Sci., China), (Northwestern Polytechnical Univ., China)
Luige Vladareanu (Romanian Acad., Romania), and Hongnian Yu (Bournemouth Univ., UK)
Multichannel electromyography (EMG) signals have been used as human-machine A design approach for compliant mechanisms with straight fiber laminate is
interface (HMI) for the control of pattern-recognition based prosthetic system in presented to obtain the optimal fiber orientations and topology structure
recent years. This paper is a feasibility analysis of using recently proposed simultaneously in this paper. Firstly, an equivalent constitutive relation of straight
NeuCube spiking neural network (SNN) architecture for a 6-class recognition fiber laminate is parameterized in terms of lamination parameters. Taking
problem of hand motions. NeuCube is an integrated environment, which uses SNN lamination parameters and relative density as design variables, minimizing the
reservoir and dynamic evolving SNN classifier. NeuCbube has the advantage of weighted linear combination of the mutual strain energy (MSE) and the strain
processing complex spatio-temporal data. The preliminary experiments show that energy (SE) is considered as objective function to achieve the desired deformation
Neucube is more efficient for EMG classification than commonly used machine and enough load carrying capacity with the volume constraint. The nonlinear
learning techniques since it achieves better accuracy as well as consistent optimization problem is solved via the well known method of moving asymptotes
classification outcomes. The performance of NeuCube combined with TD features (MMA). The outcomes of first step are the optimal topology structure and
reaches up to 95.33% accuracy after a careful selection of the features. This paper lamination parameters. Secondly, the optimal fiber orientation for each layer is
demonstrates that NeuCube has the potential to be employed in practical found by matching the optimal lamination parameters. Finally, the numerical
applications of myoelectric control. examples of designing compliant inverters are investigated to demonstrate the
effectiveness of the proposed method.
Poster Session
Poster-25 Poster-26
A software platform for interactive analysis on 3D medical data Master-slave force control based on Grey GM(1,1) model of robot
grippper
Wei Cheng and Yongfei Xiao (Shandong Acad. of Sci., China)
Youlei Zhao (Taikoo (Shandong) Aircraft Eng. Co.,Ltd., China) Wei Cheng, Xuelin Wang, and Haiyan Ma
(Shandong Acad. of Sci., China)
Analysis on the anatomical relationship between the conventional 2D medical This paper describes the position and force control of a novel two-finger gripper
images and correlative tissues is vital to both the physicians and the interns in using force control technology, a master-slave force control strategy is deveoped
surgery planning. However, regular measures are not intuitive and greatly depend for making the force track the desired force quickly with lower overshoot. PID
on the physicians experience and their medical knowledge. In this paper, a controller is adapted to the position system for the master finger, and force control
software platform is developed for a more intuitive and accurate analysis on the is used to the slave finger with grey GM(1,1) model, the prediction models are
anatomical relationship in the diagnosis and surgery planning. Both the oblique built by the signal of force acquired from sensors, the force controller enforces a
clipping image and a 3D tissue model with an interactive transfer function module relationship between the position of each finger and the force on the manipulated
are showed in a stereoscopic scene to illustrate the 3D human pathology and objects, and the weights of the current and the future force errors are automatic
anatomy in real time. For convenience, a software interface is also designed so adjusted in integrated error according to the model precision. The force controllers
that different 6DOF interactive devices can be applied in the project. This article can employ the information of past, present and future force to calculate an
offers a novel resolution for the improvement in the assessment of anatomical appropriate control correction to pre-compensate the force errors, thus it can
structures and understanding of medical imaging technology in a more realistic obtain lower overshoot and faster response. Simulation results are presented to
manner. demonstrate the efficacy of the proposed master-slave force controllers.
Poster-27 Poster-28
Remote automatic test system based on MATLAB using VISA Cubic spline solution for a class of boundary value problems using
over LAN spectral collocation method
Wei Cheng, Fenggui Wang, and Haiyan Ma Tianjun Wang, Qixian Zhou, and Tengteng Cui
(Shandong Acad. of Sci., China) (Henan Univ. of Sci. and Tech., China)
VISA over LAN was used to design remote automatic test system, in which In this paper, we investigate the numerical solution of a class of boundary value
MATLAB was selected as the application development environment to enhance problems of ordinary differential equations using parametric cubic spline function
the capability of data processing and analysis. Native GPIB commands and and spectral collocation method. Efficient algorithms are implemented. Numerical
queries were funneled to/from VISA instrument object using Instrument Control results demonstrate the high efficiency and accuracy of the proposed method.
Toolbox functions, and then used to control electrical measuring instruments
through VISA I/O Library API and VXI-11 protocol. An example system for
microwave imaging test with digital oscilloscopes integrated was developed to
perform the test of radio frequency and intermediate frequency signals.
Poster-29 Poster-30
Maximum efficiency control method of permanent magnet Modeling and simulation of hydro-mechanical continuously
synchronous motor based on three-dimensional table variable transmission system based on Simscape
Gensheng Li, Jinfa Xie, and Liyou Xu Zhili Zhou and Jiazhen Zhang (Henan Univ. of Sci. and Tech., China)
(Henan Univ. of Sci. and Tech., China) Zhiqiang Guo (YTO Group Corporation, China)
Liyou Xu (Henan Univ. of Sci. and Tech., China)
Increase the operating efficiency of the motor can reduce energy consumption and The traditional methods of dynamic modeling for the simulation of
the requirements for the radiator, for some applications, the operating efficiency of hydro-mechanical continuously variable transmission (HMCVT) are cumbersome
the motor even become one of the most important factors. In order to improve the and complex. The physical simulation models of engine, hydraulic speed
efficiency of the motor, in this paper, the maximum efficiency permanent magnet regulating mechanism, mechanical speed regulating mechanism and the load were
synchronous motor control method is proposed, the method takes into account the established based on Simscape, and the dynamic characteristics of the components
copper and iron losses based on the motor model, and can make a permanent were analyzed in the paper. The simulation results show that with the change of
magnet synchronous motor to achieve optimal efficiency at different speeds by the displacement ratio e, the output speed of the system is continuous and stepless,
way of look-up table. The proposed method reduces the amount of computation and the output torque of the system is constant when the torque of load is constant.
greatly, and it is easy to implement in practical control. The simulation results From the analysis results, it is concluded that the physical models are feasible. The
showed that the method can improve the efficiency of permanent magnet research provides a theoretical foundation and a verification platform for further
synchronous motor effectively. development and improvement of HMCVT shifting strategy.
Poster Session
Poster-31 Poster-32
Performance comparison for savonius type wind turbines by Fuzzy clustering analysis of batch production recipe
numerical analysis approaches
Shanzhong Liu and Xiaonan Song
Lei Song (Henan Univ. of Sci. and Tech., China) (Henan Univ. of Sci. and Tech., China)
Hongzhao Liu (Xian Univ. of Tech., China)
Zongxiao Yang (Henan Univ. of Sci. and Tech., China)
Wind energy is a clean and renewable energy resource and has been paid more and According to the recipe information model specified in batch standard (ISA S88),
more attention by scholars around the world. As a drag-driven type Vertical Axis via the modified recipe similarity measurement method, an improved fuzzy
Wind Turbine (VAWT), traditional Savonius wind rotor has disadvantage of low clustering algorithm (IFCA) is proposed based on fuzzy c-means (FCM) algorithm
wind energy utilization but has a lot of the advantages compared with Horizontal in the PNN network. IFCA can effectively improve the choice of clustering center
Axis Wind Turbines (HAWTs) and lift-driven VAWTs. A fish-ridged wind rotor and has a good clustering effect for the recipe of batch production. Then is used
is proposed based Savonius rotor to improve the flow field characteristics. In this IFCA to cluster for production recipe of an equipment unit wort evaporator in beer
paper, the two wind rotors are analyzed and compared by computational fluid production. Finally, the recipe classification result is compared with the
dynamics approach. The simulation results show that the flow field of the classification of FCM algorithm, and the effectiveness of IFCA is proved.
fish-ridged rotor is smoother than the Savonius rotor and the maximum value of
wind energy utilization of the former rotor is bigger than that of the latter. It
indicates that the new type of the rotor has good performance.
Poster-33 Poster-34
Fully discrete subgrid stabilized finite element method for the The simplified homogeneous balance method and its application to
Darcy-Brinkman equations in double-diffusion convection Whitham-Broer-Kaup-Like equations
Yunzhang Zhang, Zhoufeng Wang, and Qili Tang Wei Li (Henan Univ. of Sci. and Tech., China)
(Henan Univ. of Sci. and Tech., China) Xinrui Wang (Univ. of Chicago, USA)
We present a fully discrete subgrid stabilized finite element method to solve the In this paper, we have simplified the homogeneous balance method (HB). Using
Darcy-Brinkman equations in Double-Diffusion convection. The time is advanced this simplified approach, the Whitham-Broer-Kaup-Like (WBKL) equations are
by one order Backward Euler scheme. With the proper choosing of stabilized investigated. Various exact solutions of the WBKL equations are obtained via a
parameters, the optimal error estimates in space can be obtained for velocity, nonlinear transformation with the aid of solutions for the linear equation.
temperature and concentration in H1 semi-norm. The derived theoretical results are
supported by numerical experiments. One example is to verify the convergence
results and the other example is a pure thermal convection in a porous medium to
verify the stability of ours method.
Organized Session
Advanced control systems design - theory and applications
Time: 13:00-14:40, Sunday, August 23, 2015 Chair: Shiro Masuda (Tokyo Metropolitan Univ., Japan)
SunM01, Room No. 01 Co-Chair: Shin Wakitani (Tokyo Univ. of Agri. and Tech., Japan)
SunM01-01 SunM01-02
Tracking control of quad-rotor helicopters suspended a power Multivariable controller design evaluating closed-loop interaction
supply cable with on-line estimation of disturbances by iterative LMI optimization using frequency response data
Hayami Hayakawa, Shogo Obata, and Manabu Yamada Shogo Shinoda, Kazuhiro Yubai, Daisuke Yashiro, and Junji Hirai
(Nagoya Institute of Tech., Japan) (Mie Univ., Japan)
In this paper, we propose a tracking controller for quad-rotor suspended a flexible This paper proposes a multivariable controller design method using frequency
cable. The first contribution is to present a new disturbance observer to estimate response data. The proposed method evaluates a diagonal dominance in a
online both the tension of the cable and unknown disturbances applied to closed-loop manner by using a singular value and designs a controller by solving
dynamics. The second one is to propose a new exact linearization method which an optimization problem that involves nonconvex quadratic matrix inequalities.
reduces the nonlinear closed-loop system to a linear controllable state equation by This optimization problem is rewritten as linear matrix inequalities (LMI) by
changing coordinates in the state-space. By using the linearization, a new tracking introducing iterative LMI constrains. The controller achieving highly diagonal
controller based on disturbance observer is presented for obtaining asymptotically dominance is designed by repeating an update of the optimization problem and the
rejection against unknown constant disturbance. convex optimization. This optimization algorithm guarantees monotonically
convergence of an evaluation value in terms of the iteration. The experimental
results show the effectiveness of the proposed method in comparison with the
conventional method.
SunM01-03 SunM01-04
Flow disturbance suppression for a pneumatic vibration isolator Design of a fault tolerant control system using
using a central pattern generator Mahalanobis-Taguchi(MT) system
Yukinori Nakamura, Daishi Funaki, Mami Kimura, and Shinji Wakui Shin Wakitani and Mingcong Deng
(Tokyo Univ. of Agri. and Tech., Japan) (Tokyo Univ. of Agri. and Tech., Japan)
This paper presents the suppression method of flow disturbance, which is the In this research, a failure tolerance control system design scheme using
variation of compressed air supplied to a pneumatic vibration isolator. A central Mahalanobis-Taguchi (MT) system is proposed. In this method, we consider a
pattern generator (CPG) is utilized to compensate effect of flow disturbance. In situation that an actuator such as a heater gradually deteriorates and eventually
order to implement a CPG-based controller, feedback type control scheme, which breaks down. The failure detection component in a control system detects whether
does not require a pressure sensor, is adopted. Moreover, CPG-based and the system is broken, and switches to a backup actuator if a fault is detected in the
displacement controllers are connected in parallel so as to avoid the vibration of actuator. In the proposed algorithm, an augmented system including an actuator is
isolation table during the start-up of isolator. The proposed approach is verified by described as a first-order plus time-delay system, and their system parameters are
simulation and experiment. estimated by the recursive least squares method. Unit space is designed using the
estimated system parameters that are obtained during normal operation; based on
the Mahalanobis distance, the failure detection component determines whether a
newly obtained system parameter in operation belongs to the unit space. The
control system switches to a backup actuator if the newly estimated parameters do
not belong to the unit space. The effectiveness of this method is evaluated by
simulation experiments.
SunM01-05
55
Data-driven PID gain tuning for unknown impulse disturbance
attenuation
Shiro Masuda
(Tokyo Metropolitan Univ., Japan)
Data-driven design approaches based on input-output measurements with no need

for help from a plant model have attracted attention from several researchers. We
have proposed such a disturbance attenuation Fictitious Reference Iterative Tuning
(FRIT) using input-output data generated by a step or impulse disturbance, and
showed the effectiveness of theapproach through experiments of DC motor control
and helicopter attitude control. The present work applies the approach to the
experimental data for temperature control. The PID gains are tuned so that
temperature of a piece of metal would follow a disturbance reference model output
signal. From the experimental result, the disturbance attenuation FRIT is effective
for PID gain tuning from closed-loop input and output experimental data
generated by a impulse disturbance with unknown magnitude.
Regular Session
Mechatronic systems analysis and control I
Time: 13:00-14:40, Sunday, August 23, 2015 Chair: Xinkai Chen (Shibaura Institute of Tech., Japan)
SunM02, Room No. 02 Co-Chair: Hongbo Wang (Yanshan Univ., China)
SunM02-01 SunM02-02
Size and weight reduction of semicircular duplex manipulator for Adaptive fault diagnosis for continuous time-delay repetitive
rescue operation system subject to sensor fault
Soichiro Kimura and Kazuyuki Ito Haigang Zhang, Sen Zhang, and Yixin Yin
(Hosei Univ., Japan) (Univ. of Sci. and Tech. Beijing, China)
Applications of robots for rescue operations have attracted considerable attention. This note proposes an adaptive fault diagnosis scheme for the continuous
However, at real disaster sites, some of the spaces in the rubble are so narrow that time-delay repetitive system subject to the sensor fault. The theory of iterative
conventional rescue mobile robots cannot pass through them. Hence, the learning control (ILC) is employed in the fault reconstructed method. With the
development of a robotized endoscope is expected. In this study, we redesigned increase of iterative step, the sensor fault estimation signal can track the actual
our previous rescue manipulator to downsize its body without losing robustness. fault tightly including slow- and fast- varying fault. In order to verify the
We developed a new small-sized duplex manipulator and successfully reduced its effectiveness of the proposed fault diagnosis method, three kinds of sensor faults
size by 70%. are taken into consideration in the simulation part. The results show that the
reconstructed fault signal can track the actual fault well despite of the kinds of
sensor faults.
SunM02-03 SunM02-04
Model identification and adaptive control design for a 6 DOFs Precise tracking control for Piezo-actuated stage using inverse
manipulator compensation and model predictive control
Weiliang Ge (Univ. of Electronic Sci. and Tech. of China, China), Nguyen Manh Linh, Tran Vu Minh, and Xinkai Chen
Wei He (Univ. of Sci. and Tech. Beijing, China)
Yunchuan Li (Univ. of Maryland College Park, USA) (Shibaura Institute of Tech., Japan)
Chenguang Yang (Plymouth Univ., UK)
In this article, kinematic modeling design of a humanoid robot is presented by In this paper, we consider tracking control problem of piezo-actuated stage which
using Devanit-Hartenberg (D-H) model. Based on the coordinate frame, the model is composed by a piezoelectric actuator (PEA) and a positioning mechanism (PM).
identification of a 6 degree-of-freedom (DOF) upper limb is investigated with This plant can be modeled by cascading a hysteresis with a linear dynamical
Newton-Euler (NE) formula. Particle Swarm Optimization (PSO) is used to system. The tracking performance of this system is significantly affected by
optimize the trajectory of each joint, the adequate excitation of the robot is hysteresis phenomenon of PEA. In order to improve the performance, a modified
provided and the estimated result is improved. The estimated inertia parameters Bouc-Wen model is proposed to describe the hysteresis more accurately. Then,
are taken as the initial values of the Recursive Newton-Euler (RNE) adaptive inverse Bouc-Wen is used to compensate hysteresis nonlinearity. Finally, model
control algorithm. Simulations are provided to verify the result of the predictive control (MPC) with integral of error state variable is employed for
identification algorithm. control design. Experimental results show that the proposed method has excellent
tracking performance in comparison with conventional proportionalintegral (PI)
controller.
SunM02-05
Oscillatory behavior based fault feature extraction for bearing

fault diagnosis
Juanjuan Shi and Ming Liang
(Univ. of Ottawa, Canada)
An intelligent fault signature extraction scheme based on oscillatory behaviors is

reported in this paper for bearing fault diagnosis. The proposed method is based
on the joint application of morphological component analysis (MCA) and tunable
Q-factor wavelet transform (TQWT) to decompose a signal into two signal
components (i.e., low- and high-oscillation components) according to whether
they having sustained oscillations. As bearing fault-induced transients
(low-oscillation component) oscillate differently from periodic interferences and
noise (high-oscillation component and residual), they can be separated via the
MCA with the aid of TQWT which is parameterized by Q-factor and plays a role
of distinguishing signal components presenting different oscillatory behaviors.
The low- and high-oscillation components can be obtained by solving the
objective function formulated based on MCA and TQWT. The determination of
Q-factor for each signal component representation is also explored in this paper.
The effectiveness of the proposed method is examined by experimental data.
Regular Session
Complex systems control and applications I
Time: 13:00-14:40, Sunday, August 23, 2015 Chair: Ni Bu (Qingdao Univ. of Sci. and Tech., China)
SunM03, Room No. 03 Co-Chair: Zhengfeng Ming (Xidan Univ., China)
SunM03-01 SunM03-02
Switched reluctance motor/generator simulation research based Surface flaws detection algorithms for large aperture optical
on compressed air energy storage system element
Xiaoshu Zan and Hong Zhu Zhengtao Zhang, De Xu, Xian Tao, and Feng Zhang
(China Univ. of Mining and Tech., China) (Chinese Acad. of Sci., China)
Compressed air energy storage (CAES) system has become a popular energy In this paper we consider the inspection of surface flaws in large aperture optical
storage device for micro grid because of many advantages. The principle, element. A high efficiency and precision instrument is proposed which contains
structure, simulation model and the simulation results of the switched reluctance two kinds of imaging systems. One is dark-field imaging system(DFIS)
motor/generator system based on the CAES system have been studied in the paper. constructed by line scan camera with 10m resolution. The other is bright-field
The nonlinear simulation model by the flux linkage data calculated by imaging system (BFIS) constructed by microscope with 1m resolution.
two-dimensional finite element is built firstly. Then the sliding+PI control method Considering the small depth of field of DFIS, an adaptive scanning method based
is put forward in the motor process and the fuzzy+PI control method is put on collimation laser and several focusing points is proposed to keep the clarity of
forward in the generation process. The simulation results have validated the DFIS in large scope scanning. After the scanning, an image mosaic algorithm for
effectiveness of the control strategy and control parameters. The switched the DFIS is presented based on SIFT features and clustering algorithm. Then, the
reluctance motor/generator system has well rotor speed tracking and voltage feature extraction algorithm of flaws in DFIS and BFIS is designed. In order to
output performance and it has reference value and application prospect in the check the flaws more precisely, a location algorithm that can guide the BFIS to
CAES system. inspect the same flaw in DFIS is introduced. Finally, the calibration method of two
imaging systems is studied. Experiments show that the device can scan an optical
element with size of 810mm460mm in less than 6min without complex manual
operation and the detection precision can reach 3m satisfying the requirement of
practical need.
SunM03-03 SunM03-04
An adaptive observer-based fault detection and diagnosis for Minimum mutual information control for multi-variable
nonlinear systems with sensor and actuator faults non-Gaussian stochastic systems
Xiaomo Yan (Univ. of Manchester, UK), Qichun Zhang (Univ. of Manchester, UK)
Bailing Tian (Tianjing Univ., China), Aiping Wang (Anhui Univ., China)
Hong Wang (Univ. of Manchester, UK) Hong Wang (Univ. of Manchester, UK)
A novel fault diagnose method is presented for the nonlinear systems with coupled In this paper, a novel control algorithm is presented to minimize output statistical
fault and disturbance viaadaptive observer technique. Residual matrix is used in couplings for a class of dynamic nonlinear multi-variable non-Gaussian stochastic
this paper to describe the values of unknown inputs. Instead of adding robustness systems. Using Cauchy-Schwartz mutual information, a new performance
on the estimate states, this novel observer structure focuses on eliminating the criterion is given and this associated control algorithm is presented to minimized
disturbance signal on the residual matrix by using vector unitization so that the the mutual information of the system outputs so as to minimize the statistical
residual matrix can be approached precisely. The adaptive law is obtained by couplings among system outputs. The convergence of this presented control
using Lyapunov stability theory. Finally, an application on second order system is algorithm is analyzed and the effectiveness of the proposed algorithm is shown by
included in the end of this paper to show the effectiveness of the proposed simulation.
strategy.
SunM03-05
Design and simulation of dual fuzzy self-adjusting immune PID

controller for grain drying system
Aini Dai, Xiaoguang Zhou, Chi Zhang, Xiangdong Liu, and Huiling Zhou
(Beijing Univ. of Posts and Telecommunications, China)
The grain drying process has the characteristics of large time delay, nonlinearity,
multi disturbance and strong coupling. In order to reduce the grain moisture
content during drying process, to ensure the grain quality of the grain, and enable
the uniform moisture content of outlet grain, a new improved controller model for
grain drying which called the dual fuzzy self-adjusting immune PID controller in
this paper is proposed based on immune feedback mechanism, and the problem of
fixed change rate of the parameters of general fuzzy immune PID controller is
solved. Matlab simulation tool is used to simulate the control models of grain
drying system, and the effectiveness of this new improved control method for the
grain drying system is shown by simulation on the performance comparison with
the other control methods, such as: general PID, fuzzy self-adjusting PID and
general fuzzy immune PID. The simulation results show that the new fuzzy
immune PID controller has better dynamic performance in the aspects of overshot,
stability and anti-jamming.
Regular Session
Control of mechatronic systems II
SunP01, Room No. 01 Co-Chair: Junming Xiao (Zhongyan Univ. of Tech., China)
SunP01-01 SunP01-02
A brushless DC motor speed control system based on DSP Precision size measurement instrument for irregular objects
controller
Wanji Liu (SIPO, China)
Songming Cao, Yong Liu, Ming Hu, Xin Fu Xian Tao (Chinese Acad. of Sci., China)
(Beijing Univ. of Posts and Telecommunications, China)
In this paper, the control system of brushless DC motor, using the TI Co.'s digital Precision size measurements are widely used in industrial production such as
signal processor TMS320F2812 as the main control chip, design for hardware of candies and cookies in the food industry. However, it is a challenge to measure
system are as follows :a rectifier circuit, inverter circuit, drive circuit, control irregular objects in a universal device because of poor adaptability and low
circuit, voltage and current detection circuit; software program design in DSP precision. In this paper, a high-precision measurement device for irregular objects
software development environment CCS, using C language and assembly based on machine vision is designed. It consists of a rotational adjustment
language a hybrid programming, the realization of the PWM wave generation and platform, two imaging units, a weighing device and a host computer. Armed with
brushless DC motor speed control and other functions. this device, a novel algorithm with good robustness is proposed to rapidly measure
irregular objects. The sub-pixel location algorithm based on spatial moment is
used for the accuracy size measurement. Experiments show that the measurement
accuracy is less than 25m.
SunP01-03 SunP01-04
A new method of periodicity estimation for mechanical acoustic Acoustic emission signal harr wavelet denoise research
data
Kenan Shen (Southwest Forestry Univ., China),
Zhipan Hong and Guoliang Lu Mingcong Deng (Tokyo Univ. of Agri. and Tech., Japan)
(Shandong Univ., China) Ming Li (Southwest Forestry Univ., China)
Periodicity estimation in mechanical acoustic time-series data is a well-established In order to obtain wood acoustic emission signal waveform. A multi channel
problem in data mining as it can be applicable in variety of disciplines either for acoustic emission signal acquisition system based on NI high-speed data
anomaly detection or for prediction purposes in industry. In this paper, we develop acquisition equipment was constructed. At the same time, a signal
a new approach for capturing and characterizing periodic patterns in time-series wavelet extraction and processing platform based on LabVIEW software
data by virtue of the dynamic time warping (DTW). We have conducted extensive was designed, which can be used to collect separate extract the acoustic
experiments to evaluate the proposed approach with synthetic data and our emission signal, spectral analysis and other basic functions. The system was
collected data in practice. Experimental results demonstrated its effectiveness and proved to be effective through the acoustic emission experiment. Through the
robustness on periodicity detection in highly noised data. comparison of three different signal extract ways, further verify the advantages of
harr wavelet analysis. As a platform for wood acoustic emission signal acquisition
and processing, this system provides the necessary foundation for the processing
of wood acoustic emission signal.
SunP01-05 SunP01-06
Operator-based nonlinear networked control system with packet Optimal control of non-prehensile manipulation control by two
error cooperative arms
Tomohito Hanawa and Mingcong Deng Changan Jiang, Satoshi Ueno (Ritsumeikan Univ., Japan)
(Tokyo Univ. of Agri. and Tech., Japan) Yoshikazu Hayakawa (Nagoya Univ., Japan)
This paper is concerned with the operator-based nonlinear networked control In this paper, an optimal control method to non-prehensile manipulation control by
systems with packet errors. In communication network, packet may include errors two cooperative arms is proposed. In details, based on the dynamic model of the
caused by noise in network, and in conventional control method, these packets are two-rigid-link object, an approximate model is derived. According to the obtained
regarded as lost packets. This means information of control signals is also lost model, an optimal regulator is designed to realize the holding motion of two
completly, even if the disturbance caused by errors acceptable for control systems. cooperative arms which is used to keep the two-rigid-link object stable on the
The proposed system treats packets in communication networks with errors as arms. Finally, simulation results are shown to verify the effectiveness of the
control signals with perturbation. This control scheme reduces the numbers of proposed method.
dropped packets caused by noise in communication network. Firstly, the
operator-based plant model and packet communication model with packet error
are proposed. Secondly, the operator-based nonlinear control system is proposed.
Finally, the effectiveness of the proposed control scheme is confirmed by
simulation.
Regular Session
Mechatronic systems analysis and control II
Time: 14:50-16:50, Sunday, August 23, 2015 Chair: Shengjun Wen (Zhongyuan Univ. of Tech., China)
SunP02, Room No. 02 Co-Chair: Dongyun Wang (Zhongyuan Univ. of Tech., China)
SunP02-01 SunP02-02
SVR-based input-output mapping of a micro-hand Nonlinear remote temperature control of a spiral plate heat
exchanger
Kou Fujita (Tokyo Univ. of Agri. and Tech., Japan)
Shuichi Wakimoto (Okayama Univ., Japan), Ryohei Fujii, Mingcong Deng, and Shin Wakitani
Mingcong Deng and Shin Wakitani (Tokyo Univ. of Agri. and Tech., Japan)
Micro-hand is one of soft actuators. It has many merits, however, it is of In this paper, the time-delay is considered when process equipment is controlled
nonlinearity. Moreover, it needs sensorless control. Sensorless control with by a wireless network in a large-scale plant. To prevent a decline of a control
SVR-based mapping of a micro-hand is proposed in this paper. Effectiveness of performance by the time-delay, the time-delay compensation controller is
the proposed method is verified by the experiment of the control system. designed. What's more, the experimental environment which simulates the remote
control is made, and the effectiveness of the designed control system is confirmed
by simulation and experiment results.
SunP02-03 SunP02-04
Operator based voltage control experiments of thermoelectric Robust controller design for networked control system with
generation system packet dropout and quantization error
Ryuji Yoshida, Mingcong Deng, and Shin Wakitani Haiquan Wang, Rongxiang Gao, Qian Zhang, and Shengjun Wen
(Tokyo Univ. of Agri. and Tech., Japan) (Zhongyuan Univ. of Tech., China)
Boost converters have nonlinear characteristics by semiconductor switching The stability of networked control systems with packet dropout and quantization
elements in a circuit.Generally, controllers are designed by a linearized model of error is researched in this paper. As a typical distributed closed-loop control
the boost converter based on state space averaging method.This study proposes system connected with network, quantization errors and packet dropouts
design scheme considering discontinuous conduction mode without linearization. frequently occur that the previous model of networked control system tend to
In detail, firstly, modeling of boost converter in discontinuous conduction mode is ignore them. So in order to describe exactly how the system will behave during
derived.Secondly, control system designed based on operator theory is control, the nonlinear quantizer to quantify status signals is introduced and
shown.Finally, the effectiveness of the proposed control system is verified by Markov jump system model is established to describe the packet dropout existing
simulation and experimental results to the change of the load and the input in networked control system. Subsequently, based on the established model,
voltage. state feedback controller is designed to ensure the stability of system and the
Linear Matrix Inequality (LMI) is used to solve the controller. The simulation
results show that state feedback controller can ensure the stability of controlled
system with packet dropout and quantization error.
SunP02-05 SunP02-06
Active power filter design for improving power quality Fractional PID based stability control for a single link rotary
inverted pendulum
Junming Xiao, Xiangming Zhang, Shengjun Wen, and Zhengbo Liu
(Zhongyuan Univ. of Tech., China) Wudai Liao, Zhengbo Liu, and Shengjun Wen
(Zhongyuan Univ. of Tech., China),
Shuhui Bi (Univ. of Jinan, China)
Dongyun Wang (Zhongyuan Univ. of Tech., China)
The paper design a current control based active power filter (APF) for improving Fractional order based stability control for the system of the single link rotary
power quality by reactive power compensation and harmonic filtering. The inverted pendulum is presented. The mathematical model is derived using
designed APF is based on a voltage source inverter (VSI), where the VSI is Lagrange Equation and the G-L fractional calculus. Then the integer order PID
controlled by two loops, the voltage control loop and the current control loop. The controller and fractional order PID controller are designed respectively. Under the
voltage control loop is used to regulate the DC link capacitor voltage of the VSI. condition of the same parameters, and, the integrator of order and a differentiator
Via triangular wave control, the current control loop is used to produce a tracking of order of the fractional order PID controller are adjusted adaptively. Finally,
PWM signal to shape the harmonic current such that it is in-phase with the same comparing with the integer order PID controller, the results show the system of
shape as the input voltage. The major advantage of the proposed APF is to search fractional order PID controller is more quickly swigged, and the stability control
the reference current for improving power quality by using dq0 detecting method. performance is more effective.
Simulation results are given to validate the proposed scheme. From the results, it
shows that the reduction of THD is better in power system networks.
Regular Session
Complex systems control and applications II
Time: 14:50-16:50, Sunday, August 23, 2015 Chair: Aihui Wang (Zhongyuan Univ. of Tech., China)
SunP03, Room No. 03 Co-Chair: Hong Wang (Univ. of Manchester, UK)
SunP03-01 SunP03-02
Design of the automatic sample preparation system IPMC robust nonlinear tracking control design based on a
multi-objective particle swarm optimization-based RRCF approach
Xin Fu, Shimin Wei, Yong Liu, Ming Hu, and Songming Cao
(Beijing Univ. of Posts and Telecommunications, China) Wudai Liao, Tongbin Yan, Aihui Wang, and Yiwen Fu
(Zhongyuan Univ. of Tech., China)
This paper introduces a kind of automatic device(called ASPS), wihch implements In this paper, a robust nonlinear tracking control design for an ionic polymer metal
the function of automatic sample preparation. The components and design composite (IPMC) is proposed by using a multi-objective particle swarm
principles of the device are described in detail. The device consists of the optimization-based robust right coprime factorization approach. Addressing the
membrane feeding system, the x-y-z manipulator and the boxes feeding and difficult in obtaining the PI control parameters Kp, Ki of the former proposed
retriving mechanism. The design principles mainly involve tension control and the nonlinear robust tracking control system based on PI-based robust right coprime
avoidance of slippage. factorization approach, how to obtain the optimal control parameters Kp, Ki is
investigated by using MATLAB system identification toolbox and multi-objective
particle swarm optimization algorithm. That is, firstly, a new equivalent transfer
function model of the robust stable control system of IPMC is identified. For the
obtained transfer model, a multi-objective particle swarm algorithm optimization
is used obtain the control parameters Kp, Ki of PI controller. Finally, the
effectiveness of the proposed method system is confirmed by simulation results.
SunP03-03 SunP03-04
Robot arm with micro-hand robust control design using Complex event processing on uncertain data streams in product
operator-based robust right coprime factorization approach manufacturing process
Aihui Wang (Zhongyuan Univ. of Tech., China) Na Mao and Jie Tan
Hongnian Yu (Bournemouth Univ., UK) (Chinese Acad. of Sci., China)
Dongyun Wang (Zhongyuan Univ. of Tech., China)
Mingcong Deng (Tokyo Univ. of Agri. and Tech., Japan)
This work focuses on robust nonlinear control design of a robot arm with With the development of automatic production, manufacturing factories record
micro-hand by using operator-based robust right coprime factorization (RRCF) tremendous amounts of data with sensor devices deployed in a factory. Because of
approach. In detail, to control the precise endpoint position of robot arm and the inherent inaccuracy of sensor readings, these data are of high level of
obtain the desired force using micro-hand according to the external environment uncertainty. How to use Complex Event Processing (CEP) to get useful
or task involved, a connected feedback control system based on operator-based information for quality monitoring of products from a lot of uncertain raw data
RRCF approach is proposed. In first sub-system, to control the angular position of continually generated from the production lines is becoming a challenging
the robot arm, the operator controllers and the tracking controller are designed, research. Therefore, in this paper, we propose a model of uncertain complex event
and the robust stability and tracking conditions are derived using RRCF approach. processing system for real-time monitoring in product manufacturing process. And
The second sub-system is designed to control the micro-hand force, and the robust then we define the probabilistic event model and propose a probabilistic event
tracking conditions are also discussed based operator-based RRCF approach. detection algorithm based on rNFA and its optimization plan by event filtering. At
Finally, the effectiveness of the proposed control system is verified by simulation the same time, we introduce Conditional Probability Matrix (CPM) and describe
results. the calculation of probability of complex events with the multiplication theorem of
probability. The experimental results show that our proposed method is efficient to
detect complex events over probabilistic event streams with better event
throughput capabilities and lower time consumption.
SunP03-05 SunP03-06
Detecting cracks on a concrete surface using histogram of Power balance control for switched reluctance generator
oriented gradients integrated in DC microgrid
T Wang., D He. (Lanzhou Institute of Physics and National Key Lab. of Vacuum and CryogenicLanzhou Hongrui Aerospace
Lin Meng, Zhongkui Wang, Yoshiyuki Fujikawa, and Shigeru Oyanagi
.
Electromechanical Equipment Co. Ltd Wuxi Hongrui Aerospace Electromechanical Equipment Co. Ltd., China) Q Wang . (China Univ. of
(Ritsumeikan Univ., Japan) Mining and Tech., China) Y Huo . (Lanzhou Institute of Physics and National Key Lab. of Vacuum and Cryogenic Lanzhou Hongrui
Aerospace Electromechanical Equipment Co. Ltd., China) L Lu. and J Li. (China Univ. of Mining and Tech., China)
With the aging of structures such as bridges, buildings, and tunnels, investigating This paper presents a power balance control (PBC) scheme for switched
the cracking of concrete surfaces have become very important. The standard reluctance generator (SRG) wind power system integrated with DC microgrid.
method for investigating cracks has usually been to perform a visual inspection First, a switched reluctance generator wind power system is, which acts as
and acoustic diagnosis. However, the inspection results when using these distributed energy source, is integrated with a 24V utility DC microgrid. With
techniques vary depending on the experience of the inspector, causing there are proper convertor design and control characteristic for SRG system, output voltage
not objectivity and quantifiability enough. Therefore, digital image analysis of ripple is minimized, which makes it possible for directly connection. Then
concrete cracks is being developed with the aim of providing efficient, automatic, proposed PBC is achieved on DSP controller for a 3 phase 12/8 SRG system. With
and quantitative inspection. However, in the process of binarization, some of the proposed control scheme and control system, SRG can change control target
cracks become fractured or invisible, which have a negative effect on the dynamically with signals on DC bus. In the end, both simulations and experiments
investigation accuracy. To improve the accuracy when detecting cracks, we demonstrated proposed PBC well.
propose a method that uses the histogram of oriented gradients (HOG) to detect
cracks on the concrete surface. We are also working on the use of unmanned
helicopters to take photos of the concrete surfaces to enable automatic
investigation.
AUTHORS INDEX
K = Keynote speaker, C = Chair, CC = Co-Chair, O = Organizer
Name Session Page SatP01-05 589 Hong, Zhipan SunP01-03 519
A Di, Long SatM01-04 15 Hou, Zengguang SatM02 CC
Ali, Mumtaz Poster_session-01 249 F SatM02-05 50
B Fang, Jianjun SatE03-02 228 Poster_session-23 365
Basari, Amat SatP03-04 154 SatE03-05 244 Hu, Bo SatE02-03 206
Bi, Shuhui SatM03 C Feng, Yongfei SatM02-01 24 Hu, Ming SunP01-01 508
SunP02-06 562 Fu, Xin SunP01-01 508 SunP03-01 567
Bian, Guibin SatM02-05 50 SunP03-01 567 Huo, Feng SatP02-02 114
Poster_session-23 365 Fu, Yiwen SunP03-02 571 Huo, Y. SunP03-06 594
Bu, Ni SatM03-04 70 Fujii, Ryohei SunP02-02 542 I
SunM03 CC Fujikawa, Yoshiyuki SunP03-05 103 Iliescu, Mihaiela SatM02-04 42
C Fujita, Kou SunP02-01 538 Inoue, Akira Poster_session-15 322
Cang, Shuang SatM02-05 50 Funaki, Daishi SunM01-03 435 Poster_session-16 328
Cao, Songming SunP01-01 508 G Ito, Kazuyuki SatP03 CC
SunP03-01 567 Gal, Ionel Alexandru SatM02-03 36 SunM02-01 450
Chai, Tianyou PS01 K Gao, Chengchong SatM01-01 1 J
Chang, Yiping Poster_session-20 349 Gao, Feng SatM02-04 42 J., Mukund Nilakantan SatP02-03 119
Chen, Li Poster_session-22 359 Gao, Rongxiang SunP02-04 552 Jaworski, Johnathan SatP02-01 108
Chen, Qun SatM01-03 10 Gao, Yan Poster_session-12 306 Jiang, Changan SunP01 C
Chen, Xinkai PS02 C Ge, Weiliang SunM02-03 461 Poster_session C
SunM02 C Ge, Wenjie Poster_session-24 370 SunP01-06 533
SunM02-04 467 George, Q. Huang SatP02-03 119 Jiang, Wei SatP03-04 154
Cheng, Wei Poster_session-25 375 Guo, Lei Poster_session-06 277 Jiang, Yuqi SatP03-04 154
Poster_session-26 380 Poster_session-07 282 Jin, Longguo SatP01-05 589
Poster_session-27 384 Poster_session-08 286 Jin, Qi SatM03-02 61
Cong, Sen SatE03-05 244 Guo, Weizhong SatM02-04 42 John, Cross SatE01-03 174
Cui, Tengteng Poster_session-28 388 Guo, Zhiqiang Poster_session-30 397 Joseph-Ellison, Stacey SatP02-01 108
D H K
Dai, Aini SunM03-05 503 Hanawa, Tomohito SunP01-05 528 Kainose, Sho Poster_session-10 295
Deli, Irfan Poster_session-01 249 Hao, Yongxing Poster_session-05 273 Kanagaraj, G. SatP02-04 125
Deng, Mingcong SatM02-03 36 Hasan, Mohammad Shahidul SatP02-05 131 Kasabov, Nikola Poster_session-23 365
SatM02-04 42 Hashimoto, Seiji SatP03-04 154 Kimura, Mami SunM01-03 435
SatM03-03 66 Hashimoto, Shin'ichi SatE01-02 170 Kimura, Soichiro SunM02-01 450
SatM03-04 70 Hatano, Takafumi Poster_session-19 343 Kubota, Masayuki SatP03-05 158
Poster_session-15 322 Hayakawa, Hayami SunM01-01 423 L
Poster_session-16 328 Hayakawa, Yoshikazu SunP01-06 533 Li, Chuang SatM01-02 5
Poster_session-19 343 Hayashi, Mitsuharu SatE02-02 200 Li, Gensheng Poster_session-29 392
SunM01-04 441 He, D. SunP03-06 594 Li, J. SunP03-06 594
SunP01-04 523 He, Kai Poster_session-06 277 Li, Ke Poster_session-12 306
SunP01-05 528 He, Wei SunM02-03 461 Li, Lifeng SatM03-02 61
SunP02-01 538 Henmi, Tomohiro Poster_session-15 322 Li, Lina Poster_session-14 316
SunP02-02 542 Poster_session-16 328 Li, Ming SunP01-04 523
SunP02-03 548 Hirai, Junji SunM01-02 429 Li, Wei Poster_session-34 418
SunP03-03 577 Hong, Geoksoon SatP02-02 114 Li, Ximei SatM01-05 20

Li, Xuehong Poster_session-18 337 Mo, Xinhu Poster_session-07 282 Shang, Weiwei SatM01-02 5
Li, Yongcan Poster_session-09 290 Mohammadirad, Amin SatE02-01 194 Shao, Junzhen SatP02-01 108
Li, Yuan SatE03-05 244 Munteanu, Ligia SatM02-05 50 Shao, Xinyu SatP01-02 86
Li, Yunchuan SunM02-03 461 Munteanu, Radu SatM02-02 30 Sharmin, Sonia SatE01-06 190
Li, Yushan SatE03-03 233 N Shen, Kenan SunP01-04 523
Li, Zhiqiang SatM03-01 56 Nagasaka, Ken SatE02 CC Shi, Juanjuan SunM02-05 473
Lian, Zhongxu SatE02-05 217 SatE02-01 194 Shi, Xudong SatP02-01 108
Liang, Ming SunM02-05 473 SatE02-02 200 Shinoda, Shogo SunM01-02 429
Liang, Yongchun Poster_session-09 290 Poster_session-04 267 Smarandache, Florentin Poster_session-01 249
Liao, Wudai SunP02-06 562 Poster_session-10 295 Song, Dongliang SatM01-05 20
SunP03-02 571 Nakade, Keisuke SatP03-02 143 Song, Fei Poster_session-13 310
Linh, Nguyen Manh SunM02-04 467 Nakamura, Taiki SatP03-01 137 Song, Lei Poster_session-31 402
Liu, Hong SatP02-01 108 SatP03-02 143 Song, Lihui Poster_session-05 273
SatE03-04 238 Nakamura, Yukinori SatP02 CC Song, Shujie Poster_session-17 332
Liu, Hongzhao Poster_session-31 402 SatP03-01 137 Song, Xiaonan Poster_session-32 408
Liu, Junhong SatM03-02 61 SatP03-02 143 Song, Yuan Poster_session-06 277
Liu, Shanzhong Poster_session-32 408 SatP03-03 149 Poster_session-07 282
Liu, Song SatE02-03 206 SatP03-05 158 Poster_session-08 286
Liu, Wanji SunP01-02 513 SunM01-03 435 Spirleanu, Cristian SatM02-04 42
Liu, Wenxue SatM03-02 61 O Su, Chun-Yi PS02 K
Liu, Xiangdong SunM03-05 503 Obata, Shogo SunM01-01 423 T
Liu, Yibin SatM01-02 5 Oyanagi, Shigeru SunP03-05 103 Tan, Jie SunP03-04 583
Liu, Yong SunP01-01 508 P Tan, Min Poster_session-14 316
SunP03-01 567 Peng, Likun Poster_session-13 310 Tang, Qili Poster_session-33 413
Liu, Yukun SatP01-03 90 Peng, Long Poster_session-23 365 Tao, Fazhan SatM03-03 66
Liu, Zhengbo SunP02-05 557 Ponnambalam, S.G. SatP02-03 119 Tao, Xian SunM03-02 485
SunP02-06 562 SatP02-04 125 SunP01-02 513
Long, Hao Poster_session-17 332 SatE02 C Tian, Bailing SunM03-03 491
Loo, C.K. SatP02-04 125 Poo, Aunneow SatP02-02 114 Tian, Guangdong SatP01 C
Lou, Jingjun Poster_session-13 310 Q SatP01-01 79
Lu, Guoliang SunP01-03 519 Qian, Dianwei SatE03 CC SatP01-02 86
Lu, Hao SatM02-01 24 SatE03-02 228 SatP01-04 96
Lu, L. SunP03-06 594 SatE03-04 238 Tong, Shiwen SatE03 O, C
M Qiu, Rongxian SatE02-04 212 SatE03-02 228
Ma, Haiyan Poster_session-26 380 Qiu, Shenghai SatM01-01 1 SatE03-03 233
Poster_session-27 384 R SatE03-05 244
Ma, Zhihao SatM01-02 5 Ren, Junjie SatE03-03 233 Tong, Xinxing Poster_session-24 370
Maciejewski, Anthony A. PS03 K Ren, Yaping SatP01-01 79 U
Mao, Na SunP03-04 583 S Ueno, Satoshi SunP01-06 533
Masuda, Shiro SunM01 C Sbastien, Louvign SatE01-05 185 Uma, Rajagopalan Maheswari SatE01-04 179
SunM01-05 445 Shi, Jie SatE01 O, C V
Melinte, Octavian SatM02-05 50 SatE01-01 164 Vladareanu, Luige SatM02 O, C
Meng, Lin SunP03-05 103 SatE01-02 170 SatM02-01 24
Mihai, Razvan-Viorel SatM02-01 24 SatE01-03 174 SatM02-02 30
Mineo, Hirokazu SatP03-05 158 SatE01-04 179 SatM02-03 36
Ming, Zhengfeng Poster_session-03 261 SatE01-05 185 SatM02-04 42
Minh, Tran Vu SunM02-04 467 Sang, Bingfeng SatP01-03 90 SatM02-05 50

Poster_session-23 365 Watanabe, Marino SatP03-03 149 Yashiro, Daisuke SunM01-02 429
W Wei, Jun SatM01-01 1 Yin, Yixin Poster_session CC
Wakimoto, Shuichi SunP02-01 538 Wei, Shimin Poster_session-08 286 SunM02-02 456
Wakitani, Shin Poster_session CC SunP03-01 567 Yoshida, Ryuji SunP02-03 548
Poster_session-19 343 Wen, Ci SatP02-01 108 Yu, Dongsheng SatE03-01 223
SunM01 O, CC Wen, Shengjun SunP02 C Yu, Hongnian PS01 C
SunM01-04 441 SunP02-04 552 SatM02-03 36
SunP02-01 538 SunP02-05 557 SatM02-04 42
SunP02-02 542 SunP02-06 562 SatM02-05 50
SunP02-03 548 Wen, Tao Poster_session-03 261 SatP02 C
Wakui, Shinji SatP03 C Wu, Ganggang SatM01-04 15 SatP02-05 131
SatP03-01 137 Wu, Jian SatM01-02 5 Poster_session-23 365
SatP03-02 143 Wu, Yanfeng SatP01-05 589 SunP03-03 577
SatP03-03 149 X Yu, Huadong SatE02-04 212
SatP03-05 158 Xia, Kui SatE02-04 212 SatE02-05 217
SunM01-03 435 Xiao, Huimin SatM03 CC Yu, Yan SatE01 CC
Wang, Aihui SunP03 C SatM03-01 56 SatE01-01 164
SunP03-02 571 Xiao, Junming SunP01 CC SatE01-02 170
SunP03-03 577 SunP02-05 557 Yu, Zhanjiang SatE02-04 212
Wang, Aiping SunM03-04 497 Xiao, Yongfei Poster_session-25 375 SatE02-05 217
Wang, Bianli Poster_session-12 306 Xie, Jinfa Poster_session-29 392 Yu, Zongyuan Poster_session-12 306
Wang, Chaofeng Poster_session-05 273 Xie, Jinli SatM03-05 75 Yuan, Ying SatM01-04 15
Wang, Dongyun SunP02 CC Xie, Liyu SatM02-02 30 Yubai, Kazuhiro SunM01-02 429
SunP02-06 562 Xie, Zhanpeng SatP01-02 86 Z
SunP03-03 577 Xing, Bin Poster_session-08 286 Zan, Xiaoshu SunM03-01 479
Wang, Fenggui Poster_session-27 384 Xu, Bin SatM01-02 5 Zhan, Haiyan SatE01-02 170
Wang, Haiquan SunP02-04 552 Xu, De Poster_session-14 316 Zhang, Chaoyong SatP01-02 86
Wang, Hong SunM03-03 491 SunM03-02 485 Zhang, Chi SunM03-05 503
SunM03-04 497 Xu, Jinkai SatE02-04 212 Zhang, Dong SatM02-01 24
SunP03 CC SatE02-05 217 Zhang, Feng SunM03-02 485
Wang, Hongbo SatM02-01 24 Xu, Liyou Poster_session-29 392 Zhang, Haigang SunM02-02 456
SatM02-02 30 Poster_session-30 397 Zhang, J. X. PS03 C
SatM02-03 36 Xu, Peng SatM02-01 24 Zhang, Jiazhen Poster_session-30 397
SatM02-05 50 Y Zhang, Linshuai SatE02-04 212
SunM02 CC Yamada, Manabu SunM01-01 423 Zhang, Qian SunP02-04 552
Wang, Hui Poster_session-20 349 Yan, Tongbin SunP03-02 571 Zhang, Qichun SunM03-04 497
Wang, Q. SunP03-06 594 Yan, Xiaomo SunM03-03 491 Zhang, Sen SunM02-02 456
Wang, Shuaishuai SatM02-02 30 Yang, Chenguang SunM02-03 461 Zhang, Tong Poster_session-03 261
Wang, T. SunP03-06 594 Yang, Fen Poster_session-03 261 Zhang, Wen SatM02-02 30
Wang, Tianjun Poster_session-28 388 Yang, Shuhua Poster_session-18 337 Zhang, Xiangming SunP02-05 557
Wang, Xingang Poster_session-14 316 Yang, Xue SatM02-02 30 Zhang, Xinxin SatE02-05 217
Wang, Xinrui Poster_session-34 418 Yang, Zongxiao SatM01 O, C Zhang, Yi SatM01-04 15
Wang, Xuelin Poster_session-26 380 SatM01-03 10 Zhang, Ying Poster_session-07 282
Wang, Yunxia SatM01-01 1 SatM01-04 15 Poster_session-08 286
Wang, Zhiming Poster_session-22 359 SatM01-05 20 Zhang, Yinong SatE03-03 233
Wang, Zhongkui SunP03-05 103 SatP01 CC Zhang, Yonghong Poster_session-24 370
Wang, Zhoufeng Poster_session-33 413 Poster_session-31 402 Zhang, Yunzhang Poster_session-33 413
Zhang, Zhengtao SunM03-02 485
Zhang, Zhi Poster_session-11 301
Zhao, Bonian Poster_session-12 306
Zhao, Hongpeng Poster_session-12 306
Zhao, Jianyu SatM03-05 75
Zhao, Qinjun SatM03-05 75
Zhao, Youlei Poster_session-25 375
Zheng, Ciyan SatE03-01 223
Zhong, Xiao SatE02-03 206
Zhou, Huiling SunM03-05 503
Zhou, Mengchu SatP01-01 79
SatP01-04 96
Zhou, Qi SatP02-01 108
Zhou, Qixian Poster_session-28 388
Zhou, Xiaoguang Poster_session C
SunM03-05 503
Zhou, Zhili Poster_session-30 397
Zhu, Hong SatE03-01 223
SunM03-01 479
Zhu, Zhanxia Poster_session-03 261
Zulati, Litifu Poster_session-02 255
Poster_session-04 267
Poster_session-21 353
Proceedings of the 2015 International Conference on
Advanced Mechatronic Systems, Beijing, China, August, 22-24, 2015
Cluster Analysis on the Service Oriented Alliance
Enterprise Manufacturing Resource

Yunxia Wang , Shenghai Qiu, Chengchong Gao , Jun Wei
Department of Mechanical Engineering
Nanjing Institute of Technology
Nanjing ,China
Wang-yunxia@njit.edu.cn, shenghai2000@njit.edu.cn,ccgao@njit.edu.cn, weijun_njit@163.com
AbstractTo alliance manufacturing enterprises, there are Generalized intelligent resources refer to all resources
some problems in resources such as different kinds, ununiform within the enterprise product life cycle, which is the
standards, high repeatability etc. Under cloud manufacturing application of artificial intelligence technology to resource
service platform, using cluster analysis method to classify aggregation, searching, matching and scheduling. According
intelligent resources of alliance enterprise was studied. The same to the different needs of users, resources can be fast searched
or similar resources are divided into one resources cluster. The and matched services efficiently; the manufacturing resources
uniqueness attribution of resources is solved. According to the have the characteristics of intelligent under the help of
cloud user needs, resources in a cluster not in all resources set are information technology, computer technology and other
searched and matched. Using the evaluation method of supports. Each enterprise classify resources according to use.
manufacturing dynamic capacity, optimal resources is provided. Resources can be divided into eight kinds, including service,
It can improve use ratio of the resources. Finally an instance was human, material, equipment, software, cooperation, logistics
verified.
and data[1]. Part classification is as shown in figure 1.
KeywordsCloud manufacturing; intelligent resources;
cluster analysis; resource cluster; manufacturing capacity
. INTRODUCTION
With the rapid development of information technology and
network technology, cloud manufacturing mode is gradually
moving towards the wisdom cloud manufacturing.
Manufacturing resources transform into intelligent
manufacturing resources (referred to as intelligent resources).
Intelligent resources not only inherit characteristics of the
traditional manufacturing resources, but also reflect the
characteristics of intelligence and service etc. Manufacturing
resources are numerous kinds, rich varieties and no standard in
classifying and describing to all enterprises. It leads to
Fig. 1 Classification of enterprise resources
resource semantic ambiguity, repetition; the same resource
Different resources have different characteristics and
representation is not consistent. Using cluster analysis method,
intelligent resource of alliance enterprise were aggregated and attributes, such as processing equipment attributes including
categorized. And the uniqueness attribution of resources is processing size, processing price, processing type and
processing precision. In the fierce market competition
judged. According to the different needs of cloud users,
dynamic manufacturing capability evaluation method was environment, the same industry or related enterprises will
form the enterprise alliance in the strategic objectives, through
used to achieve the optimal allocation of resources and
complementary and exchange, to obtain long-term competitive
services.
advantage in the market. There are different forms such as
. INTELLIGENT RESOURCES CLUSTER price alliance, logistics alliance, promotion alliance, and
product or service alliance. One of the most deep-seated
ANALYSIS METHOD alliances is to realize the service alliance, including resources
sharing, matching and restructuring. All manufacturing
A. Intelligent resource classification resources of alliance enterprise through layers of classification,
the same or similar resources are aggregated. The clustering
This research is sponsored by Ministry of Education, Humanities and Social process is shown in figure 2.
Sciences Project of China (No. 12YJCZH209, 12YJAZH151)
978-1-4673-7995-3/15/$31.00 2015
c IEEE 1
a) The clustering samples transform into feature
metrics matrix of Vk. Matrix description for:
V11k V12k V1km
% k k
%V21 V22 V2km
Vk V (O k , A k )
%
% k k
&%Vi1 Vi 2 Vimk #
b) Normalization
Due to the nature of different metrics, the different index
dimension cannot be compared, so it is necessary to normalize
the matrix. By using the average value function and the
Fig. 2 the cluster and service processing of alliance standard function was normalized to obtain matrix, which
enterprises resources consists of vij :
Because there is no uniform standard of enterprise m
resources, resource semantics may exist not uniqueness. So 1
using cluster analysis method to classify resources, the same
Vjm Vijm (1!10
c i 1
or similar resources are classified as a group and storage in
cloud manufacturing virtual resource pool. According to the Vijm
different needs of cloud users to search for resources in the vij m
(1!20
pool, and then manufacturing capacity of the selected V j
resources are evaluated. It will meet the requirements and the c) Determine the similarity matrix
strongest resources available to users in the form of services,
to achieve efficient use of resources and dynamic matching. There are a variety of methods to determine the similarity
coefficient, such as Euclidean distance method, integral
B. THE APPLICATION OF CLUSTER ANALYSIS
method, maximum minimum method, and minimum
METHOD IN INTELLIGENT RESOURCES
geometric average method. The similarity coefficient rij is
Cluster analysis is to classify things according to certain obtained by maximum minimum method.
rules, the method used in resources mainly include three
m m
steps: classification, determine the metrics and clustering (vik v jk ) min(vik , v jk )
analysis[2]. According to use classification, all kinds of
rij k 1 k 1 (1!30
resources are divided in detail hierarchically. Such as m m
equipment resources according to the processing methods (vik ) v jk ) max(vik , v jk )
can be divided into turning, milling, and planning, drilling, k 1 k 1
boring and other resources groups. Common attributes of After the above calculation, the similarity matrix is
group are the metrics index, the same or similar resources composed of n resource collection objects, as shown below:
of the alliance enterprises were classified by clustering r11 r12 r1n
algorithm. The basic definition is as follows:
1) The classification of resources r21 r22 r2 n
R (rij ) n+n
Select a kind of resource as clustering samples, and
defines the resource set Rs= {Rs1, Rs2,,Rsn}, where n is
rn1 rn 2 rnn
the number of resources object. According to the
characteristics and attributes of resources, the elements of The matrix is reflexive, symmetric and transitive etc...
Rs are divided into groups O= {O1, O2,, Ok}; the number d) Clustering analysis
of resources is qi, then According to the similarity matrix and cluster size
k
parameters ( is real, and . ,0,1 ), resources are clustered
qi n (2!/0 into several groups. The result has a great relationship with the
i 1 value of , too large or too small will make the results
2) Determine the index meaningless.
Different objects have different metrics index. According e) Attribution of uniqueness
to the specific characteristics of resources determine the After the clustering, the same resource may exist in two or
common features for metrics. The index should follow certain more than two groups, the result are not unique. Therefore,
criteria, such as key features, quantitative characteristics. The attributions of uniqueness should be determined. The average
index feature vector Ak corresponds with the group Ok . A value method and cluster analysis method are combined to
mathematical description model is: determine samples uniqueness of each cluster resources, until
Ak { A1k , A2k ,..., A pk } there are no public resources.
3) Clustering analysis
2
manufacturing resources, which generate group O:
. EVALUATION OF INTELLIGENT
Rs={Rs1,Rs2,,Rs8}={MK215,MK2110,MK2620,MK211
MANUFACTURING RESOURCES CAPABILITY 5,MK2120B,MK2150,MK2110,MK2860}
The manufacturing capability of cloud manufacturing Select 7 static capabilities such as the maximum and
mode is the ability to manufacture configuration and minimum grinding diameter, grinding depth, machining
integration of resources, reflects the level of the precision and total power as clustering metric index, the
manufacturing enterprises to complete a task and target[3]. formation of an ordered set:
Such as design capability, manufacturing capability, A= {A1,A2,,A7}
simulation capability etc... According to the characteristics of The measurement index of each sample is mapping Eigen
manufacturing resources, manufacturing capabilities are value matrix elements in the Vkij, the specific value as shown
divided into static capabilities and dynamic capabilities. Static in table 1.
capability is the inherent attribute of the manufacturing Using the formula (2-1) and (2-2), the matrix has been
resources, such as equipment processing size, machining normalized:
accuracy; dynamic capability of manufacturing resources is 0.113 0.211 0.281 0.301 0.410 0.8 1.013
influenced by environmental factors and generated by some %0.282 0.421 0.439 0.635 0.615 0.8 1.266
dynamic information. Such as equipment operators, state %
%0.845 0.842 2.632 2.540 2.051 1.6 0.405
information, processing price and other factors. For the same %
manufacturing resource alliance, static manufacturing T % 0.282 0.632 0.351 0.952 0.821 0.8 1.266
capability as metrics of clustering analysis, cluster resource v
% 0.563 0.842 0.526 0.635 0.821 0.8 1.266
into groups. Due to various aspects of enterprises scale, %
management level and other factors, the dynamic %2.817 2.105 1.579 0.952 1.026 1.6 1.013
manufacturing capability of the same resources is not the same. %0.282 0.421 0.439 0.635 0.615 0.8 1.266
Therefore, in the face of cloud users demand, in resource %
search and matching, to fully consider the dynamic %&2.817 2.526 1.754 1.270 1.641 0.8 0.506#
manufacturing capacity and evaluate, select the optimal
allocation of resources. The application of AHP and fuzzy The maximum and minimum value method determines the
mathematics to evaluate the dynamic manufacturing resources similarity coefficient of symmetric matrix:
and manufacturing capabilities, the specific steps are as 1 0.702 0.219 0.613 0.574 0.282 0.697 0.222
follows. % 1 0.305 0.842 0.818 0.371 1 0.306
%
1) Determine the dynamic manufacturing capability % 1 0.36 0.39 0.491 0.305 0.515
measurement B %
% 1 0.83 0.428 0.842 0.36
The index feature vector Bk corresponds with the group Ok, R
% 1 0.458 0.818 0.389
mathematical description: %
% 1 0.371 0.775
Bk {B1k , B k2 ,..., B kp } % 1 0.306
The same resource capability index of different enterprises %
&% 1 #
is normalized, as mentioned before. The index such as
Boolean type, state type can not be described quantitatively,
use {0, 1} to deal with. For example, if the equipment is idle According to symmetric coefficient matrix and cluster size
for 1, processing is for 0. parameters , resources were classified. Because the
2) The application of AHP to determine the weight of clustering parameter is larger, clustering is fine, and vice versa.
index value.
p
So the average value of similarity R was selected as , that
{1 2 p }, f 1 (2!/0 is:
f 1 1 n n
3) Calculation of similar resources dynamic

R ( rij ) (3!/0
n2 i 1 j 1
manufacturing ability level
Was calculated to be 0.581, get the similar triangle
(B p )B p (2!10 matrix:
According to the dynamic manufacturing capability level, 1 1 0 1 0 0 1 0
% 1 0 1 1 0 1 0
the optimal resources are provided to cloud users. %
IV. CASE ANALYSIS % 1 0 0 0 0 0
%
% 1 1 0 1 0
Manufacturing resources of three alliance enterprises of a r
certain industry were selected. CNC internal grinder % 1 0 1 0
%
equipment will be analyzed, grinding machine information as % 1 0 1
shown in table 1: % 1 0
%
An ordered set of Rs is composed of a sample of &% 1#
3
Table . CNC internal grinder information of alliance enterprises
Enterprise Type Min Max Grinding Maching precision(m) Total
grinding grinding depth power
diamater diamater mm Roundness Cylindricity Roughness kw
mm mm
Alliance MK215 6 50 80 1.2 2 0.4 20

Enterprise 1 MK2110 15 100 125 2 3 0.4 25
MK2620 45 200 750 8 10 0.8 8
Alliance MK2115 15 150 100 3 4 0.4 25
Enterprise 2 MK2120B 30 200 150 2 4 0.4 25
MK2150 150 500 450 3 5 0.8 20
Alliance MK2110 15 100 125 2 3 0.4 25
Enterprise 3 MK2860 150 600 500 4 8 0.4 10
Therefore the sample space can be divided into 4 clusters: Through the evaluation of resource dynamic manufacturing
C1= {Rs1, Rs2, Rs4,Rs7}, C2= {Rs2, Rs5, Rs7}, C3= {Rs3}, C4= capability in the cluster resources, optimal allocation of
{Rs6,Rs8}. There are public elements Rs2 and Rs7 in cluster C1, resources was realized.
C2, which need to redetermine the uniqueness of ownership.
V Conclusions
C1, C2 are made as the sample, and the cores C1, C2 index
value are determined. The specified metric average value was The intelligent of resources reflected has high integration
defined as the core value: and clustering ability, can fast searching and matching
C1= {12.75, 100,107.5, 2.05, 3, 0.4, 23.75} according to user needs. The correct and effective resource
C2= {20,133.33, 133.33, 2, 3.33, 0.4, 25} classification can improve the use ratio of resources. The
Common elements Rs2 and Rs7 with C1 and C2 form a clustering analysis method is applied to the classification of
cluster of new samples, the samples using the clustering intelligent resources. The ownership of resources and
method analysis again, obtain the similarity matrix: uniqueness is judged. Dynamic manufacturing ability will be
1 1 0.948 0.8 evaluated in the same resource. And the most matching
% 1 0.948 0.8 service resources are selected. The method can change the
% original search strategy, to reduce the search space, greatly
s improve the efficiency for better personalized needs service.
% 1 0.761
%
& 1 #
ACKNOWLEDGMENT
According to the similarity matrix calculate , so is This research is sponsored by Ministry of Education,
0.907. The new clustering samples can be divided into two Humanities and Social Sciences Project of China (No.
clusters: {Rs2,Rs7, C1} and {C2}, then the uniquessness was 12YJCZH209, 12YJAZH151)
judged. There are no public resources in a cluster of elements. REFERENCES
Finally the resources sample classification was get: [1] Yunxia Wang, Shenghai Qiu, Zhiliang Wang. A new manufacturing
C1={Rs1, Rs2, Rs4, Rs7}={MK215,MK2110, MK2115, model for servitization-cloud manufacturing overview[J].Modern
MK2110}, C2={Rs5}={MK2120B}, C3={Rs3}={MK2620}, Manufacturing Engineering,2013(3):124-128.
[2] Huanmin Xu, Minghai Yuan. The research and application of reverse
C4={Rs6,Rs8}={MK2150, MK2860}. When the cloud user chain decision logic method for process planning[M]. Beijing: Beijing
request resources, according to the needs of the user Institute of Technology Press,2011.
information, the search space is reduced to a cluster of [3] Yongliang Luo, Lin Zhang, Fei Tao,et al. Key Technologies of
resources, can greatly improve the search efficiency. When Manufacturing Capability M Deling in cloud Manufacturing
there are multiple identical or similar resources in a cluster, Mode[J].Computer Integrated Manufacturing
System,2012,18(7):1357-1367.
4
Performance and Exhaust Emissions of a

Turbocharged Common Rail
DI Diesel Engine Fueled with Alcohol
Bin Xu, Yibin Liu 1, Jian Wu, Chuang Li, Weiwei Shang, Zhihao Ma
College of Vehicle and Transportation Engineering
Henan University of Science and Technology
Luoyang, China
1
lyb_900909@163.com
AbstractThree kinds of alcohol fuels and diesel were 3) High evaporative cooling, which results in a cooler
blended and combusted in an electronic control high-pressure intake process and compression stroke. This raises the
common rail turbocharged DI diesel engine respectively. Without volumetric efficiency of the engine and reduces the required
any modifications in the original engine structure, the work input in the compression stroke.
combustion characteristics and emissions of alcohol-diesel fuel
were investigated. It shows that the peak heat release rate and the 4) High laminar flame propagation speed, which may make
brake specific fuel consumption increases with the increase of combustion process finish earlier, thus improve engine thermal
mixing ratio. At the same blending ratio, the peak heat release efficiency [7-9].
rate of methanol-diesel is the highest, but the brake specific fuel
consumption is lower; N-butanol/diesel has the lowest CO and Significant amount research has been carried out on the
HC emissions but has the highest NOX emissions. NOX emissions performance and emission characteristics of diesel engines
of methanol-diesel and ethanol-diesel are approximated, but CO fuelled with alcoholdiesel blends. Najafi and Yusaf.[10]
and HC emissions of ethanol-diesel is the highest. In examined the consequences of using methanoldiesel fuel
consideration of the fuel economy and emission performance, blends in diesel engine at mixing ratios of 10:90, 20:80 and
methanol-diesel mixing fuel is better. 30:70.The output power and torque of neat diesel fuel was
found to be lower than those of methanoldiesel blends. The
Keywordsalcohol fuel, combustion characteristics, common brake specific fuel consumption (BSFC) didnt vary
rail engine, emissions. significantly, but the lowest was associated with the 30%
methanol blend; Huang et al. [11] studied the combustion
I. INTRODUCTION behavior of a CI engine fueled with dieselmethanol blends
under various fuel delivery advance angles. The heat release
Diesel engines are the most common internal combustion rate in the premixed burning phase increased and the
engines that are widely used in various sectors such as combustion duration of the diffusive burning phase both
agriculture, transportation and industry, due to their excellent decreased as the methanol mass fraction in the dieselmethanol
drivability and fuel economy. They are expected to become blends increased.
more widespread in the foreseeable future. The increasing
concern about the energy demand, depleting oil reserves and Koganti et al. [12] studied the effect of a 5% ethanol diesel
the instability of the prices of fossil fuels, together with fuel blend in a three cylinder, four-stroke DI tractor engine.CO
environmental and health problems related to atmospheric and PM emissions were reduced, but NOx emissions were
pollution, are impelling the search of alternative cleaner fuels increased. Further, slight drops in engine power and torque
that can alleviate such problems. Among the different were noted with a corresponding loss of fuel economy.
oxygenated compounds that have been studied in order to be Rakopoulos et al. [13] studied the effects of ethanol blends (5%
used as substitutes and additives for conventional fuels, and 10% by volume) compared with conventional diesel fuel,
alcohols such as methanol, ethanol and butanol are competitive on the performance and emissions of a turbocharged, DI diesel
alternative fuels. [1-6] engine. CO and NOx emissions decreased, while THC
emissions increased with the use of ethanol. BSFC increased
The advantages of alcohol as alternative fuel include: and BTE decreased as the amount of ethanol increased.
1) Low viscosity compared to diesel fuel, therefore it can Rakopoulos et al. [14] studied the effects of n-butanol (8%,
easily be injected, atomized and mixed with air. 16% and24%)diesel fuel blends on the performance and
2) Less emission because of its high stoichiometric fuelair emissions of a high speed DI diesel engine operating at a speed
ratio, high oxygen content, high H/C ratio and low sulfur of 2000 rpm under three different loads (low, medium and
content. high). Smoke density was significantly reduced while NOx and
978-1-4673-7995-3/15/$31.00 2015
c IEEE 5
CO emissions were slightly reduced with the use of the Tab. II. The properties of the test fuels of diesel, methanol,
butanoldiesel fuel blends compared to the neat diesel fuel. ethanol and n-butanol used in this experiment are presented in
However, the HC emissions increased with the use of the Table . The fuel M10, M20, E10, E20, N10, N20 and D100
butanoldiesel fuel blends. As the percentage of butanol in the are used in the experiment respectively. Load characteristic
blends increased, marginally higher specific fuel consumption test of the seven kinds of fuels are taken at the 2000r/min and
was observed with a correspondingly slight increase in BTE. 3000r/min without changing the original engine structure,
Dogan [15] investigated the performance and exhaust emissions
comparatively analyze the economy and emission
of a single cylinder, four-stroke, naturally aspirated DI diesel
performance data under different operating conditions,
engine at a constant engine speed (2,600 rpm) under four
different engine loads using n-butanol (5%, 10%, 15% and comparison the effect of different fuel blending ratio and
20%) blended diesel fuel, and found that BSFC and BTE were alcohol on combustion and emissions of diesel engine.
slightly increased with increasing n-butanol content in fuel
blends while exhaust gas temperature, NOx, smoke opacity and
TABLE III. COMPARISON OF VARIOUS PROPERTIES OF METHANOL,
CO emissions were reduced. However, HC emissions were ETHANOL AND BUTANOL WITH THOSE OF DIESEL FUELS. [1]
increased.
Property Methanol Ethanol Butanol Diesel
The most common methods for achieving dual fuel Density at20 C (g/ml) 0.7866 0.7851 0.8098 0.829
operation are alcoholdiesel fuel blends, alcoholdiesel fuel Boiling point,(C) 65 78 117-118 187-343
emulsions, dual injection, and alcohol fumigation [1]. This study Cetane no. 3.8 5-8 25 40-55
use alcohol in diesel engine is in the form of blends, Lower heating 20.1 26.9 33.1 42.8
value(MJ/kg)
investigates and compares the combustion and emission
Higher heating 22.7 29.7 36.6 44.8
performance of diesel engine when mixing methanol, ethanol value(MJ/kg)
and butanol respectively. Freezing point,(C) -97 -114 -89.3 -40-34
Flash point, (C) 12 13 35 74
Auto ignition temp (C) 463 423 397 235
TABLE I. MAIN TECHNICAL SPECIFICATIONS OF THE TEST ENGINE
Heat of 1.2 0.92 0.43 0.23-0.6
Description Specification vaporization(MJ/kg)
Engine model GW4D20
Cylinder 4
Bore 83.1mm
Stroke 92mm III. RESULTS AND DISCUSSION
Displacement 1.996L
Compression ratio 16.71 A. Combustion characteristics
Rated output & speed 110kW&4000r/min Fig.1 shows the variations of combustion heat release rate
Injection system Common rail injection system
for different alcohol ratios at 2000 rmin-1/270 Nm and 3000
Maximum torque & speed 310Nxm&1800~2800r/min
Maximum injection pressure 1600bar rmin-1/270 Nm respectively. It can be observed from Fig. 1
that there are two wave crests in heat release rate curves, both
of the peak values decrease with the increase of revolving
speed. This is because with the increase of revolving speed,
II. TEST FUEL AND LABORATORY EQUIPMENT time through the same crank shaft angle decreases, reduce the
Fuels used in test are conventional 0# diesel, analysis-level amount of combustible mixed gas.
anhydrous methanol, analysis-level anhydrous ethanol and n- Under the same operating condition and mixing ratio, heat
butyl alcohol. On the basis of diesel oil, configure the volume release rate peak value of methanol-diesel fuel increases
content of 10% and 20% mixed fuel respectively. M10 and significantly, ethanol-diesel fuel is the next, n-butanol/diesel
M20 mean methanol-diesel, E10 and E20 mean ethanol-diesel, mixed fuel is closed to pure diesel relatively. This can be
N10 and N20 mean n-butanol/diesel, D100 means pure diesel. attributed to the influence of evaporation latent heat, reduce the
temperature in cylinder and extend the ignition delay period, at
the same time, the low cetane number of alcohol fuel extends
TABLE II. THE MAIN MEASURE EQUIPMENT AND INSTRUMENTS the ignition delay period further, the amount of combustible
Exhaust Fuel Combustion mixed gas increases, leading to the increasing of heat release
Device Dynamometer analysis consumption analyzer rate peak value. Moreover, the combustion heat release rate
name system meter peak value of methanol-diesel is the highest.
FC2000 of Horiba FC2210Z of
Model Hunan MEXA- Hunan Kistler When in the same operating condition, the peak value of
instrument 7100D instrument heat release rate increases with the increase of the mixing ratio
when fueled with diesel - alcohol mixed fuel. This result can be
Experiments for pure diesel and alcohol-diesel fuel blends explained because the combined action of low cetane number,
were conducted in a 4 cylinder, 4 stroke, water-cooled, high evaporation latent heat value and oxygen.
turbocharged, common-rail, direct injection diesel engine.
Main technical specifications of the engine are given in Table
I. The main measure equipment and instruments are shown in
6
The brake specific fuel consumption of mixed fuel
increases with the increase of the mixing ratio of alcohol fuel in
the same operating condition. When the speed and mixing ratio
are constant, brake specific fuel consumption of ethanol-diesel
fuel is higher, which of methanol-diesel is lower.
(a) 2000 rmin-1/270 Nm
(a) 2000r/min
(b) 3000 rmin-1/270 Nm
Fig. 1. The comparison of the heat release rate for various alcohol-diesel
B. Brake specific fuel consumption

The characteristic curves of brake specific fuel
consumption changing with the load at 2000rpm and 3000rpm, (b) 3000r/min
as shown in Fig.2. When at the same speed, the brake specific
fuel consumption decreases with the increase of load and gets Fig. 2. Brake specific fuel consumption as a function of load for various
to be the same. Firstly, because of the low temperature in alcohol-diesel at 2000rpm and 3000rpm
cylinder when operates in medium or small load, and the high
evaporation latent heat value reduces the temperature further,
C. CO Emission.
so the combustion efficiency reduces. Secondly, calorific value
of alcohol fuel is lower than diesel, which rises the fuel Fig.3. shows the trends of CO emissions as a function of
consumption of diesel-alcohol fuel [7]. When in high load, the load for the various alcohol-diesel fuel blends at 2000rpm and
temperature in cylinder rises, the influence of evaporation 3000rpm. CO emission increases significantly with the increase
latent heat is subdued, at the same time, high oxygen content of of the mixing ratio of alcohol in medium or small load, but
alcohol fuel promotes the combustion, thus reduce the brake decreases with the increase of the load and gets to be the same.
specific fuel consumption of the mixed fuel. When operating condition and mixing ratio are constant, CO
7
emission of ethanol-diesel is the highest, CO emission of n- D. HC Emission.
butanol/diesel is the lowest. As with CO emissions, unburned HC emissions are caused
This is, perhaps, because in medium or small load, the because of incomplete combustion. As combustion improves,
lower cylinder temperature and evaporation latent heat of less unburned HC emissions are expected. Fig.4 shows the HC
alcohol fuel, inhibiting the oxidation of CO, together with emission curves of revolving speed at 2000r/min and
evaporation latent heat reduces the cylinder temperature, 3000r/min. When engine operates in medium or small load,
leading to the quenching layer in cylinder, CO emission HC emission increases significantly with the increase of the
increases. Besides, the incomplete combustion of alcohol fuel mixing ratio of alcohol, but decreases with the increase of the
can also increase CO emission. With the load increases, the load and gets to be the same. When operating condition and
cylinder temperature also increases, the effect of evaporation ratio are constant, HC emission of ethanol-diesel is the
latent heat of alcohol fuel is mitigated, and the oxygen of highest, which of n-butanol/diesel is the lowest. Because of in
alcohol fuel promotes combustion process, leads to reducing medium or small load, the effect of evaporation latent heat on
the CO emission. cylinder temperature is obvious relatively, this makes more
quenching layer, leading to more HC. As the load ascends,
better combustion occurs and the cylinder temperature also
ascends, the effect of evaporation latent heat of alcohol fuel is
mitigated, besides, the oxygen of alcohol fuel reduce the thick
area of mixture in cylinder, leads to reducing HC emission.
(a) 2000r/min
(a) 2000r/min
(b) 3000r/min
Fig. 3. CO emission as a function of load for various alcohol-diesel at (b) 3000r/min

2000rpm and 3000rpm
Fig. 4. HC emission as a function of load for various alcohol-diesel at
2000rpm and 3000rpm
8
E. NOx Emission. IV. CONCLUSIONS
NOX emission increased as the load increased for all the In this work, alcohols (methanol, ethanol and n-butanol) as
cases at 2000rpm and 3000rpm, as expected, shown in Fig.5. additives to diesel were investigated in terms of performance
In medium or small load, NOX emission descends with ascend and emission characteristics of a DI diesel engine running on
of the mixing ratio of alcohol. When working condition and several fuel blends. Under the same operating condition and
ratio are constant, NOX emission of n-butanol/diesel mixed alcohol fuel, the heat release rate peak value increases with the
fuel is the highest and gets to be the same with pure diesel, the increase of the mixing ratio. At the constant mixing ratio, the
NOX emission difference between methanol-diesel and combustion heat release rate peak value of methanol-diesel is
ethanol-diesel is small, but the NOx emission of all kinds of the highest. The brake specific fuel consumption decreases
blended fuels are lower than n-butanol/diesel. Because of the with the increase of load but increases with the increase of the
cetane number and evaporation latent heat, extending the mixing ratio of alcohol fuel. At the same speed and mixing
ratio, brake specific fuel consumption of ethanol-diesel fuel is
ignition delay period, premixed combustion increases, the
higher, which of methanol-diesel is lower; When the operating
combustion temperature rises, leading to increase the NOX
condition and fuel ratio are constant, CO and HC emission of
emission. On the other hand, the viscosity, density and surface ethanol-diesel is the highest, n-butanol/diesel is the lowest.
tension of alcohol fuel are small relatively, this accelerates NOX emission of n-butanol/diesel is the highest, NOX emission
fuel combustion and diffusion speed and shorten the difference between methanol-diesel and ethanol-diesel is small,
combustion duration, which shorten the high temperature but both of them are lower than n-butanol/diesel.
duration, leads to decreasing NOX emission.
ACKNOWLEDGMENT
The work was supported by Henan province science and
technology projects (122102210055).
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[1] Satish Kumar, Jae Hyun Cho. Advances in dieselalcohol blends and
their effects on the performance and emissions of diesel engines.
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diesel blended fuels in diesel engine. In: Proceedings of the fourth
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applications. Abu Dhabi, UAE; 2009.p.15.
[11] Huang ZH, Lu HB. Combustion behaviors of a compression ignition
engine fuelled with diesel/methanol blends under various fuel delivery
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[12] Koganti RB, Maheshwari M, et al. Performance evaluation of ethanol
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on the engine performance and emissions of heavy duty DI diesel
engine. Energy Conversion and Management 2008; 49 (11): 315562.
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(b) 3000r/min
[15] Dogan O. The influence of n-butanol/diesel fuel blends utilization on a
Fig. 5. NOx emission as a function of load for various alcohol-diesel at small diesel engine performance and emissions. Fuel2011; 90(7): 2467-
2000rpm and 3000rpm 72
9
Design and Simulation of Passive Filter Based on

Fundamental Magnetic Flux Compensation
Qun Chen*,1,2 and Zong-Xiao Yang1
1
Information Engineering School, Henan University of Science and Technology, Luoyang, China
2
College of Physics & Electronic Information, Luoyang Normal University, Luoyang, China
*Corresponding author Email: chenqun918@126.com
AbstractThe harmonic problem becomes more and more transformer is chosen and its primary winding is connected in
serious in power grid, passive filter is one of the effective way to series between the power source and harmonic-producing
filter harmonic. This paper presented the design and simulation loads. The fundamental current instead of the harmonic
of passive filter based on the theory of fundamental magnetic flux currents of the transformers primary winding is detected and
compensation (FMFC). The primary winding of transformer is in followed by applying a voltage-source PWM converter so as
series between the passive filter and the power supply, in the
to produce a compensating fundamental current. The
primary winding of series transformer, the fundamental current
component of system was detected and tracked to produce a compensating fundamental current is injected to the secondary
fundamental compensation current by inverter, which was winding of the series transformer. When the injected
injected into the secondary winding, when the injected fundamental current and power source fundamental current
fundamental current and the fundamental current component of component satisfy the FMFC condition, the main magnetic
the system satisfied the FMFC, the system fundamental current flux of the series transformer to fundamental can be
could pass transformer successfully, but most of the harmonic compensated to zero. Then the series transformer exhibits very
current was forced to flow into passive filter, thus achieved the low primary leakage impedance at the fundamental frequency
purpose of harmonic isolation, and made most of the harmonic and naturally magnetizing impedance to harmonics so that the
current flow into passive filter. Compared with the using of
harmonic currents are forced to flow into the passive filter
passive filter singly, it improved the efficiency of passive filter.
The validity of the new method of filtering characteristics was branches. As a result, the series transformer improves the
verified by simulation through Matlab. The simulation results source impedance to harmonics rather than fundamental so as
show that this method can filter out harmonic more efficiency in to really act as harmonic isolator, [5, 6] and makes most of the
power systems when the waveform distortion is serious. harmonic current of system flow into passive filter, thus
improving the efficiency of passive filter further. Using
Keywordsfundamental magnetic flux compensation; passive Matlab to simulate passive filter singly and based on the
filter; series transformer; harmonic; inverter FMFC passive filter respectively, the simulation results show
that this design has a better filtering characteristics when
I. INTRODUCTION harmonic is serious.
The wide application of power electronic devices makes
II. SYSTEM CONFIGURATION AND FUNDAMENTAL
the grid harmonic problem become more and more serious.
PRINCIPLE
Although active filter overcomes the inherent shortcomings of
passive filter, has realized the dynamic compensation of The system configuration is shown in Fig.1. Ls, Rs and Us
harmonic and reactive power in the power grid, which is an represent the source impedance and the source voltage,
effective method for comprehensive treatment of electrical respectively. The passive filters consisting of third-, fifth-and
energy [1]. However, installation of active filter need to seventh-tuned LC filters, which play the main role of filtering,
increase the equipment investment and operation cost, and the and a high-pass filter branch which is added to filer high times
harmonics, are shunted with a harmonic-producing load. The
higher harmonic amplitude need to suppress, the higher
primary winding of a transformer is inserted in series between
investment and running costs bring. Passive filter can only the power utility and the harmonic-producing load, it will
suppress a specific one or some frequency band harmonic, greatly improve the impedance of the source side to harmonic
although can't realize dynamic compensation, its simple current when the transformer satisfy the principle of the
structure, mature run maintenance experience, low cost of fundamental magnetic flux compensation, while the secondary
one-time investment and operation maintenance, large winding is connected with a voltage-source PWM converter,
capacity and easy to implement, make most of practical which is used to produce fundamental current.
engineering application still use it[2-4]. But it can't meet the
national standard requirements only using passive filter when III. LOAD MODEL AND DESIGN OF PASSIVE FILTER
the waveform distortion is very serious. In this paper, it
presents one method of passive filter combined fundamental The high-power of power electronic equipment is given
magnetic flux compensation (FMFC) of transformer to priority to three-phase circuit at present, but there is no lack of
improve the filtering effect of passive filter. A series single-phase rectifier equipment while is rich in harmonic
978-1-4673-7995-3/15/$31.00 2015
c IEEE 10
content. For the sake of simplicity, in this paper it designs a Table. Harmonic content percentage of system current%
model of single phase bridge rectifier with resistance load as
fundamental
an example for system modeling analysis. wave 3 5 7 9 11 13
ES 100 28.99 16.47 8.17 7.61 6.49 4.59
LS RS
Harmonic
source Known from the analysis of the above, the 3th, 5th, 7th
T1 K=1:1 C3 C5 C7 CH ih harmonic content is large, but the 9th or more times harmonic
content is low. According to the characteristics of tuned filter
L7
APF fundamental L3 L5
LH
and high-pass filter, harmonic which is high content can be
wave flux RH filtered by a single tuned filter, while higher harmonic which
compensation R3 R5 R7
is low content can be filtered by a group of high-pass filter.
Because the capacitor of passive filter has the ability of
Fig.1. The principle diagram of system reactive power compensation, it can compensate the reactive
power of the system through reasonable design, it also can
The single-phase model designed for this system is shown improve the power factor of the system. In this paper, passive
in Fig.2. The sources of system is 6000/ 3 V (Us), the filter parameter design adopts a more economic method of
equivalent resistance and equivalent reactance of system is reactive power capacity compensation [8, 9]. According to this
0.1 (Rs), 0.05mH (Ls) respectively. The source of harmonic kind of design method to calculate the 3th, 5th, 7th for each
is single-phase bridge rectifier with the inductive load when single tuned filter parameters is as follows: C3=43.68F,
the control angle is 60e L3=0.02579H, R3=0.30378; C5=47.75F, L5=0.008496H,
R5=0.2223; C7=8.8F, L7=0.02352H, R7=0.86166. Each
The current waveform of system and its FFT spectrum
parameter value of second-order high-pass filter is: CH=160F,
analysis diagram are shown in Fig.3 through simulation.
LH=0.3913mH, RH=2.2116.
VT1 VT3
us
The system current waveform and FFT spectrum analysis
Ls Rs are shown in Fig.4 when passive filter invest into the system
ZL
only. The system power factor become 0.98 (cos=0.98) after
reactive power compensation by the capacitor of passive filter,
VT2 VT4
which has met the demand of power sector for this type of
load. The distortion of system current rate falls to 23.1% from
36.7%, the distortion rate is relatively large compared with the
Fig.2. The single phase model of system
national standard requirement for harmonic distortion rat
although it has decreased.
(a) System current waveform

(a) System current waveform
(b) FFT spectrum analysis

Fig.3. The system current wave and ite spectrum analysis (b) FFT spectrum analysis of system current waveform
System current distortion rate is 36.7% (THDi) known Fig.4. System current and its FFT analysis when PF is added
from figure 3.The waveform distortion is serious and its
content of every harmonic is shown in Table . The amplitude IV. THE PRINCIPLE OF FMFC AND REALIZATION
of fundamental wave is 404A, the amplitude of 3th, 5th and 7th Known from the analysis of above, the system has meet
harmonic current is 117A, 66.63A and 33.05A respectively the requirements of power factor through reactive power
which are the high content of harmonic current. The power compensation of passive filter, but the harmonic distortion rate
factor of system is 0.867 (cos=0.867) which is below the is relatively large, it cannot meet the requirements of national
power sector demand for this type of load (generally is 0.9 standard requirement for harmonic distortion rate. In this
0.95) [7]. design harmonic magnetic flux compensation theory is used to
11
isolate harmonic from system, thus improve the efficiency of
passive filter.
I1 I 2 / k 0 (7)
Then the whole circuit is equivalent to the circumstance of

A. The Compensation Principle[11] m=1 in [10], fundamental wave magnetic potential in
According to the principle of magnetic flux controllable transformer core is
transformer [10], the transformer primary winding AX is in
series between the power system and harmonic source, W1 I 1 W2 I 2 0 (8)
transformer secondary winding ax connects to the output of
active inverter. The series transformer and its T-shape Here (7), (8) is the condition of the fundamental magnetic
equivalent circuit show in Fig.5. The current of primary flux compensation, then (5) and (6) will simplify into
winding is the sum of fundamental wave current and nth
harmonic current, namely i1=i1(1)+i1(h). The injected U1 r1 jZ L11 kM I 1 (9)
fundamental current i2 (i2=i2(1)= ki1(1)) into the secondary

winding with the fundamental current component of the power U 2 r2 jZ L22 M / k I 2 = I 2 r2 jx2 (10)
utility are the same on frequency and inversely in phase. For
the fundamental and harmonics, there are two cases in terms From terminals AX and ax, the equivalent impedance of
of the law of superposition. the transformer is derived
1) For the fundamental:
U1
1
r1 jZ L11 kM Z1
1
For the fundamental, from the transformer circuit, we can Z AX
r1 jx1 (11)
obtain the voltage equations as follows. I1

U1 r1 jZ L11 I 1 jZM I 2 (1)
Z ax 1

U2
r2 jx2 Z 2
1
(12)

I2
U 2 r2 jZ L22 I 2 jZM I 1 (2)
Then the equivalent impedance of the secondary winding
Here, L11 and L22 are self-inductance of primary and secondary referred to primary winding is
winding respectively; M is mutual inductance between the ' '
primary and secondary winding; Z is fundamental angular
frequency.
Z ax'
1
U 2 / I 2 r jx
2
' '
2 Z 2'
1 (13)
Here, Z1(1) is the fundamental leakage impedance of the

primary, the prime denotes referred quantities of secondary
winding to primary winding. The primary and secondary
impedance (11) and (13) suggest the equivalent circuit of the
series transformer to the fundamental shown in Fig.6.
(1)
I1 r1 x1 x2' r2' '
I2
A a
Fig.5. Series transformer and T-shape equivalent circuit
Equations (1) and (2) can be changed into (1)

U1

U '(1)
2
U1 r1 jZ L11 kM I 1 jZkM ( I 1 I 2 / k ) (3)

X x

U 2 r2 jZ L22 M / k I 2 jZ M ( I 1 I 2 / k ) (4) Fig.6. The fundamental equivalent circuit
2) For nth-order harmonic:

Further, equations (3) and (4) can be changed into

Since only a fundamental current is injected to the
U1 r1 jZ Ls1 I 1 jZkM (I 1 I 2 / k ) (5) secondary winding of the transformer, i2doesnt include any
order harmonic besides the fundamental current, that is to say,
i2(n)=0, thus the whole circuit is equivalent to the circumstance
U 2 r2 jZ Ls 2 I 2 jZM (I 1 I 2 / k ) (6)
of m = 0 in [10], the harmonic voltage of the transformer
Here, Ls1, Ls2 are the leakage inductance of primary primary winding is:
winding and secondary winding, respectively. Let ZLs1=x1, (n) (n) ( n)
ZLs2=x2, x1 and x2 represent the fundamental leakage inductive U1 r1 jnZ L11 kM I 1 jnZ kM I 1
reactance of the primary and secondary winding, respectively. (n) (n)
(14)
jZkM=Z1(1), Z1(1) is the fundamental magnetizing impedance of = r1 jnx1 I 1 jnxm I 1
the transformer.
The nth harmonic impedance appears to the follow
If the injected fundamental current i2 satisfies
equation from the terminals AX.
12
(n) when the load and system parameter are change.
U1
Z (n)
AX Z ( n)
m (n)
r1 jnx1 jnxm | nZ
(1)
m
(15) Distortion Fundamental
currents costt LPF current i1(1)
I1 costt
sint
nt
sint
nt LPF
Here, Zm(1) is the excitation impedance of fundamental
wave. According to (14) and (15), the equivalent circuit of the
transformer to the nth-order harmonic can be represented by u costt
s sint
nt
PLL
Fig.7.
(n)
I1 r1 n x1 Fig.8. Fundamental current detection diagram based on the principle of phase
A discriminator
(n) n xm
U1
X
Fig.7. The harmonic equivalent circuit.
Known from the analysis of the above, as long as the

inverter tracks to the fundamental current of primary winding
i1(1) , injects the compensation fundamental current i2(1) into
secondary winding of transformer, and meets the condition of
fundamental magnetic flux compensation of the equation (7)
and (8), then the main magnetic flux fundamental wave is Fig.9. Distortion current waveform of system (up) and fundamental current
waveform detected (down)
close to zero. It impedance appears to be a low-impedance of
Z1(1) for fundamental wave from the view of terminal AX, but
for the nth harmonic, it appears to be a high-impedance of
nZm(1).
Apply this principle to the design, transformer is in series
between the passive filter and the power supply, the
fundamental wave presents to be a leakage impedance which
approximate to zero for transformer primary winding, but for (a)
the harmonic it appears to be a high excitation impedance,
thus improve the harmonic impedance to the whole system, so
it attains the aim of harmonic current isolation, forces more
and more harmonic current flow into passive filter, and
improve the efficiency of passive filter further.
B. The Realization of FMFC

In order to realize the fundamental magnetic flux (b)
compensation of series transformer in this design, it should
detect the fundamental wave current component from
distortion current firstly, and through a certain way of current
control to track the fundamental wave current to generate
fundamental wave compensate current which needed, and
realize the real-time compensation finally.
In this paper, the fundamental wave current detection
adopts the instantaneous fundamental wave current detection
based on the principle of phase discriminator which has the
simple principle real-time performance as well as high
accuracy [12-14]. The configuration of this principle is shown in
Fig.8. Using this method to detect the system fundamental (c)
wave current from distortion current is shown in Fig.9.
Fig.10. The waveform of system fundamental current and hysteresis tracking
The inverter circuit is used to generate fundamental wave current
compensation current. The single-phase voltage source The fundamental wave compensation current waveform
inverter circuit is adopted in this design, the current tracking generated by the inverter by tracking the fundamental wave
mode adopts hysteresis comparison control mode. Reference current of the system distortion current is shown in Fig.10.
[12] offers the principle and the switch frequency calculation. Fig.10 (a) is the fundamental current tracking information by
This control mode has good stability and good robustness intercepting one segment of the simulation waveform. Fig.10
13
(b) is the actual tracking current waveform by phase reverse pass transformer successfully, but most of the harmonic
for observing conveniently compared to the actual current is forced to flow into passive filter, so it can improve
fundamental current, through filtering the high frequency the efficiency of passive filter. In this design, because only the
switch burr by output filter, two waveforms can achieve the fundamental current component needs to be detected and
same basically. tracked, and the fundamental is a single frequency, the
detecting and tracking with rapid response is more easily
realized than harmonic detecting and tracking. Using
MATLAB to do simulation to the model, the simulation
results show that this design can filter out harmonic more
efficiency in power systems when the waveform distortion is
serious compared with using passive filter singly.
th REFRNCES
Fig.11. The 3 harmonic current wave
[1] R. C. Dugan, M. F. McGranaghan, H. W. Beaty, Electrical Power
Systems Quality, 1996, McGraw-Hill.
V. SIMULATION RESULTS
[2] R. D. Henderson and P. J. Rose, Harmonics: the effects on power quality
Fig.11 is the harmonic current through the three times and transformers, IEEE Transactions on Industrial Application, vol. 30,
single-tuning filter without adding FMFC transformer. Fig.12 pp. 528-532, May/Jun. 1994.
is the harmonic current through the three times single- [3] R. Redl, P. Tenti, and J, Daan van Wyk, Power electronics polluting
tuning filter when adding FMFC transformer. Fig.13 is the effects, IEEE Specter, vol. 34, pp. 32-39, May. 1997.
system current waveform after the fundamental magnetic flux [4] J. Arrillaga, and R. W. Neville, Power System Harmonics, 2nd Edition,
2003, John Wiley & Sons.
compensation in the system power supply side, through the
[5] D. Rivas, L. Moran, J. W. Dixon, J. R. Espinoza, Improving passive
simulation result by FFT spectrum analysis, it can obtain the filter compensa-tion performance with active techniques, IEEE Trans.
result that the system current distortion rate falls to 1.27% Ind. Electron. vol. 50, pp. 161-170, Apr. 2003.
from 23.1%, which approximates to sine wave and is enough [6] A. Boussaid, Y. Maouche, A.L. Nemmour, A. Khezzar, A new optimal
to satisfy the requirement of system to harmonic, here, the approac for improvement of active power filter using FPSO for
data of 23.1% is only the passive filter added. enhancing power quality, Electrical Power and Energy Systems,vol. 69,
pp. 188-199, Feb, 2015.
[7] F. Z. Peng, H. Akagi and A. Nabae, A new approach to harmonic
compensation in power system - a combined system of shunt passive and
series active filters, IEEE Transactions on Industrial Application, vol.
26, pp. 983-990, Nov./Dec. 1996.
[8] H. Fujita, and H. Akagi, Apractical approach to harmonic compensation
in power systemsSeries connection of passive and active filters, IEEE
Trans. Ind. Applicat., vol. 27, pp. 1020-1025, Nov./Dec. 1991.
[9] B. Singh, and V. Verma, An improved hybrid filter for compensation of
th
Fig.12. The 3 harmonic current when FMFC is added current andvoltage harmonics for varying rectifier loads, Int. J. Electr.
Power Energy Syst, vol. 29, pp. 312-321, Apr. 2007.
[10] D. Y. Li, Q. F. Chen, and Z. C. Jia, A novel principle of adjustable
reactor based on magnetic flux controlable[J], Proceedings of the CSEE,
vol. 23, pp. 161-120, Feb. 2003.
[11] D. Y. Li, Q. F. Chen, Z. C. Jia and C. Z. Zhang, A novel active power
filter with fundamental magnetic flux compensation, IEEE Transactions
on Power Delivery, vol. 19, pp. 799-805, Apr. 2004.
[12] H. Akagi, A. Nabae, and S. Atoh, Control strategy of active power filters
using voltage-source PWM converters, IEEE Trans. Ind. Applicat, vol.
Fig.13. System current wave when FMFC is added IA-22, pp. 460-465, May/June. 1986.
[13] A. Boussaid, A. L. Nemmour, L. Louze, and A. Khezzar, A novel
VI. CONCLUSION REMARKS strategy for shunt active filter control, Eleetric Power Systems Research,
vol. 123, pp. 154-163, Mar. 2015.
In this paper a design of passive filter combined with [14] RS. Herrera, P. Salmeron, H. Kim, Instantaneous reactive power theory
FMFC theory is proposed, namely a double winding applied to active power filter compensation: different approaches,
transformer is in series between the power supply and passive assessment and experimental results. IEEE Trans Ind Electron. vol. 55,
filter, the secondary winding generates fundamental current by pp. 184-196, Feb.2008.
active inverter with the principle of fundamental magnetic flux
compensation, thus the system fundamental wave current can
14
Research on Large Supermarket Fresh Food Supplier

Evaluation and Selection based on SWOT-Entropy Weight
Fuzzy Comprehensive Model
Ying Yuan*Yi ZhangLong DiGang Gang WuZong Xiao Yang
College of Vehicle and Transportation Engineering
Luoyang, China
*
15236196448@163.com
Abstract Aiming at the subjectivity and random problems In the actual operation of the supermarket, due to the
existing in traditional evaluation and selection processes of huge number of suppliers, the supply of commodities is also
supermarket fresh goods suppliers, and combined with the more diverse, thus the factors which affect the quality of the
perishable and vulnerable characteristics and the current
goods are complex[2]. Many previous studies on supplier
situation and development trend of supermarket fresh food, the
selection and evaluation defined numerous evaluation criteria
paper constructed the ladder type evaluation framework by
and selection frameworks for supplier selection, and the
using SWOT analysis method, which is used to study the external
environment and capacity of the suppliers of supermarket fresh indicators in the studies mostly adopts QCDS that is
goods. In view of the deficiencies of common comprehensive quality, cost, delivery, service principle[3]. It is not difficult
evaluation methods on weight determination , therefore, this to find that these existing index systems present more or less
study proposed a structured methodology for supplier selection one-sidedness, according to the characteristics of supermarket
and evaluation based on the Entropy Weight Fuzzy fresh goods supplier selection, (For example, only consider
Comprehensive Evaluation. In the end, the method was applied the influence of internal factors , while ignoring the influence
on the course of the fresh goods suppliers optimization in one
of the external environment). Therefore, Aiming at the
supermarket to validate the feasibility and correctness.
deficiencies(such as, single, strong subjective arbitrariness.
Keywords Large supermarket; Fresh goods; Supplier etc ) existing in traditional evaluation and selection processes
selection; SWOT analysis; Entropy Weight; Fuzzy Comprehensive of supermarket fresh goods suppliers[4, 5]. this study thus
Evaluation proposes a structured methodologySWOT for supplier
selection and evaluation by studying the internal factors and
I. INTRODUCTION
external environment of candidate suppliers comprehensively,
With the development of supermarket management and which relates to all links of procurement, transportation,
the swift of peoples consumption concept, supermarket has distribution, Etc. and based on this method the criteria and
become the main channel for customers to purchase fresh indicators of supplier selection are chosen to establish a
goods, which are indispensable commodity in supermarket comprehensive supplier evaluation index system .
chains[1]. And the management of fresh goods, which is the Subsequently, potential suppliers are screened through
main means for supermarket to implement the differentiated Entropy weight fuzzy comprehensive evaluation method.
competition, plays a key role in attracting customers and Finally, the feasibility and applicability of the proposed
stabling the passenger flow in supermarket. Especially in the method are verified by an example, which provides the theory
larger supermarkets is more remarkable. Hence, the bases for supermarket to choose the best supplier.
evaluation and selection of suppliers who provide fresh goods
to supermarket is an important problem, which is the large
supermarkets need to consider.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 15
II. SWOT ANALYSIS FOR SUPERMARKET FRESH FOOD D. Threat
SUPPLIERS
Fierce competition, potential substitutes, etc, to a certain
A. Strength extent, are threatening the development of suppliers. In the
a. Price: Some suppliers can supply to supermarket at course of the negotiations with supermarket, due to the lack of
wholesale price, which make supermarket have a price Industry Association Protection, suppliers are usually in a
advantage. weak position. In addition, the uncertainty of market and
natural risk, which also makes them face a great challenge.
b. Channel: Large suppliers have more sale channels and
control the sales terminal, which can help producers to III. ESTABLISHMENT OF EVALUATION CRITERIA AND INDEX
make their goods access to the supermarket in the most SYSTEM FOR SUPPLIER SELECTION
short time, and make mutual benefit. It is more important

A. The index system
to seasonal vegetables and fruit.
According to the characteristics of fresh food and current
c. The fixed assets scale: They have their own cold storage, situation of supermarket business[6,7], as well as based on the
transport vehicles, logistics infrastructure, and the above analysis of fresh suppliers by using SWOT method, the
continuous expansion of business, which makes their supermarket can build the evaluation index system framework
equipment become more perfect. according to the suppliers price, quality, service, innovation
d. Brand effect: Many suppliers have the quite high ability, delivery etc[8]. As shown in Figure 1
popularity in the market through years of operation, and 1) Price: It can reflects the information compared with the
have strong connections with the supermarket. market counterparts through the price, quantity discount,
transport cost, which are provided by suppliers.
e. The financing facilities: Because the mature supplier has
2) Delivery: It reflects suppliers delivery speed, including
many advantages, so both fresh base and manufacturers
the supplier delivery time and delivery accuracy etc.
use the conditions to sell their products, and provide
3) Quality: Its the ability index that is to ensure the quality
credit funds to the supplier.
of goods, including the qualified rate and the discount
B. Weakness rate.
At present, most fresh suppliers have small scale, lack of 4) R&D capability: With the application of information
professional knowledge etc, which affect the long-term technology in SCM, as well as the rapid development of
management of chain supermarket, which is not easy to form market demand, the suppliers have the market perspective
a standardized and stable relationship between supply and and the ability to develop and improve products, which
demand. meets the requirement of customers.
5) Service: This is an important index for measuring the
C. Opportunity
supplier service capability and their cooperation ability.
With the development of economy, peoples income has 6) Competence: Facing the fierce market competition and
improved. They ask higher requirements on the quality and various uncertain factors, dose the suppliers can
variety of goods. This promotes the supermarket scale and the effectively make use of advantageous factors, avoid the
scope of business gradually expanded, which makes the threat factors and stand out in the strong competitors?
supermarket business varieties tend to be diversified and 7) Business strategy: To formulate the strategy based on the
provides a good basis of market demand for suppliers. In external environment and their own conditions, and
additionsuppliers also through investment, self improvement, constantly adjust and implement. So as to improve their
internet technology and so on to improve their ability. At the own competitiveness.
same time, increasing guide of government support also 8) Organizational management: Its the first problem need to
provides a good environment for the supply enterprise. solve, which represents the strength of the suppliers.
16
Evaluation Index System for Supplier
Selection
R&D Service Business 2UJDQL]DWLRQDO

Price Delivery time Quality Competence
Capability Strategy 0DQDJHPHQW
xLead Time xCustomer xCompetitors xIntegration

xGross xQuality xR&D Rate xInventory
xDelivery Complaints xBusiness Risk Strategy
Profit Rate Qualified xProductivity Turnover
Flexibility xAfter Sale xPerspective xDifferentation
xVolume Rate xImprovement Ratio
xOn-Time Service xQuick Strategy
Discount xDiscount Capability xCommunicat
Delivery Satisfaction Response to xMarket
Rate Rate ion
Rate xInfrastructure Market Cooperation
Supplier 1 Supplier 2
Supplier M
Fig. 1 Framework of evaluation indicators for supplier selection.
The index system from Figure.1considers not only the The above index system covers subjective and objective
comprehensive level of suppliers, but also the future
factors. Some indicators can be quantified directly, such as the
development trend and prospect, which can reflect the whole
situation of suppliers. price, delivery etc. Others are only peoples subjective feeling,
In practice, due to the difficulty of each index data acquisition,
B. The Calibration method of index
the calibration of each index uses the method listed in table 1.
TABLE I. THE CALIBRATION METHOD OF EVALUATION INDEX
Numbers Main criteria Sub-criteria Get method Characteristics

1 Price The unit price Query Objective
2 Delivery time On time delivery rate Query Objective
3 Quality Qualification rate Query Objective
4 R&D capability R&D Rate Scoring Subjective
5 Service Customer satisfaction Research Objective
6 Competence Handle drawbacks ability Scoring Subjective
7 Business Strategy Market Cooperation Scoring Subjective
8 Management Organizational Scoring Subjective
The objective indices can be obtained directly from each evaluating objects counted n, then forms an original indices
supplier information parameter or by using statistical method,
value matrix X ( xij ) mun
while the subjective indexes are mainly obtained by using 10
point scale. The higher the score, the better the index.
x11 x1m
(1)
IV. ENTROPY FUZZY COMPREHENSIVE EVALUATION MODEL X=
x xmn
A. Normalization of the original evaluating matrix n1
Suppose there are evaluating indexes counted m, Normalization this matrix to get Equation (2)
17
y11 y1m m
(2)
as: wi (1 H i ) / (1 H i ) (6)
Y ( yij ) num i 1
y ynm
n1 The entropy method is objective weighting, so the
scientific weights should be combined the expert evaluation
Where, yij is the data of the jth evaluating object on the [9]
(subjective) with the entropy weight (objective) . Suppose
the weight of expert evaluation of ith indicator could be
indicator, and. yij [0,1] Among these indicators, to which
defined as O =(O1 , O2 ,, Om ) , thus the comprehensive
the bigger the better, there are
xij min( xij ) weight of ith indicator could be defined as

yij (3) m
max( xij ) min( xij ) ti (Oi u wi ) / (Oi u wi ) (7)
i 1
While, the smaller the better, there are
Get the comprehensive weight vector : T (t1 , t2 ,, tm )
max( xij ) xij
yij (4)
max( xij ) min( xij ) D. Fuzzy comprehensive evaluation matrix
Compound operate weight and the fuzzy comprehensive

B. Definition of the entropy
evaluation matrix can get comprehensive evaluation result [10]:
In the m indicators, n evaluating objects evaluation
B TY =b j , ( j 1, 2, , n) (8)
problem, the entropy of ith indicator is defined as
n
V. EXAMPLE
Hi k fij ln fij (i 1, 2,, m) (5)
j 1 In order to promote the development of business and meet
the consumers demand, so as to improve their market
n
In which f ij yij / yij , k 1/ ln n , competitiveness, one supermarket needs to choose the best
j 1 one as its strategic partner from six suppliers. According to
the calculated steps, we can compute the entropy weight of
C. Definition of the weight of entropy
the evaluation indices, as is shown in table 2.
The weight of entropy of ith indicator could be defined
TABLE II. WEIGHT AND MEMBERSHIP SUMMARY OF THE INDEX
Suppliers
Index Get method
A B C D E F
Price 3.7 3.2 3.5 3.1 3.8 2.9 VWDWLVWLFV

Delivery time 92% 90% 88% 95% 94% 90% VWDWLVWLFV
Quality 89% 91% 85% 92% 95% 90% VWDWLVWLFV
R&D capability 8 8.5 9.1 7.8 8.2 7.5 6FRULQJ
Service 92% 94% 96% 90% 93% 93% VWDWLVWLFV
Competence 8.1 9.1 8.2 7.6 8.5 7.9 6FRULQJ
Business Strategy 8 7.3 6.9 9 8.2 6.9 6FRULQJ
Management 8.1 7.2 8.3 6.5 8.2 8.6 6FRULQJ
According to the original data in Table 2, get the evaluation matrix
18
3.2 3.7 3.5 3.8 3.3 2.9 2) Different dimension indexes were standardized by using
90% 92% 95% 95% 94% 90%
the entropy weight fuzzy comprehensive evaluation

89% 91% 85% 92% 95% 90% method, and combined subjective weight given by

8.0 8.5 9.1 7.8 8.2 7.5 experts, which can effectively avoid the interference of
X =
92% 94% 96% 90% 91% 93% subjective factors, and overcome the limitations existing

8.1 9.1 8.2 7.6 8.5 7.9 in determination of the weight by a single method. This
8.0 7.3 6.9 9.0 8.2 6.9 method fully reflects the advantages of the objective and

8.1 7.2 8.3 6.5 8.2 8.6 subjective evaluation, and make the evaluation results
more true and reasonable.
Get the normalization matrix:
3) The methodology proposed in this article can help
0.6667 0.1111 0.3333 0.0000 0.5556 1.0000
0.2857 0.5714 1.0000 1.0000 0.8571 0.2857
supermarket select the most appropriate supplier and
evaluate supplier performance effectively and simply by
0.4000 0.6000 0.0000 0.7000 1.0000 0.5000
an example analysis, which has strong applicability and
Y 0.3125 0.6250 1.0000 0.1875 0.4375 0.0000
0.3333 extension.
0.6667 1.0000 0.0000 0.1667 0.5000

0.3333 1.0000 0.4000 0.0000 0.6000 0.2000 ACKNOWLEDGMENT
0.6000 0.3200 0.1600 1.0000 0.6800 0.1600

0.7619 0.3333 0.8571 0.0000 0.8095 1.0000 This project was supported by Henan Province Natural
Science and Research Program Projects (2011A580002).
Calculated the entropy of each index:
H (0.7992 0.8317 0.8705 0.8158 0.8161 0.8182 0.6166 0.8690) REFERENCES
Calculated the entropy weight of each index: [1] N.Chamhuri and P.J.B. Batt. Segmentation of Malaysian shoppers by
stroe choice behavior in their purchase of fresh meat and fresh
W (0.1349 0.1131 0.0870 0.1237 0.1236 0.1221 0.2576 0.0880) produce,[J]. Journal of Retailing and Consumer Services,2013,
20(6):516-528.
The weight of expert evaluation: [2] B. Wang, X.Z. Fu and S.K. Zhang, Research on the Evaluation on
Fresh Agricultural Product Supplier Based on Entropy Weight TOPSIS
O (0.1 0.15 0.2 0.15 0.1 0.1 0.1 0.1) Model,[J]. Journal of Anhui Agti. Sci. 2008,26(13):5626-5628.
[3] J.C. Yuan. Structured methodology for supplier selection and
Calculated the comprehensive weight of each index: evaluation in a supply chain,[J]. Journal of Ratailing and Consumer
T (0.1119 0.1408 0.1443 0.1540 0.1025 0.1013 0.2137 0.0730 ) Service,2013,20(6):516-528.
[4] A. Aksoy and N. Oztiirk. Supplier selection and performance
Finally calculated the comprehensive evaluation vector: evaluation in just-in-time production environments,[J]. Export System
B TY (0.4505 0.5600 0.4310 0.5714 0.6146 0.4030) with Applications, 2011,30(5):51-59.
[5] J. Lee, H. Cho and Y. S. Kim. Assessing business impacts of agility
That is, the final ordering of the results is criterion and order allocation strategy in multi-criteria supplier
selection,[J]. Expert System with Application, 2015,42:1136-1148.
F oC o A o B o D o E
[6] A. Rong, R. Akkerman and M. Grunow. An optimization approach
So, we can get that the comprehensive levels of E is the for managing fresh food quzlity throughout the supply chain,[J].
International Journal of Production Economics, 2011,131(1):421-429.
highest, which is the preferred partner for the supermarket. [7] J.C. Yuh. Structured methodology for supplier selection and
evaluation in a supply chain,[J]. Information Science, 2011,
VI. CONCLUDING REMARKS 181:1651-1670.
[8] B.E. Song, W.Y. Zhu and X.M. Li. Research on supermarket fresh
1) Based on the characteristics of fresh suppliers selection, food vendor selection model based on entropy combining weight and
topsis,[J]. Food & Machinery,2013,29(4):223-228.
this paper established a set of comprehensive evaluation [9] J.H. Li, X.H. Li and J. He. Application of Entropy Weight Fuzzy
index system through the SWOT analysis method. This Comprehensive Evaluation Mothod to Taxicab Style Optimization,[J].
Journal of Transportation and Communication, 2008,26(4):193-196.
system, which involved all aspects of the internal and [10] Z.H. Tian and S.C. Gao. Entropy-based of Fuzzy Comprehensive
external factors, reflected the comprehensive level of the Evaluation Method for Surface Water Quality Evaluation,[J]. Journal
of Anhui Normal University, 2012, 35(1):63-66.
candidate suppliers, and provided a theoretical basis for
supermarket to select the best supplier.
19
A Novel Outer Rotor Axial Primary Magnetic

Circuit Permanent Magnet Generator
Xi-Mei LI Zong-Xiao YANG* and Dong-Liang SONG
Institute of Systems Science and Engineering, Henan Engineering Laboratory of Wind Power Systems
Henan University of Science and Technology, No.48 Xiyuan Road, Luoyang 471003, China
*Corresponding author Email: zxyang@haust.edu.cn
AbstractWind energy has attracted persistent attention as a Permanent magnet generator has a simple structure,
renewable energy, so it is very significant to research the reliable operation, small size, light weight, small loss, high
permanent magnet generator which is an essential part of wind efficiency and significant advantages. Its shapes, sizes, spatial
energy conversion system. This paper proposes a novel outer placement and direction of the permanent magnets in
rotor axial primary magnetic circuit permanent magnet combination has a variety of flexible, so that the permanent
generator. For the sake of small size and light weight with extra magnet generator of electromagnetic structure design, in theory,
low speed for direct coupling, the outer rotor structure is used. has a variety of changes[5-6]. The current conventional wind
The stator windings are adopted double fractional-slot turbine permanent magnet between the stator and the rotor has
concentrated to reduce the cogging torque. The most highlight is
utilized the structure in rotating tangential alternating with
a novel axial primary magnetic circuit. Through the air gap
magnetic flux density test experiments, there exists the linear
permanent magnets, however, this kind of generator is with the
relationship of the negative slope between the magnetic flux overall start reluctance torque and lower wind energy
density and the air gap. This novel type of magnetic circuit conversion rate so that energy cannot generate electricity under
structure makes greatly improved the sensitivity gap, so that the the breeze [7]. To solve the problems of the conventional
key technology such as structure design process route structure, we propose a novel outer rotor axial primary
determined and manufacturing become easier to achieve, magnetic permanent magnet generator combined with coaxial
significantly reduce generator costs, ease of construction direct drive vertical axis wind turbine. Through magnetic flux
practical application. Meanwhile, the novel outer rotor axial density and the air gap test experiments, it becomes easier to
primary magnetic circuit permanent magnet generator can achieve for the permanent magnet generator structure of design,
overcome the problems of the lager overall start reluctance process route determined, manufacturing and other key
generator torque and the lower wind energy conversion rate technology areas.
under the condition of small wind.
KeywordsWind energy; Novel axial primary magnetic circuit; II. WORKING PRINCIPLE
Outer rotor; permanent magnet generator.
The direct drive type vertical axis wind turbine consists of
four major: the upper part of three halberd vertical axis wind
turbine the permanent magnet wind turbine in the middle
I. INTRODUCTION the lower part of the support base and multi-stage storage type
Wind energy is a clean, safe, renewable, green energy, of power supply control system components. The lower part of
inexhaustible [1]. In recent years, there is a growing awareness the wind wheel through flange and the upper lid of a generator
of environmental problems caused by fossil energy, is connected rigidly with bolts, the outer rotor shell is fixed to
particularly global warming. Wind power gradually increases between the upper cover and lower cover. The generator is
the proportion of the world's total energy and has become the mainly composed of three parts including rotor, stator and the
fastest growing, the most promising way of energy air gap ,the pole of permanent magnet generator is constituted
development in the world. Large-scale development and by the permanent magnets arranged the outer rotor. While the
utilization of wind energy will reduce the consumption of fossil outer rotor generator is with wind wheel rotation, permanent
fuels and reduce greenhouse gas emissions and protect the magnets fixed to the outer rotor and stator coils together with
environment [2]. As an important part of wind energy vertical axis wind wheel cut magnetic field lines along with
conversion system, many types of generator concepts have wind wheel rotation movement. From the principle of
been used and proposed [3]. Not every place has a strong wind. electromagnetic induction, the conductor cutting magnetic
How to obtain energy from low wind speed is a challenge field line will generate the induced electromotive force in the
today. Low speed characteristics of direct drive permanent circuit, the coils windings via terminals interval leads to a
magnet synchronous generator can match low-power off-grid power load, then coils leads to two other locations of
wind energy conversion system, it have a good applied to additional power load, thereby constituting a three-phase AC
urban roof, remote mountainous areas and other low-speed output[8].
applications[4].
978-1-4673-7995-3/15/$31.00 2015
c IEEE 20
III. STRUCTURE DESIGN multipole structure can be easily accommodated. Moreover,
the total length of the magnetic path is reduced. This not only
As its technological development, the structure of
permanent magnet generator has a various of forms, their effectively uses the PMs, but also offers a noticeable height
design criteria is the use of rare earth permanent magnet which reduction of the rotor yoke, resulting in a significantly reduced
has high coercively, increasing magnetic flux, reducing the total volume and weight.
armature reaction, high-speed operation to improve the 3) While the generator is running, the centrifugal force of
electromagnetic efficiency[9]. How to choose the right the magnets applies a pressure to the bonding media. Thus, the
structures of generator in many types needs to be screened reliability of the glued joints becomes higher.
against for different occasions. In this paper, in order to meet 4) The coil pitch equals the slot pitch so that the end
direct drive operating conditions under the low wind speeds, winding is shorter, and correspondingly, copper loss is lower
we design a novel axial primary magnetic structure of the than those in a long pole pitch machine.
outer rotor permanent magnet generators. Though experts in 5) As exposed to the natural wind flow, the outer rotor
the generator field have researched windings in many years, it has a much reduced temperature rise than does the stator.
has found that if the stator windings make use of double
concentrated fractional slot structure, the permanent magnet
generator will be more beneficial to play a good performance
at the running time [10]. Details are given below.
A. Axial Primary Magnetic Circuit
Currently, the traditional permanent magnet wind turbines ,
have problems of the lager overall start reluctance generator
torque and the lower wind energy conversion rate under the
condition of small wind .The paper provides an axial primary
magnetic circuit structure to overcome the shortcomings of
traditional magnetic structure, to achieve energy generation
with the breeze. The axial primary magnetic circuit has
formed a closed primary magnetic circuit in the main axis
direction of the generator by outer rotor permanent magnet
unit and the stator magnetic induction unit, while the magnetic
flux leakage direction is formed the air gap tangential Fig.1. The main axial magnetic field lines distribution
direction arranged as the way of SN pole interval reverse in
the in the circumference of the shaft section. The equal
interval of permanent magnets arranged in the direction of the
magnetic flux leakage is above five times, under 20 times
more than the main magnetic direction of the air gap. In order
to ensure the strength of the magnetic flux density along the
axial line of the main magnetic path direction, the relationship
between the magnetic flux density and air shows a negative
slope of the linear, not only improving the sensitivity gap
generator, but becoming easier to achieve the structure design
of permanent magnet generator, significantly to reduce in the
cost of the generator, to facilitate engineering application. The
Fig.1 shows the main axial magnetic field lines distribution by
software Magnet.
B. The Design of Outer Rotor Permanent Magnet
Another salient feature of the designed PMG is the outer-
Fig.2. The outer rotor structure model
rotor structure, the Fig.2 is outer rotor structure
model.Features of the simple outer rotor structure make the
C. The Stator Laminations and Coil Windings Structure
PM generator compact, light, rugged, and easy to be installed
at the top of a high tower. As can be noticed, the wound stator Armature winding of permanent magnet generator would
is stationary, located in the center of the machine while the be embedded in the stator slots; the common permanent
magnets are mounted evenly along the inner circumference of magnet generator stator slot has divided into four categories:
pear-shaped slot, the trapezoidal slot, half open slots and the
the rotor. Several advantages can be identified easily from the
opening slot. Low-power permanent magnet generator stator
outer-rotor structure, as follows[11].
slot is better suited equal tooth width, we choose pear-shaped
1) The blades of the wind turbine can be conveniently slot, which is equal tooth width slot and with smaller magnetic
bolted to the front face of the drum to realize the direct flux leakage harmonic components [12-13].
coupling between the wind turbine and the PM generator.
2) Because of the enlarged periphery of the out-rotor, the As the generator opened cogging begins to rotate, it will
changes in the stator teeth and slots corresponding gap
21
parameter, causing its gap magnetic field energy changing, so V0 H m / (Hm H0 ) (1)
torque changes, that is cogging torque. In order to reduce the
cogging torque, AC servo permanent magnet motors adopt From the experimental data shown in Fig. 4, it seems that
fractional-slot concentrated windings, it is an indisputable there is a linear relationship between the main magnetic path
trend. Fractional-slot concentrated winding is a single or RI WKH PDJQHWLF LQGXFWLRQ % DQG WKH DLU JDS , so we choose
double layer stator windings of the span y = l, the stator slot the formula (2) which is the unitary linear regression as
number of per pole per phase q <l[14] .To make winding analysis of mathematical models to study the intrinsic
induced electromotive force amplitude greater ,we hope relationship of magnetic induction H and WKHDLUJDS. m
winding coefficient is larger, generally short coefficient is

larger than 0.866,namely,the short angle is not exceed
60 e, and set that the number of slots is a multiple of 3 to Hm AG B (2)
comply with the three-phase symmetry. In this paper , the
stator design is 30 poles 27 slots , matching the number of In accordance with the mathematical model the
poles and slots, this form is not only with a bigger the winding formula(2) , we make the test data in Table 1 to process by
coefficient ,but also with smaller starting torque. Based on the using of the least squares method, we can obtain the following
above windings theory and design ideas, the Fig.3 shows the estimation parameters: the slope of A -300, the intercept of
expanded view of the windings. B 1300, and the correlation coefficient of 0.9043. Regression
line is also shown in Fig 4.
main magnetic flux

(mT)
1 mT = 10 GS
Data regression analysis model and results:

1100
+P $%$ %
&RUUHODWLRQFRHIILFLHQWLV
1060
1020
980
Fig.3. The expanded view of the windings
IV. ELECTROMAGNETIC FIELD TEST 940
A. Test Steps The air gap

(mm)
900
Firstly, select any of the stator as a reference, and then 0.70 0.80 0.90 1.00 1.10 1.20
measure the magnetic flux density of each rotor and the stator
air gap, the main magnetic flux, the direction of leakage Fig.4. The test results of the main magnetic direction of the magnetic flux
magnetic flux in clockwise direction. Finally, record he density and the air gap
measured data. The obtained experimental data is shown in.
Test data from Table1 can estimate the leakage coefficient
of new three-dimensional magnetic structure according to the
equation (1), and the results are shown in the last line Table 1.
z Table 1 Test Date
$LUJDSmm 0.70 0.75 0.80 0.85 0.90 0.95 1.00 1.05 1.10 1.15 1.20 1.25
The main magnetic circuit of

magnetic induction intensity-Hm 1081 1060 1074 1061 1039 1009 981 968 961 960 908 954
mT
The leakage magnetic circuit of

magnetic induction intensity-H0 154 212 198 176 192 137 136 164 228 163 178 327
mT
leakage coefficient-0 0.88 0.83 0.84 0.86 0.84 0.88 0.88 0.86 0.81 0.85 0.84 0.74
22
B. Analysis of Test Results ACKNOWLEDGMENT
According to the traditional theory, it shows that the The financial supports from the National Natural
magnetic field intensity is inversely proportional to the square Science Foundation of China (NSFC) under the grant
of the air gap. When the test uses Tesla of the Hall probe No.70671035 and No.71071078 are acknowledged gratefully.
minimum thickness of 1.1mm, the result has found that there The authors also gratefully acknowledge the helpful
seems to be a linear relationship existing between the comments and suggestions of the reviewers, which have
Analysis of Test Results. improved the presentation.
According to the traditional theory, it shows that the
magnetic field intensity is inversely proportional to the square
of the air gap. When the test uses Tesla of the Hall probe REFERENCES
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seems to be a linear relationship existing between the [1] W. Wu, V.S. Ramsden, T. Crawford and G. Hill,"Low-speed, high-
magnetic flux density and the air gap. After improving the torque, direct-drive permanent magnet generator for wind turbines,"
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[3] L.-B. Wang, Z.-X. Yang and L. Song,"Power efficiency of outer-rotor
relationship between magnetic flux density and the air permanent magnet wind generator," 2012 9th IEEE International
gap ,establishes a new mathematics model of the magnetic Conference on Networking, Sensing and Control,, IEEE Computer
field : The novel three-dimensional axial primary magnetic Society, 222-227.
structure, there exists a negative slope linear relationship [4] H. Li and Z. Chen."Overview of different wind generator systems and
between magnetic flux density and the air gap. their comparisons,"[J].IET Renewable Power Generation,2008,2:123-
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V. CONCLUDING REMARKS [5] K.T. Chau, C.C. Chan and C. Liu."Overview of permanent-magnet
brushless drives for electric and hybrid electric vehicles,"[J].IEEE
This paper describes a new type of topological structure Transactions on Industrial Electronics, 2008, 55:2246-2257.
generator formed of outer rotor permanent magnet, axial [6] H. Chen, R. Qu, J. Li and B. Zhao,"Comparison of interior and surface
primary magnetic and the double-fractional-slot concentrated permanent magnet machines with fractional slot concentrated windings
for direct-drive wind generators," 2014 17th International Conference
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reluctance generator torque and the lower wind energy E Transactions. on Industry Applications,2005,41:1619-1626.
conversion rate under the condition of small wind. Through [8] Z.X. YANG, A Novel Outer Rotor Axial Primary Magnetic Circuit
the test of magnetic flux density in the axial primary magnetic Permanent Magnet Generator, [P]. Chinese, ZL201110215832.1, 2014-
structure, the magnetic flux density and air gap is a negative 01-01.
slope of the linear relationship. [9] J.A.Guemes, A.M. Iraolagoitia, M.P.Donsion and J.I. Del
Hoyo,"Analysis of torque in permanent magnet synchronous motors
Studies in this paper are preliminary and future researches with fractional slot windings," 2008 International Conference on
on the outer rotor permanent magnet generator may focus on Electrical Machines , Inst. of Elec. and Elec. Eng. Computer Society,
those aspects: 2008,1-4.
[10] S.-U. Chung, J.-M. Kim, D.-H. Koo, B.-C. Woo, D.-K. Hong and J.-Y.
1 By using the finite element software Magnet, simulate and Lee."Fractional slot concentrated winding permanent magnet
analysis for distribution of the internal magnetic field ;With synchronous machine with consequent pole rotor for low speed direct
drive,"[J].IEEE Transactions on Magnetics, 2012, 48:2965-2968.
the magnetic potential vector, explore the calculation of the
[11] Chen, J., Nayar, C.V. and Xu, L., "Design and finite-element analysis of
key parameters of the magnetic flux leakage coefficient, an outer-rotor permanent-magnet generator for directly coupled wind
calculate pole arc coefficient and optimize the size of the turbines, "2000 International Magnetics Conference,2000, 3802-3809.
design. [12] Y. Tani, S. Morimoto and M. Sanada, "Influence of number of poles,
2 Further studies on the outer rotor axial primary magnetic magnet arrangement, and current density on characteristics of inner and
PMG of the structural characteristics, based on prototype tests, outer rotor PMSMs," 2011 IEEE 9th International Conference on Power
Electronics and Drive Systems, 2011, 711-716.
analyze the aerodynamic characteristics of the motor, the
[13] G.T Paula, J.R.B.A Monteiro, T.E Portes Almeida and M. Patricio
power output characteristics and efficiency characteristics. Santana."Different Slot Configurations for Direct-Drive PM Brushless
Machines,"[J].IEEE Latin America Transactions, 2015, 13:634-639.
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load, while it must charge the battery stored the energy of cogging torque reduction by different slot width pairing in permanent
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provide electric energy to the load, we hope to increase the and Systems, Conference, Location, Inst. of Elec. and Elec. Eng.
Computer Society, 2005,1:367-370.
electronic commentator composed by the diodes ,aiming to
convert AC to DC, achieving connected to the battery.
23
Active Training Research of a Lower Limb

Rehabilitation Robot Based on Constrained
Trajectory
Dong Zhang, Hao Lu, Yongfei Feng, Peng Xu
Hongbo Wang Parallel Robot and Mechatronic System Laboratory of
Parallel Robot and Mechatronic System Laboratory of Hebei Province
Hebei Province; zhangdong_zd1991@sina.cn, lu1990hao@126.com
Key Laboratory of Advanced Forging & Stamping YF_feng@126.com, xupeng_90@163.com
Technology and Science of Ministry of Education, Yanshan Razvan-Viorel Mihai, Luige Vladareanu
University, Qinhuangdao China Mechatronics Laboratory, Romanian Academy - Institute of
hongbo_w@ysu.edu.cn Solid Mechanics, Bucharest, Romania
razvan.viorel_mihai@yahoo.com,
luigiv2007@yahoo.com.sg
AbstractIn order to help patients achieve effective and The Lokomat is developed by Hocoma AG and it can simulate
coordinating multi-joints movement easily, the paper presents an the normal walking gait, help patients to exercise limb muscles,
active training method of a lower limb rehabilitation robot based and restore nervous system control of the walking ability [4].
on constrained trajectory. The realization process of the method The MotionMaker is developed by Swortec company and it has
is as follows. The patients movement intention is recognized by different rehabilitation training patterns based on patients
analyzing the signals from torque sensors installed in different rehabilitation stages [5]. Although researchers have
rehabilitation robot joints, and the moving velocity of the developed many kinds of rehabilitation robots, there are still
mechanical arm terminal is calculated through the establishment few rehabilitation robots that can be suitable for patients in
of the damping function and the design of constrained trajectory.
different injured levels. The suspended gait trainers help
The velocity of joints can be calculated through kinematic Jacobi
patients to improve their stand-up ability during the period of
matrix, and is used to drive the joints. The moving velocity of the
mechanical arm terminal on a constrained trajectory can be middle and late recovery. It has a good effect, but is not
controlled through adjusting the damping function, in order to suitable for patients in early stage. The existing sitting/lying
achieve the active rehabilitation training for different patients at gait trainers are not so intelligent that they need patients or
different levels. Finally, the feasibility of the method is validated physiatricians adjust the length of the robots legs manually or
by the experiment. just have sitting mode or lying mode. And the measurement of
joint torque is indirect. Therefore, a multi-joint lower limbs
Keywordsrehabilitation robot; active training; constrained rehabilitation robot (MJLLRR) is presented in this paper, as
trajectory; damping function shown in Fig. 1. The MJLLRR is mainly divided into left
mechanical leg module, right mechanical leg module, movable
I. INTRODUCTION seat and electric control box. Each leg on the leg module is a
series mechanical arm, including the hip joint, knee joint and
At present, many countries in the world have entered the ankle joint which correspond to the joints of human, and can
aging society, physiological recession results in decline of realize three degrees of the freedom movement in the human
limbs activity ability gradually with age and it brings a lot of sagittal plane. The length of the leg and the width between two
inconvenience in daily life, and patients with limbs dysfunction legs can be adjusted by electric to meet the demand of different
who are caused by cerebral apoplexy disease are increasing [1]. patients. The humanization design of movable seat can be
Medical theories and clinical medicine prove that for patients separated from the robot, which is convenient for patient to seat.
the correct and scientific rehabilitation training plays a very Patients can adapt themselves to the training for different level
important role in recovering and improving the limbs motor damage through adjusting the seat pitch angle.
function, in addition to early operation and essential drugs
treatment [2]. With the researches of scholars, many kinds of active
training methods are developed, such as impedance control
The research on lower limb rehabilitation robots has method [6], and force/position hybrid method [7]. Human
become a hotspot. It can be divided into wearable trainers, Adaptive Mechatronics (HAM) is presented by Tokyo Denki
suspended gait trainers and sitting/lying gait trainers. The University, It is an intelligent mechanical system that adapts
Robot Suit HAL is developed by University of Tsukuba and it themselves to human skill under various environments, impro-
is mainly used for patients with late rehabilitation [3].
978-1-4673-7995-3/15/$31.00 2015
c IEEE 24
Electric and T 2 are respectively the rotation angle of hip joint and knee
control box Movable seat joint. In addition clockwise is negative and counterclockwise is
positive. The rotation shaft center of the hip joint is the origin
Right mechanical of the coordinate system. X and Y are respectively the
Left mechanical
leg module horizontal direction and the vertical direction.
leg module
No-load torque of the knee joint: The gravity G2 of the
crus is decomposed along the normal and tangential directions,
and only the normal component generates the torque because
the extension of tangential component intersects with the knee
joint axis. The normal component of G2 is G2 cos(T1 T2 ) , so
the no-load torque applies on the knee joint is M 2 :
Fig. 1 Multi-joint lower limbs rehabilitation robot
M2 R2G2 cos(T1 T2 ) (1)
-ves human skill, and assists the operation to achieve best
performance of the human-machine system [8]. However, these No-load torque of the hip joint: it is both affected by G1
control methods are very complicated and are not very suitable
and G2 , so the no-load torque caused by G1 is considered
for early stage of rehabilitation training. Therefore, active
training method of a lower limb rehabilitation robot based on firstly. The gravity G1 of thigh is decomposed along the
constrained trajectory is presented The method achieves normal and tangential directions, and only the normal
active training through limiting the movement of patient on the component generates the torque, so the no-load torque
constrained trajectory and implementing damping control on generated by G1 is G1 R1 cos T1 . The distance between the G2
patient force. Comparing to training on unconstrained and the hip joint shaft is l1 cosT1 R 2 cos(T1 T2 ) , then the
trajectory, training on constrained trajectory can help patients
achieve effective and coordinating multi-joint movement easily, torque generated by G2 for hip joint is
and it is more accorded with the normal exercise habits. In this G2 (l1 cosT1 R 2 cos(T1 T2 )) . So the no-load torque applies
paper, the circle which is relatively large in the working space on the hip joint is M 1 :
is chosen as constrained trajectory.
M1 G1 R1 cosT1 G2 (l1 cosT1 R 2 cos(T1 T2 )) (2)
The paper is organized as follows: in section II, the
movement intention of patient is recognized; in section III, After (1) and (2) are integrated, the calibration parameter
constrained trajectory is designed; in section IV, the damping equation of no-load torque can be written as
control strategy is established and the moving velocity of
patients is controlled; Finally, the experiments and results are M1 cos T1 cos(T1 T 2 ) G1 R G2 L1
M 0 (3)
given.
2 cos(T1 T 2 ) G2 R2
II. RECOGNIZATION OF PATIENTS MOVEMENT INTENTION G1 R G2 L1

M1 cos T1 cos(T1 T 2 ) 1 0 G2 R2
A. Calculation of No-load Torque of Mechanical Arm M 0 (4)
Hip joint and knee joint of lower limbs rehabilitation robot 2 cos(T1 T 2 ) 0 1 m1

(LLRR) are equipped with torque sensors. In the process of m 2
active training, torque that composes of two parts is measured
by torque sensors: one is no-load torque of mechanical arm,
and the other is generated by the force which is applied by Y
patients on the midpoint of the ankle joint shaft (MOTAJS).
Therefore, the two parts of torque are needed to be analyzed
respectively. This section analyzes no-load torque of
mechanical arm. A T2
According to the prototype of the MJLLRR, the mechanical
arm can be simplified as planar linkage mechanism with 2 R2 l2
l1 fy F
degrees of freedom that is consisted of hip joint and knee joint.
As shown in Fig. 2, points O , A and B are respectively hip G2
R1 G1 T1 T 2
joint, knee joint and ankle joint; l1 and l2 are respectively the
B fx
thigh length and the crus length; R1 and R2 are respectively the
T1
half of thigh length and half of the crus length; G1 and G2 are O
the thigh gravity and the crus gravity; F is the force that X
patients apply in the MOTAJS; f x and f y are respectively the Fig. 2. The static model of equivalent mechanism.
horizontal component and the vertical component of F . T1
25
Because of the friction torque of each joint, the elasticity of III. THE DESIGN OF CONSTRAINED TRAJECTORY
belt, mechanical clearance and other factors which can also The circle treadmill exercise meets the training
influence the no-load torque, therefore, the (3) need additional requirements of patients better, therefore circle is designed for
amendments as (4). Abbreviating as: constrained trajectory. As shown in fig. 3, the long dashed line
M L(T ) u C (5) and the short dashed line are respectively the thigh length and
the crus length. The curve S1 represents the trajectory of the
The calibration parameters could be calculated by (6): MOTAJS when the hip joint rotates in its rotation range with
C L1 (T ) M (6) the hip and crus keeping parallel. The curve S 2 represents the
trajectory of the MOTAJS when the hip joint rotates in its
The calculation of calibration parameters is as follows: it rotation range with the knee bent to the maximum. The curve
sets several groups of joint angles, and controls mechanical S3 represents the trajectory of the end point when the knee
arm to complete no-load movement; then unknown parameters
joint rotates in its rotation range with the hip in the highest
can be calculated by equation (6) according to joints torque
and actual joints angle after stability movement, and then gets position. The curve S 4 represents the trajectory of the end
the average value of the parameters, finally obtains the point when the knee joint rotates in its rotation range with the
MJLLRR no-load torque equation. hip in the lowest position. The workspace of the MOTAJS is
enclosed by curve S1 , S 2 , S3 and S 4 . Circle O1 which is
B. Calculation of Patients Force tangential with curve S1 , S3 and S 2 is the constrained
This segment calculates the force that patients apply in the trajectory. Straight line PO1 and ON are the auxiliary lines.
MOTAJS.
Through the analysis of the geometric method, tangent
From Fig. 2, the coordinate values of point B can be equation between circle O1 and curve S1 is as follow:
obtained as follows:
x2 y 2 (lON lO1N )2
xB l1 cos T1 l2 cos(T1 T 2 )
(7)
yB l1 sin T1 l2 sin(T1 T 2 ) Tangent equation between circle O1 and curve S 2 is as
Through the analysis of the geometric method, the hip joint follow:
torque is M1 (t ) : ( x xP )2 ( y yP )2 (lPM lMO1 )2
M1 (t ) f y xB f x yB (8)
Tangent equation between circle O1 and curve S3 is as
Similarly, the knee joint torque is M 2 (t ) : follow:
M 2 (t ) f y l2 cos(T1 T2 ) f x l2 sin(T1 T2 ) (9) x2 y 2 (lOL lO1L )2
Combined (8) and (9), it can obtain: Among them:
M 1 (t ) fx lON l1 l2
M (t ) H (10)
2 fy lO1N lO1M lO1L r
Considering the joint torque applied by patients is the
difference between measured torque and no-load torque,
patients force solution can be expressed as: Y H
fx M (t ) M * M1
F f H 1 H 1* (11) l2
y M 2 (t ) M 2 M 2 S3
S1
In the formula, H represents the force Jacobian matrix P
inverse, M1 (t ) and M 2 (t ) are respectively the hip and knee
M
joint torques that are applied by patients; M 1* and M 2* are the l1 O1 N
measured torques; M 1 and M 2 are the no-load torques. Thus,
L
at any sampling time in the process of movement, the patients
O X
force applied at the MOTAJS can be calculated, according to
the sampling values of each joints torque sensor and joint S2
angle.
S4
Fig. 3. Constrained trajectory
26
lPM l2 The damping function f has 3 stages: in the first stage,
F d 0.5 N , F is treated as shake, and the terminal velocity is
lOL l12 l2 2 2l1l2 cos T2 zero; in the second stage, 0.5N d F d 8N , the damping
function f is linear, the 't decreases fast and the terminal
xP l1 cosT1 velocity increases fast when F increase, it is easy for patients
to move and patients can build confidence; in the last stage,
yP l1 sin T1 F t 8N , the slope of f reduce gradually, the 't decreases
The following relations are obtained: slowly and the terminal velocity increase slowly when
F increase, it is hard for patients to move faster and patients
x2 y 2 (l1 l2 r )2 (12) can train their strength.
( x l1 cosT1 )2 ( y l1 sin T1 )2 (l2 r )2 (13) In the early rehabilitation training period of patients, weak
f is settled and with the development of rehabilitation training,
x2 y 2 ( l12 l22 2l1l2 cos T2 r )2 (14) f is adjusted for more strong. Through adjusting damping
function f , different mechanical impedance is settled, and
The circle center O1 ( x, y) , radius r can be solved out finally the active rehabilitation training is realized on limb at
through the above three equations. different levels for different patients.
Parametric equations of the circle can be expressed as
follow: B. The Calculation of the Joint Velocity
Obtaining the MAT velocity is not sufficient to control the
x r cos T
xB mechanical arm, thus the joint velocity is needed.
(15)
yB y r sin T
The equation between the terminal velocity and the joint
In order to achieve constrained trajectory, the constraint velocity is as follows:
circle is divided equally, the MOTAJS is controlled and then
followed by each equal points in sequence. X J (q ) q (20)
The coordinate of the adjacent equal points are respectively In (17), J (q) represents the kinematic Jacobian matrix, q
( xB (n 1)
y B (n 1) ) , ( xB (n)
y B (n) ) . represents the joint velocity.
The displacement increment of the adjacent equal points is To solve J(q) , both sides of (7) are taken the derivative
's : with time:
'xB xB ( n 1) xB ( n ) r cos T( n 1) r cos T( n ) l1 ssin T1 l2 sin(T1 T 2 ) l2 sin(T1 T 2 ) T1
X l
's (16) (21)
'y
B yB ( n 1) yB ( n ) r sin T( n 1) r sin T( n ) cos T1 l2 cos(T1 T2 ) l2 cos(T1 T2 ) T 2
l1 co
Y
The Jacobi matrix of the mechanical arm is got:
IV. THE ESTABLISHMENT OF DAMPING CONTROL MODEL
l1 sin T1 l2 sin(T1 T 2 ) l2 sin(T1 T 2 )
J (q ) l cos T l cos(T T ) (22)
A. Establishment of Damping Function
1 1 2 1 2 l2 cos(T1 T 2 )
X represents the mechanical arm terminal (MAT) velocity,
and it can be obtained as follow: The joint velocity is obtained:
's
's q J ( q) X (23)
X (17)
't
C. Realization of Control Strategy of Active Training
't is the time interval which is spent by the MAT when it After (11), (17), (19) and (23) are combined, the
moves between the two adjacent equal points on the rehabilitation robot control algorithm expression is got as
constrained trajectory. 's is calculated in section III. In order to follows:
realize the damping control of MAT, it needs to establish
damping function. J (q) 's
q J (q ) X (24)
't f (F ) (18) f ( H ( M * M ))
The specific damping function f is designed as followed: Principle block diagram of rehabilitation robot active
training based on constrained trajectory is shown in Fig. 4.
200 F 2100 0.5 N d F d 8 N Specific work principle is as follows. In a sampling time, it
't (19) measures torque value of each joint by torque sensors, and
4000 / F F t 8N calculates no-load joints torque through each joint angle at the
current moment, then calculates the force which patients apply
27
Lower Limb of the thigh and crus are given respectively:
Joint Torque Movement Lower l1 =380mm , l2 =325mm . The actual angle of hip joint and knee
Sensor Limb joint were recorded by position sensors during the experiment.
Neural
Feel Robot The actual trajectory of MAT can be calculated by (7). The
Control
Rehabilitation Movement Central actual trajectory and calculated trajectory of MAT are shown in
Robot Nervous Fig. 6.
Velocity Joint
Command Angular In order to show the error between actual trajectory and
Servo Motor Velocity Velocity Robot Inverse
calculated trajectory better, the position error and angle error
are defined in Fig. 7. The position error and angle error appear
Controller Limit Jacobian
when the actual point is not coincided fully with the calculated
point. The position error is the shortest distance between the
Working Constraint Equal Terminal
Space Trajectory Process Velocity
Joints Angle Terminal
No-load Movement Velocity
Joints Time Calculation
Torque Interval
Patient
Damping
Force
Function
Calculation
Measured Patient
Joints Force
Torque
Fig. 4. Principle block diagram of rehabilitation robot active training

Fig. 5. Experiment setup
on the MAT. The motion time interval of the MAT is obtained
through the damping function. The displacement increment of -80
adjacent equal points is got, after constrained trajectory is
processing equally. The terminal velocity is calculated through -100
the displacement increment and the time interval of motion. -120
The angular velocities of each joint of robot are mapped from
terminal velocity by using the inverse kinematical Jacobi -140 Calculated trajectory
Y(mm)
matrix of robot. Angular velocity commands are imported to -160

the servo motor controller after the velocity saturation
limitation, and the stable output of angular velocity is achieved -180 Actual trajectory
by driving servo motor. Finally the robot achieves active -200
rehabilitation training on patients limbs based on constrained
trajectory. -220
It is not difficult to find the principle of active training -240

based on damping control through the above steps and analysis.
Mechanical damping system is modeled from the dynamic 300 350 400 450 500
relationship between the interaction that patients apply on the X(mm)
rehabilitation robot and the robot kinematics. The interaction Fig. 6. The actual trajectory and calculated trajectory of MAT
force is transformed into controlled instruction of the
movement speed of the rehabilitation robot through the Calculated point
mechanical damping. The whole movement process behaves as Actual point
that robot passively follows and assists limb movement. The
robot can provide assistance timely according to the human Angle error
motion intention. At the same time, through adjusting the
damping function parameters, different mechanical damping
can be set, and finally the active rehabilitation training on limb Position error
is achieved at different levels.
V. EXPERIMENT AND RESULTS

The right mechanical leg module is used to do experiment. Cricle center
The experiment scene is given in Fig. 5. The human leg is Constraint trajectory
bound on the pedal and the human hip and knee joints well
match the corresponding joints of mechanical arm. The lengths Fig. 7. The position error and angle error
28
To be clear, the rehabilitation training robot is mainly
required safety, stability while contacting with the human body.
0.08 It is no strict requirements on the track, so the error is within
0.06 the allowable range.
Relative position error
0.04 The terminal force and terminal velocity are recorded

during experiment. They are shown in Fig. 10. It can be found
0.02 out that terminal velocity is zero when terminal force is less
0 than 0.5N, and damping function f is working at the linear
-0.02
stage when terminal force is more than 0.5N, but third stage
of f dont appear because terminal force is less than 8N during
-0.04 experiment.
-0.06
0 10 20 30 40
VI. CONCLUSION
t(s)
In order to help patients achieve effective and coordinating
Fig. 8. The relative position error multi-joints movement easily, the paper presents an active
training method of a lower limb rehabilitation robot based on
0.2 constrained trajectory. The method achieves active training
through limiting the movement of patient on the constrained
0.1 trajectory and implementing damping control on patient force.
Through adjusting the damping function, it can achieve the
Relative angle error
0
active rehabilitation training for different patients at different
-0.1 levels. Finally, the feasibility of the method is validated by the
experiment.
-0.2
-0.3 ACKNOWLEDGMENT
-0.4 This work is supported by Special Research Found for the
Doctoral Program of Higher Education (no.20131333110006) ,
-0.5 the Natural Science Foundation of Hebei Province of China(no.
0 10 20 30 40
t(s) E2015203405), and the High Level Talent Project in Hebei
Province.
Fig. 9. The relative angle error
REFERENCES
2
[1] G.Z. Xu, A.G. Song and H.J. Li, System design and control technique
Terminal force
1.8 of robot-aided rehabilitation, Journal of Clinical Rehabilitation Tissue
Terminal velocity Engineering Research, vol. 13, pp. 717-717, 2009.
Terminal velocity(mm/s)
1.6 [2] D.W. Jin and J.Z Zhang, System design and control technique of robot-
aided rehabilitation, Modern Rehabilitation, vol. 4, pp. 643-644, 2000
Terminal force(N)
1.4 [3] Yano H, Kasai K, Saito H, et al. Sharing Sense of Walking with
Locomotion Interfaces[J].International Journal of Human Computer
1.2 8 Interaction, vol. 17,pp. 447-462.2005.
[4] Jezernik S, Colombo G, Keller T. Robotic Orthosis Lokomat: A
1 Rehabilitation and Research Tool[J]. Nearomodulation, vol. 6, pp. 108-
105, 2003
0.8 7 [5] Metrailler P, Blanchard V, Perrin I, et al. Improvement of Rehabilitation
Possibilities with the MotionMaker[C]. The First IEEE/RAS-EMBS
0.6 International Conference on Biomedical Robotics and Biomechatronics,
pp. 359-364,2006.
0.4 6
0 10 20 30 40 50 60 70 [6] N. Hogan, Impedance control: an approach to manipulation: part I
t(s) theory,Part IIimplementation, part IIIapplications, ASME
Transactions Journal of Dynamic Systems and Measurement Control B,
Fig. 10. The terminal force and terminal velocity vol. 107, pp. 1-24, 1985.
actual point and the constraint trajectory; the angle error is [7] MASON M T. Compliance and force control for computer controlled
manipulators[J].Systems, Man and Cybernetics, IEEE Transactions, vol.
phase difference between the calculated point and the actual 11, pp. 418-432,1981.
point. The relative position error and relative angle error are [8] Harashima F, Suzuki S. Human Adaptive Mechatronics-Interaction and
respectively shown in Fig. 8 and Fig. 9. In Fig. 8, the relative Intelligence[C]. Proceedings of the 9th IEEE International Workshop on
position error is negative when actual point is inside the circle, Advanced Motion Control, pp.1-8, 2006.
and it is positive when actual point is outside the circle. In Fig.
9, the relative angle error is very big in the beginning, because
the angles of calculated point and actual point are both small.
29
Fuzzy Controller Design of the Wire Feeder of

Invasive Vascular Interventional Surgery Robot
Hongbo Wang, Shuaishuai Wang, Wen Zhang, Liyu Xue Yang

Xie School of Mechanical Engineering, University of Jinan
Parallel Robot and Mechatronic System Laboratory of Jinan, China
Hebei Province me_yangx@ujn.edu.cn
Key Laboratory of Advanced Forging & Stamping
Technology and Science of Ministry of Education, Yanshan
Luige Vladareanu, Radu Munteanu
University, Qinhuangdao China
hongbo_w@ysu.edu.cn, wangshuaispring@163.com, Mechatronics Laboratory, Romanian Academy - Institute of
ysdxzw@sina.cn, Xieliyu1990@sina.com Solid Mechanics, Bucharest, Romania
luigiv2007@yahoo.com.sgd, radu.munteanu@mas.utcluj.ro
AbstractA fuzzy controller is established for the wire feeder performance of the wire feeder, the dynamic model of the wire
of the invasive vascular interventional surgery robot in this paper. feeder is constructed. Based on the dynamic model, the fuzzy
First of all, the mechanism of the wire feeder is introduced, and PID controller is established to improve the accuracy of
the axial motion is analyzed. Second, the dynamic model of the position tracking and the anti-jamming ability. The simulation
wire feeder is established. Next, the fuzzy PID controller is shows that the tracking error of the fuzzy PID controller is
established to improve the positional accuracy and dynamic smaller than normal PID controller and the fuzzy PID
performance. At last, the controller is simulated by MATLAB. controller has greater anti-jamming ability.
Comparing with normal PID controller, the fuzzy PID controller
has better dynamic properties and anti-jamming ability. This paper is organized as follows. In section 2, the
mechanism of the wire feeder is introduced, and the dynamic
Keywordsinvasive vascular interventional surgery; wire model of the wire feeder is constructed. In section 3, the fuzzy
feeder; fuzzy PID controller; adaptive control inference rules are analyzed, and the fuzzy PID controller of
the wire feeder is designed. In section 4, the simulation is
I. INTRODUCTION conducted. At last, the conclusion is obtained.
Vascular interventional surgery is that the doctor inserts the
catheter into blood vessels and cure lesions under the guidance II. DYNAMIC MODELING FOR WIRE FEEDER
of the Digital Subtraction Angiography (DSA) so that the
catheter reaches the embolism and malformed vascular to A. Mechancial Realization
dissolve the clot of narrow blood vessels or is used for other The wire feeder is used to clamp, move and rotate the
purposes[1-2]. Vascular interventional surgery has been the surgery guide wire. It consists of a fixed finger, a promoting
key method to cure the cardiovascular disease [3]. But there are finger and rotating finger as shown in Fig. 1. The fixed finger
obvious weaknesses of vascular interventional surgery, such as: is mounted on the front of the wire feeder. It is used to locate
the work environment has lot of X-ray, which will lead to the catheter that has been inserted into vessel and paves a way
occupational disease; it is easy to be fatigued for the doctor, for subsequent wires. The promoting finger locates in the
because of the complex surgery procedure; the surgery needs middle of the device. It is used to grasp the catheter or the
doctors with rich experience. These drawbacks limit the wide guide wire and bring them moving along axial direction. The
application of the vascular interventional surgery [4]. To solve rotating finger locates in the end of the robot. It is used to
this problem, the invasive vascular interventional surgery robot rotate the catheter and guide wire. These three fingers could
should be applied in vascular interventional surgery. Robotic deliver the catheter and guide wire to the lesion location.
manipulation of surgical instruments has many advantages,
such as precise positioning in accordance with the medical The feed schematic of the wire feeder is shown in Fig. 2.
images, executive action without vibration, working in the The driving force of the movement comes from a DC motor.
detrimental environments to human, repositioning or reaching The power outputted from the motor is transferred to a screw
multiple targets through a complex trajectory rapidly and through a pair of meshing gears. The screw rotation drives the
exactly [5]. screw nut moving back and forth. The promoting part of the
mechanism is fixed on the screw nut, so it moves back and
The wire feeder is the direct actuator of the invasive forth following the screw nut. The promoting finger is mounted
vascular interventional surgery robot system. So its dynamic on promoting part. So the promoting finger will follow the
properties and anti-jamming ability are the main indicators of motion of the screw nut. The promoting finger consists of
the robot motion system performance. To improve the double grippers. It could clamp catheter or the guide wire, and
978-1-4673-7995-3/15/$31.00 2015
c IEEE 30
bring them moving along axial direction. The selected motor is d 2T sx
maxon-RE13. Tsx1 J sx1 J sx 2
Tsx 3 (2)
dt 2
Fixed figner Promoting finger Rotating finger The kinetics equation of meshing gear could be written as:
d 2T sx
Tsx 3 J sx 3 Tsx 4 (3)
dt 2
d 2T sxc
Tsx 4 J sx 4 Tsx 5 (4)
dt 2
The kinetic equation of screw could be described as:
d 2T sxc
Tsx 5 Tt
J sx 5 (5)
Fig. 1 Wire feeder. dt 2
d 2T sxc
Tsx 5 J sx 5 Tt (6)
Meshing dt 2
gears Torque Tt of screw could be described as:
Gripper
P
Ft Tt (7)
2S
The force between screw and the promoting finger could be
described as:
d 2 xs
Maxon motor Ft Ff Fe
Mt (8)
dt 2
The friction Ff, between promoting finger and catheter,
Fig. 2 Feed schematic of wire feeder. includes viscous friction and coulomb friction. It could be
written as:
xs
dxs
ms Fe Ff Pv
Pc M t g (9)
jsx5 dt
jsx4 The relational equation, between the position xs of the
Tsxc isx5 promoting finger and the angle of the screw, could be
Tsx
Tsx jsx3 described as:
jsx1 jsx2
p
T sxc
xs (10)
Fig. 3 Simplified axial motion
2S
The force Fe is the axial resistance between catheter and
guide wire. Supposing the motion of catheter and guide is
B. Dynamic model of wire feeder along the axis of blood vessel, the catheter and guide is flexible,
Robot system is a nonlinear and uncertain system. So the and the effecting of Fe is very small. So Fe could be ignored.
accurate dynamic model is difficult to establish. In this section,
Based on previous equations, the following equation
to construct the approximate dynamic model of the wire feeder,
describing the relation between the moment of the motor and
its axial motion is simplified as shown in Fig. 3. Dynamic
the axial displacement could be obtained:
model follows the following assumptions(1) Robot system is
a linear system. (2) Ignore uncertain factors, such as friction J s J sx1 J sx 2 J sx 3 isx
from bearings. (3) The weight of catheter and guide line is very 2S d 2 xs
Tsx 2
2

small. So their inertia and weight could be ignored. (4) The p J sx 4 J xs 5 mt p
dt
frictional resistances, which generate by the axial motion of the 2S (11)

catheter and guide ling along the blood vessel, are very small.
And part of them could be ignored. p 2S dxs p
Pv isx Bs Pc mt g
Based on these assumptions, the kinetic equation of the 2S p d t 2S
wire feeder could be deduced as following: Where, p is the lead of the screw. Js, Jsx1, Jsx2, Jsx3, Jsx4, Jsx5
are the rotational inertia of the motor, joint, transmission rod,
The motor kinetic equation could be described as: driving gear, driven gear and screw, respectively. isx is the
d 2T sx dT transmission ratio of the gear. mt is the mass of the promoting
Tsx J s Bs sx Tsx1 (1)
dt 2 dt finger. xs is the axial displacement. v, c is the coefficient of
The kinetic equation of joint and transmission rod could be coulomb frication and viscosity friction for the promoting
established as following: finger and guide rail. Bs is the damping coefficient of the motor.
31
III. CREATING FUZZY CONTROL RULES
In this section, the fuzzy PID controller is designed for the
wire feeder. The key point of designing a fuzzy PID controller
is to find out fuzzy relations between three parameters of PID
and the errors e, ec. Based on the fuzzy rules, PID parameters
could be adjusted to fit the corresponding error e and error
change ec.
To realize the online self-tuning of the three PID
parameters through fuzzy PID controller, it needs the expert
experiences to establish the fuzzy inference rules table. The
range of the input linguistic variables e and ec are {NB, NM,
NS, O, PS, PM, PB}. The range of output linguistic variables
Kp, Ki, Kd are {NB, NM, NS, O, PS, PM, PB} [6]. Fuzzy
inference rules tables of Kp, Ki and Kd are established as
following:
TABLE I. Fuzzy inference rules for Kp a) Nonlinear relation for Kp
e/ec NB NM NS ZO PS PM PB
NB PB PB PM PM PS ZO ZO
NM PB PB PM PS PS ZO NS
NS PM PM PM PS ZO NS NS
ZO PM PM PS ZO NS NM NM
PS PS PS ZO NS NS NM NM
PM PS ZO NS NM NM NM NB
PB ZO ZO NM NM NM NB NB
TABLE II. Fuzzy inference rules for Ki
NB NB NB NM NM NS ZO ZO
NM NB NB NM NS NS ZO NS
NS NB NM NS NS ZO PS PS
ZO NM NM NS ZO PS PM PM
PS NM NS ZO PS PS PM PB
PM ZO ZO PS PS PM PB PB
PB ZO ZO PS PM PM PB PB
TABLE III. Fuzzy inference rules table for Kd b) Nonlinear relation for Ki
NB PS NS NB NB NB NM PS
NM PS NS NB NM NM NS ZO
NS ZO NS NM NM NS NS ZO
ZO ZO NS NS NS NS NS ZO
PS ZO ZO ZO ZO ZO ZO ZO
PM PB NS PS PS PS PS PB
PB PB PM PM PM PS PS PB
Based on the fuzzy inference, the value of Kp, Ki, Kd

could be abtained. The real values of PID parameters Kp, Ki, Kd
could be described as the linear superposition between Kp,
Ki, Kd and the initial value Kp0, Ki0, Kd0 as show in formula
12.
K p K p 0 'K p

Ki K i 0 'K i (12)
K K d 0 'K d
d c) Nonlinear relation for Kd
Based on upper fuzzy inference rules of PID parameters,
Fig. 4 are drawn to describe the nonlinear relations between Kp, Fig. 4 Nonlinear relations for PID parameters
Ki, Kd and e, ec.
32
There are lots of methods for narrating fuzzy variables. In IV. SIMULATION BASED ON MATLAB
this section, the COA method is adopted: Since the robot system is a nonlinear and uncertain system,
so it is difficult to establish its accurate dynamics model. In this
u P x , y ,u
i u k k i
section, the simulation is based on the linear formula 14. To
uFC xk , yk i
(13) verify the dynamic properties and anti-jamming ability of the
P x , y ,u
i
u k k i
fuzzy PID controller, the fuzzy PID and the normal PID model
Where, uFC(xk, yk) is the real output from control system. ui are constructed in the fuzzy kit of MATLAB. Comparing
is the discrete element of the output fuzzy set. u(xk, yk, ui) is outputs from two models, it concludes that the fuzzy PID
the membership function for the corresponding element. controller has better performance.
The upper formula is the discretization form of the centroid Based on the formula 11, the dynamic equation could be
defuzzification method. The process for narrating fuzzy obtained. Values of parameters in formula 11 are shown in
variables is offline, and the control strategy table is saved in the following table. Then, the open loop transfer function could be
computer. When the control system is running, the control obtained.
system will read the control strategy table to modify Kp, Ki
xs (s) 28.7923
and Kd. (14)
Tsxc (s) s 0.0077 s
2
TABLE IV. Mechanical parameters of the wire feeder (g/mm2)
Js Jsx1 Jsx2 Jsx3 Jsx4 Jsx5 mt(kg) v p(mm) Bs c isx

0.54 65.13 23.95 408.28 4176.56 398.46 124.80 0.2 1 0.02 0.1 4.44
Fig. 5 Control system model of the fuzzy PID and notmal PID controller
The fuzzy inference system of the robot is constructed 1.5

Input
through 2-dimensional Mamdani controller. Fuzzy inference Output of fuzzy PI D
rule is constructed according to previous tables. The method 1
Output of norm al PID
Tracking displacem ent(mm)
of Max-min is adopted with fuzzy Control Strategy. The

0.5
method of COA is adopted for narrating fuzzy variables. The
range of fuzzy variables e, ec, Kp, Ki, Kd is designed
0
according to position command, initial error and experience.
To simplify the calculation, the shape of membership function
-0.5
uses the triangle [7-8].
The model for this fuzzy system is constructed in -1
MATLAB as shown in Fig.5. Comparing the fuzzy PID with

normal PID, the scope shows the outputs from fuzzy PID and -1.5
0 0.5 1 1.5 2
normal PID. Initial parameters of the fuzzy PID could be
obtained by using formula Z-N [9]. Fig. 6 Tracking the sinusoidal signal
33
0.06 To verify the anti-jamming ability of the fuzzy PID model,
Fuzzy P ID err or
0.04 the system could be simulated by unit step response of the wire
Normal P ID error
feeder. After the wire feeder running for 0.5s, Step signal with
0.02
amplitude 1 mm will be added. The tracking displacement and
the tracking error of the fuzzy PID and normal PID controller
Tracking e rror(mm)
0
will be obtained as shown in Fig.8 and Fig. 9. The tracking
-0.02
displacement with the time is shown in Fig. 8. The tracking
-0.04 error with the time is shown in Fig. 9. Comparing with the
-0.06 normal PID controller, the fuzzy PID has many advantages,
such as smaller overshot, fast response, and shorter time to
-0.08
adjust the error.
-0.1
Comparing the normal PID controller with the fuzzy PID
-0.12
0 0.5 1 1.5 2
controller, the fuzzy PID controller could track the
Tim e(s) displacement better which will improve the positional accuracy
Fig. 7 The error of tracking the sinusoidal signal of the wire feeder. And it has the greater ability for anti-
jamming, which means it will make fast responses for the
To verify the position tracking performance of the fuzzy jamming.
PID model, the system can be simulated by tracking the
sinusoidal signal with amplitude 1 and frequency 0.1rad/s. V. CONCLUSION
Then the output results from fuzzy PID and normal PID are
In this paper, the dynamic model for the axial motion of the
shown in Fig. 6 and Fig. 7. The tracking displacement with the
vascular interventional surgery robot is constructed. The axial
time is shown in Fig. 6. The tracking error with the time is
motion has many nonlinear factors, so the accuracy for slave
shown in Fig. 7. Based on Fig. 6 and Fig. 7, the track error for
hand tracking the position is not guaranteed by using the
fuzzy PID is better than normal PID, so the fuzzy system has
normal PID control. The fuzzy PID controller is designed for
better dynamic property.
this robot to track the position. The simulation shows the fuzzy
1.6 PID controller is better than normal PID controller and the
Input tracking performance is improved.
1.4 Output of fuzzy PID
Output of normal PID
Tracking displacement(mm)
1.2 ACKNOWLEDGMENT
1 This work is supported by Special Research Found for the
Doctoral Program of Highe r Education (no.20131333110006),
0.8 the Natural Science Foundation of Hebei Province of China (no.
0.6
E2015203405), and the High Level Talent Project in Hebei
Province.
0.4
0.2
REFERENCES
0 [1] W. S. Lu, W. Y. Xu, J. Zhang, et al. Application study of medical robots
0 0.5 1 1.5 2
Time(s) in vascular intervention. The International Journal of Medical Robotics
and Computer Assisted Surgery, 2011, 7(3), 361-366.
Fig. 8 Tracking the step signal
[2] J. Li, N Zhou, S. Wang, et al. Design of an integrated masterslave
0.6 robotic system for minimally invasive surgery[J]. The International
Fuzzy PID error
Journal of Medical Robotics and Computer Assisted Surgery, 2012, 8(1):
0.4 77-84.
Normal PID error
[3] D. Steven, H. Servatius, T. Rostock, et al. Reduced fluoroscopy during
0.2 atrial fibrillation ablation: benefits of robotic guided navigation[J].
Journal of cardiovascular electrophysiology, 2010, 21(1): 6-12.
Tracking error(mm)
0 [4] J. Guo, S. Guo, N. Xiao, et al. A novel robotic catheter system with
force and visual feedback for vascular interventional surgery[J].
-0.2 International Journal of Mechatronics and Automation, 2012, 2(1): 15-
24.
-0.4
[5] R. Saneifard, R. Saneifard. A method for defuzzification based on
-0.6 centroid point[J]. Official J Turk Fuzzy Syst Assoc, 2011, 2: 36-44.
[6] Sun Z, Li Z, Chen L, et al. Creating fuzzy control rules based on data
-0.8 mining[C]//2010 Sixth International Conference on Natural
Computation. 2010, 3: 1635-1639.
-1 [7] L. Da, D. Liu. Accuracy experimental study of the vascular
0 0.5 1 1.5 2
Time(s) interventional surgical robot propulsive mechanism[C]//Complex
Medical Engineering (CME), 2011 IEEE/ICME International
Fig. 9 The error of tracking the step signal Conference on. IEEE, 2011: 412-416.
34
[8] Y. Li, S. Tong, T. Li, et al. Adaptive fuzzy control of uncertain [9] K.S.Tang, K. F. Man, G. Chen, S. Kwong. "An Optimal Fuzzy PID
stochastic nonlinear systems with unknown dead zone using small-gain Controller". IEEE Transactions on Industrial Electronics. vol. 48, NO.4,
approach[J]. Fuzzy Sets and Systems, 2014, 235: 1-24. pp. 757-765, August 2001.
35
Advanced Intelligent Walking Robot Control through

Sliding Motion Control and Bond Graphs Methods
Ionel-Alexandru GAL and Luige VLADAREANU* Hongbo WANG
Romanian Academy, Parallel Robot and Mechatronic Sys. Lab. of Hebei Province
Institute of Solid Mechanics of Romanian Academy IMSAR Key Laboratory of Advanced Forging & Stamping
Dept. Robotics and Mechatronics Technology and Science of Ministry of Education, Yanshan
Bucharest, Romania University, Qinhuangdao, China
luigiv2007@yahoo.com.sg hongbo_w@ysu.edu.cn
Hongnian YU Mingcong DENG

School of Design, Engineering and Computing, The Graduate School of Engineering
Bournemouth University, Dorset BH12 5BB, UK Tokyo University of Agriculture and Technology
yuh@bournemouth. ac.uk 2-24-16 Nakacho, Koganei Tokyo, 184-8588, Japan,
deng@cc.tuat.ac.jp
Abstract In this paper, we tested a dynamic control law on a The method uses the analogy effort-flow to describe a
2DOF robot walking leg. To achieve this, we modeled the system process that is graphically represented like some elementary
using bond graphs, and the Sliding Control Method for real time components that have one or multiple ports. These ports are the
control. To increase performance of the robot trajectory tracking places where the systems components interact with each other
control a fuzzy gain adjustment inside the dynamic control [8] (Figure 1).
method have been used and the new results include the systems Every physical process is described by using these few
influence on the sliding parameter. The research results lead to elementary components: effort and flux sources (SE and SF);
improve of the walking robot movement control on unstructured buildup of effort and flow (I and C); power dissipation (R);
and bumped surfaces.
power transformation (TF transformers and GY gyration);
Keywords Sliding Motion Control; Robotics; Bond Graphs;
effort and flux nodes (e and f).
Simulation, Intelligent Walking Robot Control. By using this type of modeling allowed by the bond graphs,
we made a virtual system that is a model of, and simulates, a
walking robots leg with 2 degrees of freedom. This was
I. INTRODUCTION conducted in the Bond Graph simulation environment 20-Sim.
Before testing on a real kinematic structure, one needs to By using this virtual system we could test a dynamic control
design and verify his control laws in a virtual testing law based on Sliding Control Method [2, 10]. This type of
environment. For this we have chosen to use the Bond Graph simulation represents a new method of approaching the design
modeling approach [1, 2]. To use the Bond Graphs modeling and control of walking robots that are controller through a
one can find it rather hard unless he has a database with dynamic control method.
different models previously developed by him or others. The Sliding Motion Control (SMC) is a robust control
Because robotic systems have a strong coupling between their method that has adjustable parameters, and can be easily
dynamics and because model uncertainties make motion modified to adapt on different mechatronic systems. This
control a difficult problem we used Bond Graph modeling to method is used because its dynamic behavior can be modified
reduce these effects. according to specific options [12, 14] and because its closed
Through modeling, one can design a system starting from loop response is imperturbable for a certain group of
its components and can simplify the problem at hand. The uncertainties [6] including nonlinear systems, MIMO systems
reason is because modeling can abstract certain subsets of a and systems that work on discrete time. The SMC has also
model attributes. Thus one can focus on the relevant issues of many advantages and disadvantages [14] and several methods
the problem [3, 5]. that were developed to improve its performances through
In 1959 at MIT, Henry Paynter has designed the well- intelligent approaches [4, 13, 15-17], including fuzzy logic
known approach called Bond Graphs. After that, Kamopp and control and neural network control.
Rosenberg published improvements to the original method to This Sliding Control Method is composed of two main
be used in practice but Breedveld formulated the framework parts. The first one, is formed by the control law which uses the
and Damic and Montgomery [5] continued to develop the system inverse dynamic model, meaning that the SMC in
method which leads to the current form of Bond Graphs. directly dependent on the whole dynamic system. The second
one is the discontinuous and robust term that introduces a high
* Corresponding author
978-1-4673-7995-3/15/$31.00 2015
c IEEE 36
control gain into the system, to minimize and to neglect system Also, we need the numerical values of the physical
uncertainties and disturbances. characteristics of the robot to test the control system. Thus, in
In this paper, well present a modified dynamic control Table 1, these values are presented and are chosen closer to
SMC, developed with the help of bond graphs and for which reality.
we used a fuzzy control law to amplify the command signal for
each joint/motor. The purpose of this paper is to improve a Bond graphs are mainly used in modeling the mechatronic
walking robot movement control on unstructured and bumped system because this component part of the system is the most
surfaces and to achieve improved tracking performances of difficult to simulate. Thus, by using the bond diagram from
position reference. Fig.3, we could simulate the behavior of a joints motor.
Having the diagram of a motor, we could simulate the
rotation joints of the robot. Because the system is simulated,
the initial angular values from the robot joints will always be
zero. This is why, we must always take into account that the
first motion a robot must take is a homing movement.
Fig. 1. A generic element for bond graphs
II. SYSTEM DESCRIPTION

The designed control system was applied to a walking
robots leg that has 2 degrees of freedom with rotation joints.
This system is presented in Figure 2 [7, 9].
Fig. 3 Bond diagram that simulates the behavior of a motor
III. THE DYNAMIC CONTROL USING SLIDING CONTROL

METHOD
For the control system used, we have the main dynamic
equation below:
H q q C q, q q G q W d W
where, H q nun is the inertial matrix, the vectors

q, q, q n are the position, speed and angular acceleration
within the robots joints. The matrix C q, q nun represents
Fig. 2. The robot leg structure the Coriolis and centrifugal forces, and G q n is the
gravitational vector. Also, W d n represents the disturbances
TABLE I. ROBOT DIMENSIONS
and dynamics vector that are not computed, and W n is the
Parameter Value Type
desired torque.
m1 0.04 kg
Knowing that the system error is:
m2 0.44 kg
m3 0.22 kg
e qd q
l1 0.1 m
l2 0.5 m we chose the sliding surface as given in equation (4) (as
l3 0.7 m shown by S.E. Shafiei in [4]). This value of s tends to 0 when
g 9.8 m/s2 the error e also tends to 0, meaning that lim(s)=0 when
e o0.
The above kinematic structure corresponds to the equations
system in equation (1), in which mi is the mass and li is the
length of each link and g is the gravitational acceleration. t
s
e O1e O2 edt
0

xM l2 sin T1 l3 sin T2
y
M l1 l2 cos T1 l3 cos T2
37
By using equation (4) we can rewrite the equation (2) and To calculate the Kfuzzy amplification matrix, we need two
obtain equation (5), by replacing the value of q with the sum inputs, s and s for which we have the membership
q+s, which will have the value of the desired value of qd functions in Figure 4a and Figure 4b.
when s equals zero. The value of q becomes qd because
we need to calculate the torque of a desired angular position. The abbreviation from Figure 4a and Figure 4b stands for:
N=Negative, Z=Zero, P=Positive, V=Very, B=Big,
M=Medium, S=Small. The values of these membership
H q q s C q, q q s G q W d W functions are presented in [11]. The control diagram used in the
Sliding Control Simulation is the one presented in Figure 5. In
the control diagram (Figure 5) we can observe two main parts:
By replacing the terms of equation (4) and (5) we get: the sliding control area and the motors joint control. The
diagram has three function blocks that can be attributed to the
Hs Cs f W d W sliding control method. The first block is the one that computes
the value of f from the equation (8). This block uses the
values that were computed by many blocks: the reference
Results that we can compute the torque: generation blocks for each joint; the error computation block;
the function block that computes the dynamic matrix [11].
W f KV s Ksat s
Where,
t
f

H qd O1e O2 e C qd O1e O2 edt G

0
The equation (6) presents the force estimation, and

t
Kv s
K v e K v O e K v O edt is the exterior PID tracking
0
loop, Kv,K are positive diagonal matrix and are built so Fig. 4 (a) Member function for the input s
that the stability conditions are fulfilled. The lambda 1 and 2
matrix were adjusted to get the best results. The sat(s)
function used is the sat function, in which M is a constant that
defines an area around the sliding surface in which the control
parameter K is lowered proportional to the constant M:
1, s d M

s s
sat , M s M
M M
1, M d s
Fig. 4 (b) Member function for the input s

K N K fuzzy , KV NV K fuzzy
The second block that forms the Sliding Control Method is
the block that computes the value s according to equation (4)
and it contains the PID computation of the error e, equation
20 0 10 0 (3). The third SMC control block is the one that computes the
O1 0 20 , O2 0 10
reference torque for each joint, by using the equation (7). This
block gets its dynamic data from the block that computes the
To calculate the two matrix K and Kv we use a fuzzy value of f, gets the value of s for a better tracking control,
control law and two constant matrix, N and Nv: and also uses the fuzzy matrix, and also the value of the
sat(s) function. The sat(s) function has the role to keep the
end-effector in a stable area around the reference, by
50 0 5 0 decreasing its amplification value when the end-effector is
N 0 50 , Nv 0 10 inside the target area.

38
Fig. 5 The Dynamic Leg Control using Sliding Control and Bond Graphs
By using all these control blocks, we compute the reference respectively joint 2. In these two figures, the control error has
torque values that will be used by the motor joint control three peaks. The first one is due to homing motion at the start
blocks. These values are inputs to the joint PD (proportional of simulation, and the other two are perturbations introduced
derivative) feedback loop, which regulates the torque for each within the reference to test the systems response to rapid
joint torque. For these output signals we added a band filter of change in the reference signal.
+/-100 so the motor real inputs are not too big. Using the
presented control blocks, we have made an internal torque The obtained error in the case of joint number 1 is starting
control feedback loop and an external joint position feedback to stabilize after 0.25 seconds, to an angular error lower than
loop control, by using a dynamic approach along with the +/- 0.015 radians, meaning 0.86 degrees, after which the
Sliding Control Method. system continues to lower the error, but in a slower pace. In the
case of joint number 2, the system reaches in the first 0.25
seconds from the introduced disturbance a +/- 0.05 radians
IV. RESULTS AND CONCLUSIONS error meaning 2.87 degrees, but which continues to decrease in
The control system was made and simulated with the help a slower pace, better presented in Figure 7.
of the 20-Sim modeling environment which has the possibility
of using bond graphs. In Figures 6a, 6b and 7 we presented the
error resulted from the dynamic control modeling with the help
of Sliding Control Method and Bond Graphs.
Research goals involve applied Sliding Motion Control
(SMC), such as design of the advanced intelligent walking
robot control joint with the virtual projection method, known
as Vladareanu-Munteanu method, for design and develop a
real-time control system.
Fig. 6 (b) Joint 2 - Angular Error (rad)
Fig. 6 (a) Joint 1 - Angular Error (rad)
In testing the control system, we chose 2 sinusoidal signals

of 2 and 2.5 radians amplitude. In Figures 6a and 6b we present
Fig. 7. Joint 2 Zoomed in angular Error (rad)
the obtained results according to the simulation for joint 1 and
39
As presented above, Figure 6b presents the error from the because it uses only simple effort-flow elements to model any
joint with the highest error, but which has a higher reference components. This type of simulation is very accurate, when
for the same frequency of the sinusoidal signal, resulting a done right, and we can build and simulate any type of control
higher movement speed. laws which use these simple elements. Moreover, this type of
simulation doesnt need a solver as in the case of Matlab
The maximum simulation time was chosen at 10 seconds. Simulink, which determines the time step and tolerance of
After 3.5 seconds from the disturbance, the error drops under errors. This means that when simulating certain types of
0.01 radians (0.57 degrees) and after another 1 second the error mechanical and electrical systems, the Bond graph modeling
drops under 0.0075 radians (0.43 degrees) and after that it will can achieve better results
oscillate around the zero axis.
The main conclusion is that this kind of control is one that
tracks very well a uniform reference signal. In the case where
we have sudden changes in the reference signals, the system
may need a higher time to reach a smaller error. These
problems occur because the control system behaves like a
predictive one, which uses the reference speed and acceleration
but also the error speed to eliminate the overrides in the
tracking signals so the robot can track and reach the reference
position as smoothly as possible.
Fig. 8. (a) Joint 1 with value of s
Fig. 8. (b) Joint 2 with value of s
To be able to analyze the sliding control method, we

presented the values of SMC parameter s during the Fig. 9 (a) Joint 1 - Angular Error (rad)
simulation. Figures 8(a) and 8(b) presents the reference, the
tracking signal, the error and the value of s. Thus, one can
observe how the sliding control method really works, by
noticing how the computed value of the PID that returns the
s value oscillates for different values of the reference signal.
When the two disturbances are introduced in the reference
system, the value of s has an instantaneous high amplitude
peak, due to its derivative part. For the difference between the
two s signals (joint 1 and joint 2) we can observe that for
joint 2, the disturbance signal records a bigger peak but it also
maintains a higher value (over +/-10) for another 0.125
seconds, where the signal of joint 1 presents an amplitude peak
only at the moment of disturbance.
To verify our results, we simulated the same conditions in a
Matlab Simulink simulation for two simulated motors. The Fig. 9 (b) Joint 2 - Angular Error (rad)
achieved controller results are presented in Figures 9(a) and
9(b). We can see that the overall conditions and tracking is The second conclusion is that the Bond graph simulations
roughly the same, but the error oscillates between +-0.013 can provide a more accurate simulation for the electric motors.
radians (+-0.745 degrees), which is almost double from the By having a custom library of elements one can create and
error obtained by using Bond graph approach. simulate a certain system in a shorter time. This translates into
a decrease in time and used resources, for testing new and
The difference in simulation results as we have seen in the improved control laws in order to prove research data.
case of Bond graphs compared to Matlab Simulink, is more
accurate when simulating mechanical and electrical parts,
40
ACKNOWLEDGMENT 7600, vol. 10, no. 2, pp. 146-153, 2010, doi:
10.4316/AECE.2010.02026.
This work was accomplished through the Partnerships [8] Octavian Melinte, Gal I.A.. Bond graph modeling for haptic interface
Program in priority fields - PN II, developed with the support robot control, Proceedings of the European Computing Conference
of MEN-UEFISCDI, PN-II-PT-PCCA-2013-4, ID2009, (ECC 11), Paris, France, April 28-30, 2011, pag: 364-369, ISBN: 978-
VIPRO project no. 009/2014, Romanian Academy and FP7- 960-474-297-4.
PEOPLE-2012-IRSES RABOT project no. 318902. [9] Gal I.A., Luige Vladareanu, Mihai S. Munteanu, Octavian Melinte. PID
sliding motion control by using fuzzy adjustment, SISOM 2012 and
Session of the Commission of Acoustics, Bucharest 25-26 May 2012.
[10] Vladareanu L., Capitanu L. Hybrid Force-Position Systems with
REFERENCES Vibration Control for Improvment of Hip Implant Stability, Journal of
Biomechanics, 45, S1, S279, ISSN 0021-9290
[1] Damic V., Montgomery J.. Bond Graph Based Automated Modelling
Approach to Functional Design of Engineering Systems, Proceedings of [11] Gal I.A., Luige Vladareanu, Radu I. Munteanu. Sliding mode control
the International Conference Mechanics in Design'98, Nottingham Trent with bond graph modeling applied on a robot leg, Revue roumaine des
University GB, 1998, 377-386. sciences techniques Srie lectrotechnique et nergtique, 2015 Issue 2.
[2] Vladareanu L., Velea L.M., Munteanu R.I, Curaj A., Cononovici S., [12] Utkin, V. I. Sliding Modes and their Application in Variable Structure
Sireteanu T., Capitanu L., Munteanu M.S. Real time control method and Systems, MIR Publishers, Moscow, 1978.
device for robots in virtual projection, patent no. EPO-09464001, [13] Vladareanu V., andru O., chiopu P., andru A., Vladareanu L.
18.05.2009, EP2105263. Patent OSIM 123527/30.04.2013 Extension Hybrid Force-Position Control of Mechatronics Systems,
[3] Vladareanu V., Ton G., Vladareanu L., Smarandache F. The Navigation First International Symposium of Extenics, Beijing 2013.
of Mobile Robots n Non-Stationary and Non-Structured Environments, [14] Zhang M., Yu Z, H. H., Z.Y, The Sliding Mode Variable Structure
Int. Journal of Advance Mechatronic Systems 01/2013; 5(4):232- 243. Control Based on Composite Reaching Law of Active Magnetic
DOI: 10.1504/IJAMECHS.2013.057663, ISSN online: 1756-8420, ISSN Bearing, ICIC Express Letters, vol.2, no.1, pp.59-63, 2008.
print: 1756-8412 [15] Kaynak, O., Erbatur K., E.M., The Fusion of Computationally Intelligent
[4] Seyed Ehsan Shafiei (Editor). Advanced Strategies for Robot Methodologies and Sliding-Mode Control: A Survey, IEEE Trans. On
Manipulators, ISBN 978-953-307-099-5, Published by Janeza Trdine, Industrial Electronics, vol. 48, no. 1, pp. 4-17, 2001.
Croatia. [16] Vladareanu V., Sandru O.I., Vladareanu ., Yu H.N. Extension
[5] Damic V., Montgomery J.: Mechatronics by Bond Graphs, Springer Dynamical Stability Control Strategy for the Walking Robots,
Publishing. International Journal of Technology Management,SKIMA 2013,
[6] Lin F. J., Wai R. J., Kuo R. H., Liu D. C. A comparative study of sliding Inderscience Publisher, ISSN online: 1741-5276, ISSN print: 0267-5730
mode and model reference adaptive observers for induction motor drive. [17] Pop N., Vladareanu L., Popescu I.N., Ghi C., Gal I.A., Cang, S., Yu
Electr. Power Syst. Res. 44, 163174, 1998. H.N., Bratu V., Deng M., A numerical dynamic behaviour model for 3D
[7] Vladareanu, L., Tont, G., Ion, I., Munteanu, M. S., Mitroi, D. Walking contact problems with friction, Computational Materials Science,
Robots Dynamic Control Systems on an Uneven Terrain, Advances in Volume 94, November 2014, Pages 285-291, ISSN 0927-0256,
Electrical and Computer Engineering, ISSN 1582-7445, e-ISSN 1844- http://dx.doi.org/10.1016/j.commatsci.2014.05.072.
41
Versatile Intelligent Portable Robot Platform for

Flexible Robotic Cells with AGV
Luige VLADAREANU, Cristian SPIRLEANU and Mihaiela Mingcong DENG
ILIESCU*
Romanian Academy, The Graduate School of Engineering
Institute of Solid Mechanics of Romanian Academy IMSAR Tokyo University of Agriculture and Technology
Dept. Robotics and Mechatronics,Bucharest, Romania 2-24-16 Nakacho, Koganei Tokyo, 184-8588, Japan
luigiv2007@yahoo.com.sg, iomi@clicknet.ro deng@cc.tuat.ac.jp
Hongnian YU Weizhong GUO, Feng GAO

School of Design, Engineering and Computing, School of Mechanical Engineering, Shanghai Jiao Tong
Bournemouth University, Dorset BH12 5BB, UK University, No. 800, Dongchuan Road Shanghai, China
yuh@bournemouth. ac.uk wzguo@sjtu.edu.cn, fengg@sjtu.edu.cn
Abstract The paper studies the flexible robotic cells in Modern assisted design is achieved with design tools using
cooperation with automated guided vehicle (AGV), in the dedicated software like Computer Aided Design (CAD),
presence of obstacles, at constant or variable speed and variable Computer Aided Manufacturing (CAM) or Computer Aided
load, aiming to optimizing the interaction between AGV and Engineering (CAE) in parallel with the use of simulation
flexible robotic cell components. Overall system performance is programs (e.g. structural and operational analysis,
analyzed by using modeling tools for discrete event systems like manufacturing processes optimization). Resource planning has
Generalized Stochastic Petri Net (GSPN). The interaction an important role, starting with how clients requests are
between AGV and flexible robotic cell components is managed, followed by automated scheduling of materials list
implemented through communication messages using serial data
according to items requested from manufacturing process flow
received from an optical XY encoder, communication protocol
and then launching the items in production based on their
receive function is modeled with GSPN. Improving of the
stability performances and real time motion control are analyzed priority level and time interval availability criteria when the
and the virtual projection method is adopted using the Versatile items are part of a manufacturing subansamble.
Intelligent Portable Robot Platform VIPRO. The obtained For the FMS characteristics improvement, the distributed
results, validated on the experimental RTOS robotic platform intelligence plays a significant role. The use of distributed
and DMQX language extension for robotic applications, lead to control technologies offers the optimal solution through
higher performance in relation to interaction optimization,
communication based controllers which ensure both local and
decrease the flexible cells cycle time, increase mobility and
remote control functions inside a SCADA system [4-6].
stability of the AGV and also the development of new
technological capabilities of the control systems. In the paper is presented a new control strategy based on
communication methods (message exchanges) between the
Keywords intelligent control, virtual projection method, real system components by programming language extension which
time robot control, automated guided vehicle AGV, Generalized contains functions designed for real time operating systems
Stochastic Petri Net, flexible robotic cell (RTOS).
I. INTRODUCTION The control methods presented in this paper combine the

communication protocols applied in artificial intelligence
The paper presents a new approach in flexible cell type (multi agent systems, MAS) with industrial communication
robotic systems using distributed control. Manufacturing protocols (e.g. Modbus, OPC server).
systems have gradually evolve from manual production to
automated lines and serial flexible cells, toward nowadays The paper, also presents a robotic platform with innovative
flexible manufacturing systems (FMS) [1-3]. The industrial hardware-software controllers using real time operating system
robot represent the main component of flexible manufacturing and extension language with data acquisition for later robotic
systems due to its execution capability of discontinued system discrete states evolution and performance analysis.
automated processes having a high complexity level. The By using Petri Nets, the operations flows were modeled for
industrial robot can be re-programmed and is easy adaptable to different configurations of flexible robotic cells using DMQX
manufacturing process, involving lower costs in terms of robotic controllers [7, 8]. The collaboration was achieved
workmanship, energy and materials. between system components as MAS system approach, and
* Corresponding author
978-1-4673-7995-3/15/$31.00 2015
c IEEE 42
between robot components as autonomous agents having the CPN modeling language is a general use language, for example
purpose of different tasks implementation at local level. it is not directed to a specific category but to a large system
classes having in common the process concurrence property.
Through message based communication, an improved Anyway, CPN can also be applied for systems modeling where
collaboration between flexible cell components was achieved processes concurrence and communication represent important
for complex robotic tasks implementation. From the characteristics (e.g. manufacturing systems and multi-agent
programming point of view, the scope was to obtain algorithms systems).
optimization and source code simplicity by keeping the
flexibility characteristic and developing adjacent functions The CPN modeling of the mMbus ASCII communication in
inside the language extension. a network with data loss is shown in Figure 1.
As result, a distributed system for flexible robotic cell with The states noted St, Si and Sr, are connected to the
virtual projection method was implemented, integrated in transitions Tt, Ti and Tr through unidirectional arcs. The states
Versatile Intelligent Portable Robot Platform VIPRO, and are represented with oval forms, marked with one or more
using a communication with modified Mbus protocol with tokens. The token associated value at a given time is identified
DQMX language extension for RTOS robotic controllers. by color. By using the CPN representation convention, the
name of states and transitions is placed inside of the graphical
II. MODELING CPN AND GSPN FOR COMMUNICATION forms. The states are grouped depending on communication
PROTOCOLS IN FRC sequence type:
Colored Petri Nets (CPN) represent a graphical language St = {Transmisie, CaracterTransmis,
used for concurrent systems models construction and their Urmtorul_caracter, ContorCar, RecAcc } (1)
Si = {A, B, C, D, EroareCar, FaraAcc, TP, TC }
properties analysis [9]. CPN is a Discrete Events Systems Sr = { Receptie, RecCar, UrmRec}
(DES) modeling language which combines Petri Net
capabilities with those of the high level programming The colors set for the states noted Transmission, A and B is
languages, compared with simple Petri Nets which ensure the defined as <INT x DATA>, and represents the possible
foundation of graphical notation and the basic primitives for combinations set in matrix (INT, DATA), used for data packet
modeling the concurrence and synchronization. The CPN modeling. For the Reception state is defined <DATA> type,
Modeling Language (CPN-ML) is based on Standard ML used to data packet load modeling and represents the set of
functional programming language [10], which gives the basic character arrays of <STRING> type. For the states
elements for data types defining, for data manipulation CharacterTransmitted, FollowingCharacter, ContorCar,
description and for creating compact and parametric models. ErrorCar, C and D was defined a <INT> type colors set.
Fig. 1 CPN modelling for mMbus-ASCII communication in a network with data loss
43
The data packet used for sequence communication In this context the VIPRO platform brings back the
evaluation contains de description of a command having > virtual robots into real world, based on virtual projection
start identifier, the address 01, Mbus register number 04, method.
function identifier read sensor from DMQX extension
language having the arguments 01,07,MbusASCII and at This method enables the development in a virtual
the end >terminator character. Thus, the initialisation of environment of mobile robots mechatronic systems that
Transmission state is defined with 6 tokens of characters comminicate with real robotic systems through high speed
arrays type which are concatenated by the ++operator, in interfaces. The result will consist in the development of a
the following form : versatile, intelligent, protable robotic platform, VIPRO,
which will ensure the improvement of motion stability
1` (1,>)++ perfromaces in, both, virtual and real enmvironment, for
1` (2,01)++ flexible robotic cell.
1` (3,04)++ (2)
1` (4,read_sensor)++ The VIPRO platform architecture (Figure 2), in
1` (5,01,07,mMbusAscii)++ correlation with the virtual projection method, has as main
1` (8,>) component the intelligent control interface module. It uses
advanced control strategies adapted to robot environment,
By using this description and composition way for the such as: extended control (extenics), neutrosophic control
communication messages, the CPN model implements the human adaptive mechatronics, etc., implemented by IT&C
DMQX language extension function, with the suppression of techniques, fast-processing and real time communication
limitations imposed by a classical infrastructure from a ones. This module contains mainly the interface for
distributed system which uses a less robust protocol but intelligent neutrosophic control by integrating the Robot
having a large scale usage - Mbus, and adding improved Neutrosophic Control (RNC) method, Extended Control
characteristics (e.g. the retransmission of sequences from the Interface through Extenics (ICEx) and Haptic Robot Control
data packet in case that unpredictable errors were Interface (HRC).
encountered during the communication process).
Robots Neutrosophoc Control Interface (ICNs)
integrates the robot control neutrosophic method, Robot
III. OPTIMIZATION OF INTELLIGENT CONTROL METHODS
Neutrosophic Control (RNC), known as Vladareanu-
USING THE VIPRO PLATFORM
Smarandache method [13].
The intelligent control method allows optimization of
interaction between AGV and flexible robotic cell
components.
Fig.2 The architecture of the VIPRO control system
ICNs uses the neutrosophic logic to fuse information have to consider the systems passive compliance. The
from robot sensors in order to obtain a high accuracy result generalized space (coordinates) where robot works can be
of sensor data. This result is further used in decision making defined in a six degree of freedom constant space,
process of the robot. The force position hybird control of representing force constraints in normal direction to the
flexible cell robots equipped with the compliant joints also working surface and force constratints in tangential direction.
44
When there is the fusion of information received from problems. The systems extended control enables the
different sensors, a certain rate of conflict is possible to optimization of control process applying extenics theory,
occur. In this case, the robot will use the fuzzy and metrics and extended function to extenics space defined by
netrosophic logics [11-13]. So, real time dynamic the extenics logic. Real time operating consists in
neutrosophic fusion is considered and an autonomous robot implementing the robots extended control inteface (ICEx)
can make a descision at any moment. In order to combine into the basic scheme.
information, there can be applied information fusion theories
(Dezert-Smarandache theory, Dempster-Shafer theory, trust The scientific fundamentals are based on extenics theory
transfer model of Smets) together with different fusion rules, for defining position extended distance, U(X,Xo), force
such as: conflicts proportional distribution, hybrid rule, etc. extended distance,U(Fa,XFo), dependence function
K(X, Xo, XCR ) of the current position signal, X, relative to
More, there can also be applied fuzzy logic / sets and the positive standard interval of reference position, Xo and
neutrosophic logic / sets so that to obtain a combination positive transtion interval of position, XCR, respectively, the
model for the information received from robot sensors, dependence function, K(Fa, XFo, XFCR ), of force signal, Fa,
using neutrosophic logic operators (N-norm si N-co-norm) relative to the positive standard interval of reference force,
representing generalisation of fuzzy operators (T-norm si T- XFo and positive transition interval of force, XFCR, This is
co-norm). how, there is obtained an extended transformation through a
Neutrosophic method of robots control, Robot relationship including a dependence function extended to
Neutrosophic Control (RNC), known as Vladareanu- measurement universe, U, by position extended distance,
Smarandache method [13], due to the application of U(X,Xo) and force extended distance,U(Fa,XFo) thus, leading
neutrosophioc logic and Dezert Smarandache Theory in to the optimization of interaction between AGV and flexible
robots control (DSmT), does stand for a new method robotic cell components.
combining fussy theory and information fusion.
IV. DESIGN OF THE VIPRO OPEN ARCHITECTURE SYSTEM
By implementing the RNC method inot VIPRO platform,
it has been developed a new control interface for Lately, the mobile robots have got special attention
improvement of flexible robotic cell and AGV interaction from, both, research scientists, and manufacturing industry
performances. specialists, so that there resulted important hardware and
The interface of robots extended control integrates the software development
extenics methods of robots real time control, by applying the
extenics theory for solving contradictory problems [14-18].
Extenics is a science dealing with solving contradictory
Fig.3. Virtual projection method by Vladareanu-Munteanu applied to VIPRO Platform
Real time control robots with remotely controlled development of different robots types with sensing,
network and human operator abilities have a highly transport and manipulation abilities for different application
important role in the concept and performance improvement [20, 21].
of flexible robotic cells. Huge research resulted in the
45
Research activities performed for developing 3D virtual MCS load controller module with the role to ensure the load
environment platforms lead to the gain of important of the m MS servo-actuator modules.
expertise on robots motion in virtual enrironments, based on An MCS load controller module receives the XRP and
high abilities of navigation, cooperation, obstacles XRF, position and force reference and a XRS reference
avoidance, simulation of high reliability virtual signal to generate loads to MS servo-actuator modules, from
environments but, there is no interaction of virtual the ICMF multi-function control interface with the role to
environment : virtual robot real robot. ensure the real time control and the load of the m MS load
actuator modules.
The VIPRO platform mentioned in this paper and
evidenced in Figure 2, is based on the virtual projection In Figure 4, there are presented the simulation results for
method, known as Vladareanu-Munteanu method see the simplified GSPN model of receiving in RF mMbus
Figure 3 [21, 22]. The notations stand for the following: communication protocol, with average number of tokens for
SCMC is the classic control system, which drives the servo- the places and the other states coresponding to other
actuators MS1, MSm,-with m being the number of the variables (e.g. cmd_index, buf[] ) used for modelling.
robots degrees of freedom, and receives signals of TM1-
Receive_USARTdata, Verify_USART_Errors, getc_USART,
TMm measure. The methods refers to an open arhitecture
real time control device for robots. It is aimed at improving Verify_(cmd_index,ch), cmd_receive, respond_to_cmd
control performances and fit for application in control
systems of nano/micro/macro manipulators and robots.
The problem solved by the virtual projection method is
that of enabling to desgin, test and experiment different
control methods on a real time control system, on-line, even
if there is no real mechanical structure [23-25]. There is its
virtual projection and, thus, it is possible to efficiently
improve performnaces of robots control systems, that
already exist.
A corresponding number of load actuators are rigidly
coupled to the servo-actuator modules receiving control
signals from a MCS load controller module which ensures
the load of the MS servo-actuator modules. Also, a number
of m AS load actuator modules rigidly coupled to the m Fig. 4 Simulation results for the simplified mMbus GSPN model
MS servo-actuator modules receive control signals from a
Fig. 5 Robotic platform with DMQX controllers the software architecture
46
The software architecture implemented for the robotic State space and invariant analysis which indicated that
platform testing (Figure 5) highlights the connection the net is covered by positive T-invariants and bounded,
between software objects for a demo scenario using DMQX with the following P-invariants equation:
robotic controllers,. There are the next requirements:
trajectory generation, objects manipulation and positioning M(buf [cmd_index] = ch) +
feedback loop control for the RC servo motors of the robotic M(cmd_index = 1) + M(cmd_index = 2) +
manipulators. M(cmd_receive) + M(getc_USART) + (3)
M(Receive_USARTdata) +
The simulation results using GSPN for the simplified M(respond_to_cmd) + M(Verify_(cmd_index, ch))
model of receiving with RF mMbus protocol is presented in + M(Verify_USART_Errors) = 1
Figure 6.
Fig. 6 PIPE simulation results for GSPN simplified model of the receiving
V. RESULTS AND CONCLUSIONS software) and intelligent control interfaces (fuzzy,

information fusion, multi-agent, hybrid force position
The user program for robotic application using DMQX dynamic control, robot neutrosophic control, dynamics and
controllers is developed using Microsoft Visual Integrated adaptive, robust and iterative learning control, etc.)
Development Environment (IDE), with functions implemented through IT&C techniques on fast time and high
implemented through language extension that can be called data processing PC server, in order to improve the stability
from customizable Graphical User Interface (GUI). The performances and real time motion control.
DMQX controllers are connected into a wireless For the wireless communication (using 2.4GHz free
communication network, using mBus protocol for the band), the mMbus-RF protocol provides the standard
message transparency during receiving or transmission functionality of Mbus-RTU or ASCII protocol, but
sequences. additionally implements a mechanism for receiving the
The scope is to develop a dynamic versatile intelligent messages of each active node from the network, by
portable robot platform by using 3D virtual representation, configuring additional data registers. The supervisor node
on a PC with high graphic processing power and advanced received information is processed and then displayed in a
programming languages, of robots through mechanical graphical form or is logged on data storage device for later
structure modeling. It is build an open architecture system data analysis and to evaluate the performance of the robotic
made of a robot classic control system (with embedded system.
47
Starting from the principle of using communication based
digital sensors, for increasing the coordination precision of
the robotic arm movements, a feedback control loop was
implemented for RC servo motors acting, considering the
information provided by an accelerometer for the cinematic
inertia. In Figure 7 is presented the AGV prototype using XY
optical encoder and DMQX controller.
The components are identified as follows :
(1) independent direction wheels controlled by RC
servo motors
(2) accumulators for autonomous supply
Fig.7. The AGV prototype using XY optical encoder and DMQX (3) DMQX robotic controller
controller (4) communication port for programming and testing
the robotic controller
For programming the operations that are involved by the In Figure 8a, is presented the variation along XY axes for
robotic application, the flexible cell is considered as a the positioning information provided by the image sensor of
discrete event system DES. Based on previously simulated XY optical encoder, during the repetition of AGV trajectory
models with instruments for Petri Nets (CPN or GSPN), the which was predefined by the user program configured with
states and the transitions of the system are defined, At tthe graphical user interface. The repetition number defined by
end, through source code recompilation, the robotic the program is rt=10. In Figure 8b are presented the results
application can be verified or simulated by running the obtained for the same trajectory and the same rt repetitions,
custom user program. but with implemented corrective control for the M1 and M2
RC servo motors that drive the AGV wheels.
The obtained studies and research lead to the conclusion
that the innovative VIPRO platform is conceptually
competitive with other similar virtual application platforms
such as CDA, CAM, CAE, Solid Works or MatLab,
Simulink, COMSOL, Lab View, etc., but will also allow the
design, testing and experimentation of intelligent control
methods in real time, integrating the classical robot system in
modeling and simulation of the robot, thereby providing the
opportunity for the VIPRO platform to enter the IT market as
a new component among existing.
ACKNOWLEDGMENT
This work was accomplished through the Partnerships
a) Program in priority fields - PN II, developed with the support
of MEN-UEFISCDI, PN-II-PT-PCCA-2013-4, ID2009,
VIPRO project no. 009/2014, Romanian Academy and FP7-
PEOPLE-2012-IRSES RABOT project no. 318902.
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49
Haptic Intelligent Interfaces for NAO Robot Hand

Control
Octavian Melinte, Luige Vladareanu*, Ligia Munteanu Zeng-Guang Hou , Gui-Bin Bian,
Dept. Robotics and Mechatronics State Key Laboratory of Management and Control
Institute of Solid Mechanics of Romanian Academy for Complex Systems
Bucharest, Romania Institute of Automation, Chinese Academy of Sciences,
octavian.melinte@yahoo.com, luigiv2007@yahoo.com.sg* Beijing, 100900, China, guibin.bian@ia.ac.cn
Hongnian Yu, Shuang Cang Hongbo Wang

School of Design, Engineering and Computing, Parallel Robot and Mechatronic Sys. Lab.
Bournemouth University, Yanshan University
Dorset BH12 5BB, UK Qinhuangdao, China
yuh@bournemouth. ac.uk hongbo_w@ysu.edu.cn
Abstract. The paper presents a new approach on haptic Due to the compliant feature of impedance controllers and
interface control for NAO robotic hand. The haptic teleoperation the possibility of using force feedback, the most widely used
of NAO robot hand raises some issues, mapping the haptic device control diagram in haptic systems and the one which will be
dynamic being the most important. The mapping was achieved implemented in this research is the impedance control.
through Neural Network by determining a dynamic gain of robot
Impedance control will be discussed for haptic interfaces in
haptic feedback. The results lead to the achievement of the haptic
intelligent interfaces for the NAO robot hand control which can the virtual environment and a straightforward approach will be
be integrated into an innovative haptic robot control system. used for the teleoperation experiment.
A number of environmental factors can act on the haptic
Keywords humanoid robots; haptic interfaces; intelligent devices, such as loads or other forces, and their influence can
control; Nao robot hardly be anticipated. The influence of such disorders may be
a cause of significant deviations from the reference motion of
I. INTRODUCTION the robot in relation to the reference signals.
Haptic interfaces can be implemented in robotic
Humanoid robots represent the most interesting and difficult
applications which use the force feedback from the hands end
area of robotics. This type of robots spread very fast and in the
effector. These applications are useful when the robot is
near future they will accomplish complex tasks, thus replacing
remotely operated, the operator being able to receive tactile
the human in various applications. The state of the art research
information, besides the video and audio as if on site.
in this area focuses on developing intelligent decision making
Humanoid robots controlled by haptic devices can be used in
algorithms, increasing the stability of humanoids robots in
rescue operations, in case of natural disasters or in areas where
unstructured environments, optimizing the planning path, the
access is difficult.
battery efficiency, the increase in autonomy etc. The most
Haptic teleoperation was studied in various forms and
important research on humanoid robots developed so far is
applications. Among them Manic and Odrej [7] achieved
carried for HRP Robot, ASIMO, HOAP, and QRIO [1] - [6].
haptic teleoperation of a mobile robot. In addition to self-
In addition to this research, this paper aims to examine the
organizing algorithm for orientation, this paper proposes a
possibility of implementing a bidirectional communication
fuzzy algorithm mapping between the mobile robot motion
between human operator and a humanoid robot, in this case,
and haptic device. In [8] NAO robot is teleoperated through a
the NAO robot. The main purpose of the research in this paper
network of sensors attached to the human operator joints. This
is the developing of a haptic teleoperated system which
method does not take into account the kinematic model of the
enables the perception of the environment (real or virtual) in
two systems. Another work that discusses about the NAO
which the robot hand is moved to the human operator.
robot teleoperation without taking into account the kinematic
There are two types of haptic interactions: interactions with
model is the one made by Adam et. al [9]. In paper [10, 11]
virtual environments and interactions with real environments
the haptic teleoperation is discussed in terms of linking the
(haptic teleoperation). In this paper we discuss about both
haptic system with the teleoperated one.
possibilities, however the experiments will be performed for
In our approach we will use a simulated haptic device,
haptic teleoperation of NAO hand.
similar to the ones used in similar research (Phantom device),
* Corresponding author with four degrees of freedom, of which we use only three, that
978-1-4673-7995-3/15/$31.00 2015
c IEEE 50
will interact with NAO robot hand. In order to achieve good transposed matrix JT. By closing the control loop a decrease of
results, the haptic device is equipped with encoders on each inertia due to the force from human operator is desired.
joint, while the robot hand has three capacitive sensors on the Further on, the obtained torque is compared with the one from
top of the hand in addition to the joint encoders. Also, in terms user, yielding a torque which will be used to determine the
of degrees of freedom, NAO robot hand has six degrees of position of the motors, and to calculate the dynamic terms of
freedom, but three of them will be ignored - ShoulderRoll, the manipulator.
ELbowRoll and HandGrasp - in order to have a mechanism
similar to the haptic device. To simplify the problem, we will
control three joints of the haptic device, the correlation with
the NAO degrees of freedom beeing as follows:
x HapticShoulderPitch=NAOShoulderPitch
x HapticElbowPitch = NAOElbowYaw
x HapticWristRoll = NAOWristYaw
Further in the paper we will discuss the impedance control,
NAOs hand control, the linking between these two systems
and we will analyze the results of haptic teleoperation of Fig.2. Haptic impedance control
NAOs hand.
The control method for haptic systems is very important
II. HAPTIC IMPEDANCE CONTROL because users movements must feel free and unrestricted, so
when there is an interaction with an object, the human
In order to apply the impedance control to NAO hand, we operator must perceive the exact force of interaction[13][14].
took into account the kinematics and the dynamics of both This is the reason why dynamic terms must be
haptic device and NAO hand. compensated; a humanoid robot which doesnt solve the
For the haptic device in Figure 1 the position of the end- dynamic problems has stability issues because of the high
effector using D-H convention is: inertia and environment stiffness, due to actuator saturation
and resonant modes, and position signal sampling [15].
x a3 cos(q2 q3 ) a2 cos q2
y a3 cos(q2 q3 ) a2 cos q2 (1) III. NAO ROBOT CONTROL
NAO is a humanoid robot developed by Aldebaran; it has a

medium size of 57.3, weights 4.3 kg and it is used in research
and education, in particular. Because programming can be
written in several programming languages and programs can
be compiled both local (on the robot) and remote, NAO can be
used in various applications is [16].
As shown in Figure 3 NAO robot has 25 degrees of
freedom, their positioning on the robot is as follows:
x 2 degrees of freedom for head motion;
x 5 degrees of freedom on each hand,;
Fig.1. Haptic device x a degree of freedom for the pelvis;
x 5 degrees of freedom on each leg;
The dynamics for haptic device are calculated using the x an additional degree of freedom on each palm, for
generalized equation: grasp.
Kinematics of the NAO hand consists of two degrees of
M (T )T C (T ,T )T G(T ) f (t ) W c (2) freedom on the shoulder (pitch and roll), two degrees in the
elbow (roll and yaw), one in the wrist (yaw) and one
The haptic impedance control for operations in virtual additional for gripping objects with its fingers.
environments is presented in Figure 2. Controller takes the NAO is equipped with actuators that meet the requirements
position deviation difference between desired and actual for setting high performances: they are compact, lightweight,
position deviation of the haptic interface, and multiplies it by reverse controlled, efficient, accurate and reliable. Also,
the desired impedance of the environment in order to generate among the requirements for the actuators are the powers over
a force Fd. weight ratio, high torque for short amount of time, bandwidth
This force is compared with the amplification of the and good response time. For NAO robot the feedback must be
difference between its value and the force from the human sent in less than 6 milliseconds [17].
operator, after which is transformed into torque using the
51
motion by one degree until the whole workspace was covered.
The relation between the joint torques of the haptic device and
this parameter has been trained using Neural Networks. If we
apply a wider range of forces it is recommended to use an
average of this gain, positions errors between the haptic device
and NAO hand being adjusted in real time by the controller.
WHaptic Amp W NAO (4)
The control diagram of haptic teloperation for NAO robot is

presented in Figure 5. The position of the haptic device is
mapped into the desired torques by computing the dynamics.
The torques are then amplified by the Amp parameter
determined with Neural Networks and sent to NAO hand. The
delay between the haptic system and Nao Robot is small due
to the fact that the central processing unit of each system has a
processing time of 20 milliseconds and the communication
Fig.3. NAO degrees of freedom between them is trough Ethernet or Wi-Fi. The lag is not
perceivable by the human operator. We compute the forward
The degrees of freedoom taken into account for each joint kinematics using DH convention and the resulted position of
together with angle limitations of the movement are presented the hand is used to close the position loop and adjust the errors
in Figure 4. at the haptic device.
a)Shoulder Pitch b)ElbowYaw and Wrist Yaw

Fig.4. Joints movements and working space [19]
Fig.5. Haptic teleoperation of NAO robot
The general form of the kinematic equations for each hand
is (3). In order to calculate hand position we have to take into Haptic control was achieved using equations (4) (5), (6)
account that the center point (0) is somewhere in the chest, applied for the real-time control of haptic interface. In order to
so we need the transformation matrix from 0 to base (NAO simplify the problem, three joints of the haptic device were
shoulder), A 0Base . Same thing applies for the hand. The considered and they are in relation with the degrees of
transformation matrixes from the wrist to the hand is A LHand freedom of the robot Nao as follows:
4
. x HapticShoulderPitch=NAOShoulderPitch,
The transformation matrix from the base to the hand is [18]:
LHand S x HapticElbowPitch = NAOElbowYaw,
TBase A 0BaseT01T12T23T34 R z ( ) A 4LHand
2 x HapticWristRoll = NAOWristYaw
S (3)
RHand
TBase A BaseT0 T1 T2 T3 R z ( ) A 4RHand R z ( S)
0 1 2 3 4
In order to determine the position of NAOs hand we use
2 the equation (4) where h0T is the transformation matrix from
center point to hand, s0T is the transformation matrix from
IV. HAPTIC INTELLIGENT INTERFACE FORNAO
center point to shoulder, A is the transformation matrix of the
ROBOT
three joints(shoulder pitch, elbow roll and wrist yaw) and
Haptic systems used for teleoperation involve interaction w T is the transformation matric from the wrist to hand.
h
with objects in the real environment, so in order to do test it

and do some simulation we use both position and force h
T s
T A wh T (5)
control. 0 0
When moving the haptic device the robot hand doesnt
reach the same position as fast as the haptic device does, due 1 0 0 1 0 58
to the different dynamic model. So the haptic device torque for h
T 0 1 100 A 0 1 15.9
each joint was amplified with a parameter (Amp) which was 0
0 0 1 0 0 1
computed using Neural Networks by incrementing each joint
52
Computing the transformation matrix for the three joint is The difference come from the fact that the contact rendering
made by determining the transformation matrix for each joint: between the robot hand and the objects from the virtual
r11 r12 px environment must be very well defined in order to simulate a
(6) real interaction.
A A1A 4 A 5 r21 r22 p y
0 0 1 V. EXPERIMENT RESULTS AND CONCLUSIONS
In the end the position of the robot hand on the X,Y axes The haptic intelligent interface implements the haptic robot
0
relative to the center point, Pos(0,0), located lower in the control patent [20], providing the robot spatial orientation and
navigation when the robot hand interacts with objects in the
chest is:
robot environment. The robot hand feels the space in which it
h
Pos(x, y) h
T 0 Pos(0,0) (7)
0 moves and modifies the torques of the robot joints based on
x 58r11 15.9r12 p x the stiffness associated to the hand joints position on the map
of the environment. This leads to successively change the
y 58r21 15.9r22 p y 100 robot motion trajectory and switching from position control
loop to the force control. Thus, the human operator can
In order to determine the dynamic relationships between the remotely control through two parameters, first visual and
torques in the shoulder, elbow, wrist and joint angles of NAO second haptic. The human operator sees the robot environment
we use equation (2). map, in the same way and simultaneously feels the stiffness in
the robot hand movement when moving the haptic device.
Table I The experiment was developed using the position and
Joint Torque (Nm) torque data from the haptic device model and robot hand. The
ShoulderPitch 0.93 motion of the three joints is made in a XY plane, and the
ElbowRoll 1.07 results that will be presented are on the X axis. The haptic
WristYaw 0.24 device trajectory along the X axis sent to the controller and
NAO robot hand is presented in Fig.7.
Table II
Body part Length (mm)
Upper Arm 90
Lower Arm 50.55
Hand 50
Table III
Body part Masses (g)
Upper Arm 163
Lower Arm 87 Fig.7. The haptic device reference position on X axis
Hand 77
When the hand of the robot encounters an obstacle on the X
In addition to the tables I, II, II, the inertial matrix and axis, which has the shape as in Figure 8, the haptic device
trajectory will be computed according to the characteristics of
center of mass of each part of the robot hand are given in the
the object that is in his way.
technical specification of the robot [19]. Using the haptic Thus, when the hand of the NAO robot interacts with a fix
device to control NAO robot hand in virtual environment is solid body, a wall for example, it will move according to the
approximately the same as haptic teleoperation. The control motion trajectory generated by the haptic device in Figure 6
diagram is shown in Figure 6. until the contact between the device and the object occurs.
Fig.6. Haptic interaction in virtual environments Fig.8. Obstacle on the X axis
53
After that the robot hand trajectory will follow the shape of The gain is determined by mapping the torques of the haptic
the object, as in Figure 9, until the obstacle is passed and there device and NAO hand. A neural network is used to train this
is no contact force. All this time the torques from the robots parameter, which reduces the closed loop errors between the
hands is feedback to the haptic device, so that the user can two systems, making the system stable and increasing de
actually feel the interaction as a real one. Afterwards the hand accuracy of the real-time control. Since the controllers of the
trajectory will get back to the initial movement generated by two systems have a processing time of 20ms, this gain lead to
the haptic device. small position errors that can be adjusted by closed loop
control.
Haptic teleoperation of Nao hand hasnt been developed so
far. The state of the art research carried out so far has been
focusing on the teleoperation of the whole Nao robot body
using a sensor suit that controls Nao joints by moving the
corresponding human joints.
The results lead to the achievement of haptic intelligent
interfaces for the NAO robot hand control at low cost and high
performances allowing the development of innovative haptic
Fig.9. Haptic device motion when encounters an object robot control system for real time applications that demand a
good stability.
When the teleoperated robotic hand touches an object from
the environment, a reaction force will appear (Figure 10), on X ACKNOWLEDGMENT
axis in our case, leading to a change of the torques that are This work was accomplished through the Partnerships Program
sent back to the haptic device. This reaction force will be in priority fields - PN II, developed with the support of MEN-
modeled according to Hook law when using haptic devices in
UEFISCDI, PN-II-PT-PCCA-2013-4, ID2009, VIPRO project
virtual environments.
no. 009/2014, PN-II-PT-PCCA-2011-3.1-0190 Contract
149/2012 and FP7-PEOPLE-2012-IRSES RABOT project no.
318902.
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K. Kaneko, and S. Kajita, Design and experiment of advanced leg
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Fig.10. Force felt by the haptic device user in the X axis IEEE/RSJ Int. Conference on Intelligent Robots and Systems, pp. 2455
2460, 2002.
This force felt by the robotic hand is sent back to haptic [3] K. Kaneko, F. Kanehiro, S. Kajita, H. Hirukawa, T. Kawasaki, M.
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of torque values is the reaction force from the environment. 2,Proceedings of the IEEE International Conference on Rob. and Aut.,
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The compensation of NAOs hand dynamics in relation to
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stiffness perception, but also a great maneuverability and high Australasian Conference on Robotics and Automation. Victoria
adaptability to different environments, allowing humanoid University of Wellington New Zealand, 2012.
robots to be remotely controlled for different applications in [9] Setapen, Adam, Michael Quinlan, and Peter Stone. "Beyond
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(ALIHT). 2010.
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55
Weak Reachability of Probabilistic Boolean Control Networks

Zhiqiang Li, Huimin Xiao
Abstract This paper concerns the weak reachability of This paper, the weak reachability of PBCNs is discussed.
probabilistic Boolean control networks (PBCNs). Using semi- The remainder of the paper is organized as follows. In section
tensor product, PBCNs are expressed as discrete time bilinear 2, semi-tensor product is reviewed and some necessary
systems with respect to states and controls. From the algebraic
form of PBCNs, the maximum transfer probability matrix preliminaries are given. In section 3, an maximum transfer
for PBCNs is constructed. From the matrix, necessary and probability matrix is constructed, and the necessary and
sufcient condition for weak reachability of PBCNs is given. sufcient condition for the exact controllability of PBCNs
Also, a numerical example is presented to show the applicability is given. Section 4 gives a numerical example to illustrate
of our approach. the effectiveness of our condition. Finally, a brief summary
Key words: probabilistic Boolean control networks; semi-
tensor product; maximum transfer probability matrix; weak is given in Section 5.
reachability II. P RELIMINARIES
I. I NTRODUCTION For the self contained of this paper, we rst list the
notations used in later.
In systems biology, to model the gene regulatory network,
Notations: Let ni be the i-th column of the identity matrix
Boolean network was introduced by Kauffman [1], [2]. Now
In , and n := {n1 , n2 , , nn }. When n = 2 we simply use
Boolean network has become a powerful tool in describing,
:= 2 . Assume a matrix M = [ni1 ni2 nis ] Rns ,
analyzing, and simulating the cell networks. The structure
i.e., its columns, Col(M ) n . We simply denote it as
of Boolean network is investigated by many authors, such
M = n [i1 i2 is ]. The set of n s logical matrices is
as [3], [4], [5], [6], [7]. Later, semi-tensor product (STP) is
denoted by Lns . The inequality A B means aij bij ,
introduced by Cheng [8]. Now, STP has become a powerful
especially, means ai bi . Denote Rmn as the set
tool to analysis the logical dynamic systems, more details
of m n matrices dened in R.
are refereed to [9], [10], [11], [12], [13], etc.
To cope with the uncertainty of gene regulatory network, A. STP and Algebraic form of Boolean Network
probabilistic Boolean control was proposed by Shmulevich The main tool used in this paper is semi-tensor product
[14], [15]. The dynamics of probabilistic Boolean control [10].
networks (PBCNs) attract much attentions, and the PBCNs Denition 2.1: [10] Set A Rmn , B Rpq . Denote
is studied in context of Markov chain theory [16], [17]. Using t = lcm(n, p) as the least common multiple of n and p. The
STP, the control problems of PBCNs are investigated in semi-tensor product of matrix A and B is dened as
state space framework. In [11], the controllability of PBCNs
via free control sequences and state feedback controller A B = (A It/n )(B It/p ). (1)
were discussed. In [18], using joint reachability matrix, Example 2.2: Let

the equivalent of joint reachability and controllability of 1 3 2 1 1 1
A= , B= .
PBCNs were proved. In [19], the controllability of context- 1 0 2 3 1 0
sensitive probabilistic mix-valued logical control networks Then
with constraints on states and controls was discussed.

1 1
The exact controllability is mainly used to analysis the 1 3 2 1 1 1 3 2 1
property of systems described by partial differential equa- AB =
0

1 1
tions, such as innite-dimensional systems dened in Hilbert 1 0 2 3 1 0 2 3
1 0
spaces [20], [21], [22]. Later, the denition of exact control-
lability was extended to stochastic control systems in [23]. 3 4 1 3
= .
Inspired by this idea, we investigate the weak reachability of 3 3 1 0
PBCNs, which is a generalization of exact reachability. The readers are refereed to [8] for more details about semi-
tensor product.
*This work was supported partly by National Natural Science Foundation When the logical variable value is expressed in a vector
(NNSF) of China under Grants 61203050 and 61374079, the Young Core form. That is:
Instructor Foundation from the Education Commission of Henan Province
(Grant No. 2013GGJS-099) and the Basic and Advanced Technology xi (t) v = {[1, 0] , [0, 1] } D = {1, 0}.
Research Foundation of Henan Province (Grant No.132300410011).
Zhiqiang Li and Huimin Xiao are with School of Mathematics and We will use scalar form D and vector form v alternatively.
Information Science, Henan University of Economics and Law, Zhengzhou
450046, PR China, In vector form, the logical function can be expressed as an
Corresponding: lizhiqiang@amss.ac.cn algebraic function.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 56
Proposition 2.3: [9], [8] Let x1 , , xn D be n logical Especially, A(2) := A A.
variables, and f (x1 , , xn ) a logical function. Then there 3) Let A Rmn and B Rmn . Then A B := C =
exists a unique matrix Mf L22n , called the structure (cij ) Rmn as
matrix of f , such that in vector form we have
cij = aij bij .
f (x1 , , xn ) = Mf ni=1 xi , xi . We give an example to illustrate the above denition.
A deterministic Boolean Network with n states and m Example 2.5: 1) Given vectors = (0.9 1 0) and
inputs can be described by the following model. = (0.6 0.1 0.9).

x1 (t + 1) = f1 (x1 (t), x2 (t), , xn (t)), 0.6

x2 (t + 1) = f2 (x1 (t), x2 (t), , xn (t)), = (0.9 1 0) 0.1
.. (2) 0.9

. = (0.9 0.6) (1 0.1) (0 0.9)

xn (t + 1) = fn (x1 (t), x2 (t), , xn (t)), = 0.54.
where fi , i = 1, 2, , n are n-ary logic operators, and 2) Consider matrixes A and B as
xi , i = 1, 2, , n are logical variables.
1 0 0.2 0.2 0 0.3
Based on Proposition 2.3, Boolean functions fi , i = A = 0.1 1 0.4 ; B = 0.5 1 0.7 .
1, 2, , n can be converted into their algebraic dynamic 0.3 0.7 1 0.9 0.8 0
forms as
Then, we obtain

x (t + 1) = M1 x1 (t)x2 (t) xn (t),
1
AB
x2 (t + 1) = M2 x1 (t)x2 (t) xn (t),
(3) 1 0 0.2 0.2 0 0.3
...
= 0.1 1 0.4 0.5 1 0.7

0.3 0.7 1 0.9 0.8 0

xn (t + 1) = Mn x1 (t)x2 (t) xn (t), 0.2 0.16 0.3
= 0.5 1 0.7 .
where Mi , i = 1, , n are the structure matrices of fi .
0.9 0.7 0.49
Dene
x(t) = x1 (t)x2 (t) xn (t) 2n . (4) A
B
1 0 0.2 0.2 0 0.3
Multiplying xi (t + 1) together yields = 0.1 1 0.4 0.5 1 0.7

n 0.3 0.7 1 0.9 0.8 0

x(t + 1) = [Mi x1 (t)x2 (t) xn (t)] . (5) 1 0 0.3
i=1 = 0.5 1 0.7 .
0.9 0.8 1
Using the properties of semi-tensor product of matrices, (5) For product and , we have the following property.
can be converted into an algebraic form as Proposition 2.6: (1) Let A Rmn , B Rmn and
x(t + 1) = Lx(t), (6) C Rnp . If A B, then A C B C.
(2) Let A Rmn , B Rnp and C Rpq . Then
where L is called the network transition matrix of (2). More (A B) C = A (B C).
details can be refereed to [9], [10]. (3) Let A Rmn , B Rmn and C Rnp . Then
B. Matrix Product (A B) C = (A C) (B C).
To investigate the reachability with maximum probability III. M AIN R ESULTS

within nite steps, we give the denition of matrix product Consider a set of BCNs { , = 1, , N }, where the
as following. dynamics of BN can be expressed as following.
Denition 2.4: 1) For row vectors a =
(a1 , , an ), b = (b1 , , bn ) Rn , dene a b
x1 (t + 1) = f1 (x1 (t), , xn (t), u1 (t), , um (t))

and a b as x2 (t + 1) = f2 (x1 (t), , xn (t), u1 (t), , um (t))
..
a b = ni=1 ai bi , a b = (a1 b1 , an bn .
.

2) Let A Rmn and B Rnp . Then A B := C = xn (t + 1) = fn (x1 (t), , xn (t), u1 (t), , um (t)),
(cij ) Rmn as (7)
where = 1, 2, , N , xi D, i = 1, 2, , n and uj
cij = nk=1 aik bkj . D, j = 1, , m, fi are (m + n)-ary Boolean functions.
Denote P = (P1 , , PN ) as the probability distribute
Particularly, let A Rnn . Then
of { , = 1, , N }. It is said that, at instant t, BN
A(k) := A A, k 1. can be activated with probability P . We call (, P ) a

k probabilistic Boolean control network (PBCN).
57
Set x(t) := ni=1 xi (t) and u = m i=1 ui , based on The matrix has physical meaning. From the construction of
Proposition 2.3, the algebraic form of each variable in (7) M , we can obtain the maximum probability with which
obtained as the states transfer between each other in one step. For
example, the element Mij = c = 0 means that there exist a
xi (t + 1) = Mi x(t), xi , Mi L22n , (8)
control steering state 2jn to 2i n in one step with maximum
where i = 1, , n, Miis said to be the structure matrix probability c, and if Mij = 0, then there exist no control
of fi . Using the technique in [9], [10], the algebraic form steering state 2j n to 2i n .
of BN is obtained as (9), Proposition 3.2: Consider the PBCN (7), M is dened in
(13). Suppose (M (s) )i,j = c = 0, then state 2i n can be
x(t + 1) = Li u(t)x(t), i = 1, , N. (9)
reached from state 2jn with maximum probability c at s-th
Hence, the expectation of state at t + 1 instant is step under proper control sequence.
From matrix M (s) , we can obtain all reachability infor-

N
Ex(t + 1) = Pi Li u(t)Ex(t) := Lu(t)Ex(t), (10) mation of any two states at s-th step. To test the reachability
i=1 of PBCN (7), dene the following matrix MR (s),
where MR (s) = st=1 M (t) . (14)

N
L := Pi Li R2n 2n , Proposition 3.3: For PBCN (7). The state 2i n can be
i=1 reached from 2j n in at most T steps with probability ,
The structure matrix of PBCN (7) is split into 2m equal if there exists an integer T , such that (MR (T ))ij .
sizes as To nd the least integer T in Proposition 3.3, we have the
following sufcient condition.
L = [Blk1 (L), Blk2 (L), , Blk2m (L)], (11)
Proposition 3.4: Consider PBCN (7) with algebraic form
where Blkk (L) R2n 2n , k = 1, , 2m . (9). Assume there exists an integer k, such that M (k+1)
Now we give the denition of weak reachability of MC (k). Then state 2i n can be reached from 2jn with
PBCNs. probability if [MC (k)]ij .
Denition 3.1: Consider PBCN (7) with algebraic form
(9). PBCNs (9) is called weakly reachable from x0 to xd IV. E XAMPLES
with probability , if there exist a T > 0 and a sequence of If the state is weakly reachable from with probability
controls {u(0), u(1), , u(T 1)}, such that , we can construct the corresponding control sequence
which can steer the initial state to the destination one from
P r(x(T ) = xd |x(0) = x0 , u(0), , u(T 1)) . (12)
the sufcient prove of Proposition 3.3.
For simplicity, xd is said to be reachable from x0 . Example 4.1: Consider the probabilistic Boolean control
When = 1, the weak reachability of PBCNs is identical network with 2 states and 2 inputs.
with the exact reachability of PBCNs discussed in [?]. For
states x0 = 2jn and xd = 2i n , if xd is weakly reachable from x1 (t + 1) = f1 (u1 (t), u2 (t), x1 (t), x2 (t))
(15)
x0 to xd with probability 1 , then xd is weakly reachable x2 (t + 1) = f2 (u1 (t), u2 (t), x1 (t), x2 (t)),
from x0 to xd with probability 2 ( 1 ). In general, we
where
only interest the maximum probability , such that (12) is
satised. f1 (t + 1) {f11 = x1 (t) x2 (t),
Now we consider the conditions for weak reachability of f12 = u1 (t) (x1 (t) x2 (t))}
(16)
PBCNs. From the initial state x0 = 2j n , choosing u(0) = f2 (t + 1) {f21 = u2 (t) (u1 (t) x1 (t),
2km , then the state is x(1) = L u(0)x0 with probability P . f22 = x1 (t) u2 (t)}
Hence the expectation of x(1) can be obtained as and P r(f1 = f11 ) = 0.2, P r(f1 = f21 ) = 0.8, P r(f2 =
Ex(1) = L2km x0
= Blkk (L)x0 = (x11 , , x12n ) , f21 ) = 0.3, P r(f2 = f21 ) = 0.7.
2n Set x(t) = x1 (t)x2 (t) 4 , u(t) = u1 (t)u2 (t) ,
where i=1 x1i = 1. The element x1i = (Blkk (L))ij means and the algebraic form of PBCN (15) is as following.
that the state 2i n can be reached from x(0) = 2jn under
control u(0) with probability x1i . x(t + 1) = Lu(t)x(t), (17)
For all the possible controls u(0), the maximum proba-
where L {L1 , L2 , L3 , L4 },
bility with which the state 2i n is reached from x(0) = 2j n
is L1 = 4 [1, 1, 2, 4, 2, 2, 2, 4, 1, 1, 1, 3, 2, 2, 2, 4],
L2 = 4 [1, 1, 1, 1, 1, 3, 1, 3, 1, 1, 2, 2, 1, 3, 2, 4],
(Blk1 (L))ij (Blk2 (L))ij (Blk2m (L))ij . L3 = 4 [1, 3, 4, 4, 2, 4, 4, 4, 1, 1, 1, 1, 2, 2, 2, 2],
(18)
Dene weakly reachable matrix as L4 = 4 [1, 3, 3, 3, 1, 3, 4, 4, 1, 1, 1, 1, 1, 1, 2, 2],
M = Blk1 (L) Blk2 (L) Blk2m (L) and P r(L = L1 ) = 0.06, P r(L = L2 ) = 0.14, P r(L =
m (13)
= 2k=1 (Blkk (L)). L3 ) = 0.24, P r(L = L4 ) = 0.56.
58
At instant t + 1, the expectation of state x is Step 2. Because (M )4,3 = 0.8, and in the block form
4 of L,
Ex(t + 1) = i=1 Li P r(L = Li )u(t)Ex(t)
(19) [Blk2 (L)]4,3 = 0.8.
= Lu(t)Ex(t),
where matrix is obtained as (20). Then choose u(1) = 42 , and yields x(2) = 44 with
From (14), yields probability 0.8. It is said that state x(2) = 44 is reached
from x(1) = 43 with probability 0.8.
M = Blk
1 (L) Blk2 (L) Blk3 (L) Blk4 (L)
Under control sequence u(0), u(1), the possible trajectory is
1.0000 1.0000 0.8600 0.8000
0.0600 0.0600 1.0000 0.8000 P r(x(1) = 43 |x(0) = 42 , u(0) = 42 ) = 0.94
=

. (22)
0 0.9400 0.8000 0.8000 P r(x(2) = 44 |x(1) = 43 , u(1) = 42 ) = 0.8.
0 0 0.8000 0.8600
Hence the control sequence {u(0) = 42 (1, 0), {u(1) =
It is easy to obtain M (2) , M (3) , M (4) as following 42 (1, 0)} steers state x0 = 42 (1, 0) to xd = 44

1.0000 1.0000 1.0000 0.8000 (0, 0) in 2 steps with probability 0.752(= 0.94 0.8).
0.0600 0.9400 0.8000 0.8000
M =
(2)
0.0564 0.7520 0.9400 0.7520
,

V. C ONCLUSION
0 0.7520 0.6880 0.7396 In this paper, we discussed the weak reachability of
PBCNs with probability . It is a generalization of control-
lability of deterministic Boolean network. First, the weak
1.0000 1.0000 1.0000 0.8000
0.0600 reachability matrix is constructed. From the matrix, if one
0.7520 0.9400 0.7520
M (3) =
0.0564
state is weakly reachable with probability , we give a
0.8836 0.7520 0.7520
method to design a control sequence such that the designate
0.0451 0.6467 0.7520 0.6361
state can be reached from initial state with probability .
and
R EFERENCES
1.0000 1.0000 1.0000 0.8000
0.0600 0.8836 0.7520 0.7520 [1] Kauffman, S. A. Metabolic stability and epigenesis in randomly
M (4) =
0.0564
. constructed genetic nets, J. Theoretical Biology, 1969, 22:437467.
0.7069 0.8836 0.7069 [2] Kauffman S A. The Origins of Order: Self-organization and Selection
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0 0 0.06 0 0.06 0.06 0.06 0 0 0 0.14 0.14 0.06 0.06 1 0.8
L=
0 0.8 0.8 0.8
.
(20)
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0 0 0 0.06 0 0 0.80 0.86 0 0 0 0 0 0 0 0.2
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60
Oscillation Criteria for a Class of Nonlinear

Impulsive Parabolic System under Dirichlet Boundary
Condition
Liu Junhong Liu Wenxue, Li Lifeng and Jin Qi

Institute of Nonlinear Science, Academy of Armored Force Institute of Nonlinear Science, Academy of Armored Force
Engineering Engineering
Beijing, China Beijing, China
ljhclx@163.com china_ljh@sina.com
AbstractIn this paper, the author discuss oscillation of non-

wu (t , x) m
zero solutions for a class of impulsive parabolic system. Several
a ( t ) 'u (t , x ) ai (t )hi (u (t , x)), t z tk
oscillation criteria are obtained under Dirichlet boundary wt i 1
condition by using the Green formula and Jensen inequality.
u (t , x) u (t , x) I (t , x, u ), k 1, 2,
k k k
Keywordsnonlinear; impulsive control parabolic system;
oscillation; Dirichlet Boundary Condition
1
under the following Dirichlet boundary condition
I. INTRODUCTION u M (t , x), (t , x) R u w:, t z tk 2
In recent years, more and more scholars exerted
themselves on the research about the nonlinear impulsive n
w 2u (t , x)
control parabolic partial differential system, and the oscillation
of its non-zero solution was studied by them.
where ' is Laplacian in R n , 'u (t , x)
i 1 wxi2
, :
In reference [1], Bainov considered the following
impulsive control parabolic partial differential equation is a bounded domain in R with a smooth boundary w: and
n
ut (t , x) a (t )'u (t , x) p (t , x)u (t , x), t z tk R (0, f) , (t , x) G R u :

Im {1, 2, , m} If {1, 2,}
u (tk , x) u (t k , x) g k (tk , x, u (tk , x))
and obtained five relevant theorems about the oscillation of p PC[R u :, R ] f PC[R u :, R ] ,where
the solution for the equation. PC is the class of piecewise continuous functions.
In reference [2]Deng Lihu considered the following Throughout this paper, we assume that the following
impulsive parabolic system, conditions hold:
ut a (t )'u p (t , x)u q (t , x) f (u ), t z tk (H1) 0 t1 t2 tk , lim tk f, k I f .

k of
u (tk , x) u (tk , x) g (tk , x, u ), k 1, 2, (H2) a (t ), ai (t ) PC[R , R ], i I m , PC denote

and obtained the oscillation criteria of the non-zero solution the class of functions which are piecewise continuous of first
kind only at t tk k 1, 2, and left continuous at t tk ,
about the system under Dirichlet boundary condition.
let a0 (t ) min{ai (t )} .
In this paper, on the basis of the reference [1] and [2], iIm

broadening the nonlinear limited term, we studied the (H3) u (tk , x) u (tk , x), u (tk , x) u (tk , x)
oscillation of the non-zero solution about the following I (tk , x, u (tk , x)), I : R u : u R o R,
impulsive control parabolic system I (tk , x, u (tk , x)) I (tk , x, u (tk , x)), k 1, 2, ,
and
:
I (tk , x, u (tk , x))dx d D k u (tk , x)dx, k 1, 2,
:
978-1-4673-7995-3/15/$31.00 2015
c IEEE 61
where D k is a positive constant. boundary problem (1) and (2) and there exists a positive
m
number T , such that u (t , x) has a constant sign for
(H4) hi (u ) C[R, R], i I m , and h (u ) t h(u ),
i (t , x) [T , f) u : . We first consider the case of
i 1
u (t , x) ! 0.
h(u ) h(u ), h(u ) is a positive convex function.
For t z tk , Multiplying both sides of (1) by the eigenfunction
Definition 1 u (t , x) is said to be a solution of problem
(1) and (2) if the following conditions are satisfied:
) ( x) , and integrating both sides of (1) with respect to
(i) u (t , x) is a first differentiable function for
x , we have
d
) ( x)u (t , x)dx
dt :
t z tk , k I f .

(ii) u (t , x) is a piecewise continuous function with m
points of discontinuity of the first kind at t z tk , k I f . a (t ) ) ( x)'u (t , x)dx ai (t ) ) ( x)hi (u (t , x))dx ,

:
i 1
:
(iii) u (t , x) is a second-order differentiable function for
t z tk , t t T (6)
x.
Using Greens formula and boundary condition (2) and eigen-
(iv) u (t , x) satisfies (1) in the domain G and boundary value problem (3), we obtain
condition (2).
Definition 2 u (t , x) is a nonzero solution for boundary :
) ( x)'u (t , x)dx
problem (1) and (2), u (t , x) is called non-oscillatory in the wu w)
domain G if there exists a positive number T , such that w: )
wN
u
wN
ds : u (t , x)') ( x)dx
u (t , x) has a constant sign for (t , x) [T , f) u : . w)
Otherwise, it is said to be oscillatory in G . M (t , s ) ds O2 ) ( x)u (t , x)dx
w: wN :
II. MAIN RESULTS

R(t ) O ) ( x)u (t , x)dx, t z tk , t t T (7)
:
Lemma 1(see reference [3]) If O is the minimum From Jesen inequality, combining with (H3), we have
m
eigenvalue for the following IMKIRZEPYITVSFPIQ
'u Ou 0, x :
a (t )
i 1
i :
) ( x)hi (u (t , x))dx

(3) m
u 0, x w: t a0 (t ) ) ( x)hi (u (t , x))dx
) ( x) is XLIGSVVIWTSRHMRKIMKIRJYRGtion, then i 1
:
O ! 0, ) ( x) ! 0.

m
t a0 (t ) ) ( x)dx hi ) ( x)u (t , x)dx ,
1
Let :
i 1 :
) ( x)dx :
)( x)dx
1
L(t ) a (t ) R (t ) . t z tk , t t T
:
Considering (H4), we get
m
We obtain the following results.
Theorem 1 Assume condition (H1)~(H4) hold, if the a (t )
i 1
i :
) ( x)hi (u (t , x))dx

following impulsive differential inequalities
t a0 (t ) ) ( x)dx h ) ( x)u (t , x)dx ,
1
: :
) ( x)dx :
V c(t ) O a (t ) a0 (t )h(V (t )) d L(t ), t z tk
(4) t z tk , t t T (8)
V (tk ) d (1 D k )V (tk ), k 1, 2,
Combining (6)~(8),we have
and
d
) ( x)u (t , x)dx
V c(t ) O a (t ) a0 (t )h(V (t )) d L(t ), t z tk
(5) dt :
V (tk ) d (1 D k )V (tk ), k 1, 2, d a (t ) R(t ) a (t )O ) ( x)u (t , x)dx
:
have no eventually positive solution, then the every nonzero
a0 (t ) ) ( x)dx h ) ( x)u (t , x)dx
1
solution of the boundary problem (1) and (2) is oscillatory in
G. : :
) ( x)dx :
Proof. Assume that u (t , x) is a nonzero solution of the t z tk , t t T (9)
62
f
Let D k f, if

1 k 1
V (t )
:
) ( x)dx :
) ( x)u (t , x)dx (10)

lim inf (1 D k )V (T )
1
t
we have t of
T tk t (1 D k ) L( s )ds f
T s tk t

V c(t ) O a (t )V (t ) a0 (t )h(V (t )) d L(t ), t z tk , t t T (14)
(11) and
For t tk , from the condition (H3), we have 1

lim sup (1 D k )V (T ) (1 D k ) L( s )ds f
t
u (tk , x) u (tk , x) ) ( x)dx T tk t T s tk t

t of
:
(15)
:
I (tk , x, u (tk , x))) ( x)dx hold for any sufficiently large T ! 0 , then the every nonzero
solution of the boundary problem (1) and (2) is scillatory in
dD k u (tk , x)) ( x)dx, k 1, 2, G.
:
and Proof. From Theorem 1,we only proof the impulsive
V (tk ) d (1 D k )V (tk ), k 1, 2, (12)
differential inequalities (4), (5) have no eventually positive
From (11) and (12), V (t ) is an eventually positive solution of
solution.
the impulsive differential inequality (4), which contradicts to
the condition of Theorem 1. Thus, u (t , x) is oscillatory in Assume V (t ) is an eventually positive solution of the
domain G . impulsive differential inequality, then there exists T ! 0, such
For u (t , x) 0, (t , x) [T , f) u :, let
that V (t ) ! 0, and f (V (t )) ! 0 for t t T , we have
v(t , x) u (t , x), then
V c (t ) d L(t ), t z tk , t t T

1
V (t )
:
) ( x)dx :
) ( x)v(t , x)dx V (tk ) d (1 D k )V (tk ), k 1, 2,
is an eventually positive solution of the impulsive differential From Lemma 2, we have
inequality (5), which contradicts to the condition of Theorem t
1. Thus, u (t , x) is oscillatory in domain G .

V (t ) d (1 D k )V (T ) (1 D k ) L( s )ds, t t T
T tk t T s tk t
Corollary 1 Assume condition (H1)~(H4) hold, let (16)

M1 (t , x) 0 , if the following impulsive differential and
1
V (t ) (1 D k )V (T )
inequality
V c(t ) O a (t ) a0 (t )h(V (t )) d 0, t z tk , i 1, 2 T tk t
1
V (tk ) d (1 D k )V (tk ), k 1, 2, d V (T ) (1 D k )V (T )
t
(13) T tk t (1 D k ) L( s )ds, t t T
T s tk t
has no eventually positive solution, then the every nonzero (17)

solution of the boundary problem (1) and (2) is oscillatory in Let t o f, combing (14), we have
G. 1

Lemma 2(See in the reference [4]) Assume
lim inf V (t ) (1 D k )V (T ) f (18)
mc(t ) d M (t ), t z tk , t t t0 , and m(tk ) d (1 bk )m(tk ), t of
T tk t
k 1, 2, , where 0 t1 t2 tk and which contradicts to V (t ) ! 0 . Thus the impulsive different-
tial inequality (4) has no eventually positive solution.
lim tk f ; m PC1[R , R], M PC[R ,R] ; bk is a Through (15), we can have that the impulsive differential
t of
inequality (5) has no eventually positive solution. This
constant, k 1, 2, , then completes the proof of Theorem 2.
t
m(t ) d (1 bk )m(t0 ) (1 bk )M ( s ),
t0 t k t t0 s t k t REFERENCES
t t t0 . [1] D Bainov, E Minchev. Oscillation of the solutions of impulsive
parabolic equations [J]. Journal of Computational and Applied
Theorem 2 Assume condition (H1)~(H4) hold, and Mathematics, 1996, 69: 207-214.
63
[2] L.H.Deng, Y. M. Tan and Y.H. Yu, Osillation Criteria of Solutions for a
Class of Impulsive Parabolic Differential Equation[J]. India J. pure appl.
Math. 2002, 33(7):1147-1153.
[3] Q.X. Ye, Z.Y. Li, Introduction to Reaction-Differential Equations[M],
Science Press, Beijing, 1990:194-195.
[4] R.Pirapikaran, Diff Equs Applied by R Aftabizabeh [M]. Ohio
University Press, 1989, 2: 296-308.
[5] X. L. Fu, B. Q. Yan and Y. S. Liu, Introduction to Impulsive Differential
System [M]. Science Press, Beijing, 2005.
64
65
Operator-based Left Coprime Factorization for

Nonlinear Systems
Fazhan Tao and Mingcong Deng

The Graduate school of Engineering
Tokyo University of Agriculture and Technology
2-24-16 Nakacho, Koganei, Tokyo 184-8588, Japan
Email: 50013834704@st.tuat.ac.jp
AbstractIn this paper, a class of nonlinear systems are right factorization is coprime. This is the same as the case of
considered with the left coprime factorization approach. More linear systems. In the linear case, we also have the equivalent
specially, the stability of the nonlinear systems are guaranteed relationship between the Bezout identity and the comprimeness
using the proposed design scheme that links the stability to of a right factorization. However, when we consider a nolinear
the Bezout identity. At the same time, through the proposed system using the left coprime factorization approach, it is
scheme, left coprime factorization of the nonlinear system is
veried. Based on the proposed design scheme, a sufcient
difcult to nd the equivalent relationship between the Bozout
condition is found to establish a relationship between the left identity and the compirmeness of the left factorization. Thus,
coprime factorization and the right coprime factorization. Finally, in this paper, a class of nonlinear systems are considered
a numerical simulation is given to conrm the effectiveness of the using the left factorization combined with the Bezout identity.
proposed method. Based on the designed method, we can guarantee that the
class of nonlinear systems have a left coprime factorization.
KeywordsNonlinear systems, left coprime factorization, uni-
In this paper, we propose a systematic scheme for the class
modular operators, stability.
of nonlinear systems to guarantee them stable. We study the
left coprime factorization form the operator theory view of
I. I NTRODUCTION point and to achieve the equivalent relationship between the
The past decades have witnessed a tremendous rapid Bezout identity and the comprimeness for a class of nonlinear
growth of research attention aimed at the development in system. A further contribution of this paper is that based on the
control design for linear and nonlinear systems such as chaos proposed design scheme, we nd a relationship between the
phenomenon, robust analysis and output tracking problem and left coprime factorization and the right coprime factorization.
so on. As for the linear systems, the control design problems The rest paper is organised as follows. In Section II, we set
have got a considerable and comprehensive progress in the last up the mathematical preliminaries and the problem statements.
century and have achieved a high degree of maturity. As for the In Section III, main results are presented on left coprime
nonlinear systems, a slower progress have shown. However, the factorization. That is, the stability of the nonlinear systems is
control design problems of nonlinear systems have also been guaranteed by the proposed design scheme, and based on the
studied by many researchers in different elds and as a result, design scheme, left coprime factorization is veried. In Section
many remarkable results and ndings have achieved [1] [4]. IV, a numerical simulation is given to conrm the effectiveness
The coprime factorization approach as a framework for of the proposed method. Conclusions are drawn in Section V.
the study of linear control problems has been extensively
researched for researching input-output stability problems of II. M ATHEMATICAL P RELIMINARIES AND P ROBLEM
feedback control systems[5]. After that, the method is extended S TATEMENT
to the nonlinear system due to its usefulness in stabilization In this section, we set up a mathematical framework with a
of nonlinear plants and has been consistently pursued with notation and some denitions for giving the main results that
tremendous effort by many researchers in the elds [6] [10]. closely follows that of [2]. Then, the problem statements are
In terms of the right coprime factorisation approach, there are set up.
many researches to study on the stability and robust stability
and so on. However, the correspondence of the nonlinear A. Mathematical Preliminaries
theory to linear results is incomplete. For example, only right
coprime factorization are developed for the representation of In this section, we recall the basic knowledge related to the
the class of systems under consideration, yet it appears to right coprime factorization, such as the denition of operator.
us that a suitable left coprime representation should facilitate
The vector space Us is said to be normed if each element
the generation of the class of all stabilizing controllers for
x in Us has a norm x which can be dened in any way
appropriate nonlinear plants.
so long as the following three properties are fullled:
As for the right coprime factorization method, we always
(1) x 0; with equality only when x=0;
divide a plant into two parts, then design the controllers to
satisfy the Bezout identity. After that, we can get that the (2) ax =| a | x ;
978-1-4673-7995-3/15/$31.00 2015
c IEEE 66
(3) x + y x + y (the triangle inequality), III. M AIN R ESULTS
whenever x, y U , and a R, where R is the real eld.
Denition 3 [4] Let a plant P be given (P not be stable).
Let U and Y be linear spaces over the eld of real numbers The corresponding nonlinear operator P = D1 N is a left
R, Us and Ys be two normed linear spaces, called the stable factorization of the system over the space of stable operators
subspaces of U and Y , respectively, dened suitably by two if N and D are stable, D1 exists (need not to be stable).
normed linear spaces under certain norm denoted Us = {u
U : u < } and Ys = {y Y : y < }. Let A : In this paper, the following gure is employed to describe
Us Ys be an operator mapping from Us to Ys and denote the left factorization of nonlinear systems.
by D(A) and R(A), respectively, the domain and range of A.
As mentioned above, if the operator A : Xs Ys satises
A(au1 + bu2 ) = aA(x1 ) + bA(x2 )
for all u1 , u2 D(A) and all a; b R, then A is said to be
linear; otherwise, it is said to be nonlinear. Fig. 1. A nonlinear system with left factorization.
Let L(Us , Ys ) denote the family of bounded linear op-
erators from Us to Ys . Let N (Us , Ys ) be the family of
all nonlinear operators mapping from D(A) Us into Ys . Denition 4 [4] As for the nonlinear system shown in Fig.
Obviously, L(Us , Ys ) N (Us , Ys ). In the case that Us = Ys , 1,the corresponding nonlinear operator P = D1 N is a left
we use the notation L(Us ) and N (Us ), respectively, instead coprime factorization of the system over the space of stable
of L(Us , Ys ) and N (Us , Ys ) for simplicity. operators if there exist two constants 0 and 0, such
that
Let A be an operator mapping from U to Y . A semi-norm
on A denoted by D1 w w f or all w
(2)
A(u1 ) A(u2 ) Y N u u f or all u
A := sup , (1)
u1 ,u2 U u1 u2 U
u1 =u2 The qualitative meaning of the coprimeness dened above
if A is nite. is that N and D is a left coprime factorization of P (lcf) iff
the set of all unbounded u such that P u bounded and N u is
Denition 1. Let Lip(U, Y ) be the set with each element bounded is the empty set. This is equivalent to requiring that
A satisfying A < . Each A Lip(U, Y ) is called a for all bounded w, D1 w is bounded or {u : N u = w} is
Lipschitz operator mapping from Ds to Ys , and the number bounded.
A is called the Lipschitz semi-norm of the operator A on
Ds . In this paper, a class of nonlinear systems are considered
using the left factorization. A practical design scheme is
In this paper, the whole systems are satised with the provided to guarantee the nonlinear systems stable. At the
Lipschitz condition. After that, the denition of unimodular same time, the we can prove the left factorization of nonlinear
operators are recalled. systems to be a left coprime factorization of nonlinear systems
Denition 2. An operator A : U Y is said to be stable if through the design scheme. We develop algebraic sufcient
A(Us ) Ys . Otherwise, if A maps some input from Us to the conditions for the existence of a stabilizing controller for
set Y \Ys , then the system A is said to be unstable. Moreover, nonlinear feedback systems in this section. The following
provided that A turns out to be nite, A < , A is said to preparatory result is used throughout this section.
be nite-gain stable.
Lemma 1. [10] Let X and Y be Banach spaces, if S is an
Next, let S(U, Y ) be the set of stable operators from U to invertible operator R is Lipschitz operator, such that
Y . Then S(U, Y ) contains a subset dened by
R S 1 < 1, (3)
U(U, Y ) ={M : M S(U, Y ),
M is invertible with M 1 S(U, Y )}. where Lip(X, Y ) = {S : X Y : S < }. Then, the
operator R + S is invertible in Lip(X, Y ).
Elements of U (U, Y ) are called unimodular operators.
Suppose a plant P has a left factorization denoted as P =
B. Problem Statement D1 N where N and D are stables, D1 exists not necessary
stable. And, we assume that D has a left factorization denoted
In this paper, the nonlinear system using left coprime as D = R1 Q where Q and R are stables, R1 exists not
factorization are considered . More specially, when a class necessary stable. Based on the assumptions that D = R1 Q,
of the nonlinear systems cannot be satised with the right so Q = RD. Because of R and D being invertible, we can
factorization, we can guarantee the stability of the nonlinear guarantee Q to be stable. Based on the fact, the Fig.1 can be
systems under assumptions we propose. And, based on the pro- rewritten as Fig.2 as follow.
posed design scheme, the nonlinear system has a left coprime
factorization. After that, we nd a relationship between the Theorem 1 As for the nonlinear system shown in Figure 2,
right coprime factorization and the left coprime factorization. = (Q1 N )1 and
if the inverse of Q1 N exists denoted as L
The right coprime factorization of a plant can be guaranteed there exist two stable operators A and B, and B 1 exists, such
by the known left coprime factorization of a plant. that AR(w )+B L(w ) = M (w ), where M is an unimodular
67
Note that from Theorem 1 and Theorem 2, the class of the
nonlinear systems considered in this paper are handled with the
proposed scheme. By the proposed scheme, the stability of the
class of the nonlinear systems is guaranteed, and at the same
time the left copriem factorization is also proved.
Fig. 2. The equivalent system of Fig. 1.

Based on the known knowledge of the left coprime fac-
torization, when a plant is satised with the condition of
Theorem 3, it has a right coprime factorization.
operator form w to r, then the nonlinear system P can be Theorem 3 Suppose G to be a plant and satises with
guaranteed to be stable. the following conditions, (D + N G) M M 1 < 1,
M G(D + N G)1 < 1 and M (D + N G)1 < 1, then
Proof: First, based on the assumptions, Fig. 2 can be D
the plant G has a right coprime factorization G = N 1 ,
rewritten to Fig. 3 as follow. N = G(D + N G)1 , D 1 = D + N G. And we can get the
following identity
NN + DD = I. (6)
Proof: First, we prove existance of the inverse of the

operator D + N G.
Form Lemma 1 and the assumption, we can get (D +
N G) M + M is invertible. That is, the operator D + N G
is invertible. Note that under existence of (D + N G)1 , the
plant G can be factorized as follows:
Fig. 3. The designed system.
G = G(D + N G)1 (D + N G) = N D
1 . (7)
= (Q1 R)1 , we can get

Form Fig. 3 and L Because of the assumptions, the stability of the G(D +
N G)1 and (D + N G)1 can be guaranteed. Thus, we can
) = A(y) + B(u)
AR(w ) + B L(w (4) get a right factorization for the plant G.
= b + e. + DD = I.
Now we can design the Bezout identity, N N
From Fig. 3, r = b + e can be obtained. Combining with + DD
NN = D(D + N G)1 + N G(D + N G)1 (8)
= M , M (w ) = b + e = r. Thus,
AR + B L
= (D + N G)(D + N G)1
w = M 1 (r). (5) = I.
Thus, Fig. 3 can be rewritten as Fig. 4 as follow.
Thus, the proof of the theorem is completed.
IV. N UMERICAL S IMULATION

In this section, a numerical simulation is given for conrm-
ing the effectiveness of the proposed method. We assume, in
Fig. 4. The equivalent system of Fig. 3. this feedback system, that L C[0,] be the space of continuous
1
functions, and C[0,] consists of all the functions having a
continuous rst derivative, both are dened on [0, ). Suppose
Considering both M and R are stable and M 1 is also that the plant P is given by the following simple, unstable, and
stable, so the stability of the nonlinear system P is guaranteed. time-varying nonlinear operator:
The proof of the theorem is completed.
1
P ()(t) = (1 + t)2 ( I()(t) 1) + 1 + t
Theorem 2 As for the nonlinear system shown in Fig. 2, 2t + 1
if the nonlinear system is designed with the scheme proposed
where I() is the identity operator.
in Theorem 1, then the nonlinear system has a left coprime
factorization. Based on the proposed P , we can get a left factorization
as follows.
Proof: Based on the denition of left coprime factorization, 1
all bounded w, D1 w is bounded or {u : N u = w} is N ()(t) = I()(t) 1
2t + 1
bounded. For all bounded w, D1 (w) = RQ1 (w) = R(w ). 1 1
D()(t) = I()(t) +
Thus, if the nonlinear system P has a left coprime factor- (1 + t)2 1+t
ization, only need the fact that for all w , R(w ) is bounded.
It is clear that N and D are stable operators. Form D, we can
Form Theorem 1, the fact that output of the plant P is bounded
get the inverse as follow.
is obtained. Thus, the nonlinear system has a left coprime
factorization. D1 ()(t) = (1 + t)2 I()(t) + 1 + t
68
which is not stable.
Then, a left factorization on D is given as follows.
1 1
R()(t) = I()(t)
t+1 1+t
1
Q()(t) = I()(t)
(t + 1)3
where Q and R are stable and the inverses of D1 and R1
are not stable.
Form the factorization, we can verify that
1 1
D()(t) = R1 Q()(t) = I()(t) +
(1 + t)2 1+t
After that, we design the controllers as follows:

Fig. 6. Plant output
(1 + t)(2t + 1)
A()(t) = I()(t),
2t
2t + 1 conrmed by the simulation example. In future work, the
B()(t) = I()(t). following two issues will be considered. The condition of
2t(1 + t)
guaranteeing the existence of left coprime factorization is
Based on the designed controllers, it can be veried that A restrictive. And when perturbation or uncertainties exists in
and B satisfy the following identity. Indeed, we have, AN + the nonlinear system, robust stability should be guaranteed.

B L()(t) = I()(t).
R EFERENCES
[1] A.D.B. Paice and J.B. Moore, Robust via left stabilisation of nonlinear
plants coprime factorization,Vol. 15, pp.125-135, 1990.
[2] M. Deng, Operator-Based Nonlinear Control Systems Design and Ap-
plications, Wiley-IEEE Press, 2014.
[3] G. Chen and Z. Han, Robust right factorization and robust stabilization
of nonlinear feedback control systems, IEEE Trans. on Autom. Control,
Vol. 43, No. 10, pp. 1505-1510, 1998.
[4] R. J. P. De Figueiredo and G. Chen, Nonlinear Feedback Control Systems
An Operator Theory Approach. San Diego, CA: Academic, 1993.
[5] M. Vidyasagar, Control System Synthesis: A Factorization Approach
Cambridge, MA:MIT Press, 1985.
[6] T. T. Tay and J. B. MooreE, Left coprime factorization and a class of
stabilizing controllers for non-linear systems, Int. J. Control, Vol. 49, No.
4, pp. 1235-1248,1989.
[7] J. Hammer, Nonlinear systems: Stability and rationality, Int. J. Control,
Vol. 40, No. 1 pp. 1-35, 1984.
[8] M. Deng, A. Inoue, and K. Ishikawa, Operator-based nonlinear feedback
Fig. 5. Reference input control design using robust right coprime factorization, IEEE Trans. on
Automatic Control, Vol. 51, No. 4, pp.645-648, 2006.
[9] A. Wang and M. Deng, Operator-based robust nonlinear tracking control
In order to show the effectiveness the proposed design for a human multi-joint arm-like manipulator with unknown time-varying
scheme, simulation results are given in Fig.5 and Fig.6, which delays, Applied Mathematics & Information Sciences, Vol.6, No.3,
pp.459-468, 2012.
are the reference input r(t) and the plant output y(t), respec-
tively. The reference input is chosen as r(t) = 1.5(1 + e0.5t ). [10] S. Bi and M. Deng, Operator-based robust control design for nonlinear
plants with perturbation, Int. J. Control, Vol. 84, No. 4, pp. 815-821,
Thus, based on the simulation results, the stable performance 2011.
of the proposed design scheme is obtained.
V. C ONCLUSION
The class of nonlinear systems with left factorization are
studied in this paper. First, some basic knowledge related
to the nonlinear system was reviewed. Second, the stability
of the nonlinear systems was guaranteed by the proposed
design scheme, and based on the design scheme, left coprime
factorization was veried. After that, a condition to guarantee
a nonlinear system having right coprime factorization was
found. Finally, the effectiveness of the proposed method was
69
Passivity-based robust control for uncertain nonlinear

feedback systems
Ni Bu* Mingcong Deng
The College of Automation and Electronic The Graduate School of Engineering
Engineering Tokyo University of Agriculture and
Qingdao University of Science and Technology Technology
53 Zhengzhou Road, Qingdao, China. 2-24-16 Nakacho, Koganei, Tokyo, Japan.
bunihan@hotmail.com deng@cc.tuat.ac.jp
Abstract This paper is concerned with passivity-based ro- and more nonlinear systems. In the literatures by using
bust control and tracking performance for nonlinear feedback
system with unknown perturbations. By designing the feedfor-
right coprime factorization method, the operator-based robust
ward controller in smaller norm, not only the nonlinear system right coprime factorization method is effective to deal with
with nominal plant but also that with perturbed plant can
be stabilized, moreover, the plant output can be proved to be
the robust control and tracking problem in the nonlinear
closer to the reference output. The effectiveness of the proposed feedback control systems.
is conrmed by the simulation results.
Recently, the robust stabilization problem, output tracking
I. INTRODUCTION
problem, factorization method were respectively considered
Passive systems are a family of dynamical systems where
in [2], [5] and [3]. In detail, the relationship between the
the energy exchanging with the environment plays a central
satisfaction of the Bezout identity and the BIBO stability
role. In passive systems, the rate at which the energy ows
of the nonlinear feedback system is discussed in [2] which
into the system is not less than the increasement in storage. In
means that if the Bezout identity for the nonlinear feedback
other words, a passive system cannot store more energy than
control system is satised, then the closed nonlinear feedback
is supplied to it from the outside, with the difference being
system can be equivalently transformed into an open one, by
the dissipated energy [7, 8]. The passivity is independent
designing the operators to be BIBO stable, then the system
of the state which is one of the important properties of
can be guaranteed to be stable. Moreover, a robust sufcient
the passive systems, therefore, many researchers have been
condition is proposed based on the idea of null set in [2],
engaged in this eld and among the existing results, the
whereas it cannot be applied into wider conditions because
passivity is usually studied for the input-output nonlinear
of the limited application of null set. Therefore, a more relax
systems. Therefore, in this paper, the nonlinear systems with
condition of guaranteeing the robust stability is proposed in
nite-gain input-output stability will be considered.
[5] based on Lipschitz norm, wherein the output tracking
Robust control problem is a critical problem in the non- problem is also considered in [5] and a sufcient condition is
linear control systems, especially in the real control systems proposed to improve the tracking performance based on ex-
with uncertainties [6, 10]. Robust control is commonly to ponential iteration theorem; another fundamental problem
nd a stabilizing controller to stabilize the nominal plant as -factorization method of the right coprime factorization is
well as the perturbed plant if the perturbations are bounded. proposed in [3] where the factorization of the plant is realized
There are many proposals to deal with the robust issues by using isomorphism approach. The system design means
in many elds and many areas, such as high gain method that two kinds of objects should be designed. One is the
[9], robust right coprime factorization method [1-2, 4-5] and factors N + N, D + D of the perturbed plant P + P ,
so on. Coprime factorization method has been used to deal the other is the design of the stabilizing controllers A, B.
with the robust issues on the nonlinear control systems since Combined with passivity property for the nonlinear feedback
1980s, especially the right coprime factorization method. The system, the robust stabilizing controllers A, B are designed
right coprime factorization method has been attracting an for some special cases [4], but for the uncertain nonlinear
ever increasing attention and has been applied into more feedback system, the passivity-based robust control has not
This work is supported by NSFC under grant 61304093. been solved, thus, in this paper, the robust controller A is
978-1-4673-7995-3/15/$31.00 2015
c IEEE 70
designed to tend to I while the controller B is designed P (Us ) Ys (U and Y is respectively the input space and
in small norm, then the robust stability of the nonlinear the output space of P ).
feedback system is guaranteed and the plant output asymp- Let S(U , Y ) be the set of stable operators from U to Y .
totically tracks to the reference output. Moreover, the larger Then S(U , Y ) contains such a subset dened by
the norm of B is, the smaller the difference between the (U , Y ) = {M : M S(U , Y ), M is invertible with
plant output and the reference output is. M 1 S(Y , U )}, elements of (U , Y ) are called uni-
The organization of this paper is outlined as follows: modular operators.
the mathematical preliminaries and problem statement are The concept of right coprime factorization is as follows:
outlined in Section II. The main results are demonstrated in
Section III. In Section IV, a numerical example is provided
to show the validity of the proposed methods, the nal part
is the conclusion of the paper.
II. MATHEMATICAL PRELIMINARIES
A. Operator theory
Some denitions and notations will be introduced in this
part.
Let M be the family of real-valued measurable functions Fig. 1. A nonlinear feedback control system.
dened on [0, ), which is a linear space. For each constant

T [0, ), let PT be the Projection operator mapping from
M to another linear space, MT , of measurable functions
such that

f (t), tT Fig. 2. Equivalent system of one shown in Fig. 1.
fT (t) := PT (f )(t) = (1)
0, t>T
where fT (t) MT is called the truncation of f (t) with Denition 2: Let P : D(P ) R(P ) be a causal and
respect to T . Then, for any given Banach space XB of stabilizable nonlinear operator. P is said to have a right
measurable functions, set coprime factorization on D(P ) over the space of nite-gain
stable and causal operators, if it has a right factorization
X e = {f M : fT XB < for all T < } (2)
P = N D1 on D(P ) over the space of nite-gain stable
Obviously, X e is a linear subspace of M . The space X e so and causal operators and moreover there exist two operators
dened is called the extended linear space associated with A : R(N ) D(P ) and B : R(D) D(P ), and for the
the Banach space XB . unimodular operator M : D(N ) D(P ), we have the
Two linear spaces U and Y are denoted to be subspaces Bezout identity:
of X , and their normed subspaces are respectively denoted
e
AN + BD = M (3)
as US and YS , which are called to be stable subspace of U
and Y , respectively. additionally, W = D(N ) is named for quasi-state space.
Let P : U Y be an operator, and the domain and range As we mentioned in the introduction, if the Bezout identity
of P is denoted with D(P ) and R(P ), respectively. If for the (3) holds, then the nonlinear feedback control systems shown
operator P : D(P ) Y , the following rules are satised: in Fig. 1 can be equivalently transformed into the one shown
P : u1 +u2 P (u1 )+P (u2 ) for u1 , u2 D(P ) and in Fig. 2.
, C, (C denotes the set of the complex numbers), then Its worthy to mention that the initial state should also be
the operator is a linear operator, otherwise, it is nonlinear. In considered, that is, AN (w0 , t0 ) + BD(w0 , t0 ) = M (w0 , t0 )
this paper, we consider the nonlinear cases and assume that should be satised.
D(P ) = U and R(P ) Y . Based on Lipschitz norm, Deng et al. considered the robust
Denition 1: The operator P : U Y is said to be bounded control of the nonlinear perturbed control systems which is
input bounded output (BIBO) stable, or simply stable, if shown in Fig. 3 [5]. Moreover, based on the satisfaction
71
then the system shown in Fig. 3 is stable, where is
dened in (5).
Therefore, if (6) is satised, then the nonlinear systems
with nominal plant shown in Fig. 1 is stable. Meanwhile, the
nonlinear systems with unknown perturbations shown in Fig.
3 is also stable by the satisfaction of (7) and (8). Moreover,
the perturbed plant P = N (D + D)1 can be said to have
a robust right coprime factorization. For simplication, the
three conditions are named to be robust conditions.
Fig. 3. A nonlinear feedback system with unknown perturbations.
Moreover, based on the satisfaction of the nominal Bezout
identity, the nonlinear system shown in Fig. 1 is stable [2].
Similarly, based on the satisfaction of the perturbed Bezout
identity AN + B(D + D) = M , the system shown in Fig.
3 is stable and can be equivalently transformed into the one
Fig. 4. Equivalent system. shown in Fig. 4. From the equivalent system, the relationship
between the plant output and the reference output can be
simply obtained: y = N M 1 (r).
of the Bezout identity, the nonlinear control system can be
B. Passivity theory
equivalently transformed into the system shown in Fig. 3.
Some necessary denitions about the sufcient condition are In this paper, we consider nonlinear systems described by
given as follows: the operator form

Denition 3: Let U e and Y e be two extended linear spaces, w(t) = D1 (u)(t)
: . (9)
which are associated respectively with two given Banach y(t) = N (w)(t)
spaces UB and YB of measurable functions dened on the where u U , w W and y Y is the control input,
time domain [0, ), where a Banach space is a complete quasi-state and plant output, respectively.
vector space with a norm. Let D e be a subset of U e . A Denition 4: The system is said to be passive if there
nonlinear operator P : D e Y e is called a generalized exists a nonnegative function V : W R+ , called the
Lipschitz operator on D e if there exists a constant L such storage function, such that for u U , w0 W , t t0
that t
V (w)(t) V (w)(t0 ) y(s)u(s)ds . (10)
[P (x)]T [P (
x)]T ]YB LxT x
T UB (4) t0
Stored energy
Supplied energy
D e and for all T [0, ). Lip(D e ) denotes
for all x, x
the family of nonlinear generalized Lipschitz operators that Moreover, if the stored energy is equal to the supplied
map D e to itself. energy,
t
Note that the least such constant L is given by
V (w)(t) V (w)(t0 ) = y(s)u(s)ds. (11)
[P (x)]T [P (
x)]T YB t0
P := sup sup (5) then the passive system with storage function V is said to
T [0,) x,
xD e xT xT UB
xT =x
T
be lossless. For another case that a passive system with
Lemma 1: Let D e be a linear subspace of the extended linear storage function V is said to be strictly passive if there exists
space U e associated with a given Banach space UB , and let a number such that
(A(N + N ) AN )M 1 Lip(D e ). If the following t
conditions are satised: V (w)(t) V (w)(t0 ) = y(s)u(s)ds 2 . (12)
t0
AN + BD = M (W , U ) (6) If the nonnegative function V is differential, then the

A(N + N ) + BD = M (7) passivity inequality (5) is equivalent to

[A(N + N ) AN ]M 1 < 1 (8) V yu u U . (13)
72
C. Problem statement We can nd that whether the perturbed plant P +P is stable
Considering the perfect tracking property, the robust sta- or unstable, the part (D + D)N 1 is stable and bounded,
bilizing controllers are designed as shown in [1], but in most according to the denition of BIBO stability, therefore, it is
cases, the plant output cannot perfectly track to the reference easy to nd that the larger the norm of B, the smaller the
input. Therefore, for the case that nonlinear system with difference between the plant output and the reference output.
nominal plant cannot realize the perfect tracking property, the This completes the proof.
design of the stabilizing controllers (A, B) will be considered Moreover, according to the design scheme, we can get that
(w) < N (w)(M
M (w)(t) = A(N (w)+B(D+D)(w)), by
while the factors (N, D +D) are obtained by isomorphism
approach. choosing the storage function to be V (w)(t) = V (w)(t0 ) +
t
+ I)(D + D)(w)ds, the uncertain nonlinear system
(M
t0
III. MAIN RESULTS
is guaranteed to be passive V (w)(t) y(t)u(t).
Consider the nonlinear feedback system with unknown
perturbations shown in Fig. 3, where the system is well- IV. S IMULATION RESULT
posed and the factors N , D and D +D are obtained by the
In this part, a numerical example will be given to show
isomorphism factorization method [4] (where N is factorized
the effectiveness of the proposed design scheme.
in the linear form and all the uncertain factors are included
First, two spaces U and Y are given:
in the part of D + D). Although the existence domain
of the controllers (A, B) are given in [1], but the design U =
C[0,)
scheme is only effective for the case of nonlinear system
Y = {y(t)|y(t) = (u)(t), u(t) U }
where the perfect tracking is guaranteed. In most cases, the

perfect tracking cannot be realized, especially for the case where C[0,) is a set of positive and continuous functions
of unknown perturbations. Therefore, we will consider a dened in t [0, ) and () is also a continuous function.
design scheme of robust controllers (A, B) for the perturbed Let be the sup-norm dened by u =
nonlinear feedback system. supt[0,) |u(t)|, dene
Proposition 1: The nonlinear feedback system with unknown
perturbations in Fig. 3 is assumed to be well-posed and Us = {u(t)|u(t) U , u < }
the factors are obtained from the isomorphism factorization Ys = {y(t)|y(t) Y , y < }
method shown in [4], where the robust controllers A < I
is designed to tend to I and B is designed to be in small It can be proved that both of the above spaces are linear
norm (B < 1). It can be proved that the larger the norm normed, then they can be respectively the stable subspaces
of B is, the smaller the error between the plant output and of U and Y .
the reference output is. Consider the nonlinear feedback system with unknown
Proof: According to the satisfaction of the perturbed Bezout perturbations shown in Fig. 3, by using isomorphism fac-
identity AN + B(D + D) = M , torization method [4], the nominal plant and real plant is
respectively factorized,
y(t) = (r)(t)
NM
= N [AN + B(D + D)]1 (r)(t) (14) N (w)(t) = (1 + et )w(t)
(D + D)1 (u)(t)= et u(t) +
then we nd that as A I,
D1 (u)(t)= et u(t) (16)
y(t) r(t)
= N [AN + B(D + D)]1 (r)(t) r(t) where uncertain factor is bounded, and the operators can

be obtained as D(w)(t) = et w(t), (D+D) = et (w).
= N [AN + B(D + D)]1 I (r)(t)

Next, we will design the stabilizing controllers to stabilize
= {[AN + B(D + D)]N 1 }1 I (r)(t)

not only the nonlinear systems with nominal plant but also
= [A + B(D + D)N 1 ]1 I (r)(t) the one with unknown perturbations.
{[I + B(D + D)N 1 ]1 I}(r)(t) (15) For simplication, the controllers A and B are respectively
73
designed according to Proposition 1 as follows, with the design parameter K = 2 than that with K = 1000,
1 which conrm the validity of the proposed.
A(y)(t)= y(t)
1 + et Moreover, the nonlinear system can be guaranteed to be
1
B(u)(t)= u(t) (17) passive which is shown in Fig. 6.
K
Passive property
then we get that 0
B 1 (e)(t) = Ke(t)
5
(18) dV/dt
yu
10
then we will verify the satisfaction of the Bezout identity
Passive property
15
for the nonlinear feedback system with nominal plant and

20
perturbed plant.
25
Suppose that M = AN + BD, then the following is
30
obtained,
35
1 0 2 4 6 8 10 12 14 16 18
M (w)(t) = (AN + BD)(w)(t) = w(t) + w(t) (19) time/sec
Ket
then we can nd that M is a unimodular operator. Fig. 6. Passive property.
Similarly,
V. C ONCLUSION AND FUTURE WORK
(w)(t) = [A(N + N ) + BD](w)(t)
M
1 The robust control of the nonlinear feedback system with
= w(t) + (w(t) ) unknown perturbations is considered in this paper by the
Ket
According to the denition of unimodular operator, we can robust stabilizing controllers (A, B). In detail, the controller
is unimodular with
nd that M A is designed to tend to I and B is designed to be in
small norm, by which, the tracking performance is studied.
1 (r)(t) = et
M 1 (r + ) (20) Moreover, the passivity of the controlled nonlinear feedback
et + K
Ket
system is also guaranteed by the designed scheme.
then based on the equivalent system, we nd that
The passive-based robust control of the general nonlinear
y(t) = (N + N )M 1 (r) systems, such as the Hamilton systems will be considered in
t
1+e et the future work.
= 1 t (r + )
1+ K e K
R EFERENCES
r(t) (21)
[1] N. Bu and M. Deng, System design for nonlinear plants using
operator-based robust right coprime factorization and isomorphism,
The simulation results of comparing the tracking error with IEEE Trans. Autom. Contr., Vol. 56, No. 4, pp. 952957, 2011.
[2] R. J. P. de Figueiredo and G. Chen, Nonlinear Feedback Control
K = 2 and K = 1000 are shown in Fig. 5, where r(t) = Systems-An Operator Theory Approach. New York: Academic Press,
10 + et and = 0.1rand. From the simulation result, we INC; 1993.
[3] M. Deng and N. Bu, Isomorphism-based robust right coprime factor-
ization of nonlinear unstable plants with perturbations, IET Control
Plant output asymptotically tracks to reference input
22 Theory Appl., Vol. 4, No. 11, pp. 2381-2390, 2010.
20
[4] M. Deng and N. Bu, Robust control for nonlinear systems using
passivity-based robust right coprime factorization, IEEE Trans. Au-
18 y1, K=1000
r
tom. Contr., Vol. 57, No. 10, pp. 2599-2604, 2012.
16
y2, K=2
[5] M. Deng, A. Inoue, and K. Ishikawa, Operator-based nonlinear
14
feedback control design using robust right coprime factorization,
IEEE Trans. Automat. Contr., Vol. 51, No. 4, pp. 645-648, 2006.
12
[6] A. Isidori, Nonlinear Control Systems, 3rd ed., Springer, Berlin, 1995.
10 [7] R. Ortega, A. Loria, P. J. Nicklasson and H. Sira-Ramirez, Passivity-
based control of Euler-Lagrange Systems. London, Springer-Verlag,
8
1998.
6 [8] R. Ortega, A. J. van der Schaft, I. Mareels and B. Maschke, Putting
0 1 2 3 4 5
time/sec
6 7 8 9 10 energy back in control,IEEE Trans. Automatic Contr., Vol. 21, No. 2,
pp. 18-23, 2001.
[9] Y. Z. Tsypkin and B. T. Polyak, High-Gain robust control, Eur. J.
Fig. 5. Tracking property with different K = 2 and K = 1000. contr., Vol. 5, pp. 3-9, 1999.
[10] M. Vidyasagar, Control System Synthesis-A Factorization Approach,
Cambridge, MA: The MIT Press, 1985.
can nd that the plant output is closer to the reference input
74
Correlated Neural Activity in Spiking Networks

with Topographic Couplings
Jinli Xie*, Qinjun Zhao, Jianyu Zhao

School of Electrical Engineering
University of Jinan
Jinan, 250022, China
{cse_xiejl, cse_zjy, cse_zhaoqj}@ujn.edu.cn
AbstractA neural field model with topographic feedforward feedback, and the topography of network pathways are studied
and feedback is chosen to confirm how correlated activity in over a wide range of spatial scales. Numerical results show
spiking neural networks depends on spatial couplings. Numerical how such spatial organized connections influence neural firing
simulations reveal that the intensity of the correlated firing is activity, and focuses closely on correlated activity of the
suppressed as the feedback spatial scale decreases. Afterwards, as network. Accordingly, the dependence of the correlated neural
the feedback becomes topographic, the correlation coefficient is activity on the topographic feedforward and feedback
almost unchanged with further decreases in feedback spatial couplings are revealed.
scale. Correspondingly, the relatively flat values of correlation
coefficient with decreasing feedforward spatial scale imply that
the effect of spatial spread of feedforward on correlated firing of II. MODEL AND METHODS
the neurons keeps almost invariable. Therefore, the correlation We use a network of leaky integrate-and-fire (LIF) neuron
coefficient and the spatial scales are uncorrelated in the network models to analyze the pairwise correlations of spiking activities.
with topographic couplings. In brief, the global feedback enables The structure of the network model, shown in Fig. 1, includes
the system to modulate correlated neural activity with the spatial
scale, while the introduction of topography in couplings bring
N E 4 N / 5 excitatory and N I N / 5 inhibitory neurons.
little effect on network correlations. This proportions are motivated by the fact that there are about
four times more excitatory than inhibitory neurons in large
Keywordscorrelation; topographic; feedback; feedforward portions of the cortex [18]. The connections between excitatory
and inhibitory neurons are via topographic feedforward and
I. INTRODUCTION feedback[7,11]. For simplicity, there are no local horizontal
connections within the population.
There is evidence that correlated neural activities are
fundamental tools for biasing input selection or encoding and
exchanging information in for neuronal information processing,
the properties of which are suspected to be critical for sensory
processing [1-6]. Electrosensory systems are organized in a
feedforward manner, where principal cells driven by the
primary receptors that receive the stimulus are spatially
connected through feedback[7-9]. There has been much work
recently on the gain modulation in networks developed from
sensory systems [10-15]. It is known theoretically and
numerically that network correlations can be modulated in
networks with global delayed feedback [16-22]. However,
these studies focused on the neural dynamics with connections
which are spatially uniform, and thus little is known about the
effects of the topography on correlations [23,24]. In particular,
their existence raises the question of how the spatial scales of Fig. 1. The network model
the connections affect the firing activity, which will be our
focus here. The dynamics of the membrane potential of LIF are
described as follows:
In this paper, we consider how neural response in networks
of sensory systems depends on the spatial range of topographic dEi
coupling. The excitatory neurons afferents terminate in the Wm Ei P Ki (t ) I (i,t )
dt
inhibitory neurons to form a topographic representation, and
g f M
vice versa. The respective domains of neurons are modeled by in dt ch(t c - W in ) G(i - k )xk (t - t c)
a neighborhood of cells projects near itself via feedforward or 4 N / 5 W in k=1
978-1-4673-7995-3/15/$31.00 2015
c IEEE 75
dPj T
Wm
dt
Pj P K j (t )
W
CCG
T
i1i2 (W )
(2) Ci1i2 (T ) (6)
g ex f N T T
dt ch(t c - W ex ) F (j - k )xk (t - t c) ACG i1i1 (W ) ACGi2 i2 (W )
N / 5 W ex k=1 W T W T
where Ei and Pj denote the membrane potential of excitatory When T is large enough, Ci1i2 saturates to a steady value Ci1i2
neuron i and inhibitory neuron j , respectively. The which is defined here as the pairwise correlation coefficient of
feedforward (feedback) pathways have the synaptic efficacy neurons i1 and i2 . Finally, the correlation coefficient Cor of
g ex ( g in ) and the response time delay W ex ( W in ). In addition, the network reported in our results below is obtained by
xk (t ) is the spike train of neuron k , h(t ) = D 2 (t )exp( - D t ) is averaging the pairwise correlation coefficients over all pairs of
a standard -function, P is the sensory input, Ki (t ) ( K j (t ) ) is excitatory neurons.
the internal noise modeled by Gaussian white noise of intensity The parameter values chosen in our work are: N 100,
D , and I (i,t ) is a time-varying input to excitatory neurons M 100, L 10 s,W r 3ms,W in 6ms,W ex 1ms, D in 18ms 1 ,
follows: W in 6ms,W ex 1ms, D ex 3ms, T 100ms,W m 6ms, P 0.8,
I (x,t1 )I (y,t2 ) = DE G (t1 - t2 ) (3) D 0.5, DE 0.12, Vth 1, Vr 0 . Eq.(1) and Eq.(2) is
integrated using an Euler-Maruyama scheme with a time step
where DE is the noise variance. The topography of the of 5 x 10-5 sec. Numerical results provide supports to the
feedforward is denoted by normalized connectivity effects of the spatial scale of couplings on the spiking activities.
kernel F (x) exp( x 2 / 2V f ) / 2V f , which is Gaussian
distribution with V f [11]. The feedback kernel G (x ) is
chosen similarly as F (x ) , but the standard deviation of the III. RESULTS
spatial scale is V g . Since larger V leads to increased spatial extent of the
connections, smaller V represents less neighborhoods pulled
Our investigation of the correlated activities of the network together, namely, topographic feedback. Thus, we use 1 / V f
will be carried out by the mean pairwise correlation coefficient
of all excitatory neurons. Here, we use the spike train cross- and 1 / V b as the ratio of the characteristic length scales or
correlogram (CCG) as the pairwise spike correlation of feedforward and feedback. Fig.2 provides the sketch of the
excitatory neurons i1 and i2 which is defined as [1]: spatial extent of the connections for different values of V .
Note that, when 1 / V 0.1 , the connection is global. While the
M L
connection is local (topographic) once 1 / V exceeds 0.1.
x k
i1
(t ) xik (t W )
2
CCGi1i2 (W ) k 1 t 0
(4)
M ( L W ) Oi1 Oi2
where M is the number of trials or realizations, L is the

duration of every trial, and O is the firing rate. The term
L W is used to correct for the degree of overlap as a function
of the discrete time lag W of the two spike trains. Due to the
division of the correlation function by the geometric mean
spike rate, CCG ends up with units of coincidences per spike.
The auto-correlograms (ACG) of the neurons, used below
to normalize the cross-correlograms, are calculated similarly as
the CCG, but by letting i1 i2 :
M L
x k
i (t ) xik (t W )
ACGii (W ) k 1 t 0
(5)
M ( L W ) Oi Oi Fig. 2. Spatial extent of connections
The pairwise spike correlation of the two excitatory The correlation between neural spike trains is certified to be
neurons i1 and i2 is estimated by the ratio of the area of the increased with the firing rate [1]. Here, the intensity of the
firing activity is denoted by the mean firing rate. Numerical
CCG within a certain range of lags defining a window T to the
simulations are first carried out to reveal the characteristics of
geometric mean area of the ACG over the same window:
the firing activity and the results are shown in Fig. 3.
76
(a) 1/Vb 0.2 , which reveals that the correlation coefficient of
120
gin=-1,gex =1 the network is kept constant with varying spatial extant of
gin=-1,gex =4
feedforward and equals to its value in network with global
100
feedforward ( V f 0 ). Further numerical simulations were
gin=-4,gex =1
done for fixed V f and varied V b . The plot of Cor versus
80
1 / V b when 1 / V f 0.2 (solid line with circles) shows that
O(spikes s 1)
-
60 Cor rapidly decreases monotonically with deceasing V b and

asymptotes to the curve of Cor with varying V f . Notably, the
40
maximum of Cor in this case occurs when the feedback is
global ( V b 0 ), thus the introducing of topographic feedback
20
attenuates the correlation coefficient of the network.
0.55
0
0.5 0.6 0.7 0.8 0.9 1 1.1 Vf
P Vb
0.5
(b)
40 0.45
Vf
39
Vb
Cor
38 0.4
37
0.35
36
O(spikes s 1)
-
35
0.3
34
33 0.25
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
1/ V
32
31
Fig. 4. Relationship between correlation coefficient and spatial scales of the
30 couplings
0 0.2 0.4 0.6 0.8 1
1/ V
In addition to these results, we note that the correlation
coefficient of the network with topographic feedforward and
Fig. 3. Firing rate of spiking networks
global feedback ( 1 / V b 0.1,1 / V f 0.2 ) is relatively higher
As shown by Fig. 3(a), the f-I curves experience a than that with topographic feedback and global feedforward
subtractive shift toward larger values of the input current ( 1 / V f 0.1,1 / V b 0.2 ) over the same range. When the
without varying its overall shape. The displacement of the feedforward and feedback couplings are both topographic
firing onset depends on the synaptic efficacy, with more ( 1 / V ! 0.1 ), varying the spatial scale of the couplings does not
negative (positive) values of g ex ( g in ) leading to larger shifts change the correlation coefficient of the network. Therefore,
of the onset of firing. Such a shift of the firing onset, induced the attenuation or enhancement of the network correlated
by the combination of topographic feedforward and feedback spiking activity is determined mainly by the spatial scale of
couplings, constitutes a subtractive effect on the stimulus, feedback and less by that of feedforward, which is show good
which is corresponding to the results in global spiking accordance with experiment.
networks. The spatial parameters are V f 5, V b 5 . Fig. 3(b)
The flat dashed line with squares representing a network
plots the firing rate of the network as functions of the spatial with topographic feedback ( 1 / V b 0.2 ) together with global
scales of the feedforward and feedback couplings. With
or local feedforward indicates that the spatial extent of the
varying 1 / V , the firing rate keeps constant, providing evidence
feedforward contributes little to the intensity of the correlated
that the firing activity is largely independent of the spatial spiking activity. In addition, when 1 / V b 0.1 , the feedback is
range of the couplings.
global as revealed by Fig. 2, the correlation coefficient varies
The correlation coefficient of the network with the inversely with spatial scale of feedback. Nevertheless, the solid
topographic modulation, for different spatial scale regimes, is line with circles has shown that the correlation coefficient
depicted in Fig. 4. As with the simulations, we varied V f decreases slightly when the feedback is topographic
while keeping V b fixed to obtain different values of Cor . ( 1 / V b ! 0.1 ). In this case, the spatial extent of the feedforward
Dashed line with squares represents Cor versus 1 / V f when has little effect on the correlated spiking activity. Consequently,
77
with topographic feedback, the correlated spiking activity of [4] T, Tchumatchenko, M, Volgushev, T, Geisel, and F. Wolf,
the network is insensitive to the spatial scale of couplings. "Correlations and synchrony in threshold neuron models," Phys. Rev.
Lett., vol. 104, 058102, 2010b.
[5] M. A. Smith, and A. Kohn, "Spatial and temporal scales of neuronal
IV. CONCLUSIONS correlation in primary visual cortex," J. Neurosci., vol. 28, pp. 12591
Despite the fact that correlated activity of groups of 12603, 2008.
neurons has been the subject of intense research efforts in [6] W. J. Middleton, C. Omar, B. Doiron, and D. Simons, "Neural
correlation is stimulus modulated by feedforward inhibitory circuitry,"
many studies, the functional role of spatial characters in neural The Journal of Neuroscience, vol. 32(2), pp. 506-618, 2012.
correlations is still a topic of debate. Supposing the [7] L. Maler, "Neural strategies for optimal processing of sensory signals,
feedforward and feedback interactions were collapsed to a Progress in Brain Research," vol. 165, pp. 135-154.
single spatial interaction, recent research findings have [8] M. J. Chacron and J. Bastian, "Population coding by electrosensory
revealed the effects of topographic feedback on the oscillatory neurons. Journal of Neurophysiology," vol. 99, pp. 1825-1835, 2008.
activity [11]. What our results further indicate is that the [9] G. Marsat, A. Longtin, and L. Maler, "Cellular and circuit properties
respective contributions of spatial spread of feedforward and supporting different sensory coding strategies in electric fish and other
feedback to the firing activities. Here, we present a systems," Curr. Opin. Neurobiol., vol. 22(4), pp. 686-92, 2012.
computational model evoked by electrosensory system which [10] D. Battaglia, N. Brunel, and D. Hansel, "Temporal decorrelation of
is widely used to analyze correlated activity, and focus on the collective oscillations in neural networks with local inhibition and long-
range excitation," Phys Rev Lett., vol. 99(23), pp. 238106, 2007.
correlation coefficient with the topographic modulation for
[11] A. Hutt, C. Sutherland, and A. Longtin, "Driving neural oscillations with
different spatial scale regimes. Besides that, a parameter is correlated spatial input and topographic feedback," Physical Review E,
defined to specify the spatial spread of the connections. vol. 78, 021911, 2008.
We point out that the topographic feedforward and [12] J. S. Rothma, L. Cathala, V. Steuber, and R. A. Silver, "Synaptic
depression enables neuronal gain control," Nature, vol. 457(7232), pp.
feedback couplings possess a subtractive effect on the firing 1015-1018, 2009.
activity. The spatial scales of the couplings are further changed [13] C. Ly and B. Doiron, "Divisive gain modulation with dynamic stimuli
over a wide range, but the network firing rate is invariant. in integrate-and-fire neurons," PLoS Comput Biol, vol. 5(4), e1000365,
Despite the firing rate is insensitive to the spatial range of the 2009.
connections, the relationship between correlation coefficient [14] E. Serrano, T. Nowotny, R. Levi, B. H. Smith, and R. Huerta, "Gain
and spatial scales of feedforward and feedback couplings have control network conditionsin early sensory coding," PLoS Comput Biol,
roughed out the effects of topographic connections on the vol. 9, 7, 2007.
correlated firing activity. The network correlation coefficient is [15] J. F. Mejias, A. Payeur, E. Selin, L. Maler, and A. Longtin, "Subtractive,
increased with increasing feedback spatial scale, the divisive and non-monotonic gain control in feedforward nets linearized
by noise and delays," Front Comput Neurosci., vol. 25, pp. 8-19, 2014.
enhancement is maximal when the feedback is global. For
[16] W. W. Lytton and T. J. Sejnowski, "Simulations of cortical pyramidal
topographic couplings (both feedforward and feedback), the neurons synchronized by inhibitory interneurons," J Neurophysiol., vol.
value of the correlation coefficient has no relation with the 66, pp. 10591079, 1991.
spatial scales. Therefore, the spatial spread of global feedback [17] G. J. Murphy and F. Rieke, "Signals and noise in an inhibitory
can modulate the correlated neural activity, while the spatial interneuron diverge to control activity in nearby retinal ganglion cells,"
structures of topographic organized couplings have no effects Nature Neuroscience, vol. 11, pp. 318 326, 2008.
on the correlated neural activity. [18] C. Borgers and N. Kopell, "Synchronization in networks of excitatory
and inhibitory neurons with sparse, random connectivit," Neural Comput.
vol. 15, pp. 509538, 2003.
ACKNOWLEDGMENT [19] B. Doiron, M. J. Chacron, L. Maler, A, Longtin, and J. Bastian,
This work was supported by the National Natural Science "Inhibitory feedback required for network oscillatory responses to
communication but not prey stimuli," Nature, vol. 421, pp. 539543,
Foundation of China under Grant No. 61203375, and the 2003.
Doctoral Foundation of University of Jinan under Grant No.
[20] W. J. Middleton, C. Omar, B. Doiron, and D. Simons, "Neural
XBS1240. correlation is stimulus modulated by feedforward inhibitory circuitry,"
The Journal of Neuroscience, vol. 32(2), pp. 506-618, 2012.
[21] J. L. Xie, Z. J. Wang, and A. Longtin, "Correlated firing and
oscillationsin spiking networks with global delayed inhibition,"
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"Correlation between neural spike trains increases with firing rate," firing of spiking neural network," Cognitive Neurodynamics, vol. 7(4),
Nature, vol. 448, pp. 802-806, 2007. pp. 325-331, 2013.
[2] O. A. Akerberg and M. J. Chacron, "Coding signal strength by [23] D. Hansel and H. Sompolinsky, "Synchrony and computation in a
correlated activity in bursting neurons," BMC Neuroscience, vol. 11 chaotic neural network," Phys. Rev. Lett., vol. 68, pp. 718-721, 1992.
(Suppl 1), F3, 2010.
[24] A. Roxin, N. Brunel, and D. Hansel, "Role of Delays in Shaping
[3] T. Tchumatchenko, T. Geisel, M. Volgushev, and F. Wolf. "Signatures Spatiotemporal Dynamics of Neuronal Activity in Large Networks,"
of synchrony in pairwise count correlations," Front. Comput. Neurosci., Phys. Rev. Lett. vol. 94, 238103, 2005.
vol. 4, 1, 2010a.
78
Scheduling of Rescue Vehicles to Forest Fires via

Multi-objective Particle Swarm Optimization
Yaping Ren Guangdong Tian* MengChu Zhou
Transportation College Transportation College Department of Electrical and Computer
Northeast Forestry University Northeast Forestry University Engineering, New Jersey Institute of
Harbin, 150040, P. R. China Harbin, 150040, P. R. China Technology, Newark, NJ 07102 USA
E-mail: renyp1@163.com E-mail: tiangd2013@163.com E-mail: zhou@njit.edu
AbstractIt is complex and difficult to perform the rescue r1 (r2) Random number.
vehicle scheduling to handle forest fires in order to reduce the tAi The arrival time of fire engines to the ith fire point, i = 1, 2, , N.
operational cost and improve the efficiency of fire-extinguishing
services. A new research issue arises when a) decision-makers tEi The extinguishing time of the ith fire point, i = 1, 2, , N.
Vt The particles velocity at instant t.
want to minimize the number of rescue vehicles while minimizing
the rescue time; and b) decision-makers prefer to complete the ve The extinguishing speed offered by a fire engine.
fire-extinguishing task fast given limited vehicle resources. To do vij Average speed of the motorcade from point i to j, i, j= 1, 2, , N.
so, this work presents a novel multi-objective scheduling model to
vSi Average fire spread speed of the ith fire point, i = 1, 2, , N.
handle forest fires subject to limited rescue vehicle constraints. A Inertia factor of PSO.
fire spread speed factor is introduced into this model to better
describe a practical forest fire. Also, a Multi-objective Particle max Upper bound of .
Swarm Optimization (MPSO) algorithm is proposed to yield a set min Lower bound of .
of Pareto solutions for this problem. This approach is applied to X Particle.
a real-world emergency scheduling problem of the forest fire in Xi(g) The ith element in Q(g), i=1, 2, , PopSize.
Mt. Daxing'anling, China. Both theoretical and simulation results
xi The ith element in X.
demonstrate that the proposed approach is able to quickly
produce Pareto solutions for decision makers. xij(g) The ith element in Xi(g).
m Binary variable (1 if the mth fire engine is sent from point i to j; 0
z ij otherwise).
Keywordsparticle swarm optimization (PSO); emergency
scheduling; multi-objective optimization; model and simulation
I. INTRODUCTION
NOMENCLATURE Emergency management problems are concerned with

information collection, scheduling, transportation, damage,
A(g) Archive set used to store the Pareto solutions at the gth
generation. time response, material resources and accurately tracking
c1 (c2) Acceleration factor of PSO. disaster-hit area in all kinds of emergency events. Since it was
dij Distance between points i and j. initiated two decades ago, there have been many advances in
f1 (f2) Value of objective function 1 (2).
their solution methods and applications, e.g., earthquake relief,
Gbest Global best.
traffic incident response, personnel evacuation, and flood
emergency. Related surveys of various emergency operations
g Current generation.
can be found in [1-10].
gmax The maximum number of iterations.
Since emergency rescue and relief operations depend on
i, j The index of a point/area, i, j = 0, 1, 2, , N.
surface transportation, a working roadway network after a
Li Lower bound of the number of fire engines to the ith fire point, i =
disaster takes place is essential. Many studies on emergency
1, 2,, N.
rescue planning are performed. For example, Ozdamar et al.
M Upper bound of the total number of fire engines in the fire
construct a vehicle routing model in emergency logistics for
emergency scheduling centre, i.e., the starting point.
natural disaster [11]. Zhang et al. present an optimal path
m The index of a fire engine, m = 1, 2, , M.
model to minimize the travel distance in an emergency
N The number of starting and fire points. Note that 0 represents the logistics network [12]. Yuan and Wang establish a single-
starting point and others represent fire points. objective path selection model to achieve the minimum
Pbest Personal best.
response time and use a Dijkstra algorithm to solve it [13].
Pt The particles position at instant t. Chang et al.
Q(g) Population in the gth generation.
This work is supported in part by NSFC under Grant No. 51405075, USA
NSF under grant No. CMMI-1162482, and Postdoctoral Science Foundation
Project of Heilongjiang Province of China under Grant Nos. LBH-TZ0501
and LBH-Z13005, and Funds for International and Exchange of the National
Natural Science Foundation of Chian under Grant. No. 516561125002.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 79
propose an optimal model to minimize the travel time, indispensable and primary considerable factor for decision-
resource demand and transport cost with resource constraints, makers. Meanwhile, they have to take existing and available
and use a greedy-search-based genetic algorithm to solve it rescue resources into consideration. Only in this way can we
[14]. Wilson et al. describe a routing planning model for the obtain a feasible and efficient scheme to solve this problem. A
medical emergency service of mass casualty incidents [15]. Yi multi-objective program containing the total time of a rescue
and Kumar adopt an ant colony optimization method to solve process and the number of fire engines sent and used is
a logistics scheduling problem arising in disaster relief therefore designed. Its aim is to determine an optimal
activities [16]. Yan et al. present an earthquake emergency emergency schedule such that a certain number of fire engines
scheduling model to minimize the operating cost [17]. Wex et are dispatched to different fire points to minimize the total
rescue time including arrival time and firefighting time, as
al. develop an emergency decision support model to minimize
well as need to save rescue expenditure as much as possible,
the total completion time of incidents caused by natural
i.e., minimizing the number of vehicles and their usage.
disasters, e.g., earthquakes, tsunamis and hurricanes [18].
Bruni et al. establish a scheduling model characterizing the B. Assumptions
arrival of emergency patients and the duration of surgery [19]. This work makes the following assumptions:
Hu et al. propose an allocation model of earthquake (1) Each fire engine is assigned with an identical number
emergency shelters to minimize the total rescue time and use a of personnel and equipment;
particle swarm optimization (PSO) algorithm to solve it [20]. (2) The fire extinguishing speed offered by each vehicle
By analyzing the existing results, we conclude that the prior is same, and the fire spread speed of each fire point is
researches mainly focused on emergency planning/scheduling known; and
issues with a single target, i.e., rescue time or operational cost. (3) Each fire engine reaches one fire point at most.
However, in an actual emergency process, a decision-maker
C. Mathematical model
may have to minimize the number of rescue resources, as well
as minimize the rescue time. To handle it, a multi-objective By considering two goals to achieve the minimum total time
scheduling issue needs to be addressed. Also, in a practical spent and minimum number of fire engines, we formulate a
emergency process, the resources, e.g., vehicles, have large dual-objective emergency scheduling optimization model with
impact on its efficiency. Thus resource availability should be multi-resource constraints as follows:
N N
considered when an optimal schedule is determined. In
addition, researchers concentrate on the issues including Min f1 t Ai tEi
i 1 i 1
(1)
earthquake, traffic incident and personnel evacuation, but they
N M
pay little attention to forest fire problems. Some authors have
proposed the spread mechanism problem of forest fires, e.g., Min f2 z
j 1m 1
m
ij , i = 0 (2)
Pastor-Satorras [21-23], and provide basic theory for the fire
spread control. To our best knowledge, there are no studies on
s.t.
devising an emergency scheduling scheme to solve any
realistic cases of forest fires. To do so, this work proposes to N M
establish a multi-objective scheduling model to cope with
forest fires subject to rescue vehicle (fire engine) constraints z
j 1 m 1
m
ij dM ,i=0 (3)
for the first time. Namely, this work aims to find a new way to M
determine a schedule by taking multi-objectives and limited
resources into full account. In addition, a Multi-objective
Li d z mji , j = 0, i = 1, 2,, N (4)
m 1
Particle Swarm Optimization (MPSO) algorithm is used to
solve the proposed model based on its characteristics. zijm {0,1} , m = 1, 2,, M, i, j = 0,1, 2,, N (5)
The rest of this paper is organized as follows: Section II
describes an emergency scheduling problem of forest fires and Objective function (1) represents the minimum rescue time
for emergency scheduling, where its first item is fire engines
its mathematical model. Section III describes MPSO. Section
arrival time to each fire point, and the arrival time of vehicles
IV presents the solutions to several cases. Finally, Section V
to the ith fire point tAi is computed as:
concludes our work and describes some future research issues. N
d ji
II. PROBLEM STATEMENT
tAi=
i 1
v ji
, j=0, (6)
where dji and vji are the distance between points j and i, and
A. Problem statement
the average speed of the motorcade from point j to i,
This work proposes a new emergency scheduling problem respectively; and the second one is extinguish time of all fire
for forest fires involving multiple fire areas/points and subject points. Note that according to some actual fire situations, a
to a limited fire engine constraint. As we all know, confronted mathematic relation between vSi and vEi is given as follows:
with major fire disasters especially like multiple fire points
occurring in one region simultaneously, time is an
80
M number of vehicles sent to the ith fire point and xi is not less
( t Ai + t Ei ). vsi =( z mji .ve vSi ). tEi , j =0, i =1, 2,, N(7) than Li to satisfy constraint (4). For example, X = {3, 4, 2, 1, 3,
m =1 6}, the first element is 3, denoting that 3 vehicles are assigned
where vSi and vEi are the average fire spread speed of the ith to the first fire point, the second one is 4, meaning that 4
fire point and the extinguishing speed of a fire engine, vehicles is assigned to the second fire point, and so on.
N M
respectively; z
i 1 m =1
m
ji means the number of vehicles
reaching the ith fire point. The left side of (7) represents fire xN
spread area of the ith fire point, and the right side represents Fig. 1. Coding scheme of a solution.
the firefighting area of the ith fire point. Thus, the
extinguishing time of the ith fire point tEi is: B. Generating initial population Q(0)
vSi t Ai The population size is denoted by PopSize. The elements of
t Ei = M , j = 0, i = 1, 2,, N (8) initial particles are generated randomly under multi-
( z ve 2vSi )
m
ji constraints. The number of vehicles f2 in a particle is set as a
m
m =1
random integer and f2 M. For a solution, each vehicle zij
Objective function (2) represents the minimum number of
dispatched vehicles from point 0 to other fire points. has a state, which is 1 if the scheduling solution contains the
Constraint (3) ensures that the total number of fire engines mth fire engine from point i to point j, and 0 otherwise.
sent to each fire point cannot be greater than M vehicles due to Usually, as the number of fire point increases, the number of
limited fire engines. Constraint (4) limits the number of scheduling solutions does so drastically. Clearly, some
vehicles sent to the ith fire point, where Li is its low bound. solutions among them are infeasible, namely, they cannot
Constraint (5) defines decision variables that can take 1 or 0. meet specific constraints, e.g., (3) and (4). They need to be
The two objectives of the proposed model are in conflict adjusted and a common method to do so is re-generation or re-
N
construction. To make the algorithm quickly produce feasible
with each other because t i 1
Ei in objective functions (1) and solutions and converge to good quality solutions, we initialize
each particle in the initial population via Algorithm 1.
(2) is inversely proportional. To minimize the rescue time f1,
we require more vehicles, but then f2 increases. If a small Algorithm 1 Generation of initial population Q(0)
number of vehicles is used, more rescue time is needed to InputXi
extinguish fires and thus f1 becomes greater. OutputQ(0)
(1) While (i d PopSize) Do
(2) Flag=0;
III. HYBIRD ALGORITHM (3) While (Flag==0) Do
PSO is one of common heuristic algorithms dealing with (4) Randomly generate an integer-valued vector including N
optimization issues due to its fast convergence ability [24-31]. elements and satisfying (4);
(6) Construct an particle Xi;
To solve this complex problem, MPSO is adopted to solve the
proposed problem. In this algorithm, we introduce Pareto (7) If Xi is feasible, i.e., meeting (3), then
solutions into standard PSO to solve a complex emergency (8) Q(0) = Q(0){ Xi};
scheduling problem. (9) Flag=1;
MPSO contains five tasks: solution coding, generating (10) Else
initial population Q(0), calculating fitness values, updating (11) Flag=0;
particles and screening Pareto solutions, and updating an (12) End While;
archive set. (13) i++;
(14) End While;
A. Solution coding
C. Calculating fitness values
The encoding form of a solution directly affects the
efficiency of our algorithm. We first devise an initial multi- It is essential to evaluate each particle (solution) by
constraint-based coding scheme that has low decoding comparing its fitness value with others. The formulation
complexity and can conveniently execute the velocity and consists of two objectives. An emergency scheme for our
position updating of particles. According to our problems proposed model can be decoded into a solution X. The initial
feature, a solution is encoded as an integer-valued vector, each value of each particle is taken as its initial personal best (Pbest).
element of which corresponds to the number of fire engines The initial global best of the population (Gbest) is chosen from
dispatched to a fire point. As shown in Fig. 1, element xi all the initial particles best values. Apparently, the number of
M vehicles f2 can be easily obtained via (2) when X is known.
= z
m 1
m
ji , j = 0, i {1, 2,, N}, of solution X, indicates the However, f1 cannot be calculated directly and needs to be
derived from (6) (8). Also, from (8), we have:
81
M (4) Pbest(i) = Xi(g);
z mji ve ! 2vsi , (9) (5)
(6)
End If;
m =1 If Xi(g) is feasible, and Xi(g) and Xi(g-1) cannot dominate each
and this testifies the necessity of constraints (3) and (4). other, then
(7) Randomly choose one of them as Pbest(i);
D. Updating particles and screening Pareto solutions (8) End If;
Particles are updated as follows: (9) End For;
Vt+1 = Vt+c1.r1. (Pbest - Vt)+c2 .r2 .( Gbest - Vt) (10) (10) Then the new Perato solutions in Q(g) are merged into A(g-1);
(11) Again screen the Pareto solutions because domination relations may
Pt+1 = Pt + Vt+1 (11) exist between the new Perato solutions and A(g-1);
=max-(max-min) g/gmax, (12) (12) Produce A(g);
where Vt and Pt are the particles velocity and position at (13) Randomly choose one of particles in A(g) as Gbest;
instant t, is an inertia factor used to control the amount of a
E. Updating archive set
particles current velocity, c1 and c2 are acceleration factors
used to determine the relative influence of the self knowledge Archive set A(g) is used to store the solutions found during
and global knowledge. r1 and r2 are two random numbers the search process and is updated via Algorithm 3. In each
generated from the uniform distribution over interval [0, 1]. generation, all non-dominated particles in the current
max and min are upper and lower bounds of , respectively. g population are regarded as candidate solutions to update A(g).
represents the gth generation in MPSO, and gmax denotes the If either objective value of a candidate solution satisfies a
maximum number of iterations. Pbest - Vt represents the given threshold, the solution is added into A(g). Meanwhile,
exchange degree with reference to the personal best particle all dominated solutions are removed from A(g).
and Gbest - Vt represents the exchange degree with reference to F. MPSO procedure
the global best particle. The position of particle Pt is updated
MPSO adopts the maximum iteration count gmax as a
into Pt+1 by exchanging the element order based on the
termination criterion, i.e., if it is reached, output the Pareto
updated velocity Vt+1.
The devised coding scheme ensures that particles updating solutions and terminate the algorithm. Pareto optimality means
operation creates no infeasible solution. Notice that each that there is no other solution that in every objective
element of Xi(g) must satisfy (4); otherwise, some elements evaluation is equal or better than the solutions in the Pareto
are to be adjusted to meet it via Algorithm 2. The adjustment optimal solution set A(g).
process is given in Algorithm 2:
IV. EXPERIMENTAL RESULTS AND ANALYSIS
Algorithm 2 Adjustment of elements unsatisfying 4
InputQ(g)
The proposed approach is applied to the real-life scheduling
OutputQ(g) of rescue vehicles to cope with the forest fires in Mt.
(1) While (i d PopSize) Do Daxing'anling of Heilongjiang Province, China.
(2) For j=1 to N The fires occurred in Huzhong region located in Mt.
(3) If (xij(g) Li)Then Daxing'anling at 10:40 local time on June 29, 2010. The
distance information is given in Table I. According to Table I,
(4) xij(g) = Li;
point 0 represents the starting point of fire engines and other
(5) End If;
seven points represent fire points, i.e.,
(6) End for; 1. 1231 highland in Hubin,
(7) End While; 2. No. 311 line in Huxi,
3. No. 59 line in Xigou,
After updating particles positions, the next key task is to 4. No. 59 line in Hubin,
search Pareto solutions from population Q(g). Pareto 5. No. 12 line in Mt. Xiaobai,
optimality means there is no other solution that in every 6. No. 3 line in Mt. Xiaobai, and
objective evaluation is equal or better than the solutions in the 7. No. 6 line in Mt. Bishuitiyang, as listed in Fig. 2, such that
Pareto optimal solution set. Solutions are selected by the coding length is 7, i.e., N = 7. Their fire spread speeds are
comparing their every objective to ensure that they are Pareto given in Table .
optimal solutions. Algorithm 3 describes how to obtain Pareto
ones via screening all solutions.
Algorithm 3 The process of screening the Pareto solutions

InputQ(g-1), Q(g)
OutputQ(g), A(g)
(1) Calculate the fitness values of each particle in the current
population Q(g) via (2), (6) and (8);
(2) For i=1 to PopSize
(3) If Xi(g) is feasible, i.e., meeting (3) and (4), and Xi(g)
dominates Xi(g-1), then
82
independent runs of MPSO are performed. In each run, the
algorithm is executed for gmax = 200 generations to adequately
converge.
The Pareto solutions found in the three runs are given in
Table.
TABLE III
OPTIMIZATION RESULTS OF MPSO
The Pareto solutions Running time
Runs
f1 f2 (ms)
15.16 32
1 846.28
10.40 34
11.73 34
2 15.16 33 870.45
10.40 36
10.40 35
3 11.73 33 875.03
15.16 32
Fig. 2. Schematic diagram of Huzhong region in China

From Table III, we can see that the total time and the
Table I number of vehicles sent in those obtained Pareto solutions via
THE DISTENCE OF EACH FIRE POINT (km)
Point
MPSO fall into [10.40, 15.16] and [32, 36]. Also, each run of
0 1 2 3 4 5 6 7 MPSO is able to produce highly similar Pareto solutions,
No. (N)
which indicates that the algorithm performance is stable.
0 0 42 56 63 65 50 66 45 According to the last column in Table , it is seen that MPSO
can obtain optimal solutions in a short time. Hence, the
1 42 0 20 33 45 35 48 64 algorithm is feasible and efficient to solve a multi-objective
emergency scheduling problem for forest fires.
2 56 20 0 46 53 44 42 58 V. CONCLUSIONS
This work addresses a dual-objective rescue vehicle
3 63 33 46 0 60 55 52 54 scheduling issue in order to handle forest fires swiftly and
economically for the first time. Its goal is to minimize both the
4 65 45 53 60 0 62 64 56 number of vehicles to be dispatched and rescue time. A Multi-
objective Particle Swarm Optimization (MPSO) algorithm is
5 50 35 44 55 62 0 65 66
designed to solve the proposed model. MPSO can solve it
effectively, and generate the optimal solutions. The results can
be used to guide decision makers in making excellent
6 66 48 42 52 64 65 0 63
decisions when multiple forest fires take place and provide a
new method to determine a best rescue schedule to deal with
7 45 64 58 54 56 66 63 0 them. In addition, for a more practically orientated application,
a software package with a graphical user interface needs to be
developed. Furthermore, a robust system capable of real-time
Table scheduling needs to be investigated as our future work. The
FIRE SPREAD SPEED OF EACH FIRE POINT
Fire point
incorporation of other methods into MPSO, e.g., fuzzy logic
1 2 3 4 5 6 7 [32], may help decision-makers easily choose a right one from
No.
Fire spread a set of the obtained Pareto solutions. The use of other
speed vSi 5.16 2.20 2.55 6.98 6.56 4.83 3.40 intelligent optimization and mathematical programming
(m/min)
methods [33]-[44] should be pursued and compared with the
proposed MPSO.
In the phase of calculating fitness values, vij is set to be 40
km/h based on the real-road driving conditions. The
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84
85
An effective VNSSA algorithm for the blocking

flowshop scheduling problem with makespan
minimization
Chaoyong Zhang Zhanpeng Xie1*, Xinyu Shao1, Guangtong Tian2
School of Mechanical Science and Engineering (1) School of Mechanical Science and Engineering
Huazhong University of Science & Technology Huazhong University of Science & Technology
Wuhan, Hubei, 430074, P. R. China Wuhan, Hubei, 430074, P. R. China
E-mail:zcyhust@hust.edu.cn (2)Transportation College
Northeast Forestry University
Harbin 150040, P. R. China
E-mail:xzpsunny@163.com, shaoxy@mail.hust.edu.cn,
tiangd2013@163.com
AbstractThis paper proposes a hybrid algorithm based on concrete blocks. The similar situation also exists in the iron
the variable neighborhood search (VNS) and the simulated and steel industry [3], in the treatment of industrial waste and
annealing approach (SA) for minimizing the makespan in a the manufacture of metallic parts, and in a robotic cell, where
blocking flowshop scheduling problem. The proposed hybrid a job may block a machine while waiting for the robot to pick
algorithm (VNSSA) adopts simulated annealing approach (SA)
it up and move it to the next stage [4].
as the local search method in the third stage of variable
neighborhood search (VNS), and uses a perturbation mechanism The BFSP with makespan criterion is denoted as |block
consisting of various neighborhood operators to diversify the | [5]. It has been proved that the blocking flow shop
search. The destruction and construction phases of iterated scheduling problem with more than two machines is NP-hard
greedy algorithm are used to generate a trial solution during the [ 6]. The approaches for BFSP can be divided into three
perturbation process of SA to further promote the search categories: exact algorithms, heuristics and meta-heuristics.
capability. To validate the performance of the proposed VNSSA Exact algorithms such as enumeration, dynamic programming,
algorithm, computational experiments and comparisons were branch-and- bound and integer programming have been used
conducted on the well-known benchmark problems of Taillard. to solve different PFSPs. However, they cannot accomplish
The computational results of the proposed algorithm when
evaluated against the state-of-art algorithms from the literature
optimal schedules in a reasonable time for large-scale
show good performance, some new best solutions for Taillards instances. Heuristics can build a feasible solution on some
instances are reported for this problem. constructive operations with a fast process, while the solution
is quite not satisfactory. On the other hand, meta-heuristics
Index Terms Blocking flow shop, Makespan, Variable algorithms, such as genetic algorithm (GA), simulated
neighborhood search, Simulated annealing algorithm annealing (SA), tabu search (TS), would be very attractive
alternatives for a large scale problem. Recently, most studies
indicate that a single technique cannot solve this stubborn
1. Introduction
problem, and hybrid methods can provide high-quality
In a traditional flow shop scheduling model, the buffers
solutions within reasonable computing times.
between two consecutive machines are of infinite capacity Recently, a number of meta-heuristics have been published
where jobs can be stored for an unlimited amount of time.
to deal with the blocking flow shop problem for makespan
However, processed jobs are sometimes kept in the machines
minimization. Jzef Grabowski and Pempera [7] presented a
because of the lack of intermediary storage or storage is not
fast tabu search algorithm in which a dynamic tabu list is
allowed in some stages of the manufacturing process due to
proposed that assists additionally to avoid being trapped at a
technological requirements in most production systems[1-2].
local optimum. Experimental results demonstrated that both
The flow shop scheduling problem with capacity buffers is of the two proposed algorithms are relatively more effective
designated as the blocking flow shop scheduling problem
in finding better solutions than GA. Wang, Pan, Suganthan,
(BFSP). One of the reasons for the blocking is the production
Wang, and Wang [8] proposed a hybrid discrete differential
process. Jozef Grabowski and Pempera [2] described the
evolution (HDDE) algorithm by applying a
situation in their paper that storage is not allowed in some
job-permutation-based representation, a novel
stages of the manufacturing process in the production of
job-permutation-based mutation and crossover operators, and
a problem-dependent local search. Simulation results and
This research is supported by the Funds for International Cooperation and comparisons demonstrated that the HDDE algorithm
Exchange of the National Natural Science Foundation of outperforms other existed algorithms. Ribas, Companys, and
China(No.51561125002), the National Natural Science Foundation of China
(No. 51275190), and the Fundamental Research Funds for the Central Tort-Martorell [ 9 ] proposed an iterated greedy algorithm
Universities (HUST: 2014TS038). which makes use of the insertion method of the NEH heuristic
and presented an improved NEH-based heuristic used as the
978-1-4673-7995-3/15/$31.00 2015
c IEEE 86
initial solution procedure. In spite of its simple structure, the 3.1 Initialization method
computational results showed that it is a state-of-art algorithm. It is common to initialize meta-heuristics with high
Very recently, Lin and Ying [10] introduced a revised artificial performing heuristics. Most research papers use some variant
immune system (RAIS) algorithm based on the features of of the NEH heuristic to generate an initial solution, because
artificial immune systems. In this algorithm, the artificial this structure has been proven to be very effective in
immune system algorithm is combined with the annealing minimizing the makespan not only for the permutation flow
process of SA. The authors experimental results proved that shop problem, but also for the blocking flow shop problem.
the proposed RAIS is a state-of-the-art method for the However, we believe that a good algorithm is supposed to
problem considered. Within the above meta-heuristics, the have the capability of finding the optimal solution with a
relevant literature reveals that meta-heuristic-based algorithms random initial solution. Therefore, in this paper, we generate
such as TS+M, HDDE, IG and RAIS do provide excellent an initial solution randomly.
results and constitute the best-so-far available approaches for 3.2 Neighborhood structures
the |block | problem. The number of neighborhood structures in VNS has a
The rest of the paper is organized as follows. Section 2 crucial influence on the computational time of the search
presents the BFSP definition and formulation. Section 3 gives process. More neighborhood structures may promote the
the details of the hybrid methodology are described. Section 4 search efficiency with more computational time, which means
shows the computational results and comparisons with other there is a contradiction between the search capability and the
competitive algorithms and Section 5 concludes the paper. time performance. Therefore, we have to choose the
2. BFSP definition and formulation neighborhood structures appropriately to maintain the balance
In a blocking flow shop, there is a set of jobs = between the search capability and the time performance. In
{1,2, , } and a set of machines { = 1,2, , }. Each job this paper, five neighborhood structures are considered. They
will be sequentially processed on machine 1, machine 2 are Swap, Forward-insert, Adjacent-swap, Afterward-insert
and so on until last machine m, at the same order. Without loss and Inverse. These five neighborhood structures are defined
of generality, we assume that all jobs are independent and as below:
available for processing at time 0; machines are continuously (1) Swap: choose two different positions from a job
available; each machine can process at most one job and each permutation randomly and swap them.
job can be processed on at most one machine at any time. (2) Forward-insert: choose two different positions from
Operation , corresponds to the processing of job on a job permutation randomly and insert the back one before the
machine during an non-negative, known and front.
deterministic processing time , . Since the flow shop has no (3) Adjacent-swap: choose one position from a job
intermediate buffers, a job cannot leave a machine until its permutation randomly and swap it with the next position of
next machine available for processing. The objective in the the job permutation. Especially, if the chosen position is the
BFSP is to find a permutation for processing all jobs on all last position of the job permutation, swap it with the first
machines so that its maximum completion time position of the job permutation.
(i.e.,makespan), is minimized . More specifically, let a job 3.3 The search strategy in SA algorithm
permutation = {, , , } represent the schedule of In the phase of SA, we use the destruction and construction
phases of iterated greedy algorithm to generate a trial solution.
jobs to be processed, and , be the departure time of
Iterated greedy (IG) algorithm has been successfully applied
operation , , , ( = 1, , ) denotes the starting time of to PFSP with excellent results by (Ruiz & Sttzle, 2007) 11.
job on the first machine. The makespan of the job The key procedures in an IG algorithm are destruction and
permutation is denoted by () and it can be construction phases. In the destruction phase, d jobs from the
computed as follows: solution are chosen randomly to be removed so that the partial
e1,0 0 (1) permutation with n-d jobs will be established, which is
denoted as . At the same time, the set of d jobs, which is
e1,k e1,k 1 p1,k , k 1,..., m 1 (2) denoted as , will be constructed to be reinserted into .
e j ,0 e j 1,1 , j 2,..., n (3) Construction phase requires a heuristic constructive procedure
to reinsert the jobs in a greedy manner. The construction
e j ,k max{e j ,k 1 p j ,k , e j 1,k 1}, j 2,..., n, k 1,..., m 1 (4) phase employed is simply the implementation of step 3 of the
NEH heuristic until a complete permutation of n jobs is
e j ,m e j ,m 1 p j ,m , j 1,..., n (4)
obtained. In other words, the first job in the set is
Cmax (S ) en ,m (5) reinserted into all possible n-d+1 positions in the partial
permutation . Among these n-d+1 insertions, the best one
Therefore, the objective to find a permutation in the
with the minimum makespan or total flow time is chosen as
set of all permutations such that
the current partial permutation for the next insertion. Then the
Cmax (S * ) d Cmax (S ), S 3. (6) second job in the set is considered and so on until is
3. Hybrid variable neighborhood search and simulated empty. As to the destruction and construction procedure for
annealing algorithm the PFSP, where it is well illustrated with an example instance.
87
The pseudo-code of the construction and destruction are instances: =0.8, =0.80, 0.85, 0.90, =0.001, 0.0001,
showed in Fig. 1. p=0 and d =6, 7, 8. The CPU time is fixed at T= 0.5mn
Algorithm 4: Construction and Destruction phase of IG seconds, where n and m are the number of jobs and machines,
for i:=1 to d do respectively.
= remove one job from at random from
endfor
It was observed that when T is increased or is
for i:=1 to d do decreased, better solutions can be obtained at the expense of
=best permutation obtained by inserting job () in all positions of
higher computational time. It is difficult to assess the effect of
and d. Based on the preliminary testing, the following
endfor
return
parameter values seem to have a better performance: =0.8,
=0.80, =0.0001, p=0 and d =8.
Fig. 1 Construction and Destruction phase of IG To evaluate the proposed three VNSSA algorithms and
perform a comparison with the leading algorithms from the
3.4 Hybrid VNS and SA algorithm literature, each of the 90 benchmark instances was tested in
In this paper, we propose a hybrid variable neighborhood five runs for comparison with TS+M [7], HDDE [8], IG [9],
search and simulated annealing algorithm that adopt simulated IG* [10] and RAIS [10]. The proposed three VNSSA
annealing approach as the local search method in the variable algorithms were coded in C++ and run on an Intel Core
neighborhood search. The main body of VNSSA is shown in i5-3470 3.2GHz CPU with 3.2GB of RAM. The maximum
Fig. 2. Fig. 2 just presents the main framework of VNSSA. CPU time for our algorithms are fixed at T=0.5mn seconds.
The details of VNSSA are described in the following section.
Table 1 Result for the instance with n=20
Size BKS TS+M HDDE IG IG* RAIS VNSSA
205 1374 1387 1374 1374 1374 1374 1374
1408 1424 1408 1408 1408 1408 1408
1280 1293 1280 1280 1280 1280 1280
1448 1451 1448 1448 1448 1448 1448
1341 1348 1341 1341 1341 1341 1341
1363 1366 1363 1363 1363 1363 1363
1381 1387 1381 1381 1381 1381 1381
1379 1388 1379 1379 1379 1379 1379
1373 1392 1373 1373 1373 1373 1373
1283 1302 1283 1283 1283 1283 1283
2010 1698 1698 1698 1698 1698 1698 1698
1833 1836 1833 1833 1833 1833 1833
1659 1674 1659 1659 1659 1659 1659
1535 1555 1535 1535 1535 1535 1535
1617 1631 1617 1617 1617 1617 1617
1590 1603 1590 1590 1590 1590 1590
1622 1629 1622 1622 1622 1622 1622
1731 1754 1731 1731 1731 1731 1731
Fig.2 the main framework of VNSSA 1747 1759 1747 1747 1747 1747 1747
1782 1782 1782 1782 1782 1782 1782
2020 2436 2449 2436 2436 2436 2436 2436
4. Computational results 2234 2242 2234 2234 2234 2234 2234
To test the performance of the proposed VNSSA, an 2479 2483 2479 2479 2479 2479 2479
experimental evaluation and comparison with other 2348 2348 2348 2348 2348 2348 2348
competitive algorithms are provided based on the well-known 2435 2450 2435 2435 2435 2435 2435
2383 2398 2383 2383 2383 2383 2383
flow shop benchmark set of Taillard (1993). In this paper, 9 2390 2397 2390 2390 2390 2390 2390
groups of the Taillards benchmark are test, namely, the test 2328 2345 2328 2328 2328 2328 2328
instances involve three machine number values (m =20, 50, 2363 2363 2363 2363 2363 2363 2363
100) and three job number values (n =5, 10, 20). The test 2323 2334 2323 2323 2323 2323 2323
problem files are available via Taillards web site (URL:
http://www.idsia.ch/_eric) or by downloading from the Table 2 Results for the instance with n =50
OR-Library website (URL: http://mscmga.ms.ic.ac.uk/ Size BKS TS+M HDDE IG IG* RAIS VNSSA
jeb/orlib/&owshopinfo.html). 505 2995 3163 3033 3002 3002 2995 2997
3191 3348 3226 3201 3198 3191 3193
Parameter selection may influence the quality of the results. 3007 3173 3039 3011 3008 3007 3004
The parameters of VNSSA include the initial temperature , 3125 3277 3147 3128 3128 3125 3135
cooling rate , the freezing temperature , the accepting `` 3143 3338 3192 3166 3157 3143 3156
3169 3330 3183 3169 3183 3169 3187
probability p and the destruction size d. To decide the best 3012 3168 3054 3013 3012 3021 3029
parameter combination, ten instances were randomly selected 3058 3228 3081 3073 3058 3058 3060
from the benchmark set for preliminary testing. The following 2899 3068 2929 2908 2899 2908 2913
combinations of parameters were tested on the ten test 3114 3285 3146 3120 3117 3114 3104
5010 3633 3776 3667 3638 3635 3633 3620
88
3487 3641 3523 3507 3499 3487 3494
3473 3588 3515 3488 3473 3482 3480 blocking and shared setup times. Computers & Operations Research, 37,
3656 3786 3685 3656 3672 3666 3682 960-969.
3629 3745 3650 3629 3631 3634 3633 [4] Martinez, S., Dauzre-Prs, S., Gueret, C., Mati, Y., & Sauer, N. (2006).
3576 3747 3622 3621 3605 3576 3623 Complexity of flowshop scheduling problems with a new blocking
3682 3778 3704 3696 3682 3683 3701 constraint. European Journal of Operational Research, 169, 855-864.
3562 3708 3590 3572 3562 3574 3571 [ 5 ] Pinedo, M. (2012). Scheduling: theory, algorithms, and systems:
3523 3668 3556 3532 3523 3541 3553 Springer.
3616 3729 3642 3624 3623 3616 3622 [6] Allahverdi, A., Ng, C., Cheng, T. E., & Kovalyov, M. Y. (2008). A
5020 4498 4627 4516 4500 4498 4504 4497 survey of scheduling problems with setup times or costs. European
4276 4411 4296 4276 4285 4291 4281 Journal of Operational Research, 187, 985-1032.
4273 4388 4290 4289 4273 4279 4271 [7] Grabowski, J., & Pempera, J. (2007). The permutation flow shop problem
4362 4479 4393 4377 4362 4368 4344 with blocking. A tabu search approach. Omega, 35, 302-311.
4259 4359 4284 4268 4259 4275 4283 [8] Wang, L., Pan, Q.-K., Suganthan, P. N., Wang, W.-H., & Wang, Y.-M.
4280 4372 4308 4280 4306 4283 4299 (2010). A novel hybrid discrete differential evolution algorithm for
4308 4402 4325 4308 4313 4315 4328 blocking flow shop scheduling problems. Computers & Operations
4319 4444 4337 4326 4321 4319 4326 Research, 37, 509-520.
4313 4423 4332 4316 4313 4313 4327 [9] Ribas, I., Companys, R., & Tort-Martorell, X. (2011). An iterated greedy
4419 4609 4439 4428 4419 4419 4434 algorithm for the flowshop scheduling problem with blocking. Omega,
39, 293-301.
Table 1-2 show that the best known solution for the [10] Lin, S.-W., & Ying, K.-C. (2013). Minimizing makespan in a blocking
instances with n=20, n=50 provided by TS+M, HDDE, IG, flowshop using a revised artificial immune system algorithm. Omega, 41,
383-389.
IG*, RAIS, VNSSA1 are listed. The results show that VNSSA [11] Ruiz, R., & Sttzle, T. (2007). A simple and effective iterated greedy
for the instances with n=20 can yield the best solutions for algorithm for the permutation flowshop scheduling problem. European
these instances with n=20, and VNSSA founds 5 new best Journal of Operational Research, 177, 2033-2049.
known solutions for the instances with n=50 and 100. These
results verify that the proposed VNSSA algorithm is a
state-to-art algorithm for makespan minimization in a
blocking flow shop. The main reason that VNS can perform
well in the |block | problem may be due to VNSSA
providing an appropriate framework which combines the
respective advantages of SA and VNS. At the same time, the
conduction and destruction are used to prevent becoming
localized in a small area of the solution space, enhancing the
possibility of finding a global optimum.
5. Conclusions
In this paper, a hybrid variable neighborhood search and
simulated annealing algorithms (VNSSA) to address the
blocking flow shop scheduling problem (BFSP) with the
makespan criterion. In order to enhance the exploitation of the
VNS algorithm, we adopted simulated annealing (SA)
strategy as the local search method of the VNS. At the same
time, a perturbation mechanism consisting of various
neighborhood operators is presented to stress the balance of
diversification and intensification. The proposed VNSSA is
applied to solving the well-known Taillard instances, and
compare with other state-to-art algorithms of the recent
literature. The experimental results show that the proposed
VNSSA methods perform well and are effective approaches
for the BFSP for makespan minimization.
References
[1] Ronconi, D. P. (2004). A note on constructive heuristics for the flowshop
problem with blocking. International Journal of Production Economics,
87, 39-48.
[2] Grabowski, J., & Pempera, J. (2000). Sequencing of jobs in some
production system. European Journal of Operational Research, 125,
535-550.
[3] Gong, H., Tang, L., & Duin, C. (2010). A two-stage flow shop
scheduling problem on a batching machine and a discrete machine with
89
Simulation Modeling of Shuttle Racking System

based on Automod
Bingfeng Sang1, Yukun Liu1

Automation school1
BUPT1
Beijing, China1
284142802@qq.com 1, lykbupt@163.com1
AbstractThe paper researches modeling method of shuttle method of simulation modeling of shuttle racking system. By
racking system based on Automod. By analyzing the real system, analyzing the shuttle racking system, this paper achieves the
the system model of shuttle racking system was put forward. A system model of the shuttle racking system. Then, it researches
method of simulation modeling of LIFO type and the modeling the specific method of simulation modeling of shuttle racking
step for the shuttle racking system are provided. At last, an system, based on Automod. At last, the feasibility, the
example of some warehouse of refined grain verifies the effectiveness and the reusability of the method are verified in a
feasibility, the effectiveness, and the reusability of the method. case of a 3-D simulation of shuttle racking system.
Keywordsshuttle racking system; AutoMod; system model
II. SHUTTLE RACKING SYSTEM ANALYSIS
I. INTRODUCTION Shuttle racking system is a typical discrete-event system.
Shuttle racking system is a high-density storage system, Its entities, activities and operations DUH shown in Table 1. The
which is composed of the shelf, the shuttle-trolley and the parameters of the entities which are showed in Table 2 should
forklift. In recent years, Shuttle Racking system is more and also be collected at the same time.
more widely used in the field of beverage, household electric The information of entities activities should include the
appliance, chemical, tobacco and other industries, because of trigger condition, the termination condition, the location which
its high space and ground utilization rates. the activities take place at and so on. In the example of shuttle-
At present, about shuttle racking system, simulation test trolley lifting pallet, the entities are pallet and shuttle-trolley.
shoud be the last part for the planning, the design, and the The trigger condition is that the shuttle arrive at the pallets
layout of shuttle racking system, which domestic research position or the pallet is ready at the inlet of the shelf when the
mainly focus on. But because of the difficulties in shuttle-trolley arrives. The termination condition is that the
implementation of some operations of shuttle racking system, shuttle-trolley carrying the pallet reaches the storage location
the study of the shuttle racking system simulation modeling is or the outlet of the shelf. The location is the storage location of
relatively weak. The simulation software vendors which the target pallet.
include Flexim, Demo-3D and so on, have not yet presented a The series of activities of the shuttle racking systems form
better solution to the simulation modeling of shuttle racking the operation. For instance, the storage operation is composed
system. The simulation model of shuttle racking system can of forklifts taking the pallet, running in the warehouse, lifting
make the managers have a whole grasp of the real system and the fork, shuttle-trolley running on the shelf, sending the pallet
find the problems in the real system. So it is necessary to find a to target position and placing the pallet onto the shelf. It is
TABLE 1. SHUTTLE RACKING SYSTEM ANALYSIS
entity activity operation
shuttle-trolley lift pallet, put down pallet, run on the shelf Storage, picking-up, changing line
take the pallet, take the shuttle-trolley, put down the pallet, Storage, picking-up, changing line
forklift
put down the pallet, run in the warehouse
pallet storage, picking-up
shelves storage, picking-up
978-1-4673-7995-3/15/$31.00 2015
c IEEE 90
Fig. 1. Workflow chart of storage operation
TABLE 2. THE RELATED INFORMATION OF ENTITY
Start
entity related information
Change
size(height, length, width), acceleration, deceleration, The current
y lane
Shuttle- maximum of travel speed (with/ without load), time of roadway is empty
trolley lifting /lowering pallet, N
size(height, length, width), acceleration deceleration, Shuttle run to the
Forklift max travel speed(with/without load), max lifting location of the pallet
speed(with/without load),
Shuttle lift the pallet

pallet size(height, length, width),weight, level number of the
bags N
Shuttle transport the
shelf goods case, level, stock keeping unit, bay, column pallet to the port
necessary to analyze the entities, the activities, the entities Forklift transport the
pallet out of the
interaction and the activities sequence. warehouse
III. SYSTEM MODEL OF THE SHUTTLE RACKING SYSTEM Finish the task
System model of shuttle racking system is the abstraction Y

and the description of the shuttle racking system, which also is end
the first step in the simulation modeling. According to the
above analysis of the shuttle racking system, the system model, Fig. 2. Workflow chart of picking-up operation
based on the operation of shuttle racking system is showed in
the figure 1, the figure 2, and the figure 3. Change lane
IV. SYSTEM MODEL OF THE SHUTTLE RACKING SYSTEM

The simulation of shuttle racking system should be based Forklift transport
Place the
Change level or Changee Forklift pick shuttle to the
on the discrete event system simulation platform. This paper Change column level up shuttle
shuttle to the
appropriate
mainly uses AutoMod software, which conducts research on target level
lane crossing
the modeling method of the shuttle racking system. Change column
Forklift transport Place the shuttle
Forklift pick
shuttle to the to the appropriate
A. Simulation modeling requirement up shuttle
target column lane crossing
The goal-setting of shuttle racking system simulation
Fig. 3. Workflow chart of changing lane operation
modeling needs to satisfy the following:
(1) Accuracy requirement. The simulation model of shuttle (2) Visualization requirement. It means that a 3-D
racking system should be able to reflect the operational simulation model is necessary. Model visualization is
feature of the shuttle racking system, make sure that not only conducive to the communication between the
the model in the workflow is consistent with the real simulation staff and the experts in the field of logistics,
system and ensure the correctness of the process logic. but also easy to find the errors in the model. It can
reduce the time of modeling.
start
B. Implementation of simulation modeling quations

Change
The current
roadway is full
Y lane The modeling language that AutoMod owns, facilitates
modelers to control the logic of the model via programming.
N The Process System of AutoMod defines the logic of model,
Forklift transport the which control the process of loads in the model, and it can help
pallet to the port
modelers establish unusual or new logistics systems. You can
complete the modeling of the shuttle racking system from the
N Shuttle lift the pallet
basic level, by using AutoMod.
Shuttle transport the The simulation models based on AutoMod can be divided
pallet to the Stock
Keeping Unit
into static modules and dynamic modules, which can model
separately. Static module, such as the shelves of the shuttle
racking system can use ACE or other 3-D modeling software to
Finish the task establish. Dynamic modeling module can be achieved through
Kinematics System, Conveyor System, Path Mover System or
Y
AS/RS System. The table 3 reflects the matching relationship
end
between the model of shuttle racking system and the Automod
91
TABLE 3. THE MATCHING RELATIONSHIP
Automod The design of the model
Loads L_pallets
Queues Q_shelves
Process Variables setting the variables
System
Source file programming
Process setting the progresses
Syntax reserve, next of, translate, move into, dispatch

Single Line
Single Arc
editing the routes of forklifts and shuttle-trolley
continuous
connected
Path mover fillet
system
control point
editing the location of forklifts and shuttle-trolley
Segment defining the forklifts and shuttle-trolley

Vehicle forklifts and shuttle-trolley

ACE creating the graphics of the entities

software. But the implementation of storage and picking-up storage operation is from bottom to top and the order of the
operation, Implementation of shuttle-trolley changing lane and picking-up operation is from top to bottom.
Implementation of forklift s actions are three difficult points of When the model is changing lane, a forklift is specified to
the modeling. transport the shuttle-trolley by the automod syntax reserve.
1) Implementation of storage and picking-up operation After the forklift arriving the shelf, the forklift lifts its forks to
Before the storage operations, the storage location of the pick up the shuttle-trolley. In Automod, the forklift pick up the
pallets must be ascertained firstly. In Automod, the pallets are shuttle-trolley by the automod syntax move into. Then the
stored in the containers of the Queue. The containers mean the shuttle-trolley is transported to the target lane by the forklift.
storage location of the shelf. To ascertain the location of the
6WDUW
pallet, the simulation model should count the pallets that has
finished the storage operation by a variable. The value of the
variable can figure out a 3-D coordinate attribute attached to a
pallet by the following algorithm showed in figure 4.the pallet $B; &RXQW%D\ 1 &RXQW%D\ < $B; %D\
is stored at the storage location which corresponds with the 3-D

coordinate attribute of the pallet.
According to the rule of the pick-up operation, there is an
order of operation about the pallets. It is also necessary to $B< &RXQW
figure out the storage location of the pallet which will be %D\ 7LHU
picked up by shuttle-trolley by the value of another variable

which counts the pallets which have been finished picked up. $B= &RXQW%D\ WLHU
Then the shuttle-trolley runs to the location and transports the $B<%D\
pallet to the outlet of the shelf.
2) Implementation of shuttle-trolley changing lane

(QG
Generally, the shuttle-trolley changing lane includes
changing level and changing column. The lane that the shuttle-
trolley is staying in and the operating condition (storing the Fig. 4. The Algorithm of achieving the Coordinate attribute of pallets
pallet or taking out the pallet) should be judged before the
Note: A_X, A_Y and A_Z are the 3-d coordinates attribute of pallet. Count is
shuttle-trolley changing level or column in simulation model. the variable that count the number of pallets. Bay is the variable that
Details are shown in table 4. We suppose that the order of the stands for the number of storage location in every lane of the shelf. Tier
is the variable that stands for the number of the level of the shelf
92
TABLE 4. THE SHUTTLE-TROLLEY OPERATION CLASSIFICATION panel of Automod, the parameters of configuration
associated with the operation of the forklift and the
Job class Current The position of shuttle in the shelf scheduling list in the Path Mover need to be set.
state of (4) Writing Logic control program of the model. The

Bottom Middle Top program reflects the operation process of the real
the lane system and the sequencing relationship between each
Procedure.
storing Full Changing Changing Changing c
(5) Running and debugging the model.
the pallet level level olumn
V. MODELING APPLICATION EXAMPLE
Not full Storing the Storing the Storing the
The above method is used in the simulation modeling of
pallet pallet pallet some warehouse of refined grain. There are five floors in the
building of the warehouse. The two bigger separate spaces in
picking- Empty Changing co Changing Changing grain warehouse on the first floor use the shuttle racking shelf.
The detail information is shown in the table 5.
up the lumn level level
A. Parameters setting, assumptions and VVA
pallet Not Picking-up Picking-up Picking-up
The parameters of the shuttle racking system is set in
empty the pallet the pallet the pallet according with the information in the table 5.
The assumption of the model includes the following:
3) Implementation of forklifts actions.
The forklift actions refers to a series of actions that include (1) The order of the storage operation is from bottom to
lifting the fork, picking up the pallet, fork micro-lifting, leaning top. The order of the picking-up operation is from top
the mast, exiting the storage locations and so on. In the to bottom.
simulation modeling, it is essential to set the graphics of the
(2) There are only one shuttle-trolley in every separate
forklift by ACE and point out the time when the every action
space in the grain warehouse.
happens.
After the model was finished, other modelers reviewed the
The character of the forklift actions has been set as
model by reading the programming syntaxes. During the model
Dynamic in the forklift graphics provided by Automod.
running, the variables was printed to excel file to check its
During the modeling, the initial value of very configuration and
changing trend. At the same time, the animation helped us to
the value of the joint of each configuration should be set.
find the bugs of the model.
And a particular path should be established between two
relevant configurations in one moving. Generally, the direction
of the path is bidirectional. B. Simulation output
The output includes the operation efficiency and the
Running to a controlling point, the forklift can make utilization rate of the forklifts. They are related to the number
corresponding action by execute the configure Syntax. For of the forklifts. By changing the number of forklifts, we could
instance, when arriving at the outlet of the shelf, the forklift obtain the figure 5, figure 6 and figure 7. In the figures, stall 2
will lift the forks to corresponding height according to codes refers to the second separate space in grain warehouse. Stall 3
which were wrote in thevehicle procedure. In the model, the refers to the third separate space in grain warehouse.
configure syntax
From the figures, we could get the following:
C. `Modeling steps (1) The outbound quality per hour was increasing with
Modeling steps of shuttle racking system dynamic part as the increasing number of the forklift.
follows:
(2) When the number of the forklifts in every separate
(1) Designing the model structure, select Path Mover space in grain warehouse increased from two to three,
system as submodel. the increasing quality of outbound quality was tiny.
(2) Layout planning, design forklift walking routes, In addition, the utilization rate of the forklifts can be
shuttle-trolley walking routes, controlling point on the obtained. From the table 6, we could find that utilization rate of
routes in the model and so on. the forklifts decreases dramatically, when the number of
forklifts in every separate space in grain warehouse increase
(3) Defining the entity elements and logic elements in the
from two to three.
model, such as Load type, Process, Variables, Queue,
etc. In addition to those entities which are set in the
TABLE 5. THE INFORMATION OF SHUTTLE RACKING SYSTEM OF THE WAREHOUSING OF REFINED GRAIN
93
travel speed
(with load) Acceleration Lifting
shuttle- load time
trolley Y N
1-1.5T 0.7-0.9m/s 0.6-0.8m/s 0.3m/s2 0.6s
travel speed
max load (with load) Acceleration Lifting
forklift speed
Y N
1.5T 1m/s 1.39m/s 0.3m/s2 0.3m/s
separate size(lengthwidthheight)
space
30.517.47.2m
size(baycolumnlevel)
shelf
2183
pallet size(lengthwidthheight)
(with load)
1.21.11.28m
Fig. 5. The timeline of outbound(one forklift every stall) Fig. 7. The timeline of outbound (three forklifts every stall)
So we can reach the conclusion that it is optimal to equip

every bigger separate space in grain warehouse with two
forklifts from the above table and figures.
VI. SUMMARY
This article discusses the 3-D modeling method of shuttle
racking system based on Automod. The method successfully
realizes the 3-D simulation modeling of shuttle racking system.
In the example of some warehouse of refined grain, the model
of the second separate space in grain warehouse is finished
rapidly, which verifies the methods feasibility, effectiveness
and reusability.
The method based on AutoMod in the paper is not only.
The method in the paper just applies to the shuttle racking
system which type is LIFO. The simulation modeling method
for the shuttle racking system of FIFO type is similar to the
LIFO. The different between them is the algorithm of
achieving the coordinate attribute of pallets.
Fig. 6. The timeline of outbound(two forklifts every stall)
94
TABLE 6. UTILIZATION RATE OF THE FORKLIFTS
forklift serial number Delivering Retrieving Parking

quality of forklift Percentage Percentage Percentage
Forklift
No.1 54.8% 45.2% 0.1%
one (stall 2a)
forklift Forklift
No.1 47.9% 52.1% 0.1%
(stall 3b)
No.1 52.1% 40.3% 7.5%
Forklift
No.2 54.8% 44.9% 0.2%
(stall 2)
Two average 53.5% 42.6% 3.9%
forklifts No.1 40.2% 46.2% 13.6%
Forklifts
No.2 44.3% 46.6% 9.1%
(stall 3)
average 42.3% 46.4% 11.3%
No.1 40.0% 30.0% 30.0%
Forklift No.2 38.4% 30.4% 31.2%

(stall 2) No.3 36.5% 31.0% 32.5%
Three average 38.3% 30.5% 31.2%

forklifts No.1 29.0% 31.7% 39.3%
Forklift No.2 27.7% 29.8% 42.5%

(stall 3) No.3 28.0% 30.5% 41.4%
average 28.3% 30.7% 41.1%
a. Stall 2 refers to the second separate space in grain warehouse.
b. stall3 refers to the third separate space in grain warehouse
[3] Kan Yang, Simulation and optimization of airport baggage
ACKNOWLEDGMENT sortingsystem in island subsystem based on flexsim, China Civil
AviationUniversity, 2008.
Supported by the National Special Public Research for The [4] Jerry Banks, John S Carson , Barry L Nelson, David
Grain Industry of China (201313009-06). MNicol,Discrete-Event System Simulation, 4th ed., China Machine
Press,2007, pp.88.
REFERENCES [5] Jerry Banks, Getting Started with AutoMod , 2nd ed.,
[1] Lijie Gao, Research on modular-based simulation modeling methodfor BrooksAutomation, 2013.
distribution center, Beijing University of Posts and [6] Weiqing Wang, Congmin Zhu, Xiaofang Ren, Study and Application
Telecommunications, 2011. for Pallet Runner System MECHATRONICS 2008,14(2).
[2] Zhenzhen Liang, Yukun Liu, Hao Wang, Jun Li. Slider [7] Jingjing Xu, Shuttle racking system and its application, Logistics and
automaticsorting system modeling and simulation based on AutoMod, Material Handling, 2012(2)
LogistisTechnology 29(1), 2010, pp.139-141.
95
An Expected Value Multi-objective Optimization

Model to Locate a Vehicle Inspection Station
Guangdong Tian* MengChu Zhou
Transportation College Department of Electrical and Computer Engineering
Northeast Forestry University New Jersey Institute of Technology
Harbin, 150040, P. R. China Newark, NJ 07102 USA
E-mail: tiangd2013@163.com E-mail: zhou@njit.edu
AbstractOptimally locating a transportation facility and demand [26]. Zhou and Liu establish stochastic models for
automotive service enterprise is an interesting and important capacitated FLA problems to minimize the transportation
problem. In practice, many related factors, e.g., customer distance [27]. Taaffe et al. present the supply capacity
demands, allocations, and locations of customers and facilities, acquisition and allocation with uncertain customer demands.
are changing, and thus the problem features with uncertainty. To
account for this uncertainty, some researchers have addressed its
Their goal is to determine stock levels and customer
stochastic time and cost issues. A new research issue arises when assignments for each facility in order to minimize expected
a) decision-makers want to minimize the transportation time of procurement, holding, and shortage costs across all facilities
customers while minimizing their transpiration cost when [28]. Louveaux and Peeters present a two-stage stochastic
locating a facility; and b) users prefer to arrive at the destination programming problem with uncertainty in demand, selling
within the specific time and cost. By taking a vehicle inspection prices, as well as in production and transportation costs [29].
station as a typical automotive service enterprise example, this Laporte et al. present a capacitated FLA problem in which
work proposes a novel stochastic multi-objective optimization customer demands are stochastic. It is formulated as a
approach to address it. Moreover, some regional constraints can stochastic integer linear program, with binary variables at the
greatly influence its solution; while vehicle velocity is an
uncertain variable due to the influence of some unpredictable
first stage and continuous variables at the second stage [30].
factors in a location process. This work builds a practical Eppen et al. present a two-stage formulation for capacity
stochastic expected value multi-objective programming model of expansion [31]. Ahmed et al. present a multi-stage capacity
its location with regional constraints and varying velocity. A expansion problem under uncertain demand [32]. Amin et al.
hybrid algorithm integrating stochastic simulation and Genetic present a multi-objective facility location model for a closed-
Algorithms (GA), namely a random weight based multi-objective loop supply chain network under uncertain demand and return
GA, is proposed to solve the proposed models. A numerical in order to minimize the total cost [33]. Wang et al. discuss
example is given to illustrate the proposed models and the the recourse-based FLA problems in hybrid uncertain
effectiveness of the proposed algorithm. environment to minimize the transportation cost [34-35].
KeywordsTransportation; facility location; optimization
The location of an automotive service enterprise and
algorithm; modeling and simulation transportation facility is one of the important applications of
FLA. Some scholars have discussed the related issues under
I. INTRODUCTION uncertainty. For example, by considering the uncertainty of
the number of inspection vehicles, Tian et al. establish a
Since Facility Location Allocation (FLA) problems were stochastic location model for a vehicle inspection station to
initialized by Cooper [1] in 1963, there have been many achieve the minimum transportation cost of vehicle inspection
advances in their solution methods, variants and applications, customers [36]. By considering the uncertainty of the number
e.g., emergency service systems, telecommunication networks, of inspection vehicles and road conditions under different
public services, and transportation facilities. The early work districts of inspection customers, they propose an expected
mainly focused on FLA problems, many different models have value model for a vehicle inspection station location problem
been formed [1-4], i.e., median models [5-6], center models with random inspection demand and different transportation
[7-10], covering models [11-12], hub location modes [13], and cost [37]. Tian et al. establish a cost-profit tradeoff model for
hierarchical location models [14-16]. Meanwhile, a large a vehicle inspection station with uncertain inspection demand
number of solution approaches for different models have been [38-39].
proposed, e.g., simulated annealing, Genetic Algorithm, and The above overview suggests that the current stochastic
Tabu Search [17-25] FLA research mainly focuses on the analysis of transportation
In practice, many parameters of FLA, such as demands of time and cost at the side of customers. However, in an actual
clients, cost of operating facilities, are uncertain. In order to FLA process, a decision-maker often needs to achieve two
address these issues, some uncertain FLA problems are objectives: a) to minimize the total transportation cost of
presented. For example, Logendran and Terrell solve an customers, and b) their total transportation time. To do so, a
uncapacitated FLA problem with price-sensitive stochastic stochastic multi-objective optimization issue needs to be
This work is supported in part by National Natural Science Foundation of
China under Grant No. 51405075, Postdoctoral Science Foundation Project of
Heilongjiang Province of China under Grant Nos. LBH-TZ0501 and LBH-
Z13005, and Funds for International Cooperation and Exchange of the
National Natural Scienece Foundation of China under Grant No.
51561125002.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 96
addressed. The next aim is to enable users to arrive at the is ignored and the center of a vehicle inspection demand
destination within a specific time and cost. Actually, time and region is treated as the coordinate location of vehicle
cost cause a pair of opposite problems and they cannot be inspection demand.
optimized simultaneously in many cases. Thus, to balance (2) The inspection capability of a vehicle inspection station
both, it is necessary to introduce a good time-cost tradeoff by is ignored, namely inspection capability is designed to be big
ensuring that customers can reach the location within a enough to meet the requirements of users; and
specific time and cost. Moreover, in the actual process, some (3) The cost per kilometer cij from the inspection demand
regions cannot locate a service facility due to a government customer region i to a vehicle inspection station j is constant,
policy and geographical constraints, i.e., marshes, lakes, that is, the relationship between the transportation cost and
tourist areas, parks, residential areas and some special areas. transportation distance is assumed to be linear.
These regions should be considered when a facility is planned.
The vehicle velocity is also an uncertain variable due to the C. Evaluation parameters of establishing models
influence of some unpredictable factors. To do so, by taking a (1) C--Total transportation cost of vehicle inspection
vehicle inspection station as a typical example of automotive customers, defined as,
service enterprises, this work proposes to establish its
expected value multi-objective optimization model with
C [ ij cij d ij
i j
(1)
stochastic inspection demand, varying velocity and regional

constraint. where d ij ( xi li ) 2 ( yi u j ) 2 is the distance between
In Section II, the model assumptions and parameters are vehicle inspection demand region i and inspection station j .
introduced. In Section III, a multi-objective optimization
(2) T--Total transportation time of vehicle inspection
model for a typical automotive service location is established.
customers, defined as,
Section IV introduces the algorithm to solve these models. In
[ ij d ij
Section V, some numerical examples are presented to test the
effectiveness of the proposed method. Finally, Section VI
T
i j
vij
(2)
concludes our work and describes some future research issues.

III. MULTI-OBJECTIVE PROGRAMMING MODELS OF THE LOCATION FOR
II. PROBLEM STATEMENTS VEHICLE INSPECTION STATION
In order to conveniently establish our models, the following Based on the presented concepts and assumptions, by taking
notation and parameters are defined and assumptions are made. a vehicle inspection station as an automotive service enterprise
example and considering arrival time, cost and regional
A. Notations
constraints, we build an expected value multi-objective
(1) i The index of a vehicle inspection demand region, program for the location of a vehicle inspection station, to be
i 1,2,", m where m is the number of such regions. presented next.
(2) j The index of a vehicle inspection station,
A. Expected value multi-objective programming model
j 1,2, " , n where n is the number of such stations. for the location of a vehicle inspection station
(3) (li , ui ) The coordinates of the location of the ith In the actual location process of a vehicle inspection station,
vehicle inspection demand region. a decision-maker wants to seek the minimum average total
(4) ( x j , y j ) The coordinates of the location of the jth transportation cost of vehicle inspection customers while
minimizing their average total transportation time. Also, the
vehicle inspection station. Note that it is a decision variable in
decision-maker hopes that both of them cannot exceed the
this work.
given requirement. Moreover, some regions cannot allow any
(5) cij Per kilometer transportation expense from vehicle
station to be built due to government policy and environmental
inspection demand region i to inspection station j , with its constraints, i.e., marshes, lakes, tourist areas, parks, residential
unit being Yuan. areas and some special regions. These regions should be
(6) [ ij The number of vehicles from vehicle inspection considered when a vehicle inspection station is located. In
order to deal with this issue, we establish an expected value
region i to inspection station j , and it is a random variable.
multi-objective program for the location of a vehicle
(7) vij The travel velocity of vehicle i to vehicle inspection station. Its objective function is written as:
inspection station j , and the unit is m/s. It is subject to the min E (C ) and min E (T ) (3)
Uniform distribution. Subject to:
B. Assumptions
This work makes the following assumptions:
(1) The distribution of vehicle inspection customer demands
97
E (
i j
[ ij cij d ij ) d C '

Similarly, the checking process of C d C ' and T d T ' is

executed.
[ ij d ij
E ( vij
) dT' To calculate U 2 , the following algorithm is introduced.
i j Step 1: Set N 0 , and initialize cij , d ij and D .

h ( x , y ) d 0 (4) Step 2: Generate random variable [ ij from the probability
x ( x , x )
l u distribution of inspection vehicles I ([ ij ) .
y ( yl , yu ) Step 3: Check constraint functions and calculate total

transportation cost C of customers.
Step 4: Repeat steps 2-3 for N times.

Step 5: Calculate the average value of obtained N samples
where C ' and T ' are the given average total transportation of C, namely E(C) is obtained.
cost and time of vehicle inspection customers, respectively. Step 6: Return the N ' -th largest element of the cost set,
[ ij d ij

E( [ ij cij d ij ) d C ' and E ( vij
)dT are namely C is obtained.
i j i j Similarly, the checking process of E(T) can be obtained.
average transportation cost and time constraints of vehicle
B. Genetic Algorithm (GA)
inspection customers, respectively. xl and xu are the lower
GAs form a class of adaptive heuristics based on principles
bound and upper bound of coordinate x , respectively, and
derived from the dynamics of natural population genetics.
while yl and yu are lower bound and upper bound of They have initialization, fitness function evaluation, selection,
coordinate y . xl , xu , yl and yu can be determined by the crossover and mutation process processes. Their detailed
coordinate of vehicle inspection demand areas. description refers to our previous work [38]. To obtain the
h( x, y ) d 0 represents a regional constraint. solution of multi-objective optimization models, the following
improvement of GA is adopted in this paper, namely a random
IV. SOLUTION ALGORITHM
weight based multi-objective GA.
The fitness function is obtained by a random weight method.
Stochastic (Monte Carlo) simulation is an effective means Specifically, for expected value multi-objective program for
to assess and calculate stochastic and probabilistic functions. It the location of vehicle inspection station, the fitness function fi
has effectively solved many stochastic programming problems of its ith chromosome is written as,
[37-38]. Genetic Algorithm (GA) does not require the specific
fi= w1 E (C ) +w2 E (T ) (7)
mathematical analysis of optimization problems, and has
successfully solved many complex industrial optimization where w1 and w2 are random weights and are generated as
problems that are hard to solve by analytic methods. In this follows,
work, a hybrid intelligent algorithm integrating stochastic rk
wk 2
, k=1,2 (8)
simulation and genetic algorithm is adopted to solve the
proposed model [40]. r
k 1
k
A. Stochastic simulation where rk (0,10) follows a uniform distribution in this work.

In order to solve the proposed models, we must handle In addition, the selection probability of the i-th chromosome
the following three functions: is executed according to,
f max f i
U 1 : ( x, y ) o h ( x, y ) d 0 (5) U i pop size (9)

U 2 : ( x, y ) o E (C ( x, y, [ )) (6) ( f
j 1
max f j)
To calculate U1 , the following algorithm is introduced. where fmax is the optimization fineness value in the current
generation.
Step 1: Generate randomly coordinates ( xi , yi ) from the
potential feasible region of the inspection demand. C. Hybrid algorithm
Step 2: Based on the constraint function, the corresponding Based on the above description, a hybrid intelligent
region locations are obtained and denoted as h ' ( x, y ) . If procedure is given.
Step 1: Initialize pop _ size chromosomes, probability of
h ' ( x, y ) d 0, the constraint check is successful, and otherwise,
mutation prm , probability of crossover prc , and maximum
the check is a failure.
generation count g max .
98
Step 2: Update the chromosomes by crossover and [ c
R (Yuan/
mutation operations. egion
Region
l(m)
u(m
Name ) (Thousa
Step 3: Calculate the objective function values and fitness No. Per
nd) kilomete)
of all chromosomes via stochastic simulation.
Step 4Select the chromosomes by spinning the roulette 1
Develop - - Norm(2.
2
ment 19553.93 6822.87 660,0.2)
wheel.
Step 5Repeat steps 2-4 for a given number of cycles. Dongzh 6818. - Norm(2.
2 2
ou 23 2988.68 894,0.2)
Step 6 Report the best chromosome as the optimal
solution. Wanghu - - Norm(1.
3 2
a 14319.44 3175.23 557,0.2)
The above algorithm is implemented in the visual C++
6.0 programming language. - - Norm(3.
4 Xinfu 2
3625.74 2088.84 556,0.2)
V. CASE STUDY Shunche - 285. Norm(5.

5 2
ng 1109.74 12 074,0.2)
Consider a location problem for the vehicle inspection
station of a Fushun city of China. This city is divided into five
vehicle inspection regions, i.e., Development, Dongzhou, Example 1. Decision-makers need to build a vehicle
Wanghua, Xinfu and Shuncheng districts. Their center detection station with the minimum average transportation
coordinates of districts are listed in Table I. In addition, the cost and time of vehicle inspection customers. The selected
center coordinate of this city is (41578784.96, 4638592.97). In location has to satisfy the regional constraints, i.e.,
order to conveniently optimize the location problem, we take x2+y2 d 3.5 u 107 and x2+y2 t 1.8 u107 . In addition, the
the center coordinate of this city as the relative coordinate expected total transportation cost and time of vehicle detection
origin, and transform the coordinates of these five into the customers cannot exceed 2.8 u 105 Yuan and 8000 s,
following numerical values, as shown in Table I. In addition, respectively. The travel velocity of vehicle inspection
the number of inspection vehicles and the cost of customers vij ~ U (5,20) where U(5, 20) stands for a uniform
transportation per kilometer of each demand region are listed
distribution from 5 to 10. This problem can be translated to
in Table I. Note that Norm( P ,V ) denotes a normal solve the following model:
distribution [37-38]. min E (C ) and min E (T ) (10)
The parameters of the hybrid algorithm are set next: the
Subject to:
population size pop _ size is 30, the probability of crossover
prc is 0.3, the probability of mutation prm is 0.3, the
E (

i j
[ ij cij d ij ) d 28000
maximum number of generations g max is 600, and the number
[ ij d ij
of simulation cycles is 3000. E ( vij
) d 8000
i j
2 2 7
(11)
x y t 1.8 u 10
x 2 y 2 d 3.5 u 10 7

x (19553.93,6818.23)

y (6822.87,285.12)
After the algorithm is executed, the following locations
coordinate and the optimal solution of the model are obtained:
x, y= (-3714.39,-2230.2209)
f =7661.51
The results denote that the location coordinate of a
vehicle inspection station is (-3714.39,-2230.22), and the
Pareto solution of this model is 7661.51. The quasi-optimal
average transportation cost and time of vehicle inspection
customers are 219834.95 Yuan and 7661.50 s, respectively. In
Fig. 1. Schematic diagram of Fushun city
addition, the plane distribution graph for the location of a
TABLE I vehicle detection station is obtained and shown in Fig. 2.
TYPICAL PARAMETERS DESCRIPTION OF ESTABLISHED MODEL
99
6000
time and cost are obtained. Additionally, the transportation
Customer demand region cost increases as the transportation time decreases overall. The
Inspection station
results show that the proposed model can effectively express
4000
Regional constraint 1
and achieve the time-cost tradeoff.

Regional constraint 2
2000
VI. CONCLUSIONS
-2000
Reasonable and effective location of transportation facility

-4000
and automotive service enterprises is important for the
-6000 sustainable development of public transportation. However, in
reality, facility location allocation can encounter some
uncertain factors, i.e., customer demands, allocations,
-8000
-2 -1.5 -1 -0.5 0 0.5 1
4
x 10
Fig. 2. Plane distribution graph for the location of vehicle detection station locations of customers and facilities. In order to address it,
uncertain FLA problems have been discussed widely.
From the results and Fig. 2, we can conclude that the However, the current stochastic FLA research focuses on the
quasi-optimal solutions meet the given constraints and the transportation time/cost of customers only. In reality, decision-
vehicle inspection station is legitimately located, i.e., meeting makers must consider their trade-off to better solve the
the regional constraints. The results validate that the proposed problem. They hope to decide a location with the minimum
approach is feasible and can effectively to solve an expected transportation time and cost. To do so, this work proposes the
value multi-objective optimization model of the location stochastic multi-objective optimization issue of FLA. In
problem for a vehicle inspection station. addition, considering the impact of the regional constraints
In addition, in order to test the effectiveness of the and varying velocity and taking the vehicle inspection station
algorithm, the results of Example 1 with different numbers of
as a typical automotive service enterprise example, this work
runs and GA parameters are shown in Tables II, respectively.
establishes an expected multi-objective programming model
Their errors are computed and the relative error is defined as
of its FLA subject to stochastic inspection demand and
(Optimal value-Actual value)/Optimal value u 100%, where
varying vehicle velocity with multiple regional constraints.
optimal value is the minimum value of solution results of the
model with a different number of runs while actual values are Lastly, a random weight based multi-objective GA is adopted
the solution results of the model when the algorithm is to solve the established model. The results reveal that it is
executed each time. feasible and effective when used to solve the proposed model.
TABLE II There exist some limitations with the proposed method. For
COMPARISON OF SOLUTIONS OF EXAMPLE 1 WITH THE NUMBER OF RUNS example, for the regional constraint, this work merely
prm g max Optimal
Tim Pop_
prc Actual Error considers the condition of the round shape. However, they can
es size value value (%)
be irregular shape in reality and how to deal with such
1 30 0.3 0.3 600 7661.51 7565.89 1.26 constraints needs some further work. The use of other recent
2 30 0.2 0.2 600 7768.63 7565.89 2.68
3 30 0.3 0.2 500 7644.99 7565.89 1.05 intelligent optimization methods [40]-[50] and Optimal
4 25 0.3 0.2 400 7565.89 7565.89 0.00 Computing Budget Allocation-related methods [51]-[53]
5 20 0.3 0.3 650 7847.95 7565.89 3.73 should be explored in order to speed up a solution process of
6 25 0.2 0.2 400 7631.88 7565.89 0.87
the proposed model.
From Table II, the relative error does not exceed 3.73%.
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101
102
Detecting Cracks on a Concrete Surface Using

Histogram of Oriented Gradients
Lin Meng, Zhongkui Wang, Yoshiyuki Fujikawa
Shigeru Oyanagi
College of Science and Engineering
College of Information Science and Engineering
Ritsumeikan University
Ritsumeikan University
Nojihigashi 1-1-1, Kusatsu, Shiga, 5258577 Japan
Nojihigashi 1-1-1, Kusatsu, Shiga, 5258577, Japan
{menglin,wangzk}@fc.ritsumei.ac.jp
{oyanagi@se.ritsumei.ac.jp}
threshold, the result is 255; otherwise, it is set at 0.In

Abstract With the aging of structures such as bridges, binarization, the threshold decision is very important, because
buildings, and tunnels, investigating the cracking of concrete if the threshold is too small, the required information will be
surfaces has become very important. The standard method for reduced, and if it is too big, there will be too much noise. There
investigating cracks has usually been to perform a visual have been various automatic threshold decision methods
inspection and acoustic diagnosis. However, the inspection results
proposed, such as Otsus method [3] and the percentile method
when using these techniques vary depending on the experience of
the inspector, causing there are not objectivity and quantifiability [4]. However, with these methods, when the binarization is
enough. Therefore, digital image analysis of concrete cracks is performed, some of the cracks are fractured or invisible, thus
being developed with the aim of providing efficient, automatic, and degrading the investigation accuracy.
quantitative inspection. However, in the process of binarization, We propose a method that uses the histogram of oriented
some of the cracks become fractured or invisible, which has a gradients (HOG) [5] [6] to detect the object edge by
negative effect on the investigation accuracy. To improve the distributing the intensity gradients of the image. We are also
accuracy when detecting cracks, we propose a method that uses working on the use of unmanned helicopters to take photos of
the histogram of oriented gradients (HOG) to detect cracks on the the concrete surfaces to enable automatic investigation.
concrete surface. We are also working on the use of unmanned
The rest of this paper is organized as follows. Section II
helicopters to take photos of the concrete surfaces to enable
automatic investigation. discusses related work on the investigation of cracks on
concrete surfaces. Section III describes HOG and presents our
KeywordsCrack detection; Histogram of oriented gradients; proposal method. Experimental results are given in Section IV,
Image processing and we conclude in Section V with a brief summary and a
mention of future work.
I. INTRODUCTION
With the aging of structures such as bridges, buildings, and
tunnels, checking the aging status of concrete has become quite II. RELATED WORK
important recently. For example, more than 8% of the bridges As stated previously, visual inspection and acoustic
in Japan were about 50 years old as of 2009, and the number of diagnosis are the standard methods for investigating cracks or
bridges over 50 years old is expected to reach 53% by 2029. As defects on the surfaces of concrete.
for buildings, about 56% were older than 30 years as of 2009. With visual inspection, an inspector checks the actual
Hence, inspecting the aging state of bridges, buildings, etc. and concrete surface or an image of it by eye and detect any cracks
detecting potential dangers is becoming increasingly urgent [1, [7], and with acoustic diagnosis, he or she will knock on the
2].
concrete and listen to the reverberation to determine if there are
Because the cracks that appear in concrete surfaces are any defects [8].
connected with the internal concrete, crack investigation is a key
process in the evaluation of aging concrete. An example of
cracks on a concrete surface is given in Fig. 1.
Conventionally, visual inspection and acoustic diagnosis have
been the standard methods for investigating cracks or defects on
the surfaces of concrete. However, these techniques depend on
the experience of the inspectors, resulting in objectivity and
quantifiability of the visual inspection, making it both
insufficient and low-efficiency.
Cracks are perceived as a kind of edge in a flat surface. To
detect the edge, image processing using Gaussian filtering and
binarization is often performed. Binarization is used to compare Figure 1. Cracks on concrete surface.
the pixel with a given threshold. If the pixel is more than the
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middle of the image. In the Fig. 2 (b), the threshold is not
enough too, causing the cracks are fractured, especially in the
middle of the image. In the Fig. 2 (c), the binarization result
which uses a bigger threshold, the cracks are clear than Fig. 2(a)
(b), however there are lots of noises exists, especially in the left
of the image.
There are currently several methods [8] [9] that apply
wavelet transform to the detection of cracks. These methods use
(a) Binarization image (threshold 55) the Gabor function to perform the wavelet transform for
concrete images, generating a wavelet image and using
binarization and thinning to detect the cracks of concrete
images.
Another method [10] features a new image-processing
algorithm based on a cross-coupled neural network that enables
Crack Scan to detect invisible cracks in blurred images.
Here, we propose a method that uses HOG (Histogram of
Oriented Gradients) to detect object edges by distributing the
intensity gradients of the image.
(b) Binarization image (threshold 60)
III. CRACK DETECTION USING HISTOGRAM OF ORIENTED

GRADIENTS
A. Flow of crack detection
As shown in Fig. 3, our objective is to have an unmanned
helicopter taking photos of a concrete surface. The image data
is received by network and the crack detection performed in
real-time. Although we favor the use of a combination of
methods to do the detection, in this paper we limit our focus to
(c) Binarization image (threshold 70) HOG.
The pre-image processing of HOG is binarization. In the
proposal we use HOG to detect the object edges by distributing
Figure 2. Binarization results with three different
the intensity gradients of the image. By this method the cracks
thresholds.
of concrete becomes more clearly and help to judge the aging
status.
After the crack are cleared by HOG, crack analysis is
performed and the aging status are judged.
Although these methods are a simple way to detect concrete
defects, they are problematic because they depend on the Using unmanned helicopter to
experience of the inspector, resulting in an objectivity and take photos of concrete surface
quantifiability of the visual inspection that render it both
insufficient and low-efficiency. Receiving the image data by
Hence, digital analysis and automatic detection have become wireless
more important in the detection of cracks [7]. Real-time cracks
Cracks on a concrete surface form lines, and there are various detection
methods for detecting these lines and accompanying features
Binarization
using image processing.
The simplest way is to use filtering and binarization to detect
the edges of cracks. With binarization, a threshold is used to Cracks detected
decide on the bound of pixels. However, if the threshold is too by HOG
small, the required information are reduced, and if it is too small,
there will be a lot of noise. Also, some of the cracks fracture Cracks analysis
during the process of binarization, which degrades the
investigation accuracy.
Figure 2 shows the binarization results of Fig. 1. In the Fig. Analysis result
2 (a), the binarization result which uses a smaller threshold, Figure 3.Objective of this work.
causing the cracks are fractured here and there, especial in the
104
relationship between the cells and pixels is shown in Fig. 5.
None of the cells overlap.
The edge direction is divided into nine directions in
increments of 20 from 0 to 180 degrees, resulting in an edge
direction with nine dimensions.
3) Nomalization
This step normalizes the histogram to the edge direction of
Figure 4. Target pixel and neighbor pixel. intensity gradients by using several neighbor cells. These
neighbors, typically decided by 3 3 neighbor cells, are called
a block. The relationship between the cells and block is shown
in Fig. 5. Every block is overlapped.
B. Overview of HOG For example, in the case of cell , which has nine
HOG is a state-of-the-art method for detecting object edges directions, the feature is .
by distributing the intensity gradients of an image. It has been For blocks that are 3 3, the block has 81 dimensions, as
used in the past for human detection and has now been extended
widely for use with pattern recognition, object tracing, image
synthesis, and more.
.
The basic idea is that local object appearance and shape can The normalization feature is calculated by function 5:
often be characterized rather well by the distribution of local

intensity gradients or edge directions, even without precise (5)
knowledge of the corresponding gradient or edge positions [6].
C. HOG algorithm
The HOG algorithm follows three steps: first it calculates the pixel block
intensity gradients and edge direction of every pixel, then it
creates a histogram by using the intensity gradients and edge
direction, and finally the histogram is normalized to generate the
HOG features.
1) Calculation of intensity gradients and edge direction cell
Figure 4 shows the target pixel and its neighbors. In
this step, the intensity gradients () and edge direction () of
pixel are calculated by functions (3) and (4),
respectively. This is done so that in function 1 keeps
the difference of the xaxis, in function 2 keeps the
difference of the axis, and the intensity gradients () and
edge direction () include both and axes. All pixels of Figure 5. Relationship between pixel, cell, and block.
intensity gradients () and edge direction () in the image are
calculated in this step.
(1)
IV. EVALUATION
(2)
(3) A. Evaluation Condictions
In our experiments, the HOG is implemented with OpenCV,
(4) and the binarization is implemented with C language. Ubuntu

14.10 was used as the operating system.
Two different images which were taken by a camera on the
2) Histogram generation concrete surface of a building for evaluating our proposed
This step uses intensity gradients () and edge direction () method. One image has some horizontal line cracks (Fig. 1),
to generate a histogram for the edge direction of intensity and the anther has some vertical line cracks (Fig. 7). In HOG
gradients by using several neighbor pixels. These neighbors, algorithm, the cell size is defined as 4, and the block size is
typically decided by a 5 5 neighbor pixel], are called cells. The defined as 3.
105
(a) HOG result image (threshold 55)
(b) HOG result image (threshold 60)
Figure 6. Cracks on concrete surface.
B. Evaluation Results
1). Evaluation result horizontal line
As shown in the Fig. 2, there are two cracks in each image (c) HOG result image (threshold 70)
(up crack line, down crack line). We use three thresholds (55,
60, 70) to do the binarization of Fig. 2, and the results are shown
in Fig. 7. Figure 7. HOG result images with three different
In the case of threshold 55 (Fig. 2 (a)), the top crack line is thresholds.
almost invisible. However, the HOG evaluation results in Fig.
7(a) show that the line does exist.
In the case of threshold 60 (Fig. 2 (b)), the top crack line is
also almost invisible, however it is clearer than Fig.2 (a). The
HOG evaluation results in Fig. 7 (b) show the line as more
clear.
In the case of threshold 70 (Fig. 2 (c)), the top crack line is
not clear, but it is obvious with the naked eye that it is indeed a
crack. The HOG evaluation results in Fig. 7(c) show that the
lines are very clear.
2). Evaluation result of vertical line cracks

In Fig. 6, the concrete surface is white painted by white paint
which makes the surface of concrete not smooth and the
cracking is not clear too.
Figure 8 shows the binarization result of vertical crack,
which uses two different thresholds (70, 80), and Fig. 9 shows
HOG results of the vertical crack corresponding to the two
thresholds.
In Fig. 8 (a), the binarization result using a smaller threshold,
caused the fractured cracks are fractured and all cracks are
almost invisible. However, the HOG evaluation results in Fig. (a) Binarization image (b) Binarization image
9 (a) show that the line does exist. (Threshold 70) (Threshold 80)
Figure 8. Binarization results of Figure 6.
106
are not clear, which degrades the accuracy of the investigation.
To improve the accuracy of detecting cracks, we proposed a
method using the histogram of oriented gradients (HOG) to
detect cracks on a concrete surface in this paper. Experimental
results showed that the proposed method is an effective method
to detect cracks on the surface of concrete, enabling previously
invisible or near-invisible cracks to become clear. In the future,
we aim to use an unmanned helicopter to take photos of the
concrete surface, thus enabling automatic investigation, and
equip HOG on field-programmable gate array (FPGA) to
realize real-time cracks detection.
Acknowledgment
This work was supported by JSPS KAKENHI Grant
Numbers 15K00163 (Grant-in-Aid for Scientific Research C)
and 26870713 (Grant-in-Aid for Young Scientists B).
REFERENCES
(a) HOG result image (b) HOG result image [1] Ministry of internal affairs and Communications of Jpan,
(Threshold 70) (Threshold 80) http://www.soumu.go.jp/main_content/000144896.pdf, 2012.
Figure 9. HOG result images of Figure 6. [2] White paper on land infrastructure, transport and tourism in japan,
http://www.mlit.go.jp/hakusyo/mlit/h17/hakusho/h18/html/H1038c10.ht
ml, 2005
[3] N. Otsu, A Threshold Selection Method from Gray-Level Histograms,
IEEE Transactions on Systems, Man and Cybernetics, Vol. 9, No. 1, pp.
In the Fig. 8 (b), the binarization result which uses a bigger 6266, 1979.
threshold, the cracks become clearer than Fig. 8(a), however [4] W. Doyle, "Operation useful for similarity-invariant pattern recognition",
Journal of the Association for Computing Machinery, vol.9, pp.259-267,
there are lots of noises, especially in the top of the image. Fig.9 1963.
(b) shows the HOG result which in the case of threshold 80 of [5] N. Dalal, and B. Triggs, Histograms of Oriented Gradients for Human
(Fig. 8 (b)), are very clear. Detection, IEEE Computer Vision and Pattern Recognition (CVPR),
pp. 886893, 2005.
B. Discussion [6] H. Fujiyoshi, Gradient-Based Feature Extraction SIFT and HOG, IPSJ
The experimental results clearly demonstrate that HOG is SIG Technical Reports CVIM 160, pp. 211224, 2007.
an effective method for detecting the crack edge and for [7] S. Kyoyama, T. Maruya, K. Horiguchi and T. Sawa, Digital Image
Analysis of Cracks on the Concrete Surface Based on the Gabor Wavelet
detecting cracks on the surface of concrete. However, HOG did Transformation, Vol. 68, No. 3, pp. 178194, 2012.
allow too much noise to remain. For example, as shown in Fig. [8] H. Nakahara, H. Yoshida, S. Shioya, R. Mikami and T. Sasao, A
6 (c) and Fig. 9 (b), HOG clearly showed the cracks, however Dynamically Reconfigurable mixed analog-dital filter bank, ARC2015,
it also resulted in a noisy image. Our future work is therefore to LNCS 9040, pp. 267279, 2015.
reduce the noise. [9] H. Takeda, S. Koyama, K. Horiguchi and T. Maruyama, Using Image
Analysis and Wavelet Transform to Detect Cracks in Concrete Structure,
Report of Taisei Technology Center, No. 4725, 2006.
V. CONCLUSION [10] S. Oka, S. Mochizuki, H. Togo and N. Kukutsu A Neural Network
Algorithm for Detecting Invisible Concrete Surface Cracks in Near-field
Investigating cracks on the concrete surfaces of bridges, Millimeter-wave Images, Proceedings of IEEE International Conference
buildings, tunnels, etc. to determine the status of the structure on Systems, Man, and Cybernetics, 2009.
has become increasingly important. In the binarization process
of such investigation, some of the cracks become fractured or
107
The Mechatronic System of Eco-Dolphin -

a Fleet of Autonomous Underwater Vehicles
Hong Liu, Junzhen Shao, Qi Zhou, Xudong Shi
Stacey Joseph-Ellison, Johnathan Jaworski, Ci Wen Electrical Engineering & Automation Department
Math, Electronic, Software, & Mechanic Eng. Departments Aeronautical Automation College
Embry-Riddle Aeronautical University Civil Aviation University of China
Daytona Beach, Florida, USA, 32114 Tianjin City, P. R. of China. 300300
liuho@erau.edu xdshi@cauc.edu.cn
Abstract This paper presents the mechatronic system of a shifted to electronics and control programs. In addition, we
fleet of three autonomous underwater vehicles (AUVs) called built the ground station programs, and tested an acoustic
Eco-Dolphin. Besides common features of robots, the unique positioning subsystem as well as a dual mode communication
challenges for underwater robots such as water proof technology subsystem. Sponsored by AFRL, the third author created and
and underwater communication are addressed. The Eco-Dolphin
simulated a swarming algorithm to control the fleet of three
fleet is built to serve both societal and the academic needs
specified below. Coastal areas have the densest human AUVs in MATLAB (see [9]).
populations and serve as critical economic and recreational areas. The Eco-Dolphin Team was honored to participate in the
However, they are sensitive to both human-induced and natural NEEMO (NASA Extreme Environment Mission) 19 Event in
alterations as well as disasters. While robots are widely used to
replace humans for dangerous work in many other fields,
summer 2014. The event organizers from NASA set the
environmental monitoring missions in coastal waters still mostly benchmarks of two tests for the Eco-Dolphin Team about one
rely on human divers. To serve the societal need, the Eco-Dolphin month before the event in September 2014. The first test was to
fleet presents a novel prototype of cost effective robots for let the four astronauts operate the AUV in the canal near the
monitoring coastal environments. The fleet can collect data Facility Base of Aquarius. The second test was to launch the
cooperatively with minimal supervision from the users on a AUV from the boat and let it dive to the bottom of Hens and
nearby boat. To contribute to academic research, the fleet is used Chickens Reef at Key Largo, Florida. Figure 1 was taken
to test swarming algorithms for robot formation in 3D space. To when the Yellow Dolphin was diving to bottom of Hens and
contribute to science education, the Eco-Dolphin project offers a Chickens Reef on September 13th and Figure 2 shows the
platform for students to gain hands-on research experiences and
an incubator to find first-hand scientific research problems.
observation of its position from the Pilot Positioning Monitor.
Figure 3 shows that the Yellow Dolphin attracted a manatee
Keywordsrobots, autonomous underwater vehicles, Object- when the team was testing the AUV on September 5th near the
Processing Methodology, user cases, requirements engineering, Facility Base of Aquarius. The surprising manatee visit showed
multiagent systems. that the Eco-Dolphin AUVs are truly eco-friendly.
I. INTRODUCTION B. Literature Review
In spring 2012, a team of students in the SIAM (Society of Yamamoto presented a comprehensive survey about the
Industrial and Applied Mathematics) Student Chapter of research and development of AUVs in [1]. The Eco-Dolphin
ERAU (called the Eco-Dolphin Team henceforth) proposed to project fits into the category of AUV applications, particularly
build a fleet of environmental friendly AUVs called Eco- the innovative design under stern financial constraints. The
Dolphin. The project was developed in the Leverage Robotics Eco-Dolphin project is similar to the work in [2] at University
Lab and Wave Motion Lab of Embry-Riddle Aeronautical of Canterbury. The main difference is that the work of Wang
University. The project serves two purposes: 1. Build a fleet of and Chen [2] is a tethered UUV (Unmanned Underwater
three AUVs (Yellow, Blue and Red Dolphins) to collect coastal Vehicle) to replace divers to clean the ships, while our Eco-
environmental data. 2. Use the project as an incubator for Dolphin fleet is a tether-free AUV to replace divers and collect
finding first-hand scientific research problems to promote environmental data. Through smaller in scale, our Eco-Dolphin
hands-on undergraduate research. project is mostly inspired by the work of Cartei [3]. However,
Carteis focus is more on the theoretic hybrid network layout
A. The Phases and Status of the Project and contains no cost concerns. The largest challenge about the
We divided the project into annual phases according to the AUV fleet design is the expensive and technically demanding
internal funding cycles from July to June of the subsequent acoustic communication. Relevant research about the acoustic
year. Starting in 2012, the first phase focused on mechanical devices and acoustic network design can be found in [4 - 6].
components, including three fiberglass hulls, ballasts, buoys to Another challenge is optimizing controls for both navigation
host acoustic devices, etc. The focus of the second phase and autopilot [7]. The fleets architectural design and control
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algorithms originated from the work of Gao and Liu [8], where control board, etc. But, the three AUVs are also designed
the communication and system controls of a fleet of virtual differently with complementary features for reducing costs and
UAVs (unmanned aerial vehicles) were simulated by software synergizing the capacity of the fleet.
tools. The fleet control algorithms used for the Eco-Dolphin
fleet were presented in [9, 10 and 11]. A. System Requirements
The paper focuses on the affordable mechatronic solutions System requirements were developed in the spring of 2012
to the communication and control of the Eco-Dolphin fleet. and consist of three major components: 1. system functional
The rest of the paper is organized as follows: Section 2 presents requirements, 2. hardware requirements, and 3. software
the overall system architecture. Section 3 describes the major requirements. We will specify the key components that
mechanical components. Section 4 addresses the circuit design distinguish the Eco-Dolphin fleet from other similar robots.
and major electronics modules. Section 5 outlines the major The three major components are shown in figure 4: Three
software modules. Section 6 concludes the paper with AUVs, Ground Station, and Dual Communication Network.
upcoming missions and future directions of the project. The three AUVs run as a cooperative fleet to collect
heterogeneous data near the boat. This function demands
sophisticated communication systems between individual
AUVs as well as between each AUV and the ground Station.
Since electromagnetic radio signals do not work under salt
water due to its high conductivity, acoustic communication is
required when the AUVs are submerged. Furthermore, radio
communication is also required to connect to distant ground
stations when AUVs are surfaced. Since AUVs cannot receive
GPS signals underwater, the fleet has to equip an acoustic
positioning system. Hence, the Eco-Dolphin requires a dual
Fig. 1. NEEMO 19 Demo Fig. 2. Positon Map
communication system as well as a dual positioning system.
Based on the size of data collection sites and coverage of
acoustic positioning range, the cruising distance from the boat
is designed to be about a square kilometer. The maximum
cruise speed is about 2 meters per second so that it can work
under mild current conditions. The AUVs can dive a maximum
depth of 100 feet and serve 3-5 hour mission underwater
without a battery recharge. Figure 5 illustrate the system
diagrams of the Blue Dolphin.
Fig. 3. Manatee visiting Yellow Dolphin on 9/5/2014 B. System Conceptual Model
In spring 2012, when the Eco-Dolphin fleet was just a
vision, we selected Object-Processing Methodology (OPM)
II. SYSTEM ARCHITECTURE and its support tool Opcat to gather requirements for the
The poster shown in Figure 4 best describes the conceptual system [12]. As shown in figure 7, Opcat uses only three
Fig. 4. AUVs, Ground Station, and Dual Communication Subsystems

model of the Eco-Dolphin project. The AUVs share the same entities as building blocks: objects, processes, and states, as
ground station, hull mold, type of thrusters, electronic circuit well as a few types of basic connection links to represent
109
entity relationships. Objects are things that exist. Processes are relaying wireless and acoustic signals. 6) When the mission is
things that transform objects by changing their states and completed, users can direct the Blue Dolphin to return to base
creating or consuming objects. In OPM, objects, processes, and the Yellow and Red automatically return to base by
and states are symbolized by rectangles, ellipses and rounded following the Blue Dolphin. A user case for emergency
rectangles, respectively. Opcat is a user-friendly tool for quick handling is triggered by a low level sensor: 1) A Safety Sensor
prototyping and requirement gathering [13]. The conceptual such as temperature sensor in the bottom layer initiates a
models help the Eco-Dolphin team leaders discover the critical Sensing process. 9) Ground Station receives the emergent flag
components and tasks for project success and identify the from the AcouComPort and displays it in the user interface
concepts, knowledge, and skills that a team needs in order to window. 10) When the AUV surfaces, the user overrides the
complete the project. AUV Supervisor by using the WIFI communicating process to
control the AUV manually.
III. MECHANICAL COMPONENTS
A. Hull and Propulsion
The Eco-Dolphin AUV has an ellipsoid hull of four-feet
major by one-foot minor axes. The structure is composed of
laminated layers that include Carbon, Kevlar and Sea Cast - a
type of fiberglass made from recycled boats. In our original
design, we used the commercial Pelican Waterproof Cases as
the dry chamber for electronic devices. It leaked when the
AUV dived down a few feet deep. The current water proof
chambers for electronics are made of 6 inch transparent PVC
pipes. The electronics, including batteries and computers, are
Fig.5. Blue Dolphin Electronic Diagram installed on a cylindrical tray that fits in the water proof
chamber (see figure 6). Both Water Proof Chambers and
Electronics Trays were donated by Hydroplus Engineering Inc.
The top level conceptual design and zoomed-in diagram Significant time was spent on redesigning and rebuilding the
of the Supervising System are demonstrated in Figure 7 and 8. affordable water proof chambers, which provided students with
The conceptual architectural view in OPM has three layers. first-hand experiences that are unobtainable from books.
The top layers subsystems include a ground station, three
AUVs, and scientific data collection payloads. In the middle
layer, the ground station includes three acoustic positioning
transducers on buoys, WIFI, acoustic communication modems,
and a laptop hosting the user interface for sending commands
and observing AUV states and positions. An AUV includes a
Supervising Program installed in a Single Board Computer,
and an Autopilot Program installed in Arduino. In low layer
hardware, each AUV includes propellers, ballasts, and two
acoustic modems for communication and positioning,
Navigation devices such as GPS, IMU (Inertial Measurement
Unit), a compass, depth sonar, and a nexus of sensors for Fig. 6. Water proof Chamber and Electronics Tray
system safety. The seven ovals in the middle layer represent B. Propulsion
the seven transactions that logically connect hardware and The propulsion system is made of two brushless thrusters
software objects. (25 lb. force, 400 HFS HF Flow, 300ft or 100 meter depth
rating) by Crustcrawler Inc. [20]. They are mounted on the
C. User Cases two sides of the hull close to the tail. The AUV yaws when
Any path in OPM diagram is a chain of intertwining they run in different speeds. The Yellow Dolphin is equipped
objects and processes that represents typical use cases. A user with two more brushless thrusters in vertical direction to dive
case scenario for normal operations is as follows when all or surface. Water proof connectors from Crustcrawler are used
three AUVs are turned on and deployed: 1) User sends the to connect the batteries and the electronics, such as servo and
programmed mission commands that include a set of ESC, in the enclosed dry chambers to thrusters and sensors.
waypoints in the mission path to the Blue Dolphin. 2) The C. Ballasts for Diving and Surfacing
Blue Dolphin leads to the next waypoint and sends Follow To encourage undergraduate research and innovation, we
commands to other AUVs by acoustic modems. 3) The designed and built three different types of ballasts for diving
Yellow and Red Dolphins follow the Blue Dolphin by using and surfacing. The Yellow Dolphin uses two vertically
programmed swarming algorithms and send estimated mounted thrusters to move up and down. This design is the
state/position and heartbeats to the Blue Dolphin. 4) The easiest to control but also the most expensive. The Blue
Ground Station polls the Blue Dolphin for messages about the Dolphin utilizes two opposing pectoral fins and a tail segment
status of the fleet periodically. 5) User can observe the to control its bearings and balance under perturbing waves. Its
positions of all three AUVs, control the Blue Dolphin directly rotatable pectoral fins work like ailerons of aircrafts to dive or
and the Yellow and Red Dolphin through the Blue Dolphin by surface. The pitching angle change is controlled by a set of
motors and servos. This design is inexpensive, but difficult to
110
precisely control. The Red Dolphin contains a motor and servo A. Power Module and Battery Budget
that moves a led disk to change the centroid so the AUV can The circuits have two sets of batteries, the 24v main power
pitch up to surface or pitch down to dive. for thrusters and acoustics and the 6v for other sensors and
IV. ELECTRONICS MODULES control boards. Two 5400mAh Lipo batteries are selected to
The electronic design is divided into five modules: Power supply main power. Among all electronic devices, the thrusters
Module, Control Module, Communication Module, Sensor consume the most power. Each thruster is working with 24V.
Module and Execution Module. The Power Module uses two The rated thrust outputs are proportional to the current.
sets of powerful Lipo batteries which can supply a stable and Assuming each thruster generates medium thrust, by checking
reliable current as a power source. Voltage transformers are the table Thrust vs. Current Rating at 24v (130W max) in the
used to convert the output voltage of batteries to the rated datasheet, we can find the current should be 2.7A. The current
voltage of Arduino, Sonar, etc. The Communication Module is consumed by two thrusters are 2.7A2, which is 5.4A. The
composed of a sonar modem and a positioning sonar modem. communication sonar SAM-1 - a miniature acoustic modem
The pressure and temperature sensors are applied to detect the [14], is the next most power consuming device. The modem
pressure of water and the ambient temperature in the Sensor requires +8V to +16V power. The receiver current is only 21
Module. Utilizing the data from the communication sonar and mA, but, it can reach 2 A in transmit mode. It can transmit and
the pressure sensor, the Control Module can perform the receive digital data between underwater stations up to a typical
corresponding operation, sending the control signal to the range of 250 meters, with up to 1000 meters possible under
thrusters in the Execution Module. ideal (quiet, deep-water) conditions. To calculate the minimum
time that the electronics system can run, we assume that two
Fig. 7. Conceptual Model of Eco-Dolphin System
Fig. 8. Supervising System of Eco-Dolphin System
111
thrusters are working continuously. The average current AUV position, which is displayed on a user window in the
consumed by two thrusters and sonar is about 6A. The capacity Ground Station.
of the two batteries is 10800 mAh. The minimum time is:
D. Sensor Module
10800mAh /6000 mA 1.8 h. The Eco-dolphin most likely
only cruises from one third to one half time, so the estimated The autopilot program functions to periodically recalibrate
working time is approximately 3.6 to 5.4 hours. the control signals based on the inputs from either the sensors
and/or the users. The ultimate control outputs of each
B. Control Module navigation period are the targeted bearing and thruster speed.
The control module uses the Arduino Mega 2560, a The depth sensor plays a crucial role in estimating that if the
microcontroller board based on the ATmega2560. It has 54 Eco-dolphin arrives at the specified depth. We use AST45PT, a
digital input/output pins (of which 15 can be used as PWM combined pressure and temperature transmitter for accurate
outputs), 16 analog inputs, 4 hardware serial ports, a 16 MHz liquid level measurements. It can measure the pressure ranges
crystal oscillator, a USB connection, a power jack, an ICSP from 0 to 100 PSI [15], and the reading is transmitted to
header, and a reset button [16]. The control module has three Arduino.
main functions: Receive and distinguish commands; Read the As the most important module in the function of navigation,
pressure and temperature data from the sensor; Transmit AHRS-8 is a fully temperature compensated Attitude
control signals to four thrusters. The commands we give is Heading Reference System (AHRS) [17, 18].
transmitted by the communication sonar in the ground station Individually calibrated over the -40 to +70 C operating
and received by the other communication sonar in Eco-dolphin. range, it provides industry leading heading accuracy in a broad
The sonar receiver transmits the command data it receives to range of challenging application environments. With the data
Arduino. Based on the program we upload, Arduino analyzes provided by AHRS-8, the Arduino can calculate the bearing
the data and recognizes what the command is. Then, it takes and desired speed of the thrusters to reach the next way point.
actions accordingly. To drive the thrusters, Arduino generates Other necessary sensors include the proximity sensors such as
PWM (Pulse-Width Modulation) signals to control the relative short range acoustic sonar and GoPro camera, for detecting and
thruster. To balance the Eco-dolphin during the movement, avoiding obstacles and approach programmed targets.
Arduino outputs four different PWM signals to each
corresponding thruster. E. Positioning Module
The Navigation & Spatial Awareness System for the Eco-
C. Communication Module
Dolphin involves developing three buoys, each equipped with a
Electromagnetic waves attenuate quickly in the sea due to GPS, a single board computer, a battery and an adapter cable.
the high conductivity of the saltwater. It makes radio The hemispherical caps for the buoys are built at Hydroplus
communication infeasible underwater. Hence, the Engineering Inc. Figure 4 shows the current buoy design. The
communication of submerged AUVs depends on expensive PILOT Positioning System of Desert Star Inc. consists of one
acoustic sonars. Two acoustic modems from Desert Star Inc., TLT-3 Transponder, three transducers, and the Ground Station
one for positioning and the other for communication, were Box, STM-1 [19]. The three transducers are attached to the
mounted in the bottom and outside of the AUV hull. The three buoys that are placed at the three vertices of a triangle.
antennas for wireless communication, GPS signals and radio The bigger the triangle base is, the more accurate the system
telemetry are mounted on the dorsal fin of the Blue Dolphin. can triangulate the submerged AUVs. The triangle base is
When the Blue Dolphin serves as flagship to control the other limited by the 50 feet cables physically connecting the
two AUVs, it cruises inches below the water surface so that its transducers to the STM-1. The transducers are positioned at a
two antennas are exposed above water to receive GPS signals depth of two meters below the surface.
and effectively communicate with the distance remote ground
station through radio signals. V. SOFTWARE MODULES
We use SAM-1 by Desert Star Inc. as our communication While the full scale description of the software system is
sonar. It is designed for reliable exchange of data in a variety of beyond the scope of this paper, we would like to outline the
underwater environments, from shallow areas or harbors all the principal software modules. The Software System is
way to deep oceanic waters [14]. The connector of SAM-1 is partitioned as five modules. The mechatronic team is in charge
connected to port B, and SAM-1 uses RS232 agreement. of developing the DeviceDrive module to drive sensors and
Therefore, the transmission data need to be converted from actuators. The other four modules are assigned to the software
TTL signals to RS232 signals before we send them to the sonar. team. As shownin the four boxes from the top left to the top
On the other hand, the data we want to read from the sonar has right of Figure 8, the four modules are: Ground Station,
to be converted first. The conversion chip MAX232 converts Supervising System and Autopiloting System, and
signals from an RS-232 serial port to signals suitable for use in SciDataCollection System. The Ground Station includes the
TTL compatible digital logic circuits. Besides the user interface, the communication programs, and the mission
communication sonar, we have a positioning sonar to locate the controller. The Supervising System is the backseat driver
Eco-dolphin underwater. A surface station transducer (S1) program hosted in the payload computer PC/104 or Raspberry
sends acoustic queries, and the ground station replies. The PI. Its main function is to coordinate with the Ground Station,
replies are received by the three surface station transducers other AUVs and its own sensor readings; send the action
(S1-S3). The reply signals and encoded AUV depth are timed command and/or next waypoint to the Autopiloting System;
by the surface control box. Acoustic ranging data, AUV depth and broadcast messages/heartbeats to Ground Station as well
data, compass data, and IMU data are combined to compute the as other AUVs periodically.
112
VI. UPCOMING MISSIONS AND FUTURE WORK whose names and contributions can be found at
The first mission in 2015 is to use the GoPro Camera and http://www.eco-dolphin.org .
hydrophones of Eco-Dolphin AUVs to collect imagery and REFERENCES
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[12] Dov Dori, 2002. Object-Process Methodology: Springer, Berlin
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water proof connections of mechatronics, and 3. the Process Methodology in Software Architecture: The Journal of
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[14] Sam-1-Operators-Manual, http://www.desertstar.com
challenge is to fund the project on an annual basis without
[15] AST45PT-submersible-pressure-temperature-sensor
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[17] http://www.jdtechsales.com/wp- content/uploads /2012/09/AHRS-8-
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L_Thruster_Data_Sheet.pdf
this project have learned valuable lessons from the hands-on [21] Liu, H. & Ludu, A. (2012) ACE - A Model Centered REU Program
research and teamwork that could not be taught in a traditional Standing on the Three Legs of CSE: Analysis, Computation and
classroom. The Eco-Dolphin project serves as a bridge for Experiment, the Proceeding of ICCS 2012, P.1773-1782.
[22] Desert Stars PILOT System Manual.
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ACKNOWLEDGMENT Measurement, and Performance, Ganga- Jamuna Press, 2004.
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The authors would to give thanks to all Eco-Dolphin alumni
113
Extended Development of LinuxCNC for Control of

a Delta Robot
Feng Huo GeokSoon Hong AunNeow Poo
Department of Mechanical Engineering Department of Mechanical Engineering Department of Mechanical Engineering
National University of Singapore National University of Singapore National University of Singapore
Email: huofeng118@gmail.com Email: mpehgs@nus.edu.sg Email: mpepooan@nus.edu.sg
AbstractIn recent years, open architecture motion con- robot, is presented together with details and discussion of the
trollers, including those for CNC machines and robots, have processes involved.
received much interest and support among the global control and A brief introduction to LinuxCNC is provided in Section II.
automation community. This paper presents work done in extend-
ing a well-known and supported open-source control software Section III then presents the general structure of the system
called LinuxCNC for the control of a Delta robot, a translational and a brief discussion on the software design. Development
parallel mechanism. Key features in the development process are details are covered in Section IV with Section V containing
covered and discussed and the nal customized system based on the conclusions.
LinuxCNC described.
Index TermsLinuxCNC, Delta robot, Real-time Linux. II. B RIEF INTRODUCTION OF L INUX CNC
The source codes of LinuxCNC was written mainly in the
I. I NTRODUCTION language of C/C++. There are four main components [13].
These are a motion controller (EMCMOT), a discrete I/O con-
With the increasing demand for greater productivity and troller (EMCIO), a coordinating task executor (EMCTASK)
higher accuracy in manufacturing and in robotic manipulators, and several graphical user interfaces (GUI) templates. HAL
the open architecture controller (OAC) has received much (Hardware Abstraction Layer) is a component of LinuxCNC
attention and support because of its exibility, economy and which provides a convenient way of allowing a number of
efciency [1]. Much research efforts have been directed to this building blocks, many of which are low-level drivers for
research area in the last few years. This has greatly promoted hardware devices, to be interconnected, via named pins,
the development and application of OAC. Various software to build a complex system. The structure of LinuxCNC is
platforms for the development of OAC are currently available, illustrated in Fig. 1.
one of which is the popular LinuxCNC.
LinuxCNC is open-source software system running on real- A. EMCMOT
time Linux developed for computer control of the motions EMCMOT is the only real-time component among the four
of machines such as CNC machines, plasma cutters, robotic main components. On one hand it uses either shared memory
manipulators, etc. It is the descendant of the public-domain buffers or real-time Linux FIFOs mechanism to exchange
Enhanced Machine Controller (EMC) software developed by commands, status and errors with EMCTASK. On the other
the National Institute of Standards and Technology, an agency hand it communicates with actual hardware module drivers
of the US Department of Commerce [2]. Since the software through HAL pins. Since the motion controller is a real-
and the OS platform are free and freely available for public time module, it executes cyclically at a user-dened sampling
use with extensive application information available on the frequency. Typically, during each control/sampling cycle in
internet, many people have been attracted to it and many have the control of actual machine drives, EMCMOT will sample
contributed vast amount of effort and time to develop and the positions of axes or joints to be controlled, compute the
advance its capabilities and applications. reference positions for each axis/joint in the desired trajectory
LinuxCNC is designed to be very general and versatile for the next sampling instance, compute the position errors
and can be adapted for various applications which require the and the control output for the motors, and send these out to
simultaneous control of the motion of up to 9 axes of machines the motor servo-drivers. Within each sampling period, it also
or robots. Provisions are available for users of LinuxCNC to updates any status parameter, such as actual axis/joint position,
add their own user-dened functions into LinuxCNC and to in the shared memory buffers for display as required.
customize it according to their requirements [3], [4], [5], [6],
[7], [8]. Many of precision motion control algorithms can be B. EMCIO
realized through LinuxCNC [9], [10], [11], [12]. In this paper, The EMCIO module handles all the I/O functions. It con-
the application and adaptation of LinuxCNC for the control sists of a hierarchy of subordinate controllers for functions
of a translational parallel manipulator, in the form of a delta such as the control of coolant, spindle, auxiliary functions and
978-1-4673-7995-3/15/$31.00 2015
c IEEE 114
Fig. 2. Structure of Delta robot
communicates using NML and can not only display the infor-
mation received from other modules but also send messages
including power on/off, run a program with G/M codes. The
GUI can also be run natively in a remote PC and exchange
NML messages with the main PC through the network.
For creating or editing a GUI, two LinuxCNC components
are available, the Python Virtual Control Panel (PyVCP) and
the Glade Virtual Control Panel (GladeVCP). The former is
easier to use but the latter is more exible and has more
features available to the user. PyVCP is limited to use its
TkInter widget set and has no support for embedding user-
dened event handling. GladeVCP has more choices in GTK+
widgets and provides support for a Glade user interface editor.
Arbitrary command execution is also supported by GladeVCP
but its complex conguration and programming may deter
rst-time or less-experienced users.
HAL provides the facility to specify the interconnections
between hardware devices and software modules by using the
Fig. 1. The structure of LinuxCNC
concept of software pins and functions for hardware interfaces
and drivers. It allows for the interconnections between hard-
ware devices and the software modules of LinuxCNC. Signals
user-dened subsystems. EMCIO is highly machine-dependent dened by HAL can be easily exchanged and transmitted.
and, as such, programmers need to develop specic applica- The HAL user interface (halui) connects HAL pins to NML
tion programming interface (API) functions for the different commands. Most of the functionalities in the GUIs mentioned
hardware devices in order to integrate these into LinuxCNC above are provided by HAL pins in halui.
without modifying the core control codes.
III. S YSTEM S TRUCTURE FOR D ELTA ROBOT C ONTROL
C. EMCTASK A delta robot is a type of parallel manipulator. Its key feature
EMCTASK perches at a higher level with respect to EM- is the use of a parallelogram structure for some of its links to
CMOT and EMCIO. This module is written by using NIST maintain the orientation of the end-effector platform. A 3-DOF
RST Library and NML-Module-based class, which is similar delta robot will only have the translational motions in its three
with EMCIO. However, it is less machine-dependent. Its main axes with the actuating motors connected directly to the links.
function is to interpret the G and the M codes in the standard First developed in the 1980s, delta robots have been widely
CNC part programs. Here the Neutral Message Language used for pick and place operations in the sorting and packing
(NML) is a common API to communicate functions which industry, their advantage being their capability for very fast
are implemented within different LinuxCNC modules. motions.
In the work presented here, LinuxCNC is used to control
D. GUI & HAL a mini delta robot, shown in Fig. 2, for force/torque control
LinuxCNC provides several sample graphical user interface together with pure position control. To achieve this, a 6-DOF
templates including AXIS, mini, and tklinuxcnc. The GUI force/torque sensor is mounted on the end-effector platform.
115
A simple schematic diagram showing the main components
of the system is shown in Fig. 3. LinuxCNC runs in the
PC under the RT Linux operating environment. It communi-
cates with the external hardware devices through an installed
LinuxCNC-supported interface card, a Motenc-Lite motion
control and data acquisition card. This card provides four
differential quadrature encoder inputs, eight channels each
Zd>W
of analog inputs and outputs, and 48 digital I/O. These are
>E
sufcient to control the drivers for the three servo-motors
of the robot, to read the digital encoders mounted on the
three motors, and to acquire the six data signals from the
force/torque sensor. The hardware wiring details are relatively
straightforward and will not be discussed in this paper in which
the focus will be on software development for adding to, and
adaptation of, LinuxCNC.
IV. A DAPTATION OF L INUX CNC

D
In order to use LinuxCNC to implement a CNC controller
for the delta robot for both spatial trajectory control and Y
for force control, changes need to be made to LinuxCNC
together with the development and incorporation of a few user-
dened, application-specic modules. These include changes
to some initialization and conguration les, the creation or
adaptation of a GUI panel, and the development of two user-
dened modules related to the kinematics of the robot and
another for computing the forces and torques acting on the
robot from signals read from the 6-DOF force/torque sensor.
Interconnections among the affected software modules and D D D
with the hardware device drivers are specied using HAL
pins.
The three user-dened modules are real-time modules in the
sense that they are included in the interrupt loop and execute in
real time at a frequency determined by the frequency specied
for the interrupt thread. As such, their executions times are
critical and they must execute their tasks fast enough so that &
all the modules included in the interrupt loop can be executed D D D d
within the specied sampling period. The other modules are

not executed in real time but are executed during the start-up
phase of LinuxCNC to dene the conguration of the system
before the interrupt thread or threads are started. They are thus Fig. 3. LinuxCNC controlled delta robot
not time-critical.
Details of these changes and the user-dened modules de- TABLE I
CORE CONFIGURATION FILES
veloped are described in more detail in the following sections.
motenc.ini Initialize all the parameters for EMCTASK, EMC-
A. Initial Conguration MOT, EMCIO and some general sections.
core servo.hal Core real-time modules are loaded in this le and
There are several key les that need to be introduced before all the basic PID pin connections are dened here
a meaningful discussion of the user-dened modules can be too.
made. These les and their functions are described in Table I. motenc motion.hal Hardware driver and other RT modules are loaded
in this le and all the HAL pins conguration
LinuxCNC is congured using text les, one of which is the related to EMCMOT are dened here.
INI le which overrides defaults compiled into LinuxCNC. motenc io.hal The HAL pins conguration related to EMCIO are
In the motenc.ini le, the parameters required to congure the dened in this le such like GPIO, limit switch
robot system are dened. These include specifying the number signals and watchdog.
custom postgui.hal Custom HAL commands and signals are dened in
of axes as three corresponding to the three actuating motors this le. It will be loaded after GUI starts up.
for the Delta robot. For each of these axes, suitable dynamic
parameters such as the the PID control gains, maximum
allowable velocity and maximum allowable acceleration are
116
specied according to the characteristics of the motors and TABLE II
the load they drive. The names of HAL les which are to be K INEMATIC R ELATIONSHIP
loaded are also specied here. Inverse kinematic Forward kinematic
joints[0] pos->tran.x
B. HAL Pins joints[1] pos->tran.y
Provided in LinuxCNC are several HAL commands for joints[2] pos->tran.z
loading modules, specifying their interconnections and for
assigning values to certain parameters. The loadrt command
is used to load the user-dened modules while the net processed force/torque values are sent to the GUI through the
command is used to connect two HAL pins as a signal. The rtapi snprintf function. The target values of the force and
setp command is used to assign a value to a HAL parameter. torque can be set so that this module can compensate the
An example of the use of HAL commands using HAL pins to reference command to the end-effector.
connect input signals from the hardware device to a software
module in LinuxCNC is shown in List 1, In this example, D. GUI
the commands are for connecting the six signals from the In the project discussed here, the sample AXIS GUI panel
force/torque sensor connected to the analog inputs of the provided in LinuxCNC was used and modied by the addition
Motenc interface card to a user-dened module for processing of a user-designed panel. This panel is for the display of the
these signals. readings of the six components of the force/torque sensor. The
pin connections are shown by the codes in List 2. In the list,
Listing 1.
obj ag is used as a ag to provide users with a choice of two
# c o n n e c t ADCs t o f o r c e / t o r q u e Module
n e t ch1 motenc . 0 . adc 00 v a l u e => h u o e f . sriraw .0 modes of specifying the required motion of the Delta robot,
n e t ch2 motenc . 0 . adc 01 v a l u e => h u o e f . sriraw .1 an end-effector mode and an actuator mode. In the former,
n e t ch3 motenc . 0 . adc 02 v a l u e => h u o e f . sriraw .2 user inputs are in end-effector coordinates while in the latter,
n e t ch4 motenc . 0 . adc 03 v a l u e => h u o e f . sriraw .3 these inputs are in actuator motor coordinates which directly
n e t ch5 motenc . 0 . adc 04 v a l u e => h u o e f . sriraw .4 correspond to motor positions. When the desired motion is
n e t ch6 motenc . 0 . adc 05 v a l u e => h u o e f . sriraw .5
specied in end-effector coordinates, the interpolations for the
required motion, e.g. linear interpolation, are performed by
C. User-dened Modules LinuxCNC and the resulting motion trajectory in end-effector
For the Delta robot, a set of non-linear kinematics equations coordinates at each sampling period are converted by the
dene the relationships between the positions of the actuating Inverse Kinematic Module into command reference positions
motors and the position of the end-effector. For this project, for the control of the actuator motors. When the required
a user-dened Forward Kinetics Module was developed to motion are specied directly in actuator motor positions,
compute the coordinates of the position of the end-effector any interpolation required are performed directly in motor
based upon the positions of the actuating motors. Development coordinates and these are used as the command reference
of this module for the Delta robot is quite involved requiring positions of the motors for the feedback loops without the
the solution of a set of polynomial constraints to determine need of processing by the Inverse Kinetic Module.
the possible end-effector positions. Another user-dened that During motion, the actual positions of the three actuator
was developed is the Inverse Kinematics Module. This module motors, provided by the digital encoders attached to their
does the reverse and computes the required positions of the shafts, are read through the Motenc interface card. These
actuating motors for a given desired position of the end- are processed by the Forward Kinetics Module to generate
effector. For the Delta robot, the inverse kinetics is relatively the corresponding position of the end-effector in end-effector
straightforward. coordinates. These are then used for display in the GUI. For
LinuxCNC has some pre-dened variables in a trivkins the human eye, the update frequency of this display need not
module which can be used as reference. The relationships that be as high as the sampling frequency of the position control
need to be redened for this project are shown in Table II. loop for the motors. As such, this process can be performed
In the table, the joints are the positions of the three motors at a lower sampling frequency. LinuxCNC allows more than
while the tran.x, tran.y, and tran.z are the coordinates of the one interrupt thread to be created, each with its own sampling
end-effector. For inverse kinematic, tran.x,y,z to express joints frequency.
and vice versa for forward kinematic. If we let joints be equal Another example of the use of HAL command codes is
to tran.x,y,z, then reference position in G codes will be just shown in List 2. Here the codes are used to specify how
the position of each actuator. the force/torque values computed by the Force/Torque Sensor
The third user-dened Force/Torque Sensor module reads module are to be connected for display in the GUI panel.
the raw signals from the force/torque sensor and process these Shown in List 3 are the command codes used for the design
using a decoupling matrix to obtain the three forces and three of the bar display in the GUI for Fx, the force on the sensor
torques acting on the sensor. the decoupling matrix is obtained along the X-axis. The result can be seen in the display panel
from a calibration procedure performed on the sensor. The shown in Fig. 4.
117
Listing 2. help as a practical guide for engineers developers of control
n e t Fx h u o e f . Fx => pyvcp . my fx systems for CNC machines and robotic manipulators.
n e t Fy h u o e f . Fy => pyvcp . my fy
n e t Fz h u o e f . Fz => pyvcp . my fz ACKNOWLEDGMENT
n e t Mx h u o e f . Mx => pyvcp . my mx
n e t My h u o e f . My => pyvcp . my my The authors acknowledge the support from the Collaborative
n e t Mz h u o e f . Mz => pyvcp . my mz Research Project under the SIMTech-NUS Joint Laboratory
net obj f l a g e e f k i n s . o b j <= pyvcp . C t r O b j . T o o l (Industrial Robotics), Ref: U12-R-051SU and support from the
SERC Industrial Robotics Program Work Package 7, project
number: 1225100007.
Listing 3.
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118
Minimizing energy consumption in a U-shaped robotic assembly

line
J. Mukund Nilakantan, S.G.Ponnambalam*, George.Q.Huang
Abstract Manufacturing industries these days are more sustainable energy. By reducing energy, industries save on
concerned about the energy consumption due to the increasing the cost and become more competitive in the market.
energy cost. It is observed that industries can achieve significant Assembly line is considered to be one of the cost intensive
savings in the energy cost even when a small percentage of processes in a manufacturing industry. Using an energy
energy consumption is reduced. In a manufacturing industry, efcient manufacturing system, the energy consumption can
assembly lines are equipped with robots to perform the assembly
be reduced [3]. Robots are extensively used in assembly lines
tasks and there is a need for efficiently balancing the assembly
line by reducing the energy consumption during the production in the recent years. Robotic assembly lines can perform
phase. The authors could not find any research on optimizing different types of tasks and can work 24hrs without the
energy consumption in U-shaped robotic assembly line systems worries of fatigue [4]. Different types of robots are available
to date. The objective of this paper is to propose an optimization in the market and there is a need for judiciously assigning the
models with an objective of minimizing the energy consumption efficient robot to perform the tasks in the workstations.
in a U-shaped robotic assembly line when the number of Robotic assembly line balancing (RALB) problem aims at
workstations are fixed. Since the assembly line balancing assigning tasks to workstations and allocation of efficient
problems falls under the category of NP-hard, an efficient bio robot to each workstation such a way that the productivity is
inspired algorithm is implemented to solve the problem. The
improved. In the literature only two types of RALB
model proposed is very well applicable for automobile assembly
line where robots are employed. The energy consumption is problems are addressed (Type-I RALB and Type 2 RALB).
evaluated on the benchmark data and energy consumption Type I RALB problem aims at minimizing the number of
obtained by the U-shaped robotic assembly line is compared workstations for a given cycle time of the robotic assembly
with the energy consumption obtained with straight robotic line and type II RALB problem deals at minimizing cycle
assembly line. The cycle time of the layouts are also compared. time for a fixed set of workstations [5]. RALB problem is
The results obtained using this proposed model can be used for rst formulated by Rubinovitz and Bukchin [6] in which
the decision making process in the industry. The paper also equal amount of tasks are allocated to the workstations in the
proposes an optimization model for minimizing the cycle time. assembly line and the best available robot to perform the
The energy consumption of the assembly line when the cycle
time is minimized is evaluated and presented.
tasks are assigned to the workstations with an objective of
minimizing the number of workstations for a given cycle
I. INTRODUCTION time. Levitin et al. [4] and Gao et al. [5] presented work on
In a manufacturing sector, energy is one of the most type-II RALB problem and Yoosefelahi et al. [7] formulated
important vital resources. In the recent years, companies give a multi-objective mixed integer linear programming model
importance in reducing the energy consumption, since the for type- II RALB problem with an objective of minimizing
companies can achieve significant cost savings when a small the cycle time, robot setup costs and robot costs.
percentage of energy is reduced [1]. There will be an Assembly lines are classified based on the nature of flow in
emission of about 20% in carbon dioxide when electricity is two types: straight (traditional) assembly lines, with single
produced. Manufacturing companies thus gives importance and multiple/mixed products, and U-shaped assembly lines
to reduce the energy consumption and become environmental (also called U-lines), with single and multiple/mixed
friendly. In the recent years, there is a growing concern over products. The main difference between the two types is the
global warming, hence there has been a growing interest for design of the assembly line. For U-shaped assembly lines,
minimization of energy consumption by the industries [2]. the start and end position are in the same position [8]. In a U-
For business competitive advantages, there is an increased shaped layout Number of operators can be increased or
demand for energy efficient management system and decreased to meet the requirements [9]. Distinguishing
feature in a U-shaped assembly line is that tasks can be
assigned to the workstations after all of its predecessors or all
J. Mukund Nilakantan is with the School of Engineering Monash
University Malaysia, 46150, Malaysia. successors have been assigned to an earlier or same
(e-mail: mukund.janardhanan@monash,edu) workstation. This feature of U-shaped assembly line allows
S.G.Ponnambalam is with Advanced Engineering Platform and School of for the forward and backward assignment of tasks to
Engineering Monash University Malaysia, 46150, Malaysia. workstations [10]. Assembly line balancing problem belongs
(e-mail: sgponnambalam@monash.edu)
George.Q.Huang is with Department of Industrial and Manufacturing to the category of NP-hard [11]. Detailed literature survey on
Systems Engineering The University of Hong Kong, Hong Kong. different methods used to solve problem of this nature is
(email: gqhuang@hku.hk) presented in Mukund et al. [12].
The authors could not find any research on optimizing
energy consumption in U-shaped robotic assembly line
978-1-4673-7995-3/15/$31.00 2015
c IEEE 119
systems to date. The main objective of this paper is to initial set of particles and these particles moves around a
propose an optimization model to optimize energy search space, these particles represent a possible solution.
consumption (energy based model) of a U-shaped robotic Each particle is searching for the optimal solution and moves
assembly line and to solve the model using a metaheuristic around with certain velocity. It is to be noted that the particle
algorithm. Particle Swarm Optimization algorithm is used to structure is taken as a string, which consists of tasks to be
optimize the proposed model. Energy based model optimizes performed in RALB problem considering the precedence
the total energy consumption of the U-shaped robotic constraints. After the swarm is initialized, each particle is
assembly line as the primary objective and cycle time as the assigned with random velocity and length of the velocity of
secondary objective. The performance of the energy based each particle is randomly generated. Fitness value of each
model for U-shaped robotic assembly lines are evaluated and particle is evaluated and Local best and Global best are found
the energy consumption of U-shaped robotic assembly line and then the particle velocity and position are updated
are compared with energy consumption of straight robotic continuously in all iterations using the formula. Pseudo code
assembly and results presented in tables. The model proposed of the PSO algorithm is shown below.
in this paper is very well applicable to automobile body shop
with robot based lines. The remainder of this paper is Initialize parameters
structured as follows. Section 2 provides the assumptions of Initialize swarm
the problem addressed here. Section 3 explains PSO in detail Initialize velocity
and procedure followed to calculate the energy consumption Find the fitness values of each particle
and cycle time. Section 4, presents the results of the Find local best and global best
experiments conducted. Finally, Section 5 concludes the Do
nding of this research. {
II. ASSUMPTIONS OF THE PROBLEM
{ Update velocity using Eq (1)
Update position using Eq (2)
Assembly tasks of different types are performed at each Evaluate particles (Fitness Evaluation)
workstation. These tasks are to be completed to produce a Update local best
final product. Precedence constraints are specified and }
determine the order in which tasks should be executed. Tasks Update global best
are to be assigned to the workstation and the best robot needs } (Stopping condition)
to be allotted to the workstation to perform the tasks. In this
article, a U-shaped assembly line is taken into consideration Each particle successively adjusts its velocity position
and the main objective is to minimize the energy towards the global optimum according to the following
consumption. The assumptions listed below are used in this Equation (1) and (2) respectively.
paper and these are developed based on the work of Levitin
et al. [4] and Gao et al. [5]. Velocity update equation:
t t t t
1. Robots power consumptions are assumed. Using the

vi t 1 e
c1U 1 v i c 2 U 2 ( Pi Pi ) c 3U 3 ( G Pi ) (1)
power of each robot, energy consumption is calculated.
2. Model is designed for a straight assembly line for a Position update equation:
unique model of a single product. t 1 t t 1
Pi Pi vi (2)
3. Tasks cannot be subdivided among one or two work
stations and precedence relationship should be met while
assigning the tasks. where U1, U2 and U3 are known as velocity coefficients
4. Time taken to perform a task depends on the type of (randomly generated between 0 and 1), c1, c2 and c3 are
robot assigned. known as learning coefficients, vit is the initial velocity, ePti is
5. The number of work stations will be equal to number of the Local best, G is the global best and Pit is the current
robot types. particle position. Mukund et al. [12] shows how the velocity
6. Material handling, loading and unloading time, as well and position update work for RALB problem. Initial velocity
as set-up and tool changing time are negligible, or are and initial particles are generated randomly and details on
included in the task time. how these are generated are presented in Mukund and
7. Maintenance operations are not considered in this study. Ponnambalam [14].
A. Fitness Evaluation (Energy Based Model)
III. PARTICLE SWARM OPTIMIZATION ALGORITHM This procedure is used to calculate the total energy
consumption of a U-shaped robotic assembly line. Task
Assembly line balancing problem falls under the category
allocation procedure is different from the straight robotic
of NP-hard. Hence a particle swarm optimization algorithm is
assembly line allocation. This procedure also starts with an
proposed to solve the problem in this paper. This section
initial energy consumption of the assembly line. In U-shaped
presents the details of implementation of PSO.
robotic assembly line, tasks are allocated to the workstation
PSO is developed based on the social behavior of bird
by moving forward and backward through the precedence
flocking or fish schooling [13]. PSO procedure starts with an
120
diagram in contrast to a typical forward move in the For energy based model in U-shaped robotic assembly,
traditional assembly systems. Best robots which can perform when the allocation was attempted with initial E0, it was
the tasks allotted to the workstations with minimum energy found that tasks 6 and 7 are left unassigned. E0 is
consumption are checked for allotment. The procedure tries incremented till 47 for accommodating all the tasks in the
to allocate the maximum number of tasks to the workstations four workstations and the complete the allocation. The energy
without violating the precedence constraints. If the initial E0 consumption of the assembly line during the production mode
cannot accommodate all the tasks, E0 is incremented by one when tasks are allocated based on the energy model is found
and the procedure is repeated to accommodate all the tasks. to be 151 kJ (30+33+41+47). The workstation time of the
The allocation done gives the energy consumption at each each workstation is calculated by adding the processing time
workstation and the time consumed by each workstation is of the tasks assigned to that workstation for the robot
calculated which is used to find the cycle time and standby assigned. In this example workstation time of the assignment
time for each workstation. Using the standby time for each made is calculated by using the processing time given in
workstation, the energy consumed during the standby mode is Table 1.
calculated. The total energy consumed by the U-shaped Time at Workstation 1(Robot 2) = 37+38=75,
assembly line is the sum of energy consumption during Time at Workstation 2(Robot 3) = 38+34+41=113,
production mode and standby mode. An illustration is Time at Workstation 3(Robot 4) = 42+40+33=115 and
provided in this section to explain the calculation of energy Time at Workstation 4(Robot 3) = 33+83+40=156.
consumption in a U-shaped robotic assembly line. Sequence The maximum workstation time is the cycle time of the
of tasks which meets the precedence constraints is considered assignment made and the cycle time is 156. The results
for illustration. Sequence is, 1-3-2-4-5-6-7-9-8-10-11 for a obtained for the 11 tasks problem using energy based model
11 task and 4 workstation problem is considered for the is shown in Figure 1.
illustration. Energy consumption details of each tasks and
robots are presented in Table 1. Stepwise procedure is
explained in this section.
Step 1. E0 is calculated and it is found to be 35 using
E0 [ min e hi / N w ]
1 i Nr
j 1
Here ehi is the energy consumed by a robot to perform a task,
Nw is the number of workstations and Nr is the number of
Figure1 Solution for the energy based model in a U-shaped
robots.
RAL
Step 2. For the initial E0, the procedure tries to allocate the
tasks to the workstations starting from the first workstation.
Table I Performance time and energy consumption for 11
Procedure allocates the maximum tasks by checking either
task 4 robot problem
side of the sequence if any of the robots could perform the
Performance Time Energy Consumption
tasks within E0. Since it is U-shaped, search space is more Task Robot1 Robot2 Robot3 Robot4 Robot1 Robot2 Robot3 Robot4
due to different possible combinations 1 81 37 51 49 20 15 15 17
Step 3. If the previous workstation cannot accommodate 2 109 101 90 42 27 40 27 15
more tasks, the next workstation is allocated with the 3 65 80 38 52 16 32 11 18
remaining tasks. 4 51 41 91 40 13 16 27 14
Step 4. After trying with initial E0, if the procedure still was 5 92 36 33 25 23 14 10 9
not able to assign all the tasks within the E0, E0 is increment 6 77 65 83 71 19 26 25 25
by one and repeat the Step 2 and 3 until all tasks get 7 51 51 40 49 13 20 12 17
assigned to the workstation. 8 50 42 34 44 13 17 10 15
9 43 76 41 33 11 30 12 12
Step 5. Robots are allotted to each workstation with certain
10 45 46 41 77 11 18 12 27
set of tasks. Robot which performs the allotted tasks with 11 76 38 83 87 19 15 25 30
minimum energy consumption is selected and allocated.
Step 6. Using the robot allocated and tasks in the workstation,
B. Fitness Evaluation (Time Based Model)
the workstation time is calculated for the tasks allocated.
Step 7. The workstation with the maximum workstation time
Time based model proposed here calculates the cycle time of
is the cycle time of the allocation.
the U-shaped robotic assembly line by allocating tasks and
Step 8. Using the workstation times, the standby time of each
robots optimally. For the allocation made, the energy
workstation is calculated and the energy consumed during the
consumed by each workstation is calculated. The standby
standby mode is calculated using the power consumption of
energy consumed is also evaluated. The sum of energy
the robots allotted to each workstation.
consumed during production mode and standby mode is the
Step 9. Sum of the energy consumption during production
total energy consumed by the U-shaped robotic assembly
mode and energy consumption during the standby mode gives
line. The tasks are allocated to the workstations and best fit
the total energy consumption of the assembly line.
robots are allotted to the workstations to perform the
121
allocated tasks in a U-shaped assembly line. Mukund and line. Power consumption of robots which are used for the
Ponnambalam [15] present the details on cycle time dataset generation is available in Mukund et al [12]. The total
evaluation in a U-shaped robotic assembly line. The stepwise energy consumption for U-shaped robotic assembly line
procedure involved in energy consumed in U-shaped robotic obtained using energy based model for U-shaped robotic
assembly line when the cycle time is minimized is presented assembly line is evaluated and presented in Table II. Results
here. The maximum of the workstation time is the cycle time are compared with the energy consumption of straight robotic
for the assignment made. Workstation time is the sum of assembly line available in Mukund et al. [12]. Energy
robot processing times of the tasks by the allotted robots. consumption calculated is the sum of energy consumed
Total energy consumption for the assignment made is during the production phase and energy consumed during the
calculated. Energy consumption for a workstation is standby phase. Detailed explanation on how standby energy
calculated by multiplying the total robot task time by the consumption is calculated is presented in Mukund et al. [12].
power consumed by that robot. Total energy consumption for
the assignment is obtained by adding the energy consumed by Table II Comparison of energy consumption for energy based
all workstations. model
The same sequence used for the allocation is used for the Energy Energy
time based model. The workstations times are calculated and Consumption (kJ) Consumption (kJ)
Problem Problem Problem Problem
the cycle time is evaluated to be 121. Workstation times are No: Dataset
Straight U-
No: Dataset
Straight U-
121, 115, 107 and 116. The energy consumption of each RAL shaped RAL shaped
workstation is calculated using the workstation times and the [12] RAL [12] RAL
power consumption of the robot which is allotted to perform 1 25-3 494 496 17 89-8 5043 4826
2 25-4 342 345 18 89-12 5683 5665
the tasks at the workstation. Power consumption for 11 task 3 25-6 365 359 19 89-16 5119 4969
problem is 0.25, 0.4, 0.3, and 0.35. 4 25-9 248 246 20 89-21 4250 4218
5 35-4 1072 1042 21 111-9 7307 7230
Energy consumption at a workstation= Workstation 6 35-5 929 861 22 111-13 7267 7167
7 35-7 1015 1005 23 111-17 6945 6861
time Power Consumption of the robot 8 35-12 697 651 24 111-22 6909 6800
Energy consumption at Workstation 1=121 0.4= 48.4 kJ 9 53-5 2700 2665 25 148-10 9840 9828
Energy consumption at Workstation 2= 115 0.3= 34.5 kJ 10 53-7 1989 1982 26 148-14 10654 10506
Energy consumption at Workstation 3=107 0.35=37.45 kJ 11 53-10 2215 2172 27 148-21 10131 10079
Energy consumption at Workstation 4= 116 0.4= 46.4 kJ 12 53-14 2177 2039 28 148-29 8606 8415
13 70-7 4146 4257 29 297-19 25232 24658
Total energy consumption of the assignment= 14 70-10 3069 3050 30 297-29 24970 24666
48.4+34.5+37.45+46.4= 166.75 kJ 15 70-14 3871 3845 31 297-38 22862 22446
Solution obtained from energy based model is presented in 16 70-19 3323 3229 32 297-50 22243 22022
Figure 2. Average Energy Savings
26kJ
Average Energy Savings
169kJ
for U-shaped for U-shaped
The results indicate that energy consumption is very low

for U-shaped robotic assembly line when compared to the
energy consumption in straight robotic assembly line. Twenty
nine out of thirty two datasets yielded lower energy
consumption for U-shaped robotic assembly line. Average
Figure 2 Solution for the time based model in a U-shaped energy savings which is achieved by using U-shaped robotic
RAL assembly line over straight robotic assembly line is calculated
as 26 kilojoules for small size datasets (up to problem
The figure shows the tasks and robot allocation along with number 16) and 169 kilojoules for large size datasets. The
the workstation times and the energy consumption at each cycle time obtained for U-shaped robotic assembly line when
workstation. The energy consumed during the standby mode
energy is minimized is also calculated and presented in Table
is calculated using the workstation times and it is found to be
0.95 kJ. The total energy consumption for the U-shaped III. Cycle time obtained using the energy based model is
robotic assembly line using time based model is the sum of compared for both the layouts, it is observed that four dataset
energy consumption during the production mode and energy problems in small dataset group reports lower cycle time for
consumption during the standby mode and the total energy straight robotic assembly line when compared with the U-
consumption is 167.7 kJ. shaped robotic assembly line.
IV. RESULTS AND DISCUSSIONS
Thirty two test problems for RALB proposed by Gao et al
[5] are used for evaluating the proposed energy based model
to solve energy consumption in a U-shaped robotic assembly
122
Table III Comparison of cycle time for energy based model line with time based model. The average energy savings for
Cycle Time Cycle Time U-shaped robotic assembly line when compared with straight
Problem Problem Straight U- Problem Problem Straight U- robotic assemnly line for small datasets is evalauted as 19 kJ.
No: Dataset RAL shaped No: Dataset RAL shaped
And for large datasets the energy saved by U-shaped is
[12] RAL [12] RAL
1 25-3 641 546 17 89-8 562 532 calcualted as 245 kJ. The results are presented in Table V.
2 25-4 314 320 18 89-12 430 420
3 25-6 235 213 19 89-16 340 322
4 25-9 142 157 20 89-21 206 201 Table V Comparison of energy consumption for time based
5 35-4 516 509 21 111-9 735 688 model
6 35-5 424 360 22 111-13 396 377
Energy Energy
7 35-7 342 307 23 111-17 280 265
8 35-12 160 126 24 111-22 255 228 Consumption (kJ) Consumption (kJ)
Problem Problem Problem Problem
9 53-5 587 452 25 148-10 678 671 Straight U- Straight U-
No: Dataset No: Dataset
10 53-7 343 330 26 148-14 461 458 RAL shaped RAL shaped
11 53-10 273 252 27 148-21 335 318 [12] RAL [12] RAL
12 53-14 200 183 28 148-29 263 198 1 25-3 514 546 17 89-8 5078 5472
13 70-7 463 557 29 297-19 809 697 2 25-4 347 333 18 89-12 6314 5978
14 70-10 290 294 30 297-29 466 448 3 25-6 420 361 19 89-16 5191 5221
15 70-14 290 275 31 297-38 348 345 4 25-9 265 281 20 89-21 4734 4668
16 70-19 255 189 32 297-50 348 341 5 35-4 1091 1094 21 111-9 9425 9440
6 35-5 959 1003 22 111-13 8207 7936
7 35-7 1180 1157 23 111-17 7403 7309
Energy consumption and cycle time is compared for boh 8 35-12 755 24 111-22 7400
743 6974
the layouts when the allocation is done based on the time 9 53-5 2707 2713 25 148-10 10166 11127
based model. The cycle time is compared for both the 10 53-7 2197 2111 26 148-14 12045 11552
11 53-10 2513 2640 27 148-21 11467 11103
layouts and presented in Table IV. The cycle time is obtained 12 53-14 2237 2139 28 148-29 9290 8576
using the time based model for U-shaped robotic assembly 13 70-7 4218 4410 29 297-19 26849 25821
14 70-10 3228 2715 30 297-29 26161 25787
line is better than straight robotic assembly line for most of 15 70-14 4092 4149 31 297-38 25450 25061
the datasets from the benchmark data. 16 70-19 3732 3754 32 297-50 24870 24116
Average Energy Savings Average Energy Savings
19 kJ 245 kJ
for U-shaped for U-shaped
Table IV Comparison of cycle time for time based model
Cycle Time Cycle Time
Problem Problem Straight
A. Parameters for PSO
U- Problem Problem Straight U-
No: Dataset RAL shaped No: Dataset RAL shaped Pilot studies have been conducted on three different
[12] RAL [12] RAL datasets of different sizes to arrive at the best value of
1 25-3 503 500 17 89-8 464 481 population size in the proposed PSO. From the studies,
2 25-4 293 293 18 89-12 317 315
3 25-6 221 188 19 89-16 219 218 swarm size of 25 is found to be yielding good quality solution
4 25-9 110 109 20 89-21 176 169 for the objective of minimizing the energy consumption. The
5 35-4 341 355 21 111-9 526 522
6 35-5 357 333 22 111-13 317 316 acceleration coefficients are also selected by trying different
7 35-7 226 221 23 111-17 250 256 combinations for c1, c2 and c3. Best combination of
8 35-12 105 103 24 111-22 185 181 acceleration coefficients are 1, 2 and 2. Studies are conducted
9 53-5 454 443 25 148-10 556 619
10 53-7 293 286 26 148-14 420 417 to find the suitable stopping condition and best solution is
11 53-10 224 220 27 148-21 272 270 found when stopping condition is set to 40. Quality of
12 53-14 146 144 28 148-29 190 187
13 70-7 446 442 29 297-19 594 591 solution is given importance when compared with the
14 70-10 259 264 30 297-29 428 390 computational time to choose the parameters.
15 70-14 194 194 31 297-38 295 293
16 70-19 139 139 32 297-50 256 222
Among the small datasets, 12 out of the 16 datasets B. Computational Time
produces better cycle time for U-shaped robotic assembly The average computational time for the energy and time
line when compared with the straight robotic assembly line. based model for the 32 problems of U-shaped robotic
The results obtained by time based model for straight robotic assembly line (RAL) evaluated are presented in Table VI.
assembly line is avaialble in Mukund et al. [12]. Computational time of the U-shaped RAL is compared with
The energy consumption for the U-shaped robotic the computational time of straight RAL. Results shows that
assembly line when the cycle time is minimized is also time taken for computing the energy based model is very less
evalauted for the benchmark data and compared with the for straight robotic assembly line when compared to U-
energy consumption obtained for staight robotic assembly shaped RAL. Similarly when comparing the computational
time for time based model, straight robotic assembly line only
123
reports the solution at a faster time when compared to U- could be designed for two-sided and parallel assembly line.
shaped robotic assembly line. The models could be proposed for robotic assembly line
Table VI Computational time for energy and time based with mixed and multi products.
model
Computational Time
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assembly lines. A particle swarm optimization algorithm is [12] Mukund J. N., Huang, G. Q., & Ponnambalam, S. G. 2015. An
proposed to solve the proposed models. Thirty two datasets investigation on minimizing cycle time and total energy consumption
in robotic assembly line systems. Journal of Cleaner Production.91,
available in the literature are used for evaluating the proposed Pages:311-325
model. Computational experiments are conducted on the [13] Kennedy, J. & Eberhart, R. 1995. Particle swarm optimization. In:
Proceedings of International Conference on Neural Networks, IEEE,
benchmark results to evaluate the energy consumption of U- 1942-1948 vol.4.
shaped robotic assembly line. A comparative study is [14] Mukund J.N, and Ponnambalam, S. G. 2012. An efficient PSO for
type II robotic assembly line balancing problem." In Proceedings of
conducted for the results obtained for two layouts (straight IEEE International Conference on Automation Science and
and U-shaped) and it is concluded from the experimental Engineering (CASE), pp. 600-605.
results that U-shaped robotic assembly line performs better in [15] Mukund J.N, & Ponnambalam, S. G. 2015. Robotic U-shaped
assembly line balancing using particle swarm
terms of minimizing energy consumption when compared optimization. Engineering Optimization, DOI:
with straight robotic assembly line for most of the datasets. 10.1080/0305215X.2014.998664
The cycle time obtained by minimizing the energy
consumption is also compared and it is concluded that U-
shaped robotic assembly line performs better than straight
robotic assembly line for most of the datasets evaluated. The
cycle time and energy consumption obtained using time
based model where the objective of minimizng the cycle tim
is considered is also compared and results are presented.
Parameters used for PSO is also reported. Parameters are
chosen by experimental studies and parameters which reports
the best solution is used to evaluate all the benchmark
problems. In future work, robotic assembly line balancing
124
Charged system search algorithm for robotic drill path optimization

G. Kanagaraj1, S.G. Ponnambalam2 and C K Loo3
the academicians, researchers and engineers to solve for. This

Abstract This paper presents a Charged System Search

(CSS) algorithm to solve for robotic drill path optimization concern for calculation of the minimum tool path length
involved in printed circuit board (PCB) manufacturing between holes, the drilling device has to be steered to the
industries. Most of the operational time of a PCB Robotic Drill is location of each hole exactly once, is similar to a very well-
spent on moving the drill bit between the holes. An optimized known problem from the operational research field called the
path translates to a minimal cost of operating the robot. The drill (symmetric, single objective, Euclidean) traveling salesman
path consists of a number of potential locations where the holes problem (TSP). As the number of holes required increases so
are going to be drilled. As the number of holes required increases thus does the complexity to find the optimized path. The
so thus does the complexity to find the optimized path. Recently problem of finding the best way the points to be drilled are
developed CSS algorithm proposed to solve this complex traversed can be modeled as TSP in order to cut down the
problem with minimal computational time. The performance of production cost. In this case, the holes to be drilled are the
CSS algorithm is tested and verified with four case studies from cities, and the cost of travel is the time it takes to move the drill
the literature. The computational experience conducted in this
head from one hole to the next. The routing of production
research indicates that the proposed algorithm is capable to
efficiently find the optimal path for PCB holes drilling process
through a manufacturing facility has often been identified as a
with reasonable computational time. TSP [4].
The drill path optimization problem has been extensively
investigated by many researchers. Kolahan and Liang [5]
I. INTRODUCTION employed a tabu-search approach to minimize the total
processing cost for hole-making operations and they extended
In the manufacturing industry, a hole-drilling operation is their research to a more complex case [6]. Consequently, most
almost always unavoidable. Especially in electronic of the researchers have demonstrated the applicability of TSP
manufacturing, drilling holes on the printed circuit board techniques to the drilling path optimization problem over the
(PCB) is one of the most crucial processes. With the escalating past few years. The drilling path optimization has been solved
growth in demand for computers and electronic gadgets, PCB using genetic algorithm [7], [8], ant colony algorithm [2],
assembly has undoubtedly become a competitive market. The particle swarm optimization [3], global convergence particle
increasing variety of products in need of PCB has made it swarm optimization [9] followed by Adam et al. [10] proposed
inevitable for the circuit board manufacturing industry to the use of linear decrease inertia weight with PSO in tackling
automate the hole-drilling operations. Many industries have path optimization problem. Tamjidy et al. [11] have considered
adopted the computer numerical control (CNC) system in the application of biogeography based optimization algorithm
automating the hole-drilling operations because of their control to solve the hole-making problem with the sequencing of
flexibility. In all machining processes, time is spent on both to various tool-hole combinations.
position the cutting tool and to carry out the machining Recently Gonga and Zhangb [12] used the genetic
operation and the hole-drilling operation is of no exception. algorithm for minimizing non-productive tool path
In producing PCBs, processing time can be roughly optimization for 3D printing with zigzag paths. The Hopfield
divided into two categories. The first is drill processing time, algorithm was used for drilling path optimization by Zhou and
i.e., the time taken for the drilling of the holes. The second is Shao [13]. The evolutionary ant colony system algorithm and
drill movement time, i.e., the processing time for the drill to artificial immune algorithm were used for the single objective
move between holes. Usually 70% of the overall time in and multi-objective drilling path optimization problems [14].
machining processes is spent on movements of tools and part Lim et al. [15] proposed cuckoo search and hybrid cuckoo
[1]. Therefore, optimization of hole making operations can lead search algorithm [16] for drill path optimization problem and
to significant reduction in machining time which directly demonstrate that hybrid cuckoo search algorithm can
improves the productivity of manufacturing systems [2]. This efficiently improve the solution quality and search efficiency.
drill movement time can be kept at a minimal level by Numerous researches have been oriented towards the
optimizing the route taken by the robot. An optimized route development of algorithms for calculating the minimum drill
translates to a minimal cost of operating the robot. Therefore, path between holes [17]-[19].Specifically in CNC machine,
any strategy that can be adopted to minimize the production one of the earliest routing problems in holes drilling is a paper
time will have much impact on achieving the firms objectives written by Sigl and Mayer [20]. They implemented 2-Opt
[3]. Heuristic Evolutionary algorithm in solving drill routing for
Computer Numerical Control (CNC) machine. Quedriet et al.
Tool path optimization in todays manufacturing systems [21] employed Genetic Algorithm (GA) in searching the
is one of the crucial issues which attract a great interest among optimized route for holes cutting process in CNC machine tool.
1 3
Department of Mechanical Engineering, Thiagarajar College of Professor of Computer Science, University of Malaya, Kuala Lumpur,
Engineering, Madurai, India. gkmech@tce.edu Malaysia. ckloo.um@gmail.com
2
Advanced Engineering Platform and School of Engineering, Monash
University Malaysia, 46150 Bandar Sunway, Malaysia,
sgponnambalam@monash.edu
978-1-4673-7995-3/15/$31.00 2015
c IEEE 125
Recently, nature inspired metaheuristic algorithms perform The formula to calculate the travelling time for the drill to move
powerfully and efficiently in solving modern nonlinear from hole i to hole j is as follows
numerical global optimization problems. These kinds of
metaheuristic algorithms carry out on a population of solutions (1)

and always find best solutions. Ant colony system (ACO) [22-
23], Firefly algorithm (FA) [24], and hybrid cuckoo search and
(2)
genetic algorithm (CSGA) [27] are also applied to find the
optimal route. where Vx and Vy are the linear velocities in the x and y
The main contribution of this study is to solve the hole- directions respectively. For simplification both Vx and Vy are
making problem by applying an efficient metaheuristic taken to be the same here Vx = Vy = V = 1m/s. For the first case,
algorithm to find the optimum/near optimum solution within only one gear is allowed to turn at a time. In actuality, the time
the short amount of time. In this paper, Charged System Search taken for the drill to travel from one hole to another hole is the
(CSS) algorithm, developed by Kaveh and Talatahari [25] one same regardless of which gear is to move first. But for
of the latest population-based metaheuristic optimization simplicity, the x gear is always chosen to move first. When the
techniques inspired by the governing laws of electrostatics in movement in the x direction is completed, the worktable will
physics and the governing laws of motion from the Newtonian continue to move in the y direction as shown in Figure 1 (case
mechanics is proposed to solve the drilling path optimization 1). For the second case, the both the gears are allowed to turn
problem. The rest of the paper is organized as follows: at the same time.
mathematical formulation of the route optimization in PCB
holes drilling problem is presented in Section 2. The
implementation of proposed CSS algorithm is illustrated in
Section 3. Section 4 outlines the discussion and conclusion. A
comprehensive list of references ends the paper.
II. ROBOTIC DRILL PATH OPTIMIZATION PROBLEM

When drilling a group of holes in a PCB using a CNC
milling machine or robot, the work table can move in two
directions x and y so that each hole is to be drilled in its
designed position. Measuring the distance between two Fig.1 Worktable movements
sequential holes is based on how the worktable moves. The Hence, the time taken for the travel is dependent on the
optimum drilling sequence can minimize the total table gear that requires more time to turn. If the rotational speeds of
movements, thus shorten the no-cutting time and lengthen the gears are the same, then the path of the drill will be as
working life of the tables driving system. The x and y motions, shown in Figure 1 (case 2). Unlike the classical TSP, drilling
which are realized using stepper motors, are sequential and path optimization problem does not need the cutting tool to
based on the coordinated to be drilled [3]. However, Wei et al. return to its starting position. This is because drilling five holes
[7] formulated the problem differently. The two perpendicular in the sequence [1 2 3 4 5] on a work piece has the same
gears are allowed to move together at a certain rotational speed. distance travelled and time taken as drilling five holes in the
Hence, the time taken for the cutting tool to move from one opposite sequence [5 4 3 2 1]. After the best route for the
hole to another hole is the longest of x and y. By considering cutting tool is found, say [3 4 5 1 2], the cutting tool has to just
the above said machine characteristics, the problem to be drill all five holes and stop at the last hole and reverse the
solved here is to find a sequence in which the holes are to be sequence of drilling for the next work piece, [2 1 5 4 3]. With
drilled such that the tool travelling time is minimized. The this in mind, the objective function of PCB drilling process can
travelling time is the time required for the machine to move be expressed as
from position i to position j and it depends strongly on the
machine characteristics. In practice, usually, this travelling
(3)
time cannot be computed exactly. Travelling consists of three
phases: accelerating the machine, running at full speed,
(4)
slowing down to a complete stop. For small distances, full Where N is the number of holes to be drilled and tij is the
speed may not be reached and we may have anomalies in the distance travelled by the drill to move from hole i to hole j . Let
sense that a farther position can be reached faster than a nearer xij is the decision variable related to the movement of the table
position. Even if a timing function is available it may be not from hole i to hole j. If there is a movement of the worktable
accurate or so complicated that its evaluation takes too long for from hole i to hole j, xij = 1, otherwise, xij = 0. The constraint
large problem instances (where we cannot store a distance equation (4) ensures that every specified hole is drilled only
matrix).Minimizing the distance travel by the drill is one way once. For solving this kind of problems, one of the simple
to achieve this, as the time spent per PCB is proportional to the approach is to list all the possible paths, then compare all the
drill travel distance. Therefore, one has to be satisfied with path lengths to find out which one is the shortest.
making reasonable approximations on the true movement time. Unfortunately, there are too many paths. The number of
In this paper, the gears are taken to rotate at the constant speed possible paths increases if the number of holes in the PCB
at all times. The worktable movements can be measured by the increases. For example, 10 holes to be drilled in a PCB. The
rectilinear and Chebyshev distance function. In this paper, both number of possible paths are 10!/2 = 3 628 800 and for 20 holes
distance functions, rectilinear and Chebyshev are considered. 20!/2 = 2 432 902 008 176 640 000 and so on. Since the number
126
of possible solutions is increasing exponentially with the TABLE I. INITIALIZATION
number of holes to be drilled, it is time-consuming to
i CPs Position (Xi) Velocity Fitness (mm)
exhaustively evaluate each and every possible solution to (Vi) Case I Case II
obtain the best solution for any problems of appreciable size. 1 4-5-3-1-2 0.8131, 0.0855 0,0 12 8
So the only feasible option left is to use Heuristic approaches. 2 5-2-1-4-3 0.3494, 0.3211 0,0 12 10
In this paper, we present a relatively new heuristic approach 3 2-4-5-1-3 0.3504, 0.3025 0,0 11 10
called charged system search is proposed to find the optimal 4 5-1-3-2-4 0.1871, 0.4704 0,0 11 10
solutions. 5 5-2-3-1-4 0.6962, 0.5555 0,0 15 11
6 1-2-3-5-4 0.8131, 0.0855 0,0 15 10
7 1-2-4-5-3 0.3494, 0.3211 0,0 14 10
III. CHARGED SYSTEM SEARCH ALGORITHM 8 2-1-3-4-5 0.3504, 0.3025 0,0 13 10
9 5-3-2-4-1 0.1871, 0.4704 0,0 14 10
Charged system search (CSS) is a new nature-based algorithm 10 4-2-1-3-5 0.6962, 0.5555 0,0 15 12
developed by Kaveh and Talatahari [26]. CSS also a
population-based algorithm contains the number of search
agents which are called charged particles (CP). This algorithm
takes its inspiration from the physic laws governing a group of
charged particles, CPs. These charge particles are sources of
the electric fields, and each CP can exert an electric force on
other CPs. This force is attractive and its magnitude for the CP
located inside the sphere is proportional to the separation
distance between the CPs and for the CP located outside the
sphere is inversely proportional to the square of the separation
distance between the charged particles. The superposed forces
and the laws for the motion determine the new location of the
CPs. In this stage, each CP moves in the direction of the
resultant forces and its previous velocity. From the Fig. 2 Description of holes to be drilled
optimization point of view, this process provides a good C . Fitness Evaluation
balancing between the exploration and the exploitation
paradigms of the algorithm which can considerably improve The fitness of all CPs is calculated using Equation (3). The
distance between two holes is computed to generate the
the efficiency of the algorithm. The description of CSS for
evaluation matrix. The generated evaluation matrix is shown in
drill path optimization is as follows.
Figure 3 for both the cases.
A. Initialization
The initial population consists of 2N number of Charged
Particles CPi (i=1,2....,2N where N is the number of holes to be
drilled) generated randomly. Each CP in the population

represents a possible solution (drill path) which is nothing but
the sequence of the holes to be drilled. The position Xi(xi; yi)
and velocity Vi(vxi, vyi) of all CP are specified initially with in Case 1. Rectilinear distance Case 2. Chebyshev distance
the search space. For example, the initial position of CPi is Fig. 3 Evaluation matrix
determined using Equation (5) and (6). The initial velocity of
CPi is set to be [0,0] initially. D . Search Process
(5) After evaluation of fitness fi for each CPi in the population,
the CPs are arranged in ascending order. Best fitness fbest and
(6) worst fitness fworst from the population is identified. Each CPi
has a charge density qi which creates an electrical field around
where (xmin, xmax) and (ymin,ymax) are the minimum and
CPi. qi is defined considering the relative fitness of the CPi
maximum range of values for the CPs in the range [0,1].Initial
using equation (7).
population of ten numbers of randomly generated CPs, the
corresponding initial position, initial velocity and the fitness

(7)
values are given in Table 1.
B. Solution representation Separation distance rij between the charged particles are
Figure 2 shows a sample workpiece in which 5 holes evaluated using equation (8). Xi and Xj is the position of CPi
(H1;H2;H3;H4;H5)to be drilled in the given locations. The and CPj respectively. Xbest is the position of the best CP in the
location of each hole is represented in (x; y) coordinates from population.
the origin. CP position is represented as a possible path that can
be taken by the drill bit. For example, CP3[2; 4; 5; 1; 3] means (8)

that drill bit starts travel from origin to hole 2, followed by
holes 4,5,1 and stop at hole 3.
Good CPs attracts other CPs while bad CPs repels other CPs
proportional to the CPs rank based on equation (9).
127

(9) taking CP1 is better than CP2 in fitness value, CP2 samples a
swath from CP1. Basically, a swath of consecutive sequence
from CP1 is selected for a swath size s. The starting point for
Good CPs attracts other CPs while bad CPs repels other CPs swath in CP1 is decided randomly. The holes in swath selected
proportional to the CPs rank based on equation (9). Movement from CP1 are removed from CP2. Then the holes remaining in
probability pij determines the probability of each CPs CP2 are rearranged as observed in STEP 3 of Figure 6. Finally,
movement towards the others. Movement probability of bad the swath is inserted into CP2 completing the CP length. This
CPs towards good CPs is defined by equation (10). Only some generates a new sequence with a swath copied from the better
good CPs moves toward bad CPs based on the probability CP.
defined in equation (11).
F. Exploitation through mutation
(10) In the case where a good CP attracts a bad CP,

exploitation is carried out on the good CP using a simple

mutation. The first hole in the CP is selected for the mutation
(11) (refer to STEP 1 in Figure 6). The selected hole is removed
from the sequence and the remaining of the sequence is shifted
to the left by one position. Finally, the removed hole is placed

back into the CP at the last position. The resultant force Fj

acting on CPj by other CPs are evaluated using equation (12).

Each CP has a charged sphere with radius a with a uniform
volume charge density which is set to unity in this paper. Since

(a) Attraction and repulsion (b) Probability of movement Fj a, CP with better q creates a stronger attracting force,
which creates the tendency to move towards a good CP

becomes higher than a bad CP.

)

(c) Resultant matrix of and

Fig. 4 Matrix representing attraction and repulsion for each CPs (12)

For the drilling path optimization problem, the relationship The new position Xj,new and velocity Vj,new of all CP is
between cij and pij is used to determine the exploration and evaluated again using equation (13) and (14).
exploitation property. When a good CP attracts a bad CP,
exploitation is done in the good CP. When a bad CP attracts a

(13)
good CP, exploration is done by copying a range of sequence

from the good CP to the bad CP. Figure 4 shows the data for (14)

CPs attraction and repulsion forces and the resultant matrix
(Fig.4(c)) which is used to determine the attraction and Where ka and kv are the acceleration and velocity coefficients
repulsion effect of the CPs. which control the influence of the previous velocity. randj1
and randj2 are the random numbers uniformly distributed in
CP1 4 5 3 1 2 CP2 5 2 1 4 3 the range of [0,1]. t is the time step which is set to unity. The
searching ability of the algorithm is controlled by the
parameters ka and kv. The parameter ka controls the
exploitation process while kv controls the exploration process
during the iteration process and is defined as follows:

and (15)

where iter is the iteration number and itermax is the maximum

number of iterations. After evaluating the new position, some
of the poor CPs might move out of the boundaries set. In that
case, the CPs that violated the boundary limit is deleted and
Fig. 5 Crossover Fig. 6 Mutation
new CPs is introduced randomly with new position and
velocity within the boundary.
E. Exploration through crossover
When a bad CP attracts a good CP, exploration is carried
G. Termination
out by performing a simple crossover (linear order crossover)
Before termination, the fitness evaluation is carried out again
between the CPs. Considering the example from Figure 5,
for each CP. The best CP is sorted then stored for reference.
128
The simulation is terminated upon reaching the maximum TABLE III. RESULTS COMPARISION FOR WORK PIECE I
number of iteration itermax. The position occupied by CPs in Category Basic PSO GC PSO CSGA Proposed
different iteration steps are shown in Figure 7. [10] [9] [27] CSS
Population number 100 100 100 18
The least iteration while global 9 5 1 14
convergence
The average iteration while 20 646 7 35
global convergence
The least number of solutions 900 500 - 100
searched
The average number of solutions 2000 64600 - 1800
searched
The least search ratio 4.96E-1% 2.76E-1% - 5.51E-2%
The average search ratio 1.10% 35.6% - 9.92E-1%
TABLE IV. RESULTS COMPARISION FOR WORK PIECE II

Category Basic GC PSO ACS FA CSGA Proposed
PSO[10] [9] [23] [24] [27] CSS
Population number 100 100 25 50 100 28
The least iteration while 93 10 193 22 19 23
global convergence
Fig. 7 Position of CPs at different iterations. The average iteration while 847 1620 1037 1652.4 40 429
global convergence
The least number of 9300 1000 4825 10000 - 1150
IV. RESULTS AND DISCUSSION solutions searched
The average number of 84700 162000 25925 - - 22900
solutions searched
The proposed CSS is implemented in MATLAB R2011b on The least search ratio 2.13E-5% 2.29E-6% 1.11 E-5% - - 5.51E-6%
Intel Core2 CPU 6600@2.40GHz with 2.00GB RAM and a The average search ratio 1.94 E-4% 3.72 E-4% 5.95 E-5% - - 9.84E-5%
32-bit processor. The performance of the CSS algorithm is

tested with four case studies from the literature. The algorithm
was run for 100 times and the optimal solutions found by CSS
are presented in Table 2. The results are compared with other
algorithms from literature, namely Basic Particle swarm
optimization (Basic PSO)[10], Global convergence Particle
swarm optimization (GC PSO)[9], Ant colony system
(ACS)[23], Firefly algorithm (FA)[24] and hybrid Cuckoo
search Genetic Algorithm (CSGA)[27]. The comparison
results are presented in Table 3 and 4. For the CSS algorithm,
population number of 50 searches 100 solutions in one
iteration. Hence, for a more meaningful comparison, the (a) Work piece with 9 holes (b) Work piece with 14 holes
search ratio is used rather than the number of iterations. The
search ratio equation is described as:

(16)

TABLE II. RESULTS FOR THE TEST PROBLEMS

Work piece No. of holes FITNESS (mm)
Case I Case II
1 9 322.5 235.3
2 14 280.0 242.5
3 20 75.4 63.9
4 49 1563.9 1203.7
According to equation (16) the least search ratio is simply the (c) Work piece with 20 holes (b) Work piece with 49 holes
ratio between the least iteration number while global Fig. 8 Convergence plots.
convergence and the solution space, while the average search
ratio is the ratio between the average iteration number while
global convergence and the solution space.
The comparison results clearly show that the average search
ratio for CSS is competitive with the existing algorithm. The
convergence plots of fitness and the average fitness of all CPs
obtained from CSS algorithm for the four work pieces are
shown in Figure 8. We also tested CSS algorithm for large size
problems adopted by Lim et al.[16]. CSS algorithm managed
to get the optimal path for less number of iterations. The
optimal path obtained by CSS algorithm after 1000
generations for 75 holes and 100 holes problem is shown in Fig. 9 Optimal path obtained by CSS for 75 and 100holes problem
Figure 9.
129
V. CONCLUSION [10] A. Adam, A.F.Z. Abidin, Z. Ibrahim, A.R. Husain, Z.M. Yusof, and I.
Ibrahim, (2010, May) A Particle Swarm Optimization Approach to
In this paper, CSS algorithm is proposed and implemented for Robotic Drill Route Optimization. In Mathematical/Analytical
four case study problems taken from literature to find the Modelling and Computer Simulation (AMS), 2010 Fourth Asia
optimal drill path. The simulation result presented in this paper International Conference on (pp. 60-64). IEEE.
for each work piece demonstrates that CSS approach is [11] Tamjidy, M., Paslar, S., Baharudin, B. H. T., Hong, T. S., & Ariffin, M.
K. A. (2014). Biogeography based optimization (BBO) algorithm to
efficient methods to explore the search space and discover the minimise non-productive time during hole-making
global solution. The obtained results have been compared with process. International Journal of Production Research, (ahead-of-
other methods available in the literature. The data for the four print).
work-pieces can be found from [9] for work piece 1 and 2, [10] [12] Gonga, J., & Zhangb, (2015) Genetic Algorithm with Unit Processor
for work piece 3 and [7] for work piece 4 respectively. Most Applied in Fused Deposition Manufacturing (FDM) for Minimizing
Non-Productive Tool-Path. Industrial Engineering, Machine Design and
of the researchers uses work piece 2 for verification of their Automation (IEMDA 2014) & Computer Science and Application
algorithms. For work piece 1 the comparative algorithm (CCSA 2014): pp. 191-197.
available are Basic PSO [10] and GC PSO [9]. For work piece [13] K. Zhou, and H. Shao, (2003) Programming of holes machining route
2, the available comparative algorithms are Basic PSO [10], base on Hopfield algorithm. Die and Mould Technology, 21(1), 48-50.
GC PSO [9], ACS [23] and FA [24]. Since no sufficient [14] Xiao, R., & Tao, Z. (2005). Solution to holes machining path planning
verification results information available for work piece 3 and by evolutionary methods. Computer integrated manufacturing systems-
4 the comparison results is not included. From the verification BEIJING-, 11(5), 682.
results are shown in Table 3 and 4 indicate that the CSS [15] Lim, W. C. E., Kanagaraj, G., & Ponnambalam, S. G. (2014). PCB drill
path optimization by combinatorial cuckoo search algorithm. The
algorithm has the characteristics of easy realization, fast Scientific World Journal, http://dx.doi.org/10.1155/2014/264518
convergence speed, low search ratio, and better global
[16] Lim, W. C. E., Kanagaraj, G., & Ponnambalam, S. G. (2014). A hybrid
converging capability. Compared to other meta heuristics cuckoo search-genetic algorithm for hole-making sequence
PSO, ACS, and FA, the CSS has less computational cost and optimization. Journal of Intelligent Manufacturing, 1-13.
reach the optimum with less number of iterations. Moreover, [17] Liu, J. Y., Linn, R., & Kowe, P. S. H. (1999). A study on heuristic
the performance of CSS algorithm can be improved by methods for PCB drilling route optimization. Int. Journal of Industrial
adopting some local search methods to handle larger size Engineering-Theory applications and practice, 6(4), 289-296.
problems, which is a challenging task for any algorithm. [18] Aoyama, E., Hirogaki, T., Katayama, T., & Hashimoto, N. (2004).
Optimizing drilling conditions in printed circuit board by considering
hole quality: Optimization from viewpoint of drill-movement
ACKNOWLEDGMENT time. Journal of materials processing technology, 155, 1544-1550.
[19] P.C.Chang,J.C. Hsieh, and C.Y. Wang, (2007) Adaptive multiobjective
This research is supported by University Grant Commission, genetic algorithms for scheduling of drilling operation in printed circuit
New Delhi under research Grant No. F-30-1/2014/RA-2014- board industry. Applied soft computing, 7(3), 800-806
16-OB-TAM-5658 (SA-II). [20] S. Sigl, and H.A. Mayer, (2005, November) Hybrid evolutionary
approaches to CNC drill route optimization. International Conference
on Intelligent Agents, Web Technologies and Internet Commerce,
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130
Implementation of remotely controllable Mobile

Robot System over Mobile Ad-hoc Network
Mohammad Shahidul Hasan Hongnian Yu
Faculty of Computing, Engineering and Sciences Faculty of Science and Technology
Staffordshire University, UK Bournemouth University, UK
m.s.hasan@staffs.ac.uk yuh@bournemouth.ac.uk
Abstract: Remotely controllable wireless mobile robots are support higher degree of mobility. With the development of
being used in many applications now days. Such systems can be high speed-reliable portable computing devices and wireless
restricted by the range of wireless signal. Mobile Ad-hoc networks, control applications can be now implemented the
Networks offer a number of advantages e.g. multi hop using the existing low-cost e.g. IEEE 802.11, low-power e.g.
communication i.e. longer range; can be deployed without any
Bluetooth etc. technologies. The IEEE 802.11 standard also
infrastructure etc. This paper presents the implementation
details of a wireless mobile robot system over Mobile Ad-hoc supports multi-hop ad-hoc configuration known as Mobile Ad-
Network. It consists of a target mobile robot and a relay / hoc Networks (MANET) which is shown in Figure 1. Each
observer robot. The target robot is equipped with a robotic arm node in an ad-hoc network is equipped with a transceiver, an
to execute various tasks. The relay / observer robot can route antenna and a power source [4]. MANETs are self-organising
network packets between the controller and the target robot. It and can be easily deployed without any infrastructure [5].
also produces visual feedback of the target robot to the user at Nodes perform routing operations and are capable of
the controlling end. maintaining the dynamic topology of the network. Routes can
have multiple hops between the source and the destination
Keywords: Wireless Mobile Robot, Mobile Ad-hoc Network, node; therefore, a MANET provides a suitable dynamic
tele-operation, Autonomous movement etc.
framework for distributed applications. Furthermore, it can re-
I. INTRODUCTION configure after a failure and offers a high degree of flexibility.
Ad-hoc networks have been widely used in sensor networks
Today, robots are being applied in many fields of service;
where devices are equipped with small, low cost and low
ranging from housekeeping to space exploration. They are
power transceivers and sensors [4], [6]. Such systems are
expected to work with humans by sharing various service
useful in both home and industrial environments and can be
tasks [1]. Such systems are also suitable for military use,
implemented using the existing devices e.g. desktop
rescue operations, and exploring hazardous environment [2]
computers, laptops, PDAs or other devices that support the
e.g. nuclear decommissioning, executing tele-surgery etc.
IEEE 802.11.
Normally mobile robots operate in tele-operated or
autonomous mode. In the tele-operated mode, a user can
observe the camera output, watch sensor data, and guide the
robot manually using a device e.g. joystick attached to the
controlling computer. In the autonomous mode, the robot does
not receive any command from the user and an intelligent
control algorithm can navigate it autonomously based on the
sensor data. The difficulties of autonomous navigation are
caused by the complexity and uncertainty of the environment
model as well as the inconsistency between an inaccurate
robot model and control in real-time [2]. In the presence of
many scattered obstacles or in critical applications where
Figure 1: A tele-operated mobile robot over a MANET.
intelligent decisions are required dynamically, the autonomous
mode cannot be relied on. Instead a tele-operated control Nowadays, tele-operated mobile robots can support
system where a human user directly controls the robot
cameras to provide visual feedback at the user end. However,
according to his decision is utilised [3].
cameras only mounted to the operating mobile robot itself
Heavy engineering mobile robots that are controlled using might provide limited or restricted views. To have a clear
wired communication restrict the coverage area and offer very understanding of the operating environment, it is necessary to
limited flexibility for many applications. Therefore, tele- have side, front views etc. of the operating mobile robot from
operated mobile robots must allow the control using wireless cameras attached to other mobile robots to execute critical
communication to provide the freedom from wires and to tasks precisely.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 131
The aim of this research is to design and implement a tele- requires high wireless communication bandwidth to support
operated mobile robot system over MANET based on the multiple audio and video streams along with the control
IEEE 802.11 standards for industrial applications with commands. Paper [11] develops two non-linear controllers for
distance and multiple video feedback support. The multiple- the DC motors of a robot where a DSP controls the servo
hop feature of MANET also extends the operating range of the motors and a PDA implements the algorithms with complex
system at the cost of longer network delay. The authors computations. A tele-operated system based on HTTP through
presented a demonstration in an exhibition hosted by a UK the Internet is developed in [12] for a robotic arm equipped
based nuclear decommissioning company, where other with camera. Multiple servers are used to authenticate users, to
universities and companies in robotics made presentations. translate user mouse clicks in 2-D workspace into robot
The demonstration system made by the Staffordshire commands and to execute robot actions. A TCP and web
University team involved a mobile robot and an observer robot browser based tele-operated mobile robot system has been
being controlled over a MANET. This paper presents the developed in [13] using Virtual Reality Modelling Language
design of the system. (VRML) which can transmit 3-D models of objects. The users
can use the tele-operation system from any Internet site
II. PREVIOUS RESEARCH without any specialised software and can support applications
Paper [2] presents a three-level architecture for a vehicle such as tele-maintenance of home, tele-gardening, tele-
based intelligent mobile robot that can demonstrate road signature etc. The mobile robot presented in [14] has laser
following, road obstacle avoidance etc. The architecture and scanner, sonar, a camera and considered two types of force
the typical functions are shown in Figure 2. The performance feedback: environmental and collisionpreventing. The on-
of a robots trajectory following tasks is investigated in [7] board controller performs close-range obstacle avoidance
where the wireless mobile robot and network are simulated by while the user uses the haptic feedback device to dictate the
Simulink and Opnet, respectively. The paper uses a 2-level desired navigation. The performance of the system is
controller to follow the desired trajectories. investigated in virtual environment as well as in the real
world.
III. PRELIMINARIES
This section presents the specifications of the components
that have been used in the implementation.
A. The DRK8080 robot
The DRK8080 which is shown in Figure 3 is an integrated
robotic system that supports wireless communication. Various
data e.g. image, audio, sensor information etc. are available to
the user through a set of ActiveX control components (SDK)
Figure 2: The architecture and functions of an intelligent mobile robot [2]. developed for Microsoft Visual C++ and Visual Basic
programming environment. A user can also send various
A restaurant service mobile robot equipped with camera, control commands to the robot. Multiple applications are
speaker, sensors and laser positioning system for fast and allowed to access the sensor data simultaneously. It supports
precise positioning and guidance is developed in [1] to transfer different types of sensors e.g. infrared, temperature,
dishes to the customers. In paper [3], a bidirectional tele- acceleration and tilting, five servo motors for head, neck and
operation system is presented where the slave robot receives mouth movement, LCD, camera, speaker and microphone
the user's command through the joystick and sends back the [15].
environment information to the user as a feedback force. A
full-duplex point-to-point communication between a PC and
the mobile robot using Bluetooth technology is used to
implement the real time operation in [8]. However, it has the
limitation of short range of Bluetooth which is approximately
10m. A Bluetooth piconet based mobile robot system is
proposed in [9] where the master or host mobile robot can
connect to four slave mobile robots in the ad-hoc mode. The
master mobile robot can also connect to an access point to Figure 3: The DRK8080-compact WiFi Mobile robot [15] and the Lynx 6
communicate with a wired network e.g. a LAN. One downside robotic arm [16].
of the system is that up to eight devices can be active in a
piconet and only one device could be the master. A mobile B. The Lynx robotic arm
robot with four LCD panels, eight cameras, four microphones, The Lynx robotic arm, shown in Figure 3, delivers fast,
forty ultrasonic sensors and two arms is developed in [10] accurate, and repeatable movements. The robot features; base
using off-the-shelf components for advanced video rotation, shoulder, elbow, wrist motion, wrist rotate, and a
conferencing to reduce business travel. However, the system functional gripper. Therefore, it supports five Degrees Of
132
Freedom (DOF) with wrist rotate. The entire robot arm uses of doing [10]. The ultrasonic transducers provide distance
seven servo motors; one for the base, two for the shoulder, one feedback for collision avoidance as only camera based tele-
for the elbow, one for the wrist and two for the gripper [16]. operated mobile robots can suffer from limitations such as
Servos 0 to 5 allow base rotation, shoulder up-down, elbow shadowed and curved areas are not viewable properly, bad
up-down, wrist up-down, gripper rotation and gripper open- weather effects, the camera view etc. [3].
close movements.
To add gripping capability to the mobile robot, the Lynx 6
C. The target mobile robot robotic arm has been installed at the front side on the top deck.
Most mobile robots are designed as embedded systems A light weight portable computer based on Mini-ITX main-
without any operating system. To support flexible architecture board [21] and equipped with Belkin Wireless network card is
by allowing execution of complex and large algorithms, also attached to the top deck. The robotic arm is connected to
incorporation of image, video and voice handling capability, a the COM port of the portable computer to receive commands.
PC is necessary as the heart of the robot [9]. Therefore, a PC The mobile robot is interfaced to the on-board portable
based custom built mobile robot has been developed which is computer through USB connection with a serial port emulator.
used as the target robot and is shown in Figure 4. The mobile It is detected by the computer as COM port when connected.
robot has four wheels and three decks. The bottom deck The battery is capable of powering the mobile robot, the
contains a 12V lead acid battery, two DC motors to drive each robotic arm and the portable computer.
wheel via a gearbox, fuses from the battery to the embedded The commands that the mobile robot takes from the
controller, and 500ppr encoders attached directly to each computer are shown in Table I. Each command string has the
wheel shaft. Differential steering is accomplished by driving format l|r.Speed where l or r denotes the left or right wheel
each wheel separately allowing turning on the spot, curves and motor and Speed is the rotation speed of the motor. Positive
forward/backward motion of the robot like [1], [3], [8] etc. and negative values for the speed will apply forward and
backward rotation, respectively. For example, two left and
right wheel forward commands, i.e. l20 and r20 will move the
robot forward at the speed of 20 pulses per interrupt.
Similarly, l-10 and r-10 will move the robot backward. As the
robot supports differential steering, the commands l30 and r-
30 will make the robot to turn right. To turn left, l-30 and r30
can be sent to the robot.
Table I: The commands for the custom built mobile robot.
Command Range Format Example

Rotate left Forward lspeed l20, l5 etc.
wheel (0 to 100)
Reverse
Figure 4: The custom built mobile robot with robotic arm and a portable (-100 to 0)
computer. Rotate right Forward rspeed r30, r5 etc.
wheel (0 to 100)
The middle deck contains an embedded microcontroller, Reverse
three ultrasonic transducers, led indicators, and a motor driver (-100 to 0)
for the DC motors. The microcontroller is a PIC18F4550 [17]
which is connected to the PC through the USB interface. The D. End-to-end connection
microcontroller runs a program with a PID algorithm that Computer network communication relies on the Internet
rotates the DC motors at a desired rate. This rate is the encoder protocol (IP) architecture which is based on a connectionless
pulses attached to the motors at a sample rate of 100ms. The end-to-end datagram service using IP packets. Above the IP
motor driver is capable of driving the motors using PWM up protocol, two transport layer protocols; Transmission Control
to 5A and is type MD22 available from Robot Electronics Protocol (TCP) and User Datagram Protocol (UDP) are
[18]. The data available to the PC is: the desired motor rate, available for different applications [22]. The protocol stack is
the actual motor rate, the distance reported by the sonic shown in Figure 5.
sensors, and the battery voltage. The PC can send the desired
motor rates to the microcontroller in the range of 0-100. The
mechanism of closed loop feedback control to continuously
adjust the motor torque is found in [11], [19], [20] etc. The
two front passive or caster wheels which can rotate freely to
follow the differential steering are used to balance the robot.
The differential steering with caster wheel configuration
allows the robot to turn in place which human being is capable
133
are configured to communicate in ad-hoc mode. The network
packets are transmitted from the controller laptop to the
handheld PC and routed to the target mobile robot.
Figure 5: The TCP/IP model [23].
The TCP is not appropriate for MANET as it uses

connection oriented packet transfer [24]. The TCP based Figure 7: The overall system design for the tele-operated mobile robot.
protocols e.g. HTTP offers no transmission time guarantees
The DRK8080 mobile robot is equipped with a camera and
and hence it is NOT suitable for time-critical interactions [12].
six ultrasonic sensors. The camera is used to provide visual
For real-time applications, UDP is shown more suitable than
feedback of the target robot at the controller end. The
the TCP in terms of delay and delay jitter [22] as shown in
DRK8080 can be moved to various positions to observe or
Figure 6. Furthermore, the retransmission mechanism of the
monitor the target robot from different angles. The sonar
TCP will simply produce unwanted network traffic as the
sensors can be used to sense the distances from surrounding
control application carries real time data. On the other hand,
objects to avoid collisions or to make the DRK8080
UDP offers low overheads as it does not maintain connections
autonomous. Hence, the DRK8080 provides two
and discards obsolete packets instead of retransmissions.
functionalities:
Therefore, it is preferable for networked control applications
[25]. x Routing packets between the controller and the target
robot to have extended range.
x Monitor the activity of the target robot from the
controller end using the camera.
A. Network communication mechanism
The controller-to-handheld computer and handheld
computer-to-target robot communications have been
implemented using C socket and the UDP as shown in Figure
7. Such socket communication between the remote and local
sites is also implemented in [13]. The handheld computer runs
an application to receive commands from the controller using
port 2000. As soon as it gets a command from the controller it
routes the command to the target robot mobile robot computer.
The portable computer runs another application that listens to
the port number 3000 to receive commands from the handheld
computer. To avoid blocking for receiving socket applications,
select function has been utilised to specify a timeout of five
seconds. The port numbers 2000 and 3000 for the
Figure 6: The comparison of delay and jitter between the TCP and UDP [22],
[26]. communications are chosen randomly.
B. Network Packet format
IV. IMPLEMENTATION DETAILS
A network packet format containing two fields, shown in
The overall design of the system is shown in Figure 7. The Figure 8, has been used to support both controller-to-handheld
laptop runs the control applications for both the target and the computer and handheld computer-to-target robot
DRK8080 mobile robot. As the DRK8080 does not have the communications. The format supports commands for the
ability of packet routing, a WiFi enabled handheld computer mobile robot as well as the robotic arm. The description of the
has been attached to it so that it can offer the capability of a packet format and the allowed values are given in Table II.
standard mobile network node. The wireless modules of the For example, to rotate the base of the robotic arm (servo 0) to
laptop, the handheld PC and the computer on the mobile robot right, the value of 0 (servo 0) and 1 (Up) are put into field 1
134
and field 2, respectively. Again, the values of 100 and 3 in the
fields of Robotic arm/Mobile Robot and Command,
respectively will make the mobile robot go backward.
Figure 8: The packet format for socket communication.
Table II: Socket communication packet format and allowed values. Figure 9: The user interface for the tele-operated mobile robot control.
Device Field 1: Field 2: V. ANALYSIS OF THE IMPLEMENTATION

Mobile robot or Command The DRK8080s multimedia controller has embedded and
robotic arm pre-programmed low level electronic drivers [15] which
Robotic arm Value: 0 to 5 1 = Up makes is very efficient in processing audio, video information.
(servo 0 to 5) 2 = Down Furthermore, this implementation uses UDP to keep the
Mobile robot Value: 100 1 = Forward overhead to a minimum and IEEE 802.11g standard which
2 = Right supports a data rate of up to 54 Mbps. The mobile robot
3 = Backward system produces satisfactory video quality in the lab
4 = Left environment. However, when this system is applied in a noisy
5 = Stop environment e.g. a nuclear power plant, it might suffer from
packet loss, longer delay etc. To overcome these problems, a
C. The user interface for the tele-operated mobile robot number of steps can be taken e.g. utilizing IEEE 802.11n or
control IEEE 802.11 ac standard to take advantage of the MIMO
The user interface to control both the target robot and the technology and much faster data transfer rate, producing
DRK8080 is shown in Figure 9. The DRK8080 movement and redundant network packets to increase fault tolerance level,
DRK8080 head movement are used to provide different compressing video stream to reduce the network traffic etc.
viewing positions and angles of the target robot.
VI. FUTURE WORK
x Target robot viewing window: the target robot can be
monitored using the camera mounted on the The following ideas can be proposed as direction of future
DRK8080 through the viewing window of the user work.
interface. The camera supports a resolution of 352 x Replacing the buttons of the user interface by a
288 [15]. joystick to improve the controllability.
x Target robot movement control: forward, backward, x Introducing the haptic feedback mechanism to
right, left and strop command buttons. improve users performance in terms of number of
x Target robot arm control: arm base left-right, collisions, navigation time etc. as discussed in [3],
shoulder up-down, elbow up-down, wrist up-down, [14].
gripper rotation and gripper open-close command x An easy way to support the video capability on the
buttons. target robot is by installing an instant messaging
x The DRK 8080 relay/observer robot sensor readings: application e.g. MSN messenger and a web camera
the readings of six distance sensors (front left, front, on the portable computer.
front right, back left, back, back right) on the x Allowing interactive movement. When the user clicks
DRK8080 are available on the user interface to avoid at a particular point on the camera window, the robot
collision. will move to the corresponding point. It can be
x The DRK 8080 relay/observer robot head movement implemented by treating the camera window as the
control: head up-down, left-right and default position rectangular user interface that is presented in [12].
command buttons. x Autonomous navigation of the mobile robot from
x The DRK 8080 relay/observer robot movement point A to point B using on-board ultrasonic sensors
control: Forward, backward, right, left and strop and closed loop control.
command buttons. x Autonomous tracking of the mobile robot by the
observer robot i.e. the DRK8080 using image
extraction and object recognition technique.
x As radio signals can be received by all nearby
receivers, unauthorised users can exploit the
resources of the tele-operated system. Strong
encryption and authentication mechanisms are
required for the security of the system.
135
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136
An Interpretation of Unbalance Vibration

Compensator for Five-axes Active Magnetic Bearing
Systems Based on Internal Model Principle
Taiki Nakamura*, Shinji Wakui, and Yukinori Nakamura
*
Graduate School of Engineering, Tokyo University of Agriculture and Technology
2-24-16 Naka-cho, Koganei, Toyko 184-8588, Japan

Institute of Engineering, Tokyo University of Agriculture and Technology
Email: {wakui, yukino-n}@cc.tuat.ac.jp
Abstract Five-axes active magnetic bearing (AMB) principle [9], repetitive control is also well known [10], [11].
systems are widely utilized for the field of precision such as Moreover, PIS control, which is the method for suppression
semiconductor exposure machines. This paper considers an of the periodic disturbance, has relation to the repetitive
interpretation of an unbalance vibration compensator PGC for control from the similarity of the pole assignment [12], [13].
five-axes AMB. As methods for the rejection of periodic
disturbance, repetitive control and PIS control, which are In this paper, we first explain that the PGC has relation
based on internal model principle, have been known. The PIS to the PIS control from the similarity of the pole assignment.
control can be considered as a special case of the repetitive Then, we indicate that the PGC is the modified version of
control. This paper investigates the relationship between the the repetitive control. Finally, from the perspective of the
PGC and the PIS control from the similarity of the pole internal model principle, we show that the PGC can be
assignment and shows that the PGC suppresses the unbalance considered as the method for suppression of the unbalance
vibration from the perspective of the internal model principle. vibration synchronized with rotational frequency.
Keywordsmagnetic bearing; unbalance vibration; PGC; The rest of this paper is organized as follows. Section II
internal model principle; repetitive control; PIS control introduces the structure of five-axes AMB and the PGC of
the unbalance vibration compensator. Section III explains
I. INTRODUCTION the relationship between the repetitive control and PIS
In the field of precision equipment such as control. Section IV shows the relationship between the PGC
semiconductor exposure machines, the Turbo Molecular and PIS control. Finally, conclusions are in give Section V.
Pump (TMP) is widely used so as to make highly vacuum in
the chamber [1]-[3]. The rotor in the TMP is supported by II. FIVE-AXES AMB AND UNBALANCE VIBRATION
the Active Magnetic Bearing (AMB) without mechanical CONTROL
contact. Magnetic bearing is the one which uses
electromagnets and displacement sensors. The advantages of A. Five-axes AMB
this bearing are: (1) oil-free, (2) no friction, and (3) long The photograph of the TMP to be considered in this
mechanical life. paper is shown in Fig. 1. In this apparatus, the rotor is
As one of the problems of the rotary machine, an supported by the AMB. Fig. 2 shows the structure of the
unbalance vibration synchronized with rotational frequency AMB. To control one radial direction, two AMBs and
has been reported [4]-[6]. This vibration is caused by the position sensors are utilized. In this figure, (xh, yh) denotes
unbalance of the mass of the rotor, the electromagnet force the position in the radial direction of the upper AMB, and (xb,
in the TMP, and the position of the AMB. Due to the yb) denotes the position in the radial direction of the lower
unbalance vibration, the rotor in the TMP cannot pass AMB. z denotes the position in the axial direction of the
through critical speeds, and the whirling of the rotor AMB, and denotes the rotation angle of the rotor. Fig. 3
increases. For this reason, in addition to the levitating shows the control system of the five-axes AMB. A Digital
controller with the feedback, an unbalance vibration Signal Processor (DSP) with the sampling frequency of 10
compensator is needed. As an unbalance vibration kHz is used as a controller. In the radial direction of the TMP,
compensator, Peak-of-Gain Control (PGC) with a tracking the vibrations are suppressed by the unbalance vibration
filter, which is synchronized with rotational frequency, is control and the mode control. The mode control suppresses
well known [6]-[8]. The PGC actively suppresses the the vibrations by separating the position signals to rotational
unbalance vibration by increasing the bearing stiffness. On and translational mode signals. In the axial direction of the
the other hand, as the representative method for removing TMP, the pseudo-integrator is used for approximating
the periodic disturbance based on the internal model steady-state error to zero. The PD compensator is utilized for
978-1-4673-7995-3/15/$31.00 2015
c IEEE 137
Rotational coordinate Fixed coordinate
transformation transformation
cos rt cos rt
xin(t) +
xr(t) 1 xLPF(t) +
xout(t)
-
+ Ws 1
sin rt sin rt
TMP LPF

sin rt sin rt

cos rt cos rt
- 1 +
Fig. 1 TMP.
yin(t) + yr(t) Ws 1 yLPF(t) + yout(t)
Rotor LPF
yh+ Upper radial AMBs Fig. 4 Block diagram of the tracking filter.
xh + xh -
TABLE I
Upper radial position sensors
PARAMETERS OF THE TRACKING FILTER.
yh- BLDC motor
Parameters Unit Description
Lower radial position sensors
y b+
xin(t), yin(t) V Input position signals
xb+ xb-
Lower radial AMBs Position signals after the rotational
xr(t), yr(t) V
coordinate transformation
yb-
z- Axial AMBs Output signals from the low-pass filter
xLPF(t), yLPF(t) V
y (LPF)
x
z+ xout(t), yout(t) V Output signals
Axial position sensor z r rad/s Angular velocity of rotation
Fig. 2 Structure of the five-axes AMB in the TMP. s Time constant of the LPF
20 20
0 0
Position signals
Gain [dB]
Gain [dB]
xh -40 -40
Unbalance Mode PI, PD, & Mode
GTF11
GTF12
vibration selection phase-lead distribution -80 -80
xb 180 180
compen. matrix compen. matrix
AMB driver circuit
Five-axes AMBs
Phase [deg]
Phase [deg]
90 90
yh 0 0
Unbalance Mode PI, PD, & Mode
-90 -90
yb vibration selection phase-lead distribution
-180 -180
compen. matrix compen. matrix 1 50 100 1 50 100
20 20
Mode controller
0 0
Pseudo-integral,
Gain [dB]
Gain [dB]
z
PD, & phase-lead -40 -40
compen.
GTF21
GTF22
-80 -80
DSP 180 180
Phase [deg]
Phase [deg]
90 90
0 0
Fig. 3 Control system of the five-axes AMB.
-90 -90
-180 -180
the suppression of vibrations. The phase-lead compensator is 1
Frequency [Hz]
50 100 1
Frequency [Hz]
50 100
used for the stabilization of the control system. Fig. 5 Bode plots of the tracking filter.
B. Tracking Filter where
The tracking filter is the narrow bandpass filter 1 1
s
synchronized with the rotational frequency. The block W W2
GTF 11 GTF 22 , (2)
diagram of this filter is shown in Fig. 4. The symbols are 2 1
s Zr
2
defined in Table I. The time functions are given by small s2
W W2
letters. Their Laplace transformations are denotes by capital
letters. Now, the transfer function matrix of the tracking 1
Zr
filter is written as GTF 21 GTF 12 W . (3)
2 1
s Zr
2
X out ( s) GTF 11 GTF 12 X in ( s) s2
, (1) W W 2
Y (s) G GTF 22 Yin ( s )
out TF 21 Fig. 5 shows simulation results on the Bode plots of the
tracking filter. In this figure, the rotational frequency fr
(=r/2) is set to 50 Hz (i.e., 3000 rpm). The cutoff
138
frequency of the LPF is chosen as fc (=1/2) = 0.1 Hz. xin(t) + xout(t)
From this figure, the tracking filter is the narrow bandpass Tracking filter +
filter synchronized with the rotational frequency. cos rt cos rt K
+ xr(t) 1 xLPF(t) +
C. PGC + Ws 1 -
sin rt LPF sin rt
The PGC actively suppresses the unbalance vibration by

increasing the bearing stiffness. The block diagram of the
PGC is shown in Fig. 6. In this figure, K denotes the gain of sin rt sin rt
the tracking filter. The transfer function matrix of the PGC
is given by cos rt cos rt
- 1 +

X out ( s) GPGC11 GPGC12 X in ( s ) + yr(t)Ws 1 yLPF(t) +
Y (s) G , (4) LPF
K
out PGC 21 GPGC 22 Yin ( s) +
where yin(t) + yout(t)

2 K 1 K Fig. 6 Block diagram of the PGC.
s Zr
2
s2
G PGC11 G PGC 22 W W2 , (5) 5 20
10
2 1 2.5 0
Gain [dB]
Gain [dB]
s Zr
2
s 2
0
W W2 -40
GPGC11
GPGC12
-2.5
K -5 -80
Zr 45 180
Phase [deg]
Phase [deg]
22.5 90
G PGC 21 G PGC12 . (6) 0 0
2 1
s Zr
2
s2 -22.5 -90
W W2 -45
45 50 55
-180
45 50 55
Fig. 7 shows simulation results on the Bode plots of the 20

10
0
5
2.5
Gain [dB]
Gain [dB]
PGC. In this figure, the rotational frequency fr (=r/2) is 0
-40
set to 50 Hz (i.e., 3000 rpm). The bandwidth and peak of the -2.5
GPGC21
GPGC22
inverse notch of the PGC are determined based on the cutoff -80
180
-5
45
frequency fc and the gain K. The cutoff frequency fc is set to

Phase [deg]
Phase [deg]
90 22.5
0.1 Hz, and the gain K is set to one [8]. From Fig. 7, the 0
-90
0
-22.5
magnitude of diagonal elements, GPGC11 and GPGC22, is -180
45 50 55
-45
45 50 55
larger than that of non-diagonal elements, GPGC12 and GPGC21. Frequency [Hz] Frequency [Hz]
For this reason, we focus on the effects of the diagonal Fig. 7 Bode plots of the PGC.
elements. Since, from GPGC11(j) and GPGC22(j), the peak
resonance occurs at rotational frequency, the PGC actively Position signal
suppresses the unbalance vibration by increasing the bearing 50
0.25 V
stiffness. 25
w/o PGC
xh [m]
D. Suppression Effect of PGC 0
Fig. 8 shows the experimental results of the whirling of -25
the rotor in the case of accelerated rotational speed from 0 to -50

0 20 40 60 80 100
5000 rpm. In this figure, the vertical axis is the position 100 1000 2000 3000
signal xh of the rotor, and the horizontal axes are time and 50
rotational speed. The downside of Fig. 8 is position signal xh 25
xh [m]
in the case with the PGC. In this experiment, the PGC are
w/ PGC
0
started at the rotational speed of 100 rpm so that the bearing -25
stiffness of the rotor does not become zero. From this figure,
-50
the PGC suppresses the whirling in all rotational speeds 0 20 40 60 80 100
100 1000 2000 3000
except for the neighborhood of 1800 rpm (i.e., the natural
Time [s], Rotational speed [rpm]
frequency first order rigid body mode). Especially, in low-
speed rotation, the whirling of the rotor is suppressed. This Fig. 8 Displacement signal vs. time and rotational speed.
result indicates that the whirling suppression effects are
obtained by increasing the bearing stiffness.
A. Repetitive Control
III. REPETITIVE CONTROL AND PIS CONTROL The block diagram of the repetitive control is shown in
In this section, we investigate the relationship between Fig. 9. In this figure, L [s] denotes the period of the
the repetitive control and PIS control, which can suppress disturbance. The transfer function of the repetitive controller,
the periodic disturbance, from the perspective of the internal GRC(s), is written as
model principle. 1
G RC ( s ) . (7)
1 e Ls
139
+ PI compensator
+ Tp s 1 +
eLs kp
Tp s +
Fig. 9 Block diagram of the repetitive controller.
s
From (7), the poles of the repetitive controller are given by
[12] s Z02
2
2 nS S compensator
s rj (n=1, 2, 3, ). (8)
L Fig. 10 Block diagram of the PIS controller.
Therefore, the repetitive controller has infinitely many poles
corresponding to the fundamental and harmonic angular 80
frequencies of disturbance. Since the closed-control system
Gain [dB]
with repetitive control contains the model of the periodic 40
disturbance. From the internal model principle, the

0
repetitive control is effective in terms of periodic
-20
disturbance suppression [10]. -40
Disturbance frequency
90
B. PIS Control
Phase [deg]
45
The block diagram of the PIS control is shown in Fig. 10 0

[12]. In this figure, kp denotes the gain, and Tp [s] denotes
-45
the time constant. 0 [rad/s] denotes the angular frequency
of the periodic signal generated by the S compensator. PI -90 -4
10
-3
10
-2
10
-1
10 10
0
control is utilized for stabilization of a control system. The Frequency [Hz]

transfer function of the PIS controller, GPIS(s), is written as Fig. 11 Bode plots of the PIS control.
Tp s 1 s
G PIS ( s) k p 2 2 . (9)
Tp s s Z0 Therefore, the PIS control can be considered as a special
Fig. 11 shows the simulation results on the Bode plots of the case of the repetitive control.
PIS controller. In this figure, the gain and time constant of
PI compensator are chosen as kp=0.05, Tp=8.93 s, and IV. PGC AND PIS CONTROL
0=2/74 rad/s respectively. From this figure, the gain In Section III, we explained that the PIS control can be
approaches infinity in the frequency of the disturbance. considered as a special case of the repetitive control. In this
From (9), the poles of the S compensator are given by section, we investigate the relationship between the PGC
s r jZ 0 . (10) and the PIS control.
Therefore, the S compensator corresponds to the model of A. Roles of LPF
the periodic disturbance whose angular frequency is 0. The First, we show the roles of the LPF in the tracking filter.
PIS control can suppress the periodic disturbance based on Fig. 12 shows simulation results on the Bode plots of the
the internal model principle. PGC. In this figure, the cutoff frequency is chosen as fc =
C. Relationship between the repetitive control and PIS 0.01, 0.1, and 1 Hz. From this figure, the bandwidth of the
peak increases with the time constant . The gain of the peak
control
at the rotational frequency is not changed. From (5), the
In Subsections III-A and III-B, we explained the poles of the PGC are given by
repetitive control and PIS control. In this subsection, we
investigate the relationship between the repetitive control 1
s r jZ r .
(13)
and the PIS control. By using the angular frequency 0, the W
period of the disturbance, L, is expressed as follows: From (10) and (13), the pole assignment of the PGC system
2S and S compensator is shown in Fig. 13. In this figure, the
L . (11)
Z0 angular frequency of the disturbance, 0, is equal to the
From (11), the poles of the repetitive control (8) are rotational angular frequency r. From this figure, the poles
rewritten as of the S compensator are obtained by moving the poles of
the PGC parallel to the real axis. For this reason, the poles
s r jnZ 0 . (12) of the PGC system and the S compensator are the same by
increasing the time constant . However, the outputs of the
Note that the poles of the S compensator are those of the tracking filter become zero by making the time constant
repetitive controller in the case of n=1 (i.e., poles infinitely large. Hence, we explain the PGC using integrator
corresponding to the fundamental angular frequency). instead of the LPF in next subsection.
140
10 20
fc 1 10
0
fc 1 xin(t) + xout(t)
5 fc 0.1
Gain [dB]
Gain [dB]
fc 0.1
0 Tracking filter +
-40
fc 0.01 cos rt cos(rt) K
GPGC11
GPGC12
-5
fc 0.01
+ xr(t)
1 xLPF(t)
-10 -80
+-
90 180
+ WIs
sin rt sin(rt)
Phase [deg]
Phase [deg]
45 90
0 0
LPF
-45 -90

-90
45 50 55
-180
45 50 55
sin rt sin(rt)
20
10 fc 1
10
fc 1

0
fc 0.1 5
Gain [dB]
Gain [dB]
fc 0.1
cos rt cos(rt)
-40
0
fc 0.01 - 1 +

yr(t) W I s yLPF(t)
GPGC21
fc 0.01 GPGC22 -5
+ +
-80
180
-10
90 K
LPF
+
Phase [deg]
Phase [deg]
90 45
0 0 yin(t) + yout(t)
-90 -45
-180 -90
Fig. 14 Block diagram of the PGC using integrator.
45 50 55 45 50 55
Frequency [Hz] Frequency [Hz]
Fig. 12 Bode plots of the PGC under each condition.
Z0 , Z r
Imaginary axis
PGC
S compensator
(PIS control),
Z0 , Z r 0 PGC(w/integrator)
Imaginary axis
PGC
S compensator
(PIS control)
0 Z0 ,Zr
Z0 ,Zr
1
0
W
Real axis
1
0 Fig. 15 Pole assignment.
W
Real axis
Fig. 13 Pole assignment.
From (17), the poles of the PGC using integrator correspond
to the rotational angular frequency. On the other hand, the
B. PGC Using Integrator poles of the S compensator correspond to the angular
frequency of the disturbance (see (10)). Therefore, the PGC
Then, we investigate the PGC using integrator instead of using integrator is considered as a modified version of the
the LPF. The block diagram of the PGC using integrator is PIS control from the relationship of the pole assignment
shown in Fig. 14. In this figure, I [s] denotes the time between the PGC system using integrator and the S
constant of the integrator. The transfer function matrix of compensator.
the PGC using integrator is written as
X out ( s ) G I 11 G I 12 X in ( s) C. Relationship between PGC and PIS control
Y ( s) , (14)
out
G
I 21 G I 22 Yin ( s ) Finally, we show the relationship between the PGC and
PIS control. As mentioned in Subsection IV-B, the PGC
where using the integrator is a modified version of the PIS control.
K The rotational speed of the TMP is not strictly managed, and
s Zr
2
s2
WI , (15) the rotor rotates in the neighborhood of a setting speed. As a
G I 11 G I 22 result, even in the neighborhood of the rotational speed, the
s Zr
2 2
unbalance vibration has to be suppressed. For this reason,
K the integrator cannot be adapted for the design of the
Zr
. (16) WI tracking filter. Instead of the integrator, the LPF is
G I 21 G I 12 implemented (see Fig. 6). From (10), (13), and (17), the pole
s 2 Zr
2
assignment of the each control system is shown in Fig. 15.
The diagonal elements of transfer function matrix (14) are From this figure, it can be seen that the pole assignment of
similar to the transfer function of the S compensator of the the PGC using the integrator is the same as that of the S
PIS control. Moreover, the poles of the PGC using compensator of PIS control. For this reason, the PGC using
integrator are given by the LPF is considered as a modified version of the PIS
control. This is because the PGC using the integrator is a
s r jZ r . (17) modified version of the PIS control (see Subsection IV-B).
Moreover, from the Bode plots of the diagonal elements of
Figs. 7 and 11, it can be found that the gain of both the PGC
141
Control methods based on the internal model principle
REFERENCES
[1] G. Barbaraci and G. Virzi Mariotti, Sub-optimal control law for
active magnetic bearings suspension, Journal of Control Engineering
Repetitive control system and Technology, vol. 2, no. 1, pp. 1-10, 2012.
[2] H.-Y. Kim and C.-W. Lee, Design and control of active magnetic
PIS control system bearing system with Lorentz force-type axial actuator, Mechatronics,
vol. 16, no. 1, pp. 13-20, 2006.
[3] M. N. Sahinkaya, A. E. Hartavi, C. R. Burrows, and R. N. Tuncay,
PGC Bias current optimisation and fuzzy controllers for magnetic bearings
in turbo molecular pumps, in Proc. the Ninth International
Symposium on Magnetic Bearings, Lexington, KY, 2004.
[4] H. Seto, T. Namerikawa, and M. Fujita, Experimental evaluation on
H DIA control of magnetic bearing with rotor unbalance, in Proc.
10th International Symposium on Magnetic Bearings, Aug. 21-23,
Fig. 16 Classification of the control methods based on the internal model 2006.
principle.
[5] K. Nonami, F. Qi-fu, and H. Ueyama, Unbalance vibration control
of magnetic bearing systems using adaptive algorithm with
and the PIS control becomes large at the rotational or disturbance frequency estimation, JSME International Journal
Series C Mechanical Systems, Machine Elements and Manufacturing,
disturbance frequency. From the above, the relationship vol. 41, no. 2, pp. 220-226, 1998.
between control methods is shown in Fig. 16. Therefore, the [6] H. Habermann, M. Brunet, and P. Joly, Device for damping the
PGC, which suppresses the unbalance vibration by critical frequencies of a rotor suspended by a radial electromagnetic
increasing the bearing stiffness, can be interpreted as the bearing, United States Patent 4128795, Dec. 5, 1978.
disturbance suppression method based on the internal model [7] N. Takahashi, Reviews of magnetic bearing development in Japan,
principle. Journal of System Design and Dynamics, vol. 7, no. 2, pp. 111-126,
2013.
[8] S. Okubo, Y. Nakamura, and S. Wakui, Unbalance vibration control
V. CONCLUSION for active magnetic bearing using automatic balancing system and
peak-of-gain control, in Proc. 2013 IEEE International Conference
In this paper, we explained an interpretation of the PGC, on Mechatronics, Mar. 2013, pp. 105-110.
which is a method of unbalance vibration compensation for [9] B. A. Francis and W. M. Wonham, The internal model principle of
five-axes AMB systems. From simulation results on the pole control theory, Automatica, vol. 5, no. 12, pp. 1457-465, 1976.
assignment of controller, it was found that the PGC can be [10] S. Hara, Y. Yamamoto, Y. Omata, and M. Nakano Repetitive control
considered as a modified version of the repetitive control and system: a new type servo system for periodic exogenous signals,
IEEE Trans. Automatic Control, vol. 33, no. 7, pp. 659-668, 1988.
the unbalance vibration suppression is based on the internal [11] S. Jiang, D. Cao, Y. Li, and F. Z. Peng, Grid-connected boost-half-
model principle. Conventionally, the cause of unbalance bridge photovoltaic microinverter system using repetitive current
vibration suppression with the PGC has been interpreted to control and maximum power point tracking, IEEE Trans. on Power
increase the bearing stiffness. On the other hand, this control Electronics, vol. 27, no. 11, pp. 4711-4722, 2012.
method can be also interpreted to suppress the unbalance [12] S. Fukuda and T. Yoda, A novel current-tracking method for active
filters based on a sinusoidal internal model, IEEE Trans. Industry
vibration due to the internal model principle.
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[13] H. Akagawa, Y. Nakamura, and S. Wakui, Implementation of
cascade-type PIS control for pneumatic anti-vibration apparatuses, in
Proc. the 57th Japan Joint Automatic Control Conference, Dec. 2014,
pp. II-111-II-114. (in Japanese)
142
Vibration Suppression of Galvano Mirror Considering

Whirling of Shaft
Keisuke Nakade*, Taiki Nakamura*, Shinji Wakui, and Yukinori Nakamura
*
Email: {50015645131, 50014645124}@st.tuat.ac.jp

Email: {wakui, yukino-n}@cc.tuat.ac.jp
Abstract Main movement of a galvano mirror is the rolling

motion. However, since the structure of galvano mirror is II. DETECTION OF PITCHING VIBRATION
cantilever, this mirror is vertically vibrated to mirror reflective Fig. 1 shows outline drawing of the galvano mirror. A
surface. This paper considers the suppression of the above mirror which is a load, is attached at the end of the motor. The
vibration, which is called pitching vibration. Although the mirror is rolled by the motor. The galvano mirror is composed
galvano mirror is equipped with an encoder to detect the roll
of two mirrors. Hereinafter, we call these mirrors X axis and Y
angle of mirror, the pitching vibration of mirror cannot be
detected. To overcome this problem, the pitching vibration is
axis. By changing the reflection angle of laser beam irradiated
verified by the frequency response and the time response using to X and Y axis mirrors, laser processing can be performed.
two dimensional position sensitive detector. Moreover, three Roll angle of the mirror is detected by encoder. The model of
rubbers with different hardness are inserted on the basis of a the galvano mirror is three-mass system, which consists of the
structure of the motor shaft in order to suppress the vibration. encoder, the motor, and the mirror. However, for simplicity, we
consider the encoder and the motor as a rigid body. For this
Keywordsgalvano mirror; vibration suppression; PSD; reason, the galvano mirror can be modelled as two-mass
rubber system, whose dynamical model is shown in Fig. 2. The model
parameters are listed in Table I. From this figure, the
I. INTRODUCTION dynamical equation of the galvano mirror is expressed as
High speed and precision machining using laser beam
greatly contributes to the production of high-performance and

T J mTm D Tm Tl K T m T l ,
(1)
small-size portable electronic equipment. A galvano mirror is l l l
0 J T D T T K T T .
m l m
widely used as a positioning device of the laser beam. In Refs.
[1]-[4], a variety of control methods, e.g., feedback and
feedforward compensation techniques were proposed in order X axis motor
to suppress vibration at the resonance frequency of this mirror.
The structure of galvano mirror can be considered to be the X axis mirror
cantilever whose supporting point is the coupling of motor and
its shaft. For this reason, the galvano mirror is vertically Y axis mirror
vibrated to mirror reflective surface. We call this vibration the
pitching vibration. Information on the pitching vibration cannot
be detected by an encoder. Vibration of the mirror leads to
misalignment of the laser beam irradiation position. This
causes a deterioration of machining accuracy. In order to cope
with this problem, vibration suppression control using
piezoelectric elements and a structure to avoid the cantilever
Y axis motor
were reported. However, since both methods were proposed so
Fig. 1 Galvano mirror.
as to suppress the vibration caused by the structure of the
mirror, the vibration of motor shaft was not sufficiently
considered in Refs. [5]-[7]. Therefore, in this paper, we first
verify the excitation of the pitching vibration of the galvano
Jm D Jl
Tm K
mirror by two dimensional position sensitive detector (PSD). Tl
Then, the cause of this vibration is explained based on structure
of the motor. Finally, we insert rubbers between bearing and T
motor case in order to suppress the pitching vibration and
Fig. 2 Two-mass system model.
evaluate the performance of this approach.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 143
TABLE I. Model parameters. Driver Analyzer
Parameters Description
2 Signal
Jm [kgm ] Motor inertia
processing unit
Signal out
Jl [kgm2] Mirror inertia Input CH1 Input CH2
Mirror stand
D [Nm/(rad/s)] Damping coefficient
K [Nm/rad] Spring constant
m [rad] Motor roll angle PSD
l [rad] Mirror roll angle Neutral density filter &

Red transmission filter
T [Nm] Motor torque Laser light source Galvano mirror
Fig. 4 Experimental setup for measurement of frequency response.
Although the encoder can detect the roll angle, this sensor 100 180
cannot be used for the detection of pitching displacement of the
mirror. For this reason, by evaluating the frequency response,
Gain
50 90
we confirm the pitching vibration of mirror. From (1) and (2),
Phase [deg]
Gain [dB]
the transfer function from the motor torque T to the mirror roll
0 0
angle l is written as
Phase
Tl 1 Ds K -50
-90
T J m J l s 2 Jm Jl
s 2 Ds K
(2)
Jm Jl -100 2 3 4
-180
5
10 10 10 10
Frequency [Hz]
The simulation result of (2) is shown in Fig. 3.
Fig. 5 Bode plots of transfer function from motor torque to mirror roll
angle (experiment in rolling direction).
5
10 180 Fig. 6 shows the measurement result on the frequency
response of output of the PSD in pitching direction of the
Angular per torque
Phase mirror. From this figure, we can find that the phase of Fig. 6 is
[rad/Nm]
Phase [deg]
different from that of Fig. 5. Moreover, we can also find that, at

10
0
0 1.45 kHz, the phase changes steeply. From these results, the
pitching vibration of the mirror is verified.
Gain 50 7.73 [kHz]

-5
10 -180
2 3 4 5
10 10 10 10
Gain [dB]
0
Frequency [Hz]
Fig. 3 Bode plots of transfer function from motor torque to mirror roll -50
angle (simulation). 1.45 [kHz]
-100
180
Fig. 4 shows the configuration of the measurement system.
In this system, only vibration of Y axis mirror is measured. The
90
center region of the mirror is irradiated with laser beam. The
Phase [deg]
beam reflected by the mirror is shined on the PSD. By using 0

this method, the rolling and pitching displacements are
measured. The measurement result on the frequency response -90
of output of the PSD in rolling direction of the mirror is shown
in Fig. 5. From Figs. 3 and 5, we can see that the gain observed -180 2 3 4 5
in this experiment is similar to that obtained by simulation. For 10 10 10 10
example, in both simulation and experiment, the roll-off Frequency [Hz]
-40dB/dec is observed until resonance frequency of 7,730 Hz.
Fig. 6 Bode plots of transfer function from motor torque to mirror roll
angle (experiment in pitching direction).
144
Fig. 7 shows the experimental setup for the measurement of we suppress the pitching vibration by filling the clearance
time responses. In this experiment, the motor position signal, space. However, since the motor used for the galvano mirror is
deviation signal, PSD output in rolling direction of mirror, and made with high precision, it is difficult to directly fill objects
PSD output in pitching direction of mirror are measured by into the clearance space. For this reason, we suppress the
applying a rectangular pulse signal of 0.126Vp-p with a pitching vibration by inserting rubbers between leaf springs. As
frequency of 10 Hz to a driver. The results are shown in Fig. 8. shown in Fig. 9, the rubbers are inserted on three leaf springs
The PSD output in rolling direction of mirror settles in placed on the bearing of the shaft tip. Three rubbers with
synchronization with the motor position signal. On the other different hardness are used for the suppression of the pitching
hand, PSD output in pitching direction of mirror does not settle. vibration. The hardness and the name of each rubber are shown
These results indicate the mirror is vibrated in the pitching in Table II
direction. The period of the waveform is 1.0 ms, and so the
frequency component of 1,000 Hz is appeared. Motor shaft
Leaf springs
Function
Oscilloscope
generator
Rubbers Motor case
Driver
Input CH4
Signal
Input CH3
processing unit
Signal out
Input CH1
Mirror stand Input CH2
PSD Clearance
Neutral density filter & Fig. 9 Outline of suppression method.

Red transmission filter
Laser light source Galvano mirror
Fig. 7 Experimental setup for measurement of time response. TABLE II. Hardness of rubbers [8].
Type Shore hardness

Soft stiff rubber
[V]
30
(Visco-elastic materials)
Position error and motor position signal
Rolling direction displacement [V]
0.15 7.5 Middle stiff rubber 45

Pitching direction displacement
0.14 [deg], 0.05 [ mm] 2.5 [ mm ] 0.1[deg ]

5.0
Hard stiff rubber 80
0.1
Rolling direction displacement
0.05 Position error Motor position 2.5
IV. EXPERIMENTAL EVALUATION OF VIBRATION
0 0
SUPPRESSION EFFECTS
-0.05 -2.5
Pitching direction displacement A. Suppression by Soft Stiff Rubber
-0.1 -5.0
The results on the frequency response of PSD output in
0 Time [ms] 5.0 rolling direction of the mirror are shown in Fig. 10. This figure
is the gain diagram for the case with and without the soft stiff
rubber. Since the change of characteristics is not observed, the
soft stiff rubber does not affect the rolling of the shaft.
Fig. 8 Time responses.
Fig.11 shows the results on the frequency response of PSD
III. CAUSE OF VIBRATION AND VIBRATION SUPPRESSION output in pitching direction of the mirror. This figure is the
METHOD phase diagram. As shown in Fig. 6, the phase is changed at
1.45 kHz. In order to verify the change of the phase, Fig. 11 is
In this section, we explain the causes of the pitching enlarged in the region including this frequency. Although the
vibration and its suppression method. A cause of the pitching soft stiff rubber is employed, the phase is changed at several
vibration is the structure of the mirror is modelled as a frequencies.
cantilever. On the other hand, the whirling of the motor shaft
used for driving of the mirror is also the cause of the pitching B. Suppression by Middle Stiff Rubber
vibration. The shaft is supported front and rear bearings,
though there is a clearance between the bearings and the motor The results on the frequency response of PSD output in
case. It is probable that the whirling of the shaft due to the rolling direction of the mirror are shown in Fig. 12. This figure
clearance is the cause of the pitching vibration. For this reason, is the gain diagram for case with and without middle stiff
145
rubber. Even in the case, the change of gain characteristics is
not observed. Thus, the middle stiff rubber does not affect the w/o middle stiff rubber
rolling of the shaft. 50
w/ middle stiff rubber
Gain [dB]
0
pitching direction of the mirror are shown in Fig. 13. The result
of this figure is the phase diagram. As well as the case of the
soft stiff rubber, phase is changed at several frequencies in the -50
case of the middle stiff rubber. 7.30[kHz]
-100 2 3 4 5
C. Suppression by Hard Stiff Rubber 10 10 10 10
The results on the frequency response of PSD output in Frequency [Hz]
rolling direction of the mirror are shown in Fig. 14. This figure
is the gain diagram in the case with and without the hard stiff Fig. 12 Bode plots of PSDs rolling output with and without middle stiff
rubber.
rubber. From this figure, even if the hard stiff rubber is used,
the change of frequency responses is not observed. For this 180
reasons, the hard stiff rubber does not also affect the rolling of
the shaft.
90
Phase [deg]
pitching direction of the mirror are shown in Fig. 15. This
figure, as well as Fig. 14, is the phase diagram. Similar to the 0
case with the soft stiff rubber and the middle stiff rubber, the
phase for this case changes steeply at about 1.45 kHz. -90
w/ middle stiff rubber
w/o middle stiff rubber

-180
50
w/o soft stiff rubber 1000 Frequency [Hz] 2500
Gain [dB]
0 Fig. 13 Bode plots of PSDs pitching output with and without middle stiff
rubber.
w/ soft stiff rubber
-50
w/o hard stiff rubber
7.30[kHz] 50
w/ hard stiff rubber
-100 2 3 4 5
Gain [dB]
10 10 10 10
0
Frequency [Hz]
Fig. 10 Bode plots of PSDs rolling output with and without soft stiff rubber. -50
7.30[kHz]
180
-100 2 3 4 5
10 10 10 10
90 Frequency [Hz]
Phase [deg]
Fig. 14 Bode plots of PSDs rolling output with and without hard stiff
0 rubber.
-90 w/ soft stiff rubber

180
w/o soft stiff rubber

-180 90
1000 2500
Phase [deg]
Frequency [Hz]
0
Fig. 11 Bode plots of PSDs pitching output with and without soft stiff
rubber.
-90
w/ hard stiff rubber
w/o hard stiff rubber

-180
1000 Frequency [Hz] 2500
Fig. 15 Bode plots of PSDs pitching output with and without hard stiff
rubber.
146
From frequency responses of Figs. 11, 13, and 15,
w/o rubbers
[V]
suppression effects by rubbers are not verified. Therefore, we

evaluate suppression effect of pitching motion of the mirror by 0.15 7.5

measuring time responses. The detail is described in the next

section. 0.1
Position error
5.0
0.05
Motor position 2.5
V. EVALUATION OF VIBRATION SUPPRESSION EFFECT BY
TIME DOMAIN 0 0
Fig. 16 shows time responses in the case with and without
each rubber. The black line denotes the pitching vibration of -0.05 Pitching direction displacement -2.5
the mirror. From this figure, we can see that the vibration is
damped by using each rubber. For this reason, the suppression -0.1 -5.0
0 5.0
effect is verified in the time domain. Moreover, we can also see Time [ms]
that the rolling of the mirror is not changed. Therefore, each
rubber does not affect the rolling of shaft, and the waveform of
Soft stiff rubber
[V]
PSD output in the rolling direction of mirror synchronizes the

0.15 7.5
motor position signal detected by the encoder.


0.1 5.0
VI. CORRESPONDENCE BETWEEN THE FREQUENCY Position error
RESPONSES AND TIME RESPONSES 0.05 Motor position 2.5
As mentioned in section V, in vibration suppression using
rubbers, the frequency responses do not correspond with the 0 0
time responses. This is because the pitching vibration has two
kinds of vibrations due to backlash of the shaft and elastic -0.05 Pitching direction displacement -2.5
vibration of the mirror. Since the frequency responses was
-0.1 -5.0
measured by irradiating a laser beam to the mirror center, the 0 5.0
elastic vibration of the mirror due to the structure of cantilever Time [ms]
was observed in the results. On the other hand, vibration
component due to backlash of the shaft is dominant on time Middle stiff rubber
[V]

response waveforms. Then, the suppression effect is verified 0.15 7.5
from the time responses because the vibration of shaft is Rolling direction displacement
suppressed by the rubbers. For these reasons, the frequency 0.1 5.0
Position error
responses do not correspond with the time responses.
0.05
Motor position 2.5
In order to verify vibration suppression effects in
frequency domain, we measure frequency responses again by 0 0
irradiating laser light at the neighborhood of shaft junction of
the mirror because this measurement point is not significantly -0.05 Pitching direction displacement -2.5
affected by the elastic vibration of the mirror. In this
experiment, the middle stiff rubber is mounted. -0.1 -5.0
0 5.0
Fig. 17 shows phase diagrams on the frequency response Time [ms]
of PSD output in pitching direction of the mirror measured at
the neighborhood of shaft junction of the mirror. This results Hard stiff rubber
[V]
show the case with and without middle stiff rubber. From 0.15 7.5
Fig. 17, we can see that when the middle stiff rubber is used, Rolling direction displacement
the change of the phase becomes small. Since the effect of 0.1
Position error
5.0
elastic vibration is not observed, the change of the phase at
Motor position 2.5
1.45 kHz is also small. Thus, the vibration suppression by 0.05
middle stiff rubber is verified in frequency domain.
0 0
-0.05 -2.5
-0.1 -5.0
0 5.0
Time [ms]
Fig. 16 Time responses under each condition.
147
180 REFERENCES
[1] M. Iwasaki, K. Seki, and Y. Maeda: High-precision motion control
techniques: a promising approach to improving motion performance,
90 IEEE Industrial Electronics Magazine, Vol.6, No. 1, pp. 32-40 (2012)
Phase [deg]
[2] N. Hirose, M. Iwasaski M. Kawafuku, and H. Hirai: Deadbeat

0 feedforward compensation with frequency shaping in fast and precise
positioning, IEEE Trans. on Industrial Electronics, Vol. 56, No. 10,
pp. 3790-3797 (2009)
w/o middle stiff rubber
-90 [3] H. Mitsuo. K. Takahiro, U. Shinji: Nanoscale Servo Control for
Galvano Scanner Using Final-State Control, IEEJ Transactions on
w/ middle stiff rubber Industry Applications, Vol. 129, No. 9, pp. 938-944 (2009)
-180
1000 Frequency [Hz] 2500 [4] Y. Maeda, M. Wada, M. Iwasaski, and H. Hirai: Improvement of
Settling Performance by Mode-Swiching control With Split Initial-Value
Compensation Based on Input Shaper, IEEE Transactions on
Fig. 17 Bode plots of PSDs pitching output with and without middle stiff Industrial Electronics, Vol. 60, No. 3, pp. 979-987 (2013)
rubber.
[5] K. Seki and M Iwasaki: Improvement of Bending Vibration
Suppression Performance for Galvano Mirror by Self-Sensing
VII. CONCLUSION Actuation, IEEJ Journal of Industry Applications, Vol. 3, No. 1,
pp. 10-17, (2014)
In this paper, the pitching vibration of the mirror was [6] Y Kenta Seki, Hiroki Yokoi, and Makoto Iwasaki: Improvement of
verified by using the two dimensional PSD. Since we assumed Vibration Suppression Performance of Galvano Mirror Using
the vibration was caused by backlash of the shaft, three kind of Piezoelectric Element, IEEE Industrial Electronics Society,
rubbers were inserted so as to suppress the vibration. From pp. 3794-3799 (2012).
experimental results on time responses, we found that the [7] H. Sugie and T. Takahashi: Optical deflection device and laser
vibration of the shaft backlash was suppressed without effects processing apparatus using this devise, Japan patent P2002-296533A,
on the rotational motion of the shaft. Moreover, from the (2002).
experimental results on measurement at the neighborhood of [8] Industrial material selection site MiSUMi:
shaft junction of the mirror, we verified that the suppression http://fawos.misumi.jp/fas/ur/data/view_property.php?page=bussei#a01
(accessed 2015-04-22)
effects are observed also in frequency domain.
148
A Consideration of Parameter Identification of

a Linear Stage Using Particle Swarm Optimization
Marino Watanabe*, Yukinori Nakamura, and Shinji Wakui

*
2-24-16 Naka-cho, Koganei, Tokyo 184-8588, Japan

2-24-16 Naka-cho, Koganei, Tokyo 184-8588, Japan
Email: {yukino-n, wakui}@cc.tuat.ac.jp
AbstractThis paper considers the model-based controller in was presented. In [6], an auto-tuning method for the fractional
order to achieve the high speed and high precision positioning of order PID controller based on the relay test was proposed.
a linear stage. In the controller design, particle swarm
optimization (PSO) is employed for the parameter identification On the other hand, we focus on the particle swarm
of the linear stage. Particles of the PSO are updated so that the optimization (PSO) [7]-[14] as an approach of the auto-tuning.
difference between simulation and experimental results becomes This algorithm, which was proposed in [7], is one of the
small. After the parameter identification, the feedforward metaheuristic optimization methods for solving nonlinear
controller whose parameters correspond to the identified model optimization problems. In this algorithm, the particles are set as
of the linear stage is designed. Effectiveness of the proposed search points, and updated in order to search optimal solutions.
method is shown by simulation and experiment. Since the PSO algorithm searches the optimal solution by using
only the value of the objective function, the continuity and
Keywordslinear stage; positioning; identificaiton of differentiability of the objective function are not required. Due
parameters; particle swarm optimization; to such advantages, the PSO has been applied in various fields
including the control engineering [8]-[10].
I. INTRODUCTION
Our previous work [11] proposed the implementation
A linear stage is the precise positioning device used in method of the PSO for the linear stage to tune the feedforward
semiconductor lithography equipment and machine tools. In controller. The parameters of feedforward controller are
industrial scene, the high precision positioning of the stage is updated so that the characteristics of feedforward controller
important for the development of miniaturized products. become the same as those of the inverse system of the plant.
Moreover, the high speed positioning of the stage is required Furthermore, the initial placements of particles are set based on
for the improvement of the production throughput. For these the nominal value of the linear stage. It leads to tuning time
reasons, various control methods for the stage positioning have reduction of controller design. However, in this method,
been reported [1]-[3]. In [1], a discrete-time disturbance experiments of positioning have to be iterated so as to update
observer and a feedforward controller including a zero-phase the particles of the PSO. It causes the serious damage to the
low-pass filter were proposed. In [2], the feedforward linear stage.
controller based on the friction model for the XY stage driven
by linear motor was applied. In [3], iterative trial-based To overcome these problems, in this paper, we consider the
optimization technique of the controller parameters of a wafer PSO-based parameter identification of the linear stage. In our
stage was presented. In [1]-[3], the feedforward controller is approach, positioning experiment is conducted one time before
designed based on the model of the linear stage. executing the PSO algorithm. After the positioning, particles of
the PSO are updated so that the difference between simulation
On the other hand, we consider the scene of mass- and experimental results becomes small. The advantage of this
producing linear stages. Since the characteristics of each linear approach is that the number of experiment for parameter
stage are different, the parameters of feedforward controller are identification is just one. For this reason, the damage to the
fine-tuned by trial and error methods. It causes the increase of linear stage in the auto-tuning process can be avoided. To
tuning time and tuning cost. From this kind of circumstance, evaluate the performance of the identification method, we
the auto-tuning of a positioning control system has been conduct positioning experiment by means of the feedforward
considered [4]-[6]. In [4], an intelligent feedforward control controller whose parameters correspond to identification results.
using an iterative learning control algorithm was proposed for
precision motion control of a permanent magnet linear motor. The rest of the paper is organized as follows: Section II
In [5], a neural-network-based self-tuning PI control system shows the position control system of the linear stage. Section
III explains the PSO algorithm, and Section IV proposes the
identification method of parameters of the linear stage. In
978-1-4673-7995-3/15/$31.00 2015
c IEEE 149
Section V, identification and positioning results are presented. Linear stage
Finally, conclusion is presented in Section VI.
Driver
Current [A]
II. LINEAR STAGE
Voltage [V]
Figs. 1 and 2 show the linear stage and the experimental
setup. In specification, the weight of moving element is 4 kg,
and the dimension is 270 mm wide by 180 mm long by 15 mm AND
IN
Voltage [V]
height. The actuator of linear stage is a coreless linear

AD712-01 ADC
AND
OUT
AD712-02 DAC
AND
AD712-03 DIO
Voltage [V]
AND AD-7905 ANDOROMEDA
synchronous motor. Electromagnetic force generated by coil

and permanent magnets drives the linear stage along the linear DSP
guide. The position of the linear stage is detected by using an Fig. 2. Experimental setup.
optical encoder attached on the side of the linear guide. The
position signal is fed back to a digital signal processor (DSP), Stage and driver
and control input is determined in accordance with control law. Friction
f
The digital signal of the control input is converted into analog
signal. The analog signal is provided to current driver, and + +
u 1 v 1 y
converted voltage into current. Accordingly, the plant consists Kt
+ Ms s
of the linear stage and driver.
D
Fig. 3 shows the block diagram of the plant. In this figure, u,
v, y, f, M, D, K, and Kt denote input voltage [V], velocity [m/s], K
position [m], friction [N], mass [kg], viscous damping

coefficient [Ns/m], spring constant [N/m], and thrust constant Fig. 3. Block diagram of linear stage and its driver.
of the stage with its driver [N/V], respectively. Friction is
defined as follows:
f f c sgn(v)
III. PARTICLE SWARM OPTIMIZATION (PSO)
(1)
In this section, the PSO algorithm, which is presented in
where sgn and fc denote sign function and Coulomb friction [N]. [12], is described. Consider the following optimization
From Fig. 3, the mathematical model of the linear stage and its problem:
driver is written as
min J ( x), x \ n , (4)
2 x
d d d
M y (t ) D y (t ) Ky (t ) f c sgn y (t ) Kt u (t ). (2)
dt 2 dt dt where J, x, and n denote the objective function, n-dimensional
decision variable-vector, and dimensionality of position vector.
In [15], nominal values of the linear stage are summarized in To search optimal solutions, the PSO algorithm uses multiple
Table I. In Fig. 3 and (2), when the friction is neglected, the particles xik (i=1, 2, , m) as search-points. m and k denote the
linear stage and its driver can be considered as a linear model. number of particles and the number of iterations. The position
Then, the transfer function from input voltage of the driver to and velocity vectors of ith particle are represented as xik and vik.
the stages position is written as After k iterations, the position and velocity vectors of each
Kt particle are updated according to the following equations:
P( s) . (3)
Ms Ds K
2
vik 1 wvik c1r1 ( xibest , k xik ) c2 r2 ( xswarm
best , k
xik ), (5)
Linear guide Stage k 1 k 1
x i x v ,
k
i i (6)
where xibest , k denotes the best previous position of ith particle;
best , k
x swarm denotes the best particle among all of particles; w
denotes inertia weight factor; c1 and c2 denote acceleration
Linear scale Magnet coefficients; r1 and r2 denote random functions in the range
Fig. 1. Linear stage. from zero to one.
TABLE I.
PARAMETERS AND NOMINAL VALUES OF LINEAR STAGE AND ITS DRIVER IV. IMPLEMENTATION METHOD FOR THE LINEAR STAGE
Descripition Parameter Value Unit In this section, we explain how to implement the PSO
Mass M 4 kg
algorithm for the identification of the linear stage. In order to
identify the parameters of the linear stage, the control system
Viscous damping coefficient D 108.1 Ns/m using feedback controller is used. Fig. 4 shows the block
Spring constant K 0 N/m diagram of the control system. In this figure, r denotes
Thrust constant of the driver Kt 1351.4 N/V
command, y denotes position, e denotes error, W denotes the
prefilter, Cfb denotes the feedback controller, and Q denotes the
Coulomb friction fc 7 N linear stage and its driver shown in Fig. 3. Using this control
150
system, the parameters of linear stage (2) is identified by PSO Moreover, evaluate the difference between
algorithm. simulation and experimental results by using (10).
In Fig. 3, the mass of the stage M and thrust constant of the Step 4: If i<m, set i=i+1, and go to Step 3. Otherwise, go
stage with its driver Kt are known parameters because of the to Step 5.
specification of the linear stage. Then, the viscous damping best , 0
coefficient D, the spring constant K, and the Coulomb friction Step 5: If k=0, set xibest ,0 and x swarm according to (12) and
fc are identified by PSO. Let (13). Otherwise, update xibest , k and best , k
x swarm
xi [ xi ,1 xi ,2 xi ,3 ]7 , (7) according (14) and (15).
xibest ,0 xi0 , (12)
denote the position vectors of the particle in the PSO. Then, the
parameters of the plant in Fig. 3 are expressed as x best ,0
x best ,0
, i k
arg min J ( x
best ,k
),
swarm ig0 g
i
i (13)
D xi ,1 , K xi ,2 , f c xi ,3 . (8)
xik best ,k 1
if J ( xi ) J ( xi
k
)
From (2) and (8), the mathematical model of the linear stage is xibest ,k best ,k 1 (14)
x
i otherwise ,
written as
d2 d d xikk k best ,k 1
if J ( xswarm ) J ( xswarm )
M y (t ) xi ,1 y (t ) xi ,2 y (t ) xi ,3 sgn y (t ) Kt u (t ). (9) best ,k
xswarm best ,k 1
g
(15)
dt 2 dt dt xswarm otherwise.
In the PSO algorithm, the particle (7) is updated. To evaluate Step 6: Update the position vectors xik and velocity vectors
the identification accuracy of the linear stage, the following vik of each particle according to (5) and (6).
objective function is adopted:
3
Step 7: If k=kmax, step criteria. Otherwise, set i=1, k=k+1,
yex (t ) ysim (t ) dt max( xi , j , 0), j 1, 2, 3,
t2
J ( xik ) (10) and go to Step 3.
t1
j 1
where yex denotes the position observed in experiment and ysim best , k
denotes the position by simulation. t1, t2 denote the constant. The elements of x swarm max
is adopted as parameters of the linear
The first term of the objective function (10) is the difference of stage.
position in experiment and simulation. When this term is small,
r + e y
the positioning result of simulation is similar to that of W C fb Q
experiment. For this reason, the parameters of linear stage in
Prefilter FB controller Stage
the simulation are near to that of real stage. On the other hand,
the second term of the objective function (10) is a penalty Fig. 4. Block diagram of control system for the linear stage.
function. The penalty function is used so that each element of
particle becomes positive. This is because the parameters xi,1, V. IDENTIFICATION RESULT
xi,2, and xi,3 which correspond to the viscous damping
coefficient D, the spring constant K, and the Coulomb friction A. Identification of the stages parameters
fc, are not negative. An example of penalty function is given by
In this subsection, we identify the parameters of the linear
X X t 0, stage. Through the following procedure, the parameters of the
max( X , 0) (11) linear stage are identified: first, the position yex, which is used
0 X 0.
as evaluation criteria, is measured by experiment. In this
From (10) and (11), when the parameters xi,1 , xi,2, and xi,3 are positioning, the command r is chosen as the following square-
negative, the objective function (10) is increases. For this wave:
reason, the particle whose elements are negative is not selected
as the best particle. As a result, the parameters are updated so 0.001 0dt 5
r (t ) (16)
that sign is positive. The process of identification of the linear 0 5 d t 10.
stage using the PSO is summarized in following steps:
Considering of the high frequency dynamics, the prefilter W is
Step 1: Design the prefilter W and the feedback controller designed as
Cfb, and set the command signal r. Under the
10000
condition, drive the linear stage for positioning in W ( s) . (17)
experiment. s 2 200 s 10000
Step 2: Set the number of particles, m, the initial positions, The feedback controller is chosen as the following PI
xi0, and the initial velocities, vi0. Moreover, set i=1 controller:
and k=0. 1 0.17 s
C fb ( s ) 150 . (18)
Step 3: Evaluate the position ysim in simulation with the 0.17 s
model of the linear stage, whose parameters
correspond to the element of particle (7).
151
Fig. 5 shows the positioning result on the response of the 1351.4
position control system. From this figure, the settling time of
P( s) . (23)
4 s 2 376.8314s 0.4556
this positioning is about 0.5 s. For this reason, the constant t1
and t2 in (10) are chosen as t1=0 and t2=0.5 s.
Next, the initial conditions of the PSO are set. In [11], the 1.5 1.5
initial positions of particles are decided by considering the
Position [mm]
nominal value of the linear stage. From Table I, (7), and (8), 1 1
the position vector whose elements correspond to nominal
value of the stages parameter is expressed as 0.5 0.5
7
xn [108.1 0 7] . (19)
0 0
0 2 4 0 0.2 0.4
In the following, we call the vector (19) nominal particle. Time [s] Time [s]
When the number of particles is chosen as m=8, the initial Fig. 5. Positioning result of evaluation criteria.
positions of particles are set as
0.3
x10 [113.11 0 7]7 , x20 [111.64 3.06 8.77]7 , 10
x3 x2
x4
swarm) [ms]
x30 [108.11 4.33 9.5]7 , x40 [104.57 3.06 8.77]7 , xn x1 0.2
(20)
xi,3
7 7 5 x5
x0
[103.11 0 7] , x 0
[104.57 3.06 5.23] , x8
J(xbest, k
5 6
x6 0.1
7 7 x7
x0
7 [108.11 4.33 4.5] , x 0
8 [111.64 3.06 5.23] . 0
10
120 0
Fig. 6 shows the placement of particles (20) in search space. In 0 110 1 20 40 60 80 100
this figure, the black circles denotes the initial placement of xi,2 -10 100 xi,1 Iteration number k
particles xi0 (i=1, 2, , 8), and a red circle denotes the nominal Fig. 6. Initial placement of Fig. 7. Objective function for the
particle (19). Each particle is placed on the same distance from particles. best , k
best particle x swarm .
nominal particle (19). The initial velocities of particles are set
as vi0=0. The maximum number kmax of iterations is set to 100. 1.5
Before
From the result of [13] and [14], the acceleration coefficients c1 identification
and c2 are set to 2.0, and the inertia factor w is calculated as
Position [mm]
1
follows: After
( w we )k 0.5 identification
w ws s , ws , we 1, (21) Response observed
kmax by experiment, yex
0
0 0.2 0.4
where kmax denotes the maximum number of iteration, ws Time [s]
denotes the inertia weight at k = 1, and we denotes the inertia Fig. 8. Positioning results of before and after identification by PSO.
weight at k = kmax. ws and we are set to 0.9 and 0.4 [12].
Fig. 7 shows the simulation result on the objective function
best , k TABLE II. PARAMETERS AND IDENTIFIED VALUES OF LINEAR STAGE
of the best particle among all particles, J ( x swarm ) . From this
figure, we can find the objective function decreases as the Descripition Parameter Value Unit
iteration number k increases. This indicates the difference of
Viscous damping coefficient D 376.8314 Ns/m
positioning of experiment and simulation becomes small. For
this reason, positioning waveform of simulation becomes Spring constant K 0.4556 N/m
similar to that of experiment by updating the particle of the Coulomb friction fc 7.2636 N
PSO (i. e., changing the parameters of the model of the linear
stage). Fig. 8 shows the simulation result on the response of the
position control system before and after identification. From B. Feedforward controller using identification result
this figure, we can see that the response after identification is In this subsection, we design the feedforward controller
similar to the response observed by experiment, yex. This using the identification result of subsection V-A. Fig. 9 shows
indicates the parameters of the linear stage are successfully the block diagram of the control system with feedforward
identified. controller. In this figure, Cff denotes the feedforward controller.
After identification of the parameters of the linear stage, the When the feedforward controller is same as P-1W including the
best , k
best particle among all particles, x swarm , is expressed as inverse system of plant, i.e., feedforward controller Cff is taken
as
best , kmax
xswarm [376.8314 0.4556 7.2636]T . (22) C ff P 1W , (24)
From (8), (9), and (22), each parameter of the linear stage is
obtained in Table II. From Table I, Table II, and (3), the the position of stage is expressed as
transfer function of the linear model using identification result y Wr. (25)
is expressed as
152
Thus, by designing the feedforward controller such as (24), the REFERENCES
desired trajectory tracking can be achieved. From (17), (23),
and (24), the feedforward controller using the parameter of [1] Carl J. Kempf and Seiichi Kobayashi, Disturbance observer and
stage identified by PSO is given as feedforward design for a high speed direct-drive positioning table,
IEEE Transactions on Control Systems Technology, vol. 7, no. 5, pp.
29.6 s 2 50.1002 s 3.3714 513-526, September 1999.
C ff . (26)
s 2 200 s 10000 [2] Z. Jamaludin, H. Van Brussel, G. Pipeleers, and J. Swevers, Accurate
motion control of xy high-speed linear drives using friction model
We construct the two degrees-of-freedom control using the feedforward and cutting forces estimation, CIRP Annals-Manufacturing
feedforward controller (26) expressed in Fig. 9. Fig. 10 shows Technology, vol. 57, no. 1, pp. 403-406, May 2008.
the experimental result of the position control system. Red line [3] S. Meulen, R. Tousain, and O. Bosgra, Fixed structure feedforward
denotes the result in the case with only PI controller Cfb, and controller design exploiting iterative trials: Application to a wafer stage
blue line denotes the result in the case with feedforward and a desktop printer, Journal of Dynamic Systems, Measurement, and
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controller Cff after identification by PSO. From this figure, we
[4] T. H. Lee, K. K. Tan, S. Y. lim, H. F. Dou, Iterative learning control of
can find that by using the feedforward controller, the settling permanent magnet linear motor with relay automatic tuning,
time of position control system is reduced. Therefore, the Mechatronics, vol. 10, pp. 169-190, February-March 2000.
parameters of the linear stage are correctly identified. [5] G. J. Wang, C. T. Fong, and K. J. Chang, Neural-network-based self-
tuning PI controller for precise motion control of PMAC motors, IEEE
C ff Transactions on Industrial Electronics, vol. 48, no. 2, pp. 408-415, April
2001.
FF controller
+ [6] C. A. Monje, B. M. Vinagre, V. Feliu, and Y. Q. Chen, Tuning and
r + e y auto-tuning of fractional order controllers for industry applications,
W C fb + P Control Engineering Practice, vol. 16, no. 7, pp. 798-812, July 2008.

Prefilter FB controller Stage [7] J. Kennedy and R. Eberhart, Particle swarm optimization, in Proc.
IEEE International Conference on Neural Networks, vol. 4, pp. 1942-
Fig. 9. Block diagram of control system with feedforward controller. 1948, November/December 1995.
1.5 [8] C. C. Kao, C. W. Chuang, and R. F. Fung, The self-tuning PID control
Command in a slider-crank mechanism system by applying particle swarm
optimizaiton approach, Mechatronics, vol. 16, no. 8, pp. 513-522,
Position [mm]
1 March 2006.
[9] C. H. Liu and Y. Y. Hsu, Design of a self-tuning PI controller for a
w/ FF controller STATCOM using particle swarm optimization, IEEE Transactions on
0.5
Industrial Electoronics, vol. 57, no. 2, pp. 702-715, February 2010.
w/o FF controller [10] R. J. Wai, J. D. Lee, and K. L. Chuang, Real-time PID control strategy
0 for maglev transportation system via particle swarm optimization, IEEE
0 0.2 0.4
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[11] M. Watanabe, Y. Nakamura, S. Wakui, A setting method of initial
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VI. CONCLUTION
[12] R. Eberhart and J. Kennedy, A new optimizer using particle swarm
In this paper, we considered the identification of parameters theory, in Proc. the 6th International Symposium on Micro Machine
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only one-time positioning experiment, it can be avoided to optimization, Evolutionary Programming VII, Lecture Notes in
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damage the linear stage during parameter tuning process. From
[14] R. C. Eberhart and Y. Shi, Comparing inertia weights and constriction
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153

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Study on Detection of Earthquake Using DI Value

and Its Application to Switching Control
for Air Type Anti-Vibration Apparatus
Masayuki Kubota*, Hirokazu Mineo, Shinji Wakui, and Yukinori Nakamura
*
2-24-16 Naka, Koganei, Tokyo 184-8588, Japan
e-mail: 50015645115@st.tuat.ac.jp

Faculty of Engineering, Tokyo University of Agriculture and Technology

e-mail: {wakui, yukino-n}@cc.tuat.ac.jp
Abstract In semiconductor manufacturing, air type- from the semiconductor manufacturing industries. Since, in
vibration apparatuses (AVAs) are widely employed. When an this method, the earthquake is detected by using the
earthquake occurs, the AVAs have to be stopped in order to observation points, the controller gains can be switched before
avoid serious damage to semiconductor exposure machines. seismic wave reaches the semiconductor manufacturing
Spectrum intensity (SI) value is the metric effective for the
detection of earthquake though it takes time to calculate this
industries. However observation points have to be prepared. It
value. To avoid long computation time, this paper uses leads to the increase of cost. Therefore, this paper proposes the
destructive intensity (DI) value instead of SI value. Simulation method that does not use the observation points. In the
demonstrates that DI value, whose computation time is short, can proposed method, destructive intensity (DI) value [7] is
be applied to switching control for AVAs. adopted instead of the SI value. The performance of DI value-
based switching control is compared with that of the SI value-
Keywordspneumatic anti-vibration apparatus; switching based one by simulation. Through this performance
control; trade-off; spectrum intensity; destructive intensity comparison, we show that, even in the case with the DI value,
the controller gains can be appropriately switched under
I. INTRODUCTION earthquake.
Air type anti-vibration apparatuses (AVAs) are used for The rest of this is organized as follows: Section II shows
isolation of vibration transmitted to the precision equipment the block diagram of the air type AVA and relationship
on an isolated table [1]-[3]. Since even slight vibration also between transmissibility and a relative displacement from the
becomes a problem in semiconductor manufacturing. Air type floor. Section III explains the control logic by using SI value.
AVAs need to deal with a problem in semiconductor Section IV describes the control logic by using DI value.
manufacturing. For this reason, it is necessary to cope with Section V compares SI value with DI value in simulation.
seismic motion. The conventional approach adopted at Finally, conclusions are given in Section VI.
semiconductor manufacturing industries is to stop the
II. CONTROL OF AIR TYPE ANTI-VIBRATION APPARATUS
operation of semiconductor exposure machines (SEMs). When
the air type AVAs are also stopped under earthquake, it takes In the section, we show the control methods and block
time to restart the AVAs. As a result, the production diagram of air type AVA. At first, the block diagram of the
throughput of integrated chips decreases. To avoid stopping AVA and control loop for this apparatus are explained. Next, it
the AVAs, our previous work [4] presented the switching is proven that there is a trade-off between the tables
control-based approach. In this method, the controller gain for acceleration and the relative displacement. Finally, frequency
response with control switching is shown.
the AVAs is changed when earthquake occurs. Since the
AVAs can be continuously operated by switching controller
A. Control model of the air type AVA
gains, only the SEMs are stopped under earthquake. For this
reason, the time to restart the AVAs is saved, and the Fig. 1 shows the block diagram of the AVA that is
reduction of production throughput is improved. In [4], proposed in [4]. Symbols of Fig. 1 are listed in Table I. The
spectrum intensity (SI) value [5] was used to detect earthquake. control system consists of five parts: position feedback (FB) for
However, the drawback of SI value is to take time to levitating an isolated table to equilibrium position, pressure FB
determine frequency spectrums of earthquake. In order to for keeping internal pressure of air spring constant, floor
vibration feedforward (FF) for reducing vibration transmitted
overcome this problem, Ref. [6] proposed the method which
to the isolated table, relative acceleration FB for reducing
detects the earthquake by multiple observation points set apart
978-1-4673-7995-3/15/$31.00 2015
c IEEE 158
B. Reationship between transmissibility and a relative
Plant model
c D
K displacement from the floor
vr e vp w' w
ks

k ar 1Ta s
k pr
1T p s
Gq
1
A0 1 1 1 x Acceleration of isolated table and relative displacement
Ta s Tps
E 0V0 s M s s
from the floor are used as operating condition of the AVA. In
FF switch
A0
Thp s 1 1
the following, we explain the relationship between the
k fv (s ) k acc ( f )
FF switch
1
Thp s 1
s s acceleration and the relative displacement. Transmissibility is
katun 1 Ti s x0 derived by using acceleration of isolated table and the floor.
k a' k g' k pre
FB gain Thp s
k acc (i )
This index is defined as follows:
Thp s 1
switch
k pos x a
20 log10 20 log10 . (1)
Apparatus stop
x0 a0
Logic
switch
Let a and a0 denote acceleration of isolated table and floor
Control information
vibration. From (1), we can see that the transmissibility is the
ratio between the displacement of the table and the floor.
Fig. 1. Block diagram of control system for AVA.
Since the measurement of absolute displacements x and x0 is
difficult, the transmissibility can be calculated by changing the
dimensions of |x| and |x0| to a and a0.
The ratio of relative displacement to floor displacement is
defined as follows:
TABLE I. PARAMETERS OF CONTROL SYSTEM FOR AVA.
x x0
Symbol Description Grelative 20 log10 . (2)
M Mass of the AVA [kg]
x0
D Viscous damping coefficient [Ns/m] Now, x/x0 and (x-x0)/x0 are defined as follows:
K Stiffness of the AVA [N /m]
x
A0 Received area [m2] GT , (3)
0 Compression ratio [1/Pa] x0
V0 Air spring volume [m3]
c Flow conductance [m3/s/Pa] x x0
Gr . (4)
Gq Flow gain [m3/s/V] x0
kpos Sensitivity of position sensor [V/m]
kpre Sensitivity of pressure sensor Then, from (3) and (4), we obtain
kacc(i) Sensitivity of acceleration sensor GT Gr 1. (5)
kacc(f) Sensitivity of acceleration sensor
kpr Gain of pressure PI compensator [V/V] Note that (5) shows the trade-off. When the acceleration of
kar Gain of acceleration PI compensator [V/V] isolated table is reduced, the relative displacement is increased.
ks Gain of position PI compensator [V/V] On the other hand, when the relative displacement is reduced,
kg Pressure feedback gain the acceleration of isolated table is increased.
ka Acceleration feedback gain
katun(opt) Relative acceleration gain
C. Frequency characteristics of transmissibility and a relative
kfv(s) Floor vibration transfer function
displacement from the floor
Tp Time constant of pressure PI compensator When using FF control and the FB control the frequency
Ta Time constant of acceleration PI characteristics of transmissibility x/x0 and the ratio of relative
Ti Time constant of pseudo integrator [s] displacement to the floor (x-x0)/x0 are shown in Figs. 2 and 3.
w Input voltage to the servo valve [m3/s] In the following, we define the vibration with a frequency
x Displacement of the isolated table [m] lower than the natural frequency of the AVA as low-frequency
x0 Displacement of the floor [m] seismic motion and the vibration with a frequency higher than
Thp Times constant of high pass filter [s] the natural frequency of the AVA as high-frequency seismic
motion.
Fig. 2 shows the case where acceleration FB is applied.
volume change of air spring, and acceleration FB for From this figure, when FB control is applied to AVA, the
suppressing the resonance. FF switch and FB gain switch are transmissibility is improved in high-frequency seismic motion.
switched in accordance with acceleration of the seismic motion.
On the other hand, the relative displacement from the floor is
In the case of FF switch, when the seismic motion has low-
frequency spectrum, FF control is shut down. In the case of FB increased in low-frequency seismic motion. In addition, Fig. 3
gain switch, when the seismic motion has high-frequency shows the case where floor vibration FF and relative
spectrum, the value of this gain becomes large. Finally, when acceleration FB are utilized. From this figure, when FF control
the large seismic motion whose amplitude is beyond the range is applied to AVA, the transmissibility is improved in high-
of movement of the AVA occurs, this apparatus stops. frequency seismic motion. However, the relative displacement
from the floor is increased in low-frequency seismic motion.
159
Therefore, it is better to shut down FF control and reduce FB
0 0
gain.
Gain [dB]
Gain [dB]
w/o FB
-40 -40
III. SUMMARY OF THE CONTROL SWITCHING WITH SI VALUE -80 w/ FB -80 w/ FB w/o FB
In this section, the analysis method using SI value is 10-2 10-1 100 101 102 10-2 10-1 100101 102
explained. At first, the definition of this value is shown. Next, Frequency [Hz] Frequency [Hz]
control switching logic with SI value is explained: (a) x/x0 (b) (x-x0)/x0
Fig. 2. Frequency characteristics in the case with and without FB control.
A. Definition of SI value
SI value is a performance metric for evaluation of effects
0 0
Gain [dB]
Gain [dB]
of earthquake ground motion [5]. This is expressed by the
-40 w/o FF -40
following equation: w/ FF w/o FF
-80 w/ FF -80
2.5
1
SI n
2.4 0.1
S v (T , h 0.20)dT , (6) 10-2 10-1 100 101
Frequency [Hz]
102 10-2 10-1 100 101
Frequency [Hz]
102
where Sv, T, and h denote the velocity response spectrum, (a) x/x0 (b) (x-x0)/x0
period, and attenuation coefficient, respectively. (6) is SI value Fig. 3. Frequency characteristics in the case with and without FF control.
of normal definition. In addition, we define the velocity
response spectrum which was averaged from 1 to 10 seconds as FB gain switch
FF switch Apparatus stop switch
SIl in order to detect the low-frequency spectrum and the
velocity response spectrum which was averaged from 0.1 to 1 Switching logic (Logical sum, Logical product)
second as SIh in order to detect the high-frequency spectrum.
The frequency spectrums are determined by using three types SIl - SIn
For FF, FB gain
SIh - SIn
For FF, FB gain
Floor acc.
For FB gain
Floor pos.
For FB gain
of SI values, i.e., SIn, SIl, and SIh. However, a time window is Threshold : +0.05 [kine] Threshold : +0.05 [kine] Threshold : 30 [gal] Threshold : 400 [Pm]
For apparatus stop For apparatus stop For apparatus stop For apparatus stop
used to calculate velocity response spectrum. For this reason, Threshold : +0.10 [kine] Threshold : 0.10 [kine] Threshold : 70 [gal] Threshold : 600 [Pm]
the calculation of SI value requires large computation time.
1

s
B. Control switching logic by using SI value For low frequency
SI value
For normal frequency
SI value
For high frequency
SI value
1
Control logic block in [4] is shown in Fig. 4. Seismic =SIl =SIn =SIh
s
motion is converted into five pieces of information. The first
and the second are the acceleration a0 and the displacement x0. x0 An Earthquake wave (Floor acc.)
The third, fourth, and fifth are SIl, SIn, and SIh for determining Fig. 4. Detail of logic block by using SI value.
the frequency spectrum. SIl-SIn and SIh-SIn are calculated by
using three SI values, i.e., SIn, SIl, and SIh. When SIl-SIn is
positive, it is judged that the seismic motion has rich low- TABLE II. TRUTH TABLE FOR SWITCHING OF FB CONTROLLER AND STOP
OF AVA WITH SI VALUE.
frequency spectrum. On the other hand, when SIh-SIn is
positive, it is judged that the seismic motion has rich high- Floor acc.
FB gain switch /
SIl - SIn SIh - SIn FF switch SIl - SIn SIh - SIn OR
frequency spectrum. The details of the logic using the decision Floor pos.
Apparatus stop switch
0 0 0 0 0 0 0/0
result are shown in Table II. 0 1 0 0 0 1 0/1
1 0 1 0 1 0 0/0
IV. SUMMARY OF SWITCHING CONTROL WITH DI VALUE 1 1 0 0 1 1 1(1) / 0
FB gain switch 1 0 0 0/0
In this section, the analysis method using DI value is (1) FB gain 3790
1
1
0
1
1
0
1(2) / 0
0/0
explained. At first, the definition of this value is shown. Next, (2) FB gain 3710 1 1 1 0/1
control switching logic with DI value is explained.
A. Definition of DI value where a and v denote the vectors of acceleration and velocity.
Since the AVA which moves in the vertical direction is
DI value is proposed as an index shown in [7]. This value
targeted, the vertical direction of acceleration and velocity are
is defined as the magnitude of the work per unit mass and per
only considered.
unit time. DI value and energy of seismic motion are mutually
Then, DI value is redefined as following equation:
related. In detail, the value is defined as the following
equation: DI log10 a z u v z , (8)
DI log10 a v , (7) where az and vz denote the vertical direction of acceleration and
velocity. Using (8), the frequency spectrum can be estimated.
160
B. Judgment of frequency spectrum by using DI values Low frequency earthquake
Semiconductor
exposure apparatus
Low
Frequency
High
Frequency
Fig. 5 shows a concept of judgement of frequency spectrum DItable
20
with DI value. Both DI values of the isolated table and floor are
0 0
Gain [dB]
calculated. When seismic motion has the rich low-frequency -20
DIfloor
spectrums, vibration of the floor is transferred to isolated table -40
-60
without damping. Thus, DI value of the isolated table, DItable,
0 0
10-2 10-1 100 101 102
Pneumatic anti- Stage
vibration apparatus Frequency [Hz]
becomes similar to DI value of the floor, DIfloor. In addition,
Semiconductor
when seismic motion has the rich high-frequency spectrums, High frequency earthquake exposure apparatus
Low
Frequency
High
Frequency
vibration of the floor is transferred to the isolated table with 0 0
DItable
20
damping. Thus, DI value of isolated table, DItable, is lower than 0
Gain [dB]
that of the floor, DIfloor. When the difference between DIfloor -20
DIfloor -40
and DItable is large, it is judged that seismic motion has high- 0 0 -60
frequency spectrum. On the other hand, when the difference Pneumatic anti- Stage
vibration apparatus
10-2 10-1 100
Frequency [Hz]
101 102
between DIfloor and DItable is small, it is judged that seismic

motion has low-frequency spectrum. Fig. 5. Concept for determining a frequency spectrum with DI value.
C. Switching control logic with using DI value FF switch FB gain switch Apparatus stop switch
The proposed control logic block is shown in Fig. 6. Switching logic (Logical sum, Logical product)
Seismic motion is converted to four pieces of information. The
first and the second are the acceleration a0 and displacement x0. DIdiff Value Floor acc. Floor pos.
The third and fourth are DIfloor and DItable for determining For FF, FB gain For FB gain
Threshold : 30 [gal]
For FB gain
LHThreshold : 1 [-] Threshold : 400 [m]
frequency spectrums. DIfloor-DItable is calculated by using two HLThreshold : 0.4 [-] For apparatus stop For apparatus stop
Threshold : 70 [gal]
DI values, i.e., DIfloor and DItable. Let denote the difference for 12s Threshold : 600 [m]
between DIfloor and DItable by DIdiff. Then, if DIdiff exceeds the LPF
1
threshold, seismic motion has rich high-frequency spectrums. s

When this value is less than the threshold, seismic motion has DI DI
rich low-frequency spectrums. The thresholds of DIdiff, a0, and 1 1

1
s
x0 are used for the logic of switching control. FF switch and s s
FB gain switch are determined by using DIdiff, a0, and x0.
Apparatus stop switch is determined by using a0 and x0. These x x0
An Earthquake wave (Table acc.) An Earthquake wave (Floor acc.)
thresholds are shown in Fig. 6. Control is switched according
to the logic as shown in Fig. 6. Detail of logic is shown in Fig. 6. Detail of logic block with DI value.
TableIII Since there is no information on the amplitude of
the earthquake, frequency is judged as either low-frequency or TABLE III. TRUTH TABLE FOR SWITCHING OF FB CONTROLLER AND STOP
high-frequency by using DI value. Due to this, it is necessary to OF AVA WITH DI VALUE.
consider the magnitude of the earthquake. Therefore, logics Floor acc. Floor acc.
with SI value and DI value are slightly different. DIfloor-DItable or FF switch DIfloor-DItable or FB gain switch
Floor pos. Floor pos.
0 0 0 0 0 0
0 1 1 0 1 1(2)
V. COMPARISON OF SWITCHING CONTROL BETWEEN SI AND 1 0 0 1 0 0
DI VALUES 1 1 0 1 1 1(1)
FB gain switch (1) FB gain 3790 (2) FB gain 3710
Control switching logic and analysis of frequency
spectrums are shown in the previous section. Therefore, in this Acceleration waveform of seismic motion is shown in the
section, we compare SI value-based control switching with DI upper of Fig. 7 and the simulated result is shown in the lower
value-based one. Simulation demonstrates that the switching of Fig. 7.
control can be used even if DI value is adopted instead of SI
value. From Fig. 7, DI value changes as soon as seismic motion is
observed. For this reason, DI value rises faster than SI value.
A. Comparison of SI value with DI value Next, we evaluate the speed of change of DI value by the
following performance metric:
From the view point of fast response, DI and SI values are
compared. The simulation was performed by using the seismic f n log10 n, (9)
motion waveform. The following seismic waveforms observed
by K-NET system [8] are utilized in our simulations: where
n a z u vz .
a) Osaka earthquale (observed in Osaka-cho, Gero-shi,
Gifu, Japan at 03:33:29 JST on March 16, 2011) Differentiating (9) with respect to n, we obtain
161
1 1 Since the proposed method finally judges that seismic motion
f ' n . (10) has low-frequency components, the result on switching in the
ln 10 n
case DI value is the same as that in the case of SI value.
From (10), it is found that when the value of n (i.e., the
magnitude of vibration) is small, the derivative (10) becomes In Fig. 10, when SI value is used, SIh becomes positive. Due
large. For this reason, DI value changes quickly. In next to this, the method judges that seismic motion has rich high-
subsection, we perform simulation of DI value-based switching frequency. When DI value is used, DIdiff exceeds the threshold
control. as soon as seismic motion arrives. Thus, the method judges that
seismic motion has rich high-frequency components. The
B. Simulation results proposed method can determine judgement faster than the
conventional method. Since acceleration and position of
In this subsection, simulations using DI and SI values are seismic motion are small, both methods are judged that AVA
compared. The following seismic waveforms observed by K- can run without switching.
NET system are utilized in our simulations:
In Fig. 11, when SI value is used, SIl becomes positive. In
this case, the method judged that seismic motion has rich low-
a) Osaka earthquale (observed in Osaka-cho, Gero-shi, frequency components. On the other hand, when DI value is
Gifu, Japan at 03:33:29 JST on March 16, 2011) used, DIdiff exceeds the threshold as soon as seismic motion
b) Miyagi earthquale (observed in Yokkaichi-shi, Mie, arrives. For this reason, the method using DI value judged that
Japan at 14:49:01 JST on April 7, 2011) seismic motion has rich high-frequency. Therefore, the result in
the case of DI value is different from that in the case of SI
c) Kumamoto earthquale (observed in Kumamoto-shi, value.
Kumamoto, Japan at 21:31:45 JST on August 29,
2010) 60
d) Sichuan earthquake (observed in Sekiden-cho, Ooita-
Acc. [gal]
shi, Ooita, Japan at 15:33:27 JST on May 12, 2008)
0
The simulation results are shown in from Figs. 8-11.
Results using SI value are shown on the left side, and that using
DI value are shown on the other side in each figure. Judgement -60
results of frequency spectrums are shown in the upper of each 0.4 6
figure. Accelerations of isolated table with and without SIn
switching control, and control logic are shown at the middle 3
SIn [kine]
part of each figure. The relative displacements between the DI
DI [-]
floor and isolated table with and without switching control, and 0.2 0
control logics are shown in the lower part of each figure. In
-3
control switching logic, 0 means without control switching, 1
means with control switching for low-frequency seismic 0 -6
motion, 2 means with control switching for high-frequency 0 Time [s] 70
seismic motion, and 3 means the stop instruction of AVA.
Fig. 7. Comparison of SI value with DI value.
In Fig. 8, when SI value is used, SIh becomes positive. Due
to this, the proposed method judges that seismic motion has
rich high-frequency. When DI value is used, DIdiff exceeds the SI value DI value
threshold. For this reason, the proposed method judges that
Frequency
5
seismic motion has rich high-frequency components. By using 0.1 1
judgment
Logich 1
SIh 4
Logich DIdiff
DI value, the arrival of seismic motion can be judged SIl 3
Logic [-]
Logic [-]
SI [kine]
DI [-]
0 2
immediately. Since, in both cases of SI and DI values, the Logicl
1
0
acceleration and position of seismic motion are used, the -0.1
0.4
0
3
-1
0.4
0
3
No control
timing of switching is same. This result indicates that same No control
Table acc.
Wakui(2013) 2 Proposed
Logic [-]
Logic [-]
2
[gal]
switching control can be achieved in the cases of SI and DI 0 0

1 1
values. Logic Logic
-0.4 0 -0.4 0
400 3 400 3
In Fig. 9, when SI value is used, SIl becomes positive. Due Wakui(2013)
No control Proposed
to this reason, the method judges that seismic motion has rich
Logic [-]
Logic [-]
2 2
[m]
0 0
x-x0
low-frequency components. When DI value is used, at first, No control

Logic 1 Logic 1
since DIdiff exceeds the threshold, the method judges that -400
0 70
0 -400
0 70
0
seismic motion has rich high-frequency components. After this Time [s] Time [s]
judgement, it is judged that seismic motion has rich low-

frequency components. In this method, the logic is changed Fig. 8. Switching result (Osaka earthquake).
from one to zero if DI value is smaller than threshold for 14
seconds. For this reason, it takes time to change the judgement.
162
SI value DI value SI value DI value
Frequency
Frequency
0.2 1 4 1 0.1 1 4 1
judgment
judgment
SIl SIl DIdiff
3 Logic 3
Logic [-]
Logic [-]
SI [kine]
Logic [-]
Logic [-]
SI [kine]
SIh 2 SIh 2
DI [-]
DI [-]
0 0
Logicl 1 DIdiff 1
Logich Logich Logicl Logic
0 0
-0.2 0 -1 0 -0.1 0 -1 0
0.4 Wakui(2013) No control 3 0.4 No control 3 0.4 No control 3 0.4 3
Proposed
Table acc.
Table acc.
2 2 Proposed 2
Logic [-]
2
Logic [-]
Logic [-]
Logic [-]
[gal]
[gal]
0 0 0 0
1 1 1 1
Logic Wakui(2013) Logic No control
Logic
-0.4 0 -0.4 0 -0.4 0 -0.4 0
600 Wakui(2013) No control 3 600 600 600
Proposed No control 3 No control
3
No control
3
Wakui(2013)
Proposed
Logic [-]
Logic [-]
2 2 2 2
Logic [-]
Logic [-]
[m]
[m]
0 0 0 0
x-x0
x-x0
1 1 Logic 1 1
Logic Logic Logic
-600 0 -600 0 -600 0 -600 0
0 96 0 96 0 70 0 70
Time [s] Time [s] Time [s] Time [s]
Fig. 9. Switching result (Miyagi earthquake). Fig. 11. Switching result (Sichuan earthquake).
SI value DI value
x Comparative results demonstrated that proposed
Frequency
0.04 1 5 1
method could properly switch controller of AVA in
judgment
SIh DIdiff
4
3 the same way as the conventional method.
Logic [-]
Logic [-]
SI [kine]
DI [-]
0 2
SIl Logic
1
Logicl Logich
0
-0.04 0 0
0.08 No control 3
-1
0.08
No control
3 ACNOWLEDGMENTS
Table acc.
Proposed
2 2
This work is supported by Grant-in-Aid for Scientific
Logic [-]
Logic [-]
[gal]
0 0
Wakui(2013)
Logic
1
Logic
1 Research (C) (26420170). Seismic waveforms observed by K-
-0.08
100
0
3
-0.08
100
0
3
NET system are utilized for simulations.
Wakui(2013) Proposed
No control
2 2
REFERENCES
Logic [-]
Logic [-]
0
[m]
0
x-x0
1 1
No control Logic Logic
-100 0 -100 0
0 70 0 70 [1] P.-H. Chang, D. K. Han, Y.-H. Shin, and K.-J. Kim, Effective
Time [s] Time [s]
Suppression of Pneumatic Vibration Isolators by Using Input-Output
Inearization and Time Delay Control, Journal of Sound and Vibration,
vol. 329, Nov. 10, pp. 1636-1652, 2010.
Fig. 10. Switching result (Kumamoto earthquake).
[2] Y.-H. Shin, K.-J. Kim, P.-H. Chang, and D. K. Han, Three Degrees of
Freedom Active Control of Pneumatic Vibration Isolation Table by
Pneumatic and Time Delay Control Technique, Journal of Vibration
From the above results, the proposed method can switch and Acoustics-Transactions of ASME, vol. 132, no. 5, pp. 1-12, 2010.
controller of AVA properly in the same way of the [3] P.-C. Chen and M.-C. Shih, Modeling and Robust Active Control of a
Pneumatic Vibration Isolator, Journal of Vibration and Control,
conventional method except for the case of Sichuan earthquake. vol.13,pp. 1553-1571, 2007.
[4] T. Ronte, Y. Nakamura, S. Wakui, Switching Control of an Air Type
VI. CONCLUSION Anti-Vibration Apparatus under Earthquake Ground motion, in Proc.
39th Annual Conference of the IEEE Industrial Electronics Society
Conclusions are summarized as follows: (IECON), Nov. 2013, pp. 3786-3791.
x We proposed the method using DI value instead of SI [5] G. W. Housner, Vibration of Structures Induced by Seismic waves Part
I. Earthquake, C.M.Harris and C.E.Crede (Eds.), Shock and Vibration
value, whose computation time is large, as a method Handbook, McGraw-Hill, 1961.
of control switching. [6] H. Mineo, T. Ronte, S. Wakui, Y. Nakamura, Study of Switching
x The control scheme under unknown earthquake Control for Air Type Anti-Vibration Apparatus under the Condition
Where Earthquake Occurs in Proc. the 57th Japan Joint Automatic
ground motion was proposed. In our method, Control Conference, Dec. 2014, pp. 628-633. (in Japanese)
parameters of FF and FB controllers were switched [7] Y. Nakamura, A New Concept for the Earthquake vulnerability
according to the floor displacement x0, the floor Estimation and Its Application to The Early Warning System, in Proc.
acceleration a0, and the difference value DIdiff. Early Warning Conference 98, 1998, pp. 693-699.
[8] K-NET avaiable at http://www.k-net.bosai.go.jp/k-net
x From the simulation results, our proposed method can
determine frequency of seismic motion faster than the
conventional method.
163
An overview of supplementary teaching materials

for advanced EST students in Japan
YU Yan SHI Jie
Division of Informatics and Engineering Graduate School of Informatics and Engineering
University of Electro-Communications University of Electro-Communications
Tokyo, Japan Tokyo, Japan
yu@tama.ac.jp shi.jie@uec.ac.jp
Abstract EST (English for Science and Technology) is an programs or beginning graduate school courses, e.g. research
important area of ESP in Japan. The success of EST courses for presentation of PPT and poster styles, summary writing,
science and technology/engineering disciplines is partially abstract writing and research article writing. Even though
dependent on the choices of teaching materials. As shown in creating appropriate materials is believed to be challenging [7],
previous research done by the same presenters of this study in it is essential and beneficial to create suitable classroom-based
ICAMechs 2014, the quantity of teaching materials for lower and teaching materials which are supplemented with real-life
intermediate levels of EST courses in Japan is considered to be reference books taking into consideration of students various
satisfactory though the concerns over the quality and variations language levels, curricular limitations, and the lack of
of technical disciplines still exist. This research is a continuation
advanced textbooks. The authors overview the market
of the investigation of teaching materials for EST courses in
available reference books written in English and in Japanese
Japan with a focus on the supplementary or reference materials
for advanced students of EST at Japanese universities. This study for EST in Japan. The categories of the overview include
aims to conduct an overview of the market available reference languages used, publication information, main content
books for advanced EST students at Japanese universities. The themes/topics and/or skills, target audience and level of English,
categories of the overview include languages used, publication and length. Based on the analysis and discussion of the
information, main content themes/topics and/or skills, target overview, an example of how to supplement pre-selected
audience/level of English, and length. engineering and ICT textbooks with the real-life reference
books is given.
Keywords EST supplementary materials; overview; science;
engineering; Japanese university II. RESEARCH METHODOLOGY
The study reviews the currently available and published
I. INTRODUCTION
commercial EST supplementary or reference teaching
EST (English for Science and Technology) is an important materials for EFL students at Japanese universities is
area of ESP (English for Specific Purposes) in Japan. conducted. The following aspects are used as a framework to
Choosing and developing appropriate teaching materials is one categorize and analyze the supplementary/reference materials:
of the crucial aspects to accommodate students needs and to
make EST courses successful [1] [2]. Currently, there are z languages used
some published/commercial EST teaching materials for EFL z publication information
students at Japanese universities available. As shown in
previous research done by the same presenters of this study in z main content themes/topics and/or skills
ICAMechs 2014 [3], the quantity of teaching materials for z target audience and level of English
lower and intermediate levels of EST courses in Japan is
considered to be satisfactory though the concerns over the z length
quality and variations of technical disciplines still exist. Materials are organized into four groups: materials on
However, most of the textbooks for lower and intermediate presentation skills written in English shown in Table 1,
levels of EST courses focus on reading comprehension, materials on writing skills written in English shown in Table
grammar, vocabulary and topical areas, etc. while there are 2; materials on presentation skills written in Japanese shown
much less textbooks focusing on genres, which are considered in Table 3; materials on writing skills written in Japanese
to be effective in teaching writing in ESP, especially to shown in Table 4.
advanced students by many researchers [4] [5] [6]. The
purpose of this research is to investigate teaching materials for III. RESULTS
EST courses in Japan focusing on the supplementary or
Table I to Table IV summarizes the main results of this
references materials for advanced students of EST at Japanese
investigation on the reference books for advanced EST
universities. For these students, genre and skills-based
students in Japan. Table I and Table II list the reference books
knowledge is necessary in the advanced undergraduate
of academic presentation and writing that are written in
978-1-4673-7995-3/15/$31.00 2015
c IEEE 164
English language and by non-Japanese writers. Table III and z C10. The Journey Begins
Table IV list the reference books of presentation and writing z Part I. Preparation and Practice
in Japanese language and by Japanese writer except for two z C1. Ten Stages in Preparing
books that are translation books. Your Slides
z C2. Writing Out Your Speech
The books chosen in this overview are judged mostly in English
based on whether they are suitable for advanced Japanese EST z C3. Pronunciation and
students at universities checking the content topics, language Intonation
z C4. Practice and Learn from
skills of focus, and difficulty level in terms of language, Other People's Presentations
provided that the books are also available on the market. z C5. Handling Your Nerves
4. z Part II. What to Write on the
non-
TABLE I. REFERENCE BOOKS OF PRESENTATION IN ENGLISH English for Slides
native
Presentations z C6. Titles
#/Title/ Target speakers
at z C7. Writing and Editing the
Author/ Length Audience of
Main Contents (C=Chapter) International 179 Text of the Slides
Publisher/ (pages) /Level of English
Conferences/ z C8. Using Bullets
Year English of all
Adrian z C9. Visual Elements and Fonts
z C1. Introduction discipline
Wallwork/Spr z C10. Getting and Keeping the
z C2. The Function of Poster s
inger/2010 Audience's Attention
Presentations and The z Part III. What to Say and Do at
Opportunities They Offer Each Stage of the Presentation
z C3. Essential Preparation and z C11. Ten Ways to Begin a
Things to Consider Presentation
1. z C4. Writing the Poster Abstract z C12. Outline and Transitions
Scientist's z C5. What to Include z C13. Methodology
Guide to z C6. Presentation of Text z C14. Results and Discussion
Poster z C7. Presentation of Data z C15. Conclusions
Presentations/ z C8. The Format and Design z C16. Questions and Answers
Peter J. z C9. The Use of Color z C17. Useful Phrases
139 scientists
Gosling/Kluw z C10. Practical Aspects of
er Poster Construction
Academic/Ple z C11. The Use of Table I lists the reference books chronologically according
num Supplementary Information to the publication dates, from 1999 to 2010. Though the first
Publishers/19 z C12. Transporting and book seems to be comparatively dated, it offers the useful
99 Assembling the Poster information that is not outdated and can still be useful for
z C13. Presentation at the students. The lengths of the books are similar and considered
"Poster Round"
z C14. A Guide to Hosting to be of medium length as reference books. Books 1 to 3 are
Poster Sessions written targeting at professionals, e.g. scientists and
z C15. Common Poster Design researchers while Book 4 states that its audience are non-
Blunders native speakers of all disciplines. The types of audience are
2. z C1. The Basic Problem with closely linked with the content of the books, serving the needs
Speaking Oral Presentations, and Its
about Solution
of the target audience claimed.
Science: A z C2. The First Steps of The four books in Table I are the reference books of
Manual for Preparation
Creating z C3. Selecting Helpful Images
academic presentation mostly focusing on the various aspects
Clear
researche
z C4. Beginning and Ending the of oral pc-based presentation in detail from
126 rs and planning/organization to delivery and body language. Only the
Presentations/ Presentation
clinicians
Scott Morgan z C5. Titling the Talk last book, i.e. Book 4, provides information on poster
& Barrett z C6. Delivery presentation.
Whitener/Ca z C7. Fielding Questions
mbridge z C8. The Job Interview
University z C9. The Media Interview
Press/2006 z C10. Making Clear Posters
z C1. Presenting in Today's
World
z C2. Creativity, Limitations,
3.
and Constraints
Presentation
z C3. Planning Analog
zen: Simple
z C4. Crafting the Story
Ideas on Professio
z C5. Simplicity: Why It Matters
Presentation nals
229 z C6. Presentation Design:
Design and (research
Principles and Techniques
Delivery/Garr ers)
z C7. Samples Slides: Images &
Reynolds/Ne
Text
w
z C8. The Art of Being
Riders/2008
Completely Present
z C9. Connecting with an
Audience
165
TABLE II. REFERENCE BOOKS OF WRITING IN ENLGISH Plagiarism
z Part II. Sections of a Paper
#/Title/ Target z C11. Titles
Author/ Length Audience z C12. Abstracts
Main Contents (C=Chapter)
Publisher/ (pages) /Level of
z C13. Introduction
Year English z C14. Review of the Literature
5. z C15. Methods
Line by Line: z C16. Results
How to Edit z C17. Discussion
z C1. Loose, Baggy Sentences
Your Own z C18. Conclusions
z C2. Faulty Connections
Writing/Claire z C19. Useful Phrases
z C3. Ill-matched Partners
Kehrwald 219 nil z C20. The Final Check
z C4. Mismanaged Numbers and
Cook/The
References z C1. Structure of a Scientific
Modern
z C5. Problems with Punctuation Paper
Language
z C2. Introduction
Association of
z C3. Methods
America/1985
z C4. Results
6. z C5. Discussion
Successful z C6. Titles, Abstracts and
z C1. Preparing to Write
Scientific Authors
z C2. Composing a First Draft
Writing: A z C7. Who Should Be an Author
z C3. Visual Support for the
step-by-step z C8. References
Written Word 10.
guide for the z C9. Electronic Submissions
z C4. Visual Support for the How to Write anyone
biological and z C10. Open Access
students Spoken Word a wanting
medical z C11. How to Write a Letter
and z C5. Revising to Increase Paper/George to
sciences(Thir 240 z C12. How to Prepare an
researche Coherence M. Hall 157 successfu
d Abstract for a Scientific
rs z C6. Improving Word Choice, (Edited)/John lly
edition)/Janic Meeting
and Syntax Style Wiley & publish in
e R. Mattews z C13. How to Write a Case
z C7. Attending to Grammar, Sons, journals
&Robert W. Report
Numbers, and Other Ltd./2013
Mattews/Cam z C14. How to Write a Review
Mechanics
bridge z C15. How to Write a Book
z C8. The Rest of the Story
University Review
Press/2008 z C16. The Role of the
7. Manuscript Assessor
Abstracts and z C17. The Role of the Editor
z Research Article (RA)
the Writing of z C18. What a Publisher Does
Abstracts
Abstracts/Joh z C19. Style: What It Is and
z Abstracts for Short
n M. Swales Why It Matters
88 scholars Communications
& Christine z C20. Ethics of Publication
z Conference Abstracts
B. Feak/The
z PhD Dissertation Abstracts
University of
z Choosing Keywords Table II lists the selected reference books on academic and
Michigan
Press/2009 business writing. Book 5 is the most dated publication, i.e.
z C1. Maximizing Chances of 1985, while Book 10 is the most recent one. Numbers of pages
Publications of these six books vary tremendously with Book 7 having 88
8.
z C2. Essential Steps Before
A Scientific
Writing a Paper
pages and Book 9 having 325 pages. The shorter books tend to
Approach to
z C3. Drafting Papers focus on fewer aspects of academic writing, such as Abstract
Scientific or grammar; but the longer ones cover a more variety of topics
researche z C4. Complex Studies
Writing/John 112
Blackwell
rs z C5. Linguistic Points and aspects of academic and professional skills as well as
z C6. Covering Letters and genre-based information, such as essential writing skills, genre
&Jan
Referees' Objections and sub-genres of research paper and reviews.
Martin/Spring
z C7. Other Kinds of Written
er/2011
Scientific Communication It is worth noting that the audiences as specified by the
z C8. Summary
authors of these books are almost unanimous, i.e. researchers
z Part I. Writing Skills
z C1. Planning and Preparation or scholars. As for academic writing, it is expected that only
z C2. Word Order researchers and scholars are involved in written publication of
z C3. Breaking Up Long scientific research, though it is also possible that researchers
9.
researche Sentences used in these book could also refer to the research engineers of
rs in any z C4. Structuring Paragraphs and research institutes of companies.
English for
discipline Sentences
Writing
who wish z C5. Being Concise and
Research 325
to write a Removing Redundancy
Papers/Adrian
research z C6. Avoiding Ambiguity and
Wallwork/Spr
paper in Vagueness
inger/2011
English z C7. Clarifying Who Did What
z C8. Highlighting Your
Findings
z C9. Hedging and Criticizing
z C10. Paraphrasing and
166
TABLE III. REFERENCE BOOKS OF PRESENTATION IN JAPANESE z C8. English Expressions
for Q and A
#/Title/ z C9. English Expressions
Target
Author/ Length Main Contents at Reception
Audience/Level
Publisher/ (pages) (C=Chapter) z C10. English
of English
Year Expressions at Specific
11. Situations Epilogue
z C1. About International
Presentation Theme-based English
Conference
at Expressions
z C2. Writing Outlines
International
z C3. Points for Writing
Conference z C1. Succeed with
Research Paper
for English Presentation
194 researchers z C4. Writing Slides
Researchers/ z C2. Structure of English
z C5. Points for Oral
Kubota Presentations that
Presentation
Naminosuke/ Japanese Are Not Aware
z C6. Self-introduction
Kyoritsu of
z C7. Request for
Shuppan/199 z C3. Succeed with Poster
Permission to Reprint
9 Presentation
12. 15. z C4. Layout of Posters
The Great Successful z C5. Interaction in the
Presenter: Science Presentation Halls
Learn How to Researchers
English z C6. Preparing Poster
Create and who want to
Presentation/J Presentation Things to
Deliver z C1. Making Successful 135 present their
People who udy Noguchi, Note in the Presentation
International Presentation research in
want to improve Masako Terui Halls
Business z C2. Preparing the English
their and Kiyoshi z C7. English Expressions
Presentations Presentation Fujita/Kodan for Oral Presentations
201 communication
in English z C3. Strategies for sha/2014 z C8. Examples of Oral
skills and
(Basic Success Presentations and
become great
Presentation z C4. Presentation Effective Skills for
presenters
Skills in Examples Presentations
English)/Phil z C9. Questions and
p Deane and Answers
Kevin z C10. Preparation of
Reynolds/Asa Successful Oral
hipresss/2002 Presentations
People who are
bad at
conversation/En Table III summarizes the reference books of academic and
glish beginner
learners/People
business presentation in the Japanese language and published
13. who want to be in Japan. The dates of publication vary from 1999 to 2014.
Asking good at talking The shorter books offer referential information or guidance on
Effective and writing skills while longer ones provide more language
Questions in listening/People z C1. To Be Good at support for weaker English users in Japan and graduate school
English To who want to be Asking Questions students. The target audiences as stated in the books range
177
Become A good at z C2. Asking Questions
Good negotiation/Peo on Various Topics from general users whose English is weak to graduate students
Listener/Koji ple who want to and researchers who must publish in English.
Sakimura/So build good
gensha/2006 relationship The main content of the majority of the books in Table III
with is similar, focusing on the specific aspects of academic
others/Teachers presentation skills that the Japanese users of English are weak
who want to at. Shorter books highlight the topics and the skills that are
improve considered to be difficult to Japanese users of English or more
teaching
z C1. Basic Expressions
useful in international academic conferences. Longer books,
for Conference and especially more recent ones, also cover details of technical
Research Presentations aspects of PPT or slides making, in addition to explanations on
z C2. English Expressions organization or logical planning.
of the Organizers
14. z C3. English Expressions What these books have in common is that there seems to
International
researchers and
of the Guests be more attention given to the language factor in presentation
Conference z C4. English Expressions explanation of grammatical points, and/or translation support.
324 graduate
English/Ishii of the Session Chairs
Takayuki/Ber
students
z C5. English Expressions
Some even provide information on how to handle Questions &
et/2006 of the Presenters Answers session because it is considered to be one of the
z C6. English Expressions weakest abilities of Japanese presenters at international
of the Speakers conferences.
z C7. English Expressions
of the
Coordinators/Panelists
167
TABLE IV. REFERENCE BOOKS OF WRITING IN JAPANESE a note-worthy point because it encourages readers to
#/Title/ Target consciously compares what they learn about English writing
Author/ Length Audience/L Main Contents skills and genre knowledge with Japanese language and genres.
Publisher/ (pages) evel of (C=Chapter) Bilingual literacy and competencies can be nurtured and
Year English fostered from such activities.
People who
z C1. Expressions Involved
16. want to
in Various Parts of Papers IV. DISCUSSION AND CONCLUDING REMARKS
Useful write
z C2. Expressions Related to Ten reference books on presentation and writing in English
Expressions for research
Contents
Research papers in and ten references books on presentation and writing in
254 z C3. Expressions Involved
Papers in English
in the Discussions and Japanese are summarized above. Though twenty is not a large
English/Koji from number in general, it provides sufficient information,
Examination
Sakimura/Soge humanity/so
nsha/1991 cial
z C4. Other Useful instruction and guidance for advanced university students
Expressions (undergraduate or graduate) to enrich themselves with higher
sciences
z C1. Studying and Writing level language knowledge, skills and experiences beyond their
Reports at University classrooms and work. Such practical and professional
17. z C2. Practice of Text knowledge and skills provided by the books are an important
Introduction to Criticism source for teachers to use as supplementary teaching materials.
Writing Reports z C3. Requirements and
and university Structures of Research When using the books introduced in this study, teachers
116
Papers/Tetsuya students Papers should be aware that these books contain language support in
Kono/Keio z C4. Theme-setting and
University Body Organization both vocabulary/expressions and relevant language skills
Press/2002 z C5. Methods for Writing needed by EFL learners and novice researchers also genre-
Notes, Citations and based knowledge which is rather difficult for even advanced
Bibliography learners and researchers. It is important to dissect the books
18. according to what is needed for specific classes and students
For the Young undergradu z C1. Before Writing
People Who ate students, Reports and Graduation
when using the books as supplementary reference books.
Are Going to writing Theses When assigning part of the books as home assignments, it is
Write Reports 225 teachers z C2. How to Write Reports recommended that the teachers first introduce the features of
and Graduation and and Graduation Theses the books and how to read or use the book most effectively to
Theses/Satoki business z C3. Techniques of Writing students. If the reference books are used in class, depending
Sakai/Kyoritsu people in Japanese
on students level, teachers can assign different parts to
Shuppan/2007
19. z C1. Structure of English students as individual or group presentation or peer teaching
How to Write a Research Papers tasks. Involving advanced students cognitively and combining
Better English z C2. Writing Style of active practice with passive reading are effective ways of
Thesis/Toshiko
239 researchers
Research Papers using the books and pedagogical ideas.
Sugino and z C3. Paragraph Writing and
Fumihiko Essay Writing An important benefit for ESP teachers to supplement
Ito/Natsumesha z C4. Expressions in English teaching with references books is that the reference books fill
/2008 Research Papers in the gap of the ESP and EFL teachers lack of real-life
z C1. Preparatory stage
20. z C2. Preparing the Body
experiences in the disciplines of students, academic
How to Write z C3. Preparation of Chart community of the various research fields, and professional
and Publish a z C4. Preparation of Papers situations outside of universities. ESP teachers with limited or
Scientific Paper researchers z C5. Writing of Other no working experiences in the professional situation of their
(6th and Scientific Texts students when they graduate can now pre-teach some of the
321
Edition)/Robert graduate z C6. Meeting English necessary language and skills while their students are still in
A. Day and students z C7. Scientific writing
Barbara Techniques the university and do not have avoid teaching some specific
Gastel/Maruzen z C8. Other Topics on genres due to lack of knowledge, skills or experience.
/2010 Scientific
Communications The rationale why both English and Japanese books are
investigated in this study is twofold. One reason is to inform
both ESP teachers and the relevant science and engineering
Table IV summarizes some of the reference books of researchers/teachers of the existence of such useful reference
academic and business writing available for Japanese users or books (as evaluated by the authors) in the market. The other is
learners of English who want to improve their English writing to recommend to the ESP teachers as well as science and
skills, Japanese university students and teachers and business engineering researchers to actively make use of reference
people. Similar to the books in other tables, shorter books in books in both languages with advanced EST students because
this table tend to focus on limited academic genres, disciplines bilingual approach is an effective and efficient way of thinking
and language skills. Longer books provide not only the genre- and teaching. Both language and skills can be transferred
based explanations, language skills and genre-based between languages when handled properly.
knowledge also language expressions and examples for the
benefits of the lower level students and professionals. Book 18 Another advantage of using reference books is that both
even includes the techniques for writing in Japanese, which is teachers and students naturally focus on the practical
168
communication function of the English language when reading REFERENCES
the reference books. In other words, the reference books are
not considered to be a textbook usually by students. This
consideration helps students detach the traditional approach of [1] B. Lotfi, Incorporating critical thinking activities in content areas
focusing on grammar and passive learning of vocabulary from (ESP/EAP), in G.R. Kiani & M. Khayamdar, Eds. Proceedings of the
active using of language functions and genres for First National ESP/EAP Conference vol.3, Tehran, SAMT Publication,
communicative purposes or practical professional purposes. 2005.
By doing so, learners will be able to gain the necessary [2] R. Bernard and D. Zemach, Materials for Specific Purposes, in B.
knowledge and skills to become more autonomous and to Tomlinson, Developing Materials for Language Teaching, London:
Continuum, 2003, pp. 306-323.
make the transition from being English learners to English
[3] Y. Yu and J. Shi, A critical analysis of the ESP textbooks for Japanese
users. university students of science and engineering, ICAMechS 2014
(2014.8), pp114-117. Kumamoto, Japan.
Finally, this study is part of a longitudinal research on
academic textbooks and resources for ESP education. It [4] J. M. Swales, Genre Analysis: English in Academic and Research
Settings. Cambridge: Cambridge University Press, 1990.
summarizes and discusses 20 reference books of presentation
[5] K. Hyland, Specificity revisited: How far should we go now? English
and writing for students and researcher in both English and for Specific Purposes, 21, 2002, pp.385-395.
Japanese that are available in the market in Japan. By [6] A. M. Johns, Genre and ESL/EFL composition instruction in B. Kroll
introducing and discussing the details and features of these (ed.): Exploring the Dynamics of Second Language Writing. Cambridge:
books, the authors also wish to promote genre-based education, Cambridge University Press, 2003.
adoption of real-life teaching materials as ESP pedagogy as [7] E.S. Carreon, C.V. Balarbar, A paradigm for EST materials
well as bilingual approach for advanced bilingual learners and preparation, Paper presented at the Annual Meeting of the Teachers of
researchers. English as a Second or Other Language 1997 (1997,3) . Orlando, Florida.
169
Profiling Japanese EST students vocabulary ability using the New General
Service List Test (NGSLT) and the New Academic Word List Test (NAWLT)
HASHIMOTO Shinichi1, YU Yan2, SHI Jie 3 & ZHAN Haiyan4
Faculty of Informatics and Engineering
University of Electro-Communications
Tokyo, Japan
1
shin.hashimoto@uec.ac.jp
2
yu.yan@uec.ac.jp
3
shi.jie@uec.ac.jp
4
haiyanzhan313@gmail.com
AbstractUnderstanding the vocabulary profiles of students is improvement. In addition to traditional measurements such as
an important point for improving classroom-based pedagogy as examinations, the advancement of information technology adds
well as materials development based on students abilities and new variety of methods to the choices of EFL teachers.
needs in ESP (English for Specific Purposes). As the second phase Computer or internet-based technical support has largely
of a longitudinal research to assess Japanese university students enriched not only the styles but also the content of testing.
vocabulary competency, the researchers collected data on the
performance of second and third-year students majoring in One of the areas which is undergoing study and research is
science and engineering on the New General Service List Test learners vocabulary size, and one of the most renowned experts
(NGSLT) and the New Academic Word List Test (NAWLT) in the field of vocabulary research is Paul Nation. Together with
developed by Phil Bennett and Tim Stoeckel in 2015 using words co-researcher David Beglar, Nation has developed a test called
from the New General Service List 1.01 (NGSL 1.01) and the New the Vocabulary Size Test (VST) [1]. This test estimates the
Academic Word List (NAWL) developed by Charles Browne, receptive vocabulary knowledge of a learner by asking her to
Brent Culligan and Joseph Phillips in 2014. The NGSL 1.01 choose one out of four choices, the phrase that is closest in
consists of 2,801 of the most frequently-appearing words in general meaning to the target word. The target words in the test represent
use, and is a revision of the original General Service List (about several hundred words from a band of vocabulary of similar
2,000 words) which was compiled by Michael West in 1953. The frequencies (the number of times a word appears in general use).
NWAL consists of 963 frequently-appearing words in academic
This free and relatively simple test gives a rough estimate of a
text, and is a revision of the original Academic Word List (570
learners vocabulary size, and has become one of the most
words) which was compiled by Averil Coxhead in 2000. Both the
NGSLT and NAWLT are diagnostic tests of written receptive
popular tests to measure approximate vocabulary size. In a
knowledge of the New General Service List and the New Academic previous study, the vocabulary size of science and engineering
Word List respectively. The NGSLT and NAWLT use the same students was obtained using the VST [2].
specifications as the Vocabulary Size Test (VST) which was However, one limitation of the VST is that it only gives a
developed by Paul Nation and David Beglar in 2007, and have score which is an estimate of total vocabulary size, but does not
relatively good test reliability. This paper introduces the provide a more multi-dimensional profile of a learners ability
background about the tests, the participants in the study, and the
in different frequency bands. Also, the VST only measures the
data collection method. It also interprets the results of the collected
ability of learners in respect to general English.
scores, and discusses the implications of the results between
departments and years. In future studies, the researchers hope to In order to address more specific needs of learners, more
find ways to perceive the vocabulary abilities of students in their specific instruments are needed to measure areas of narrower
particular ESP fields. By doing so, they can be better informed focus. One way to achieve this is to break up vocabulary into
providers of instruction and create materials tailored to students different groups based on need. Lessard-Clouston [3] is a
particular needs. proponent of using word lists as a resource for vocabulary
teaching. For example, the General Service List (GSL) compiled
Keywordsvocabulary profiles, Japanese uinversity, science
and engineering students, ESP, NGSLT, NAWLT
by Michael West [4] in 1953 is a list of about 2,000 of the most
frequently appearing English words, and knowing these
I. INTRODUCTION fundamental words allows learners to read about 84% of general
English texts [5]. There is also a list called the Academic Word
Measuring students English competencies is a challenging List (AWL) compiled by Averil Coxhead [6] in 2000, and this is
task as there is a wide variety of the kinds of skills required to a list of 570 of the most common words used in academic
function in a foreign language. However, fostering students contexts. Both of these lists have long been used as a resource
English skills partially depends on the identification, profiling or for English teaching and learning. However, as language evolves
measurement of students language weaknesses and strengths. over time and with the advent of new technology, vocabulary
EFL teachers need reliable measurements to devise effective lists can become somewhat dated.
teaching methods and lessons aimed at specific target areas for
978-1-4673-7995-3/15/$31.00 2015
c IEEE 170
In 2014, researchers Charles Browne, Brent Culligan and The NAWLT is made up of 40 question items, divided into
Joseph Phillips revised both the GSL and the AWL so that the two levels. Similar to the NGSLT, 20 questions represent
lists have wider coverage of texts. The New General Service List roughly 500 words of the NAWL. Again, 16 or 17 correct items
(NGSL) [5] contains 2,801 words which covers about 92% of out of 20 indicates mastery of that level.
general English texts. The New Academic Word List (NAWL)
[7] contains 963 words which appear most frequently in The test results can be analyzed in different ways, but for the
academic texts and are not listed in the NGSL. The NAWL purposes of this paper, 85% was chosen as the threshold for
combined together with the NGSL have about 92% coverage of mastery of a particular level. Also, the results of the NGSLT and
academic texts. These two revised lists can be used as a starting NAWLT have been combined, with Levels 1 through 5
point for targeted vocabulary learning. representing corresponding levels on the NGSLT, and Levels 6
and 7 representing Levels 1 and 2 on the NAWLT, respectively.
However, when approaching the learning of these words,
simply starting from the first word, and then learning the second Knowing the ability of the students at the respective levels
word, and so on, is a daunting task, especially when tackling a gives more information about their vocabulary knowledge than
list of several hundred words. Most likely, learners have prior just their overall score for the 140 items of the combined tests.
knowledge of some words on the list. In order to more efficiently To illustrate, let us examine two different learners with the same
overall score. Student A and Student B both have an overall
target words that learners do not know, it would be helpful to
have some sort of diagnostic test to profile the approximate score of 111 items correct out of 140 items, but upon closer
knowledge that learners possess so that the strong areas cam be examination, it can be seen that Student A has mastery of Levels
acknowledged and weaker areas can be strengthened. 1 through 5, whereas Student B only has mastery of Levels 1
through 3. Student Bs mastery of vocabulary follows a linear
Using the same specifications as the VST, researchers Phil pattern, with more mastery of higher-frequency vocabulary, and
Bennett and Tim Stoeckel developed two new vocabulary tests less mastery with lower-frequency vocabulary. Student A,
which draw from words of the NGSL [8] and the NAWL [9] in however, has a slightly less linear pattern which peaks at Level
2015. The New General Service List Test (NGSLT) has been 3 indicating stronger knowledge at that level compared to other
piloted several times and has undergone revisions and shows levels. Comparing Levels 6 and 7, i.e. academic words, Student
relatively high test reliability. The New Academic Word List B seems to have slightly higher mastery than Student A. In this
Test (NAWLT) is still currently in piloting phase. These tests way, having the scores for each level of the test allows for the
aim to reveal more about learners abilities at different bands of creation of a vocabulary profile of individual learners that is not
frequency and for general and academic sets of vocabulary. The revealed by simply the overall score.
next section explains the tests in more detail.
TABLE I. COMPARISON OF VOCABULARY PROFILES OF TWO STUDENTS
II. THE NGSLT AND NAWLT
Overall Score: 111 out of 140 correct
Test items in the NGSLT and NAWLT have a similar Section of Test
Student A Student B
structure to the VST, as it uses the same specifications as the a c
VST. The test items consist of the target word followed by a Level 1 90% 95%
simple sentence containing the target word. The first line is Level 2 a
90% 90%
followed by four choices for definitions of the target word. Test a
takers choose the item that is closest in meaning to the target Level 3 100% 90%
word. Level 4 a
90% 75%
For example: Level 5 a
85% 75%
61. thick: It is very thick. Level 6 b
50% 65%
a. dry Level 7b 50% 65%
b. important a
NGSLT
b
NAWLT
c. beautiful c
18 out of 20 questions answered correctly. In this table, bold indicates mastery achieved.
d. wide
Minimal context is provided by the simple sentence using the III. ADMINISTRATION OF THE TESTS AND PARTICIPANTS
target word. The words used in the sentence and answer choices
A. Administration of the tests
are high frequency words that are relatively easily understood by
basic learners of English. Due to the limitation of computer laboratories, both tests
were administered consecutively as a paper-based test in an ESP
The NGSLT is made up of 100 question items. These 100 course for third-year students called Technical English in a
items are divided into five levels. Each level contains 20 Japanese university of science and engineering in Tokyo. Both
questions which represent a group of roughly 550 words of the tests were also administered to second-year students in a course
NGSL. The first level represents the most frequently-appearing called Academic English for the Second Year. Students read
words, the second level represents slightly less frequently- the questions from a test booklet and marked their answers on a
appearing words, and so forth. Answering correctly 16 or 17 scanner-readable marksheet. At least 40 minutes was allotted for
items out of 20 indicates mastery of that level. the tests, and students were instructed to answer all 140
171
questions. They were also notified that the results of this test Department A Department B
would not be considered as a part of their grade in the class. Year 2 Year 3 Year 2 Year 3
(n=23) (n=28) (n=34) (n=133)
B. Participants
A total of 383 students in four departments of the above- Level 4 9% 29% 32% 20%
mentioned university took part in this research. Students are Level 5 13% 25% 15% 8%
divided by department and year for comparison. Three classes
Level 6 0% 11% 0% 3%
of Year 2 students (n=90) and eleven classes of Year 3 students
(n=265) and one class of remedial Year 4+ students (repeaters) Level 7 4% 4% 9% 5%
(n=28) of Technical English participated in both exams. a
Combined score of NGSLT and NAWLT (maximum 140 points possible)
b
IV. RESULTS In Tables II and III, the higher of the two scores is bolded. No bolding when
scores are equal.
Below is a summary of the results gathered from the
combined scores of the NGSLT and NAWLT. Levels 1 through TABLE III. COMPARISON OF YEAR 2 AND YEAR 3 VOCABULARY
5 are from the NGSLT and Levels 6 and 7 are from the NAWLT. PROFILES IN DEPARTMENTS C AND D
A. Comparison by Department and Year Department C Department D

Year 2 Year 3 Year 2 Year 3
Table II and Table III show the comparison of the averages (n=33) (n=52) (n=0) (n=52)
between students of Year 2 and Year 3 within the same
department. The Max (maximum), Min (minimum) and Max. 114 123 - 124
Average are taken from the combined scores of the two tests Min. 63 49 - 69
with 140 being the highest possible score. The percentages
indicate the percentage of correct answers out of 20 questions. Average 99.2 98.1 - 99.9
The higher of the two scores between Year 2 and Year 3 students Level 1 85% 81% - 83%
is in bold. Table II contains data for Departments A and B, and
Table III contains data for Departments C and D. As there is no Level 2 70% 69% - 60%
data available for Year 2 students in Department D, only the data Level 3 52% 54% - 42%
for Year 3 students are listed. For this section, data from the
remedial class are omitted. Level 4 12% 23% - 25%
Table II shows students in Year 3 of Department A have Level 5 3% 6% - 8%

higher percentages in almost all the levels, even though the Level 6 0% 0% - 2%
maximum and minimum scores are higher for Year 2 students.
In Department B, the students of Year 2 score higher than Level 7 0% 4% - 4%
students of Year 3 in all categories, except for Level 6.
Table III shows Year 2 students in Department C scoring B. Comparison by Year
slightly higher than Year 3 students in Levels 1 and 2, but score Table IV shows the comparison of the averages of all the
lower for Level 3 and above. Department D has only scores for students from Year 2, Year 3 and Year 4+, regardless of
Year 3 students. department and the class they are enrolled in. The highest figure
Looking across the average overall scores in Table II and of the three is in bold. Overall, students of Year 2 are the
Table III, the ranking of the departments of Year 3 students from strongest performers. It is somewhat predictable that students
high to low is Departments A, B, D and then C. For Year 2 in Year 4+ have the weakest performance since they are mostly
students, the ranking from high to low is Departments B, A and from the remedial class.
C.
TABLE II. COMPARISON OF YEAR 2 AND YEAR 3 VOCABULARY

PROFILES IN DEPARTMENTS A AND B
Department A Department B
Year 2 Year 3 Year 2 Year 3 TABLE IV. COMPARISON OF YEAR 2, YEAR 3 AND YEAR 4+
(n=23) (n=28) (n=34) (n=133) VOCABULARY PROFILES
Maxa 128b 122 130 127 Year 2 Year 3 Year 4+

(n=83) (n=260) (n=40)
a
Min 85 79 79 40
Max 130 127 123
a
Average 100.9 104.3 106.1 100.4
Min 63 40 67
Level 1 91% 93% 88% 80%
Average 102.1 100.5 96.6
Level 2 87% 75% 85% 74%
Level 1 89% 82% 80%
Level 3 52% 61% 56% 55%
Level 2 80% 71% 50%
172
Year 2 Year 3 Year 4+ lists of vocabulary for specific purposes may become easier as
(n=83) (n=260) (n=40) research in corpus linguistics develops and advances in
Level 3 52% 53% 40% information technologies continue. This research attempts to
profile EST students vocabulary ability by using two newly
Level 4 19% 22% 18% developed vocabulary tests (NGSLT and NAWLT) that are
Level 5 10% 9% 5% based on corpus analysis. The results produced from the 383
EST students of second and third years at a Japanese university
Level 6 0% 3% 0%
who took the two tests indicate that Year 2 students performed
Level 7 5% 4% 3% better than their Year 3 counterparts. In addition, results also
show that the scores or the outcome and the levels of difficulty
of vocabulary are not proportionally positive. In general, this
V. DISCUSSION research carries important pedagogical implications for ESP
The results from Tables II, III and IV are interesting in that teachers at the Japanese university. In the future, the authors
the Year 2 students seem to perform better overall, having the plan to carry out the same tests with other classes of the same
highest average scores, and the highest performing group (Year course to achieve a more reliable profile of Japanese EST
2 of Department B). Especially in the lower levels of the students at this level of proficiency.
NGSLT, Year 2 students are evidently stronger. From Level 3
REFERENCES
to 7, the scores between Year 2 and Year 3 students are similar.
On the NAWLT, it is worthy to note that students on the whole [1] I. S. P. Nation and D. Beglar, A vocabulary size test, in The Language
Teacher, vol. 31(7), 2007, pp. 9-13.
seem to perform better on Level 7 than on Level 6. This seems
[2] S. Hashimoto, Y. Yu and J. Shi, The assessment of the vocabulary size
counterintuitive, as the words from Level 7 are of lower of Japanese university students of science and engineering in an ESP
frequency than those of Level 6. This may indicate a need for program, in the Proceedings of 2014 International Conference on
revision of some of the items for future versions of the NAWLT. Advanced Mechatronic Systems, Kumamoto, Japan August 10-12, 2014,
pp. 110-112.
With regard to the weakness of the VST compared to the
[3] M. Lessard-Clauston, Word lists for vocabulary learning and teaching,
NGSLT, Bennett and Stoeckel point out that since the VST tests in CATESOL, vol. 24(1), 2012/13, pp. 287-304. Available at:
for vocabulary knowledge of up to 20,000 words, the test may http://www.academia.edu/3605926/Word_Lists_for_Vocabulary_Learni
not be sensitive enough to give useful information to novice ng_and_Teaching accessed online on July 1, 2015.
English learners [10]. Although the VST can inform instructors [4] M. West, A General Service List of English Words, London: Longman,
of the overall vocabulary size of a learner, compared to the Green and Co., 1953.
single score of the VST, the NGSLT and the NAWLT give us [5] C. Browne, B. Culligan and J. Phillips, A new general service list: the
most important words for second language learners fo English (version
a more detailed understanding of where students are in terms of 1.01), 2014. Available at: http://www.newgeneralservicelist.org
mastery of different bands of vocabulary frequency. This point accessed online on July 1, 2015.
has important pedagogical implications, as instructors become [6] A. Coxhead, A new academic word list, in TESOL Quarterly, vol. 34(2),
more informed of which specific bands of vocabulary a learner 2000, pp. 213-238.
needs assistance in, they can provide more focused instruction [7] C. Browne, B. Culligan and J. Phillips, A new academic word list: the
most important words for understanding academic text, 2014. Available
in that area. It is hoped that doing so will increase the at: http://www.newacademicwordlist.org accessed online on July 1, 2015.
effectiveness of vocabulary acquisition. [8] T. Stoeckel and P. Bennett, The new general service test (NGSLT),
One suggestion for using the results of the NGSLT by 2015. Available at:
Bennett and Stoeckel [10] is for instructors to give a print out https://www.academia.edu/10526492/New_General_Service_List_Test
of the list of 560 words of a particular band that would be most accessed online on July 1, 2015.
useful for a learner to study next, along with the NGSLT results. [9] P. Bennett and T. Stoeckel, The new academic word list test
(NAWLT), 2015. Available at:
https://www.academia.edu/12480342/The_New_Academic_Word_List_
VI. CONCLUSIONS Test accessed online on July 1, 2015.
As EST students progress in their academic and professional [10] P. Bennett and T. Stoeckel and P. Bennett, Introducing a test of the new
careers, they will be required to learn more specialized English general service list, presented at the 4th Annual JALT Vocabulary SIG
Symposium in Fukuoka, Japan, June 20, 2015, unpublished.
vocabulary for their field or profession. The creation of specific
173
Peer Evaluation of Academic Presentations by

Japanese Graduate Students:
Qualitative evaluation
John Cross
SHI Jie
Division of Informatics and Engineering
Graduate School of Informatics and Engineering University of Electro-Communications
University of Electro-Communications UEC Tokyo
Tokyo, Japan johh.cross@uec.ac.jp
shi.jie@uec.ac.jp
AbstractThis study reports an investigation on the and features of qualitative peer comments, and to make
qualitative data of Japanese graduate students evaluation on recommendations based on this understanding.
peers academic presentation in English which is designed to be
part of a collaborative learning project. A total of 772 peer
comments was extracted from 265 peer evaluation on 10 group
II. THE COURSE AND THE PRESENTATION PROJECT
presentations as the dataset of this investigation. Results indicate
that students focuses are on the quality of slides including A. The course
figures, tables and texts, the understanding of the technical The course of this study is a compulsory English course of
content of the research presented by peers though students come ESP (English for Specific Purposes) offered to all students of
from various laboratories, and peers delivery abilities such as the first year of the master program at a Japanese university of
eye contact, reading from prepared notes and rate/speed of science and technology in Tokyo, Japan. This course is
speech. The data also shows that students gave more positive designed to train students English competencies in academic
comments than negative ones and that the suggestion type of and research reading, writing and presentation in English based
comment is the least in terms of the quantity. on the needs of the students and their research fields.
Keywords peer evaluation, academic presentation, qualitative The course is a half-a-year or one-semester course offered
data, research English, graduate students only in the Spring semester. Students are not placed according
to their English proficiency but grouped according to their
I. INTRODUCTION research laboratories and major groups within their
departments. The department taught by the first and second
The use of peer assessment is widespread in universities author of this paper has three classes. The total number of
around the world, indeed some institutions promote their use of students of the three classes is typically around 80-100.
peer assessment as part of a public commitment to learner
centered and learner inclusive practices, both of which may be
B. The presentation project
attractive features in an ever more globalized and competitive
educational context [1]. Use of peer assessment seems to be The graduate school ESP courses curricular goals are
encouraged by student expectations [2] and student three-fold as mentioned above: academic reading, academic
participation [3]. Positive view of its learner benefits include: writing and academic presentation with specific focuses on
receiving formative feedback, learning from examples, and students research fields.
internalizing assessment criteria [1]. In particular, peer The presentation project is intended to engage students in a
assessment has been recommended for use at post-graduate research-based group presentation that is designed to be a
level [2], as post-graduates are typically expected to be, and mock presentation of an international conference. Students are
themselves expect to be, self-motivated and self-monitoring divided into presentation groups according to their research
life-long learners [1]. Feedback in the form of comments laboratories. Each group typically consists of 3-5 students.
(rather than rating scales) is considered especially useful [4], When the number of students from an individual laboratory is
partly because some studies have shown peers to be less too small and/or the class size is too big, some groups are made
reliable than teachers at giving quantitative feedback, although, with combined laboratories.
generally, the direction of peers ratings is similar to teachers
[5], and partly because qualitative feedback in the form of The content of the presentation is freely selected by
comments are easier for learners to interpret and apply. Given students from their individual research of the past or the
this current situation, it is, therefore, worthwhile investigating present. Students tend to choose from their own graduation
and categorizing authentic peer assessments made as part of theses of undergraduate study because of the familiarity of the
post-graduate programs in order to further understand the type content.
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c IEEE 174
Each group is allocated between 9 to 15 minutes according students comments hand written in Sections IV and V. There
to the size of the group, in addition to a short (usually 3 are 772 comments extracted from the dataset of this study.
minutes) session of questions and answers (Q & A). The
presentation project requires students to use a PPT file for their The comments, or the qualitative data, of this study are
presentation. The presentation language is English with no summarized into the following categories:
Japanese allowed in both delivery and Q & A session. It is also 1) Delivery
required that all members of a group must participate in the 2) Language Performance
presentation delivery in order to provide all students with an 3) Understandign of Technical Content
equal chance for practicing English.
4) Slide Design
5) General Understanding
III. FORCUS OF PEER EVALUATION 6) Others
As it is outlined in the Introduction of this paper, there are
many merits to involving students in collaborative learning For each of the categories above, students comments are
process. Hence, the presentation project involves all students in divided into Positive (comments), Negative (comments),
evaluating their peers presentations. The peer evaluation is and Suggestions according to the meaning of the comments.
designed to be a part of the collaborative learning process using
a form designed by the first author. The peer evaluation form A. Data Analysis
consists of five sections: Table 1 shows the topic categories of peers comments and
the specific items of each category.
z Presentation organization and group performance
z Individual delivery TABLE I. TOPIC CATEGORIES AND SPECIFIC TOPICS
z Individual language performance
Topic categories Specific Topics
z Write at least 2 helpful comments for their peers Eye Contact
z Write at least 2 things students have learned from their Volume
peers presentation Rate of Speech
The peer evaluation is designed for students to be both a Nervousness
learner and an evaluator, i.e. by filling up the evaluation forms Delivery
Well-Preparedness
for all other peer groups, students gain knowledge and skills
regarding academic presentation on the various aspects while Reading from notes
providing their perspectives as an evaluator. The names of Gesture
student evaluators at the bottom of the evaluation forms are cut Microphone
off when the forms are returned to their peers usually in the Pronunciation
class after the presentations. By having students write their
names on the forms, teachers are able to evaluate students Language Performance Pauses and Stresses
attitudes or seriousness toward evaluation. On the other hand, Voiced nervousness
by cutting students names off the evaluation forms when Introduction
returning the forms to the presenters, evaluating students
information is protected, which motivates students to evaluate Purpose
Understanding of Methods/Experiments
more honestly.
Technical Content
Students are trained to understand how to use the Presented Results
evaluation form and all items of the five sections (see above) Discussion/Findings
before presentations are carried out. Students are also informed Conclusion
that their evaluation has no effects on the actual grades of their Choice of Fonts
peers.
Size of texts and figures, etc.
IV. DATA ANALYSIS OF PEER EVALUATION Color
This paper analyzes 265 peer evaluation forms completed Slide Design Animation
by approximately 40 students on 10 groups of presentation in Figures/Tables
two classes of Spring semester of 2015. Amount of texts
Though the evaluation form consists of five sections (see Quality of slides
above), only the qualitative data extracted from Section IV Q&A
(Write at least 2 helpful comments) and Section V (Write at Time Control
least 2 things students have learned from the presentation) Others
of ??? evaluation forms is analyzed due to the limited time and Title
the large quantity of the data. The qualitative data here means Cover slide
175
References
Amount of slides
Use of pointer
Usefulness
General Evaluation of Significance
Presentation Application
General understanding
Table II below shows the totals of peers comments of each

category with Positive, Negative and Suggestions Fig 2. Item Totals of Language Performance
included. The category that got the most comments is Slide
Design; and the categories that got the least comments are Figure 2 shows that students found that Pronunciation to
Others and Language Performance. This result can be be the most noticeable factor of this category.
interpreted to be that students were more concerned with Slide
Design than other categories because science and engineering
research uses various types of figures and tables as the main
means of data presentation. Hence, the quality of slide design
(Refer to Table I for details) significantly affects the
understanding of the content and the quality of presentation.
TABLE II. TOPIC CATEGORIES AND CATEGORY TOTALS
Category
Topic categories
Totals
Slide Design 229
Understanding of Technical Content Presented 167
Delivery 156
General Evaluation of Presentation 120 Fig 3. Item Totals of Understanding of Technical Content
Presented
Language Performance 53
Others 47 Figure 3 shows that Methods/Experiments,
Introduction and Results received most comments. This is
a natural result as understanding of any research relies heavily
on these factors in IMRAD (Introduction, Method, Results,
and Discussion) structure.
Fig 1. Item Totals of Delivery
From Category 1 in Figure 1, it is obvious that Eye

Contact received most of the comments from students. Fig 4. Item Totals of Slide Design
Following this item, Reading from notes and Rate of
Speech also received many comments. This result is In the category of Slide Design in Figure 4, the top five
significant because it indicates that the students, after training items received very close numbers of comments, indicating
and lectures, started to pay more attention to these items. these factors could be considered to be of equal importance
and/or equal difficulty.
176
Figure 7 shows the total numbers of comments by type and
the total number of comments of all types together. There are
more positive comments than negative ones. Suggestion type
of comments has the lowest total.
TABLE III. ITEMS WITH HIGHEST NUMBERS OF

COMMENTS
Total number of
Specific Topics
comments
Quality of slides 37
Methods/Experiments 36
Animation 35
Fig 5. Item Totals of Others
Application 33
Q & A is the most significant item in the category of Usefulness 29
Others in Figure 5. Though the time allocation for Q & A
Results 28
in the presentations is only 3 minutes, most presenters found
this part to be most challenging. The general performance was Positive Pronunciation 23
also considered to be the weakest by the teacher. Figures/Tables 20
Significance 20
General understanding 17
Introduction 15
Q&A 12
Volume 10
Amount of texts 33
Size of texts and figures,
28
etc.
Microphone 17
Introduction 17
Negative Eye Contact 16
Fig 6. Item Totals of General Evaluation of Presentation
Rate of Speech 16
Figures 6 shows that most of the items received fairly close Reading from notes 15
number of comments from peers. Though the item of
Significance received the least comments in this category, General understanding 15
the total number of 20 is not insignificant as compared with Methods/Experiments 13
many items of other categories.
Figures/Tables 10
Eye Contact 15
Suggestion
Reading from notes 13
Pronunciation 10
Fig 7. Total numbers of comments by type
177
TABLE IV. ITEMS WITH LOWEST NUMBERS OF both collaborative learning and data collection of students
COMMENT comments on their peers presentation. Though the total dataset
consists of both qualitative and quantitative data, this study
Total number of only analyzes the qualitative data. The results of this analysis
Specific Topics
comments (qualitative evaluation/peers comments of 265 peer evaluation
Title 0 forms) indicate that students are mostly concerned with the
quality of Slide Design, Understanding of Technical
Cover slide 0 Content Presented, Delivery and General Evaluation of
Positive
Amount of slides 0 Presentation. In addition, students made more positive
comments than negative ones and less suggestions than both
Use of pointer 0
positive and negative comments. Due to the smaller number of
Nervousness 0 suggestions, it is considered to be necessary that the students
Title 0 should be trained on how to make suggestions and be given
sufficient opportunities of practice, which is a similar finding
Negative References 0 by other studies [6]. Based on the results of this study, the
Amount of slides 0 researchers will continue with the analysis of the quantitative
parts of the same evaluation forms done by the same group of
Significance 0 students.
Nervousness 0
Time Control 0 ACKNOWLEDGMENT
Cover slide 0 The authors wish to thank Ms Ying Meng of Tokyo
Metropolitan University for her technical assistance.
Suggestion References 0
Amount of slides 0
Usefulness 0 REFERENCES
Significance 0
[1] Peer Assessment and Feedback, Teaching and Learning Development
Unit, University of Sussex: Sussex Internal, 2014. Retrieved 27th July
Tables III and IV show the specific items that received 2015 from: http://www.sussex.ac.uk/tldu/ideas/assessment/peer
most and least comments in terms of types, i.e. Positive, [2] R. Nagori, & M. Cooper, Key Principles of Peer Assessments: A
Feedback, 2014. Strategy to Engage the Postgraduate International
Negative and Suggestion. It can be observed that there are Learne. The IAFOR Journal of Education,Volume II, Issue II, Summer
more positive comments than negative ones. Items of Quality 2014. Retrieved 27th July 2015 from:
of slides, Methods/Experiments, Animation, and http://iafor.org/archives/journals/education/journal-of-education-v2-i2-
Application of General Understanding category are the top contents/key-principles-nagori.pdf.
winners of positive comments. Among the negative comments, [3] F. Hyland, ESL writers and feedback: Giving more autonomy to learners.
items of Amount of texts and Size of texts, figures, etc. in Language Teaching Research, 2000. Vol. 4, 33.
slides received most comments. It is worth mentioning that the [4] P. Davies, Peer assessment: judging the quality of students work by
comments rather than marks. Innovations In Education & Teaching
use of microphone is among the top ranked negative items. The International, 2006, 43 (1), 69 - 82.
data also shows that students made less suggestions than
[5] R. Lirely, C. Vanhook, & K. M. Keech, Developmental and Evaluative
positive and negative comments or judgement type of Contextual Usage of Peer Assessment of Research Presentations in a
comments. Graduate Tax Accounting Course. Social Science Research Network.,
2011. Retrieved 27th July 2015, from:
http://dx.doi.org/10.2139/ssrn.1881734
V. DISCUSSION AND CONCLUDING REMARKS
[6] P. Orsmond, S. Merry, & K. Reiling, The use of exemplars and
This study aims to investigate Japanese graduate students formative feedback when using student derived marking criteria in peer
perspectives of other peers research presentations in English and self assessment. Assessment & Evaluation in Higher Education,
2002, 27(4), 309 23.
using qualitative data only. A peer evaluation form is used for
178
Teaching Poster by Using Genre Approach to Science

and Technology Students of A Japanese University
Uma Maheswari Rajagopalan SHI Jie

1
Dept. of Food Science and Nutrition, Toyo University Graduate School of Informatics and Engineering
2
University of Electro-Communications University of Electro-Communications
umamaheswari@toyo.jp shi.jie@uec.ac.jp
AbstractScience and technology students require the pursuing research careers, it is necessary to train students with
specialized skill of making poster and the explicit teaching of writing and presentation skills and thus the university needs to
which is lacking in the curricula of general Japanese English innovate constantly the educational curriculum to meet
tertiary education. This paper considers posters as an expanded contemporary demands.
form of abstracts and reports teaching of posters to 20 third-year
students of an undergraduate ESP course at a Japanese university Students who participated in this study are in their third year
of science and engineering. First, students were taught to write an undergraduate science and technology students of a Japanese
abstract using genre theory which required teaching of the generic national university. As part of the curriculum of the technical
moves of an abstract of a research article (RA). Teaching of the English program started in April, 2012, students are required to
abstract involved the explicit teaching of the basic moves of acquire different skills of writing and presenting. While writing
background, purpose, methods, results and summary that are involves summarizing research articles, writing a research
needed to construct RA abstract. Following that, students abstract, presentations comprise of making oral and poster
deconstructed abstracts taken from authentic research articles presentations. The reasons for such skills development stem
selected by both the teacher and the student themselves into moves. from the fact that the students who in their fourth (final) year are
Having understood the moves, a democratic choice of several required to conduct an independent research project. Students
topics from the experiments done as part of the subject are required to write a research abstract, make a poster and make
curriculum was chosen for constructing abstracts. The abstract presentation to generally an international audience.
drafts were peer evaluated with checklists, followed by teachers
comments based on which the students submitted a final draft. The student group largely comprised of Japanese except for
Next, with the final draft, the students expanded the abstract to a few non-Japanese (Chinese). English language teaching in
construct a poster. This task involved writing the contents of each schools due to policies and organizational difficulties is very
of the moves in the abstract to detailed content expanding each of much oriented toward learning English through Japanese.
the sections, Introduction, Methods, Results and Summary. Therefore, students usually lacked oral and listening
Contents of all the sections except for the Results were prepared competency and are better performing in written forms and
in groups of three or four with each member being responsible for therefore, expected to perform the current task within their
each section. Although group members constructed the contents
capabilities.
through discussion, poster making and presentation were done
individually. Though there were some overlaps in the contents, the The focus of current research is on how effectively the
current project was found to empower the students with the students can be empowered with the required skills of writing an
required poster making and presentation skills which was also abstract and making of a poster that is an expanded form of the
shown from the post survey. abstract. In general, most of the students engage in direct
translation of the initially constructed Japanese drafts. This in
KeywordsGenre Apporach, Poster presentation, Research turn leads to a text devoid of logically sequenced constructions
Article, abstract, moves
with often redundancy and lack of cohesion being the major
I. INTRODUCTION problems.
English is an international language of communication How to teach the students writing of abstracts and thus
transcending communal and cultural boundaries and promotes making a poster? Of course, the former is the heart of a
international communications [1], [2]. With English being a publication serving its main purpose of attracting a prospective
lingua franca gaining its status as a global language [3], it reader while the latter is a much needed skill for not only in
becomes necessary for language practitioners and teachers to research but also in business environments. In spite of the
distinguish various genres such as written and spoken English Japanese students having eight years of general English
and design curriculum to meet the demands [4]. In order to meet education, there is no systematic teaching done toward writing
such demands, there is a constant need by educational institutes for science and technology. Therefore, the problem is not just
to impart the appropriate skills to students. For students
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teaching of how to write but what to write: the selection of the relates to other texts, where it might appear, what writer
contents and the method of teaching them. processes might be involved, and what other contextual
elements finally leading to critically evaluating a text thus genre.
The problems in writing are found to be mainly arising out Peters et al [19] addresses the needs of learners lexical
of the way the writing is done. In general, most of the students knowledge in their specialized fields and the application of a
engage in direct translation of the initially constructed Japanese student-centered approach to motivate the students. Huttner et al.
drafts. This in turn leads to a text devoid of logically sequenced [20] suggest for the inclusion of corpus data driven approach
constructions with often redundancy and lack of cohesion being into genre based pedagogy.
the major problems. Moreover, lack of students knowledge on
technical lexis makes it difficult for the students to construct In spite of the wealth of work on the implementation of
meaningful writing. We used methodology of genre based genre-based pedagogy [21], [22], there seems to be differences
pedagogical tools for writing abstracts as those proposed by arising out the contexts in teaching and learning environments
Swales and Feak [5]. as the ESP situation conducted in the current study. Moreover,
there seems to be a few studies that make use of the students
Genre based pedagogy subject materials into EST context [23].
Genres can be defined as social practices that have evolved
to achieve social goals and they relate to the cultural context.
Therefore based on the cultural and socio contexts, one can have
a system of language choices and genre theory to categorize
texts. To accomplish the social goal, genres involve a number
of predictable functional stages [6] with the meaning created in
each stage being realized through the lexical and grammatical
choices being made.
In teaching English for Specific purposes (ESP), one aim is
to make clear how information is organized in genres by
identifying the moves that perform specific purposes [7; 8] and
also to determine the obligatory and optional moves. The other
aim is to identify the linguistic features commonly found in the
moves and to present these features in a meaningful way. Thus,
with a few examples, genre-based pedagogy focuses on the
results of making language learners aware of which moves to Fig. 1. Three phases in teaching [24]
write and in which order [9]. This has been shown to be effective
in helping learners to organize their writing more effectively at
the macro level [10]. II. DATA COLLECTION AND ANALYSIS
Henry and Roseberry [11] through dividing genre and nor- A. Abstract teaching
genre groups reported how genre-based instruction and
materials improved learners ability to produce effective tokens As a topic for teaching an abstract, democratic choice of a
of the genre of the tourism brochure (p. 148). Mustafa [12] few topics were chosen from students laboratory experiments
examined how formal instruction in the genre of the term paper and they included Wind tunnel, Heat convection, Stress analysis,
raised university students awareness of term paper conventions. Image processing and Tensile stress test. A total of 20 students
Hyon [13] found that the L2 graduate students interviewed participated with around four students per topic. In teaching the
immediately after an EAP genre-based reading course reported generic stages, the cyclic model of three phases, deconstruction,
increased attention to rhetorical features in texts and improved independent construction and joint construction was adapted as
reading confidence and speed. Recently, Yamada [14] from e- given in Figure 1 [24]. The procedure involved in teaching is
mail writing tasks reported of crucial links between genre and given in Figure 2.
tasks. First the students were taught the moves of a research
Hyland [15] describes genre-based pedagogies as a valuable abstract of a RA [5]. Table 1 gives the moves with contents in
each move. Next, the students deconstructed two to four
resource offering teachers and students respectively a coherent
abstracts selected by teacher and themselves and their peers in
objective framework for studying both language and contexts to
the class. Following, brain storming the contents of the topics of
produce effective and relevant texts. Cheng [16] based on case
study indicated the effectiveness of genre-based framework in the chosen experiments from the subject curriculum, the
facilitating the learners development of their own needs and, students constructed abstracts independently on the assigned
ultimately, their self-accessed and self-directed learning of topic from the subject curriculum.
academic literacy. Genre pedagogies combining language, Independently constructed abstracts were peer evaluated
content, and contexts promise benefits to learners at the same with a checklist for the presence of moves and the sequence of
time offering teachers a means of presenting students with moves in DRAFT 0 (Appendix I), and usage of tense and voice
explicit and systematic explanations [17]. along with the usage of personal pronouns in DRAFT 1
Johns [18] suggests for a method of breaking down a text, (Appendix II). They were also asked to look for the obligatory
considering how a text from a genre might be structured, how it and optional moves thus understanding and distinguishing the
180
moves. As a result of peer evaluation, each student came to with the way of how to do the presentation. Different example
know about the points that were needed to be revised and posters were shown during the class to understand the left to
constructed a draft abstract which was checked by the teacher. right and top to bottom flow of information, usage of color, text
In the final stage, upon receiving feedback on DRAFT 2 from and the parallel processing of information unlike in an oral
the teacher, students were asked to make a final draft, DRAFT 3 presentation, where the information is given in a linear fashion.
which was further developed into a poster.
Contents of the poster comprised of sections, background,
purpose, experiments, results and summary. In order to construct
the contents of the posters, three main genres, namely
argumentative, descriptive and procedure/process genre was
explicitly explained with examples drawn from each of the
genres (Figure 3). Students deconstructed followed by
construction of each type. Simple everyday examples like pencil
versus pen, describing a mouse, recipe writing were used
respectively, for understanding argumentative, descriptive and
process genres. Students were given exercise to practice these
genres. For describing results, students were also taught on how
to describe graphs and reporting the findings from graphs.
Following learning of different genres, students were asked
to discuss the contents of their given topic with the group
members to form background along with purpose, methods, and
results each of which corresponding respectively to
Fig. 2. Procedure of teaching abstracts
argumentative, process and descriptive genres. In order to
reduce the difficulty level following discussion among
themselves, individual students were assigned to write each
TABLE 1. MOVES IN RA ABSTRACT section. As the students had individual results, each student
Move # Description Typical questions was asked to use his/her own results in writing up the results
Move 1 Background/ Is there a description about section.
Introduction the background of the topic?
Why is the topic important?
Move 2 Present Is the problem or the

research/purpose purpose given?
Is there a clear statement
about what the study is
about?
Move 3 Methods/materials/ How was the research done?
procedure/subjects What were the materials
used? What was the
procedure?
Move 4 Results/findings What were the findings?
Move 5 Discussion/conclusi What do the findings mean?
on
Fig.3. Required moves in an abstract with the corresponding major genres
(Move 6) Implication/ What are the implications of taught in making of a poster.
Optional Recommendations/f the findings in future?
uture perspectives
B. Data collection: posters

In this study, posters are considered to be as an expanded
form the abstract with each of the moves expanded to form
content. The topics chosen for constructing abstracts were also
used for making the poster. As in the case of abstracts, all the
students constructed an individual poster. For many students,
poster construction was for the first time. Each student made a
A0 sized poster and presented in a real poster like session of a
conference conducted within the class. Unlike in a conference,
the audience were other students and the teacher.
Design layouts and the dos and donts in making of the
poster were explained to the students with many examples along
181
III. RESULTS expanded to a poster. The students had difficulty to distinguish
the most relevant to the unimportant information.
The whole couse duration was 15 weeks. Within this time,
students were taught the abstract and the poster apart from Further, students had difficulty to introduce and explain the
covering units from a common text book used across the whole theoretical concepts for the experiments. Especially, as some of
program. Aroung 6 to 8 weeks were used for the teaching of the experiments needed physical priniciples containing
the abstracts and the poster. Usually the students were given mathematical equations, lack of experience made the students
writing tasks to be done at home with teaching of the various finding it difficult. In future, the required moves need to include
genres in class. Last three class times were devoted for the way to explain the theoretical concepts and mathematical
equations. Moreover, the students need to be introduced to
presenting posters. Before the presentation, all the students
describe not just graphical results but also contour plots and
could generally organize the contents including the results
pseudocolor coded images.
obtained for their own experiments as a poster. Students made
use of the templates provided for making the poster. Two
example posters are given in Figure 4.
Fig. 4. Representative sample students posters
Each student presented his or her poster individually. In

order to conduct the presentations, students were divided in such
a way that not more than two students were from the same topic
on a single day. Presenting students were asked to post their
posters within the classroom while the remaining students were
asked to engage in going and seeing the posters and discuss with
their friends. Students were also provided with a peer evaluation
forms to evaluate their peers posters which were used in final
grading.
Fig. 5. Results of survey on students perceptions of poster making.
Prior to presentations, posters were checked by teacher for
contents, organization and English, Students were asked to
prepare a script for presenting in English that was also corrected
in advance by the teacher. So, in general students were well IV. SUMMARY
prepared for the poster presentations and also they could feel the Making and presenting of poster was taught to
pressure involved in making a presentation. Students were found undergraduate technical university students as an expanded form
to like the challenge as revealed from the survey done at the end of abstracts. First, the abstracts were taught based on genre based
of the poster presentations by all the students. moves followed by expanding each move into a section. As
Students were found to enjoy moving around and looking at contents for teaching the poster, experiments done in subject
others findings in experiments. They could also discuss about curriculum were used. In the experiments that the students had
the experiments with their peers. A survey on the students already done, there were contents corresponding to each section,
perceptions of making the poster was conducted (Appendix III). background, methods, results & discussion and summary.
Pie charts showing the results of the questionnaire are given in Having conducted experiments and obtained results has
Figure 5. made it possible for the students to use them for poster thus
As can be seen from the survey results, more than 60% of providing a chance for making a poster with ones own
students found the task of poster presentation as difficult but at simulated atmosphere of research space. So the current study
the same time they liked the challenge. More than 80% found revealed that genre approach can be effectively used in teaching
that the poster presentation would be helpful while 50% thought of poster. At the same time, there were also some difficulties
they are better prepared for making a poster. The main difficulty realized as a result of this study. Based on the current
in making a poster was found to be writing up the contents. observation of students presentations, it was found that the
students had difficulty in presenting their results. Actually, the
Although, the students could understand the process of results demanded more critical thinking skills of the students and
writing an abstract and thus a poster, the main problem was logical expressing skills of the findings in English. In future,
found to be not the structure but the contents to fill in each move more attention will be given to develop critical thinking skills so
of the abstract and corresponding details of each move when that the students can reflect on their findings and express clearly
and logically.
182
APPENDIX I: For deconstruction of DRAFT 0
*Checklist for Self/Peer
REFERENCES Reviewed by:___________ The writer/applicant: ___________
General Details
[1] H.Widdowson, Text, grammar and critical discourse analysis in C. No. Description /X
Coffin, T. Lillis and K. OHalloran, Eds. Applied linguistics Methods a Move 1 Is there a description of background?
reader. Milton Keynes: The Open University , 2010. Move 2 Is there a purpose statement?
[2] A. Pennycook,English in the world/The world in English, in Cook and Move 3 Is the method clearly described?/
North, Eds, Applied linguistics in action a reader. Milton Keynes: The Is there a description of the procedure used?
Open University, 2009.
[3] D. Crystal, D, Why a global language? in Cook and North, Eds Applied Move 4 Is there a clear description of the results
linguistics in action a reader. Milton Keynes: The Open University, 2009. obtained?
[4] H.G.Widdowson, The theory of practice in Cook and North, Eds, Move 5 Is there a clear highlighting of the results?
Applied linguistics in action a reader, Milton Keynes, The Open Specific Details
University, 2009. No. Description /X
[5] J.M. Swales and C.B. Feak, Abstracts and the writing of abstracts, The 1 Can you identify the moves?
Michigan series in English for Academic & Professional purposes, The
USA: University, 2009. 2 Are all the moves present?
[6] J.R. Martin, Design and practice: Enacting Functional Linguistics,
3 Are the moves in order?
Annual Review of Applied Linguistics. 20, pp. 116126, 2000. 3 Are there any misplaced moves?
[7] J. M.Swales, & C. B.Feak, English in today's research world: A writing 4 Are there any missing moves?
guide, Ann Arbor: University of Michigan Press, (2000). 5 Missing moves are
[8] V. K.. Bhatia, Analyzing genres: Language use in professional settings, 6 Do you think you can imagine of what is given
London: Longman, 1993. in the abstract?
[9] J. M.Swales, Genre analysis: English in academic and research settings. 7 Are there any personal pronouns, I, you..?.
Cambridge: Cambridge University, 1990. 8 Does the abstract follow the general rules of
[10] S.Hyon, Long-term effects of genre-based instruction: A follow-up study word limit, no indent, etc.?
of an EAP reading courses, English for Specific Purposes, 20, 417438,
2001.
[11] A.Henry, & R. L. Roseberry, An evaluation of a genre-based approach to APPENDIX II: For deconstruction of DRAFT 1
the teaching of EAP/ESP writing. TESOL Quarterly, 32, pp.147156. Checklist for Self/Peer
[12] Z. Mustafa, The effect of genre awareness on linguistic transfer, English Reviewed by: Draft belongs to :
for Specific Purposes, 14, pp.247256, 1995.
Grammar details
[13] S. Hyon, Genre and ESL reading: A classroom study in A. M. Johns Item Description Identifiable
(Ed.), Genre in the classroom: Multiple perspectives, pp. 121141,
Mahwah, NJ: Lawrence Erlbaum, 2002 /X problem(s)
[14] S.Yamada, Genre-based tasks in foreign language writing: Developing 1 Is the move 1 written in present or
writers genre awareness, linguistic knowledge and writing competence, present perfect tense?
Journal of Second Language Writing, 20, pp.111-133, 2011. 2 Is the move 2 written in present
[15] K. Hyland, Genre pedagogy: Language, literacy and L2 writing tense?
instruction, Journal of Second Language Writing. 16, pp. 148164, 2007. 3 Is the move 3 written in past
[16] An Cheng, Individualized engagement with genre in academic literacy tense?
tasks, English for Specific Purposes. 27, pp. 387411, 2008. 4 Is the move 4 written in present or
[17] F.Christie, , & J. R. Martin, Eds. Language, knowledge and pedagogy: past tense?
Functional linguistic and sociological perspectives. A&C Black, 2009. 5 Is the move 5 written in present
[18] A. M. Johns, The future of genre in L2 writing: Fundamental, but tense?
contested, instructional decisions, Journal of Second Language Writing. 7 Is there use of personal pronouns
20, pp. 5668, (2011): I or you?
[19] P. Peters, T. Fernandez, The lexical needs of ESP students in a 8 Are there any spelling or
professional field English for Specific Purposes. 32 , pp.236247., 2013.
grammatical errors?
[20] J. Huttner , U. Smit, B. Mehlmauer-Larcher, ESP teacher education at Examples of Identifiable problems:
the interface of theory and practice:Introducing a model of mediated
corpus-based genre analysis, System. 37, pp. 99109, 2009.
Mixing of tenses, too short or too long move, too detailed or no detail,
we used often, etc.
[21] J. M .Swales & C. B. Feak, Academic writing for graduate students:
Essential tasks and skills, Vol. 1, Ann Arbor, MI: University of Michigan
Press, 2004.
[22] B. Paltridge & S. Starfield, Eds. The handbook of English for specific
purposes, Vol. 120, John Wiley & Sons, 2012.
[23] J. Parkinson, Acquiring scientific literacy through content and genre,
English for Specific Purposes, 19, pp.369387, 2000.
[24] J.Rothery and M. Stenglin Spine-chilling stories: A unit of work for
Junior Secondary English. Sydney: Metropolitan East Disadvantaged
Schools Program (1994:8).
183
Appendix III: Teacher questionnaire on poster 4. What was the most difficult part in making the poster? Circle
1. Do you think the poster preparation with your experiments was multiple if necessary.
challenging? Circle one. Writing contents
NO CANT SAY YES Layout
2. Do you think the poster preparation with your experiments Printing
would be helpful to you? Circle one. Anything else (indicate)
NO CANT SAY YES 5. Did you like the challenge of making poster with your
3. Do you think you are better prepared for experimental results? Circle one
making a poster? Circle one NO CANT SAY YES
NO CANT SAY YES
184
Corpus-based Analysis of Academic RA Genre:

The Results sub-genre
Sbastien Louvign Jie Shi

Graduate School of Information Systems Graduate School of Informatics and Engineering
The University of Electro-Communications The University of Electro-Communications
louvigne@ai.is.uec.ac.jp shi.jie@uec.ac.jp
AbstractResearch Article (RA) is the kind of academic studies as listed by Swales [2]. All previous works on RA
publication that all researchers must produce constantly but not genre are justified by its high importance for teaching, learning
necessarily have learned systematically in their university and applications, in particular for non-English speaking
education. RA consists of multiple parts as typically summarized individuals [3]. The lack of sufficient and adequate knowledge
to be IMRAD (Introduction, Method, Result and Discussion) of the RA, based on genre and linguistic approaches, results in
which is a considered to be one of the academic genres. Each of difficulty or even inability for most EST graduate students and
the multiple parts of the RA genre is comprised of one or more researchers to correctly employ and organize
sub-genres, which makes the RA genre complex and challenging, linguistic/language expressions for clear communication of
especially for novice EST (English for Science and Technology)
their ideas.
researchers. As an effort to decode the RA genre in order to help
the novice EST researchers, the researchers of this study analyze Following the previous analyses on Introduction [4] and
the sub-genre of Results using corpus-based approach, after Method [5] sections by the authors, this study focused on the
they analyzed the Abstract, Introduction and Method sub-genres Results section. The Results section has its own
in previous studies. The purpose of this study is threefold: to importance since authors describe experiments scenarios and
determine the linguistic features of the common moves empirical outcomes with the purpose to justify the hypotheses
(structure) in the Results sub-genre of RA using corpus presented in Introduction, and to demonstrate the
analysis, to compare the linguistic features of Results with
contribution from the Methods presented.
those of the whole RA, Introduction, and Method. .
This study employed the same corpus linguistic approach as
Keywordsresearch article, academic genre, sub-genre/moves, in previous researches on Introduction and Method of RA
corpus-based approach, analysis in order to focus on:
I. INTRODUCTION x The linguistic features of the common moves in the
The Research Article (RA) is an important academic genre Results section of RA using corpus analysis,
for all research fields as it is one of the valued means of x The comparison and analysis of those linguistic features
publication or communication of research outcome. Proper use with the ones identified from the whole RA, and
of the commonly acceptable structure or moves of the genre
and its sub-genres gives researchers effective and efficient x The comparison of the rhetorical moves used in the
means of demonstrating their research. Lacking such Results section with those previously analyzed
knowledge and skills in this genre, significant research sections (i.e. Introduction [4], and Method [5]).
outcome will seriously obstruct the goals of global
This research focused on the Journal of Optics and on
communication of science and technology. Hence, obtaining
research articles dated from 1997 to 2001, as a first part of a
the competences of RA writing is sometimes said to be almost
longitudinal study. 543 RAs were collected and analyzed after
equally important as obtaining research skills in the various
converting the documents into a readable format and extracting
EST fields.
the sections under focus in this study.
RA, however, is a challenging academic genre for novice
The other key method utilized in this study is corpus-based
researchers and writers as it contains multiple parts such as
analysis of genre-based linguistic features. Corpus linguistics
introduction, methodology, results, analysis/discussion of
research provides several techniques and tools to analyze
findings, and conclusion. Each part consists of one or more
corpora based on various features (word frequency,
sub-genres using different moves, which are functional units
concordance, cluster, N-gram). This study used the corpus
consisting of words and linguistic expressions used for
concordancer AntConc [6] to analyze the collected and
communicative purposes of the specific sections of a genre [1].
extracted RA data.
The genre-based analysis of the RA appears to be a
complex and therefore a difficult task, resulting in numerous
978-1-4673-7995-3/15/$31.00 2015
c IEEE 185
II. MINING OF RESEARCH ARTICLES Table I shows strong similarities within the first four most
The first stage of this study consisted of building an frequently used lexicons, with however the exception of the
international RA-based corpus using a specific research field. lexicon show which appears as the second mostly used
The International Journal of Optics [7] was chosen as the lexicon after be for the Results sections, used by authors to
source of full research papers and Focus Issue papers. A total indicate outcomes and interpretations. The list becomes more
of 543 RAs was then collected using issues dated from 1997 to diversified with technical terms related to the research field.
2001 as a first part of this longitudinal study. The differences observed contradict the results observed in the
analysis of Methods section, when compared with the
After converting all the documents from PDF into text files Introduction section and the whole RA. For example, some
readable by the corpus linguistics tool, the data extraction stage terms appeared highly ranked in the Methods section, more
consisted in identifying and isolating the Results section of than in Introduction or the whole RAs (e.g. function,
every RA. Some of the documents were only considered for the equation, field, frequency) as they are used to describe
corpus analysis of full texts as they were organized without methodologies, and therefore appeared lower for Results
titled sections, making it impossible to computationally extract sections. Some other terms however appear highly ranked in
sections. Results section (e.g. time, laser, optical, pulse,
intensity, wavelength, and of course result) as they
In consequence, a total of 1,419 files separating each
consist of technical terms related to the research area that can
section from the RAs dataset were added to the 543 full RAs
also be expressed to describe the results of the studies, but also
(excluding titles, author names, affiliations, and references).
the research background and purpose which explains their
The Results sub-genre existed in 322 text files.
relatively high ranking in the list of lexicons used in whole
RAs.
III. ANALYSIS RESULTS TABLE I. MOST FREQUENTLY USED LEXICONS

The methodology of corpus linguistics compiles and Result Methods Research article
analyzes corpora to search for language features and patterns,
and also to understand the meaning of the text in support of Freq. Word Freq. Word Freq. Word
various theories [8]. 1 11,785 be 15,985 be 54,359 be
2 1,409 show 2,275 we 8,852 we
Current computational performance facilitates analyzing
3 1,325 we 1,743 use 7,073 have
corpora with increased speed and reliability via data mining
4 1,285 use 1,425 have 6,868 use
techniques. The expected outcomes can be wordlists, keyword
5 1,211 pulse 1,318 field 5,082 pulse
frequencies, concordances, clusters, N-grams and so on. 6 1,063 image 1,213 which 5,044 show
In order to analyze the usage and organization of linguistic 7 975 have 1,158 show 4,812 which
expressions and moves in the RAs, the second stage of this 8 944 laser 1,061 image 4,485 laser
study consisted of: 9 844 figure 1,015 where 4,304 image
10 797 beam 939 beam 4,080 field
x Analyzing the linguistic features and the common 11 793 which 908 mode 4,020 two
rhetorical moves of the Results section of 322 RAs, 12 731 result 887 two 3,969 time
13 695 field 861 laser 3,905 optical
x Comparing findings with the linguistic features of the frequenc
543 whole RAs used to extract sections (excluding titles, 14 3,561 result
656 intensity 853 y
author names, affiliations, references), 15 651 two 850 optical 3,342 phase
x Comparing the use of rhetorical moves in the Methods 16 646 time 841 function 3,327 beam
section with the findings from previous studies based on 17 623 mm 821 phase 3,236 state
the Introduction and Methods sections of the same 18 617 phase 782 system 3,170 mode
RAs used in this study [4] [5]. frequenc
19 3,166
601 value 772 time y
A. Lexicon frequency 20 574 cm 732 pulse 3,061 one
Using lemma word forms (lexicons written in different waveleng
21 3012 light
548 th 726 state
forms, e.g., verbs), corpus linguistic tools can list words most
22 529 power 719 result 2992 system
frequently used within the corpus.
23 528 frequency 715 one 2948 function
Table I shows the thirty most frequently used lexicons in 24 515 light 676 value 2928 where
the corpus of introduction sections and in the corpus of entire 25 503 case 673 equation 2847 high
RAs. The most commonly used words in the English language 26 503 optical 669 signal 2668 wave
(e.g. the, of), considered as not essential in creating the wavelen
27 2507 intensity
meaning of ideas, were filtered out. However, technical nouns 500 between 659 gth
and verbs are considered important in the meaning creation and 28 500 function 648 give 2474 between
are shown in Table I. 29 498 mode 644 figure 2465 figure
30 490 signal 628 light 2441 case
186
B. UnitsN-gram or lexicon bundle This study also focused on the 4-gram and 5-gram lists, the
Recent computational advancements allow corpus research latter shown in Table III, showing expressions and patterns
to perform fast and efficient analysis of large-scale datasets. corresponding more with the moves used by the writers. These
Corpus linguistic tools provide different features (i.e., word expressions give a holistic overview of how the meaning is
frequency, concordance, cluster) to analyze the linguistic communicated in both the introduction section and the full RA.
features found in documents. Among these features and in Table III shows a similarity between the Result section and
addition to lexicon frequency, N-grams, also called lexical the whole RAs in terms of the most frequently used 5-gram (i.e.
bundles [9], can identify recurring expressions within the as a function of the). The same observation was made when
analyzed genre. analyzing the Method section. However, the rest of the list of
Related to the most frequently used lexicons, 2-gram lists 5-gram observed in Results section differs from what was
mostly display combinations of two common words of the analyzed in Method, Introduction and the whole RAs.
English language (e.g., of then, can be). Table III shows for the Results section a list of expressions
that are more descriptive and focus on the introduction and the
On the other hand, 3-gram lists, as shown in Table II, interpretation of information. It also appears that these
present more detailed and various grammatical functions. expressions can be used in any context, unlike the 5-gram
expressions found in the Method section, which were more
TABLE II. MOST FREQUENTLY USED 3-GRAM specific to the domain of research. The list of most frequently
used 5-gram expressions from Results sections also shows
Results Methods Research Article
expressions describing more empirical and concrete
Freq Words Freq Words Freq Words information, when the expressions found in the whole RAs
1 284 shown in fig 227 shown in fig 785 due to the tend to introduce the motivation and purpose of the research
a function that will be subsequently presented.
2 196 a function of 208 due to the 709
of
as a TABLE III. MOST FREQUENTLY USED 5-GRAM
3 183 as a function 189 a function of 644
function
4 183 due to the 166 as a function 636 in order to Results Methods Research Article
the number Freq Words Freq Words Freq Words
5 145 in order to 157 in order to 493
of as a function as a function of as a function
the number 70 66 237
6 124 are shown in 153 469 the case of of the the of the
of it can be seen as a function of this work was
7 121 in fig the 141 the case of 430 in this paper 21 23 61
that time supported by
function of with respect intracavity field
8 111 is shown in 132 401 in the case of in the case of
the to 15 20 distribution in 60
9 110 in fig a 128 is given by 385 as well as the the
an
figure shows with respect three-
10 99 110 785 due to the
the to is shown in dimensional as a function
function of 15 20 57
11 91 as shown in 108 part of the 379 fig the intracavity field of time
the distribution in
12 88 in fig b 96 in fig a 350 is shown in at a repetition the Fourier it is well
function of 13 19 49
13 86 95 in the case 349 the use of rate of transform of the known that
the half-symmetric
the number in the center it should be
14 83 94 in this case 346 in this case 13 18 unstable cavity 48
of of the noted that
with neq
15 80 the case of 94 is shown in 345 in fig the the results are it can be seen
16 77 in this case 93 in fig the 328 of the laser 13 17 in the case of the 46
shown in that
17 76 can be seen 90 as shown in 326 is given by an m half-
dependence it can be seen on the other
18 76 87 as well as 324 in the case 21 16 symmetric 45
of the that hand the
unstable cavity
with respect in the case of at the center of in the case of
19 74 86 in terms of 323 in fig a 15 16 44
to the the a
shown in distribution in
20 72 84 note that the 300 as shown in as shown in the refractive
figure 12 16 an m half- 44
fig the index of the
symmetric
Although Table I revealed some differences between most
frequently used lexicons in Results and Methods sections, C. Rhetorical moves
Table II indicates more similarity between both sections where
Previous studies identified different rhetorical moves used
authors present their results and outcomes using similar moves
to create and communicate different meanings found in a
as when describing their proposed methodologies and theories.
specific genre [1]. The list of five moves (i.e. Research
Table II also reflects the important usage of the lexicon show
background, Research purpose, Methods, materials,
to introduce figures, tables and other empirical results.
subjects and procedures, Results and findings, Discussing
187
results and outcomes) was also used as in the previous stages
of this research.
In order to identify the usage of these moves in the RA-
based corpus, potential terms and expressions corresponding to
each move were identified and searched for in the corpus and
compared with the last stage of this study. Some of the
expressions used in this longitudinal study are listed in Table
IV.
TABLE IV. SOME TERMS AND EXPRESSIONS FOR RHETORICAL MOVES
Move 1: research field, field, general, generally,

Research in the past, in the last, important,
background motivation, at present, issue, previous
works Fig. 2. Percentages of each rhetorical move usage for each section
Move 2: this paper, this research, this study, this
Research purpose approach, aim, purpose, focus, we Figures 1 and 2 show a higher use of rhetorical move 4 (i.e.
introduce, state, argue, examine, report, about results and findings) in Results section, with an
observe, goal, want to, intend, design, important use of move 3 about methodologies proposed by
propose, demonstrate, we present, we authors. This confirms the strong connection between both
describe rhetorical moves since the analysis of Method section also
Move 3: method, methodology, develop, showed a strong usage of both rhetorical moves. Unlike
Methods, procedure, experiment, material, Method sections however, there are fewer references to
materials, subjects subject, approach, use, technique, research background and purpose.
and procedures implemented
Move 4: result, findings, summary, discover, Figure 2 also shows that the three sections analyzed have
Results and discovery, analyze, analysis, similarities when focusing on a specific rhetorical move. This
findings observation, show illustrate the tendency of authors to combine rhetorical moves
Move 5: main, significant, outcome, highlight, in different sections to strengthen their justifications, making
Discussing results strength, mean, application, evaluation, these associations an important part in creating the meaning of
and outcomes impact, insight ideas to be expressed in RAs.
Using the corpus linguistic tool AntConc [6], the total

frequencies of all terms and expressions partially listed above IV. CONCLUSION
were determined. Figure 1 shows the total sum for each It is believed by the authors that, with sufficient genre and
rhetorical move used in the Results sections, in addition to the linguistic knowledge of the RA genre demonstrated in the
previously analyzed Introduction, Methods sections and employment of correct structure or organization and
the whole RAs. The amounts are also displayed in Figure 2 appropriate linguistic/language expressions, EST students and
showing the percentages of each rhetorical move usage in each researchers can encounter less difficulties in writing research
section analyzed. articles and can communicate with the global academic
communities better. The purpose of this study was to obtain a
better understanding of the common linguistic features and
rhetorical moves in RAs, especially when describing the
proposed methods. Corpus linguistic analysis provides
different features (e.g., lexicon frequency and bundles) to get
an understanding of the meanings within the RA genre and
sub-genres, expressed with appropriate rhetorical moves.
The results of this stage of a longitudinal work showed the
different usage of technical terms to describe the results and
findings of research work. Results from this corpus-based
analysis on Results sections on RAs showed correlation in
the usage of rhetorical moves with Methods sections: both
sections have corresponding rhetorical moves that they
naturally make reference to (i.e. moves about methods and
results). However, they also reference each other, meaning that
Fig. 1. Total usages of each rhetorical move for Results section and Results section utilized a high amount of rhetorical moves
previously analyzed sections (i.e. Introduction and Methods) related to Methods, and vice versa (i.e. Methods section
contains many rhetorical moves related to Results &
Findings). This indicates that writers tend to mix these two
rhetorical moves in their respective sections in order to
188
strengthen their justification and the connection between their [3] J. M. Swales and C. B. Feak, Academic writing for graduate students,
proposed methods and the findings in their research area. On Essential tasks and skills, 2nd ed. The University of Michigan Press.
2004. pp. 242-286.
the other hand, lexicon bundles and lexicon frequencies
[4] S. Louvign, J. Shi, S. Sharmin, A corpus-based analysis of the
showed that authors use mainly terms and expressions referring scientific RA genre and RA introduction, International Conference on
and indicating empirical information in figures, tables and Advanced Mechatronic Systems (ICAMechS), 2014, pp. 123-127.
diagrams. Future research of this longitudinal study will focus [5] S. Louvign, J. Shi, Corpus linguistics and data-driven learning for
on the analysis of the Discussion and Conclusion sections ESP: the analysis of methods sub-genre, The 2nd International
of the RA genre. Symposium on Innovative Teaching and Research in ESP, 2015.
[6] L. Anthony, AntConc 3.2.4 (Computer software). Waseda University,
Tokyo, Japan, 2011: http://www.antlab.sci.waseda.ac.jp/
[7] Optics Express. The International Online Journal of Optics, The Optical
REFERENCES Society, http://www.opticsinfobase.org/oe/issue.cfm.
[8] W. Cheng, Exploring Corpus Linguistics, Language in action, Routledge,
[1] B. Kanoksilapatham, "Rhetorical moves in biochemistry research 2011.
articles." Discourse on the Move: Using Corpus analysis to describe [9] V. Cortes, Connecting lexical bundles and moves in research article
discourse Structure. Amsterdam: John Benjamins, 2007, pp. 73-120. introductions in Journal of English for Academic Purposes, vol. 12 (1),
[2] J. M. Swales, Genre analysis: English in academic and research settings. Elsevier Ltd. 2013, pp. 33-43.
Cambridge University Press, 1990.
189
Understanding the most essential types of words

for Physics undergraduate students
Sonia Sharmin
Graduate School of Pure and Applied Sciences,
University of Tsukuba,
Ibaraki, Japan
sonia.sharmin.gb@u.tsukuba.ac.jp
AbstractThe field of English for Specific Purposes (ESP) words, including both derivations and inflections, is called
concerns not only English practitioners or EFL (English as a using word families. Furthermore, Nation and Bauer (1993)
Foreign Language) but also disciplinary specification and the created a list of 7 levels across which word families could be
teaching faculty of disciplines of English learners, commonly organized, based on the frequency and regularity of their
known as subject-matter specialists because those specialists affixes [3].
could also instruct or assist the EFL students in terms of proper
usage of science and technological English. The participation of The frequency of a word is generally defined as the
the specialists in ESP education is a growing area of both ESP number of times it occurs (as a word family) per token of a
and disciplinary research fields and has become a fast text. If frequency suggests a word is more likely to be learnt,
developing area of ESP research. Identifying content-area then the more frequent a word, the more likely it is to reoccur
English academic language is essential for proper instruction of in a text and the more likely it is to be understood by the reader.
students. This study analyzed a well-known and widely used This leads to the concept of coverage: the percentage of tokens
physics textbook for undergraduate students of first year, in a text that a reader understands. Nation (2001a)
namely, Fundamentals of Physics by David Halliday, Robert differentiated between 4 different categories of words based
Resnick, and Jearl Walker (8th edition), to understand the on this frequency behavior: high-frequency, academic,
words of highest frequency used in this book. The high technical and low-frequency words [4]. The purpose of
frequency words as well as a low frequency words in the
defining words in such a way is for pedagogical reasons.
textbook were assessed. In this study, investigation of the
There should be a cost/benefit analysis involved in the
language functions based on the analysis of the corpus and
identification of the words that construction the functions are
decision to teach items of vocabulary and there is a greater
the ultimate aim of this study. The free corpus software, benefit in teaching high-frequency items [5]. Therefore, a
AntWordProfiler, was employed for the analysis. teacher may concentrate on teaching the high-frequency
words in English as they are most likely to be encountered by
any student. Less time may be committed to teaching the low-
KeywordsEnglish for Specific Purposes, corpus analysis, frequency words.
Physics, textbook, high-frequency words
II. METHODOLOGY
I. INTRODUCTION A. Selecting a Corpus
English for Specific Purposes (ESP) teaching and its sub- Representativeness is the quality of a corpus through
branches like English for Academic Purposes (EAP) has which it maintains textual relevance for the aims of a study.
benefited from research into the vocabulary used in an This study aimed to extract a list of words for use by
academic English environment [1]. However, apart from a undergraduate students of physics at university level.
general academic vocabulary, it is also important to instruct Therefore, it was necessary to select a text which students in
students in the technical language they will utilise in their own this discipline and at this level of study would use. Given the
studies. There is a difference in the language of medicine many sub-disciplines physics, it was important to ensure that
compared to engineering. This study specifically intends to each was properly represented within the corpus.
compile a technical word list for physics undergraduate
students derived from corpus analysis. The Fundamentals of Physics by David Halliday, Robert
Resnick, Jearl Walker, extended 8th edition, was chosen as
Understanding the definition of tokens, types and word the textbook to analyze. The textbook covers most of the basic
families is central to any technical word list study. A simple topics in physics: Mechanics, Waves, Thermodynamics,
count of words in a text can be restricted to tokens and types. Electromagnetism, Optics, Special Relativity as well as
Tokens are the number of running words in a text whilst types introductions to topics such as quantum mechanics, atomic
are the unique occurrence of each word in the text. Tokens are theory, solid-state physics, nuclear physics and cosmology. It
important for any corpora-based research [1,2] as this is the is widely used in colleges as part of the undergraduate physics
unit by which the size of the corpora are counted. Types are courses, and has been well known
relevant to a technical word list as they are the morphemes of to science and engineering students for decades as "the gold
a headword which are included in its expansion. Counting
978-1-4673-7995-3/15/$31.00 2015
c IEEE 190
standard" of freshman-level physics texts. In 2002, The total number of technical words collected in our study
the American Physical Society named the work the most was 197. In Fig. 1, the number of words and their frequency
outstanding introductory physics text of the 20th century. in the textbook is shown. We see that the maximum number
of words have a frequency of about 200.
The text was available for download as a PDF file. The
software AntFileConverter [6] was used to convert the .pdf 70
file to a .txt file. This was done as the software used for
analysis, AntWordProfiler[7], is capable of handling only .txt
60
files. It totaled 867334 tokens in length, divided among 25263
word types.
50
Number of Words
The software which was selected for the main analysis of
the corpus data was AntWordProfiler. This is available for 40
free download from Laurence Anthony's homepage
(http://www.antlab.sci.waseda.ac.jp/index.html). It is a 30
powerful corpus analysis tool capable of extracting frequency
and range data from a number of large corpora simultaneously. 20
It accomplishes this through comparison of the corpora with a
variety of word lists. It is pre-loaded with the General Service 10
List 1(GSL1), General Service List (GSL2, and Academic
Word List (AWL lists. This software can display 0
vocabulary data by frequency or range. It can organize by
50
100
150
200
250
300
350
400
450
500
token, type or group (word family). Importantly it can display
this data by word list and it is also possible to view tokens Frequency
which occur outside of the defined word lists. This component
was essential in the process of extracting technical language
for use for physics undergraduates. Finally, there was the Fig. 1: The number of high-frequency words and their corresponding
frequency criterion. This relates to the number of individual frequencies
occurrences of a word in the corpus. For this study, the
minimum frequency was set at 80 [1].
A total of 328 words were initially found. However, it TABLE I. 197 HIGH FREQUENCY WORDS AND PHASES
was necessary to extract some unwanted words. In academic
writing, most abbreviations are fully expanded into their 1. figure 67. radiation 134. magnet
constituent words the first time they are printed. Therefore the 2. equation 68. harmonic 135. meter
abbreviations which were most commonly used were 3. meter 69. entropy 136. oscillating
displayed with their full names. Two of teh abbreviations, emf 4. magnitude 70. protons 137. silicon
and ev, actually consisted of two words, 'electromotive force' 5. axis 71. diameter 138. resonance
and electron volt' respectively, but for purposes of clarity, they 6. magnetic 72. notation 139. rocket
have been included as one item in the list presented here. Non- 7. gram 73. radial 140. slab
alphabetic characters had already been extracted from the text
8. electron 74. circuits 141. nuclei
before start of analysis and replaced with a single white space.
This included hyphens, so all previously hyphenated words in 9. angular 75. electromagnetic 142. galaxy
the texts were considered as separate tokens in the corpus. 10. kinetic 76. conduction 143. oscillator
However, it was found that as a result the word list suffered 11. acceleration 77. cord 144. curvature
from inclusion of meaningless suffixes and affixes, as well as 12. radius 78. wavelengths 145. plastic
groups of letters without particular meaning which are often 13. velocity 79. resistor 146. reservoir
used in physics equations, e.g., x, ffi, lr etc.. The list was thus 14. vector 80. capacitance 147. slits
carefully examined and all such words or character groupings 15. electrons 81. downward 148. vertically
extracted. Words with the same type of base, differentiated by 16. wavelength 82. fluid 149. fuel
their endings, were also extracted and also the base word 17. loop 83. emitted 150. planet
included in the list; e.g. 'atom' and 'atoms' were judged to be
18. density 84. meter 151. ramp
one word, as well as 'demonstrate' and 'demonstration'.
19. momentum 85. neutron 152. resultant
III. RESULTS 20. capacitor 86. alpha 153. cable
The reason for the study of a textbook is that textbooks are 21. atom 87. diagram 154. mission
frequently encountered by students in the course of their 22. circuit 88. graph 155. conserved
studies and are thus a source of literature for students. Whilst 23. horizontal 89. conductor 156. inductance
they may skew the results of any corpus intended to build a 24. dipole 90. focal 157. maxima
representative word list [8], it was envisaged that they would 25. gravitational 91. rotate 158. relativity
provide similar coverage of data. 26. vertical 92. Hertz 159. sinusoidal
191
27. electron-volt 93. Gaussian 160. symmetry that any word list derived from a corpus would be
28. electromotive 94. inertia 161. fusion expected to perform well within that corpus [1]. Secondly,
force 95. inductor 162. junction the list needs to be tested against a fiction corpus. This would
29. lens 96. minute 163. counter-
show the technicality of its lexis or if not, and demonstrate a
more general vocabulary with lower frequency items.
30. field 97. fringes clockwise
Finally, Chung and Nation (2003) recommended the use of a
31. amplitude 98. negligible 164. root-mean- specialist dictionary to check the technicality of a word list
32. physics 99. static square [9].
33. quantum 100. stationary 165. Carnot
450
Number of words
34. thermal 101. arc 166. farad 400
35. linear 102. hint 167. coulomb 350
36. proton 103. electrostatic 168. radioactive 300

250
37. diffraction 104. magnitudes 169. dielectric 200
38. perpendicular 105. coefficient 170. joule 150
39. slit 106. currents 171. fraction 100

50
40. battery 107. orbit 172. absorbed
0
41. rotation 108. capacitors 173. rewrite 30 40 50 60 70 80
42. height 109. molecule 174. thermodynamics Frequency

43. collision 110. oscillation 175. fission
44. molecules 111. second 176. fringe Fig. 2 Number of low-frequency words and their corresponding
45. nucleus 112. neutrons 177. launch frequencies
46. find 113. pulse 178. Fermi
47. coil 114. projectile 179. sectional
48. disk 115. rotating 180. scalar IV. CONCLUSION
49. vectors 116. switch 181. cylindrical The purpose of this study was to identify the technical
50. torque 117. barrier 182. helium vocabulary used within the discipline of physics and extract
51. friction 118. laser 183. quark this to form a word list which would help learners of English
52. equilibrium 119. pole 184. generator who are studying this subject at the undergraduate level. The
53. mirror 120. solenoid 185. spectrum famous textbook of physics undergraduates, Fundamentals of
54. flux 121. pendulum 186. chamber
Physics by Resnick, Halliday and Walker, was chosen as the
text to peruse. There were found to be 197 words with
55. refraction 122. carriers 187. nuclides
frequency higher than 80. Hopefully, analysis of these words
56. rotational 123. collisions 188. voltage and study of their proper context can help non-English
57. first 124. grating 189. differential speaking students to gain familiarity with their subject. The
58. plot 125. minus 190. Doppler further low-frequency lists provides guidance on how the
59. Newton 126. crate 191. pulley learner's lists should be designed, so that the students can
60. versus 127. clockwise 192. rightward gradually acquire all the different types of technical words
61. reference 128. photons 193. satellite they require.
62. photon 129. cube 194. interface
63. cylinder 130. phasor 195. horizontally
64. hydrogen 131. molar 196. resistivity ACKNOWLEDGMENT
65. oscillations 132. orbital 197. final The author acknowledges Professor Shi Jie, Faculty of
66. conservation 133. transverse Informatics and Engineering, University of Electro-
Communications, Tokyo, Japan, for guiding me to ESP
approach to education and Corpus Linguistics research.
A low-frequency list with words of frequency between
20 and 79 was also compiled. Fig. 2 shows these words with
their relative frequencies. It can be seen that there are about
400 words with frequency around 30. Since these are REFERENCES
certainly physics-related words, it seems that even such low
frequency constitutes their essential inclusion in a learners' list. [1] A. Coxhead, "A New Academic Word List", TESOL Quarterly, vol. 34,
pp. 213-239, 2000.
This study is not sufficient evidence to claim that the
[2] N. Konstantakis, " Constructing a word list for the domain of
above 197 words can be definitely asserted to be the most business." (Unpublished PhD thesis), Swansea University, Swansea,
important or essential technical word list for physics 2010.
undergraduates. In order for this claim to be supported, there [3] L. Bauer and I. S. P. Nation, "Word families", International Journal of
are 3 further research steps required. Firstly, the list needs to Lexicography, vol. 6, 3, pp. 253-279.
be tested against other physics corpus. Coxhead (2000) noted [4] I.S.P. Nation, "Learning Vocabulary in Another Language",
Cambridge: Cambridge University Press, 2001a.
192
[5] I.S.P. Nation, "How many high frequency words are there in ENglish?"
M. Gill, A. W. Johnson, L.M. Koski, R.D. Sell and B. Warvik,
"Language, ;earnming and literature: Studies presented to Hakan
Ringborn." Abo Akademi University, Abo: English Department
Publications, Vol. 4, pp. 167-181, 2001b.
[6] L. Anthony, AntFileConverter (Version 1.0.0) [Computer Software].
Tokyo, Japan: Waseda University, 2013. Available from
http://www.laurenceanthony.net/University Science, 1989.
[7] L. Anthony, AntWordProfiler (Version 1.4.1) [Computer Software].
Tokyo, Japan: Waseda University, 2014. Available from
http://www.laurenceanthony.net/
[8] S. Atkins, J. Clear, and N. Ostler, "Corpus Design Criteria", Literary
Linguistic Computing, vol. 7, pp. 1-16, 1992
[9] T. M. Chung and P. Nation, "Technical Vocabulary in Specialised
Texts", Reading in a Foreign Language, vol. 15(2), pp. 103-116, 2003.
193
Modelling a 20MW Scale Solar Farm in An Unused

Angled Area Near Fukushima Nuclear Power Plant
Amin Mohammadirad Ken Nagasaka
Department of Electronic and Information Engineering Department of Electrical and Electronic Engineering
Tokyo University of Agriculture and Technology Tokyo University of Agriculture and Technology
amin.mohammadirad@gmail.com bahman@cc.tuat.ac.jp
Abstract Mega-Solar generation is becoming one of the consider producing power with high-level of security and
important parts in the global energy supply with the current stability standards than ever. Since July 2012, the Japanese
situation of the fossil fuels exhaust and replacement of nuclear electric power companies agreed to purchase a huge amount of
power energy after the nuclear power plant incident caused by renewable energies such as solar, wind, geothermal, etc. to
the Great East Japan Earthquake and tsunami on March 11,2011. fulfill the lack of generation supplied by terminated nuclear
The CO2 emission must be also reduced based on the Kyoto power plants. Purchase of power from renewable sources has
protocol. One of the effective ways to reduce the CO2 emission is already started, which need long and serious consideration.
to use renewable energy such as wind and solar. For this reason, However none of them really considered seriously because of
how to make optimal allocation of large-scale PV and wind farms
rush replacement of nuclear power with attention energies.
with maximum power becomes necessary for Japan and the rest
There are many issues and risks accompanied with such
of the world. In this study we are focusing on Mega-Solar issue
for the flat and angled lands. As different slope directions will decision. For this reason, we need to consider exactly various
affect the Maximum Point Power Tracking (MPPT) of each PV factors of the economic society which influence the trend of
systems. We also consider the MPPT for these angled lands. So energy and electricity demand analysis according to whole
far, Mega-Solar farms are installed in flat lands. However, Japan or area on each time-axis of a short-medium-and-long
recently, there are a great needs (more than 1000 projects are period of time , making full use of various simulations.
waiting to run) for introducing Mega-Solar farms not only in flat
but also in hills or angled lands. These lands with slope are no Besides utilization of low-efficiency thermal power plants
longer omitted from the planning of a Mega-Solar farm. In this which consume a huge amount of the fossil fuels though
paper, we consider a Mega-Solar farm which combines flat and expensive, Mega-Solar and wind farms seem to be alternative
angled lands and solve the Maximum Power Point Tracking power sources. The price which Japanese companies started to
(MPPT) of PV , cost and environment issues. In this study, for pay for 1[kW] of power produced by PV was 42 yen before
analysis the slope directions and site selection, the Geographical April 2013, however, and currently the price for 1[kW] is 38
Information System (GIS) technique is used. Maximum Power yen it may reach to 33 yen in future. This price is almost
Point Tracking (MPPT) using Perturb and Observe (P&O) double of the electricity price which customers are paying now.
Mega-Solar components are all designed on It is quite natural that many companies rush to participate in the
MATLAB/SIMULINK environment. One of the unique points of
Mega-solar business also current purchase of renewable energy
this study is to use the lands located near the area where affected
by the radiation. These lands cannot be used for living and in Japan is 2 times higher than Germany. Since Jan 2013, 1,024
agricultural activity, however, it is suitable for use of a Mega- Mega-solar plants is planned with total capacity 5750[GW].
Solar farm. The targeted site was a golf-course which we are This amount of capacity is equal to 6 nuclear power plants with
planning to install about 20[MW] solar farm. total investment about 1,500 billion yen excluding land price.
For this reason, obviously places available for Mega-Solar
Keywords Mega-Solar; PV Systems; Landscape; MPPT; Cost construction will face shortage soon or later. In the present
and Environment, GIS; MATLAB/SIMULINK study, our idea has pointed to the lands that are available and
are cheap; lands that are not in use any more near nuclear
I. INTRODUCTION power plant in Fukushima prefecture. It should be noted that
Recently, the Kyoto protocol agreement on global reduction these lands are still outside of the circle (within 30km) polluted
of green gas emission has prompted interest on renewable by nuclear radiation. However, no one wish to buy agriculture
energy system worldwide. Also reserves of oil and coal products from there.
problem, accident of nuclear power plant caused by the Great
East Japan Earthquake and Tsunami on March11, 2011not only Recently, a lot of research has been done on performance
affected the problem of global warming but also speed-up the analysis and production forecast of PV plants [1], performance
study of renewable energy that does not emit carbon dioxide. prediction of PV array [2], optimal allocation of Mega-Solar
As it had a new appreciation ignited by the Great East Japan [3], which didnt include landscape slope and elevation. The
Earthquake, all 55 nuclear power plants in Japan have been angled lands with different slope directions affect the MPPT of
stopped for further security check (at this time, still all of them each PV Array. In this Paper, we consider a Mega-Solar farm
have stopped) and therefore electric power companies who which combines flat and angled lands and solve the issues of
support social economy by energy supply, have forced to
978-1-4673-7995-3/15/$31.00 2015
c IEEE 194
Maximum Power Point Tracking (MPPT) of PV array. This however still there is no one wishes to invest on agriculture and
project considers on optimal allocation and calculate expected fishing products in Japanese market.
maximum power generation from Mega-Solar site without
consideration [4] and with consideration presents in this paper; The disaster effected mostly on Fukushima agriculture
Without consideration: The expected maximum power products. They lost a hug market of which they had before the
generation of Mega-Solar calculated without considering on disaster. For this reason, many agriculture fields together with
slope and directions of Site. other lands such as golf courses became unusable for
With consideration: The expected maximum power agriculture, then a new idea raised which why not using such
generation of target Mega-Solar site calculated with lands for Mega-Solar business purpose. However they faced a
considering on slope and directions of Site. The future plan of big issue which is landscape. For Mega-Solar project, we need
this project consider on interconnections problems of Mega- a huge flat lands, however landscape in Fukushima may not be
Solar site connect to the grid. For analysis the slope directions, flat and most of include slope and angled lands. As the PV
angled and site selection we using geographical information systems output characteristics is depended on the solar
system (GIS) technology and MATLAB/SIMULINK. irradiations and temperatures. The important factor which
affects the solar irradiations is slope directions. The PV
II. BACKGROUND STUDY systems with different slope directions may have different
th output power and different output power will affect the MPPT
On 11 of March 2011, the great east earthquake occurred
in this case a complex MPPT may occur. The complex MPPT
in Fukushima prefecture is located in Tohoku region on the
happens when PV Array connected all together with different
east of Honshu Island. Fukushima prefecture total area is
output power because of the variability of solar irradiation and
13,782.54[km2] with 1,933,753 population. Fukushima
temperatures in slope and angled land. Also variability of
prefecture land use include 24.7[%] urban area, 55.9[%]
output power with different MPPT faces the problems such as
agriculture land and 72.2[%] forest [5]. The Fukushima
attach current on interconnection (transmission) when we want
prefectures main economic are agriculture, finishing and
to connect the Mega-Solar farm to the grid. Also introducing
foresting. The agriculture industry in Fukushima produce fruits
PV panels in angled landscapes will increase the land
which have big market in Japan. Also Fukushima prefecture is
construction cost.
famous for producing rice. Manufacturing and construction
industries as well as electronic industry are also important In this paper, optimal utilization of landscapes with
because of nuclear power plant. After the great east earthquake combined flat and angled lands for installation PV systems is
Fukushima Daiichi nuclear power plant in Fukushima studied together with studies on project cost and environmental
prefecture has been destroyed and many problems such as performance of Mega-Solar farm. The present research is
electricity power shortage and the overall treble disaster was believed to be very useful for many investors or organization
leak of radioactive from nuclear power plant which polluted that are interested or have such problems.
the environment such as sea and agriculture lands. Fukushima
prefecture deposition densities of total of cesium -134, +137 III. TECHNIQUES AND SIMULATION
map was made by ministry of education, culture , sport, science A. Mega-Solar site selection by Geographical Information
and technology (MEXT) as well as the evacuate place in System (GIS)
20[km] and 30[km] away from Fukushima Daiichi nuclear
power plant prefecture is shown in Fig.1. In this study, the GIS technology is used for selection of a
Legend
Deposition densities of total cesium proper site for installation of Mega-Solar in flat and angled
-134 + 137[Bq/m2] Japan Map
field Fig.2. A geographical information system (GIS) is a
[Converted as of August 28,2011]
3000k < 10[Km]

computer-based tool for mapping and analyzing things that
1000k-3000k
600k-1000k 20[Km]
exist and events that happen on earth. GIS technology
300k-600k
100k-300k 30[Km]
integrates common database operations such as query and
60k-100k
30k-10k
10k-30k
statistical analysis with the unique visualization and geographic
<=10k
Area with no survey
analysis benefits offered by maps [8]. In this study, the solar
results available radiation data from NEDO (New Energy and Industrial
Fukushima Daiichi Technology Development Organization) is used .this data will
Nuclear Power Plant
enable us to estimate monthly and hourly solar radiations at
Evacuation Area
any angle and direction for any geographical locations
Target
Mega-Solar Site
Input Data Analysis Output Maps
Solar Radiation
Fig.1 Fukushima Prefecture deposition densities of total of cesium -134, Data
+137[Bq/m2] (August 28, 2011) [6] GIS Spatial
Analysis tools
Average Elevation
And Slope
After disaster, Fukushima prefecture foods cesium became Data
higher than basic because of radioactive leak inside water, the
basic cesium for food is 100[b/kg], food include milk is
50[b/kg], and water 10[b/kg] [7]. Over 4 years of disaster in Data
Fukushima still many problems are pointed out. The amount of
cesium of foods in Fukushima prefecture is less than basic Fig.2 Geographical information system (GIS)
195
This information is provided based on solar radiation data maximum power point tracking (MPPT) for PV applications.
measured over 20 years at 837 locations in Japan. In this study, Two types of PV cell model is existed which first model is
the elevation and slope direction data from National Land single-diode model and second model is two-diode model of
Numerical Information of Japan is collected. We used the PV cell. In this paper, the two-diode PV model is used because
elevation degree of slope 5th mesh (250m-mesh) data. The it is more accurate than single-diode model which its
original data is 10m-mesh basic map information digital simulation time increases during the computation [10].The
elevation model (Geospatial Information Authority of two-diode model of PV cell with series resistance (RS )and
Japan).The 5th mesh (250m-mesh) data prepared for each of shunt resistance (RP ) shows in Fig.4.
elevation (average, maximum, minimum), maximum slope
angle/direction, and minimum slope angle/direction. The
elevation unit is [m] calculated from 10th-mesh elevation
values and slope angle unit is [degree] and calculated from in
elevation and slope angle 5th mesh (250m).The greater
amount of insolation, the more electricity obtained from the
solar cell module. Therefore, Fukushima solar map is
constructed over the geographical information system (GIS)
for 28 points of observation site and the result is shown in Fig.4 Two-diode model of PV cell
Fig.3 [4].
The current of PV module with V-I relationship is given by:
I=IPV-ID1-ID2-(V+IRS/RP) (1)
10[Km] ID1=Io1 [exp (q (V+IRS)/A1kT)-1] (2)
20[Km]
ID2=Io2 [exp (q (V+IRS)/A2kT)-1] (3)
30[Km]
The Io1 and Io2 are the reverse saturation currents of diode 1
and diode 2(A),q is electron charge(1.60210-19[C]) ,V is
voltage across the diode [V],k is Boltzmanns
Solar Radiation [kWh/m2/Day] Fukushima Daiichi
Nuclear Power Plant
constant(1.380510-23[J/K]), T is the junction temperature [K]
High:4.32
Target
and A1and A2 are diode 1 and diode 2 ideality factors. IPV
Low:3.01 Mega-Solar Site
represents the cell photocurrent. The IPV, as the function of
Fig.3 Solar map of Fukushima prefecture
irradiation and temperature is given by:
In order to determine the amount of solar radiations among IPV= [Iscr+Ki (Tk-Trefk)] /1000 (4)
these 28 points, a tool available in spatial analysis of GIS
called IDW: Inverse Distance Weighted: IDW is used. IDW The Ki is the short-circuit current/temperature coefficient,
is interpolation way to determine cell values using a linearly TKand Trefk respectively are actual and references temperature
weighted combination of a set of sample points. These weights (Trefk=298K), is PV module illumination [W/m2], Iscr is the
are the function of inverse distance. The surface being PV module open short-circuit current at 25[] and Irradiation
interpolated should be that of a locational dependent variable. 1000[W/m2].The module reverse saturation current Irs is given
This method assumes that the variable being mapped decreases by:
in influence with distance from its sampled location [7]. It Irs =Iscr/ [exp (qVoc/NsKAT)-1] (5)
should be noted that Fukushima prefecture solar map is far
enough (more than 30[Km]) from the nuclear power plant Where Voc is PV module open circuit voltage [V]. The PV
which was evacuated after the earthquake because of the module saturation current, IO1and IO2, are taken as an equal and
nuclear radiation. This means optimal site for Mega-Solar are shown in next equation:
installation purpose in Fukushima prefecture should be far IO1=IO2=Irs [T/Tr] 3exp [qEg0/Ak {1/Tr-1/T}] (6)
from the evacuated place. As our results show in Fig.3, The Eg0 is the band gab energy of the semiconductor
southern part of Fukushima prefecture (Iwaki City) solar
radiation is high and suit for installing the Mega-Solar site. (Eg0=1.1 [eV] for polycrystalline Si at 25[]).The value of the
Iwaki City total area is 1,231.35 [Km] making it the 10th shunt resistance R P and series resistance R S calculate
largest city in Japan [9]. simultaneously, similar to [11].Usually the value of shunt
resistance is very large and series resistance value is small.
B. Mathematical Model of Proposed Photovoltaic (PV)Module The PV cells connect in series (NsNp) cells where Np=1 and
Recently the PV power generation is became important in Ns=54) to make PV module. The equation for current of PV
the renewable energy. The PV power converting solar energy module with two-diode shown in Fig.4 is given by:
to electronic energy directly. The PV module inputs solar I =Np IPV -NpIo1 [exp (q (V+IRS)/A1kT)-1] Io2 (7)
irradiations and temperatures as inputs and output voltage and [exp (q(V+IRS)/A2kT)-1] - (V+IRS/RP)
current as outputs. Since PV module has nonlinear
characteristics which in case of different solar irradiations and
temperatures it becomes necessary to design and simulate
196
Finally in order to make a large scale PV generation as arrays, IV. SIMULATION RESULTS AND DISCUSSION
the modules should be added in series and parallel connection A. Determination of Mega-Solar Slope Direction
as shows in Fig.5.
The selected Mega-Solar site is located in Iwaki City. An
important factor for calculating the maximum power of the
land is the slope direction because different slope directions
effect on the efficiency of each PV systems. The optimal angle
for solar panel is 30[] and optimal direction is south in
Fukushima prefecture. Therefore, we need to know the slope
directions of Mega-Solar site. In this study, we used the aspect
tools of spatial analysis in GIS. Aspect identifies the down
Fig.5 Series parallel connection of modules in PV array slope direction of the maximum rate of change in value from
each cell to its neighbors. Aspect can be thought as the slope
The current of the PV array shown in Fig.5 is given by the direction. The values of the output raster will be the compass
following equation: direction of the aspect [12].The slope directions of the Mega-
I =Npp IPV NPPIo1 [exp (q (V+IRS (Nss / (8) Solar site in Iwaki city is shown in Fig.8.
Npp))/A1kT)-1] - Io2 [exp (q (V+IRS (Nss /
Npp))/A2kT)-1] - (V+IRS ((Nss / Npp))/RP ((Nss /Npp))
Where,
All the parameter in equation (8) are individual modules
parameters, Nss and Npp, which are connected in series and
parallel. The mathematical model of the PV module in
MATLAB/SIMULINK is shown in Fig.6.
Input Voltage PV Voltage Output
PV Module
Photon Current Current Calculator
Flat South
PV Module North Southwest
Current Output North East West
Irradiation East Northwest Target Mega-Solar Site
T
Southeast
PV Module
short-Circuit Current Fig.8 Different slope directions map of Iwaki City Fukushima prefecture
NsKAT
As the result of elevation and slope directions, the selected
Reverse Saturation
Current Mega-Solar site includes both flat and angled land and slope
Temperature direction is 20% to the Northeast (NE) and 20% to the
Saturation Current Northeast (NW) and also 60% flat in south(S) direction. The
Fig.6 Mathematical model of the PV module in MATLAB/SIMULINK site is simply designed as shown in Fig.9.
As the results of the analysis, the requirement land for
This PV module model includes 6 subsystems as 1[MW] PV in crystalline type is about 2[ha] [13]. Therefore,
temperature, photon current, reverse saturation current, by calculating the total area, we can determine the maximum
saturation current and NsKAT, which are used to calculate power of our proposed site. The total area of selected site is
both diode factors A1 and A2 as two-diode PV module model. about 40[ha] and the maximum power is approximately
The generalized model of PV module is modified as equation 20[MW].The calculation of annual expected power generation
(8) to simulate a large-scale PV for any number of modules in in Iwaki City is 1.1[GWh/Year] then converter to 20[MW]
series and parallel connection based on two-diode model by Mega-Solar farm [2]. The expected generation of the Mega-
increasing the numbers of Nss and Npp and increase the Solar site is shown in TABLE I.
voltage/current. The generalized model is shown in Fig.7.The
input irradiation is 200[W/m2] to1000 [W/m2] with constant 20[%] to Northwest
Direction
20[%] to Northeast
Direction
temperature at 25 [].
To workspace
Input Voltage I-V Curve
Irradiation
To workspace PV Array
Temperature P-V curve
PV Module
60[%] to South
Direction
To workspace
Fig.9 Simplified designed of proposed Mega-Solar site with slope
Fig.7 A generalized PV module for any numbers of series and parallel
directions
connections of PV cells
197
TABLE I. EXPECTED GENERATION POWER FROM THE 20[MW] measurement of the PV generator characteristics and applying
MEGA-SOLAR FARM a perturbation leading to a direction change of the operation
Direction Allocated PV Expected
point. Basically the optimal operation is when (dP/dV)>0 and
Coefficient
[%] of
Direction capacity generated power the operating voltage of PV array is perturbed in specific
Area direction the perturbation moves to the operating and when n
[%] [MW] [GWh/year]
(dP/dV) <0 the perturbation moves to operating point of PV
100 60 S 12 13.2
78 20 NE 4 3.4
array from the maximum and the P&O method reverse the
66 20 NW 4 2.9
direction of the perturbation [15].The Fig.10 shown the
Total 100 N/A N/A 19.5 algorithm of perturb and observe method for MPPT
calculation in MATLAB/SIMULINK.
Read
Calculation in TABLE I based on optimal angle and V(t),I(t)
direction of the solar panel (30[] to south in Fukushima I=I(t)-I(t-t)
V=V(t)-V(t-t)
prefecture).
No Yes
V=0
B. Maximum Power Point Tracking (MPPT) for our Proposed
Mega-Solar Farm
Yes Yes
I/V>-I/V I=0
The PV module and series resistance and shunt resistance
No
parameters which used for simulation purpose shown in No
Yes No
No Yes
TABLE II. I/V=-I/V
I>0
TABLE II. MULTI-CRYSTALLINE PV MODULE PARAMETERS Increase Vref Increase Vref Decrease Vref
Decrease Vref
Type of the Module Multi-Crystalline YINGLI Solar
YL255p-29b
I(t-t)=I(t)
Rated Power Output Pmax 255 [W]
V(t-t)=V(t)
Maximum Voltage Vm 30.6[V]
Maximum Current Im 8.32[A] Return
Open-Circuit Voltage Voc 38.7[V] Fig.10 Algorithm of P&O method

Short-Circuit Current I scr 8.88[A]
Temperature Coefficient of Voc -0.33[%/] D. Interconnection of PV Systems to Buck-Boost DC/DC
Temperature Coefficient of Iscr 0.06[%/] Converter with P&O MPPT Control
Total Number of Series Cells in Module 1
Total Number of Parallel Cells in Module 54 The selected Mega-Solar site which includes two 4[MW]
Series Resistance RS 0.25[] and one 12[MW] systems are connected to DC/DC converter
Shunt Resistance RP 220[]
separately. The Fig.11 shows the model of PV system which is
connected to the DC/DC buck-boost converter with P&O
The selected Mega-Solar Farm is divided by two angled MPPT control method in MATLAB/SIMULINK. The input
lands of 4[MW] and one flat land of 12[MW] which total parameters of the PV system is different solar irradiations and
maximum power expected is about 20 [MW] without constant temperature. The selected site annual average
considering the maximum power point tracking (MPPT).For temperature is about 20[]. The simulation results of voltage,
this reason, we connect PV array with maximum rated power current and power of 12[MW] system, connected to DC/DC
of 500[kW] (Nss=109Npp=18) PV Array in parallel converter with controlled by P&O MPPT control method are
connection. Buck-Boost Converter as the output voltage of a shown Fig.12.The obtained results, the maximum power of
PV is usually smaller than its load, therefore, the DC/DC buck- each PV systems which connected to DC/DC buck-boost
boost converter is used mostly for obtaining maximum power converter separately, total maximum power of the selected
point tracking of the for PV systems. The DC/DC buck-boost Mega-Solar site by considering MPPT, are shown in TABLE
converter is switched-mode converter which cycles the III.
P&O Controller with PI Controller and PWM
operation of an electrical switch on and off. The output voltage Generator
of the converter has opposite polarity of the input voltage .The
output voltage magnitude of the buck-boost converter could be Powergui
higher or less than source voltage depending on duty ratio of

the switch. DC/DC buck-boost converter with control method PV Output
of maximum point tracking can operate voltage at maximum Irradiation Voltage, Current,
Power Measurement
power point of the PV module. The DC/DC buck-boost
Converter parameters and calculations in this paper is based on
the one in reference [14].
Temperature
C. The Algorithm of Maximum Power Point Tracking

Buck-Boost DC/DC
The Perturb and Observe (P&O) algorithm is considered as Converter
Fig.11 PV system connected to DC/DC converter with P&O MPPT control in
the most commonly used methods in practice, mostly because MATLAB/SIMULINK environment
of its easy implementation. In fact, it simply requires the
198
6000
5000
Voltage[V]
without considering slope and directions but it costs a lot for
4000 construction of angled land to make it flat. The second method
can generate less power but we can save more money and it is
3000
2000
1000
0
Current [A]
friendly to environment. The authors believe that this research
3000
2500
can help those who are willing to get most from their own
2000
1500
lands which may have slope and angled place. Moreover, in
1000
500
this research we tried to prove that even the land with soft and
0
106 Power[W]
hard angles might bring into the calculation and as results the
12
10 amount of power will increase. As for future plan of this study,
8
6 we are presently doing research on interconnection of such
4
2
Mega-Solar from to the closest grid and solving the problems
0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5 of interconnections.
Time [s]
REFERENCES
Fig.12 The output voltage, current and power of 12[MW] PV system with
P&O MPPT control method in different irradiation [1] Bizzari,F., Bongiorno.M., Brambilla,A., Gruosso,G., Gajani,G.S.
Model of Photovoltaic Power plantsfor perfomance analysis and
TABLE III. EXPECTED GENERATION POWER OF THE PROPOSED production forecast IEEE Trasnaction on Sustainable Energy,
20[MW] MEGA-SOLAR FARM CONSIDERING THE MPPT Vol.4,Issue.2, art.no.6324407, pp.278-285,2013.
Slope Direction Allocated Maximum Expected [2] Zhou,W., Yang,H. ,Fang,Z. A Novel Model of Photovoltaic Power
Direction PV Power generated array performance prediction Applied Energy, Vol.84, Issue.12,
Coefficient capacity Considering power pp.1187-1198, 2007
[%] [MW] MPPT[MW] [GWh/year]
100 S 12 10.4 11.44 [3] S.Yokota, T.Kumano Mega-solar Optimal Allocation using Data
78 NE 4 3.10 3.40 Envelopment Analysis IEEJ Transactions on Power and Energy, Vol.
66 NW 4 2.80 3.08 131, pp. 819-825, 2011.
Total N/A N/A 16.3 17.92 [4] A.Mohammadirad, K.Nagasaka Optimal Configuration of a Mega-
Solar Farm Considering the Landscape, International Conference on
TABLE IV. COST AND ENVIROMENTAL PERFORMANCE OF THE Advanced Mechatronic Systems, pp.387-392, Aguest 2014.
MEGA-SOLAR SITE WITH AND WITHOUT SLOPE DIRECTION [5] Official Fukushima Prefecture (in japnases)
CONSIDERATION (http://www.pref.fukushima.lg.jp/download/1/)
Slope Annual Project Co2 Saving [6] Ministry of Education, Culture, Sports, Science and Technology
and Expected Cost [kg-CO2] (MEXT)Extension Site of the Distribution Map for Radiation Dose
Direction Generation [106Yen]
Power
(http://ramap.jmc.or.jp/map/engpdf/agreement.html)
[GW/Year] [7] Official Ministry of Health, Labor and welfare website Radioactive
Without Consideration 19.00 3,896 12,870 materials basic value for foods (in japanese)
With Consideration 17.92 3,438 10,758 (http://www.mhlw.go.jp/shinsai_jouhou/dl/leaflet_120329.pdf)
[8] A. R. Henderson, M. H. Patel, J. Halliday, G. Watson, Multiple Turbine
V. COMPARISON OF COST AND ENVIROMENT PERFOMANCE Floating Offshore Wind farms, European Wind Energy Conference,
POWER OF THE PROPOSED MEGA-SOLAR SITE March 1999. Published on the BOOK: Dreyfus SE: Dynamic
programming and the calculus of variations. Academic Press, New York.
In this study, selected site consist of a flat and two angled 1965.
lands. In most cases, for installing Mega-Solar site all angled [9] Esri GIS mapping software ArcGIS resource center spatial analysis
lands are either omitted at all or should be constructed to be tools(http://resources.arcgis.com/en/help/main/10.1/)
flat which costs a lots. In this paper, we tried to consider the [10] Official Fukushima Prefecture and Iwaki City website Iwaki City
angled lands and we calculated the maximum generated power profile (in Japanese) (http://www.pref.fukushima.lg.jp)
with two methods: The first method is without considering the [11] Oday.Md.Abdulwahhab Improvement of the MATLAB/SIMULINK
slope and direction and we got the total maximum generated Photovoltaic System Simulator Based on a Two-Diode Model
power of the site to be about 19[GW/Year], second method is International Journal of soft computing Engineering (IJSCE),Vol.4,
put into considering of slope and direction by using MPPT and pp.117-122, 2014.
we got the total generation to be about 17.92[GW/Year].The [12] Esri GIS mapping software ArcGIS resource center Spatial analysic
comparison results of cost and environmental performance of tools(http://webhelp.esri.com/arcgisdesktop/9.3/)
both methods are shown in TABLE IV. As the results of the [13] Nippon Telegraph and Telephon(NTT) Facilities How to install a
TABLE IV, it is possible to generate more power without Mega-solar farm by considering the construction of YOSHINOGARI
considering the slope and directions but it costs more. With Mega-Solar farm(in japanese)(www.sagacat.or.jp/pdf/25-2_sato.pd)
considering the slope and directions, it becomes possible to [14] Lunghwa University of Science and Technology Establishment and
save more CO2 and money but the generated power becomes Study of a Photovoltaic System with the MPPT Function
(https://www.lhu.edu.tw/m/oaa/synthetic/publish/publish/Function.pdf)
less.
VI. CONCLUSIONS [15] Nidhi Agarwal Design and Simulink of Intelligent Solar Energy
Improvement with PV Module International Journal of Information
In this study, optimal configuration of a large-scale Mega- computation Technology, Vol.4, pp.619-628, 2014.
Solar farm considering the landscape is done using GIS. By
GIS Technology we could analysis the landscape which
including land usage and elevation and slope of the land. In
this paper, two methods for determination of maximum
generate power of selected Mega-Solar farm were proposed.
By using first the method more power could be generated
199
Temporal and Spatial Projection of Wind Speed based

on Modular Network SOM for Installation of
Off-shore Wind Generation
Mitsuharu Hayashi Ken Nagasaka
Department of Electronics & Information Engineering Department of Electrical and Electronics Engineering
2-24-16 Nakamachi, Koganei-shi, Tokyo 184-8588, Japan 2-24-16 Nakamachi, Koganei-shi, Tokyo 184-8588, Japan
50013834702@st.tuat.ac.jp bahman@cc.tuat.ac.jp
Abstract Wind generation is one of the fast growing and So, Attention has gathered in the renewable energy and instead
introduced resources among renewable energies through oil consumption is cutting down from the fossil fuels in recent
worldwide including Japan. As Japan, on the other hand, is an years. Wind energy is also the precious resources contributed
island country surrounded by ocean, the topography suitable for to solution of global warming [1] [2].
wind generation is limited for the on-shore. Therefore, based on
the wind map of up to 2030, it is expected that new introduction However, there are disadvantage due to the characteristics
suitable for wind power generation will be more on off-shore. For of wind energy and topography in on-shore of Japan as
this reason, it is very important to determine the wind compared with other wind power high-introduced countries. In
characteristics of the candidate area for installing wind general, off-shore is known as better and suitable as for wind
generation, however in most cases of off-shore installation, power generation, because the topography is less height and
existence of weather condition data is poor and it may need lots more flat on sea than angled landscape on on-shore areas. In
of time and cost for collecting such weather condition data as a off-shore, wind speed and wind direction are more stable and
new pin-point information. In this study, the goal of this research the amount of generation output is also stable, suppressed the
is to project a wind speed of an unseen area (where its weather influence on the power system.
condition data are not available) by mapping the modularized
Artificial Neural Network (SOM: Self-Organization Map) of seen However, as Japan is an island country surrounded by the
areas (where their weather condition data are available) around sea, therefore off-shore is suitable for wind generation. So far,
the target area. By learning the correlation between modularized there is only one practical project run as off-shore wind power
ANNs of seen and unseen areas, the results of these temporal and generation and the second one is under consideration. Due to
spatial projections will be the prediction of wind speed of target the NEDO (New Energy and Industrial Technology
place. It is believed, by the help of the proposed technique, a huge Development Organization of Japan) report on Wind Road
amount of time and cost will be saved in the selection of Map up to Year 2030, it is expected that new off-shore wind
installation point of off-shore wind power generation. Moreover, farm will be installed more on off-shore in the near future [3].
it is intended to contribute to the introduction increase in the
amount of wind power. One of the important factors necessary for selection of
introduction point of wind power generation is proved to be the
KeywordsWind Generation, Off-shore, Artificial Neural selection of wind conditions related to the site. Obviously,
Network(ANN), Modular Network SOM, Projection, Wind Speed, generation amount is reduced when unrelated weather
Unseen Area. condition information is used and therefore deployment costs
and operating costs becomes worth. Therefore, investigation on
I. INTRODUCTION the wind conditions before practical introduction of wind
turbines is required for selection the optimal point.
The other side of recent wind power spread may cause
some environmental problems in consumption of energy. IPCC Although it is important to determine the optimal point
(Intergovernmental Panel on Climate Change) mentioned that through a similar procedure even in the case of introducing a
atmospheric levels of greenhouse effect gas, i.e., carbon wind generation in off-shore, for the following points, advance
dioxide, methane, chlorofluocarbon, and the atmosphere of wind condition survey compared to the ground is difficult.
carbon monoxide are increasing certainly by human activities, Because, a pole has to be installed and fixed by cable to the
and there is much correlation between global warming involves bottom of the sea or in case of deep sea, it should be floating
greenhouse gas and environmental problems. and collect data at least for 1-2 years for further weather
condition analysis. It is difficult though time and cost
It is solved that the degree of carbon dioxide of contribution
consuming issues. The followings are the difficulties in detail:
is the largest of greenhouse gas. The main artificial source of
discharge of the carbon dioxide is consumption of a fossil fuel.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 200
x The existing weather data is few, so it is necessary to B. Spatial Projection
observe and collect weather condition data by providing As wind is caused by a difference in spatial atmospheric
a new technique for the candidate point. conditions also and as the wind in continuous space is intended
x Installation of meteorological equipment and transfer to be changed continuously, therefore, the changes of the
data on off-shore is difficult and need more cost displacement and wind speed are correlated. In the authors past
compare with than on on-shore. research, the trends has confirmed that more information from
neighborhood which are related to the wind direction of the
x To determine the best installation point from the target point make the projection result better.
meteorological observations, it is necessary to observe
plural points for the comparison. As the projection method that combines the above two
factors, the simulation based on the algorithm of modular
x As a result of the weather observation, some cases network self-organizing maps (mnSOM) is improved in this
abandon the introduction from the profitability, and risk research. The ANN, to project temporally for each point, is
is inherent. modularized and the spatial prediction is performed by learning
the correlation between modules by the method of SOM update
However, based on the difficulties mentioned above, the algorithm [7] [8].
break-through will be to find a technique to project weather
condition data (in case of wind generation, wind speed) without Simulation data in this research is wind speed and wind
direct meteorological data observed at the candidate point of direction of the target point, called Aomori weather
wind power introduction. By such technique, it becomes observatory, and 10 points around the target site. Figure 2
possible to reduce the cost and risk. In this research, our aim is shows the observation point and around Aomori used for
to establish such technique to project the wind condition of any projection.
points on the basis of the other existing observation data. In
this study, we could successfully project weather condition
data for an off-shore site from surrounded sites with available
weather condition data.
II. WIND SPEED PROJECTION TECHNIQUE

To meet the objectives of this research, the following two
points has to be considered for wind speed projection.
A. Temporal Projection
Wind speed is the data of time series change in a nonlinear
behavior. Therefore, it is difficult to have projection with
traditional method because it requires massive data. One of the
popular methods to solve nonlinear problems is intelligent
methods such as artificial neural network (ANN), genetic
algorithms and deterministic chaos. These methods have been
already utilized in projection of stock price fluctuations,
temperature rise of earth, and in a variety of fields. Fig. 2. Spatial Projection and Observatories near Aomori
In the past research of the authors of this paper, the ANN
and deterministic chaos had confirmed that these methods are III. SIMULATION METHODS
effective for the projection of wind speed [4] [5] [6]. Figure 1
shows the concept of temporal projection. Wind speed of future A. Modular Network Self-Organizing MapmnSOM
(unknown) is projected by the past observation data (known).
The mnSOM is obtained by replacing each unit of Self-
Organization Map (SOM) of Kohonen [9] to modularized unit,
such as ANN. In case of using a multilayer perceptron which is
one of the ANN as modular, it is known that the map is
designed to have the properties near modular to each other by
learning the different input and output correlation at each
modules of mnSOM. And the modular, between each learned
modular with given characteristic data, are formed and show an
intermediate output correlations. So it is able to learn about
characteristics that do not give the data by forming
interpolating [10].
Figure 3 shows the construction and data flow of mnSOM.
Fig. 1. Temporal Projection (ex.Aomori)
201
In learning of mnSOM actually, Ei(k ) is replaced the
(k )
average error E i of time to enable online learning and to
(k )
speed up the decision of the winner. Average error E i time
is shown in equation (5), where H is a positive number close to
zero.
t Heij( k ) 1 H E i t 1
(k ) (k )
Ei (5)
Learning is obtained by using the back-propagation method

(BP), to update the connection weights of the winner and the
neighboring modules. The weight w (k ) of the k-th module is
updated by equation (6).
wE ( k )
'w ( k ) t I t , l K i( k )
Fig. 3. Modular Network SOM (mnSOM) (6)
ww
The basic learning algorithm is as follow.
First, it provides an input to all modules, leading to errors Here I t, l is a coefficient gives the strength of the BP
for each module from the output and the teacher (supervisor) learning, corresponds to the neighborhood function in SOM. l
signal. is at a distance of winner modules and learning the subject of
Regarding the vector, there are M system groups, x is module, and I t, l is a monotonically decreasing function by
input vector and y is output vector, and each system can be l . So winner module performs the strongest learning, and
distanced module from winner learning amount is reduced. In
modeled as y f i x ( i 1,2,...,M ). By learning f i which
addition, I t, l is a monotonically decreasing function by t ,
is the input-output correlation of each system with input and
and neighborhood function as the number of times of learning
output data groups Di shown in equation (1). The mnSOM is
progresses go narrower.
able to map a similar relationship in modules.
I t, l in this learning is shown in equation (7).
Di ^xij , yij ` i 1,2,...,M (1)
l
First, one set of Di can be selected randomly from data I t, l 1 (7)
V t 1
group D1 ,...,DM of input and output, and also randomly select

the input and output data xij , yij Di belonging to Di . x ij B. Projection-mnSOM
is an input of network, which is given to all modules. yij is the The purpose of this research is to project the future of wind
speed (unseen data) of a site from the weather data of
teacher signal. If z ij(k ) is the output of the k-th module for the neighborhood points (seen data). Using a general mnSOM, it is
input x ij , the square error of the module is given by the impossible to expect the spatial interpolation because module
following equation (2). will show similar input and output characteristic which are
clustered by SOM learning with temporal projection progress,
1 2 so the position relationship of each module is lost.
eij( k ) yij zij( k ) (2)
2 In this research, we propose a new method that interpolates
Next, the winner module is determined based on the error the inter-module and learning modules become possible
of each module. without losing the fixed spatial information. The module will
show projected data which can be used for further training in
If Ei(k ) shown in equation (3) is the total error of the k-th the learning algorithm of mnSOM. We call this method
module for all data belonging to Di , a module to minimize Projection-mnSOM (here-after P-mnSOM).
Ei(k ) is the winner module as shown in equation (4). In P-mnSOM, basically input and output data, the learning
algorithm are similar with mnSOM. The changed point is the
1 method of winner determination module.
y e
2
Ei( k ) ij zij( k ) (k )
ij (3)
2 j j
The winner module is the one which has minimum total
error or average error in all modules, however in P-mnSOM,
k winner Di min Ei( k ) (4) the winner module is determined by selected data group of
k input and output randomly. The point of selected data group is
directly proportional the winner module.
So k winnerDi is shown in equation (8).
202
k winnerDi i (8) equation (9). In this equation, m is dimensions and W is time
delay in reconstructed dimension.
In this study, the module respectively corresponds to the
weather station which has all information of latitude and x ^vNS t , vEW t ,...,vNS t m 1W , vEW t m 1W ` (9)
longitude of observation point. Observation points of data
selected at random as input and output data become the winner IV. SIMULATION
module, at the observation vicinity modules of around the
winner module and then the learning is performed. The For this research, a simulator is created which can simulate
distance between the modules is calculated with latitude and all necessary calculations including projection of wind speed.
longitude between the observation point, and in accordance to A sample screen of this developed software is shown in Figure
the calculated neighborhood function the strength of learning is 5. In this Figure the users are able to input all necessary inputs
determined. and parameters for known area and after simulation can get the
desired output for unknown area.
The information of each module position is kept by Wind speed of Parameters Inputs
learning with P-mnSOM in advance. target and around
For projecting wind speed of any point in off-shore, the

invention is not limited to the availability of data around the
point of interest, instead the situation which needs to be
projected can be assumed from biased position of the data.
Therefore in this research, mapping modules network based
on P-mnSOM is needed to be done first, and then learning is
performed by the conventional mnSOM. Ultimately, the Aomori
learning based on data that are different in positions but similar
in characteristics is performed.
The concept of the simulation method applied P-mnSOM is
shown in Figure 4.
Fig. 5. A sample Simulator Display
We project the wind speed of Aomori using wind speed

data of Aomori (a) and 10 other points from (b) to (k) as shown
in TABLE I.
TABLE I. OBSERVATORIES (AOMORI AND THE NEAR OTHERS)
North East Distance

Fig. 4. Projection-mnSOM Direction (*)
latitude longitude from
[degree]
[degree] [degree] Target[km]
C. Data Construction a) Aomori 40.822 140.768 - -
b) Kuroishi 40.667 140.585 24.355 221.872
The propose of this research is to project the wind speed of
c) Kanita 41.045 140.633 27.297 335.467
an arbitrary point by using the wind conditions in certain
regions, so the data for learning mnSOM is wind speed and d) Rokkasho 40.885 141.272 43.013 80.451
direction as input and output. Since it is important to use the e) Mutsu 41.283 141.210 63.327 35.723
spatial characteristics as input data and the teacher signal, wind f) Shiura 41.057 140.347 44.019 306.600
speed as v(t ) , and wind direction as angle T are taken into g) Fukaura 40.645 139.932 73.219 254.662
account. As for wind direction, north wind direction is taken as h) Yasumiya 40.427 140.898 45.322 165.932
0 angle and the rest of directions are divided based on the i) Hachinohe 40.527 141.522 71.629 117.042
angles. As an example, two positions wind speed and wind j) Misawa 40.675 141.375 53.742 107.529
directions can be presented by the following formulas: k) Odanosawa 41.235 141.397 70.027 48.758
North-south direction of the wind v NS t vt cos T

a.
(*) North is 0 degree, East is 90 degrees, South is 180 degrees, and West is 270 degrees.
East-west direction of the wind v EW t vt sinT .

We determined the parameters of the simulation by trial-
Furthermore, the input data and teacher signal are translated to and-error method.
vectors by the reconstructed time delay coordinate system, The simulations are evaluated based on the comparison of
based on deterministic chaos concept, for learning the results found for projection of Aomori with the data of Aomori
dynamics of wind speed [11]. So x as input vector is shown in directly, and the results of projection of Aomori with the data
from 10 other observatory points.
203
A. Projection with mnSOM and P-mnSOM B. Projection with changing each data of observatory point
First, we compared the projection results found by mnSOM Second, we project wind speed by using the P-mnSOM by
and P-mnSOM. The projection is performed with 3 areas changing only one of the observatory point data. The result
weather data. There are 2 patterns of setting for the areas error of projection and distance from Aomori is shown in
shown in Figure 6. TABLE III. The better results of top 3 are shown in Figure 8.
Case 1. Around Aomori (they are Kuroishi, Kanita, and
Rokkasyo). TABLE III. PROJECTION ERROR OF EACH OBSERVATION POINT
Case 2. Biased to east from Aomori (they are Mutsu, Absolute Average
RMS Distance [km]
Rokkasyo, and Misawa). Error [m/s]
b) Kuroishi 1.682 1.531 24.355
c) Kanita 1.465 1.070 27.297
d) Rokkasho 1.728 1.359 43.013
e) Mutsu 3.484 2.826 63.327
f) Shiura 3.150 2.647 44.019
g) Fukaura 2.835 2.083 73.219
h) Yasumiya 1.492 1.136 45.322
i) Hachinohe 1.474 1.094 71.629
j) Misawa 3.303 2.714 53.742
k) Odanosawa 3.112 2.397 70.027
Fig. 6. Approach of Projection.
The error of projection wind speed of Aomori with 3 areas

weather data is shown in TABLE II. The results are plotted in
Figure 7.
TABLE II. PROJECTION ERROR BY MNSOM AND P-MNSOM
Case 1. Around of Aomori Case 2. Biased to East

Absolute Average Absolute Average
RMS RMS
Error[m/s] Error[m/s]
(Directly) 0.906 0.768 - - Fig. 8. The results of projection of each observation point
mnSOM 0.668 0.522 3.764 3.036
P-mnSOM 0.736 0.618 1.724 1.372 C. Projection with pural data of observation points
Based on the obtained results, we found that the error
become worse as the data points used to project increases. The
change of error is shown in TABLE IV and the main results of
projection are shown in Figure 9.
TABLE IV. PROJECTION ERROR WITH PURAL OBSERVATION POINT
Absolute Average Observatory

RMS
Error [m/s] Point
1 Point 3.241 1.531 Mutsu
2 Points 1.659 1.070 + Misawa
3 Points 1.674 1.359 + Shiura
4 Points 1.689 2.826 + Odanosawa
Fig. 7. The results of projection of mnSOM and P-mnSOM 5 Points 1.268 2.647 + Fukaura
6 Points 1.178 2.083 + Rokkasho
In case 1, the errors of both methods are similar. Also the 7 Points 0.709 1.136 + Kuroishi
error is close to the one for projection with weather data of 8 Points 0.937 1.094 + Yasumiya
Aomori directly. However, in case 2, the error of mnSOM is 9 Points 1.590 2.714 + Hachinohe
higher than that found in P-mnSOM. 10 Points 1.257 2.397 + Kanita
204
observation point of the on-shore. As a conclusion, the
Projection-mnSOM to issue a stable result in biased state is
considered to be effective.
Next, we confirmed the relationship of projection error with
data of observation point. As a result, tend to issue a good
prediction result towards the data in a short distance
observation point from the projected target point was seen. The
distance was showed to be an effective factor, as short distance
showed to be more accurate than far distance. Another source
of error for the case of on-shore is known as affect by terrain,
such as mountains and bays in between. However, since almost
no such elements are in off-shore, it is expected to have better
projection results than on-shore.
Ultimately, we confirmed the changes in the projection
errors when we used the weather data used for projection in the
Fig. 9. The results of projection with pural observation points
plurality of the observation points. We found that we can have
good results even with a relatively small number of points. It is
V. CONCLUDING REMARKS possible to obtain an accurate projection using a plurality of
observation data at a distance. However, there is a need for
Wind power is effective as a solution for global warming proximity of a certain distance.
problems, and it is in progress in many parts of the world. For
an island like Japan, it is expected to obtain a stable wind
power in off-shore rather than the on-shore. It is important to REFERENCES
choose a right place with high wind speed since it is directly
related to profitability. However, comparing with the on-shore, [1] Judith B. Cardell, et al. Wind Power in New England: Modeling and
the off-shore site has some problems regarding the technical Analysis of Non-Dispatchable Renewable Energy Technologies, IEEE
and cost which need to be investigated carefully. Transactions on Power Sy stems, Vol. 13, No. 2, pp. 710-715, May 1998.
[2] R. Billinton, et al. Assessment of Risk-Based Capacity Benefit Factors
So, the purpose of this research was to establish an Associated With Wind Energy Conversion Systems, IEEE Transactions
approach to project the wind speed of future and distant from on Power Systems, Vol. 13, No. 3, pp.1191-1196, August 1998.
observation point based on the observation of weather [3] New Energy and Industrial Technology Development Organization.
information around the target off-shore site. By the help of this White Paper on Technology about Renewable Energy. Morikita
Publishing Co., Ltd., Chapter 3, December, 2013, (in Japanese)
approach developed in this study, it became possible to reduce
[4] M.Hayashi, Bahman Kermanshahi. "Application of Artificial Neural
the risk related to prior weather research in the introduction Network for Wind Speed Prediction and Determination of Wind Power
point examination of off-shore wind power generation. Output", ICEE 2001, July 2001.
In this study, two projection developments were carried [5] Mitsuharu Hayashi, Ken Nagasaka. "Application of Intelligent Method
for Wind Speed Prediction and Determination of Wind Power Output",
out: Temporal Projection and Spatial Projection to project the MS thesis, Tokyo University of Agreculture and Technology, March,
wind speed. The algorithm of mnSOM is applied as the way to 2003. (in Japanese)
do both projections at the same time. The temporal projection [6] J. Prncipe and J. Kuo. Dynamic Modeling of Chaotic Time Series with
was performed in the ANN to configure the module and the Neural Networks, Advances in Neural Information Processing Systems
spatial projection was performed for learning among modules 6, edited by T. Cowan and A. Koufmann, pp. 311-318, 1994
in SOM. Furthermore, the processing method of Projection- [7] Kazuhiro Tokunaga, Tetsuo Furukawa, and Syozo Yasui. Modular
mnSOM for performing learning among modules while Network SOM Self organization of a group of function models
Technical Report of IEICE NC2002-130, pp.79-83 Feburay, 2003.
retaining spatial information was examined successfully.
[8] Kazuhiro Tokunaga, Tetsuo Furukawa, and Syozo Yasui. Modular
Since we dont have the weather data of off-shore site, in Network SOM Self-Organizing Map of a Systems Group in Function
this research, we used the weather data of Aomori and 10 other Space Technical Report of IEICE NC2003-17, pp.31-36 June, 2003.
observatory points to project the wind conditions for Aomori [9] T. Kohonen. Self-Organizing Maps, Springer Publishing, 1995.
and evaluated for errors by comparing the actual observations [10] Kenji Kimotsuki, Kazuhiro Tokunaga, Syozo Yasui, and Tetsuo
data. Furukawa. Modular Network SOM Self-organizing maps dealing with
dynamic systems, Technical Report of IEICE NC2003-141, pp.35-40
First, we compared the projection results which were found March, 2004.
by mnSOM and P-mnSOM. The projection is performed with 2 [11] Kazuyuki Aihara. "Fundamental and Application of Chaos Time Seriese
patterns of setting for 3 areas weather data: one of the patterns Analysis", Sangyo tosho Publishing company, Chapter 5, Novermber,
2000, (in Japanese).
is Around projected point, and another is Biased to east from
projected point. In the case of Around, the results of projection
by conventional mnSOM was good, but in the case of Biased
one, Projection-mnSOM showed to be accurate and stable. It
can be stated that Projection-mnSOM major projection
technique for actual off-shore projections, which can
successfully project the wind speed of off-shore from the
205
A Household Load Priority Scheduling Model Based

On Real-Time Electricity Price
Bo Hu1, Xiao Zhong2, Song Liu2

1
State Grid Energy Research Institute
2
School of Electrical and Electronic Engineering, North China Electric Power University
Beijing 102206, China
Email: hubo@sgeri.sgcc.com.cn
AbstractIn this paper, we present a household load priority conserve electricity, making the residents of the sales price
scheduling model based on real-time electricity price, the structure miss leverage of economic regulation, but cannot
optimization objective is to satisfy users comfort demand and truly reflect the scarcity value of energy commodities.
reduce the electricity cost. The constraints are electric power
company's response to electrical and the working time of Since the 1970s, many countries began to adopt time-of-use
household appliances that user expect. The model divides all (TOU) price, electricity price and periods are different from
appliances into three categories: important appliances which regions, climate, and other power system load conditions. In
cannot be dispatched, non-interruptible appliances which can be 1957, France introduced TOU pricing the first time, the United
dispatched and interruptible appliances which can be dispatched, States, Japan, Italy and other countries have gradually adopt
and the third type can be subdivided into demandable appliances TOU price, by setting electricity price of TOU and the season,
and rechargeable appliances. The proposed model not only takes the experience of Europe and the studies of American have
various electrical models of appliances into account, also confirmed the implementation of TOU system in the user has
including users psychological satisfaction. Electricity bill and great benefit [2].
users satisfaction curve will generated by the system, through
adjusting the proportion of satisfaction, different users can get Real-time electricity pricing is a more specific pricing way,
different power saving and comfort effect according to their it can be given by hour, is an ideal pricing system, which
different demands, it has important practical significance. include rich economic information, provide reasonable
Finally, the article verify the effectiveness of the proposed arrangements for the power generation companies, effectively
optimization model by simulations. reducing the cost of power generation, also provides users with
clear pricing information, and users can make reasonable
Keywordshome energy management systems; real-time arrangements for their electricity plan, in order to reduce
electricity price; load management; user satisfaction; optimization electricity cost [3]. Real-time pricing will restraint users'
model electricity consumption during peak periods, the adjustable
peak period will be transferred to low electricity price zone,
I. INTRODUCTION improve the load factor (average load over total load), thus
Since the 21st century, with the rapid development of the reducing electric power investment and saving resources
global economy, various trades have growing demand for effectively.
energy, oil and coal as the representatives of the disposable The rest of this paper is organized as follows. In Section II
resources are increasingly scarce, the inevitable rise of energy we describe the related work. We introduce the system model
prices, resulting in electricity prices increased accordingly. and notation in Section III. Simulation results are provided and
Currently, the major challenges faced by electricity industry are discussed in Section IV. The paper is concluded in Section V.
from economic, environmental, safety these three areas,
especially in economic aspect, in order to achieve the goal of
II. RELATED WORKS
rationalize the cost of electricity, energy markets are trying
revolutionizing. [1]. Power Demand Side Management (PDSM) is a power
management activity carried to mitigate the speed of resource
Due to electricity resource has the characteristic of cannot consumption, reduce losses and environmental pollution. As
be stored, the power supply and power demand should be in early as 1970s, the United States in order to deal with the
balance. How to management the power demand-side energy crisis has already begun to establish demand-side
management (DSM), has long-term meaning to promote management mechanism, the earliest introduction of the
balance of power supply and demand. And precisely because of concept of demand response is in 2004. The literature [4] for
this characteristic, determines the pricing of electric power is the first time introduced the concept of demand response, the
different from general product. implementation of the principles and the demand response
Has long been a single low price practiced in our country, program of U.S... The literature [5] carried out a more
not only cannot mobilize the enthusiasm of residents to comprehensive review on the electricity market in demand
978-1-4673-7995-3/15/$31.00 2015
c IEEE 206
response, systematically introduces the definition of demand user satisfaction, but the anthers assumed that at the middle of
response, principles and classification. The literature [6-7] the expected working time has the highest satisfaction is
combine domestic and international situation, analyzes the inconsistent with the actual.
necessity of introduction the demand response mechanisms
into our electricity market, demonstrate significant roles of Household electricity optimization model proposed in [15]
demand response of electricity market reforms. The literature take the appliances which must run real-timely into account,
[8] compare the traditional PDSM with the PDSM under smart also consider grid demand response and renewable energy
grid, results smart grid advanced metering, communications generation. However, the authors assume that all appliances
and control methods play a very crucial role in promoting participate in scheduling can disrupt randomly, which does not
demand-side management. Compared with the traditional match with the actual, such as a washing machine cannot be
PDSM, PDSM under smart grid has a higher load monitoring, powered off until the end of the entire laundry process while
intelligent control and terminal energy saving efficient, can start working. And the model does not consider the user
achieve in real-time response of user, and supports the free satisfaction, only minimized a day's electricity.
access of distributed energy [9]. The scheduling model proposed in [16] take full account of
With the growing needs of residential electricity the characteristics of each electrical appliance, divided all
electrical appliances into three categories: real-time electricity
consumption, home energy management plays an increasingly
important role, HEMS based on smart grid and smart home, consumption of household appliances which cannot be
relies on home smart meter, and is one kind of intelligent dispatched, interruptible electrical appliances, non-interruptible
network control systems. Energy optimization and control can electrical appliances and must be run electrical appliances. And
not only improve energy efficiency, reduce users electricity take the PV power generation system, sale of the remaining
costs but also make great significance to the normal operation electricity to the grid as well as user satisfaction into account.
of the power grid [10]. Electrical departments deliver the real- But the model is simply divided a day into 24 time segments,
time pricing information to the user, and user manage the home cannot reach the most provincial electricity [17].
electrical equipment through an effective way, making the The researches above discussed various aspects of
power demand and supply reach a relatively balanced. In order household load, but there still may be further refined and
to achieve this objective ,it requires to provide an automatic promotion to meet the practical demand, by reference on study
load scheduling model to reduce the user's electricity of these researches, here propose a scheduling model much
consumption, users electricity consumption habits, more realistic and applicable to the electricity market. The
satisfaction, the electrical characteristics of household proposed model not only takes a variety of electrical patterns of
appliances and the price in different periods should be all taken household appliances in the actual situation into account, also
into account into the model, maximize grid energy efficiency, it consider users psychological satisfaction. User can setting
can be adjusted the cost of electricity from a table of household different satisfaction to reach the purpose of reduce energy
load working time, which will play an important role in the costs according to the scheduling system, which has important
future energy supply system in the house [11-12]. practical significance.
Currently, electricity optimization based on home energy
management systems caused many researchers attention at III. PROPOSED METHOD
home and abroad, they put forward many proposals. In this part, we proposed a household load priority
The literature [13] proposed a real-time household load scheduling model depend on real-time electricity price and
priority scheduling algorithm, it divided all electrical users demands. In order to realize the basic requirement of
appliances into three categories, namely, real-time energy reduce electricity bills, we focus on the scheduling problem of
consumption electrical equipment, periodic non-real-time various appliances.
energy consumption electrical equipment, non-periodic non-
real-time energy consumption electrical equipment. Get the A. System Configuration
forecasting price information of the electricity market one day Fig 1 shows the configuration of the household load
in advance, allocate dynamically and schedule the priority of priority scheduling model. In this study, the server control
electric appliances to reduce peak electricity and the electricity appliances switch combines with smart meter. The smart
bill. But electrical classification settled vaguely, it difficult to meter sends information to appliances through Power Line
pick out periodic electrical equipment and non-periodic Communication (PLC), the sensors and server communicate
electrical equipment clearly, and the authors did not give the with data center via the Internet.
specify formula to set priority values.
The server is the most important part of the model, it
The literature [14] proposed a scheduling algorithm, the connects with the data center and smart meter. The data center
running time of electric appliances settled into two parts with collect users information and real-time electricity price, and
entire hour and non-whole-hour scheduling, this method the temperature sensor and humidity sensor detects temperature
relatively with the actual, can make a higher load running and humidity information real-timely and send them to the data
efficiency with time gap, but the authors assumed all these center. Then data center sends useful messages to the server,
appliances are continuous and constant while working. In and this messages will be compared with the rule, if it reaches
addition, the anthers did not take the appliances which must the trigger condition, the server will sends control commands
run real-timely into account. The program also considering to smart meter. Fig 2 is the model control chart.
207
The serial data collection method requires large overhead of be dispatched, and the third type can be subdivided into
communication headers than measurement data of a small size, demandable appliances and rechargeable appliances. The
thereby ending up with a heavier network load. Although the results of classification are shown in Table I.
cached data collected data are unsuitable for a low bandwidth
network environment. Moreover, this method becomes a cause TABLE I. CLADDIFICATION OF HOUSEHOLD APPLIANCES
of a delay in the feedback control based on the analysis result
of collected data. The types of household appliances Appliances App#
Electric kettle App1

Temperature
Sensor Appliances TV App2
Important appliances Desktop computer App3
Wi-Fi
Lights App4

Humidity Hair dryer App5
Server
Sensor PLC
Non-interruptible appliances Washing machine App6
Smart meter
Water heater App7
Drinking fountain App8
Interruptible Demandable
Air conditioning App9
appliances
Internet Air humidifier App10
Data center
Notebook computer App11
Rechargeable
Electric vehicle App12
Fig. 1. The configuration of the household load priority scheduling model
C. Data gathering
Temperature Humidity Control To gather information, firstly, users are asked to fill up a
Sensor Sensor rule table like Table II, which contains basic information on their
appliances that would be subjected to scheduling. The data
received from all participants are recorded in data center. In
Control
Real-time data center, the collected data will be examined in order to
Signal
electricit Data center make different decisions on scheduling and to send on/off
y price instructions back to the respective appliances. Since each user's
Smart meter electricity consumption habits are not the same, let user record
in data center with the electrical work time they want to in
Users information Server
advance be very important, and this relates to the calculation of
user satisfaction.
Fig. 2. Data center control chart
TABLE II. HOUSEHOLD APPLIANCES INFORMATION
B. Selection and classification of electrical appliances Power
Work time Influence Duration
Appliances consumpt
Since household appliances in urban residences are wide [D i , Ei ] factor O (Hour)
ion(W)
range of different types, this paper has referenced the survey of
household electrical using conditions and usage patterns in Electric kettle 0.1 1000
twelve European countries [13] and various types of thousands TV 98
of Beijing residential household appliances basic conditions Desktop
random _ 180
and usage patterns research results involved in the "Annual computer _
Report on China Building Energy Saving". In Europe, water Lights 18
heater, dishwasher, air conditioning and other household Hair dryer 600/1200
appliances with high usage. Meanwhile, in Beijing, air Washing
conditioning, water heater, electric kettle have higher usage in 07:00-14:00 0.2 1 325
machine
household. Analyze and select some appliances of the more Water heater 17:00-23:00 0.2 3000
widespread and representative residential electrical equipment,
Drinking
household appliances in this paper identified as: electric kettle, fountain
06:00-24:00 0,1
the more ,
550
TV, desktop computer, lights, hair dryer, washing machine, Air the better
water heater, drinking fountain, air conditioning, air humidifier, 10:00-22:00 0.3 800
conditioning
notebook computer, electric vehicle. Air humidifier 13:00-22:00 0.1 25
We divided these appliances into three categories according Notebook 19:00-
0.1 2 60
computer 06:00(next day)
to their usage patterns and characteristics, important appliances
Electric 18:00-
which cannot be dispatched, non-interruptible appliances vehicle 07:00(next day)
0.1 6 120
which can be dispatched and interruptible appliances which can
208
D. Electricity price and energy cost evaluation
We define the set C, which represents the time-varying
electric price rate for a day, we use real-time pricing, the price
changes in hours, here, the non-negative constants C j , for
j (1, 2,..., 24) , is the price rates, which are given in dollars
per kWh. Let a set A be defined as a collection of which
elements indicate N appliances, respectively, each electrical Fig. 3. Air condition and air humidifiers electricity model
appliance has its own number i, i A, p[i ] j represents rate of
Priority of air-condition and air humidifier can be calculate
power consumption of appliance i in time slot j We define by (3),
the set M represents the total electricity bill, M j represents
Tt Tset
the electricity bill in time slot j, and they were calculated with T T , Tset d Tt Tstart
the equation (1) and (2) as follows: start set
t
Pi 0, Tt Tset
Mj C j iA p[i] j (1) 1, Tt t Tstart

M jL C j iA p[i] j (2)
Fig 3 shows the air condition cooling and air humidifier
model, W0 is the power value in work time, W0 is the power
E. Calculate Priority value and set the priorities threshold
value in rest time in the cooling intermittent. One cycle time is
As a result of real-time electricity pricing model, it is no t11+t12; work time is t11, rest time is t12, t11/t12 changes with the
longer a single price, so users can use of this feature to adjust indoor temperature/ humidity and the set temperature/
the operational status of appliances in order to reduce humidity. To simplify the calculation, this article takes a
electricity consumption and reduce electricity cost. certain value.
In order to make out a system which can control electrical Fig 4 shows the water heater and drinking fountains
switches to save energy, set the priority is very important. By heating model, W0 is the power under the normal state; An
setting the priority value, it can reflect the necessity of cycle time is t11+t12; normal operation time is t11, intermittent
demands of each appliance for electricity at the same time. time is t12, t11/t12changes with the indoor temperature. To
Appliances with lowest priority value will first be closed for simplify the calculations, this article takes a certain value. The
five minutes. water heater and drinking fountains electricity model is
This article divides all the household loads into schedulable showed in Fig. 2.
appliances and cannot be scheduled appliances this two
categories. Use priority level to distinguish the operating states
with the electrical priority P disposed between 0-1 When P=1,
means it has the highest priority, when P=0, means it has the
lowest priority.
Appliance that cannot be scheduled (such as televisions,
electric kettle, etc.) as long as the state is on, otherwise P = 0.
Appliance that can be scheduled (such as washing machine,
etc.) can be divided into interrupted appliances and non-
interrupted appliances. Non-interrupted appliance has the Fig. 4. Water heater electric model
highest priority P = 1 when the electrical price in a lowest price
period of time during the expectation working time, otherwise Priority of water heater and drinking fountain can be
P = 0. calculate by (4),
Interruptible appliances priorities can be summarized as Tset Tt
follows. T T , Tstart d Tt Tset
set start
t
Pi 0, Tt t Tset
1, Tt Tstart

209
F. The influence of customer satisfaction for scheduling 1) Event 1: Without scheduling.
As the differences among the appliances were very 2) Event 2: Scheduling, but do not consider users satisfaction.
significant to users, the electrical appliances weighted
3) Event 3: Scheduling and consider users satisfaction.
satisfaction depends on its influence factor O . The influence
factor means the important degree of appliances to their owner. Fig 6 shows the power under three events, it gives the
For example, to the user, if the appliance A is more important power consumption under different time in a day, and table III
than appliance B, the influence factor of appliance is bigger sums up the total weighted satisfaction and the electrical bills.
than appliance B. Therefore, we expect to control the We can get information from the picture that event 1 ensures
appliances scheduling priorities by changing their satisfaction satisfaction to a large extent, household loads concentrate in
influence factors. Generally speaking, the greater the influence times of high electricity prices. In order to make the lowest
factors of electric appliances, suggest that the user wants to the electricity bill, in event 2, it transfers a lot of loads to electricity
electrical appliances finish the work earlier within the scope of price which is cheaper. Event 3 considers not only electricity
the completion time requirements. price, but also users satisfaction, operates more electrical
appliances when the price is low as far as possible, but due to
The user expect the appliance can work during the time consider total weighted satisfaction, there is still some
scope of [D i , Ei ] , if it does not work in this period, means the appliances in high price period.
satisfaction on this appliance is 0. We assume that the user
wants the electrical appliance finish the work as soon as
possible within the setting scope of time, so when the appliance
starts work at moment a, it finish the work at a+N has the
highest satisfaction, then the satisfaction reduce to 0 with the
complete time to b. Therefore, the satisfaction formula S(i) is a
piecewise function on completion time F,
Fi Ei
u100%, Ei Ni d Fi Ei (5)
S (i ) D i Ni Ei
0, Fi ai Ni Fi ! Ei

The total weighted satisfaction is
sat iA[Oi u S (i)] (6) Fig. 6. Power of three events in different time of a day
The data in table III has support the claim. In event 1,

IV. SIMULATION users total weighted satisfaction reaches 110, but the
We make some simulations on LINGO 11.0, and assume electricity bill is also the highest, it is 23.2 yuan. In event 2, but
the real-time electricity price is a typical electricity price the electricity bill is the lowest, which is 19.8 yuan, however,
information in winter [18], the electricity price is in Fig 5. users total weighted satisfaction is only 52. Event 3 is much
From the figure we can see that the electricity price from 6:00 more like a compromise of event 2 and event 3, although the
to 11:00 and from 19:00-24:00 is much expensive than any electricity cost is 22.3 yuan, which is higher than in event 1, the
other time in a day, but in the period from 0:00 to 5:00 has the total weighted satisfaction rises to 92. Thus it can be seen that
lowest electricity in a day. through the optimization scheduling model which is proposed
in this paper (event 3), the user can get a balance between
satisfaction and electricity bill by setting satisfaction influence
factor O.
TABLE III. COMPARE OF THREE EVENTS
Total weighted
Event Electrical bill
satisfaction
Event 1 110 23.2
Event 2 52 19.8
Event 3 96 22.3
Fig. 5. Real-time electricity price
We compare with the following three events:
210
[5] T. T. Kim and H. V. Poor. Scheduling power consumption with price
uncertainty. IEEE Transactions on Smart Grid, 2(3):519527, Sept 2011.
[6] F. Granot and J. Skorin-Kapov. Some proximity and sensitivity results in
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211
Study on Cutting Surface Stripe and Wettability of

AZ91D Magnesium Alloy by WEDM-HS
Jinkai Xu, Kui Xia, Rongxian Qiu, Linshuai Zhang, Zhanjiang Yu, Huadong Yu
College of Mechanical and Electric Engineering
Changchun University of Science and Technology
Changchun, Jilin Province, China
yuhuadong@cust.edu.cn
AbstractLow discharge energy was used to machine the negative properties of magnesium alloy, to expand the
AZ91D magnesium alloy using reciprocating type high speed application range of magnesium alloy. It is widely
wire electrical discharge machining (WEDM-HS). Different recognized that hydrophobic surfaces can be obtained by
microstructures were found on bright and dark stripes. Using improving surface roughness and lowering surface energy
water contact angle of the droplet at the magnesium alloy [6]. Since Liang et al. [7] first reported a fabrication process
surface evaluated the wettability. Results show that contact of a super-hydrophobic surface on magnesium alloy by
angle value of magnesium alloy surface after WEDM-HS was means of microarc oxidation pretreatment, followed by
higher than magnesium alloy matrix. There were differences chemical modification. Numerous methods have been
surface microstructures between bright and dark stripes,
developed to fabricate rough surfaces, such as immersion
which is the key reason of hydrophoby. Compared with the
bright stripe, the value of contact angle of dark stripe was
approach [8], electro-deposition [9], chemical etching [10].
higher and more stable. On submillimeter groove surface, the These methods can fabricate the super hydrophobic surface
value of contact angle was increased to 154.71. This paper of magnesium alloy, but there are some shortages in the
provided the facile and cost-effective process method for fabrication of Magnesium alloy. The chemical agents such as
support the industrialized fabrications of super-hydrophobic fluorine or silane, etc, are often used in the surface of the
AZ91D surface. super hydrophobic properties. This method covered many
disadvantage such as costs high, polluting the environment
Keywordsbright and dark stripes; microstructure; super- and the long-biased preparation. This kind of method is hard
hydrophobic; WEDM-HS to be applied in industrial production, and only be achieved
in the laboratory.
I. INTRODUCTION High speed wire electrical discharge machine (WEDM-
Magnesium is very abundant in nature. It is the third HS) has become an important part of advanced
most abundant structural metal in the Earths crust, exceeded manufacturing technology due to the advantage of high
only by aluminium and iron. Magnesium alloys are efficiency. WEDM has the ability to process conductive
becoming important for weight saving applications, super-hard materials, soft Magnesium alloys can also be
particularly in transport, the automotive and aerospace processed. Some problems were not considered, such as burn,
industries because of their low density and high specific Built-up Edge, etc. Recently, Yan Ling Wan et al. use EDM
strength. Magnesium alloys were also introduced to technology for fabrication of super-hydrophobic property on
biodegradable cardiovascular stent application in and stainless steel, aluminum alloy and copper surface [11-13].
expected to overcome the drawbacks of current bio-inert Nevertheless, WEDM-HS can avoid these disadvantages that
permanent metallic stent technology [1]. Magnesium alloys in the case mentioned above.
are considered to be excellent materials for reducing vehicle
In this paper, WEDM-HS was adopted to cut AZ91D
weight. Several automobile manufacturers have cooperated
Magnesium alloy. The hydrophobic surface was achieved
for developing new magnesium alloys for manufacturing less
after fabricating rough surface morphology. The purpose of
energy-consuming cars and hence, less polluted environment
this article is intended to analyze the influence of typical
[2].
WEDM surfaces bright and dark stripes on the hydrophoby
Hydrophobic characteristics are applied in the field such of AZ91D alloy. Further aim was addressed by seeking to
as construction of anti-water, buoyancy enhancement, glass- understand the relationship between microstructure and
cleaning, drag reduction, micro-drop of non-destructive hydrophobicity. We present a facile and cost-effective
transportation and crawling robot field [3, 4], the fabrication process of a hydrophobic and super-hydrophobic
hydrophobic surfaces are also fabricated to reduce the surface on magnesium alloy.
expansion of corrosion especially in humid environment, the
hydrophobic surface can delay and reduce the corrosion of II. EXPERIMENT
magnesium alloys due to its strong water-repellent ability
hydrophobic [5]. These applications can be used to improve A. Materials and working condition
National Natural Science Foundation of China (, No. 51275056

and No. 51305043).
978-1-4673-7995-3/15/$31.00 2015
c IEEE 212
TABLE I. COMPOSITION OF AZ91D MAGNESIUM ALLOY
Composition Al Zn Mn Si Fe Ni Mg
Weight (%) 8.534 0.522 0.208 0.016 0.002 < 0.001 Remainder
Experimental material was one of the widely used to the processing surface present dark color in macroscopic
industrial rolling of AZ91D Magnesium alloy, and the image. With good condition of the chip removal, and the
chemical compositions of the alloys are given in Table 1. working fluid is little during the discharge processing. This
The machine used in the experiment was the WEDM-HS of results in the discharge of carbon black less, which discharge
Jinma DK7732-type, the working fluid was JR3A emulsion is often occurring in gases. Thus, processing surface render
solution, a molybdenum wire-electrode with a diameter of bright color. Through a lot of experiments, the main factors
0.12 mm, and the positive polarity machining mode was that affect the electrolytic stripes cover cutting fluid type and
employed in this study. The pulse duration was 1 s, the flow rate, wire speed, machining parameters and workpiece
pulse interval was 4 s, power tube numbers at 5, Wire speed thickness, etc.
at 60 Hz, AZ91D alloy were sliced into 3 mm 10 mm 15
mm as the samples. After that, the fabricated samples were Fig. 2 presents the microscopic views of the bright and
soaked in kerosene for 10 minutes. And then ultrasonically dark stripes regions on the AZ91D alloy machined by
cleaned in acetone, ethanol for 10 min, respectively, and WEDM-HS. Fig. 2a, b are SEM micrographs of the bright
dried immediately. and dark stripes respectively, Fig. 2c, d are the higher
magnification micrographs of Fig. 2a, b. From the Fig. 2c, d
micrographs we can know that not only the color is different,
B. Surfaces test but also the microstructure of bright and dark stripes regions
Utilizing scanning electron microscope (JSM-6700F) varies greatly. The surface of the bright and dark stripes has
described the microstructure of samples. Hydrophobic typical electrical discharge large pits at micron size.
property was tested by water contact angles (WCA) at three However, there are numerous micro-pits and many micro-
different positions of each sample at room temperature, and cracks in the large pits of the bright stripe. Compared with
the volume of water-drop was 5 l. Measurements of the bright stripe region, erosion pits of dark stripe are more
data in the water-drop at the surface contact for 30 seconds. integrate.
Using ZEISS-LSM700 laser confocal microscopy observed
the morphology. The appearance of dark stripe was attributed to fully
cooling condition, there were more carbide that bombarded
to the surface of AZ91D in the process of discharge. Most of
III. RESULTS AND DISCUSSIONS the heat was taken away by the cutting fluid, and surface of
erosion pit was smooth with less number of micro pits.
A. Bright and dark stripes of surface
Bright stripe with insufficient cooling, the heat was
concentrated in the machined surface. Form Fig. 2a we can
see that more micro-cracks be presented in bright stripe. At
low discharge energy machining condition, most parts of
materials are vaporized rather than melted [14]. In the
process of discharge high temperature made Magnesium
alloy even boiling, the volume of the working liquid and
Magnesium alloy after vaporization rapid expansion. Relying
on the local thermal expansion and the micro explosion,
Magnesium alloy in melting and vaporization state was
thrown, and leaving a large pit on the surface. The
temperature of bubble was not rise which produced by
vaporization after the discharge. Because of the inertial
Fig. 1 Macroscopic view of WEDM-HS surface with bright and dark
stripes. effect of liquid medium made bubble continues to expand
and reduce the inside pressure of bubble at the same time, the
During the WEDM process, the processing surface of result in gas dissolved in melting and overheat Magnesium
sample is easy to appear the typical bright and dark stripes alloy was separated out where at high temperature
especially at low discharge energy condition, as shown in environment, making the Magnesium alloy boiling again at
Figure 1. This result was attributed to different the chip low pressure, and molten material was thrown once again
removal and cooling conditions. Generally, in the case of the [15]. A great number of micro-pits were left in the
emulsion as coolant, the cooling liquid is affected by high erosion pit surface of dark stripe regions finally (Fig. 2c).
temperature in the discharge region, and became gas
immediately. The discharge of black carbon and other B. Surface wettability characterization
material coagulation attached on the processing surface, lead
213
Fig. 2 SEM micrograph of the bright and dark stripes.
Wettability is the important property of metal surface. stripes were not improving the value of contact angle. The
The physical parameter describing the wettability is the surface defects such as micro-pits and the micro-crack was
water contact angle of the droplet at the solid surface. not conducive to the stability of the hydrophobicity. The
Hydrophobic property of bright and dark stripe is assessed magnesium alloy belongs to the active metal, and it is easy to
by water contact angles, as shown in Fig. 3. The contact generate chemical reaction with water under normal
angle value of the bright stripe regions reach to 108, condition [16]. In the case of long-term contact or immersion,
compared with the dark stripe (124), while the contact angle the micro/nano-pits of the bright stripe increase the
value of the grinding sample (ground with 2000 grit SiC possibility of the reaction with water. In addition, dark
paper) was 65. Generally speaking, larger contact angles stripes with more carbon element, not only provide
imply more hydrophobic surfaces. The water contact angles protection for the magnesium alloy, but also improve the
of the samples at different stripe regions changes in a pattern hydrophobic angle. We can know that the surface
that correlates with morphologies. The result indicated that microstructure of the magnesium alloy was obtained and the
the different stripe microstructure on the surfaces plays an surface energy changed by WEDM-HS, which improved the
important role in improving the contact angle value. wettability of the magnesium alloy surface.
Electrical discharge machining has changed the material We can obtain large areas of dark stripe surface by
component on the surface of the sample, for instance, carbon changing the cutting fluid type, multiple cutting process,
element content increases. This has an impact on the surface single side discharge machining process, changing electric
energy of AZ91D alloy surface. It is one of reasons leads to parameters and special structure machining. In order to
the different contact angles of disparate color stripes. obtain the microstructure of more dimensions, we fabricated
Moreover, the value of water contact angle of the bright the submillimeter groove arrays on AZ91D surface by
stripe was lower than that of the dark stripe and can be WEDM-HS (Fig. 4). The surface was clearly uniformly
analyzed by the SEM micrographs. Compared with dark covered by submillimeter scale, with an average depth of
stripes, the micro/nano-pits on the surface of the bright about 155 m and width of 112.5 m, interval of 160 m.
214
Fig. 3 The contact angle of the bright and dark stripes.
Fig. 4 The submillimeter groove arrays on AZ91D surface.
Fig. 5 The contact angle of the submillimeter groove arrays on AZ91D surface.
The rectangular groove structure increases the space of was raised to 154.71 (Fig. 5). Super-hydrophobic property
the cutting fluid channel that making more cutting fluid flow was achieved.
into the discharge surface. This method contributed to the
formation of carbon layer on AZ91D alloy surface, and IV. CONCLUSION
obtained the microstructure with fewer defects. The water
contact angle of the machined rectangular groove surface
215
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low energy. Different microstructures of bright and dark hydrophobic film in aqueous solution and its effect on corrosion
resistance, Corrosion Science, vol. 54, pp. 77-84, 2012.
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[6] C.T. Hsieh, W.S. Fan, Superhydrophobic behavior of fluorinated
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higher than the matrix. The defect of the bright stripe region [8] J.L. Song, Y. Lu, S. Huang, X. Liu, L.B. Wu, W.J. Xu, A simple
is not conducive to the high hydrophobicity. The water immersion approach for fabricating superhydrophobic Mg alloy
contact angle of the dark stripe region is higher than the surfaces, Applied Surface Science, vol. 266, pp. 445-450, 2013.
bright stripe. [9] Y. Liu, X.M. Yin, J.J. Zhang, S. Yu, Z.W. Han, L.Q. Ren, A electro-
deposition process for fabrication of biomimetic super-hydrophobic
3. We can obtain large areas of dark stripe surface by surface and its corrosion resistance on magnesium alloy,
fabricating the submillimeter groove. It increased the dark Electrochimica Acta, vol.125, pp. 395-403, 2014.
area with more dimensions microstructure, and achieved the [10] Y. Liu, X.M. Yin, J.J. Zhang, Y.M. Wang, Han, Z.W. Han, L.Q. Ren,
super-hydrophobic property without any chemical Biomimetic hydrophobic surface fabricated by chemical etching
modification. method from hierarchically structured magnesium alloy substrate,
Applied Surface Science, vol. 280, pp. 845-849, 2013.
[11] Y.L. Wan, Z.X. Lian, J. Lou, H.D. Yu, Fabrication and coupling
ACKNOWLEDGMENTS mechanism of Super-hydrophobical aluminium alloy surface, China
Surface Engineering, vol. 27, No. 4, pp. 112-116, August 2014.
The authors of the paper acknowledge the support from
the National Natural Science Foundation of China (NNSFC, [12] Y.L. Wan, Z.X. Lian, H.D. Yu, J.K.i Xu, Experimental study on
super-hydrophobic copper surface fabricated by HS-WEDM,
No. 51275056 and No. 51305043). Applied Mechanics and Materials, vol. 687-691, pp. 4367-4371, 2014.
[13] Y.L. Wan, Z.X. Lian, J.K.i Xu, Z.K. Weng, X.M. Yin, H.D. Yu,
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and flowing Hanks solution, Corrosion Engineering, Science and [14] F.G. Cao, Electro Spark Erosion Technology, Chemical Industry
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self-healing functionality for AZ91D magnesium alloy, National Defend Industy Press, 2003.
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[3] J. Chen, et al, Preparation and application of super hydrophobic Fabrication and corrosion resistance of a hydrophobic micro-arc
surfaces, Materials China, vol. 32, pp. 399-405, No. 7, July 2013. oxidation coating on AZ31 Mg alloy, Corrosion Science, vol. 90, pp.
402-412, 2015.
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study of super-hydrophobic surface with dual-scale structures,
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216
Influence of Microstructure on Surface Wettability

Xinxin Zhang, Jinkai Xu, Zhongxu Lian, Zhanjiang Yu and Huadong Yu*
School of Mechatronical Engineering
Changchun University of Science and Technology
Changchun City, Jilin Province, China
yuhuadong@cust.edu.cn
AbstractWettability is one of the important performance discovered that the microscopic structures have greater
measuring the hydrophobicity of metal surface. There has impact on surface wettability, as long as constructed
important relationship between microstructures and surface appropriate biomimetic microstructures, super-hydrophobic
wettability. In this paper, square pillar microarrays with surfaces similar to nature can be obtained without modifying
different geometrical parameters were processed on hydrophilic any low surface energy substances.
metal substrates by high-speed micro-milling technology,
observed superficial morphologies and apparent contact angles This article takes cicadas wing as biological object, and
of microstructures, and analyzed the influencing laws of the microstructure of cicada wing is simplified as square
geometrical parameters on surface wettability. Experimental pillar array, as shown in Fig. 1. In this experiment, square
results showed that the wetting transition from hydrophilicity pillar microarrays with different geometric parameters were
state to hydrophobicity state was successfully achieved by built on aluminum alloy surface adopting high-speed precise
fabricating micron-grade regular array on aluminum alloy micro-milling technology [18, 19], observed specimens
surface, and the hydrophobic property on solid surface is a surface morphologies and apparent contact angles, and
common coupling results of micronano-binary structures both analyzed the influence of micromorphologies, geometric
microscale pillars and nanoscale pits and convexities. In this parameters and droplets volume on wettability of
experiment, a good hydrophobic surface with larger apparent hydrophobic surfaces utilizing two kinds of typical wetting
contact angle can be obtained when pillar width is 20 m, pillar model. Through designing and optimizing the microstructures
spacing is 100 m, pillar height is 50 m and the droplet volume of rough surface can control the surface wettability, thereby
is 3 l. In addition, the water droplets on aluminum alloy obtain a hydrophobic surfaces with larger apparent contact
surface with square pillar microarray is in a mixed state
angle. This sample preparation has prospective application in
between Wenzel and Cassie-Baxter, and the surface wettability
the large-scale and continuous production of hydrophobic
can be control by changing the geometry parameters of
microstructures. engineering materials only by building microscopic structures
without adding any additional chemicals.
Keywordswettability; microstructure; apparent contact
angle; geometrical parameter;
I. INTRODUCTION
Wettability is one of the important characteristics of solid
surface, it not only affects the life activity both animals and
plants in the nature, but also plays a significant role in
peoples daily life and industrial production [1, 2]. Wettability
of solid surfaces can be measured by the contact angle of
water droplets on its surface, which is called the
super-hydrophilic surface when 5 , 5 < < 90 is the a Microstructure of cicada wing surface b Processing structure
hydrophilic surface, 90 < 150 is the hydrophobic
surface, 150 is called super-hydrophobic surface [3, 4]. Fig. 1 Schematic diagram of square pillar microarray.
Nonwettability surface are widely used in aviation, pipeline
transport and daily life due to the strong hydrophobicity, drag II. EXPERIMENTAL EQUIPMENT AND METHODS
reduction, antioxidation, corrosion resistant, and self-cleaning
[5-7]. Surface wettability is usually determined by both A. Experimental equipment
superficial chemical compositions and superficial In this paper, the employed material was 7075 aluminum
microstructures [8-10]. At present, most scholars fabricated alloy with volume of 802010 mm. Processing equipment
hydrophobic surface through modifying low surface energy adopted high-speed precision micro-milling machine tool
substances on rough surfaces [11-14]. However, the use of whose maximum spindle speed is up to 100000 rpm, rotation
low surface energy substances not only increased accuracy is better than 1 m, position accuracy of working
manufacturing cost, but also posed a serious impact on table is better than 0.5 m/100 mm, and the repeat
environmental pollution. Jiang Leis research team [15-17] positioning accuracy is 0.2 m. The tool choose two
Sponsors: Natural Science Foundation of China (NSFC, grant No.

51275056 and grant No. 51305043).
978-1-4673-7995-3/15/$31.00 2015
c IEEE 217
integral cemented carbide end milling cutters, which tool processing parameters in this test was that tool overhang
diameter are respectively 0.05 mm and 0.1 mm. JSM-6700F length is of 15 mm, single axial cutting depth is of 10 m,
type cold field emission scanning electron microscope (SEM) feed speed is of 40 mm/min, spindle rotate speed is of 30000
was employed to observe the micromorphologies of sample rpm. After milling, putting specimens into ultrasonic cleaning
surfaces. Contact angles of sample surfaces were measured machine to clean for three times using acetone and ethanol
adopting OCA20 type optical contact angle measuring absolute respectively for 10 minutes and drying using oven
instrument. which temperature is 60 for 30 minutes. Then
microstructures of specimen surfaces were observed using
B. Experimental methods microscope (JSM-6700F), and the contact angles of surfaces
Square pillar microarrays with different geometrical against deionized water were measured at room temperature
parameters were processed on aluminum alloy surface using the sessile drop method of a contact angle goniometer
adopting high-speed precise micro-milling machine tool and (OCA20), which droplet volume deposited on the surface was
integral cemented carbide end milling cutters. Selected 3 l.
III. ANALYSIS AND DISCUSSION
A. The effect of surface morphology on wettability
a Square pillar microarray b Single square pillar microstructure
c Local amplification of top surface d Local amplification of side edge

Fig. 2 SEM micrographs of square pillar structure after high-speed micro-milling machining.
Fig. 2 shows the SEM micrographs of square pillars with pits and convexities and even smaller nanoparticles
structure prepared by high-speed micro-milling machining generated by compression deformations during high-speed
tool. The microstructures with pillars array is neat uniform micro-milling. Hence, micropillars surface formed plenty of
and have high consistency after milling, as shown in Fig. 2a. micronano-binary structure composed by microscale pillars
Owing to aluminum alloy material have many disadvantages, and nanoscale pits and convexities, and this caused water
such as poor toughness, low hardness, large residual stress droplets cant into the nanoscale structures of small scale,
and processing deformation et al, pillar surface generated simultaneously taken air seal into the microstructures, thereby
a mass of burrs after milling machining, synchronously reduced the contact area between liquid and solid and
presented a pit shape on the top surface and many blade increased the apparent contact angle on solid surface.
scratch on the bottom of structure, illustrated in Fig. 2b. If Therefore, the hydrophobicity on aluminum alloy surface is a
continuing to enlarge the side surfaces (observed in Fig. 2c ) common coupling results of micronano-binary structure both
and the top edges (see in Fig. 2d ) of specimens, it can be find microscale square pillars and nanoscale pits and convexities
that the material surface formed many uneven nanostructures distributing on microscale pillars surface.
218
B. The effect of microcosmic geometrical parameters on composite contact surface, c is the static contact angle of
composite contact.
wettability
This article mainly discussed the microstructures of
square pillar arrays, considering the effecting laws of
geometry parameters of square pillars on wettability of rough
surface. As shown in Fig. 4, takes the region of rectangular
box as a unit. When in Wenzel model, the roughness factor r
= [(a + b)2 + 4ah] / (a + b)2 = 1 + 4ah / (a + b)2, Wenzel theoretical
predictions formula can be obtained by putting r substitutes
into Wenzel formula (1).
cos w = [1 + 4ah / (a + b)2] cose (3)

a Wenzel model b Cassie-Baxter model
While in Cassie-Baxter model, fs = a2 / (a + b)2, Cassie-Baxter
Fig. 3 Two typical wetting model of roughness surface.
theoretical predictions formula can be obtained by putting fs
substitutes into Cassie-Baxter formula (2).
At present, there has mainly two typical wetting model to
describe the wettability of roughness surface: Wenzel model
[20] (see in Fig. 3a) and Cassie-Baxter model [21, 22] (see in cos c = -1 +[a2 / (a + b)2] (1 + cos e) (4)
Fig. 3b). According to Wenzel model, the droplet on rough
surface is noncomposite contact, which the droplet
completely immersed in the internal of rough structures, the
contact state of water droplet on solid surface is described as:
cos w = r cos e 1
Where, r is the roughness factor which means the ratio of

the actual area and the projection area of the rough surface.
w is the static contact angle of noncomposite contact, e is
the intrinsic contact angle which is of 61.57 on smooth
aluminum alloy surface. According to Cassie-Baxter model,
the droplet in the rough surface is composite contact, which
droplet werent immersed in the internal of rough structures,
contact state of water droplet on solid surface is described as: Fig. 4 Structure design of square pillar microarray.
a, b and h represent respectively the width, spacing and height of pillar.

cos c = -1 + fs (1 + cos e) 2
Theoretical contact angle of square pillar microarrays can
Where, fs is the area percentage occupied by solid in be achieved from equation (3) and (4), illustrated in Table I.
TABLE I. GEOMETRIC PARAMETERS OF SQUARE PILLAR MICROARRAYS AND CONTACT ANGLE STATISTICS
Pillar Width Pillar Spacing Pillar Height Apparent Wenzel Cassie-Baxter

Sample
a (m) b (m) h (m) Contact Angle () Contact Angle w () Contact Angle c ()
1 20 100 50 110.74 52.41 163.74
2 30 100 50 106.57 49.46 156.93
3 40 100 50 97.72 47.16 151.64
4 50 100 50 91.83 46.37 147.14
5 20 50 30 96.25 44.77 151.64
6 20 100 30 94.72 55.94 163.74
7 20 200 30 92.86 60 171.11
8 20 300 30 90.39 60.66 171.89
9 20 100 20 46.21 57.99 163.74
10 20 100 40 102.14 53.84 163.74
11 20 100 60 99.61 50.21 163.74
12 20 100 80 82.37 46.37 163.74
219
180
160
140
120
contact angle, deg

100
a Droplet on smooth surface (=61.57 )
80
60
40
cassie-baxter
20 apparent
wenzel
0
20 30 40 50 60 70 80
pillar height, m
c
b Droplet on square pillar surface (=110.74 )
Fig. 6 Influence of micro geometric parameters on contact angles.
Fig. 5 Morphologies of droplets on aluminum alloy surface.
The geometrical parameters of square pillar microarrays
were shown in Table I, hydrophobic properties of specimen
180 surfaces were measured by OCA20 optical contact angle
160
measuring instrument, which each reported angle calculated
on the average of five measurements taken at different points
140 on sample surface, and compared with theory contact angles
of Wenzel and Cassie-Baxter model. Experiment results show
120
contact angle, deg
that the wettability reversal from hydrophilicity state to

100 hydrophobicity state was successfully achieved by fabricating
micron-grade regular array on aluminum alloy surface.
80
Besides specimens of 9 and 12, the rest have all reached
60 hydrophobicity, and the maximum apparent contact angle can
reach 110.74 , illustrated in Fig. 5b.
40
cassie-baxter
apparent
Note in Fig. 6 that there exist some differences between
20
wenzel measuring contact angle of samples and theoretical contact
0 angles. The apparent contact angle after milling machining
20 25 30 35 40 45 50
pillar width, m
neither meet the Wenzel state, nor conform Cassie-Baxter
state, but in a mixed state between Wenzel and Cassie-Baxter.
a The result above suggest that droplets do not contact only the
top of pillars but also sink into the inside of rough structure.
However, there still exist certain clearance between the
180
interface of droplets and solid surface. This is mainly because
160 the change of surface roughness leads to the transition
between noncomposite and composite wetting state, which
140
the nanoscale pits and convexities on micropillars surface
generated by compression deformations during the process of
contact angle, deg
120
high-speed micro-milling make water droplets only immerse
100 into the microscale structure, but cant sink into the nanoscale
80 structure. When the surface is in the Wenzel model state, the
width of square pillar has small effect on the contact angle,
60 but the spacing and height of square pillar have greater
40 cassie-baxter
impact, the bigger the spacing, the greater the apparent
contact angle; the greater the height, the smaller the apparent
apparent
20 contact angle. When the surface is in Cassie-Baxter model
wenzel
0
state, square pillars width and spacing produce greater
50 100 150 200 250 300 impact on the contact angle, the larger the width, the smaller
pillar spacing, m the contact angle; the greater the spacing, the greater the
contact angle. pillar height has no effect on contact angle, but
b
if want to obtain a nonwettability surface with good
220
hydrophobic properties, it is necessary to consider the impact Fig. 7 shows the changing trends curve of apparent
of height. Relatively speaking, when structures have a certain contact angle along with droplet volume on the surface of
depth, the liquid is difficult to enter its interior. In the real specmen 1. Droplets with different volumes were employed
measurement results of this experiment, the smaller the pillar to describe the relationship between droplet sizes and
width and pillar spacing, the greater the apparent contact apparent contact angles, which shows that with the increase
angle. Additionally, we can know from Fig. 6c that the height of droplet volume, apparent contact angle present a trend of
of square pillar has significant influence on the apparent first increase after drop, and apparent contact angle reaches
contact angle, when pillars height is of 20 m, the surface the maximum value when droplet volume is 3 l. By
with square pillar microarray (contact angle is of 46.21 ) analyzing of the reasons we can know that with the decrease
become more hydrophilic than the smooth surface (contact of droplet volume, the number of microscopic structures used
angle is of 61.57 , illustrated in Fig. 5a). The reason is that to support droplet will decrease (as shown in Fig. 8), caused
the pillar height is comparatively lower, under the influence droplet to seep into the interior of microscopic structures and
of own gravity and external vibration factors, water droplets increased the contact area between solid and liquid, thereby
transform gradually from Cassie-Baxter state to Wenzel state, apparent contact angle decreases. But when the droplet
the droplets contact completely with rough structures, thereby volume is too large, under the influence of its own gravity
apparent contact angle decrease. So, we can know that the and external vibration, droplet gradually infiltrated into the
surface wettability can be controlled by varying the geometric rough structures, resulted in the decreases of apparent contact
parameters of microstructures. In addition, we can also know angle. Simultaneously, the stability of hydrophobic surface is
from Fig. 6 that the apparent contact angle of Cassie-Baxter very poor when drop volume is larger. Detailed experiments
model is larger than Wenzel model. So, through designing on the surfaces with square pillar structures revealed that a
and optimizing the microstructures of rough surface, making good hydrophobic surface can be obtained for 3 l water
wettability in Cassie-Baxter state will help to obtain a better droplet volume when the pillar height is 20 m, the pillar
hydrophobic surface. Detailed experiments demonstrated that spacing is 100 m and the pillar height is 50 m. In order to
a good hydrophobic state can be obtained when pillar width is obtain a hydrophobic surface with larger apparent contact
20 m, pillar spacing is 100 m and pillar height is 50 m. angle, it is necessary to select appropriate droplet size
according to the geometric parameters of microstructures.
C. The effect of droplet volume on wettability
115 IV. CONCLUSIONS
110 In this paper, regular square pillar microarrays were
fabricated on aluminum alloy surface by high-speed
micro-milling technology, and researched the influence of
apparent contact angle, deg
105
100
surface morphology, microcosmic geometrical parameters
and droplet volume on surface wettability. From our results, it
95 can be concluded that through fabricating micron-grade
regular array on aluminum alloy surface achieved
90
successfully the wetting transition from hydrophilic state to
85 hydrophobic state, and the mechanism has been interpreted.
The hydrophobic property on aluminum alloy surface is a
80 common coupling results of micronano-binary structure both
75 microscale square pillars and nanoscale pits and convexities
distributing on microscale pillars surface. In this experiment,
70 through analyzing the microcosmic geometrical parameters of
1 2 3 4 5 6
square pillar microarrays, it is found that a
droplet volume, l
hydrophobic surface with larger apparent contact angle can
Fig. 7 Changing trends curve of the apparent contact angle along with be obtained when pillar width is 20 m, the pillar spacing is
droplet volume. 100 m, the pillar height is 50 m and droplet volume is 3 l.
In addition, water droplets on solid surface possessing square
pillar microarrays is in a mixed state between Wenzel and
Cassie-Baxter, and the wettability on aluminum alloy surface
can be control by designing and optimizing the
microstructures of rough surface. In summary, ours findings
support the suggestion that the microscopic structures play a
main role in its hydrophobic behavior. The purpose of this
paper is to provide theoretical support and necessary
technical support for achieving high efficiency and large
areas of hydrophobic engineering materials only by building
microscopic structures without modifying any chemical
substances.
Fig. 8 Changes of droplets models with the decrease of droplets volum.
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237
Sliding-Mode-Based Disturbance Rejection Control

of Nonlinear Power Systems with Renewable Sources
Hong Liu, Dianwei Qian
School of Control and Computer Engineering
North China Electric Power University
Beijing, China
Email: dianwei.qian@necpu.edu.cn
AbstractIn this paper, an integral sliding mode control (I- sliding mode is robust to external disturbances and system
SMC) method for load frequency control (LFC) is investigated in uncertainties. In [12] and [13], fast response and robustness
interconnected power systems in the presence of wind turbines. against parameter uncertainties and load changes can be ob-
Generation rate constraint (GRC) has been considered. For im- tained using SMC for both single and multi-area LFC systems
plementation, neural networks are adopted to approximate the respectively. However, only fossil-fuel and hydro-power have
entire uncertainties. The integral sliding mode controllers and been considered by these sliding-mode-based LFC methods.
the neural networks work in parallel to achieve disturbance re-
jection control. It has been observed from simulation results that If there are external disturbances when tracking trajectories
the presented method was able to maintain the feasibility, validity with SMC, a steady state error may occur which cannot meet
and robustness. the requirements of performance indexes. To address the prob-
lem, integral sliding mode control (I-SMC) is proposed as one
Keywordsload frequency control; power system; wind turbine; of the SMC methods [11]. The integrals of state variables are
neural network; integral sliding mode control; generation rate added to the linear sliding mode surface for I-SMC, and then
constraint by doing so, the chattering can be weakened and the steady
state error can be reduced. Therefore, I-SMC method is an
I. INTRODUCTION appropriate tool to solve the LFC problem with nonconven-
Wind power is now paid an increasing attention as one of tional generation systems.
the most potential renewable energy sources. As a kind of new, Power systems are complicated nonlinear systems [14].
safe and clean energy source, wind power generation has good Governor dead band (GDB) and generation rate constraint
economic and social benefits [1]. However, wind power is (GRC) are the main two nonlinear factors. The usual approach
heavily dependent on climate, topography and other factors. is to design a controller for the linear nominal model ignoring
The intermittency in wind power generation cannot guarantee the nonlinearities; then the controller based on the linear mod-
the sustainable supply of electricity [2]. el is directly applied to the practical nonlinear system. How-
The frequency stability of power systems holds the key to ever, this approach cannot guarantee the system stability in
guarantee a reliable power supply. Load frequency control theory. For the aforementioned applications about SMC on
(LFC) is the most effective way to guarantee the stable opera- LFC, many of them only consider the linear models of power
tion of power systems aiming at preserving the balance be- systems [12-13]. There may be a series of defects in practical
tween power generation and power consumption [3]. applications.
Elgerd first proposed the load frequency issue in 1970s and Neural networks (NNs) are a kind of local approximation
applied modern control theories to the LFC problem in inter- networks [15]. Considering the LFC issue, the GDB nonline-
connected power systems. In recent years, many researchers arity can be approximated and compensated by NNs with the
have carried out a lot of further studies about LFC and function of function approximation [13]. Further research is
achieved certain results, e.g., optimal control [4], adaptive needed in processing the GRC nonlinearity by NNs.
control [5], robust control [6], intelligent control [7], internal For these reasons, this paper proposed a kind of I-SMC
model control [8], predictive control [9]. However, most of method for LFC of nonlinear power systems with renewable
these reports only focus on conventional power sources rather sources. First, integral sliding mode controllers are designed
than renewable sources. according to the nominal models of the linearized system.
Recently, a few attempts studied the idea of renewable en- Then neural networks are addressed to compensate the entire
ergy sources in the issue of LFC [10]. In order to overcome uncertainties. For implementation, the integral sliding mode
the intermittency in wind power generation, it would be desir- controllers and the neural networks are combined to achieve
able to design a load frequency controller. Sliding mode con- disturbance rejection control. Simulation results are conducted
trol (SMC) invented by V.I. Utkin is considered as a highly by a nonlinear multi-area power system with wind turbines.
efficient and robust design tool [11]. The unfixed structure of The remainder of this paper is organized as follows. Sec-
SMC contributes to its unique advantage that the system in the tion II presents the system models and analysis. The integral
978-1-4673-7995-3/15/$31.00 2015
c IEEE 238
sliding-mode controllers and the neural networks are designed xi (t ) Ai xi (t ) Bi ui (t ) Fi 'Pdi (t )
in Section III. Some numerical simulation results in Section
IV are demonstrated. Finally, conclusions are drawn in Sec- For a nominal system, Ai, Bi and Fi in (1) are available in
tion V. Appendix A. Equation (1) will be employed for the LFC de-
sign of the ith control area in the interconnected power system.
II. SYSTEM CONFIGURATION
B. Simplified Wind Turbine Model
A. Automatic Generation Control Dynamics
The doubly-fed induction generator (DFIG) system has
Power systems are complex nonlinear dynamic systems. been proved a proper renewable energy conversion system. A
Since the changes of load that power systems produce during simplified frequency response model of a DFIG based wind
the normal operation are very small, the linearized models are turbine unit is illustrated in Fig. 2 [9].
often used to represent the system dynamics around the opera-
tion point. Considering a multi-are power system, the control In Fig. 2, iqr and Vqr are the q-axis components of the rotor
areas are connected by tie-lines. Fig. 1 shows the block dia- current and the rotor voltage, respectively. w is the rotational
gram of the ith control area in the power system. speed. Tm is the mechanical power. Te is the electromagnetic
torque. Ht is the equivalent inertia constant of wind turbine. Pe
In Fig. 1, Tgi, Tti, Tpi are explained as governor time con- is the active power of wind turbine. Other parameters in Fig. 2
stant, turbine time constant and electric system time constant, are explained as X2=1Rr, X3=LmLss, T1=L0(wsRs),
respectively. Variables fi(t) (Hz), Pgi(t) (p.u.MW), Xgi(t) L0=Lrr+Lm2Lss, and Lss=Ls+Lm, Lrr=Lr+Lm, here Lm is the mag-
and Ptie,i(t) are the incremental changes of frequency, genera- netizing inductance, Rr is the rotor resistance, Rs is the stator
tor output, governor valve position and tie-line active power, resistance, Lr is the rotor leakage inductance, Ls is the stator
respectively. ACEi is area control error. Ei is the integral of leakage inductance, Lrr is the rotor self-inductance, Lss is the
ACEi(t) as an additional state and KEi is the integral gain. stator self-inductance and ws is the synchronous speed.
PLi(t) (p.u.MW) is load disturbance. Pci(t) is control input
produced by the designed LFC controller. Ri (Hz/p.u.MW) is Linearize the wind turbine model at a certain operating
speed regulation due to governor action. Bi (p.u.MW/Hz) is point (wopt is the rotational speed at the operating point). Then,
the frequency bias factor set to Bi=1Ri+1Kpi where Kpi is the model of the power system concerning wind turbine can be
electric system gain. Tij is the interconnection gain or synchro- rewritten as
nizing power coefficient between area i and area j. i=1, , N
and N is the number of areas.
xwi (t ) Awi xwi (t ) Bwi uwi (t ) Fwi 'Pwdi (t )
Define xi(t)=[Xgi(t), Pgi(t), fi(t), Ptie,i(t), Ei(t)]T.
N
where xwi(t)=[Xgi(t), Pgi(t), fi(t), Ptie,i(t), iqr,i(t), wi(t),
ui(t)=Pci(t) is control input. Pdi(t)=[PLi(t) T 'f
j 1
ij j (t ) ]T is Ei(t)]T, uwi(t)=[Pci(t) Vqr,i(t)]T and Pwdi(t)=[PLi(t)
j zi N
disturbance vector. Then, the following state space expression T 'f

j 1
ij j (t ) Tmi(t)]T. For a nominal system, the detailed
can be deduced. j zi
about Awi, Bwi and Fwi can be obtained in Appendix A. Equa-
tion (2) will be used for the LFC design of wind turbines.
C. Analysis about System Models

GRC refers that the change of power generation is restrict-
ed by a given maximum rate of change. The output of GRC
remains unchanged when the maximum change rate is reached.
But the turbine output keeps changing. In other words, the
nonlinear power system is linear before the output of GRC
reaches the maximum rate. Once the maximum change rate is
Fig. 1. Dynamic model of a control area in an interconnected linear power exceeded, the turbine output keeps changing while the output
system.
of GRC remains constant. Equation (3) formulates the con-
straint relationship.
1
G dt V (t ) G
Tgi
1
'Pgi (t ) V (t )dt | V (t ) | G
Tgi
1
Fig. 2. Simplified model of DFIG based wind turbine. T G dt V (t ) ! G
gi
239
In (3), (t)=Xgi(t)Pgi(t) and >0 is the maximum output Adopt the integral sliding mode control law as
of GRC. From (3) the fact can be seen that the GRC nonlinear-
ity can be treated as a kind of system uncertainties. Models (1)
and (2) can be described uniformly as (4) concerning GRC. u (t ) Kx(t ) (CB c) 1 || C || d0

(CB c) 1[K sgn U (t ) NU (t )]
x (t ) ( Ac 'A) x(t ) ( Bc 'B)u (t )
( F c 'F )'P(t ) I (t ) where d0 d0 sgn( U ) R m , sgn() R m is a signum function
vector, and are both constant and >0, >0.
In (4), Ac , B c and F c stand for the nominal constant ma-
trices, Ax(t), Bu(t) and FP(t) indicate the parameter B. Design of RBF Neural Networks
uncertainties and the modelling errors and (t) denotes the In the case of the unpredictable upper bound value, RBF
uncertainties due to GRC. neural networks can be employed to adaptively learn the upper
bound of system uncertainties according to the characteristics
III. CONTROL DESIGN of NNs. Shown in Fig. 3, RBF networks are a kind of three-
layer feed-forward networks composed of the input layer, the
A. Desing of Integral Sliding Mode Control output layer and the hidden layer. The input layer and the out-
put layer are both composed of linear neurons while the activa-
Assumption 1: || d (t ) ||d d 0 , here ||<|| denotes Euclidean tion functions of the hidden layer are nonlinear.
norm, d0 is constant but unknown and d(t) satisfies Concerning the LFC problem, the each element of the sys-
tem state vector x(t) is picked up as a network input element.
Accordingly, the boundary value of the system uncertainties is
d (t ) F c'P (t ) 'Ax(t ) 'Bu (t ) 'F 'P(t ) I (t )
selected as the network output y which is calculated by
The switching surface of integral sliding mode control is
defined by y d0 ( x, Z ) Z 7 h( x)

t
U (t ) C[ x(t ) ( Ac BcK ) x(W )dW ] where Z R l is the connection weight vector of RBF neural
0 networks; h(x) Rl is the Gaussian function vector and the pth
element hp(x) is defined by
In (6), C and K are both constant matrixes; The state feed-
back matrix K Rmhn is designed via pole assignment to guar-
antee the eigenvalues of Ac B cK are negative; C Rmhn is || x c p ||2
selected to ensure CB is non-singular where m is the dimen- hp ( x ) exp
2bp2
p 1,2,3..., l
sion of u(t) and n is the dimension of x(t); (t) Rm stands for
the integral sliding surface.
where cp Rn is the center vector of the pst neuron and bp is the
When the system trajectories reach the predefined sliding width of the pst neuron.
surface and keep a sliding motion thereafter, there is
U (t ) U (t ) 0 . The I-SMC-based equivalent control law can Basing on the approximation function of RBF NNs, the
control law (8) becomes
be deduced.
ueq (t ) Kx (t ) (CB c) 1 Cd (t ) u (t ) Kx(t ) (CBc) 1 || C || d 0

(CB c) 1[K sgn U (t ) NU (t )]
where d 0 d0 sgn( U (t )) R m .
d(t) stands for the system uncertainties. However, d(t) is
difficult to be formulated, and the upper bound of d(t) is also
hard to measure. To make the network output y, i.e., the upper
bound of d(t), match the change of the system uncertainties, an
appropriate update law should be designed to renew each ele-
ment of the connection weight vector Z . Since the control
results strongly depend on the learning results of RBF net-
works, the selection of the update law of the weight vector
plays a significant role and it may make a difference to the
Fig. 3. Structure of RBF networks. system stability. Consequently, this idea will be investigated in
the sense of Lyapunov.
240
Stability Analysis TABLE I. PARAMETERS AND DATA OF TWO CONTROL AREAS
Assumption 2: Z is the optimal weight vector of RBF

Area D 2H R Tg Tt Tij B
NNs. There exists Area1 0.015 0.1667 3.00 0.08 0.40 0.2 0.425
Area2 0.016 0.2017 2.73 0.06 0.44 0.2 0.425
| Z 7 h( x) d 0 | H ( x) H1 TABLE II. WIND TURBINE PARAMETERS AT 247 MW OPERATING POINT

Rr(pu) Rs(pu) Lr(pu) Ls(pu) Lm(pu) Ht(pu)
Assumption 3: the boundary value d 0 satisfies 0.00552 0.00491 0.1 0.09273 3.9654 4.5
IV. SIMULATION RESULTS

d 0 || d ||! H 0 ! H1 To validate the performance of the proposed control
scheme, a two-area interconnected power system is considered.
Adopt adaptive algorithm to adjust weights online with Each control area has a 400 MVA-scale conventional generat-
Assumptions 1, 2 and 3 holding true. To make the considered ing unit with GRC (shown in Fig. 1) and a 400 MVA-scale
LFC system be of asymptotical stability, adopt the unique wind farm (shown in Fig. 2). As mentioned earlier, the con-
form of the update law of the network weight vector as ventional generating unit and wind turbine unit mean all gen-
erators and all wind turbines gathering together in one control
area. The wind farm is composed of 200 units of 2MW wind
Z [ || U ||1 || C || h( x) turbine. The principal parameters are given in Table 1 and
Table 2 [9]. In addition, wind speed vwind = 11m/s, rotational
speed vr = 1.17m/s, (wr)base = 1.15rad/s. Xm is the magnetizing
where [ >0 is constant and it has a form of reactance. The integral gains are selected as KE1 = KE2 = 1. The
nominal models of the considered power system are available
[ || C || (H 0 H1 ) ! 0 according to theses parameters. Subsequently, load frequency
controllers are designed basing on these models.
Define Lyapunov candidate function Considering the controllers for the conventional power
units, i.e. Controllers 1 and 3, the two eigenvalue vectors
of Arc Brc K r (r=1,,4) are specified by [-3 -4 -5 -6 -7]T; Net-
1 7 1 works 1 and 3 are adopted with 5-6-1 structures and the initial
V U U [ 1Z 7Z
2 2 weight vectors are selected as [0.1 0.1 0.1 0.1 0.1 0.1]T, the
widths of the Gaussian function vectors are determined as [0.2
where Z is formulated by 0.2 0.2 0.2 0.2 0.2]T. Considering the other two controllers for
the wind turbines, i.e., Controllers 2 and 4, the eigenvalue
vectors are specified by [1 1.2 2 3.4 3.5 4 10.5]T; 8
Z Z Z neurons are placed in the hidden layers of Networks 2 and 4
and the initial weight vectors are determined by [0.1 0.1 0.1
| H ( x) | (d 0 || d ||) H1 H 0 exists according to Assump- 0.1 0.1 0.1 0.1 0.1]T, the widths of the Gaussian function vec-
tors are selected as [0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2]T. For the
tions 2 and 3. The derivative of V can be formulated by four networks, all their centers take random numbers between
1 and 1. Other controller and network parameters are deter-
mined by Cr = Kr, r = 0.1 and r = 10; H0r = 0.002 and H1r =
V U 7 U [ 1Z 7Z 0.001.
U 7 (K sgn( U ) NU || C || d 0 Cd ) In order to verify the effectiveness of the proposed control
[ 1Z 7Z method, PL1 =PL2 =1% pu and Tm1 =Tm2 =1% pu are ap-
d (K || U ||1 N || U ||2 ) || U ||1|| C || H )( x) plied to the system at t = 5s simultaneously. The controller and
|| U |||| C || (d 0i || d ||) neural network parameters remain constant. Simulation results
(K || U ||1 N || U ||2 ) || U ||1|| C || (H 0 H1 ) are shown in Fig. 4-6. In Fig. 4, the blue curves and green
(K [ ) || U ||1 N || U ||2 d 0 curves demonstrate the changes of the system states with and
without wind turbines, respectively. It can be seen from Fig. 4
V t 0 and V 0 can be seen from (16) and (18). The con- that f and ACE are damped to zero after disturbances with
trol law (11) can drive the closed-loop control system to the small oscillations in short time. Obviously, the response per-
sliding stage and remain on the sliding surface in the sense of formances without wind turbines are superior in term of sys-
Lyapunov. This fact indicates the designed weight update law tem indexes such as overshooting, raising time and settling
not only guarantees the convergence of the RBF neural net- time. The comparisons embody the negative effect of wind
works, but also asymptotically stabilizes the whole LFC sys- power fluctuation on the LFC system, and it may threaten the
tem. According to the designed control scheme, the controllers stability and balancing of the power system. We can also come
and the RBF NNs work in parallel to achieve the LFC problem to the conclusion that the proposed control method electively
for the nonlinear power system with wind turbines and GRC. inhibits the impact of the intermittency of power sources.
241
Fig. 4. Simulation results of the considered power system with and without In Fig. 4, the blue solid means the performance of frequen-
cy regulation with RBF NNs and the red dash means the one
without RBF NNs. In the case of no RBF NNs, the upper
bound of system uncertainties is assumed to be known to de-
sign the control law. As can be seen from the comparisons of
the system state changes, there is little difference between the
two LFC systems. While this fact does not mean that the de-
signed RBF NNs are redundant. It can be seen from Fig. 5 that
the control inputs of the LFC system with RBF NNs are much
smoother while those without RBF NNs chatter severely (an
inherent defect of SMC). It can thus be concluded that the
designed RBF NNs effectively reduce the chattering phenom-
enon. Moreover, the outputs of RBF networks are illustrated in
Fig. 6 reflecting their convergences.
V. CONCLUSIONS
This paper proposed an integral sliding mode control
method for the LFC problem. The scheme is implemented in
an interconnected power system concerning GRC and wind
turbines. In this paper, GRC is analyzed as a part of system
wind turbines and RBF NNs.
uncertainties. To restrain the GRC nonlinearity while reduce
chattering, RBF neural networks are adopted as compensators
and the update law of the network weights is also designed.
The proposed I-SMC-based LFC system has been proved in
this paper via Lyapunov stability theory to assure that the
whole system reaches stability asymptotically. The simulation
results have validated the desirable frequency regulation per-
formance of the designed method against system uncertainties,
the GRC nonlinearity and wind power fluctuation. The superi-
ority of the improved NNs-based integral sliding mode con-
trollers has been demonstrated as well.
ACKNOWLEDGMENT
This work is supported by the Fundamental Research
Funds for the Central Universities under grant No.2015MS29.
APPENDIX A.
1 1
T 0
Ri Tgi
0 0
gi
Fig. 5. Simulation results of control inputs. 1
1
0 0 0
Tti Tti
K pi 1 K pi
Ai 0 0
Tpi Tpi Tpi
N
0 0 2S Tij 0 0
j 1
j zi

0 0 K Ei Bi K Ei 0

1 0 0
T 0 0
gi K pi
Bi 0 Fi 0
0 Tpi
0 0 2S
0 0 0
Fig. 6. Simulation results of RBF network outputs.
242
[4] N. Hasan, Ibraheem, and P. Kumar, Optimal automatic generation
1 1
T 0 0 0 0 0 control of interconnected power system considering new structures of
Ri Tgi matrix Q, Electr. Pow. Compo. Sys., vol. 41, no. 2, pp. 136-156,
gi
1 1 January 2013.
0 0 0 0 0 [5] H.A. Yousef, K. AL-Kharusi, M.H. Albadi, and N. Hosseinzadeh, Load
Tti Tti frequency control of a multi-area power system: an adaptive fuzzy logic
K pi 1 K pi K pi X 3 'wopt approach, IEEE T. Power Syst., vol. 29, no. 4, pp. 1822-1830, July
0 0 0
Tpi Tpi Tpi Tpi 2014.

0
N [6] M.R. Toulabi, M. Shiroei, and A.M. Ranjbar, Robust analysis and
0 0
Awi
0 2S Tij 0 0 design of power system load frequency control using the Kharitonov's
theorem, Int. J. Elec. Power, vol. 55, pp. 51-58, February 2014.
j 1
j zi
1 [7] R. Farhangi, M. Boroushaki, and S.H. Hosseini, Load-frequency
0 0 0 0 0 0 control of interconnected power system using emotional learning-based
T1 intelligent controller, Int. J. Elec. Power, vol. 36, no. 1, pp. 76-83,
X
March 2012.
0 0 0 0 3 0 0
2 H ti [8] S. Saxena and Y.V. Hote, Load frequency control in power systems via
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2 H ti
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243
Research and application of predictive control

algorithm based on fuzzy model
LiYuan CongSen
Automation college Automation college
Beijing union university Beijing union university
Circleli_312@sina.com
TongShiWen FangJianJun
Automation college Automation college
Beijing union university Beijing union university
AbstractIn this paper, predictive control algorithm is one hand, it is hoped that model is simplified to facilitate
described in detail and the ANFIS(Adaptive neuro fuzzy computation. On the other hand, it is hoped that good
inference system) is introduced. The fuzzy model is built by robustness of the control system is very well and it will fight
ANFIS. Fuzzy model and predictive control is combined to form all kinds of interference factors. Based on the operation and
a predictive control based on fuzzy model which is used to
economic considerations, the control algorithm is to be simple,
complex system with time delay. For example, as system of three
water tanks. First, using matlab software, we established the and can meet the requirements of real-time industrial process.
model of three-water tank with ANFIS, and verified it by the Predictive control is generated and developed in this
prior data. Simulation shows that the model is effective. Then we background.
design the actual control system of three-water tank in which Predictive control is a model algorithm control, which has
AC800F is controller. Predictive control based on fuzzy model is the features of low requirements for the model, good quality of
programmed with Function Block language. It is also control and on-line realization. It is difficult to establish the
demonstrated that, by comparing the operation results of the PID precise mathematical model for the complex object of the
with predictive control based on fuzzy model, the control method industrial process, and the predictive control can produce good
introduced in the paper is practical and effective, has great value control effect. So predictive control is concerned by
in practical application engineering control community when it is emerged. The
predictive control algorithms used widely are: Dynamic Matrix
Keywordspredictive control; fuzzy modeling; AC800F Control (DMC), model algorithm control (MAC), internal
controller; three-water tank
model control (IMC), inference control (IC), etc.
I. INTRODUCTION Model algorithm control is one of the most common

predictive control algorithms, which main idea is that model
There are many uncertain systems with high coupling, can self adjust constantly with the change of the controlled
high complexity and many variables in the industry such as object. Model will be corrected constantly through the on-line
petroleum and chemical. It is difficult to establish an accurate rolling optimization, and the model predictive algorithm makes
mathematical model. If we must first establish a precise the model have the dynamic features. Model algorithm control
mathematical model of the controlled object, and then design mainly includes three parts, internal model, feedback correction,
the controller, which leads to 2 problems: one is the difficulty and rolling optimization. The internal model can be described
and cost of modeling is very high, the other one is that the as a nonparametric model based on the impulse response,
interference brought by environment and other external which can estimate the output of the m time through the input
disturbances will result aging equipment and parameters and output of past K moments. Compares the predicted and
changed. The uncertainty of the system is increased. Model measured values as the feedback signal, apply it to correct the
cannot remain unchanged. So optimal controller designed model. The quadratic performance index technique was used to
according to the ideal model is difficult to keep in optimal design the optimal controller, which makes the control signal
control state in the long run. The application of control theory corrected and optimized constantly. Because of less dependent
based on an accurate model is limitations. on the model and good adaptive capability, predictive control
has strong vitality in the field of industrial control of complex
Since 1960, modern control theory based on state space
objects.
has been developed deeply. The optimization theory based on
the index is also gradually mature and perfect. The controlled
object has been understood in-depth. People no longer limited
to the classical control theory and dependent on model. On the
978-1-4673-7995-3/15/$31.00 2015
c IEEE 244
II. THE CONTROLLED OBJECT According to the number of rules and the fuzzy subsets,
Three-water tank is an experimental device that is a the parameters can be identified. (i is the number of rules.).
nonlinear coupled with multiple inputs and multiple outputs. It Fuzzy model is to be built.
is composed of three round canisters made of transparent According to the characteristics of the three-water tank,
plexiglass and a reservoir, and with the appropriate actuators the signal acquisition program of the liquid level is finished
and sensors. There are two pumps P1 and P2, six manual valve with function block language. Valve V7 and liquid level T3 is
V1 ~ V6, two PWM (pulse Width Modulation) type linear a control loop (Figure1). Signal acquisition must observe
proportional control valve V7 and V8; three back pressure certain principles. Such as when the level reaches stable,
level sensor LT1, LT2 and LT3 and two bypass valves V9, manual drain valve does not move, water supply valve is
V10, as shown in Figure1. Three-water tank is a controlled increased opening degree. Every 4s recording a real level
object with a large time delay feature. It is difficult to get value until the level from the previous equilibrium reached
perfect results for conventional control methods. So this paper another equilibrium. We got the data table of the object that is
presents that predictive control algorithm based on fuzzy shown in Figure2.
model is used in three -water tank system.

Figure4 Program modules
Figure5 Measured data

Figure1 The structure of three -water tank Figure2 Measured data
Applying ANFIS to data collected, we can get a
III. FUZZY MODELING mathematical model of a threewater tank. The fuzzy
It is called fuzzy modeling that applying the fuzzy system language variable is divided into 20 levels. Using generalized
to approximate the unknown nonlinear dynamics and fitting bell function as a membership function, as shown in Figure3.
the whole system. The method of fuzzy modeling is a lot such Model train of the system is two steps:
as ARMA model approximation, polynomial approximation, (1) Training initial FIS model with 0.1 fixed step;
exponential function approximation, fuzzy T-S modeling, (2) Training FIS model with variable step.
neural network modeling, etc. The fuzzy model based on We can get the object curves as showed in figure4.The
fuzzy logic is used for the modeling of nonlinear dynamic model bias meets the requirements.
systems, showing the excellent properties. Sugeno fuzzy
inference system can be equivalent to system parameters and
adapt the neural network, which is known as adaptive neuro
fuzzy inference system(ANFIS).
The ANFIS fuzzy model consists of the former and the
following part. The former is expressed by if. The following
part is expressed as an equation which is a linear combination
of variable. The fuzzy ruler is shown in (1).
5 if 8.is A L and Y ( K ) is Bi
L
i
then Z ( k ) R1 * Y(K) R2 *U(K) R3
i i i (1)
A mathematical model is constructed by ANFIS In this

paper, proceed as follows.
1Calculate the input fuzzy membership
2Calculate the degree of application of each rule
3 Calculate the normalized value of the degree of
applicability
4calculate Output rules Figure3 Membership Function before/after training
5Calculate output of the fuzzy system
245
modulus card. There is 6 I/O Module that can Input/output
Analog or Digital signals, as showed in Figure6.
Figure6 structure of Controller

The PC can be used as a OS and ES. We can program the
monitoring interface and Control algorithm with digitool
software in the PC. Control program will be downloaded to the
AC800F through Ethernet. Monitoring interface will be run in
the PC, People can monitor the actual conditions through the
interface.
Figure4 Model curve and deviation
IV. DESIGN OF THE SYSTEM B. Design of control algorithm
The controlled object of the system is the three-water tanks. Predictive control is a control algorithm based on the
AC800F is controller. There are sensors and solenoid valves in forecast process model that will judge the future input and
the system. Because the three-water tank has a large hysteresis output according to the historical information of the process.
characteristic, the model predictive control algorithm is used. The equation of state, transfer function, even step response or
System structure is divided into three parts: object Layer, impulse response can be used as the forecasting model, and
control Layer and monitoring level. There is Profibus protocol the forecast model can reflect the future behavior of the
between object and control layer, and Ethernet protocols system. In this paper, the fuzzy model is used as the prediction
between control and monitoring layer. model. Diagram of predictive control is as shown in Figure7.
Design of system is the system hardware configuration,
communication configuration and programming.
A. hardware of system
Hardware of the control system is a process station(PS),
operator station(OS) and Engineering Station(ES), as showed
in Figure5.

Figure7 Predictive control block diagram
With
Ys ( k ) Set point
Y ( k ) Actual output
U ( k ) Control value
Ym ( k ) Output of model
Yc ( k 1) Prediction of reference trajectory
Yp ( k 1) Prediction of model correction
1) Feedback corrections
Predictive control is the closed-loop control. The control
value at time [k+1] is determined by k time and prediction
Figure5 System hardware configuration value of the model. There are many methods of feedback
PS is AC800F controller, Ethernet card such as E1 and E2, correction, such as model is directly modified according to the
function card including that F2 is the previous card and F3 is principle of on-line identification or keeps the model
246
unchanged, predict error and compensate. This paper presents
the method that difference between actual output and model
output and prediction of model is used as an online correction.
The formula is as (2). The feedback control of system is more
accurate and reasonable.
YP (k 1) Ym (k 1) g 0 [Y (k ) Ym (k )] (2)
g 0 is weight0< g 0 =<1
2) Reference trajectories
In the MPC, the expectation output of the control system is
defined by the smooth transition that from current actual
output Y (k) to the setting value. Usually, reference trajectory
is described as first order exponential form. The formula is as
follows.
Yc (k 1) D Y (k ) (1 D )Ys (k )
i i
(3)
With: Figure8 Response curve of predictive control

D e
T/W
T: The sampling period

W : The time constant of the reference trajectory.
3) Rolling optimization
Predictive control optimization is a rolling optimization for
a finite period that has a relative optimization performance
index in every moment. Optimization is not a off-line, but
again and again online. This is the meaning of rolling
optimization. This optimization has two features: first, the
optimization objective is over time. Predictive control is local
optimization rather than global optimization. Rolling
optimization can get suboptimal solutions in the ideal case, but
when the model mismatch or the presence of varying, non-
linear or confounding factors, it is possible to take into
account this uncertainty, timely remedy, reduce the deviation,
keeping the optimal control. Second, it is easy to get a simple
online control law because of local output optimization. Figure9 Response curve of PID
The optimization cost function is given as (4).
p
J [Y (k i) Y (k i)]
p r
2
* qi
(4)
V. CONCLUTION
i 1 Comparison response curve of figure8 and Figure9, we can
get the conclusions:
With:
P: Time Domain of Optimization (1) Response speed of curve of figure8 is faster than
q: Non-negative weighting factor Figure9;
Applying Gradient method to solve U (k + 1) at the minimum (2) The overshoot of curve of figure 8 is less than Figure9;
value of J.
(3) Steady performance of curve of figure 8 is better than
C. operation of the system Figure 9
Applying self-defined functions of digitool software, we Operation result shows that, with predictive control
prepared function blocks of the reference trajectory, optimal algorithm based on fuzzy model, excellent response
control and on-Line correction. The operation curve of an performance can be gained.
actual system is shown in Figure8. Using PID functions block
that comes with digitool software to design the system. The
[1] G. Eason, B. Noble, and I.N. Sneddon, On certain integrals of
control effect is shown in Figure9. Compare two curves, it can Lipschitz-Hankel type involving products of Bessel functions, Phil.
be concluded that the control algorithm presented in this paper Trans. Roy. Soc. London, vol. A247, pp. 529-551, April 1955.
has good control effective and practical value. (references)
[2] J. Clerk Maxwell, A Treatise on Electricity and Magnetism, 3rd ed., vol.
2. Oxford: Clarendon, 1892, pp.68-73.
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[3] I.S. Jacobs and C.P. Bean, Fine particles, thin films and exchange [9] Carlos E.Garcia, David M.Preet, Manfred Morari, Model predictive
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York: Academic, 1963, pp. 271-350. [10] D.Q.Mayne, James B.Rawlings, Christopher V.Rao, P.O.M.Scokaert,
[4] K. Elissa, Title of paper if known, unpublished. Constrained model predictive control: Stability and optimality,
[5] R. Nicole, Title of paper with only first word capitalized, J. Name Automatica, 2000
Stand. Abbrev., in press. [11] S.Bououden, M.Chadli, S.Filali, A.EI Hajjaji, Fuzzy model based
[6] Y. Yorozu, M. Hirano, K. Oka, and Y. Tagawa, Electron spectroscopy multivariable predictive control of a variable speed wind turbine: LMI
studies on magneto-optical media and plastic substrate interface, IEEE approach, Renewable Energy, 2012
Transl. J. Magn. Japan, vol. 2, pp. 740-741, August 1987 [Digests 9th [12] Saso Blazic, Igor Skrjanc, Design and Stability Analysis of Fuzzy
Annual Conf. Magnetics Japan, p. 301, 1982]. Model-based Predictive Control A Case Study, Journal of Intelligent &
[7] M. Young, The Technical Writers Handbook. Mill Valley, CA: Robotic Systems,2007
University Science, 1989.
[8] Alessandro Di Giorgio, Francesco Liberati, Silvia Canale, Electric
vehicles charging control in a smart grid: A model predictive control
approach, Control Engineering Practice, 2014
248
Bipolar Neutrosophic Sets and Their Application

Based on Multi-Criteria Decision Making
Problems
Irfan Delia, Mumtaz Ali a and Florentin Smarandacheb*
Negative preferences correspond to constraints, since they

Abstract In this paper, we introduce concept of bipolar specify which values or objects have to be rejected (i.e., those
neutrosophic set and its some operations. Also, we propose score, that do not satisfy the constraints), while positive preferences
certainty and accuracy functions to compare the bipolar correspond to wishes, as they specify which objects are more
neutrosophic sets. Then, we develop the bipolar neutrosophic
desirable than others (i.e., satisfy user wishes) without rejecting
weighted average operator ( ) and bipolar neutrosophic
weighted geometric operator ( ) to aggregate the bipolar those that do not meet the wishes. Therefore, Lee [8,9]
neutrosophic information. Furthermore, based on the ( ) and introduced the concept of bipolar fuzzy sets which is an
( ) operators and the score, certainty and accuracy functions, generalization of the fuzzy sets. Recently, bipolar fuzzy models
we develop a bipolar neutrosophic multiple criteria have been studied by many authors on algebraic structures such
decision-making approach, in which the evaluation values of as; Chen et. al. [3] studied of -polar fuzzy set and illustrates
alternatives on the attributes take the form of bipolar
how many concepts have been defined based on bipolar fuzzy
neutrosophic numbers to select the most desirable one(s). Finally,
a numerical example of the method was given to demonstrate the sets. Then, they examined many results which are related to
application and effectiveness of the developed method. these concepts can be generalized to the case of -polar fuzzy
sets. They also proposed numerical examples to show how to
Index Terms Neutrosophic set, bipolar neutrosophic set, apply -polar fuzzy sets in real world problems. Bosc and
average operator, geometric operator, score, certainty and Pivert [2] introduced a study is called bipolar fuzzy relations
accuracy functions, multi-criteria decision making. where each tuple is associated with a pair of satisfaction
degrees. Manemaran and Chellappa [14] gave some
applications of bipolar fuzzy sets in groups are called the
I. INTRODUCTION
bipolar fuzzy groups, fuzzy d-ideals of groups under (T-S)
T O handle with imprecision and uncertainty, concept of

fuzzy sets and intuitionistic fuzzy sets originally
introduced by Zadeh [26] and Atanassov [1], respectively.
norm. They investigate some related properties of the groups
and introduced relations between a bipolar fuzzy group and
bipolar fuzzy d-ideals. Majumder [13] proposed bipolar valued
Then, Smarandache [17] proposed concept of neutrosophic set fuzzy subsemigroup, bipolar valued fuzzy bi-ideal, bipolar
which is generalization of fuzzy set theory and intuitionistic valued fuzzy (1,2)- ideal and bipolar valued fuzzy ideal. Zhou
fuzzy sets. These sets models have been studied by many and Li [29] introduced a new framework of bipolar fuzzy
authors; on application [4-6,10-12,15,16], theory subsemirings and bipolar fuzzy ideals which is a generalization
[18-20,21-25,27,28], and so on. of fuzzy subsemirings and bipolar fuzzy ideals in semirings
Bosc and Pivert [2] said that Bipolarity refers to the and and bipolar fuzzy ideals, respectively, and related
propensity of the human mind to reason and make decisions on properties are examined by the authors.
the basis of positive and negative effects. Positive information
states what is possible, satisfactory, permitted, desired, or In this paper, we introduced the concept of bipolar neutrosophic
considered as being acceptable. On the other hand, negative sets which is an extension of the fuzzy sets, bipolar fuzzy sets,
statements express what is impossible, rejected, or forbidden. intuitionistic fuzzy sets and neutrosophic sets. Also, we give
some operations and operators on the bipolar neutrosophic sets.
This paragraph of the first footnote will contain the date on which you The operations and operators generalize the operations and
submitted your paper for review. It will also contain support information, operators of fuzzy sets, bipolar fuzzy sets, intuitionistic fuzzy
including sponsor and financial support acknowledgment. For example, This sets and neutrosophic sets which have been previously
work was supported in part by the U.S. Department of Commerce under Grant
BS123456. proposed. Therefore, in section 2, we introduce concept of
Irfan Deli is with the 0XDOOLP 5IDW)DFXOW\ RI (GXFDWLRQ .LOLV $UDON bipolar neutrosophic set and its some operations including the
University, 79000 Kilis, Turkey (irfandeli@kilis.edu.tr). score, certainty and accuracy functions to compare the bipolar
Mumtaz Ali is with the Department of Mathematics, Quaid-e-azam
University Islamabad, 45320, Pakistan (e-mail: mumtazali7288@gmail.com). neutrosophic sets. In the same section, we also develop the
Florentin Smarandache is with the Math and Science Department, bipolar neutrosophic weighted average operator ( ) and
University of New Mexico, 705 Gurley Ave., Gallup, New Mexico 87301, bipolar neutrosophic weighted geometric operator ( )
USA (fsmarandache@gmail.com).
978-1-4673-7995-3/15/$31.00 2015
c IEEE 249
operator to aggregate the bipolar neutrosophic information. In {<x,max {T (x), T (x)}, min {I (x), I (x)} ,
section 3, based on the ( ) and ( ) operators and the score, min{F (x), F (x)}>:x X }
certainty and accuracy functions, we develop a bipolar =
A single valued neutrosophic number is denoted by A
neutrosophic multiple criteria decision-making approach, in
which the evaluation values of alternatives on the attributes
T , I , F for convenience.
take the form of bipolar neutrosophic numbers to select the
Definition 2.2. [15] Let A = T , I , F and A =
most desirable one(s) and give a numerical example of the to
T ,I , F be two single valued neutrosophic number. Then,
demonstrate the application and effectiveness of the developed
the operations for NNs are defined as below;
method. In last section, we conclude the paper.
i. = 1 (1 T ) , I , F
A
ii. = T , 1 (1 I ) , 1 (1 F )
A
II. BASIC AND FUNDAMENTAL CONCEPTS
iii. + A
A = T + T T T , I I , F F
In this section, we give some concepts related to neutrosophic
sets and bipolar sets. iv. A = T T , I +I I I , F + F F F
. A
where O ! 0 .
Definition 2.1. [17] Let X be a universe of discourse. Then a
neutrosophic set is defined as: Definition 2.3. [15] Let A = T , I , F be a single valued
neutrosophic number. Then, the score function s(A ), accuracy
{ = x, F (x), T (x), I (x): x X}, ) and certainty function c(A
function a(A ) of an SNN are
which is characterized by a truth-membership function T : X defined as follows:
) = (T + 1 I + 1 F )/3;
i. s(A
]0 , 1 [, an indeterminacy-membership function I : X
ii. a(A ) = T F ;
]0 , 1 [and a falsity-membership function F : X ]0 , 1 [. ) = T
iii. c(A
There is not restriction on the sum of T (x), I (x) and F (x),
so 0 sup T (x) sup I (x) sup F (x) 3 . For Definition 2.4. [15] Let A = T , I , F and A =
application in real scientific and engineering areas, Wang et T ,I , F be two single valued neutrosophic number. The
al.[18] proposed the concept of an single valued neutrosophic comparison method can be defined as follows:
i. if s(A ), then A
) > s(A is greater than A , that is,
set as follows;

A is superior to A , denoted by A >A
Definition 2.1. [18]Let X be a universe of discourse. Then a ii. if s(A ) = s(A ) and a(A ) > a(A ), then A is
single valued neutrosophic set is defined as:
greater than A , that is, A is superior to A ,

denoted by A < A;
= {x, F (x), T (x), I (x): x X}, iii.if s(A ), a(A
) = s(A ) = a(A
) and c(A ) > c(A ),
which is characterized by a truth-membership function T : X
then A is greater than A , that is, A is superior
to A , denoted by A >A ;
[0,1], an indeterminacy-membership function I : X

iv.if s(A ) = s(A ), a(A ) = a(A ) and c(A ) = c(A ),
[0,1] and a falsity-membership function F : X [0,1].

then A is equal to A , that is, A is indifferent to
There is not restriction on the sum of T (x), I (x) and F (x), , denoted by A
A =A.
so 0 sup T (x) sup I (x) sup F (x) 3 .
Definition 2.4. [6,14] Let X be a non-empty set. Then, a
Set- theoretic operations, for two single valued neutrosophic bipolar-valued fuzzy set, denoted by , is difined as;
set. = {x,
(x), (x): x X}

A = {<x, T (x), I (x) , F (x)> | x X } and B = {<x, where : X [0,1] and : X [0,1]. The positive
T (x), I (x) , F (x)> | x X } are given as; membership degree (x) denotes the satisfaction degree of an
1. The subset; A B if and only if element x to the property corresponding to and the
T (x) T (x), I (x) I (x) , F (x) F (x) . negative membership degree (x) denotes the satisfaction
2. A = B if and only if , degree of x to some implicit counter property of .
T (x) =T (x) ,I (x) =I (x) ,F (x) =F (x) for anyx X.
3. The complement of A is denoted by A and is
defined by III. BIPOLAR NEUTROSOPHIC SEY
A = {<x, F (x), 1 I (x), T (x)| x X } In this section, we introduce concept of bipolar neutrosophic
4. The intersection set and its some operations including the score, certainty and
accuracy functions to compare the bipolar neutrosophic sets.
A B = We also develop the bipolar neutrosophic weighted average
{<x,min {T (x), T (x)}, max {I (x), I (x)} , operator (A ) and bipolar neutrosophic weighted geometric
max{F (x), F (x)}>:x X } operator (G ) operator to aggregate the bipolar neutrosophic
5. The union information. Some of it is quoted from
A B= [2,6,8,9,14,17,18,20,24,26].
250
I1 ( x) I 2 ( x)
max(T1 ( x), T2 ( x)), , min(( F1 ( x), F2 ( x)),
Definition 3.1. A bipolar neutrosophic set A in X is defined ( A1 A2 )( x) 2
as an object of the form I1 ( x) I 2 ( x)
^ x, T `

min(T ( x ), T ( x )), , max(( F ( x ), F ( x ))
A
( x ), I ( x ), F ( x ), T x , I x , F ( x ) : x X ,
1 2
2
1 2

where T , I , F : X o >1, 0@ and T , I , F : X o > 1, 0@ .
for all x X .
The positive membership degree T ( x ), I ( x ), F ( x ) denotes Example 3.8. Let X {x1 , x2 , x3} . Then
the truth membership, indeterminate membership and false x1 , 0.5, 0.3, 0.1, 0.6, 0.4, 0.01 ,
membership of an element x X corresponding to a bipolar
neutrosophic set A and the negative membership degree A1 x2 , 0.3, 0.2, 0.7, 0.02, 0.003, 0.5 ,
T ( x ), I ( x ), F ( x ) denotes the truth membership,
indeterminate membership and false membership of an element x3 , 0.8, 0.05, 0.4, 0.1, 0.5, 0.06
x X to some implicit counter-property corresponding to a and
bipolar neutrosophic set A . x1 , 0.4, 0.6, 0.3, 0.3, 0.5, 0.1 ,

Example 3.2. Let X {x1 , x2 , x3} . Then A2 x2 , 0.5, 0.1, 0.4, 0.2, 0.3, 0.3 ,
x1 ,0.5,0.3,0.1, 0.6, 0.4, 0.01 ,
x3 , 0.2, 0.5, 0.6, 0.4, 0.6, 0.7
A x2 ,0.3,0.2,0.7, 0.02, 0.003, 0.5 ,
are two bipolar neutrosophic sets in X .

x3 ,0.8,0.05,0.4, 0.1, 0.5, 0.06 Then their union is given as follows:
is a bipolar neutrosophic subset of X . x1 , 0.5, 0.45, 0.1, 0.6, 0.5, 0.1 ,

A1 A2 x2 , 0.5, 0.15, 0.7, 0.2, 0.1515, 0.5 ,
Theorem 3.4. A bipolar neutrosophic set is the generalization

of a bipolar fuzzy set. x3 , 0.8, 0.47, 0.6, 0.4, 0.55, 0.7
Proof: Suppose that X is a bipolar neutrosophic set. Then by
setting the positive components I , F equals to zero as well Definition 3.9. Let =

as the negative components I , F equals to zero reduces the x,T (x), I (x), F (x), T (x), I (x), F (x) and =
bipolar neutrosophic set to bipolar fuzzy set. x,T (x),I (x), F (x), T (x), I (x), F (x) be two bipolar
neutrosophic set. Then their intersection is defined as:
Definition 3.5. Let = I1 ( x) I 2 ( x)
x,T (x), I (x), F (x), T (x), I (x), F (x) and = min(T1 ( x), T2 ( x)), , max(( F1 ( x), F2 ( x)),
2
x,T (x),I (x), F (x), T (x), I (x), F (x) be two bipolar ( A1 A2 )( x)
I1 ( x) I 2 ( x)
neutrosophic sets. Then A1 A2 if and only if max(T1 ( x), T2 ( x)), , min(( F1 ( x), F2 ( x))
2
T 1 ( x) d T2 ( x) I 1 ( x) d I 2 ( x) , F 1 ( x) t F2 ( x) , for all x X .
and Definition 3.10. Let
T 1 ( x) t T2 ( x) , I 1 ( x) t I 2 ( x) , F1 ( x) d F2 ( x) A ^ x, T
( x), I ( x), F ( x), T x , I x , F ( x) : x X `
for all x X . be a bipolar neutrosophic set in X . Then the complement of
Definition 3.6. Let = A is denoted by Ac and is defined by
x,T (x), I (x), F (x), T (x), I (x), F (x) and =
x,T (x),I (x), F (x), T (x), I (x), F (x) be two bipolar TAc ( x) {1 } TA ( x) , I Ac ( x) {1 } I A ( x) ,
neutrosophic set. Then = if and only if FAc ( x) {1 } FA ( x)

T ( x) T2 ( x) , I ( x)
1 1 I 2 ( x) , F ( x) 1 F2 ( x) , and
and

TAc ( x) {1 } TA ( x) , I Ac ( x) {1 } I A ( x) ,
T ( x) T2 ( x) , I ( x)
1 1 I 2 ( x) , F ( x) 1 F2 ( x)
FAc ( x) {1 } FA ( x) ,
for all x X .
Definition 3.7. Let = for all x X .
x,T (x), I (x), F (x), T (x), I (x), F (x) and = Example 3.11. Let X {x1 , x2 , x3} . Then
x,T (x),I (x), F (x), T (x), I (x), F (x) be two bipolar
neutrosophic set. Then their union is defined as: x1 ,0.5,0.3,0.1, 0.6, 0.4, 0.01 ,

A x2 ,0.3,0.2,0.7, 0.02, 0.003, 0.5 ,

x3 ,0.8,0.05,0.4, 0.1, 0.5, 0.06
251
is a bipolar neutrosophic set in X . Then the complement of A
is given as follows:
Based on the study given in [15,20] we define some weighted
x1 , 0.5, 0.7, 0.9, 0.4, 0.6, 0.99 , aggregation operators related to bipolar neutrosophic sets as

Ac x2 , 0.7, 0.8, 0.3, 0.08, 0.997, 0.5 , . follows;

x3 , 0.2, 0.95, 0.6, 0.9, 0.5, 0.94
Definition 3.16. Let =
T , I , F ,T , I , F
j j j j j j
( = 1,2, , ) be a family of bipolar neutrosophic numbers. A

mapping : bipolar neutrosophic weighted
We will denote the set of all the bipolar neutrosophic sets average operator if it satisfies
(NBSs) in by . A bipolar neutrosophic number (NBN) is
( , , , )= = 1 1

denoted by = T , I , F , T , I , F for convenience.
, , , ( ) , 1
Definition 3.12. Let = , , , , , and =
, , , , , be two bipolar neutrosophic 1 ( ) , (1 1 )
number . Then the operations for NNs are defined as below;
i. = 1 (1 where is the weight of ( = 1,2, , ), [ 0,1] and
) , ( ) , ( ) , ( ) , ( ) , (1 = 1.
(1 ( )) )
Based on the study given in [15,20] we give the theorem related
ii. = ( ) , 1 (1 ) , 1 (1
to bipolar neutrosophic sets as follows;
) , (1 (1
( )) ), ( ) , ( ) Theorem 3.17. Let =
T j , I j , F j ,T j , I j , F j
iii. + =
+ , , , , ( (
= bea family
1,2, , ) of bipolar neutrosophic numbers.
), ( )
iv.
. = , + , + Then,
, (T ), , i. If = for all = 1,2, , then, ( , , , ) =
ii. ,,, ( , , , ) ,,,
where O ! 0 . iii. If for all = 1,2, , then,
( , , , ) , , , .
Definition 3.14. Let = , , , , , be a Based on the study given in [15,20] we define some weighted
bipolar neutrosophic number. Then, the score function s( ), aggregation operators related to bipolar neutrosophic sets as
accuracy function a( ) and certainty function c( ) of an NBN follows;
are defined as follows:
i. ( ) = ( + 1 + 1 + 1 + Definition 3.18. Let = ( =
)/6
T , I , F ,T , I , F
j j j j j j
ii. ( ) = + 1,2, , ) be a family of bipolar neutrosophic numbers. A

iii. ( ) = mapping : bipolar neutrosophic weighted
geometric operator if it satisfies

Definition 3.15. = , , , , , and = ( , , , )= = ,1
, , , , , be two bipolar neutrosophic number.

The comparison method can be defined as follows: 1 , 1 1 , (1 1

i. if ( ) > ( ), then is greater than , that is, ( ) , ( ) , ( )
is superior to , denoted by >
ii. ( ) = ( ) and ( ) > ( ), then is where is the weight of ( = 1,2, , ), [ 0,1] and
greater than , that is, is superior to , = 1.
denoted by < ; Based on the study given in [15,20] we give the theorem related
iii. if ( ) = ( ), ( ) = ( ) and ( ) > ( ),
to bipolar neutrosophic sets as follows;
then is greater than , that is, is superior
to , denoted by > ; Theorem 3.19. Let =
iv. if ( ) = ( ), ( ) = ( )) and ( ) = T , I , F ,T , I , F
j j j j j j
( ), then is equal to , that is, is ( = 1,2, , ) be a family of bipolar neutrosophic numbers.

indifferent to , denoted by = . Then,
252
available. The customer takes into account four attributes to
i. If = for all = 1,2, , then, ( , , , ) = evaluate the alternatives; =Fuel economy; =Aerod;
=Comfort; =Safety and use the bipolar neutrosophic
ii. ,,, ( , , , ) ,,,
values to evaluate the four possible alternatives A (i =
iii. If for all = 1,2, , then, 1, 2, 3, 4) under the above four attributes. Also, the weight

( , , , ) , , , vector of the attributes ( = 1,2,3,4) is = ( , , , ) .

Note that the aggregation results are still NBNs. Then,
Algorithm
IV. NBN-DECISION MAKING METHOD
Step1. Construct the decision matrix provided by the customer
as;
In this section, we develop an approach based on the (or
) operator and the above ranking method to deal with Table 1: Decision matrix given by customer
C C C C
A 0.5,0.7,0.2, 0.7, 0.3, 0.6 0.4,0.4,0.5, 0.7, 0.8, 0.4 0.7,0.7,0.5, 0.8, 0.7, 0.6 0.1,0.5,0.7, 0.5, 0.2, 0.8
A 0.9,0.7,0.5, 0.7, 0.7, 0.1 0.7,0.6,0.8, 0.7, 0.5, 0.1 0.9,0.4,0.6, 0.1, 0.7, 0.5 0.5,0.2,0.7, 0.5, 0.1, 0.9
A 0.3,0.4,0.2, 0.6, 0.3, 0.7 0.2,0.2,0.2, 0.4, 0.7, 0.4 0.9,0.5,0.5, 0.6, 0.5, 0.2 0.7,0.5,0.3, 0.4, 0.2, 0.2
A 0.9,0.7,0.2, 0.8, 0.6, 0.1 0.3,0.5,0.2, 0.5, 0.5, 0.2 0.5,0.4,0.5, 0.1, 0.7, 0.2 0.4,0.2,0.8, 0.5, 0.5, 0.6
multiple criteria decision making problems with bipolar
neutrosophic information.
Step 2. Compute a = A (a , a , a , a ) for each i =
Suppose that { = , , , } and { = , , , } is
1,2,3,4 as;
the set of alternatives and criterions or attributes, respectively.
Let = ( , , , ) be the weight vector of attributes,
a =0.471,0.583,0.329, 0.682, 0.531, 0.594
such that = 1, 0 ( = 1,2, , ) and refers to
the weight of attribute . An alternative on criterions is
a =0.839,0.536,0.600, 0.526, 0.608, 0.364
evaluated by the decision maker, and the evaluation values are
represented by the form of bipolar neutrosophic numbers.
a =0.489,0.355,0.235, 0.515, 0.447, 0.544
Assume that = is the
T , I , F ,T , I , F
ij ij ij ij ij ij
a =0.751,0.513,0.266, 0.517, 0.580, 0.221.
decision matrix provided by the decision maker; is a bipolar
neutrosophic number for alternative associated with the Step 3. Calculate the score values of s(a ) (i = 1,2,3,4) for the
criterions . We have the conditions , , , , and collective overall bipolar neutrosophic number of a (i =
T I F ij T ij I ij ij ij
1,2, , m.) as;s(a )=0.50
[ 0,1] such that 0
T I F T I F 6 for

F ij ij ij ij ij ij ij
= 1,2, , and = 1,2, , . s(a )=0.52

Now, we can develop an algorithm as follows;
s(a )=0.56
Algorithm
Step1. Construct the decision matrix provided by the decision s(a )=0.54.
maker as; = .
T , I , F ,T , I , F
ij ij ij ij ij ij

Step 4. Rank all the software systems of A (i = 1,2,3,4.)
according to the score values as;
Step 2. Compute = ( , , , ) (or A A A A
( , , , )) for each = 1,2, , . and thus A is the most desirable alternative.
Step 3. Calculate the score values of ( ) ( = 1,2, , .) for V. CONCLUSION

the collective overall bipolar neutrosophic number of ( =
1,2, , .) This paper presented a bipolar neutrosophic set and its score,
certainty and accuracy functions. Then, the and
Step 4. Rank all the software systems of ( = 1,2, , .) operators were proposed to aggregate the bipolar neutrosophic
according to the score values. information. Furthermore, based on the and operators
and the score, certainty and accuracy functions, we have
Now, we give a numerical example as follows; developed a bipolar neutrosophic multiple criteria
decision-making approach, in which the evaluation values of
Example 4.1. Let us consider decision making problem alternatives on the attributes take the form of bipolar
adapted from Xu and Cia [20]. A customer who intends to buy a neutrosophic numbers. The and operators are utilized
car. Four types of cars (alternatives) ( = 1,2,3,4) are
253
to aggregate the bipolar neutrosophic information decision-making problems, Int. J. Syst. Sci. (2015)
DOI:10.1080/00207721.2014.994050.
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254
Evaluation Method of Main Production Resource in

Society and Industrial Park of Extreme Arid Region (1)
Zulati Litifu
Statistics and Information Institute Xinjiang University of Finance and Economics and the Key Research Center of Humanities and
Social Sciences in the General Colleges and Universities of Xinjiang Uygur Autonomous Region
No.449 Beijing Middle Road of New City Area, Urumqi, China
zulati@qq.com
AbstractIn this research, the evaluation methods of water industrial parks. The society method converts all water
resource used for industrial and society are presented in consumption in the accepts of personal live, agriculture and
extreme arid areas where the yearly rainfall is less than 50mm, industrial to per capita, and then, use this index for evaluating
such as the area of Turpan Prefecture and southern area of the carrying capacity of regional water resources, this
Xinjiang Region. The Society Method, which deals with the methods can express the population that the water resource
overall water condition, is proposed first. This method covers
can feed. The industrial park method takes each enterprise in
normal life style and saves life style, which is a new idea to
determine the carrying capacity of local water. The Industrial industrial park as the evaluating target and five indices are
park Method takes the enterprises in the industrial parks as the proposed for application, such as water consumption for per
evaluating target; this method covers five essential aspects to unit of output, proportion of recycling water, the proportion
describe the water condition in the extreme arid areas. And this of ecological water, the per capita water consumption, the
method includes numerical value of percentage to estimate the percentage of water consumption factor. The practical
water utilization efficiency in different industrials. experience proved that these five indices are key aspects to
. express the actual condition of water utilization. The indices
degree is also provided for application, it is systematically
Index Termswater evaluation, extreme arid areas, society
method, industrial method, carrying capacity
divided into A, B and C for each evaluating aspect and the
unit of each aspect is converted into the percentage of unity.
I. INTRODUCTION From an overall perspective, this research presents water
In the new classification in the world[1], water resources evaluation methods that are suitable for extreme arid areas.
are classified as types of energy. In extreme arid areas, the The mentioned methods are important references for
water supply for the industrials is an important but very developing local industry and economy, which has the
difficult question under limit water resource. Considering practical value in the evaluation of regional water resource
higher output of industrials than that of agriculture, it is and the development of local economy.
necessary to first evaluate the water resource and develop the II. EVALUATION METHOD OF WATER UTILIZATION
local industrial. This research takes Turpan Prefecture as the EFFICIENCY OF SOCIETY IN EXTREME ARID AREA
example, which has the outstanding water using questions of
agriculture and industrial. A. Theoretical Basis
As an extreme arid area in Xinjiang Region, annual Weighted arithmetic average and weighted harmonic
evaporation and rainfall of Turpan Basin are respectively average value is used in this investigation as shown by
3200mm and 16mm, water is very important for Turpan equation (1):
Basin and the southern arid areas as same condition as x xf f (1)
Turpan. There are many evaluation methods for extreme arid
areas, anyway, Turpan and other arid areas in Xinjiang have Here, x and f indicate the target elopement and frequency that
particularities, such as groundwater are independent of each related to the number of investigated samples. Equation (2)
other, Generally there are separated strata with pot shape, indicates the standard deviation:
Strictly dependent on groundwater and snow melt water and n
so on. Therefore, the evaluation methods should consider the V ( xi x ) 2 n -1 (2)
i 1
reality of the limit water resource and cover the water supply
for the industrial parks to develop industry economy in such The meaning of symbols is same as in equation (1); n
arid areas. In according to the above conditions, the indicates the number of sample group involved in variation.
evaluation methods of water resource in Turpan and southern And then, the deviation coefficient is given by (3):
areas of Xinjiang Region may consists of society part and v sample s x (3)
The financial support of this research is from National Natural Science

Foundation of China (41261107) and the Fund of the Key Research Center of
Humanities and Social Sciences in the General Colleges and Universities of
Xinjiang Uygur Autonomous Region (050313B02).
978-1-4673-7995-3/15/$31.00 2015
c IEEE 255
In this research the standard score is also used for analysis on character that provides the reasonable value in water
selecting the most efficient way to reserve energy, the index consumption for local government.
of standard score based on statistics method is shown in 3) Expanded carrying capacity of water
equation (4): The expanded carrying capacity of local water is an
xi x important index that shows the maximum potential in water
zi (4)
V supply and it equals to:
Developed form of (4) is equation (5) as shown below, w and Qexp Qtds Qsvs (8)
p indicate water consumed in transit and energy price of
sample, and s is sample deviation. Equation (8) indicates expanding carrying capacity equals to
traditional lifestyle minus saving lifestyle. Because expanding
wi j wi pi j pi
zGEi zWi j z Pi j (5) carrying capacity is generated from entire society that relates
sWi s Pi to water utilization, the index reflects the full saving water.
As shown by (6), the KCL indicates the carrying capacity of C. The Statistics of Society Method
population by the local water, here WK is annual amount of The water resource evaluation takes agriculture consumed
local water and WPU is amount of per capita water demand of water as main targets since the industrial water supply is
traditional and saving lifestyle. much less that that of agriculture. Table I denotes the water
WK consumption characters in Turpan Prefecture.
KC L (6)
WP U TABLE I. WATER CONSUMPTION CHARACTERS OF TURPAN PREFECTURE
In this research, as shown by equation (7), KK-P indicates the Year T.C.W A.C.W Prop. I.C.W Prop. O.C.W
ratio of actual existing population PL and number of peoples
KCL that are nourished by the local water. KK-P can be used for 2004 11.89 10.81 0.91 0.76 0.06 0.32
the comparison of local water supply; usually this number 2005 12.21 11.4 0.93 0.42 0.03 0.39
should be lower than 1.3 to supply remaining water for
2006 11.4 10.59 0.93 0.42 0.04 0.39
ecologic irrigation.
2007 12.41 11.44 0.92 0.47 0.04 0.5
KC L
K K P (7) 2008 13.47 12.39 0.92 0.64 0.05 0.44
PL
2009 13.13 11.72 0.89 0.61 0.05 0.8
B. Introduction of Saving Lifestyle and Traditional Lifestyle
2010 13.35 12.1 0.91 0.47 0.04 0.78
and Expanded Water Carrying Capacity as Well
1) Saving lifestyle 2011 13.55 12.11 0.89 0.51 0.04 0.93
Based on statistic method mentioned above, the sample 2012 13.79 12.43 0.90 0.57 0.04 0.79
analysis is managed. To estimate the potential amount of
2013 14.24 13.24 0.93 0.61 0.04 0.39
conserving water, this research created per capita method
Note: In this table, T.C.W indicates the total consumed water, A.C.W is
namely saving lifestyle. Principle of saving lifestyle indicates agriculture consumed water, I.C.W is industrial consumed water, Prop
the minimum water consumption LQ D SHUVRQV OLIH EXW shows proportion and O.C.W is other part consumed water.
NHHSLQJVXLWDEOHOLYLQJGHPDQG&RQVXPHGZDWHULQSHUVRQV
saving lifestyle integrates and represents all aspects related to Here, we convert the water used for agriculture and living
SHRSOHVOLIH DQGFRQYHUWVWKH ZDWHUWRSHUFDSLWDYDOXH7KH into per capita, by this way, the general water consumption of
advantage of this method is easily applied for different arid society may be expressed by per capita. And the result from
areas with clear indexes, which may be used for comparing this statistics can be used for estimating the carrying capacity
with traditional lifestyle formed in different areas and of existing local water resource. Also, this result can show us
environment, and this method also shows entire consumed the possible scale to develop industrial [2]. Hence, the field
water in society system. investigation is very important to determine the water
consumption, here, six aspects are considered, Living
2) Traditional lifestyle
water consumption by human and domestic animal,
Principle of traditional lifestyle indicates the normal water
Convert the meat consumption into the equivalent water
demand in a persons life, which usually formed in defined
area and environment; this way lets people keep comfortable consumption, Convert human health activities into
life with enough water demand. Consumed water in persons equivalent water consumption, Convert grain consumption
traditional lifestyle is managed by detail statistic investigation into equivalent water consumption, Convert grain cereal
that reflects existing reality in water utilization. In this way, into equivalent water consumption, Convert consumed
all aspects related to peoples life are converted to the per vegetables into equivalent water consumption. Table II shows
capita value of water consumption. The advantage of this the converted results from life water demand of human and
method is that it shows water utilization condition without domestic animals. In this table, the age group consists of four
wasteful behavior; hence this index has strong water saving stages, the local residents under the age of 18 is the first age
phase, aged from 18 to 35 years old is the second age phase,
256
aged from 35 to 60 years old belongs to the third age phase, drinking water on the basis of marriage youth; therefore, the
the persons with the age over 60 years or older is the fourth minimum water consumption in this age phase is in line with
age phase, which belongs to the elder peoples. the water using characteristics of local adult peasants. Peoples
Above classification method basically reflects the local with the age from 35 to 60 years old are important labor force
water characteristics of human activity, the amount of water and resources. The water consumption of this age group
consumed by the age under 18 highlights the characteristics belongs to the characters of strong labor demand. The
of the study in school, while drinking water from middle consumed water by the gage above 60 is basically consistent
school and high school showed a trend of certain increase, but with teenagers under the age of 18. Anyway, there are some
the increase is not big, some middle school students and cases of special disease that consumed water is relative
senior high school students in urban school, at least in the bigger, such as the diabetic patients, they consume the 2-2.5
daytime is not dependent on the local water but depend on the times of amount water compared with normal peoples. In
transported mineral water. Therefore, the minimum general, the water consumption of rural youth is daily 1.5
consumed water can be determined according to uniform liters, and adult needs daily 2 liters. Due to Turpan Basin is
standard per capita. As to18 to 35 years old residents besides the extreme arid area, the temperature is high in summer, the
who go to college or working farmer in other places, basically consumed water by person in different age group from the
participate in production activities served as the main first to the fourth is 2.5, 3.5, 4 and 3 liters daily in order.
workforce, and the local youth most married before the age of Considering the high temperature in that region, the
23. Research shows that in terms of individual consumed consumed water by the mode of saving lifestyle is ignored in
water, the unmarried young is slightly lower than married this research. Table II denotes the annually consumed water
young, but the difference is not big, so the difference can be by local resident per capita in different age groups and each
ignored. Considering married people accounts for more than domestic animal in average.
70% of this age phase, this article sets a minimum amount of
TABLE II. THE ANNUALLY CONSUMED WATER BY LOCAL RESIDENT PER CAPITA IN DIFFERENT AGE GROUPS AND EACH DOMESTIC ANIMAL IN AVERAGE
data water consumed by per capita [L /a] water consumed by each domestic animal [L /a]
codes age group.1 age group.2 age group. 3 age group. 4 sheep ox donkey
1 675 945 1080 810 4320 15120 5940
3 1.00 0.000 0.000 0.188
4 878 [L /a] 0.000 0.000 1119
5 0.5 1.0000 1.0000 1.0000
6 439 [L /a] 5384 [L /a]
7 5823 [L /a]
Note: data codes 1 and 2 denote water demand of safe lifestyle and traditional lifestyle by per capita and a domestic animal, 3 shows converted coefficient, 4 is
average water demand annually, 5 is time coefficient of human and animal, 6 is annually average water consumed by per capita and an animal, 7 denotes
the annual average consumed water by per capita and an animal.
sunshine, surface water are difficult to exist in a long time
With the same principle, this research obtained the
and this area is not suitable for planting rice, hence, this
converted data from cereal. According to questionnaires of
research does not consider rice irrigation water of rice. The
irrigation water quota in Turpan Basin and with reference to
field investigation proved that the savable space of irrigation
irrigation standard of our country agriculture [10], the quota
water is bigger, under the condition of drip and sprinkler
of irrigation water for crop species of Turpan Prefecture is
irrigation, there are at least 35% to 60% water saving
presented in Table III, which shows six kinds of crops that
possibility. Now, the local government is panning to use drip
widely planted in this area. Grape and melon are the main
and sprinkler irrigation technology for 60 thousands Mu each
crops in history with the high quality under plenty of local
year, the efficiency may be significant.
sunshine. Because of the high surface temperature and local
TABLE III. THE CROP SPECIES AND QUOTA OF IRRIGATION WATER
consumed Crop species and quota of irrigation water (Q.I.W) [m3/Mu.a]

water for
irrigation Wheat corn melon grape cotton vegetable
Q.I.W 345 366 600 800 672 500
257
Table IV indicates the cereal demand by the different age lifestyle are considered, one is historical data under planned
groups; the age division method is same as the way expressed economy and the other is the statistic data investigated from
in Table II. It is obvious here; the cereal demand of current food demand fitting for practice. Table V shows the
traditional and saving lifestyle is not so big since it is the calculated result that converted the cereal demand into water
number of each day, the number will be become bigger if the equivalent. The water of karez and underground water can be
annual food demand is considered. Two situations of saving easily estimated by irrigation coefficient in the table.
TABLE IV. THE CEREAL DEMAND BY DIFFERENT AGE GROUPS
lifestyle in the Turpan Cereal demand in different age group [kg/a]

Prefecture age group.1 age group.2 age group.3 age group.4
traditional lifestyle 500 650 650 450
saving lifestyle 475 618 618 428
Table V indicates the calculated result that converted the coefficient of staple food structure divides the demand
cereal demand into water equivalent, here, the coefficient of possibility of rice and wheat; this is a statistical number by
irrigation of karez water denotes the utilization of karez water, field investigation. When underground or the surface water is
in the case of utilization of underground and surface water, considered, the final result should be expanded by dividing
the coefficient can be changed by 1-0.125. And the 0.875, the calculation is feasible in application.
TABLE V. THE GEBNERAL WATER DEMAND CONVERTTED FROM CEREAL IN TRADITIONAL AND SAVING LIFESTYLE IN TURPAN PREFECTURE
Cereal demand in different age group [kg/a]

lifestyles
Age group.1 Age group.2 Age group.3 Age group.4
traditional lifestyle 180.00 234.00 234.00 162.00
saving lifestyle 171.00 222.30 222.30 153.90
coefficient of staple food structure wheat0.800 rice0.200
water demand equivalent wheat1297 [/]
irrigation coefficient of karez water 0.125(considering karez irrigation part)
water demand under structure coefficient 129.80 [L/kg]
water demand in different age group and traditional 23364T.LS 30373T.LS 30373T.LS 21028T.LS
lifestyles (T. LS) and saving lifestyle (S.LS)[L/a]
22196S.LS 28855S.LS 28855 S.LS 19976S.LS
average water demand in different age group average water demand in traditional lifestyle26285 [L/a]
and lifestyles[L/a] average water demand in saving lifestyle24970 [L/a]
Continually, this research estimated other four aspects field investigation. The calculation result in Table VI shows
including human health activities, meat consumption, that rural residents in normal life mode consumes annually
vegetables and fruit (the calculation process is omitted here). about 82.381 cubic meters of water per capita in the Turpan
According to the calculation results of six aspects, the final Basin, and the saving mode of lifestyle consumes annually
equivalent water is shown in Table VI. The number in this about 59.476 cubic meters water per capita. Respectively,
table proves that all water consumption may be converted such consumed water equals to 5.29% and 3.83% of total
into the equivalent water with per capita, by this way the per capita water of the existing 1556 cubic meters, this
carrying capacity of population may be easily determined. number almost meets the requirements of the government to
Anyway, the result from this methods tightly depend on the control the per capita water under 150 cubic meters a year.
TABLE VI. THE GEBNERAL WATER DEMAND IN TRADITIONAL AND SAVING LIFESTYLE IN TURPAN PREFECTURE
Related parameters converted into water equivalent

lifestyles
people and health meat cereal vegetable fruits
animal life equivalent equivalent equivalent equivalent equivalent
258
traditional lifestyle
5823 37467 3121 26285 2700 6985
[L/a per capita]
saving lifestyle
---- 27045 1918 24970 1800 3742
[L/a per capita]
traditional lifestyle82381[L/a PC] saving lifestyle59476[L/a PC]
Based on the above results, the society evaluation may be number in Table VI indicates the synthetic consumed water,
realized as shown in Table VII. The number in this table the multiples in Table VII represents the carrying capacity of
shows the possible carrying multiples based on the existing entire existing water used for concerned industrials. In actual
population in saving and traditional lifestyles. Since the application, the result in Table VI can be directly used.
TABLE VII. THE CARRYING MULTIPLE OF POPULATION IN SAVING AND TRADITIONAL LIFESTYLES
Turpan Prefecture
The ratio of population carrying capacity formed by saving lifestyle (S.LS) and traditional lifestyle (T.LS)
Turpan City Sansan County Tohsun County
Area names S.LS T.LS Area names S.LS T.LS Area names S.LS T.LS
Shenjin Township 0.95 1.32 Qiketai Township 5.62 7.78 Kolbuyi Township 9.92 13.74
Putaogou Township 4.45 6.16 Tuyugou Township 1.04 1.43 Yilanlik Township 1.23 1.71
Yar Township 3.41 4.72 Xinzhan Township 1.38 1.92 Bostan Township 0.00 0.00
Qatikar Township 10.69 14.81 Dalongkan Township 4.24 5.88 Xia Township 2.31 3.20
Edin Township 5.34 7.40 Lamjin Township 7.58 10.49
Yuan Zhong Chang 17.80 24.65 Lukexin Township 0.48 0.66
technique for irrigation, based on the local planning on
III. EVALUATION METHOD OF WATER UTILIZATION cultivated land and water utilization, we have Equation (1):
EFFICIENCY OF INDUSTRIAL PARK IN EXTREME ARID AREA
m i M u K i
Water resource is very important element for economic (9)
development of an extreme arid area, therefore, we regard the W i m i u w i
intensive use of water resources in the first place in the entire where, mi is number of Mu planned to use drip and sprinkler
evaluation. Fig. 1 shows the procedure of evaluating the technique for crop i , M denotes the total Mu of land planned
intensive use of water utilization. In Fig.1, under the to save water in the year, K i and wi are coefficients of the
condition of over exploitation, the water used in industrial
land and water related to the land of crop i , Wi is amount of
parks is limited and should be obtained from the way of
expanding water carrying capacity. The basic principle is : water saved from the land of crop i [3]. Here, the number of M
define M as number of Mu (Chinese unit used in measuring is determined based on the annual plan of local government.
cultivated land) land that are to apply sprinkler and drip
availability amount of water Existing amount of water Available amount of water used in the eco-industrial parks
Over exploitation or not of regional water resource Environment pollution Wasted water Recycled water
yes no
Water use age under above utilization condition
Expanding carrying capacity of water
Evaluation index of water intensive utilization
Figure 1. The procedure of evaluating the index of water intensive utilization
In this research, the water resources evaluation is divided wasted water and environment pollution, and influence on the
into two parts, one is for water resource used in industrial amount of water resource. The index of water intensive use in
production, the other one is the process of water utilization each process can be shown by Table VIII [4].
including repeat utilization, chemical characteristics of
259
TABLE VIII. THE INDEX USED IN EVALUATION OF WATER INTEGRATE USE IN ECO-INDUSTRIAL PARK OF ARID AREAS
index of water integrate use in eco-industrial park

the items
of index water consumption for per proportion of proportion of water consumption for water consumption
unit of output recycling water ecological water per capita living factor
index unit m3/104[RMB] [%] [%] m3/per-capita [%]
index degree A1 - B1 - C1 A2 - B2 - C2 A3 - B3 - C3 A4 - B4 - C4 A5 - B5 - C5
index value 45-55-75 55-50-45 50-35-20 30-40-50 35-25-20

index application of evaluation method in Turpan Prefecture based on the mentioned index
index unit m3/104[RMB] [%] [%] m3/per-capita [%]

index degree A1 B2 C3 A4 C5
index value 43.2 51.5 20 30 20
Explanation of Table VIII: the value input method for degree, and the third column is the percentage value related to
above is based on the Table IX, here, the number in the first the set degree, here, the evaluation number over 60 is fine and
column is estimated value, the second column is stetted such degree is feasible in practical application of arid areas.
TABLE IX. THE ESTIMATED VALUE AND SET DEGREE AND PERCENTAGE
index 1 index 2 index 3 index 4 index 5
50 A 80 55 A 80 50 A 80 30 A 80 35 A 80
51-65 B 60 50.25-47.5 B 60 27.5-42.5 B 60 45-35 B 60 30-22.5 B 60
66 C 0 47.5 C 0 27.5 C 0 45 C 0 22.5 C 0
The water consumption for per unit of output is the most necessary to indicate that the important rank of these
important index in the mentioned five indicators. Three ranks indicators may change according to the practical condition of
is considered A, B and C from the excellent to poor through arid area, for example, we usually take the index of water
good. The proportion of ecological water relates to the consumption for per unit of output as the most important
percentage of greening coverage of entire factory area and reference in allocation. Anyway, and some extreme arid areas
greened area including eco-greening around the target are very poor in ecological environment, the proportion of
factory. The index of water consumption for per capita living ecological water should be considered in availability water
deals with the person working in factory. The water supply for industrial production. Here, we proposed that the
consumption factor is ratio of consumed water and total water eco-industrial parks serve for outside area of factories and
used in production process as follows: enterprises; the minimum requirement to enterprises and
factories is to develop green area by using recycled water. It
Q CW Q T W Q DW

is strictly wanted to restore the ecologic environment that is
(2)
K CW Q C W Q T W
equivalent to environment load in production of target
where, CW is the ratio of consumed water, QTW denotes the factories and enterprises.
total water used in industrial production, and the QDW V. REFERENCE
indicates the discharged wastewater, QCW denotes the
absolutely consumed water that can not returned to surface Karez Research Association of Xinjiang, The Preliminary Census Report on
Karez Water Resource. Research report, May, 2011.
and underground water, the amount of this water is the
difference in value of total water used in industrial production Zulati .Litifu, Hupur. Nourdine, The Research on Comprehensive Economic
Value of the Karez in Turpan Basin. The special project of Education
and the discharged wastewater [5]. Ministry of China. July 2013.
IV. CONCLUSION Zulati .Litifu and research group members, Investigation report on existing
condition of karez, Research Report. August 2010.
In practical application, mentioned society and industrial Jia Jun Ping,. Study on Statistics, 4re Edn. Renmin University, Beijing. 2011.
park methods represent the entire characters of water :DQJ &KX 0LQJ :DQJ ]KL -LH <RX 3LQJ 'D $ UHVHDUFK RQ WKH VXUIDFH
utilization in extreme arid areas. The multiple of population ZDWHURI;LQMLDQJ5HMRLQ, Water Conservancy and Hydropower Press
carrying capacity is proved feasible and applicable in rural of China, April 2008.
area, which provides direct and clear information for local
residents. In the industrial park method, the indicators beyond
C shows poor operation condition of eco-industrial parks. It is
260
Research on control methods of permanent

magnet synchronous motor position servo system
Fen Yang1, Zhengfeng Ming1, Tao Wen1, Tong Zhang1
ZhanXia Zhu2
1
School of Electronic & Mechanical Engineering, Xidian University, Xian, 710071, China
2
School of Astronautics, Northwestern Polytechnical University, Xian, 710068, China
AbstractThis paper compares common PI controller with robustness. The PTOS has found applied in hard disk
proximate time-optimal servomechanism (PTOS), composite drives (HDDs) servo system successfully. However, the
nonlinear feedback (CNF) control law, and a mode seeking performance with PTOS is restricted because
switching control (MSC) scheme. The structure of PI PTOS acts as a simple proportional-differential controller
controller is simple and easy to implement. The PTOS
control law devotes to fast acceleration and deceleration,
in short strokes, which is a shortcoming of PTOS. The
while the CNF control law consists of a linear feedback part Damping Scheduling Proximate Time Optimal
for achieving fast response and a nonlinear feedback part Servomechanism (DSPTOS) was proposed in [3], which
for suppressing the overshoot caused by the linear part, so has made faster settling than PTOS in long strokes. To
as to improve the transient performance in set-point improve the seeking performance in short stokes, Y.-M.
tracking. The MSC scheme is proposed to achieve fast and Choi et al. modified DSPTOS in [4], the MDSPTOS
precise set-point tracking in servo systems. The control improves seek and settling performances significantly in
scheme incorporates a CNF control law into PTOS control. short strokes in hard disk drives. Abhishek Dhanda et al.
These control laws were then applied to the position-velocity proposed MPTOS in [5], Aurelio T. Salton et al. applied
control loop in a permanent magnet synchronous motor
(PMSM) servo system in simulation. The simulation results
a dynamically damped controller and continuous
verify that the PTOS control is capable of tracking the nonlinear control law, which eliminates the conservatism
target position fast, the CNF control can achieve the target present in the PTOS [6].
position with a small overshoot and under the MSC scheme Z. Lin et al. proposed composite nonlinear feedback
the servo system is able to track a wide range of target (CNF) [7], the CNF control outperformed PTOS by more
positions fast and accurately. than 30% in settling time [8] (see also [9]).However, the
target reference mentioned previously in the CNF control
Index TermsProportional-Integral control, time-optimal has always been assumed to be the step function. The
control, composite nonlinear feedback, disturbance, mode CNF control was applied to high-speed XY-table
switching control, transient performance
positioning mechanism, which improves transient
performance in tracking general references [10]. G.
Cheng et al. proposed the robust CNF control, and
I. INTRODUCTION
applied it to a dc servomotor positioning system [11].
Typical servo control systems essentially aim at fast Based on PTOS, Jung-Jae Kim et al. proposed a novel
and accurate set-point tracking with a bounded control mode switching control (MSC), the MSC uses a PTOS
input, in the presence of plant uncertainty and for the fast point-to-point motion and a time-delay
disturbances. For point-to-point tracking, one would think controller (TDC) for the high precision positioning
of the PI control, which is applicable to a large inertia, around the reference position, which achieves smooth
big lag characteristics of the controlled plant. However, it mode switching and improves the settling time and
is well-known that the PI control can not restrain the precision after settling by over than 33% and 45%,
disturbance of feedback channel. respectively [12]. Another MSC was proposed to achieve
The TOC based on bang-bang control theoretically can fast and precise set-point tracking in motor servo systems
achieve the fastest acceleration followed by deceleration, in [13] and [14], which combines the PTOS with the CNF
but truly TOC systems are sensitive to disturbances, and incorporates a disturbance estimation-compensation
parameter variations, and unmodeled dynamics, which mechanism based on extended state observer (ESO). The
will lead to control chattering [1]. Hence TOC is rarely switching scheme uses the PTOS initially for large stroke
implemented on real systems. To overcome the seeking, then switches over to the CNF for an improved
shortcoming of TOC, the PTOS was proposed in [2], settling performance in short-span tracking. Moreover,
which replaces bang-bang control law of TOC with a the PTOS and MSC which were used in a PMSM servo
linear control law when the tracking error is small, thus system were compared in [14], while the CNF control
avoids the chattering problem and enhances the law and conventional PI control used in HDDs were
978-1-4673-7995-3/15/$31.00 2015
c IEEE 261
compared in [15].This paper applies conventional PI, k > f (e) v@
PTOS, CNF and MSC to the design of a position umptos umax sat 2 (6)
controller for a PMSM servo system, and compares their umax
dynamic performance and static performance. where e = r y, is the tracking error, and f(e) is given by
This paper is organized as follows: Section presents
the control law of PI, PTOS, CNF and MSC, respectively. k1
e, e yl
In section , above mentioned control laws are applied f e k2 (7)
to the position-velocity control loop in a PMSM servo
system. Finally, conclusion is given in section .
sign e
2bD umax e J , e t yl
where is the acceleration discount factor. The
II. THE DESIGN OF CONTROL LAWS continuity constraints for matching the magnitudes and
the slopes of the linear and nonlinear region of f(e) are
In this section, we present the design of PI, PTOS,
given as
CNF and MSC for typical double integrator servo system

with the following state space model: k1
y sign yl 2bD umax yl J p (8)
x A x B sat (u ) d k l
(1) 2
y Cx and
with k1 D bumax
.
y 0 1 0
x v , A 0 0 , B b , C >1 0@ k2 2 yl
The velocity error term J p is thus obtained as
where y is the output position, v presents the velocity
signal, u is the control input of the controlled plant, and d bD umax yl
is the unknown constant or slow-varying disturbance. b is Jp .
2
the acceleration constant. sat:55, represents the
actuator saturation defined as: The control gains k1 and k2 are obtained from the
desired second-order response in the linear region,
sat >u (t)@ sign >u (t)@ min ûmax , u (t) ` (2)
2
2D] umax k1
where umax is the saturation level. k1 , k2 2]
The task of controller is to ensure that the output of yl b
system y can track the target reference r fast and where yl and are the free parameters, is the damping
accurately. coefficient of second-order system, yl is the boundary
A. Design of PID Controller region in which the PTOS operates as a PD controller.
The continuous PI control is defined as: The closed-loop natural frequency in the linear region is
given as
1 t de t
u t k p e t e t Td (3) 2D bumax]
2
Ti 0 dt Zn .
yl
The two types of PI control which often been used in
the industrial process controlling, includes the place style A special case is = (typically 0.8).
and the increment style. The place style is According to [5], in order to improve the robust of system,
and satisfy the following inequality
T k T
u k k p e k
e i d e k e k 1
Ti i 0 T
D 2E 2
1
2]
(4)
where characterizes the system uncertainty,1. In
and the increment style is
ideal case, , indicating the nominal plant model is
'u k a0 e k a1e k 1 a2 e k 2 (5) accurate [14].
with Assume that the speed v is measurable, in order to
T increase robust of PTOS, a reduced order observer is
T T
a0 k p 1 d , a1 k p 1 2 d , designed to estimate disturbance for compensation which
Ti T T will be given in the latter, the robust PTOS control law as
follows:
T
a2 kp d
umax sat 2

k f e v d
T umptos (9)
umax
B. PTOS Control Law
The PTOS control law was proposed first in [2], which where d is the estimation of the unknown disturbance d.
was modified in [5], is given by
262
C. CNF Control Law 2
l
The CNF control consists of a linear part and a z l z l sat (u ) v
nonlinear part, the linear control law is given as b (14)
r l
ul F x xe xe (10) d v z
0 b
with where z is the inner state of the observer, l>0 is the
observer gain.
Z 2 2] 1Z1 Finally, it is worth noting that how to get the optimal
F 1 : l 1 l2 nonlinear gain tuning of CNF Controller. Two methods
b
b were proposed in [16], so we wont describe them again
where the damping ratio 1Gshould be small so as to have here.
a fast response(in order to compare, this paper chooses it
D. The MSC Scheme
as 0.7), and natural frequency 1 is the desired servo
bandwidth. The MSC incorporates a CNF control law into the
Then, to design the nonlinear part of CNF, choose the framework of PTOS, finds a switching time t1, at which
positive matrix W to be the control law switches over to CNF from PTOS, so as
to make the controlled system tracking the reference
2l12 0 target fast and accurately. The switching control scheme
W is represented as
0 2l1
b umptos t , t t1
u t u (15)
Solving the following Lyapunov equation: cnf t , t t t1
T
A BF P P A BF W How to determine the moment t1 is given in [13] and
The unique solution of the Lyapunov equation is [14], here briefly retell.
Set
Z13

1 2]12 Z1
2
2] Z
2 2 kc 1 1 1
b ]1 b b
P
2 .
Z1 Z1 Find a positive definite matrix Q and makes it
satisfying
b
2
b ] 1
2
T T 1
Q2u2 ! kc B PW PBkc
The nonlinear feedback law of CNF can now be given
by Solving the following Lyapunov equation
T T
un U e Fn x xe (11) M Pm Pm M Q
with obtain the solution Pm, so set
Z12 Z1 P 0
T P ,
Fn B P , 0 Pm
b b] 1
Z12 2] Z
e t . F 1 1 kc
O e t b b
U e , e t1 z 0
1
E e Thus the time instant t1 for control law switching is
O e t determined as the earliest moment t satisfying
E e , e t1 0
T x t
So the CNF control law is obtained as x Px d cG , x
ucnf ul un F+U e Fn x xe (12)
z t
with
then the robust CNF controller for servomotor is obtained 2
G umax
as [13] , [14](see also [11]) cG @
1 T , G 0,1 , cG ! 0
F+U e Fn x xe d (13)
ucnf ul un FP F
v v
The reduced-order observer designed to estimate the x t x xe , z t d d
unknown disturbance d is given as
The analysis of closed-loop stability has been done in
[14].
III. SIMULATION IN A PMSM POSITION SERVO

SYSTEM
263
In this section, the above four control laws are applied TABLE III.
to the position-velocity control loop in a PMSM servo THE PARAMETERS OF SPEED AND POSITION LOOPS FOR
system. The d-q model of PMSM is given as PI CONTROL
kp ki
dT r
Zr speed loop 2.1 0.01
dt position loop 250 0.08
3 d Zr
Te n p\ f iq J kbZr TL For the position-velocity loop, when PI control is
2 dt adopted, both the position loop and speed loop adopt PI
diq
(16)
controller, Table III summaries the parameters of speed
uq Rs iq Lq n pZr Ld id n pZr\ f and position loops. The parameters of PTOS are chosen
dt as=0.7,=0.95,yl=0.02,thusk1=162.925,k2=0.2695,Jp=10.
di 3775,n=2539,for comparison, the parameters of CNF
ud Rs id Ld d - n pZr Lq iq
dt are chosen as 1=0.7,=1.88,=7.18,1=359.While using
where r and r are the mechanical angle and angular 06& FKRRVH IRU 3726 DQG =1.88, =7.18,
speed,Te is the electromagnetic torque,TL is the load 1=0.7 for CNF, PTOS and CNF share the same reduced-
torque, J is the moment of inertia of motor,kb is the order observer with l=300. In all simulations, set the
viscous friction coefficient,np is the number of pole advanced option of PMSM model as modified Park,
pairs,f is the flux linkage established by permanent so the initial value of the output is a negative value.
magnet, ud and uq are the voltage components for the d-
and q-axis, id and iq are the electric currents. The
parameters of PMSM used in simulation is shown in
Table I.
Taking r as the output y and iq as the control signal u,
the double-integrator model is obtained with b=3/2npf/Jm
and d=-(kbr+TL)/(3/2npf).The schematic diagram of
PMSM position servo system is shown in Fig.1.
TABLE I.
PARAMETERS OF PMSM USED IN SIMULATION
Quantity Symbol Value
Rated voltage VL-L 220V
Nominal power Pn 750W
Rated frequency f 50Hz
Rated current I 3A
Stator self-inductance Ld=Lq 6mH
Stator resistance Rs 1.44
Pole pairs np 4
Rotor inertia Jm 1.82kg.cm2
Torque constant Kt 0.8N.m/A
Rated speed nN 3000r/min
Rated torque Tm 2.4N.m
Peak torque Tp 7.1N.m
ref Position and

iqref
Current
Vdref , Vqref Vref ,V ref
PWM
pulses 3-phase
IPARK SVPWM
Speed Control Regulation VSI
idref = 0 id ,iq CLARKE and ia ,ib ,ic

PARK
r ,r Motor angle Encoder pulses

and speed PMSM
calculation
Fig.1.The schematic diagram of PMSM position servo system
For two inner current loops of id and iq, discrete PI

control laws were adopted, with the saturation level 300V
for the voltage components ud and uq. The parameters of
PI control were summarized in Table II. According to
Table I, the value of system parameter b has been Fig.2.Responses of PI, PTOS,CNF and MSC for target angle
identified as b = 4395.6.The control input umax is limited 0.5S
by 3.5A.
TABLE II.
THE PARAMETERS OF CURRENT LOOPS
kp ki
id loop 10 0.8
iq loop 12 0.1
264
Fig.3. Responses of PI, PTOS, CNF and MSC for target angle Fig.4. Responses of PI, PTOS, CNF and MSC for target angle S
0.5Sand load torque 1Nm
TABLE IV.
Fig.2 shows the simulation results for tracking target DYNAMIC PERFORMANCE SPECIFICATIONS
angles without load torque. By calculating the Rising time Overshoot Settling time
performance indicators, Table summaries the dynamic tr/ms % ts/ms
and static performances of these control schemes. By PI 17.6 0.02 34.9
comparing the three phase stator currents and torque PTOS 16.1 0.17 31.5
CNF 16.4 0.01 33.6
waveforms, it can be found that the waveforms of other
MSC 16.1 0.04 31.5
methods are smooth except PI control, which reflects the
vibration problem of PI control. According to the Table
,it is clear that the PTOS has advantages of response
time and stability, the CNF control has a smaller
overshoot than PTOS, while MSC possesses the merits of
PTOS and CNF control. In all tracking tasks, the
overshoots of all control schemes are kept within 2% and
the steady-state error are nearly zero. If retune the
parameters of PI control for fast response time, the
overshoot and steady state error will increase too.
Fig.5.Response of PI, PTOS, CNF and MSC for various target

angles
265
Fig.3 shows the responses of PI, PTOS, CNF and MSC [9] V. Venkataramanan, K. Peng, and Ben M. Chen,
for target angle 0.5S and sudden load torque 1Nm. Discrete-Time Composite Nonlinear Feedback Control
Because of MSC kept the switch to CNF control after With an Application in Design of a Hard Disk Drive Servo
System, IEEE Transactions on Control Systems
switching over to CNF, thus the dynamic velocity-drop
Technology, vol. 11, no. 1, pp.16-23, 2003.
are nearly the same, which is bigger than the drop of PI [10] G. Cheng, K. Peng, and Ben M. Chen, Improving
and PTOS. However, in [14], the PTOS and MSC under Transient Performance in Tracking General References
the sudden load torque almost no velocity-drop, which Using Composite Nonlinear Feedback Control and Its
represents that the drop can be reduced by retuning the Application to High-Speed XY -Table Positioning
parameters, while the nonlinear function of CNF control Mechanism, IEEE Transactions on Industrial Electronics,
is not unique, by selecting the nonlinear function or vol. 54, no. 2, pp.1039-1051, 2007.
optimizing parameters, such as [7], the settling time of [11] G. Cheng, K. Peng, Robust Composite Nonlinear
CNF is less than the time of PTOS. Fig.4 shows the Feedback Control With Application to a Servo Positioning
System, IEEE Transactions on Industrial Electronics, vol.
response waveforms for target angle S, which are similar 54, no. 2, pp.1132-1140, 2007.
to Fig.2. Fig.5 shows the position waveforms for various [12] Jung-Jae Kim1, Young-Man Choi, and D.-G Gweon, A
target angles, it is obvious that the response rate of PTOS Novel Mode Switching Control For Fast Settling and High
is still the fastest, while which of PI control is the slowest. Precision Positioning, International Conference on
Control, Automation and Systems, 2007.
IV. CONCLUSION [13] G. Cheng, J.-Gao Hu, A Mode Switching Control Design
for Fast Position Servo Systems with Permanent Magnet
The simulation results show that the overall Synchronous Motor, IEEE International Conference on
performance of PTOS, CNF control and MSC are much Control and Automation, 2013.
better than which of PI control, their algorithms are [14] G. Cheng, J.-Gao Hu, An Observer-Based Mode
more complicated, however. By reducing the damping Switching Control Scheme for Improved Position
ratio of CNF part and optimizing parameters in MSC, the Regulation in Servomotors, IEEE Transactions on Control
performance of MSC will be better, such as its rising time Systems Technology, vol. 22, no. 5, pp.1883-1891, 2014.
[15] K. Peng, Ben M. Chen and G. Cheng, Modeling and
is less than the time of PTOS [14]. This paper compares Compensation of Nonlinearities and Friction in a Micro
these control schemes, the simulation results represent Hard Disk Drive Servo System With Nonlinear Feedback
that under the same conditions, these control schemes Control, IEEE Transactions on Control Systems
have their own advantages, in order to tracking the Technology, vol. 13, no. 5, pp.708-721,2005.
reference target faster and more accurately, the MSC will [16] Weiyao Lan, Chin Kwan Thum, and Ben M. Chen, A
outperform other control schemes in overall performance. Hard-Disk-Drive Servo System Design Using Composite
Nonlinear-Feedback Control With Optimal Nonlinear Gain
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damping scheduling scheme for proximate time optimal
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Servomechanism for Improvements in Short Strokes in
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266
Comprehensive Functions of Eco-Industrial Park in

Conserving Energy and Improving Ecology
Zulati Litifu1, Ken Nagasaka2
1
Institute of Statistics and Information, Xiniang University of Finances and Economics and the Key Research Center of Humanities
and Social Sciences in the general Colleges and Universities of Xinjiang Uygur Autonomous Region.
Urumqi City, Xinjiang, China, E-mail: zulati@qq.com
2
Electrical and Electronics Department of Tokyo University of Agriculture and Technology
2-24-16, Nakamachi, Koganei-shi, Tokyo, Japan, E-mail: bahman@cc.tuat.ac.jp
Abstractthis research explained the comprehensive function of makes level of underground water fallen very quickly, and
eco-industrial park in the aspects of intensive utilization of the quality of underground water becomes worse from bad.
energy and other main resources used in production in extreme Deeply fallen water make serious influence on ground
arid areas, such as Turpan Prefecture of Xinjiang, China, in shallow vegetation that maintains their life with evaporated
which water resource is seriously lack of. On the other hand,
water from underground water, the existing environment of
this research analyzed environmental efficiency formed by eco-
industrial. Extended service of eco-industrial parks can be desert plants is near destroyed. In the resent fifteen years, the
realized by greening area around the parks by using waste local economy has a quick development, but main resources
water. Three basic functions of eco-industrial park are of production, especially the water and energy resources are
considered, namely expanding carrying capacity of limit energy not intensively used and the local ecology is damaged. This
and other main resource of production, formation of phenomenon has aroused highly attention of experts at home
concentrated district based on industrial park, and the function and abroad, and the research on this field also extended to
of expanded service of eco-industrial park for ecology and other social aspects, such as regional environment, ecology
agriculture. Mentioned three functions are important for the and population and so on, the research contents are improving
extreme arid area.
and changing in a great degree. Current research concentrates
Index Termseco-industrial park; carrying capacity; extended on the intensive, recycle and conservative utilization of main
ecological service; concentrated industrial district production resources, which forms a synthetic research about
economy development and resource conservation as well as
ecologic protection. Based on overall perspective, Xinjiang
I. INTRODUCTION Region is a large land that equal to one-sixth of Chinas area
This research proved the relation of developing local of land, however, the available land for people existing is
economy along with protecting and conserving local very small. Ecologic condition of southern and east parts of
environment and resources. To keep suitable increment of Xinjiang is much weaker than the one of other areas due to
local economy is very important for an extreme arid area, influence accursed by Tarim Desert. As an area of Xinjiang
such as the southern and eastern part of Xinjiang Region of eastern part, Turpan Prefecture is also with weak and arid
China. It is the opposite problem to develop local economy ecological environment, the natural resources are extensive
and to reduce consumption of main resources and protect used and explored, such situation not only leads to waste of
local ecology from bad to worse. Anyway, it is necessary to natural resource, but also forms the big external environment
develop local economy so that to improve living standard of effect in the duration of developing industrial and economy.
local residents. The typical condition exists in Turpan In according to the analyses of Xinjiang economic and
Prefecture of Xinjiang Province, the nature climate of this ecology environment, extensively utilization of resource will
area makes no surface water kept with annual evaporation of result lower energy efficiency, but this situation still widely
3200mm and rainfall of 16mm. 6080% melt mountain exists in industrial production, which constrains the quality
water happens in the period from June to September every and speed of local economy. This condition denotes that local
year, which forms main water supply of this basin area. To industrial and agriculture are operating independently without
develop local agriculture and industrial, underground water is reciprocity each other. Actually, in an extreme arid area, the
over explored with extensive utilization. For example, the coordinate development of industrial and agriculture and
over explored water reaches 300 million cubic meters in 2011 ecologic environment is important. The experience of region
and it almost keeps same amount in 2012. Such situation development proved that the establishment of eco-industrial
parks that are widely under building in this region may cover
The financial support of this research is from National Natural Science

Foundation of China (41261107) and the Fund of the Key Research
Center of Humanities and Social Sciences in the General Colleges and
Universities of Xinjiang Uygur Autonomous Region (050313B02).
978-1-4673-7995-3/15/$31.00 2015
c IEEE 267
many defects existed in local economic development. Eco- The core problem is to establish ecologic system in the
industrial parks show advantages in intensive utilization of process of industrial production as shown in Fig.1. Hence, the
important natural resources, such as energy and water and eco-industrial park is well suitable for extreme arid areas.
other resources used for industrial production, and it may In estimation of ecologic efficiency generated from eco-
forms the scientific development way by controlling external industrial, the produced green value is available as follow:
environment effect accursed from the economic development,
VGPV VTPV W R VLEV (1)
it is expected to reduce load of environment and resources to
the minimum by applying eco-industrial park. Therefore, this Where, VGPV is green value from production, integrated WR is
research mainly focuses on the practical functions of eco- sum of resources value converted from weight (volume) and
industrial parks in an extreme arid area, which supported by converting constant. VLEV is environmental loss value that
National Natural Science Foundation. It is expected that the may be determined by environment intrinsic value of national
result from this research may be applied for other arid or standard. Therefore, as to the extreme arid areas like Turpan
extreme arid areas in China [1]. Basin, the function of eco-industrial park may be concluded
into two aspects, the first is conservation resource, and the
II. ECO-INDUSTRIAL PARK AND ITS INTERNAL second is establish ecology system inside and outside park.
CONSTRUCTION WITH MULTI-FUCTIONS
B. The Conception of External Effect of Environment and
A. The Conception of Eco-industrial Park Intensive Utiliaztion of Resources
Eco-industrial park is built on a fixed region formed by
manufacturing enterprises and service enterprises community. 1) The conception of external effect of environment
In community, the member unit gain greater environmental External effect of environment refers to the environment
benefits, economic benefits and social benefits through the effects in the type of non market condition, which is brought
common management of environmental issues and economic by the activities of producers and consumers to other
issues. The target of eco-industrial park is to increase the producers or consumers in the actual economic activities.
economic benefit at the same time to minimize the This effect may be beneficial and can also be harmful, the
environmental impact of enterprises in the park. Such beneficial effect is known as the positive external benefit that
methods include green design, clean production, pollution good for around environment. The harmful effects was
prevention, energy efficient use and internal cooperation in known as the negative external effect, which forms the load
parks infrastructure and enterprises. Ecological eco- and cost of external environment and not good for around
industrial park is not only required above mentioned environment. Usually, the external effect of environment
condition but also should have internal and extensive services denotes the convenience or applied cost for outside
of ecological environment to constitute the ecological manufacturers or individuals from inside manufacturers or
production area including living area. Figure 1 shows the individuals who is involving in industrial production. Fig.2
basic construction of eco-industrial park. Selection enterprise shows the relation of recycle system and emission degree.
is important procedure; it is expected to have production
process that may forms production links. System integration non-intensive without low use high
utilization recycle use efficiency emission
is consisted of four direct aspects, such as material, energy,
waste water, information, which are basic integrated systems atraditional industrial park without recycle use system
in eco-industrial park. Among them, the technologic service
take improved technology into integrated information system
partly intensive with limited
so that to form the sharing platform [2]. utilization recycle system
Construction of eco-industrial park serve for
Enterprise selection system integration dematerialization inside industrial park outside industrial park
relative low efficiency with certain emission

bindustrial park with limit recycle system
Technologic
Information
Wastewater
integration
integration
integration
integration
Material
service
Energy
full intensive with full high use lowest

utilization recycle use efficiency emission
cEco-industrial park with complete recycle system

Ecological system of industry production
Figure 2. The inter relation of recycle utilization of resource and external
environmental effect in eco-industrial park
Figure 1. Basic formation of eco-industrial park and ecologic system
268
Eco-industrial park can reduce emission degree so that to prolems of resource constraints on economic growth and rural
reduce negative effect for external environment, therefore, poverty and so on, so that to improve local economy.
good recycle system inside ecologic industrial parks may 2) The function of conserving local resources
have positive effect for external environment, this condition Industrial park, especially the ecological industrial park
is expected through using eco-industrial park. The value of greatly cater to the governments long-term advocated policy
conserved resources may be expressed by equation (2): of resource conservation, hence, the parks is supported by the
n m local governments at all levels. Eco-industrial parks can be
VEF woi roi weoi reoi (2) able to use the huge save space of local resources and
i 1 i 1
generate more carrying capacity from limited resources to
Where, VEF indicates the value generated from eco-industrial develop local industrial and agricultural, so that to improve
park, woi and roi are weight of i kind of resource in original the regional ecology environment. Figure 3 indicates function
process of production without eco-industrial park, and ri is of eco-industrial park in conserving resources. Take natural
converting constant of value related to resource i this data can environment as the exterior, eco-industrial park is an unit to
be estimated comparing with the independent operating produce products, we can realize the production process by
industrial. The ecologic efficiency may be expressed by (2): limited resource and reduced emission depending on the
2) The conception of intensive utiliaztion of resources recycling utilization of resources, four enterprises send
As shown in Fig.2, the intensive utilization of main emission that may be production materials for next enterprise.
production resources refers to concentrated utilization of
resources by the way of recycle and intensive. Here, the most Natural environment
important standard is to form the production process with
intensive and recycle utilization under the condition of
Limited resources consumption
Limited waste emissions

regulated economic indicators. As to condition of Xinjiang emissions
Ent. A Ent. B
Region, the target is implementation of intensive utilization
of more energy, water labor and capital and technology as
well instead of the current situation of decentralized and non- emissions emissions
cycle utilization way. The built eco-industrial parks show
emissions
good function in this field, which can conserve water and Ent. D Ent. C
energy resource by concentrative and recycle utilization. The
intensive use may produce resource saving efficiency, take Eco-industrial park
consumed energy as the example [3], and the conserved
energy may be expressed by equation (3):
Note: the simplified character Ent. Denotes the word of enterprise.
W WE (i 1)
'E SE Ei uV Figure 3. The advantage of eco-industrial park in recycling use of waste
(3) materials in industrial production
VPi VP (i 1) Pi

Where, ESE indicates the saved energy in eco-industrial park, 3) The function of patronizing other industrials
the negative result denotes saved energy but positive hints Eco-industrial park can be taken as the platform of mutual
consumed energy. VPi and WEi are output value and consumed development of local industry and agriculture. This method
weight of energy in the unit of standard coal in i period, and can effectively promote the overall economic development of
VP(i-1) and WE(i-1) are output value and consumed weight of Xinjiang Region, and it can also lead the local economy from
energy in the unit of standard coal in i-1 period. Equation (3) small to large through steady development to realize social
can be used for all kinds of resources that used for production and economic development and promote the harmonious
in eco-industrial park, and which also can be applied for the situation of social economic entity. As to the present situation
situation without eco-industrial park to make comparison. of high independent of each industrial, the cooperation type
of ecological industrial park may play an important role for
C. The Advantages and Required Internal Construction of
the promotion of local economic and ecology, the cooperation
Eco-industrial Park
effect can be more direct, and stable with more remarkable
All kinds of eco-industrial park has played a positive role efficacy, such developing way is much accord with the local
in the intensive utilization of resources in Xinjiang Region, actual needs. In practical application, the degree of industrial
the model of eco-industrial park has become an important connection is used for explaining the correlation among each
pattern of regional industrial development. The advantages of industrial as shown by equation (4):
eco-industrial parks can be mainly denoted by following four
aspects: L
C (4)
1) The function of improving local economy S ( S 1) / 2
Eco-industrial park can take and concentrate all relative Where, C is constant of industrial correlation, S is rich degree
factors of local economic development to production process and number of species that existing in the network, L is
in the park. Its location and extension function can effectively actually observed link of foods. Equation (4) can be used for
cover many intractable problems inside region, such as the analysis of industrial links in the net. In the eco-industrial
269
park, there are two types of enterprise link, one is lower links. The imaginary pointed lines denote the ecologic
enterprises that use the remains, waste and complementary connection of enterprise and living area as well as ecologic
energy from upper enterprises to form ecologic industry links. areas. The transported resources and technologic peoples
The second is that the main products of upper enterprises are develop the new production area including ecologic area and
the main production materials of lower enterprises to form new living areas; this is actually the function of eco-industrial
links of industrial products. Such condition may affect the park to integrating the urban and rural construction.
correlation of enterprises, hence, we have the two calculation
ways, one is only links of ecologic industrial links, and the III. EXTENDING THE CARRYING CAPACITY OF ENERGY BY
second is links of industrial products, the general food links is ESTABLISHING ECO-INDUSTRIAL PARK
sum of two mentioned links as shown in equation (5): The functions of eco-industrial park makes limited natural
LT LIE LIP (5) resources intensively utilized, basing on the principle of same
Based on the characters of links, therefore we have the amount application, the conserved part of resources can be
ecologic correlation of among enterprises as shown follows: used for expanding production. Such situation makes limited
LE natural resources producing more products. In extreme arid
CE (6) area, to expanding capacity of water resource is important.
S ( S 1) / 2
And we have the general correlation among enterprises A. The Concept of Extending Carrying Capacity of Energy
as shown by equation (7): To expand the carrying capacity of local resources is an
LT LIE LIP important index that shows the maximum potential in main
CT (7) resources supply. The savable space is usually large in the
S ( S 1) / 2 S ( S 1) / 2 current condition of production since the extreme arid areas
4) The function of improving urban and rural integration are often with low productive technology. For example, there
Eco-industrial parks can actively cooperate with the are 3050% saving space of water resources if using drip
ongoing development of urban and rural integration. The irrigation and sprinkler irrigation. Therefore, the meaning of
location of parks may be set near population agglomeration expanding carrying capacity of resources refers to conserving
areas, towns and large village with large population, this way resource and expanding the scale of production. To introduce
is called the centralized mode of parks. Such location not the carrying capacity, we apply constant of existing situation
only promote the local employment, also can provide the of defined resource based on the following equation:
condition for recycle using of thermal energy, and it is more Q NRW
likely to form the extension services of park ecological K CES (8)
QTUW
construction. For the ecological fragile areas, especially the
extreme drought areas in southern and eastern of Xinjiang, Where, KCES is the constant of existing situation, QNRW is the
the cooperation among industrials may produce great quantity of natural reserved water in this region, QTUW shows
comprehensive benefit for the society. Figure 4 indicates the the total utilized water by an industrial or a region. If the
eco-industrial park that is generated by urban and rural construction. result of KCES equals to 1, then the resource supply ability is
one the limitation; if more than 1, the resource supply ability
is with safe condition; if less than 1, the resource supply
Urban area under planning of rural and urban construction ability is under worse condition. Equation (8) can be used for
all kinds of resources; anyway, the degree of safe, limitation
Transported city resources and population and worse should be determined based on the resource type
and practical environment. Here, take water resource in
Eco-industrial park extreme arid area, KCES =1.3 shows a limitation, 30% water
New living area Ecologic should be left for next year and arid condition to avoid yearly
area over exploitation. Hence, in practical application, the supply
New living area Ecologic Ent. 4 limitation of each resource needs to be defined in advance.
Ent. 3
area Figure 5 shows the function of eco-industrial park in saving
Ent. 1 New living area resources to expand production scale.
Ent. 2
Traditional producing process W=0 Limited carrying
without eco-industrial park capacity of resources
Transported rural resources and population
Introduce eco-industrial park
Rural area under planning of urbanization construction advanced producing process with W0 generated carrying
eco-industrial park capacity of resources
Figure 4. Eco-industrial fgenerated from park in urban and rural W

construction and relations of living areas and ecologic areas Expand the scale of production by conserved
resource in production process
The double arrow denotes products or ecologic relation of
enterprises; such connection can be explained by the total
270
Figure 5. The function of eco-industrial park in expanding carrying Figure 6. The energy conservation function of eco-industrial park with
capacity of natural resources main factor of thermal power station
In figure 5, : indicates the conserved weight of The system in figure 6 proves that eco-industrial park can
resource, and is efficent constant related to the output value be establish based on the character of local resources, the
of unit consuption of resources. Under the condition of waste materials can be fully used for recycling. The types of
without local eco-industrial, traditional producing system is industrials cover agriculture, manufacturing, power plants,
applied for industrial, it is not available to realize the and fertilizer and so on. This structure not only save energy,
conservation and regulation of resources, hnece, the saving but also improve local industrial with limited water resource,
weight of resource is quals to zero. After introduce eco-park, which suitable for the extreme arid area like Turpan Basin [4].
the industrial park may consists of many function as shown
by figure 4, it is available to generate conserved resource as IV. FORMATION OF CONCENTRATED INDUSTRIAL DISTRICT
shown by figure 5, here, : can be used for production DEPENDING ON ECO-INDUTRIAL PARK
process so that to equally promote the carrying capacity of In extreme arid areas, the location of the water resource
limited resources. The difference of water resource afetr may determine the location of local residents, agriculture and
introducing the ec-industrial park in Turpan Basin may be industry. Therefore, from view of regional nature distribution,
expressed by equation (9): the geographic location of all social compositions is naturally
QEAW QTCW QCWE (9) determined following water resource distribution. To make
Where, QEAW indicates the quantity of water used for such water resource and other resources efficiently used, the
expanding water carrying capacity, this amount of water is eco-industrial park may play an important role.
generated from eco-industrial park in the process of intensive A. Introduction of Concentrated Industrial District Based
and economical utilization of resources, therefore, which can on the Distributon of Eco-industrial Park
be found from conserved water in the eco-park QCWE and Limited by natural distribution of local water resource,
consumed water in traditional production, the possible output the industrial units should build near living area. Traditional
value that can be created by QEAW can be expressed by: industry has high possibility of to use much more resources
VCV 'W u r 10 and emit more waste in production process. However, eco-
industrial park may conserve resources and reduce emission.
Here, r is converting constant with unit of value, therefore, Anyway, the heavy industrials and the industrials that emit
VCV is final expanded scale of production when this resource harmful waste to social environment should be limited. Hence,
is under final utilization without recycling. Equation (10) can the district consisting of living areas, ecologic system and
be used for all kinds of resources in estimating potential value. industrials is defined as Concentrated Industrial District in
B. Conservation of Energy by Using Eco-industrial Park this research, which actually is a social ecosystem with multi
In above analysis, we have introduced the conception of service and production function.
expanding the carrying capacity of resources; anyway, eco- B. The Function of Industrial District in Conserving Energy
industrial park may have complex structure in production. and OtherMain Resource of Production
Usually, eco-parks are with feasible formation that suitable In concentrated industrial district, living and farming
for the using local resources with ecologic notion as shown units become the connection and correlation parts, the degree
by figure 6 that proves the efficient process of using energy and character correlation can be determined by equation (5),
taking power plant as main target. In this eco-park, there are (6) and (7). Figure 7 shows model of concentrated industrial
eleven units (organism S=11), and we have links (Link L=17) district located at Kalundborg of Denmark. This ecosystem
among each organism to form a typical eco-industrial park. shows multi-function as an independent small society, which
includes municipality, factory, agriculture and farm and other
Calcium sulfur steam
sulfate plant building industrials as well. The products from this ecosystem are
water Oil refinery gypsum
materials plant necessary for the living and production of this region, hence,
some resource may be easily obtained inside the ecosystem,
W. water
C. water
waste
steam
gas
heat
Green and the energy used for transportation can be saved. Actually,
houses the synthetic efficiency of such ecosystem is too much to
waste express in future development; this is also the direction of
resource
Long-
Water
water heat
distance economic development of extreme arid areas of Xinjiang.
thermal electric heating In traditional operation systems, the social main units are
power stations
highly independent; the resource computation model is:
waste
n
WTC wi w1 w2 wn
heat
farms
steam
i 1
water m
(11)
V
the sediment
industrial
enzymes, etc Concrete TC i i 11 2 2
w r w r w r w r
n n
of fertilizers etc i 1
271
The above section in (11) denotes the total consumed important content is rule that can generate the inter dynamic
resource; the following section shows the value of consumed of each units to improve cooperation; the assessment of
resources. The waste from this system should be absorbed in social benefit; the estimation of this part should protect the
environment. Equation (12) denotes the model of consumed benefit of eco-industrial park and fully apply the principle of
resources after introducing eco-industrial park: national and local government As to Xinjiang Region, the
n m local industrial is now converting to eco-industrial model, the
W AC wi - 'wcsi wac1 wac2 wacn systemic research on this field seams very important. Figure 8
i 1 i 1
m
(12) indicates the service systems and layers of eco-industrial park
V
AC waci ri wac1r1 wac2 r2 wacn rn in conserving and recycling local resources. This system is
i 1 generated from green products, which include the special
Here; the meaning of WAC and VAC is almost same as equation agriculture products in eco-industrial park. And the benefit is
(2), however, (12) is suitable for solving large ecosystem of a expanded from enterprises to entire society. The less emission
social formation. wcs is conserved resources in the new eco- that accursed from less using of resource can be the one of
industrial park, wac indicates the conserved weight of local service for the local ecology.
resources; VAC is relative value of actual conserved resources.
Recycle inside entire society
Reengineering and regeneration and reuse

Industrial Ecosystem at
Plaster
Kalundborg, Denmark Recycle inside eco-industrial park
plant
the chain of industrial symbiosis

Recycling waste products
gas
gas Recycle inside enterprises
waste exchange chain

gypsum sludge
green technology
road construction pig farmers
green resources
gas yiest
steam Recycle in process of producing

waste heat bio-plant green products
oil refinery electric power station returned
waste
heat waste fermentation
steam sludge
sulfur heat
volatile ashes municipality of Kallundborg
Clean production and green manufacturing
fish culture
sludge
integrated system of information and main resources
sulfuric acid
producer
cement factory local farmers the green remanufacturing
Figure 7. A typical eco-industrial park system referring Kalundborg, Figure 8. The diagram of recycling system based on ecol-industrial park
Denmark
VI. CONCLUSION
V. FUNCTION OF EXPANDED SERVICE FOR ECOLOGY AND
AGRICULTURE OF ECO-INDUSTRIAL PARK This research proved that eco-industrial park can play an
important role in an area, especially in extreme arid areas.
Another important role of eco-industrial parks is service The multifunctions make it possible to highly conserve and
for ecology and agriculture. This function of eco-industrial intensively use the limited local resources. The model of eco-
park is proved essential and necessary for local development. industrial park may be taken a feasible method to develop
A. Conception of Expanded Service for Ecology and local economy. However, the theoretical study of this field is
Agriculture Based on Eco-industrial Park still weak comparing with the importance of eco-industrial
This function is partly mentioned above, here, the service park, it is necessary to develop the systemic estimation
for ecology is mainly generated from the structure of eco- methods for the application of eco-industrial park, this is the
park. And the service for agriculture is mainly refers to types next target of this research, it is expected to apply this
of local agriculture. research for the practice utilization in Xinjiang Region.
B. Realization Procedure of Expanded Service for Ecology
and Agriculture REFERENCES
The procedure to perform expanding service for ecology [1] Zhang Yan Hong, Li Wei Hua. Research on Energy Consumption and
Economic Improvement of Xinjiang Region[J], recycle energy,
and agriculture includes following aspects: 2010(6).
to determine the main factors of ecologic service; to [2] Jia Na Guli, Zhong Lin. Analysis on the coordination of Energy
estimate the possibility to form large scaled agriculture; this Consumption and Economic Increment[J], Journal of Xinjiang
research deals with cooperation of industrial and agriculture. University,2011(3).
[3] Zulati .Litifu, Hupur. Nourdine, The Research on Comprehensive
to establish waste heat utilization system transporting heat Economic Value of the Karez in Turpan Basin. The special project of
energy from industrial park to the units that need secondary Education Ministry of China. July 2013.
heat supply; here, the scattered user is difficult point in this [4] :DQJ &KX 0LQJ :DQJ ]KL -LH <RX 3LQJ 'D $ UHVHDUFK RQ WKH
VXUIDFH ZDWHU RI ;LQMLDQJ 5HMRLQ, Water Conservancy and
field; to estimate long term cooperation principle, the Hydropower Press of China, April 2008.
272
Study on fuzzy-logic PID control system of

synchronous jack-up system of turbine runner static
equilibrium experiment
Yongxing Hao, Chaofeng Wang, Lihui Song
School of Mechanical Engineering
North China University of Water Resources and Electric Power
Zhengzhou, China
392741383@qq.com
AbstractBasing on the LabVIEW platform, a fuzzy-logic control technology, parameters of fuzzy-logic PID controller
PID controller is developed. And the controller is applied to the can be obtained by fuzzy-logic inference, which is important to
control system of synchronous jack-up system of turbine runner make this system more stable and reliable on the premise of
static equilibrium experiment. With a unit step signal input, the keeping great accuracy. Using LabVIEW platform makes the
control system was simulated. The result shows that, with only a development cycle shorter, the operation of the control system
small amount of overshoot, the control system using fuzzy-logic more reliable, industrial application costs of the control system
PID controller responses and stabilizes faster than the one using lower. Besides, this control system can be extended to other
normal PID controller. Fuzzy-logic PID controller shows great areas such as bridge reinforcing, migration of cultural relic and
value in the practical implementation of the hydraulic system
many other areas[2-4].
control. It also can be extended to other areas such as bridge
reinforcing and migration of cultural relic and so on.
II. STRUCTURE OF FUZZY-LOGIC PID CONTROL SYSTEM OF
Keywordsfuzzy-logic; PID controller; LabVIEW; turbine HYDRAULIC SYNCHRONOUS JACK-UP SYSTEM
runner; synchronous juck-up system
The fuzzy-logic PID control system of hydraulic
synchronous jack-up system can be divided into three
I. INTRODUCTION functional modules: data collection module of hydraulic
With the development of industrial technology, the need of cylinders displacement, fuzzy-logic PID controller module
highly automated control technology increased rapidly in and control signal output module. The fuzzy-logic PID
engineering field. The control system using traditional PID controller module consists of two sub modules: fuzzy-logic
technique has become very popular in linear time-invariant inference sub module and PID controller sub module.
systems over the last two decades owing to its stability and Figure 1 shows the logical structure of fuzzy-logic PID
simple working principle. However, traditional PID control control system. Where, r is the displacement of the standard
usually cannot achieve our goals in nonlinear systems, which hydraulic cylinder and y is the displacement of the slave
are complex, high degree of lag and difficult to establish hydraulic cylinder, and e is the error (value of x subtract y), ec
accurate mathematical model[1,2]. Baodun Zhao etc. designed is the error changing rate. To meet different requirements of
and simulated the fuzzy controller in 2006, the simulation PID parameters of different times, the PID parameters will be
result verified that fuzzy control technology has the advantage modified online through the fuzzy-logic control rules[4,5].
of robustness, independent to mathematical model of controlled
object, usability and practicality[3]. These advantages of fuzzy The fuzzy state domain of controllers input variable e and
control technology offset the shortcomings of traditional PID ec is [-6, 6], while u (controllers output variable) is defined to
control. As a result, it is of great practical significance to study [0, 6]. Language variable selection is [PBPMPSZO
the advanced PID control and fuzzy control technology NS NM NB], which represents Positive-big, Positive-
synthetically. In 2014, Yongxing Hao etc. combined PID middle, Positive-small, Zero, Native-small, Native-middle and
control and fuzzy control technology and did some further
study. They applied normal PID controller and fuzzy-logic PID
controller to the same control system, and then compared with
the system without any controller. The result shows that the
system using fuzzy-logic PID controller is faster to response
and reach steady state than others, meanwhile, it has the
smallest overshoot[8]. This paper designed a fuzzy-logic PID
control system of synchronous jack-up system of turbine
runner static balance experiment basing on LabVIEW platform.
Supported by advanced fuzzy control technology and PID Fig.1 The logical structure of fuzzy-logic PID control system
Supported by National CSC ( NO.201308410091)
978-1-4673-7995-3/15/$31.00 2015
c IEEE 273
Native-big respectively. Combined with practical experience,
fuzzy rules are set up after analyzing the response speed,
overshoot and stability of the system. Fuzzy rules of Kp, Ki, Kd
have been shown in Tables 1, 2 and 3 respectively[5-8].
According to the data measured by work site, input and
output variables theory domain of the fuzzy controller are as
fallows: e is [-0.2, 0.2], ec is [-0.001, 0.001] and u is [0,325].
The fuzzy state domain of the variables can corresponds with
the input and output variables theory domain of the fuzzy
controller through range conversion. Quantization factor and
scale factor can be express as follows:

.H .HF .X |
Fig.2 Program graph of fuzzy-logic control system
III. DESIGN AND SIMULATION OF FUZZY-LOGIC PID Every hydraulic cylinder is equipped with a displacement
CONTROL SYSTEM sensor, and the displacement sensor moves with the hydraulic
cylinder synchronously when the system is operating. In order
A. Design of fuzzy-logic PID control system to achieve the goal of multi-cylinder synchronization, the real-
Considering the application and readability of this program, we time displacement data of each hydraulic cylinder should be
divided the program of the control system into four relatively obtained firstly. Displacement signal will be transmitted to the
independent parts. They are sub VI of displacement read of data acquisition card in the form of electrical signal
hydraulic cylinders, sub VI of fuzzy-logic inference, sub VI of continuously by displacement sensor when operating. The
PID controller, and sub VI of control signal output. These four analog signal output by displacement sensor can be converted
parts are programed respectively. The program graph of fuzzy- into digital signal by sub VI of displacement read. The digital
logic control system is shown in figure 2. signal can be processed by computer, and e (the error) and ec
(the error changing rate) can be obtained in this step.
Table 1 Fuzzy rules of Kp
Tools needed to establish fuzzy-logic PID control system
ec
e are integrated into PID and Fuzzy Logic Toolkit by
NB NM NS ZO PS PM PB LabVIEW[7-8]. In order to obtain Kp, Ki and Kd adaptively,
NB PB PB PM PM PS ZO ZO fuzzy rules should be input into Fuzzy System Designer
NM PB PB PM PS PS ZO NS
NS PM PM PM PS PS NS NS
module of LabVIEW and saved as files suffixed for fs.
ZO PM PM PS ZO ZO NM NM Quantization factors and scale factors can be chosen by
PS PS PS ZO NS NS NM NM experience, which have been shown in Table 4. The most
PM ZO ZO NS NM NM NM NB suitable parameters can be obtained by fuzzy process and this
PB ZO ZO NM NM NM NB NB is the function of sub VI of fuzzy-logic inference.
PID controller is included in PID and Fuzzy Logic Toolkit
Table 2 Fuzzy rules of Ki and can be called expediently. Parameters of the controller can
ec be input from outside. Sub VI of control signal output is similar
e
NB NM NS ZO PS PM PB to sub VI of displacement read of hydraulic cylinders on theory,
NB NB NB NM NM NS ZO ZO while process is the opposite. The output digital signal can be
NM NB NB NM NS NS ZO ZO converted into analog signal by data acquisition cad through
NS NB NM NS NS ZO PS PS
DA conversion, and analog signal can be executed by actors.
ZO NM NM NS ZO PS PM PM
PS NM NS ZO PS PS PM PB
PM ZO ZO PS PS PM PB PB B. Simulation of fuzzy-logic PID control system
PB ZO ZO PS PM PM PB PB Simulation can be carried out in LabVIEW with the
purpose of testing the sub VI of fuzzy-logic inference and PID
Table 3 Fuzzy rules of Kd controller. Call the simulation module of
ec Table 4 Empirical value of Quantization factor
e
NB NM NS ZO PS PM PB and Scale factor
NB PS NS NB NB NB NM PS
NM PS NS NB NM NM NS ZO Quantization Quantization factor Scale factor
NS ZO NS NM NM NS NS ZO factor of e of ec
ZO ZO NS NS NS NS NS ZO Kp 3 3 6
PS ZO ZO ZO ZO ZO ZO ZO Ki 60 60 6
PM PB NS PS PS PS PS PB
Kd 3 3 40
PB PB PM PM PM PS PS PB
274
LabVIEW and test the proposed fuzzy-logic PID control
system with an input of unit step signal. During the simulation,
normal PID controller and fuzzy-logic PID controller were
tested respectively, and the control effects were compared as
shown in Figure 3, where, curve 1 is the response curve of
fuzzy-logic PID controller and curve 2 is the response curve of
normal PID controller. The result shows that the proposed
fuzz-logic PID controller demonstrates excellent tracking
capability with only a small amount of overshot.
IV. APPLICATION
A. Composition and work principle of hydraulic synchronous

jack-up system
The principle diagram of hydraulic synchronous jack-up
system is shown in Figure 4. It consists of displacement sensor, 1fluid pump 2overflow valve345electromagnetic
electromagnetic proportional directional valve and other proportional directional valve678pilot operated check valve
hydraulic components[8]. To control the displacement of 91011counterbalance valve12,13,14hydraulic cylinder
hydraulic cylinder, a method named master-slave control is 15proportional amplifier16pressure meter17pressure meter
applied to hydraulic synchronous jack-up system. That is, one switch18electromotor19oil filter
of the hydraulic cylinders is chosen for standard, while others Fig.4 The principle diagram of hydraulic synchronous jack-up system
displacement will be compared with the standard ones during
the synchronous control process. Hydraulic cylinders are all above is shown in Figure 5.
controlled through closed-loop. In the process of synchronous
control, displacement signals of all hydraulic cylinders are The proposed fuzzy-logic control system is applied to
acquired by computer, and every hydraulic cylinders control this model. It can collects real-time displacement signal
displacement will be compared with the standard ones. Then of hydraulic cylinders accurately, compares with the standard
the control signal flow will be sent to the solenoid valve of hydraulic cylinders displacement and analyzes the compared
every slave hydraulic cylinder according to the comparison result, and then decides what kind of control signal to output.
results. Repeated several times of this step, multi-cylinder The output signal controls the opening degree of the
synchronization will be achieved when the system reached electromagnetic valve, and the opening degree determines the
steady state. speed. Synchronization will be achieved after several
adjustments. The result shows, the proposed control system
B. Hardware selection and control of hydraulic synchronous performs excellent in control capability and disturbances
jack-up system model rejection.
Selection of hardware specifications of the model is as
follows. Electric motor: 380V, 750W, Hydraulic oil tank: 5L, V. CONCLUSION
Single rod hydraulic cylinder: MOB-63*300, Solenoid valve: The control system using fuzzy-logic PID controller is
4WRE6E50-50/G24, Proportional controller: VT-5005BS10, better than normal PID controller in robustness, speed of
Amplifier stents: VT-3002B, Hydraulic lock: Z2S6, Valve response, overshot and the stability in adjustment. In this paper,
block: 02-1 W (height) M18*1.5, Displacement sensor: WYH in order that we can address the need of static equilibrium
linear displacement sensor range from 0mm to 325mm, Data experiment of turbine runner, a control system of hydraulic
acquisition cad: USB2831. Model assembled by the parts
Fig.3 Response curve under the unit step signal Fig.5 Model of Hydraulic Synchronous Jack-up System
275
synchronous jack-up system is designed in LabVIEW.
Simulation shows, the proposed control system demonstrated
excellent response speed, overshot and operational stability.
The proposed control system is applied successfully to the
model mentioned above. In application, the proposed control
system shows great practical value and good expansibility in
the field of hydraulic synchronization.
REFERENCES
[1] Wenjun Luo, The application of parameter self-tuning fuzzy PID

control in the water tank control system, Central south university,2011.
[2] Feng Qu, Device realization of intelligent PID and fuzzy
control,Nanjing narmal university, 2007.
[3] Baodun Zhao, Zongan Luo, Xianghua Liu,Design and simulation of
fuzzy controller using LabVIEW, Control Engineering of China, vol.S1,
pp.49-52, 2006.
[4] Qingchang Zhong, Jianying Xie, Hui Li, Variation parameter PID
controller, Information and Control, vol.04, pp.273-277, 1990.
[5] Liangfeng Li, Study on variable universe fuzzy control algorithm,
University of Electronic Science and Technology of China, 2008.
[6] Jing Song, Bin Zheng, Design and research on the fuzzy PID based on
virtual instrument technology, Electronic Test, vol.11, pp.26-29, 2008.
[7] Yongsheng Zhang, Hongli Gao, Qingjie Liu, Fuzzy control system
design using LabVIEW, Instrument technique and Sensor, vol.03,
pp.27-29,2012.
[8] Yongxing Hao, Dongsong Hu, Chaofeng Wang, Houkun Li, Fuzzy PID
control of the turbine synchronous jack-up system based on LabVIEW,
Journal of North China University of Water Resources and Electric
Power (Natural Science Edition),vol.04, pp.65-67,2014.
276
The Straight Line Mechanism Base on Peaucellier

Inversion Instrument1
He Kai*,Guo Lei, Song Yuan
School of Automation
Beijing University of Posts and Telecommunications
Beijing China, 100876
hk2014@bupt.edu.cn
AbstractThis paper gives the preliminary analysis based on system variables, and take the deviation as control basis [8].
the Peaucellier inversion instrument, and calculates the inverse Researching the whole process of mechanical manufacturing
apparatus according to the theory of inversion, a straight system by using computer simulation [9]. The data parameters
mechanism based on the Peaucellier inversion is designed and of the rods are list, for example, length, material, connection
calculate the maximum circle radius of inversion instrument. Then points. After the assembling, writing the control programs,
instrument could switch between the straight line and circle by connecting the electronic components, thereby control the linear
improving the straight line organization of inversion instrument. motion in real-time [10].
An assembly of straight-line mechanism is drew. The prototype is
built
Dnd the validity of the mechanism is verified by experiments. The Peaucellier inversion instrument is focused on this paper,
the instrument is based on inversion instrument. The preliminary
KeywordsStraight line mechanism; Mechanical Design; analysis and calculation on inverse instrument are conducted, an
Peaucellier ; Inversion instrument inversion instrument is designed based on the Peaucellier
inversion, the instrument could switch models between the
I. INTRODUCTION straight line and circle by improving the straight line
Nowadays, a variety of large and small machinism are organization of inversion instrument. Finally, an assembly of
applied to linear mechanism in the worldwide. Although the straight-line mechanism is drew. The prototype is built, and the
manufacture of high-precision kinematic pair isnt very difficult, validity of the mechanism is verified by experiments. There are
the production level is high relatively, the process is complicated three original points in design. First, the mechanical practice is
and the cost is not low, so straight line mechanisms are used for simplified by rapid and easy way, which separate adjusting
a part of the machines [1]. In industrial manufacture, straight line mechanism of straight line and circle is added, second, the
mechanism consists of some basic components such as lines, adjusting of circle radius is through lead screw slider, third,
nodes, fulcrums, straight line trajectory movement are reference the machinery structure of the well ropes, and realize
completed by some points, the point are driven by some lever, the adjusting of straight and circle with the spring.
its easy to operate relatively. [2].
II. THEORETICAL BASIS OF STRAIGHT LINE MECHANISM
According to the current situation, in order to design the
straight line mechanism, it mainly include three parts: Suppose a seven members kinematic chain, as shown in
mechanical part, measurement control part and control and Fig.1. If the size of the components satisfy the following
execution part [3]. Graphics inversion instrument is invented by conditions: BD BE , CD CE , then BC will always be
Peaucellier: researching the relationship among the relative vertical to DE . Secondly, if kinematic chain satisfy the
length of each line, connection, position. Observing mutual condition that A , D , E are in a public line, so the curve which
movement form, analyzing the DOF, whether appeared any is drew by E will be the inversion curve of D , or vice versa.
overload or too much force phenomenon [4]. The trajectory If the length of each component is expressed by l2 , l3 , and
function of the connection points is obtained by the relationship, l6 l7 , some linear relations are obtained according to triangle
the relationship is the length of lines [5]. PID controller or robust ABF and BDF : AD U 1 , AE U 2 ,
controller are used to most of the machinery [6]. Integrated
visualization and automation of the control system are achieved,
DF EF l 4 2 ( BF )2 , AF l2 2 ( BF )2 ,
and solve the blindness of traditional institutions and the low
efficiency [7]. Feedback control system lets the system variables AD AF DF
keep expected relationship by comparing with the function of (1)
Our work is supported by National Natural Science Foundation of China

(61105103), Beijing Natural Science Foundation(4132032), Beijing Higher
Education Young Elite Teacher Project ( YETP0452) and National Natural
Science Foundation of China (51375059).
978-1-4673-7995-3/15/$31.00 2015
c IEEE 277
AE AF EF (2) AD AE k2 (9)
B thus,
5
2 4 ADc m2 R1 (10)
E const
D F AE k2 R2
1 R1 and R2 is the radius of circle p and q , both of them
A 6 7
3 are not equal, the ratio of them equal to m2 / k 2 , through the
C mechanism design above, the special position in the mechanism
Fig. 1. The seven members of the kinematic chain is found out, i.e. if A of the inversion device is placed onto
circle p , so circle q will become straight to the line qq which is
vertical to straight line AOK .
(3)
U 1 l 2 2 ( BF )2 - l 4 2 ( BF )2 III. DESIGN OF STRAIGHT LINE MECHANISM
In the whole mechanism, the core problem is to confirm the
U 2 l 2 2 ( BF )2 l 4 2 ( BF )2 (4)
ratio relationship between the radius of the drawing and the
thus, length of the control lever length, to implement the
corresponding relationship among each rod length in the
U1 U2 l22 -l4 2 const (5) mechanism, to complete the drawing of different geometries. In
the specific design, the changing of the length of levers are
similarly, from the triangle ACF and CDF : transferred into the changing of the relative position, the relative
position is the lever and endpoints which stick with the lever.
UU
1 2 l 32 -l 6 2 const (6) The processing complexity is simplified, and the cost is reduced.
Straight line or circle is chosen by a selection lever meanwhile.
so, it should satisfy the condition that The circular and straight line drawing mechanisms are separated,
it can increase the realization possibility, stability and versatility
l 2 2 -l 4 2 l 32 -l 6 2 (7)
of system.
thus, the kinematic chain can be used as the basis of drawing two According to Peaucelliers schematics, the relationship of
reciprocal curve mechanism, i.e. as the basis of the inversion each lever is obtained: BF m , AB a , CJ b , GF r .
instrument. Suppose l 2 l 3 l 6 l 7 , the kinematic chain is Fig. 3 is shown as followings, suppose ABG D , thus
symmetrical to AE .
(m r)2 a 2 b2
cos D (11)
2a(m r)
Fig. 2. The geometry of straight line mechanism design

As it is shown in Fig.2, when D draws the circle p which Fig. 3. The schematics of Peaucellier 1
is in center of O , at the same time E draws a circle q which
is in center of O1 . The second intersection D ' between straight
BO a cosD GO BO BG a cosD m rmeanwhile,
AE and circular p . By the known conditions above, (8) is and in the rhombus AGCJ , GO OJ , BJ BG GJ BG
shown as followings
2GO m r 2[a cosE m r ] meanwhile, J is
AD ADc m2 (8) located in the circles right position.
in which, m is the length of tangent from A to circle p
then,
278
A the opening is made in the side, the motion is in the form friction
driving. There is a rubber roller outside the opening, which is
driven by an independent motor, thereby the sliding sleeve
moves to rest the guiding on lever FG , drive the axis fixed on
the sliding sleeve D , so as to make the mechanism implement
the function of transformation of straight line and circle. The
diameter of the guide roller is 20 mm, so the relationship
B FG between the angle the lever turned and the changing value L
of sliding sleeve position is:
T
62.8T
L Sd mm (15)
360 360
C According to the conditions above, the conclusions can be
obtained as followings:
Fig. 4. The schematics of Peaucellier 2
In the initial position L 0 , the axis is located in the front
end of lever FG , meanwhile, the status of the mechanism is in
As shown in Fig. 4, BG m r in the ABG , suppose drawing circle; When L 70 mm, the axis is near, meanwhile,
ABG = E , thus, the status of the mechanism is in drawing straight line.
(m r)2 a 2 b 2 In the design of straight line mechanism about changing

cos E (12) length of lever. According to the theory of well wheel, the linear
2a(m r) movement is changed into the movement of the motor rotation,
the length is changing with the linear movement, meanwhile,
BO a cosE GO BO BG a cosE m r meanwhile, bucket gravity is replaced by the designed spring equipment, to
and in the rhombus AGCJ , GO OJ . BJ BG GJ BG solve the problem of changing of the length, as shown in Fig.6
2GO m r 2[a cosE m r ] , J is located in the concretely.
circles left position; obviously, the biggest radius of the circle
is obtained as follow:
FG (AB2 CJ 2 )
R (13)
BF 2 FG 2

Fig. 6. The mode switching mechanism
V. MANUFACTURE OF STRAIGHT LINE MECHANISM

According to the theory of straight line mechanism, the
design of the mechanism could be shown realistically in solid
works. Fig. 7, Fig. 8, Fig. 9 are effect graphs, and Fig. 10 is the
Fig. 5. The design of straight line mechanism
prototype graph. The graphs meet the requirements.
The front view of straight line mechanism design is shown
This is the precise linear guide mechanism in Fig. 5, which as followings:
is called Peaucellier mechanism, in this instrument, the
condition always is satisfied as follow:
AD AE AG AK k2 const (14)
IV. TRANSFORMATION OF STRAIGHT LINE AND CIRCLE
In the stem of FG , considering that the need of the support
lever, so, the design is different from lever BF , lever BF is
shown in Fig.6. The moving part of lever FG is a sliding

sleeve, cooperates with the surface of the lever FG , meanwhile, Fig. 7. The front view of straight line mechanism design
279
The left view of straight line mechanism design is shown as
following:

Fig.8. The left view of straight line mechanism design
The top view of straight line mechanism design is shown as

following:
Fig.11. The perform of straight line mechanism
VI. DESIGN FLOW

A. control block diagram
Control system consist of some components, according to
their structure and constitution, based on linear system theory,
thereby we can understand the components, the control block
diagram of the straight-line mechanism is shown as following:

Fig.9. The top view of straight line mechanism design
Fig.11. The control graph of the straight-line mechanism
The control process is the magnifying of the deviation of

The prototype of straight line mechanism is shown as
input and output and put the result into the control system for
following:
reducing the deviation, generally speaking, the deviation of
input and output is the system error, the main function of the
controller is regulating the signal error.
To reduce the error, output of single-chip drives the actuator
to adjust the straight-line mechanism.
B. design flow of the control part
The design of the system structure configuration is the
primary task. The structure configuration can achieve the
expected control performance. The structure configuration of the
straight-line mechanism includes sensor, controlled object and
the controller. High power dc power isused as the power supply,
STC51 single-chip was used as the controller of the straight-line
mechanism and the absolute photoelectrical encoder was used as
Fig.10. The prototype of straight line mechanism the sensor. Mobile phone and computer can be used as upper
computer, i.e. input device, DC motor can be used in the
mechanism as actuating device.
The perform of straight line mechanism is shown as The role of the sensor is the rotational speed and the change
following: of rotational angle, it can be obtained effectively. The encoder
and the single-chip are linked together, another side was linked
280
with the shaft of the motor, so it can reduce the error and adjust
the system.
Secondly, confirm the system variables that the system needs,
in the straight-line mechanism, it needs control the relationship,
the relationship is between the rotation angle and the position
parameter of the straight line, or radius of the circle.
The last step of the design flow is adjusting the system
parameters, to achieve the system performance we expect.
Under the adjusting of the control system, the system error of the
straight-line mechanism was reduced, and it can be applied to
the daily life.
VII. CONCLUSION
In this paper, the straight line mechanism is designed, and
the application and the key questions are introduced, it includes
the theoretical basis of mechanical part, deduction of precise
Peaucellier straight line mechanism. The mechanical parts of the
straight line mechanism is designed through the theoretical basis
and some needed factors in daily life. The intensity check, the
location interference check and material selection are completed.
The prototype is built according to the theoretical calculation.
The validity of the mechanism is verified by experiments. With
the progress of researching and technology, straight line
mechanism would be applied in daily life, and play a critical role.
REFERENCES
[1] H. Sun(2006)mechanical principleHigher education press.
[2] G. Wang2012The approximate linear motion four-bar linkage s
Optimization design and trajectory simulation. Modern agriculture
press.
[3] M. Helal, L, Sun, L. Chen, Optimal Material Distribution of a Micro-
Gripper Manipulator with straight-Line Path and Parallel Movements.
Materials Testing, 2009, 51(11-12); 794-801.
[4] C. Zhang (2005), Advanced Kinematics and Dynamics of Mechanisms,
Beijing institute of technology press.
[5] A. Gonzalez, Ottaviano E, M. Ceccarelli. On the kinematic functionality
of a four-bar based mechanism for guiding wheels in climbing steps and
obstacles. Mechanism and Machine Theory, 2009, 44(8): 1507-1523.
[6] Dolf (2011)Modern Control Systems Higher Education Press.
[7] Jianyou Han, linear solution domain analysis and synthesis method [J],
2011, 42(4): 190-194.
[8] Siemers A, Fritzson D, Nakhimovski I. General meta-model based co-
simulations applied to mechanical systems [J]. Simulation Modelling
Practice and Theory, 2009, 17(4): 612-624.
[9] Duan X G, Li H X, Deng H. Robustness of fuzzy PID controller due to its
inherent saturation [J]. Journal of Process Control, 2012, 22(2): 470-476.
[10] Zhong Wang(2006) , Straight trajectory guidance mechanism synthesis
method research[D]Southwest petroleum university.
281
Mechanical Design and Realization of Automatic

Docking Mechanism
Mo Xinhu , Guo Lei, Song Yuan and Zhang Ying

Beijing, China, 100876
moxinhu@bupt.edu.cn
AbstractAutomatic docking technology is broadly used to the [4], the docking process in current docking system of China
elds of aerospace and mechanical manufacturing. However, the most rely on manual operation. This is a low efciency, poor
technology is rather complicated to understand. In this paper, accuracy and labor-intensive way for automatic assembly [5].
a effective automatic docking model based on the mechanical Therefore, the study of automatic docking technology can help
properties of the four-bar parallelogram linkage is proposed for us improve the efciency and accuracy of docking and the
teaching demostration. To make the docking mechanism keep
reliability of production.
equilibrium, the auxiliary link and leveling mechanism are added
to the original four-bar parallelogram mechanism. In order to However, the existing docking mechanism, like the Ring-
keep the two docking objects in the correct attitude during cone mechanism which was used in the docking between
docking, movement status of the model is analyzed. Then the the Gemini spaceship and Agena rocket, the Rod-cone
modeling, virtual assembling and motion simulation are realized
in the software Solidworks. At last, a physical prototype is
mechanism which was applied to docking Alliance space-
built, and the feasibility of the docking mechanism is veried craft and Salute space station, the Androgynous peripheral
by experiments. mechanism and The starting point - collision lock mecha-
nism. All of those mechanism for beginners is too difcult, so
KeywordsParallelogram mechanism; Automatic docking; Mo- that students are not interested in.
tion simulation; Self balancing
All of the above, a simple and effective four-bar linkage
I. I NTRODUCTION to achieve docking between two objects is proposed in this
paper. Auxiliary bar and leveling mechanism are designed,
Automatic docking technology has important strategic sig- which can keep the system equilibrium regardless of the
nicance to the development of the aerospace industry. Many system is stationary or in movement. The modeling, virtual
countries in the world who have corresponding technical assembling and motion simulation are accomplished in the
strength began the research on space rendezvous and docking software Solidworks. From the point of simplicity and interest,
technology early in the last century [1], [2]. United States, a physical prototype is built as a teaching tool.
Russia, Europe and Japan have completed rendezvous and
docking with the target spacecraft running in Earth orbit. So
II. P RINCIPLE A NALYSIS OF THE FOUR - BAR L INKAGE
far, the United States and Russia carried out a total of 300 times
D OCKING M ECHANISM
rendezvous and docking ights. Their rendezvous and docking
technology has been matured and played an important role in Fig. 1 shows the principle of the four-bar docking mecha-
the space station and manned lunar landing. Rendezvous and nism. Link BC, BD, F E and F G form a parallelogram. Let
docking technology between the two countries has its own AD = DE and AB = BC, so EA : AC remains constant
distinctive features. Meanwhile, both countries are improving proportion during the shape transformation and point E, A, C
autonomous capability of the aircraft during rendezvous and are three collinear. We can prove it through the similar trian-
docking. gles. In ABC and ADE, the angle CAB = DAE,
OAJ = OCE, AD = DE and AB = BC, therefore
The research on space rendezvous and docking technology
started late in our country, so we have left behind the world AOJ COE. We can easily prove that JO and OE are
advanced level a lot. In recent years, the successfully launch of proportional. At the same time, DA and AB also remain a
Chinas Shenzhou series spacecraft, especially the Divine same proportion.
Floor nished the automatic and manual operation docking When two objects are xed at C and E, we can achieve
with the One Temple spacecraft [3]. All of these prove that the docking of the two objects base on the feature that the
we have made great progress on space rendezvous and docking three points E, A and C are always three collinear. However,
technology. In other areas, such as the docking between aircraft no matter which link we chose from the four-bar mechanism
fuselage and wing, inside ship docking and the closure of the described in the above as the root of the central rod, the mech-
bridge we always need automatic docking technology. As in anism can not make its own weight balance [?]. To solve this
problem, a method of using a double parallelogram mechanism
Our work is supported by National Natural Science Foundation of
China(61105103), Beijing Natural Science Foundation (4132032), Beijing
learn from [6] shown in Fig. 2 is presented. When we take
Higher Education Young Elite Teacher Project(YETP0452) and National BH as the center link, this pole can keep the mechanism
Natural Science Foundation of China(51375059). static balance well. According to the use of leverage, this
978-1-4673-7995-3/15/$31.00 2015
c IEEE 282
E
B
D
A
G
F
Fig. 1. Four-bar docking mechanism.
institutions can achieve docking of two objects whose mass

ratio is AE : AC. Other two objects with different mass ratio
can be docked through changing the ratio of AE : AC.
I J
B
H A K
D
Fig. 3. Overall structure
F G
Fig. 2. Double-parallelogram docking mechanism.
III. M OTION A NALYSIS OF THE D OCKING P ROCESS

A. Modelling of four-bar Linkage Docking Mechanism
For ease of calculation, we take EA : AC = 1 : 2.
At the same time take DA = 8cm, then AB = 16cm. For
Fig. 4. The docking process.
the convenience of determining the length of each rods, take
DE = 8cm, then BC = 16cm, DF = BG = HI = JK =
10cm, HB = 32cm, EF = 18cm, and IJ = F G = 24cm.
So that we can docking two objects whose mass ratio is 2 : 1. However, in fact, the two docking objects are not particle.
They have size and direction. Suppose the docking object at C
3D model of parts based on Solidworks were built, and pointing to E along with the direction of CE and the docking
assembly of the docking mechanism is completed. Then we object at E pointing to C along with the direction of EC.
can obtain the virtual prototype which is shown in Fig. 3. During movement of the link, the angle between the direction
Pole 1, 2, and 3 were designed to achieve static equilibrium of movement of the object attached at C and the pole BC
of the structure. always is 1 , the angle between the movement direction of the
object attached at E and the pole of DE should always be 1
B. Motion Analysis too. The blue and green lines represent a relationship between
As shown in Fig. 4, if we take the two docking objects as the two objects attached at C and E, when the device is moved
particle, when point E moves forward to point A, simultane- to a moment. That is,
ously point C will moves forward to point A, then the two
objects can accurately achieve the docking at point A. 1 = 2 = 3 = 4 = 5 = 6 = 1 . (1)
283
During the movement of the mechanism, since both dock- turned at any time during the docking process. We design a
ing parts are respectively xed to the two ends of docking link, transmission mechanism which is shown in Fig. 5 based on
so its docking attitude will change along with the movement the transmission characteristics of four-bar mechanism. As it
of the docking rod. When BC and DE move to a position (a is shown in Fig. 5, if r2 = 2r1 , the angle B changed will
position C on the arc AC and E on the arc AE), the two be twice of the angle C changed when we connect the two
docking objects may have reached exactly the right position. synchronizing wheels with a synchronous belt. This way can
If we continue to move to A, as the arrow at point A shown be equally applicable to D and E. We can achieve the angle
in Fig. 4, the two objects will be stagger. It is impossible to compensation of the two docking objects in this simple way.
achieve accurate face to face docking at A. Therefore, the two
docking objects cannot be simply seen as particle when we V. D ESIGN OF THE L EVELING M ECHANISM BASED ON
are dealing with it. We need to keep the consistency of the L EAD S CREW
docking direction the two docking objects is consistency.
A. Design of the Leveling Mechanism Based on Lead Screw
IV. D ESIGN OF D OCKING D IRECTION Although three auxiliary balance link is applied to the
double-parallelogram docking mechanism, it is still difcult
In order to solve the inconsistent problem on docking
to keep equilibrium during docking. Furthermore, the vibration
direction, we propose the following two solutions:
during docking also affects the accuracy of docking. Hence,
Adding a motor to each pole connecting to the docking a kind of leveling mechanism based on lead screw with PID
object, so we can keep the docking object in right direction algorithm is designed, which could eliminate the instability
at real time through controlling the motor. But this solution caused by the vibration and disequilibrium of the mechanism.
requires cooperation of sensors or other relative equipment and The physical prototype of the docking mechanism is shown in
the control is too cumbersome. Furthermore, this solution does Fig. 6. The levelling mechanism is shown in Fig. 7 and the
not take full advantage of the mechanical properties of four-bar acceleration sensor is shown in Fig. 8.
mechanism.
According to the relationship of the angle changing be-
tween the two connecting rods during movement. By using
synchronous belt, we can achieve linkage between the rod and
docking object. This way can always ensure the two docking
objects are keeping in the right direction.
Next, lets have a detailed analysis of the second solution.
Fig. 4 shows that, during C moves to C1 ,
ABC + BCA + CAB = 180, (2)
ABC1 + BC1 A + C1 AB = 180. (3) A B
From AB = BC = BC1 we can get that the angle BAC =
BCA = 1, BAC1 = BC1 A. And AC1 B = 2 + 2 ,
ABC = 1 + ABC1 . Thus, we can easily prove that
Fig. 6. The physical prototype of the docking mechanism.
1 = 2 C1 AC = 22 . (4)
Fig. 7. The levelling mechanism.
Fig. 5. The docking mechanism. B. Establishment of the Measurement and Control System
When the two docking objects move to C1 and E1 , C1 In a small measurement and control system, SCM is usually
and E1 must turn an angle to make the line connecting two used as the control chip. Here we used Freescale K60 as
objects and the line crossing C1 , A and E1 coincide. Since the the controller, which could easily generate a PWM wave.
C1 and E1 are randomly selected. In another word, we should Mini2440 was used to create an simple control interface. The
ensure that the angle B turned must be twice of the angle C structure diagram of the measurement and control system is
284
balancing during the docking. And the attitude of the two
docking objects are adjusted all the time. At last, the two
docking objects are docked at the right position.

Fig. 8. The acceleration sensor.
shown in Fig. 9, and the physical prototype control system

diagram is shown in Fig. 10.
Fig. 11. The process of the docking.
VI. C ONCLUSION
In this paper, a kind of simple automatic docking mecha-
nism model based on the transmission characteristics of the
parallelogram mechanism is built. To ensure that the two
docking objects are always at the right attitude during docking,
a kind of angle compensation method is proposed. The feasibil-
ity of this docking mechanism model is analyzed through the
theoretical analysis and simulated in Solidworks. The physical
prototype is built for teaching demostration, which validates
further evidence for the feasibility of this docking mechanism.
Fig. 9. The measurement and control system structure diagram. R EFERENCES

[1] R. Zhu, H. Wang, Q. Xiao and Y. Xu, Study on Soviet/Russian
Rendezvous and Docking Technology, SPACECRAFT ENGINEERING.
Vol. 20, No. 6, pp. 16-26, 30-31, Nov 2011.
[2] L. Lin, Space Rendezvous and Docking Technique, CHINESE SPACE
SCIENCE AND TECHNOLOGY. No. 2, pp. 55-62, April 1988.
[3] C. Zahng and H. Bai, Space docking mechanism technology of space-
craft, SCIENCE CHINA PRESS. Vol. 44, No. 1, pp. 20-26, 2014.
[4] L. Wei, H. Yang and T. Rong Application Research on Automatic Join-
assembly Technology in Aerospace Products, Aerospace Manufacturing
Technology. No. 5, pp. 42-44, Oct 2011.
[5] Y. Zhang, The Development Trend of Aeronautic Technology and the
Building of Technology Innovation Bases, Engineering Sciences. Vol. 1,
No. 1, pp. 19-23, 29, Oct 1999. H. Sun, Z. Chen and W. Ge, Theory
of Machines and Mechanisms, Higher Education Press. 2009.
[6] C. Chen, L. Li, L. Li, C. Dong and X. Sun The Static Balancing of
3-PRS Paralled Machine by Counterweight, Development & Innovation
of Machinery & Electrical Products. 2009.
[7] D. Gu, R. Hu, SolidWorks2011 Mechanical Design from Entry to the
Master, China Machine Press. 2011.
Fig. 10. The physical prototype control system diagram.
C. The Docking Process

The docking process of the mechanism is shown in Fig. 11.
We can see that the docking mechanism can keep itself
285
Design and Implementation of a Mechanical

Calculator for Quadratic Equation with One
Unknown
Bin Xing, Lei Guo, Shimin Wei , Yuan Song and Ying Zhang
Beijing, China, 100876
Email: wsmly@bupt.edu.cn
AbstractThe mechanism structure and the mechanical mea- II. P RINCIPLE D ESIGN
sure method of the calculator are designed, which are the key
technology of calculator for the quadratic equation with one In order to ll the technical gap, this paper presents
unknown. Firstly, the basic principle of a kind of mechanical a mechanical calculator of two-degree equation, the basic
calculator for quadratic equation with one unknown is proposed. principle of which is shown in Fig. 1.
Secondly, the function and performance requirements of the
system is analyzed and the linkage mechanism is selected as
the core computing mechanism. Then the overall structure is
designed. Finally, the control system is designed, after designing
the system operation process, and the GUI is realized. The
ability of solving quadratic equation with one unknown is veried
through the physical prototype debugging.
KeywordsQuadratic Equation with One Unknown, Mechani-
cal Calculator, Automation, GUI

I. I NTRODUCTION
The mechanical calculator is kind of double-input-single-
output mechanical system [1], the operation unit comprises a
spiral mechanism [2] and a slider mechanism [3]. The principle
of solving mechanism is to express the Vieta theorem in the Fig. 1. The basic principle diagram of the calculator for the quadratic equation
with one unknown.
geometrical form and using the mechanism to obtain the roots
value of the equation. The length of line AE is dened as 1. The length of line
Today, a large number of complex operations can be solved DE presents the value of x1 , and the length of line CD presents
with the advanced mathematical software, such as Mathemat- the value of x2 . The length of line CE and line CB are dened
ica. But the stability of the software also has some problems, as p and q respectively. So p equals the value of x1 +x2 . EAD
which is reected in two aspects of software environment and is dened as , and ADB = 90 . So BDC = .
hardware environment. As in a different computer environ- From the relationship between the root of quadratic equa-
ment, results of the same calculation might be different. And tion with one unknown and coefcient, it can be found that
the electronic resolver also might make the calculation error the roots of the equation can be presented as following
or even cant work under strong magnetic interference [4].
Therefore, in some severe conditions, the stable mechanical ax2 + bx + c = 0. (1)
instrument still has a relatively strong demand. But the part
of equations solution, which can been mechanized is limited It can be represented as follows,
[5]. And its processes is relatively difcult, so the development x1 + x2 = b/a, (2)
of the eld is in a primary stage. This kind of calculator for
the quadratic equation with one unknown hasnt been reported x1 x2 = c/a. (3)
until now.
Form the Fig.1 we can get the relationship as follows,
Our work is supported by National Natural Science Foundation of China
(61105103), Beijing Natural Science Foundation(4132032), Beijing Higher tan = x1 , (4)
Education Young Elite Teacher Project ( YETP0452) and National Natural
Science Foundation of China (51375059). tan = q/x2 . (5)
978-1-4673-7995-3/15/$31.00 2015
c IEEE 286
So The mechanical calculator for the quadratic equation is
p = x1 + x2 = b/a, (6) implemented by a seven-bar linkage with two-degree-of-
freedoms, as shown in Fig. 3. It consists of the frame AEC
q = x1 x2 = c/a. (7) with L-shape and the right angle AEC, the link ADB also
with L-shape and the right angle ADB, the output link BC
with T-shape and four sliders A, D, B1 and B2 . The slider D
Therefore, the three parameters a, b and c are needed by and the slider B2 are the two input links, which are linearly
the calculator. And the equation will be met with adjusting driven along the frame EC and the slider way respectively. In
the length of bar CE and bar BC. The mechanism which can the initial conguration, point D and E coincide and the frame
achieve the goal of solving the quadratic equation with one AEC and the link ADB also coincide.
unknown needs two functions, rectilinear motion and the xed-
axis rotation. There are many mechanisms which can complete
the basic mechanism, such as the crank slider mechanism and
the cam mechanism in [6,7]. But the rectilinear motion and the
xed-axis rotation of those mechanism mentioned above are
strong coupled, that make the mechanisms be more difcult to
the expected position. In order to reduce the control difculty
and improve the efciency of the system, the screw mechanism
is driven by servo motor system in [8]. And the embedded
control system are used in the system to realize the automated
control in [9].
III. M ECHANICAL S YSTEM D ESIGN

Users would have to simplify the Equ.(1) to Fig. 3. The initial structure diagram of the calculator for the equation.
x2 + px + q = 0, (8) The value of length is always a positive number. So it cant

be discriminated the positive and negative of the roots. We will
as simplify a general quadratic equation into a quadratic use the position of slider D to discriminated it. Considering
equation with a quadratic coefcient of 1. Then input p Equ.(4), we can know that x1 is a negative number, when slider
and q into calculator to retrieve two roots of the equation. D is on the left of point E. And the positive and negative of
Theoretically there is no limit on the value of two roots in x2 can be discriminated by the relative position between slider
real numbers. However, as a practical tool with a requirement B1 and point C. x2 is a positive number, when slider B1 is on
on actual size, there has to be a limitation on the size of the the top of slider C. Conversely x2 is a negative number. Four
calculator, which also limits the value range of the roots. combinations of the two roots is shown in Fig. 4.
The linkage mechanism is used in the design of mechanical
quadratic equation calculator as the core mechanism. The
design is divided into three parts, body fame, input unit and
T-shape movement output part.
As shown in Fig. 2., the U-shape frame AEC is the body
frame. And the length of the bar AE is dened as 1 unit. The
bar BC is the active part. The plane pair is driven by the DC
motor sliding along the bar EC at point C. The value of p is
changed by the action above. The slider is driven by the DC
x1 ! 0 x2 ! 0 x1 ! 0 x2 0
motor sliding along the bar BC at point B. The value of q is
changed by the action above.
x1 0 x2 ! 0 x1 0 x2 0
Fig. 4. Four combinations of the two roots.
The virtual prototype is shown in Fig. 5. The output slider

is connected with T-shape frame by sliding pair. T-shape frame
Fig. 2. The analysis diagram of the calculator for the equation. is connected with the xed crossbeam by sliding pair, and an
287
encoder is located on it to feed back the displacement distance singlechip outputs x1 , x2 to the controller, showing on the touch
of the T-shape frame. The horizontal driven motor is placed on screen. The Frame diagram of the control system is shown as
the left of the body frame, connecting kad-screw by coupler. in Fig. 7.
The vertical driven motor is placed on the top of the body
frame, following the horizontal slider.
Fig. 7. The design diagram of control system.
Considering the requirement of control and measurement

system, Mini2440, an ARM developing board, is chosen as
the host computer. And STM32, a single chip based on the
ARM-Cortex-M3, is chosen as the executive terminal. As the
same time the DC motor, motor driver and encoder are used
to constitute the servo motor drive system. The schematic
Fig. 5. Overall assembly drawing.
diagram of control system is shown in Fig. 8.
The displacement distance of the T-shape frame is obtained

by the encoder through a pulley, as shown in Fig. 6. And the
distance d can be got as follow,
d = r C. (9)
r represents the radius of the pulley, and C represents the circle
number of the encoder. Its not difcult to nd that d is the
value of the root x1 .
Fig. 8. The schematic diagram of control system.
V. P HYSICAL P ROTOTYPE OF C ALCULATOR FOR

Q UADRATIC E QUATION
Based on the analysis above, the physical prototype of
Fig. 6. Local assembly drawing of the encoder. calculator for quadratic equation is designed and manufactured,
as shown in Fig. 9.
Before the calculator works, frame AEB should be kept
IV. M EASUREMENT AND C ONTROL S YSTEM D ESIGN in the vertical or horizontal states and the point D should
be situated in the midpoint of the apparatus. When starting
Users input the rst-order coefcient p and constant co-
the apparatus, it is required to input the value of p and q
efcient q of the standard form with the touch screen of the
into Mini2440. Then the calculator will perform the program
monitor of the controller, and then the upper monitor output
operation and show the value of x1 and x2 on the screen.
to the singlechip. After dealing with the parameters, the result
After nishing calculation, the point D needs to return to the
will be output to the motor driver to drive the DC motor to
midpoint.
the desire position by the singlechip. Meanwhile the feedback
parameters from the encoding board will be received by the In order to make the output unit move in the two-
singlechip. According to feedback parameters, the value of x1 , dimensional plane frequently, the horizonal kad-screw and the
and then the x2 will be got on the basis of Equ.(6). Finally, the vertical kad-screw are designed in the machinism. And the
288
horizonal kad-screw drives slider D to the point q unit interval unknown is proposed. The practicality of the calculator is
apart from the initial position. The vertical kad-screw is used demonstrated through the theoretical analysis and relevant
to drive slider B to the point p unit interval apart from the experiments.A GUI system is designed, which makes the users
initial position. not only can obtain the accurate numerical value of the result
but also can see the result of calculation visually.This article
is aimed to use the characteristics of Vieta theorem as well
as the plane geometry principles to achieve the calculation of
equation. In the further research, it may be considered that
combining the calculation of equations of higher degrees and
the principles of space analytic geometry in order to gain the
calculator for the equation of higher degrees.
R EFERENCES
[1] Yuxin. W, Novel Automatic Conceptual Design Method for Mechanical
Devices, Chinese Journal of Mechanical Engineering, 2002, 38(10), 148-
153.
[2] Fei. Z, Jinhua. C, Chi. Z and Guilin. Y,Vibration Analysis of High-speed
Ball-screw Drive in Machine Tool Feed System, Control Automation
Robotics & Vision (ICARCV), 2014 13th International Conference on,
2014, 1604-1068.
[3] Ani. L, Zongquan. D, Heping. L, Kinematics analysis of two kinds of
double-slide mechanism, Mechanic Automation and Control Engineering
(MACE), 2010 International Conference on, 2010, 5265-5268.
[4] Kaur. M, Kakar. S, Mandal. D, Electromagnetic interference, Electronics
Computer Technology (ICECT), 2011 3rd International Conference on,
2011, 1-5.
[5] Zengxun. Z, Inuence on Algebraic Equation by Development of Number
System, Yinshan Academic Journal, 2012, 26(2), 23-26.
Fig. 9. The physical prototype. [6] Kai. Z, Junmao. Y, Diansheng.C and Tianmiao. W, Design and kinematics
simulation for bionic crank-slider mechanism of jumping robot, Robotics
and Biomimetics (ROBIO), 2012 IEEE International Conference on,
The initial value of p and q are respectively dened as 2012, 796-801.
2 and 1, as shown in the rst picture in Fig.10. As we all [7] Xiaoming. H, Yucheng. B, Huiyuan. W and Jian. X, Dynamics analysis of
know that the precise results are x1 = 1 and x2 = 1. After the cam drive mechanism with clearance, Computing, Control and Industrial
calculation, we can obtain the roots of equation as 0.98 and Engineering (CCIE), 2011 IEEE 2nd International Conference on, 2011,
345-347.
1.04, as shown in the last picture in Fig.10. They are close to
[8] Yujun. B, Xiaoyan. J, Construction of Embedded System Platform
the theoretical results. Comparing the theoretical results and which Based on C/OS-II and ARM7 Kernel Microprocessor, Computer
experimental results, the error is presented. It is caused by the Network and Multimedia Technology, 2009. CNMT 2009. International
lack of the mechanical structure and encoders. As the research Symposium on, 2009, 1-4.
going on, these errors will be greatly reduced. [9] Xiaoming. H, Yucheng. B, Huiyuan. W and Jian. X,Design of kinematic
coupling servo motor speed control system based on STM32,Information
Technology, 2014, (6), 203-206.
Fig. 10. The experiment of the calculation.
VI. C ONCLUSION
According to the characteristics of mechanism, a kind
of mechanical calculator for quadratic equation with one
289
A Comparative Study on Inter-tern Short Circuit Fault

of PMSM Using Finite Element Analysis and
Experiment
Yongcan Li Yongchun Liang* , Member,IEEE

Department of Electrical Engineering Department of Electrical Engineering
Hebei University of Science and Technology Hebei University of Science and Technology
Shijiazhuang, China Shijiazhuang, China
lycpaper@163.com *E-mail of corresponding author:lycocean@163.com
AbstractPermanent magnet synchronous machines (PMSM) Traditional diagnosis technology of fault requires a lot of
are used in many applicationsInter-turn short fault is the most expert experiences and can not meet the on-line detection of
probably fault in permanent motor. The motor we use in this motor faults. Its efficiency is low.
reaearch is a 3-phase, 10-pole, 12-slot PMSM machine. Model the
motor by using MAXWELL 14 , the waveform and the frequency In this research, was use FEA software tool MAXWELL 14.
spectrum of stator current under normal and inter-turn short- Nowadays FEA is the most usual computer simulation method.
circuit fault condition is given out. In order to verify the result, Fast developing computing power has made the time
we conducted experiments on normal and fault motors by using consumption of FEA much less significant. We model the
LabVIEW. Obtain the waveform and the frequency spectrum of motor by using the Ansoft software and do the simulation of
stator current under normal and inter-turn short-circuit fault normal condition and short circuit fault. In the experiment,
condition. The research was under no load and load condition. LabVIEW software are used to detect and analyz the stator
The comparison result shows that the simulation result is correct current of the motor before and after fault. Compound DC
and FEA method is an effective method to study the inter-tern machine is used as load.Torque is about 4.6 Nm.Compared the
short circuit fault of PMSM. experimental results with simulation results, and do the study
about the feasibility of FEA[1].
KeywordsStator Current; Inter-turn Short Fault;FEA;PMSM.
II. SIMULATION MODEL OF PMSM
I. INTRODUCTION
The test motor is an permanent magnet synchronous motor,
Permanent magnet synchronous machine (PMSM) has been which is a 3-phase, 10-pole, 12-slot machine.The basic
enjoying its inherent advantages such as high torque density, parameters are listed as follow: Rated power:1000 W; Rated
excellent efficiency, compact structure, and superior voltage: 48 V; Rated speed: 650 r/ min; Rated current:26 A;
controllability. Inter-turn fault is the most probably fault in Weight:10kg; the winding is set to Cooper-75, permanent
permanent motor. The armature circuit of the motor caused magnet materials using XG196/96. Stator Outer Diameter:
over voltage in the operation process due to the frequent stops 123mm, Stator Inner Diameter: 79mm, Rotor Outer Diameter:
and starts, and it is easy to bring a winding inter turn short 78mm, Rotor Inner Diameter: 21mm, Air Gap: 1mm.The
circuit. Inter turn short circuit can bring the vibration of the simulation motor is shown in Fig. 1.
motor winding and increase excitation current. Therefore, in
order to maintain the system stability, reduce accidents and
reduce the cost, it is necessary to do the inter turn short circuit
fault detection and diagnosis of motor.
Generally speaking, when the motor is in abnormal
operation or fault state, some motor parameters will change
obviously.Finding out the physical quantity in the changes
before and after the motor fault can detect the types, degree and
reason of motor fault. Faults of PMSM, the armature current of
the motor will be changed greatly, related to speed, noise,
temperature and other parameters. Because the stator current is
less affected by the environment, so the current signal is used
as the main parameters of motor fault diagnosis.
Fig. 1. Simulation Model of the Motor
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The external drive system is shown in Fig. 2. The motor fed laptop in which LabVIEW is installed. The Current transformer
by a 3-phase bridge inverter has six switching patterns S1+S2, is used to adopt the stator current and connected with the
S2+S3, S3+S4,S4+S5,S5+S6, and S6+S1 sequentially. Each of USB5935. LabVIEW can help users quickly to realize the real
the switching patterns lasts for a period of 60 degrees(12 time signal acquisition, analysis and display. Fig. 4 shows the
mechanical degrees for a 10-pole machine). During each process to obtain data and FFT analysis in the LabVIEW
switching period, two of the three phases are conducting. Each environment[6].
windings has 4*95 turns. There are 2*95 turns in each slot[2-4].
Fig. 4.The data acquisition module in LabVIEW
IV. SIMULATION RESULTS AND ANALYSIS

We set the rotation speed 650 r/min. The basic frequency is
50Hz. Simulate the motor 20 turns of Phase-A inter turn short
Fig. 2.The Drive System for the 3-phase PM Synchronous Motor circuit fault.Load torque is set to -4.6Nm. Simulation result
When the motor is in normal, the coil number of turns of under normal condition is shown in Fig. 5 , Fig. 6, Fig. 7 and
each phase winding of the stator is the same, when the motor Fig. 8.
stator winding inter turn short circuit occurs, the number of
turns reduced whose the equivalent coils of stator winding coils.
Based on the above analysis, we can get the motor stator
winding short circuit fault model, and do the analysis of motor
stator winding inter turn short circuit simulation.
In this simulation system, the initial set of motor speed is
zero, under no load condition . Analyz the normal motor stator
current. Then we make the inter turn short circuit of phase A ,
Analyz the fault motor sator current. The simulation time is set
to 0.2s, step is set to 0.002s. When the research is under load
condition, we set load torque to -4.6 Nm. Fig. 3 shows the
equivalent circuit of the A phase winding inter turn short (a) Time-domain Waveform of Phase-A Current
circuit.
Fig. 3.Equivalent circuit of the A phase winding inter turn short circuit
(b) FFT Result under Normal Condition
III. STATOR CURRENT ACQUISITION SYSTEM Fig. 5. A-phase Current under normal condition with no load
The stator current detection system is constructed by an

USB5935 data acquisition card, Current transformer and a
291
(a) Time-domain Waveform of Phase-A Current
(a) Time-domain Waveform of Phase-A Current
(b) FFT Result under fault Condition (b) FFT Result under fault Condition
Fig. 6. A-phase Current under fault condition with no load Fig. 8. A-phase Current under fault condition with load
Comparing the normal condition spectrum with inter-turn

short circuit fault condition spectrum with no load, we find that
the amplitude of inter-turn fault condition is three times of
normal condition at 100Hz signal . That is to say, in 100Hz, the
amplitude has the largest growth. Under load condition, we
find thatthe amplitude has the largest growth in 50Hz[8].
V. EXPERIMENT RESULTS AND ANALYSIS
We use stator current acquisition system to acquire
waveform and spectrum of stator current before and after the
motor 20 turns of Phase-A inter turn short circuit fault.
(a) Time-domain Waveform of Phase-A Current Compound DC machine is used as load. By calculation, the
torque is about 4.6 Nm. Experiment result under normal
condition is shown in Fig. 9, Fig. 10, Fig. 11 and Fig. 12.
(a) Time-domain waveform of normal stator current

Fig. 7. A-phase Current under normal condition with load
292
Fig. 9. A-phase Current under normal condition with no load (a) Time-domain waveform of fault stator current
(a) Time-domain waveform of fault stator current

(b) FFT Result under fault Condition
Fig. 12. A-phase Current under fault condition with load
Comparing the normal condition spectrum with inter-turn

short circuit fault condition spectrum with no load, we find that
the amplitude has the largest growth.at 100Hz signal. Under
load condition, we find thatthe amplitude has the largest
growth in 50Hz signal. This conclusions are basically
consistent with the simulation results above.
CONCLUSION
(b) FFT Result under fault Condition
Fig. 10. A-phase Current under fault condition with no load In this research, FEA is used to simulate PMSM under
normal and inter-turn short-circuit fault condition. Stator
current acquisition system based on LabVIEW software is used
to detect and analyz the stator current under normal and inter-
turn short-circuit fault condition. By comparison with the
experimental results, it proved that the FEA method is
corrective and effective. The result can be used to diagnose the
inter-turn short-circuit fault. The FEA method is effective to
study the fault in PMSM.
ACKNOWLEDGMENT
(a) Time-domain waveform of normal stator current We would like to thank Science and Technology Research
Program for Colleges and Universities in Hebei Province,
China (grant No.ZD2014060).
REFERENCES
[1] Liang Weiming, Chen Cheng, Ren Jiliang, Zheng Ruiguang.
Review and development trends of stator winding inter-turn short circuit fault
diagnosis in PMSM. Micromotors, 02 (2013) 1-4.
[2] M Liu Xiping, Liu Shuai. Finite Element Analysis on Magnetic
Field of Permanent Magnet Synchronous Motor for Elevator Driving Based
(b) FFT Result under Normal Condition on Ansys. Micromotors, 04 (2011) 16-18 ( In Chinese).
Fig. 11. A-phase Current under normal condition with load [3] Zhou Yongchang. Modeling and Simulation of Brushless DC
Motor Without Rotor Position Sensor. Guangxi Normal University, Guilin,
2012 (In Chinese).
293
[4] Xue Xiaoming, Yang Changjiang. Study of modeling for brushless
DC motor Drives. Electric Machines and Control, 11 (2009) 874-878.
[5] Xiao Huihui, Xiong Jundi, Li Chuan, He LI. Motor Fault
Diagnosis Using Stator Current Monitoring. Electric Machines & Control
Application,01 (2008) 54-57 ( In Chinese).
[6] Wu Lihua. Research of Permanent Magnet Synchronous Motor
Test System based on LabVIEW. South China University of Technology,
Guangzhou, 2013 (In Chinese).
[7] Huang He. Simulation of motor fault diagnosis. Computer
Simulation,09 (2011) 177-180 ( In Chinese).
[8] Sun Yuguang, Hao Liangliang, Wang Xiangheng. Steady-state
Currents Harmonic Characteristics of Synchronous Machine With Inter-turn
Short Circuits of Field Windings. Proceedings of the CSEE, 11 (2010) 51-57
( In Chinese).
[9] Information on http:// www.scientific.net/AMM.568-570.
294
A Research on Construction of 30 Bus Large-scale

Smart Grid Model
Sho Kainose Ken Nagasaka

Department of Electrical and Electronic Engineering Department of Electrical and Electronic Engineering
Tokyo, JAPAN Tokyo, JAPAN
e-mail: 50015645110@st.tuat.ac.jp e-mail: bahman@cc.tuat.ac.jp
Abstract This study aims at constructing a large-scale smart security of communication systems be examined enough and
grid model on the MATLAB/Simulink. Smart grid is the next- the measures be taken. Threats to a communication network
generation power network which introduced information and include unsatisfied employees, industrial spies, intentional
communication technology into a power system. In our attacks by terrorists, errors of users, malfunctions of apparatus,
laboratory, a power system simulation model based on the IEEE natural disasters, the geomagnetism induced current occurred
30 Bus Test System was constructed on the MATLAB/Simulink by the intense solar wind [1].
in past. In this study, we concentrate on modeling a suitable
communication system model combined with the IEEE 30 Bus Then, it is important to examine what things does smart
power system model on the MATLAB/Simulink. This grid enable and what kind of risk may occur, by using
communication model can reproduce influence which usually simulation of smart grid where a communication model and a
occurs in communication, such as noise, delay, fluctuation of power system model are cooperated [4]. In our laboratory, a
arrival time of packets, and packet loss. In model construction, large-scale power system simulation model on the
effective design is given to prevent a drop of simulation speed. MATLAB/Simulink was constructed in past [5], [6]. If a smart
Finally, it is tried to incorporate the communication blocks into grid model is constructed on the Simulink by applying the
the 30 bus power system model. power system model, it will be a useful model with clearly and
visually simulation on the Simulink.
KeywordsSmart Grid; MATLAB/Simulink; IEEE 30 Bus Test
System; Communication Model; Large-scale Therefore this study aims at smart grid model construction
based on the 30 bus power system model on Simulink. At first
I. INTRODUCTION a communication system model on the MATLAB/Simulink is
constructed. Then, it is tried to incorporate the communication
It is important to our everyday life to keep stable power blocks into the 30 bus power system model. Because the scale
quality. On the other hand, the environment surrounding power of the model is large, it is required that the blocks work
supply is greatly changing, such as large introduction of efficiently. Finally it is tested whether the constructed smart
renewable energy generation, and electric power deregulation. grid model works properly and smoothly.
Under such conditions, concern with smart grid has been
growing. Smart grid is the next-generation power network
which has introduced information and communication II. CONSTRUCTION OF POWER SYSTEM MODEL
technology for both generation and demand sides. Information The power system model on Simulink has been already
from each device of power systems is sent to a data center, and constructed in our previous studies [5], [6]. This model is based
by using these information various issues will be enabled on the IEEE 30 Bus Test System, which is a standardized
including high quality power supply, introduction of large power system model based on a part of the American power
quantities of renewable power supply, and the participation of system as of December, 1961, and is used widely in the world.
consumers or market to power systems [1], [2]. In modeling the power system on the Simulink, the case30
power system model was referred. This model is incorporated
A communication network is indispensable to smart grid,
in the MATPOWER [7], which is the soft works on the
and many services will depend on communication. Therefore,
MATLAB. Also, the case30 power system model is a modified
it is important to choose the most suitable communication
model of the IEEE 30 Bus Test System, because its setting
technology depending on purposes. Reliability, delay, data-
values of power transmission lines are not complete. A power
transfer velocity and security should be considered when
system diagram of the case30 model is shown in Fig. 1. This
choosing a communication technology [3].
model consists of 30 buses, 6 generator blocks, and 20 load
When a communication network is connected to blocks. In addition, PV and wind power generator blocks can
conventional power systems, invasion points of threats to be connected to the power system model.
power systems will increase. Power systems may show
In this study, some improvements are presented for this
unprecedented influence by malfunctions in a communication
power system model to raise the precision of the model and
network. In enforcing smart grid, it is thus necessary that
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speed up simulation. Firstly, control blocks are attached to each parallel symbol does not mix. This processing is carried out by
generator. By doing this, more real power system simulation is an IFFT (Inverse Fast Fourier Transform) block. Next, a guard
enabled. The controller blocks give control for voltage interval (GI) is added to decrease influence of delay waves.
stabilization and output control for frequency stabilization by a The transmitted complex signal made in such process is called
governor. For these control, Excitation System blocks, Steam a baseband signal. A baseband signal is multiplied by a carrier
Turbine and Governor blocks, and Generic Power System wave to emit a signal from an antenna efficiently, and becomes
Stabilizer blocks are used. These blocks are prepared in the a pass band signal. In the receiver, the reverse processing is
Simulink library. Secondly, in order to shorten the simulation carried out.
time, the simulation method of the power system model was
changed. There are three kinds of simulation method of the
power system model: a continuous method, a discrete method
and a phasor method. As for the continuous method and the
discrete method, voltage or current are expressed like V = |V|
cos(t+) and proceed simulation with variable or fixed time
steps. On the other hand, the phasor method expresses voltage
or current like V = |V| exp(jt+j), and focuses on the values of
amplitude |V| and phase . When a phasor method is selected,
simulation is carried out for only one particular frequency, Fig. 2. Constitution of OFDM Transmitter
however high-speed simulation is enabled [8]. In this research
a phasor method is used though the conventional power system
model used a continuous method. Simulation speed has been In this study, communication simulation is performed using
improved by using such a method. a baseband signal, not a passband signal. This is because
simulation speed drops when a high frequency signal is used,
and simulation with a baseband signal is enough to simulate
influence of a communication channel, such as noise and
fading. In the following, specifics of the constructed
communication blocks are explained. The constructed
communication blocks are shown in Fig. 3. In constructing
communication blocks on the MATLAB/Simulink, reference
[9] was helpful greatly, which gives programming methods for
digital wireless communication technology on the MATLAB.
A. Specifics of Constructed Communication Blocks

1) Construction of Transmitter
In a transmitter, an input signal is encoded to binary data at
first. CRC (Cyclic Redundancy Checking) coding for error
detecting, convolutional coding for error correcting, and
interleaving are given then. Next, the encoded binary number is
given QPSK(Quadrature Phase Shift Keying) symbol mapping.
Fig. 1. Power System Diagram of Case30 Model [5] Here two bits data are placed in any one of four domains in a
complex plane. Then, a series of preamble for phase
III. CONSTRUCTION OF COMMUNICATION MODEL compensation is added to the head of a signal. After that, guard
band is inserted to prevent the interference with other
Quality of a communication is determined by noise, delay, communication systems using adjacent bands. Finally
a fluctuation of arrival time of packets, and packet loss. In operation to multiply subcarriers is performed by IFFT block.
order to reproduce these influence, a communication model is
constructed in this study consisting of four domains: a 2) Construction of Channel
transmitter domain, a channel domain, a receiver domain, and a In a channel, fading and noise are reproduced. In fading
delay domain. From advantages such as lower introduction reproducing, wave form distortion by interference of delay
costs and ease of deployment, we assume wireless waves, and amplitude and phase changes of a transmission
communication as access lines and adopt an OFDM signal are given. In addition, in noise reproducing, AWGN
(Orthogonal Frequency Division Multiplexing) method as a (Additive White Gaussian Noise) with a specified SNR (Signal
digital modulation method. to Noise Ratio) is added. SNR can be set freely.
Fig. 2 shows a figure of an OFDM transmitter constitution. 3) Construction of Receiver
In this figure, bit data are converted into complex signals by A receiver restores an original signal with the reverse
symbol mapping. Each of these complex signals is called a processing of the transmitter. At first, after parallel symbols are
symbol. Symbols are arranged parallel by series to parallel separated by a FFT (Fast Fourier Transform) block, channel
conversion and are transmitted at once. In this way, estimation is done using a series of preamble inserted in the
information transmitted at once is increased. Each parallel signal head. Based on a result of the channel estimation, phase
symbol is multiplied by different subcarriers so that each
296
Fig. 3. Constructed Communication Blocks on Simulink
compensation is done. By doing this, phase that changed addition, a standardized power spectrum of noise with
through a channel is restored. Next, original binary numbers SNR=30dB is shown in Fig. 5. We can confirm that desired
are restored by QPSK demapping. Afterwards, decode noise power (-30dB) is obtained for all frequencies.
processing is carried out. In this processing, deinterleaving, Furthermore, a standardized power spectrum of a signal after
error correcting by the Viterbi decoding, error detecting by passing the channel block is shown in Fig. 6. We can observe
CRC decoding are carried out. that form of the spectrum collapses and we can confirm that
deterioration of a signal is given.
4) Reproduction of Delay
Normally, delay should be given to a transmitted signal on Next, an effect of delay is confirmed. Data wave form
reproducing signal delay. However, for efficiency of the before transmission is shown in Fig. 7. Data wave form after
simulation, we reproduced influence of delay by transforming passing delay block is shown in Fig. 8. In addition, delay time
data wave form which restored by the receiver. It is premised of packets arriving at a buffer is shown in Fig. 9. The red line is
that measurement data at once are sent by one packet. Quantity waiting time of the buffer. From figures 8 and 9, it is confirmed
of delay is calculated by adding fixation delay and fluctuation that packets with delay longer than the waiting time of the
delay which occurs in routing. A mean value of the fluctuation buffer are ignored, and deficiency is made up.
delay is calculated based on network availability, using a
queuing theory [10]. In addition, its variation obeys the Erlang
distribution [11]. The delay block is constructed assuming the
communication that quick response is required. Packets are
stored for a certain period of time in a storage device called a
buffer, and fluctuation of delay is absorbed. However, packets
that have not arrived within the waiting time of the buffer are
ignored, and compensation of missing data is carried out.
B. Simulation Results
Simulation results of the constructed communication blocks
are explained below. A standardized power spectrum of a
transmitted signal is shown in Fig. 4. For easy looking, Fig. 4 is
displayed with signal power being multiplied by the number of
subcarriers. We can grasp that the total signal power is 0dB. In Fig. 4. Power Spectrum of Transmitted Signal
297
Fig. 9. Delay Time of Packets Arriving at Buffer
Fig. 5. Power Spectrum of Noise
Moreover, an effect of phase compensation is confirmed.

Fig. 10 shows a constellation of a signal before phase
compensation. It can be observed that amplitude and phase of
each symbol are fluctuated scatteredly. On the other hand, Fig.
11 shows a constellation of a signal after phase compensation.
On a complex plane, it can be observed that symbols are placed
in any one of four phase states. This makes QPSK
demodulation easy.
Fig. 6. Power Spectrum of Signal after Passing Channel
Fig. 10. Constellation of Signal Fig. 11. Constellation of Signal

before Phase Compensation after Phase Compensation
Finally, effects of phase compensation, interleaving, and

error correcting are confirmed. Table I shows error rates
comparison of three cases. The error rate greatly decreases by
phase compensation, and after processing of interleaving and
error correcting, errors disappear.
Fig. 7. Transmitted Data Wave Form TABLE I. ERROR RATES COMPARISON OF THREE CASES
Number of Number of Error
Received Signals Errors Rate
With Nothing
1000 477 0.477
With Phase
Compensation Only 1000 6 0.006
With Interleaving,
Phase Compensation, 1000 0 0
and Error Correcting
IV. INTRODUCTION OF COMMUNICATION BLOCK TO POWER

SYSTEM MODEL
Fig. 8. Data Wave Form after Passing Delay Block Introduction of the communication block to the power
system model is tried as shown in Fig. 12. The 6 circular
blocks colored as red are synchronous generators. They output
the specified active power P and voltage V, and each generator
298
Fig. 12. Communication Introduced IEEE 30 Bus Test System
block is connected to the power system through a purple voltage V. Values of reactive power Q are not set, because they
transformer block. The 20 blocks colored as gray are loads. change flexibly in order to regulate the terminal voltages V of
They consume the specified active power P and reactive power generators. A generator connected to the bus 1 is the slack
Q. The light blue blocks are measuring blocks that have generator and plays a role as a wrinkle removing in a power
communication facility. Each of them is attached to each flow setting. Therefore its output does not agree with the
generator or load block. The real-time data on the time values setting value of active power P. However, it is confirmed that
at which measurements are sampled, voltage, active and the other generators work according to the setting values. Table
reactive power of each generator or load are transmitted to a III is about loads. Loads consume constant active and reactive
data center. Data on rotor speed of generators are also power P and Q. It is confirmed that load blocks work according
measured and transmitted. The square blocks colored as orange to the setting values of active and reactive power P and Q.
are load flow bus blocks. They define the name of buses, and Values of voltages V are set to 135 kV, based on the sending
are useful in setting a power flow of the model before starting out voltages of power plants. Voltages of the simulation results
the simulation. In addition, PV (photovoltaic) power plant are lower than the setting values. Considering voltage drops in
blocks and wind generator blocks can be connected to this power lines, these are natural results. In addition, the
model. communication blocks also worked without any problem. The
simulation speed is not so slow because it took around 30
The simulation results are shown in Tables II and III. These seconds to simulate for 20 seconds. From the above, we
are comparisons between the setting values of each generator conclude that the power system model and the communication
or load, based on the IEEE 30 bus model, and the simulation model work together, properly, and smoothly, and that the
results gathered at the data center. Table II is about generators. integration of the communication blocks into the large-scale
Generators work based on setting values of active power P and power system model is succeeded.
299
TABLE II. COMPARISON OF SETTING VALUES AND SIMULATION Bus Test System. Then a model that transmits measurement
RESULTS OF EACH GENERATOR
data on generators and loads to a data center was constructed.
Setting Values Simulation Results Influence of noise and delay is also reproduced. As measures
Bus P Q V P Q V of noise, error correcting and phase compensation are given.
[MW] [Mvar] [kV] [MW] [Mvar] [kV] Finally, it was confirmed that the power system model and the
1 23.54 - 135.0 25.98 3.89 135.0 communication model work properly and smoothly.
2 60.97 - 135.0 60.90 27.73 134.6 Still there are some rooms for improvement of this study.
13 37.00 - 135.0 37.00 11.91 134.8 We are presently working on constructing a smart grid model
22 21.59 - 135.0 21.58 37.92 134.5 which has stronger cooperation between power system and
communication system, such as giving control orders to
23 19.20 - 135.0 19.23 8.90 134.9 generators based on information gathered at the data center.
27 26.91 - 135.0 26.93 11.10 134.9 Also, synchronization of data will be important in real-time
communication. The measurement data include the time values
at which measurements are sampled. These are called time
stamps. Time stamps will play a critical role in data
TABLE III. COMPARISON OF SETTING VALUES AND synchronization. In addition, it is considered connecting PV,
SIMULATION RESULTS OF EACH LOAD wind generator, and battery blocks to the smart grid model. It is
Setting Values Simulation Results expected that the introduction limit of renewable energy will
increase by using flexible control of charge and discharge of
batteries.
Bus P Q V P Q V
[MW] [Mvar] [kV] [MW] [Mvar] [kV] Lastly, it is interesting to simulate what influence is brought
to the power system when communication problems occur in
2 21.7 12.7 135.0 21.7 12.7 134.6 smart grid. For example, investigation on influence when big
noise is added in the channel and packet loss is happened, or
3 2.4 1.2 135.0 2.4 1.2 132.5 when long delay is produced, or even cyber-attack are very
4 7.6 1.6 135.0 7.6 1.6 132.0 interesting issues that need to be taken into account.
7 22.8 10.9 135.0 22.8 10.9 130.2
8 30.0 30.0 135.0 30.0 30.0 129.4 REFERENCES
10 5.8 2.0 135.0 5.8 2.0 132.4
[1] A. Yokoyama, et al., Constitution technique and standardization of
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14 6.2 1.6 135.0 6.2 1.6 131.6 [2] T. Goda, S. Morozumi, Smart grid textbook, Impress Japan, 2011.
[3] Murat Kuzlu, Manisa Pipattanasomporn, Saifur Rahman,
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pp.74-88, July 2014.
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19 9.5 3.4 135.0 9.5 3.4 130.0 [5] Y. Hayashi, Geographical information system used for design and
20 2.2 0.7 135.0 2.2 0.7 130.5 evaluation of grid inter-connected off-shore wind power, Master's
thesis of Tokyo University of Agriculture and Technology, 2013.
21 17.5 11.2 135.0 17.5 11.2 133.6 [6] Y. Ueno, Renewable energy generation penetration limits in
23 3.2 1.6 135.0 3.2 1.6 134.9 distribution systems, Master's thesis of Tokyo University of Agriculture
and Technology, 2014.
24 8.7 6.7 135.0 8.7 6.7 133.1 [7] PSERC, MATPOWER Web site,
26 3.5 2.3 135.0 3.5 2.3 131.0 http://www.pserc.cornell.edu/matpower/, (Last access: May.13, 2015).
[8] MathWorks, Introducing the Phasor Simulation Method,
29 2.4 0.9 135.0 2.4 0.9 132.1 http://jp.mathworks.com/help/physmod/sps/powersys/ug/introducing-
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V. CONCLUSIONS AND FUTURE WORKS Visual SLAM, Kyoritsu syuppan, 2003.
In this study, a model for smart grid simulation was tried to [11] Y. Yoshioka, Queue and probability distribution, Morikita syuppan,
2004.
construct on the MATLAB/Simulink by incorporating
communication blocks in the large-scale power system model
which predecessors have constructed based on the IEEE 30
300
Modeling a lithium-ion battery based on a threshold

model
Zhi Zhang*1,2,3
1. Postdoctoral Programme of China Industrial Security Research Center,
Beijing Jiaotong University,
Beijing, China
2. National Active Distribution Network Technology Research Center,
Beijing Jiaotong University,
Beijing, China
3. Collaborative Innovation Center of Electric Vehicles in Beijing,
Beijing, China
zhangzhi_bjtu@163.com
+86(010)51683920
*Corresponding author
AbstractModeling a lithium-ion (Li-ion) battery is the core issue In general, existing modeling approaches can be classified
for electric vehicles applications. The valid battery model and into model based and data-driven based approaches. In model
accurate model's parameters can improve accuracy of the state of based approaches, electrochemical, mathematical, and
charge (SOC) estimation and thus promote the electrical models are most commonly used. In term of the
commercialization of electric vehicles. Considering an electrical electricity generation mechanism, electrochemical battery
battery model with two resistance-capacitance (RC) parallel models can well characterize the chemical reaction with
networks, the series resistance and the open-circuit voltage macroscopic and microscopic information [1]. However, they
(OCV)-SOC function, the accurate estimate of battery need complex numerical algorithms to solve coupled time-
parameters through a threshold model, namely threshold
variant spatial partial differential equations. Compared with
autoregressive and moving average with exogenous inputs
(TARMAX) model is proposed, in this paper, which only needs
electrochemical models, mathematical models are simpler by
online terminal voltage and current data. The approach is built means of empirical equations or mathematical methods like
by dividing voltage data into several regimes according to the stochastic approaches. However, mathematical models are
thresholds. For each regime, a linear ARMA model is established independent of physical parameters. Thus, it is difficult to offer
which can be represented by the state-space equation for the I-V information that is important to circuit simulation and
linear battery model. Thus, the battery's parameters can be optimization [2]. Unlike mathematical models, electrical
identified. To facilitate obtaining the time-variant model models can characterize the external characteristics of batteries
parameters, the terminal voltage and current data are collected with active and passive circuit elements [3]. In addition, they
by the sliding window. Finally, the effectiveness of the proposed are simpler and more intuitive than electrochemical models. As
modeling approach is verified by the simulation. summarized in [2], they can be classified into Thevenin-based
models, impedance-based models, and runtime-based models.
Keywords-battery modeling; threshold model; TARMAX model Broadly speaking, electrical battery models are popular for
battery parameters and SOC estimation. On the other hand,
I. INTRODUCTION data-driven approaches have attracted researchers' attention in
As the core issue for electric vehicles applications, the last few years, since they need few a priori knowledge,
modeling a Li-ion battery has been the focus of attention. The such as the off-line estimated OCV, are suitable for online
appropriate battery model can help the battery management application, and have computational intelligence characteristics
system more accurately track the SOC, assess the state of and so on [4].
health (SOH), optimize the battery performance, monitor the
abnormal operation, and diagnose the fault and so on. However, In practice, the modeling approaches based on processing
the battery dynamic behavior has time-variant nonlinearities the data measured from the system during the online operation
probably caused by the OCV-SOC relationship, temperature, to estimate model's parameters have a high potential to monitor
internal resistance, capacity, relaxation effects, polarization the battery system in real-time and thus promote the
characteristic, charge and discharge rate of the battery, and commercialization of electric vehicles. The accuracy of
aging effects, which may increase the difficulty of estimating capturing battery's nonlinearities and dynamics have been
battery models' parameters. Thus, the researchers have been improved in [5] through the pre-processed piecewise linear
committed to develop the valid approaches of modeling battery OCV-SOC segments and the moving window least squares
which can capture the battery dynamic behavior for various technique. Considering a dynamic capacitor and a RC network,
purposes in recent years. all intrinsic parameters of the battery can be estimated in [3] by
processing the sampled terminal voltage and current
information using a modified particle swarm optimization
978-1-4673-7995-3/15/$31.00 2015
c IEEE 301
algorithm. To overcome the estimation error against battery represented by Cc, and the self-discharge energy loss when
degradation and varied operating environments, a data-driven batteries are stored for a long time is characterized by Rsd.
based approach is established in [6], wherein a simple
electrochemical equation was used to describe the OCV against From Figure I, we have
different aging levels and SOC. Modeling the polarization x
1 1
characteristic in the battery have been given significant SOC SOC I (1)
attention in [7]. Rsd Cc Cc
Based on the above considerations, the work presented in x
1 1
this paper aims to achieve estimating the battery model's V p1 V p1 I (2)
parameters via processing the data measured from the system R p1C p1 C p1
during the online operation. An algorithm that can perform
online parameter estimation of an electrical battery model will x
1 1
be proposed. The battery model is characterized by two RC Vp 2 Vp 2 I (3)
parallel networks, the series resistance and the OCV-SOC R p 2C p 2 Cp2
function. By the aid of the TARMAX model, the nonlinearities
and dynamic characteristics of a battery can be divided into V Voc V p1 V p 2 R0 I (4)
piecewise-linear dynamic sub-models involving the battery
parameters only using terminal voltage and current data. Assume that Voc=f(SOC), where fg) stands for the nonlinear
According to the thresholds, voltage data are divided into relationship between SOC and Voc. From equation (1)-(4), we
several regimes. For each regime, a linear ARMA model is can define a state vector X=[SOC Vp1 Vp2]T, and denote the
established, which can also be represented by the state-space battery terminal current and voltage as the system input and
equation. Thus, the battery models parameters can be output, respectively, thus the state and output equations are
identified. To facilitate obtaining the time-variant model given by
parameters, the terminal voltage and current data are collected x
by the sliding window. The contribution of the proposed X AX BI
algorithm is that an online data-driven approach without off- (5)
line estimated OCV is established, and the model's parameters V CX DI ,
can be updated as they changed.
where
The remainder of this paper is organized as follows. The
problem formulation on online modeling for a Li-ion battery is 1
presented in Section II, wherein the TARMAX model and the 0 0
Rsd Cc
sliding window approach are described as the preliminaries. In A 1
Section III, the TARMAX modeling procedure is described.
0
R p 1C p 1
0 ,
Section IV presents the simulation results. Finally, conclusion 0 0
1
R p 2C p 2
remarks are given in Sec V.
T
II. PROBLEM FORMULATION AND PRELIMINARIES B 1 1 1 ,C f ( SOC ) , D R0 .
Cc C p1 Cp 2 SOC 1 1

A. Problem Formulation
As shown in Figure I [8], the electrical battery model is Based on the above descriptions, the problems considered
considered in this paper. The nonlinear relationship between are formulated as follows,
the battery's SOC and the OCV is represented by a controlled Problem 1: Develop a valid algorithm of modeling a Li-ion
voltage source, Voc. The transient response for a step load battery with less a priori knowledge.
current change is characterized by the RC network consisted of
the series resistor, R0, and two RC parallel networks composed Remark 1: Without loss of generality, if Voc=f(SOC) is
of Rp1, Cp1, Rp2, and Cp2. The voltage across the Cp1 and Cp2 are reduced into the linear function, let Voc=f(SOC)=SOC, thus
denoted by Vp1 and Vp2, respectively. R0 is responsible for the the equation (5) can be denoted by
instantaneous voltage variation due to the load current I. Rp1, x
Cp1, Rp2, and Cp2 are responsible for short- and long-time X AX BI
constants of the step response. The whole charge capacitor is (6)
V C cX DI ,
where C'=[ 1 1 ]. Cc can be given by Cc=360hCapacity,
neglecting the temperature and cycle dependence, where
Capacity is the nominal capacity in Ah. Thus, the parameters of
the battery model that need to be estimated are {R0, Rsd, Rp1, Rp2,
Cp1, Cp2, }. From the linear system theory, we have the
transfer function form of the system (6) as follows,
FIGURE I. ELECTRICAL BATTERY MODEL OF THE LI-ION BATTERY
302
V ( s) m3s 3 m2 s 2 m1s m0 Remark 2: For example, as shown in Figure II, nonlinear
, (7) time series are partitioned by the TARMAX model [9]. In each
I ( s) s 3 n2 s 2 n1s n0 regime, a linear ARMA process captures the dynamic behavior
where of the time series. TARMAX model is included in the threshold
nonlinear autoregressive moving average with exogenous
R0 O 1 1 inputs (NARMAX) model, which is one of the members of the
m0 ,
Rp1Rp2RsdCp1Cp2Cc Rp1Rp2Cp1Cp2Cc Rp2RsdCp1Cp2Cc Rp1RsdCp1Cp2Cc nonlinear time series models [10]. This kind of models are able
to characterize some nonlinear phenomena, such as jump
R0 R0 R0 O resonance, amplitude-frequency dependency, limit cycles,
m1
R p1Rsd C p1Cc R p 2 Rsd C p 2Cc R p1R p 2C p1C p 2 R p1C p1Cc subharmonics, higher harmonics and so on [11].
O 1 1 1 1
,
R p 2 C p 2 Cc R p 2C p1C p 2 Rsd C p1Cc R p1C p1C p 2 Rsd C p 2Cc
R0 R0 R0 O 1 1
m2 , m3 R0 ,
Rsd Cc R p1C p1 R p 2C p 2 Cc C p1 C p 2
1
n0 ,
R p1R p 2 Rsd C p1C p 2Cc
1 1 1
n1 ,
R p1Rsd C p1Cc R p 2 Rsd C p 2Cc R p1R p 2C p1C p 2 FIGURE II. PARTITION FOR NONLINEAR TIME SERIES
1 1 1
n2 , 2) Sliding window
Rsd Cc R p1C p1 R p 2C p 2
and we can transform equation (7) into the discrete form, and Even though there exists a clearly understood that the
then the coefficients of the transfer function can be identified OCV-SOC nonlinear relationship is stable over temperature
by the measured terminal voltage and current data. Thus, the changes and aging, the dynamic behavior of the battery has to
be accounted for the changes of the model parameters. Thus,
estimated model parameters, R0, Rsd, Rp1, Rp2, Cp1, Cp2, can
the dynamics, such as temperature effect, aging effect, and
be obtained. polarization characteristic and so on, are embedded in the
B. Preliminaries model with the online identification of the model parameters
1) TARMAX model and those effects on the battery performance. That is to say the
proposed algorithm in this paper needs to not only online
Consider the k-regime TARMAX model which is denoted identify the nonlinearities, but also capture the time-varying
by TARMAX-k. It has the following form, characteristics. The sliding window approach can be considered
as the aid for TARMAX to achieve the online identification of
p1 q1
the battery model's parameters [12].
0,1 j ,1 t j Tl ,1 I t l 1 et ,1 ,
I I V
j 1 l 1 For more practical, the basic idea of the sliding window
if Vt d d r1 ; approach can be modified and briefly summarized as:
p2 q2 Step 1. At a certain time instant define a window of length.
I I V T I
0,2 j 1
j ,2 t j l 1
l ,2 t l 1 et ,2 , (8) Step 2. The identification method is applied to the sampled data
Vt and estimates the model parameters.
if r1 Vt d d r2 ;
# Step 3. Update the window and identify new model parameters.
pk q Step 4. Go back and repeat all the operations in (iii).
I I V k T I
0, k j 1
j , k t j l 1
l ,k t l 1 et ,k ,
It should be noted that the length of window can be adjusted in
the dependent of properly reveal the system dynamics.
if rk 1 Vt d ,
where Vt is measured output, It is measured input. pi,i andqi,i III. TARMAX MODELING OF THE LI-ION BATTERY
are models parameters, pi and qi, for i=1, 2, , k, are the model Based on the above considerations, the TARMAX model
orders in the i-th regime of the model and k is the number of with sliding windows can decompose the time-varying
regimes in the model. ri, for i=1, 2, , k, is the threshold value, nonlinearities into linear invariant systems in the partitioned
satisfying -=r0<r1<rk=+. et,i, for i=1, 2, , k, is the regimes of each time window, and then the battery model
prediction error in the i-th regime. As the threshold variable, d parameters can be identified. On TARMAX modeling, there is
is the lag value of Vt, the switching between the linear an iterative and heuristic optimization strategy for determining
submodels depends on the position of the d. According to the ri k, d and ri, for i=1, 2, , k-1 and estimatingpi,i andqi,i, for
and Vt-d, the data are assigned to the different regimes. i=1, 2, , k. Similar to [9,11], the modeling algorithm
procedure is summarized as follows:
303
Step 1. Give the initial value of k, d and ri, for i=1, 2, , k-1. Step 8. Repeat step 2 to step 7 to search the optimal k
Determine the maximum P of pi and the maximum Q of qi, for corresponding to the minimum AIC from k=k+1 to k=K. The
i=1, 2, , k, the maximum D of d, and the maximum K of k. object function is
The length of data is N.
AIC (k; d ; r1 , r2 , }, rk 1 ) min{ AIC (k ; d ; r1 , r2 ,}, rk 1 )}.
Step 2. Set an initial autoregressive order n0=max{P, Q, D}. 2d k d K
Step 3. According to the ri, for i=1, 2, , k-1, Vt-d, for t=d+1, Step 9. Update the window and repeat step 1 to step 8, and then
d+2, , N, are rearrange into each regime, the corresponding It update the estimated model parameters.
can also be collected, where Vt,i, for i=1, 2, , k, is the t-th
IV. SIMULATION RESULTS
measured output in the i-th regime. It,i, for i=1, 2, , k, is the
corresponding measured input. Ni, for i=1, 2, , k, is the length To verify the effectiveness of the proposed algorithm to
of data in the i-th regime for establishing the ARMA model, follow the changes in the battery parameters, a simulation is
and k N i N n0 . designed according to the actual behavior of the battery. The
i 1
Vt and It are provided by a battery model as described by the
f {V1,1 ,V2,1 , },VN1 ,1} d r1 , {I1,1 , I 2,1 , }, I N1 ,1}, equation (6), in which the OCV-SOC function is denoted by a
piecewise linear function as shown in Figure III. While the
r1 {V1,2 ,V2,2 , },VN 2 ,2 } d r2 , {I1,2 , I 2,2 ,}, I N 2 ,2 }, battery parameters, such as R0, Rsd, Rp1, Rp2, Cp1, Cp2, changes,
" " they can be identified by the proposed approach.
The 1.5A current pulses with a pulse width of 250 s
rk 1 {V1,k ,V2,k , },VN k ,k } d f, {I1,k , I 2,k ,}, I N k ,k }, followed by the same amount of resting time to the battery
Step 4. Use the least-square method to estimate model model is used in the simulation. Figure IV shows the simulated
parameter, pi,i andqi,i, from the 1-st to k-th regime. In each terminal voltage of the battery with the corresponding terminal
regime, Akaike's information criterion (AIC) is used to current. As shown in Figure V, the identified results are able to
determine the order of ARMA model which takes as the follow the changes in the parameters accurately.
following form [13],
A IC N i ln V i2 2 ( p i q i 1) ,
for i=1, 2, , k, wherei2 is the variance of residuals from the

fitted model in each regime. Thus the AIC of valid ARMA
models in each regime is,
AIC ( pi , qi ) min { N i lnV i2 2( pi qi 1)},
1d pi d P ,1d qi d Q
for i=1, 2, , k. The model order pi and qi, for i=1, 2, , k, is

increased until the AIC value shows no appreciable change.
Step 5. TARMAX models are composed of the valid ARMA
model in each regime as (8) described. The AIC value of this
TARMAX models is the sum of the AIC value in each regime
FIGURE III. PIECEWISE LINEAR FUNCTION OF THE OCV-SOC
[11],
k
AIC ( k ; d ; r1 , r2 , }, rk 1 ) AIC ( p , q ).
i 1
i i
Step 6. Fixing d and k, using steepest descent method, optimize

ri under the following object function,
AIC ( k ; d ; r1 , r2 , }, rk 1 ) min { AIC ( k ; d ; r1 , r2 , }, rk 1 )},
ri ,i 1,2,},k 1
for i=1, 2, , k-1,. Repeat step 3 to step 5 to obtain the

minimum AIC and the corresponding optimal r1 , r2 , }, rk 1 .
Step 7. Fixing k, repeat step 2 to step 6 to search the optimal d

corresponding to the minimum AIC from d=d+1 to d=D. The
objective function is
AIC ( k ; d ; r1 , r2 , }, rk 1 ) min{ AIC (k ; d ; r1 , r2 ,}, rk 1},
1d d d D
where AIC is the normalized AIC, and AIC AIC / i 1 N i .

k
FIGURE IV. CURRENT AND VOLTAGE OF THE BATTERY MODEL
WITH CHANGING PARAMETERS
304
V. CONCLUSIONS
In order to characterize the dynamic behavior of Li-ion
batteries, this paper has proposed an identification approach
based on the TARMAX model. For applications, the sampled
voltage and current data based on the sliding window technique
are used to capture the time-varying parameters of model.
Finally, the performance of the proposed algorithm is verified
by the simulation data. In the future work, the proposed
approach can be used to test the battery model for changes in
the parameters with regard to the C-rate effect by the
experiments, and the differences between online and off-line
operation. The relationship between the precision of division
and the parameters identification will also been investigated.
FIGURE V. PARAMETER IDENTIFICATION RESULTS FOR THE

BATTERY MODEL
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305
Modelling the Relationship Between Constituents

and Anti-RSV Effect of Baikal Skullcap Root
Ke Li, Bonian Zhao, Yan Gao, Hongpeng Zhao
Shandong Provincial Key Laboratory Bianli Wang, and ZongyuanYu Qianfo Mountain Hospital of Shandong
of Automotive Electronic Technology, Taishan Scholar-Distinguished Experts Province,
Institute of Automation, Position, No. 16766, Jingshi Road,
Shandong Academy of Sciences, Key Disciplines on Analysis of Jinan, Shandong, China
Jinan, China Traditional Chinese Medicine,
wodesnemail@sina.cn. Shandong Key Laboratory of Chinese
Medicine Quality Standard Research,
Shandong Academy of Chinese Medicine,
Jinan, China.
AbstractIn this work, based on least squares support vector (or concentration) divided by the therapeutic dose (or
machine regression, a model that characterizes the relationship concentration). In this article, the therapeutic index of anti-
between constituents of Baikal skullcap root and therapeutic RSV is defined as
index of anti-respiratory syncytial virus was established. The TC
computational simulation showed that this model fits well with TI 50
,
the experimental data, and validation experimental results also EC 50
supported the theoretical predictions. where EC50 is 50% effective concentration and TC 50 is 50%
toxic concentration.
Keywordsanti-respiratory syncytial virus; Baikal skullcap root; In [2], based on grey relational analysis method, relational
least squares support vector machines polarity analysis for the anti-RSV effect of BSR was studied
and constituents with reinforcement effect on the therapeutic
I. INTRODUCTION index of anti-RSV were found and ranked. Our work in this
7he quality of Traditional Chinese Herbal Medicine (TCHM) paper is the continuation of [2]. Using least squares support
vector machine (LS-SVM) regression, we constructed a
is bound to have a direct bearing on that of Chinese traditional
prediction model that characterizes the relationship between
patent medicines. Therefore, it is necessary to build the
chromatographic fingerprint data of constituents of BSR and
relationship between constituents and pharmacological effect of
therapeutic index of anti-RSV effect. This model fits well with
TCHM so as to increase the level of the quality control.
the experimental data and can give good predictions of
However, because of the complexity of TCHM, how to
therapeutic index.
characterize this relationship scientifically and effectively is
still one of the cruxes for the modernization and This paper was organized as follows. In Section II we
internationalization of Traditional Chinese Medicine and presented the experimental results. In Section III, LS-SVM
Pharmacology (TCMP). regression was briefly introduced. In Section IV, the
application of LS-SVM regression to the fingerprint-efficacy
Baikal skullcap root (BSR) is an example of typical TCHM,
relationship study of BSR was demonstrated. Finally,
which has been used widely to treat respiratory infections, hay
conclusions were drawn in Section V.
fever, fever, etc. The aim of this work is to study the
relationship between constituents and pharmacological effect of
BSR. The pharmacological effect of BSR is reflected by the II. EXPERIMENTS AND DATA
therapeutic index of anti-respiratory syncytial virus (anti-RSV) According to the steps described in [2], 100 sample test
effect. Respiratory syncytial virus (RSV) is a virus that causes solutions of BSR were prepared, and the following
infections of the lungs and respiratory tract. It is a major cause chromatographic fingerprint data and therapeutic indices of
of lower respiratory tract infections and hospital visits during anti-RSV were determined, respectively (Due to the length
infancy and childhood. In the United States, 60% of infants are limits, here are presented only 4 groups of data.).
infected during their first RSV season, and nearly all children
will be infected with the virus by 23 years of age [1]. (1) {0.332938049, 0.070096168, 3.382227115, 0.0071721,
Therapeutic index (also known as therapeutic ratio) is a 0.042797419, 0.185680687, 0.592003261, 0.067154777,
comparison of the amount of a therapeutic agent that causes 0.02321525, 0.019371999; 8};
the therapeutic effect to the amount that causes death (in (2) {0.312035605, 0.221590382, 8.425183197, 0.705010309,
animal studies) or toxicity (in human studies). Quantitatively, 0.262233299, 0.559946618, 2.618293885, 1.178179046,
therapeutic index is the ratio given by the lethal or toxic dose 0.30327496, 0.061413131; 4.59};
978-1-4673-7995-3/15/$31.00 2015
c IEEE 306
where 1N (1, 1, , 1)T , D (D1, D2 , , DN )T , y ( y1 , y2 , , y N )T ,
(99) {0.297926129, 0.190826675, 5.096658409, 0.47013469, NuN
0.129276529, 0.590248312, 1.4961373, 1.123633616, I N is an N u N identity matrix, and : R is the kernel
0.311003669, 0.077225484; 10.56}; matrix defined by :ij K ( xi , x j ) M ( xi )T M ( x j ) with a positive
(100) {0.301427881, 0.206881638, 7.876550538, 0.840930122, definite (Mercer) kernel K for i, j 1, 2, , N . The estimated
0.20381051, 0.869232974, 1.91304606, 1.337713082, function f () : Rd o R can be evaluated at a new
0.308524706, 0.109259925; 13} N
D K(x , x ) b .
*
point x by f ( x* ) * Optimization of the
In the above each group of data, the first 10 data are i i
i 1
chromatographic fingerprint data and the last one is therapeutic
optimal J with respect to the validation performance in the
index value of anti-RSV for sample test solution.
regression case can be written as
1 2
III. LS-SVM REGRESSION T 0 1TN
> @ 1
2
n
0
In this paper, LS-SVM regression was selected as min y vj fJ ( x vj ) yv v 1 1 ,
J : N : IN y
modelling technique. LS-SVM is a least squares version of j 1 J
2
support vector machines (SVMs). SVMs are a class of machine N un
( y , y , , y ) and : R with :ijv K ( xi , xvj ) for
v
learning algorithms based on statistical learning theory and where yv v
1
v
2
v T
n
structural risk minimization, and have been extensively used i 1, 2, , N , and j 1, 2, , n. Therefore, the determination
for solving nonlinear, high-dimensional regression problems of becomes a non-convex optimization problem [4]. One has
and pattern recognition. They map the input data into a high- several possibilities for the choices of the kernel function,
dimensional feature space, in which an optimal separating including linear, polynomial, radical basis function (RBF), and
hyperplane can be constructed. The attractive features of SVMs MLP, see e.g. [5]-[7].
include: good generalization performance, the existence of a
unique solution, and strong theoretical background supporting
their good empirical results, etc [3]. IV. RESULTS AND DISCUSSIONS
Let a training data set of N points {( xi , y i )}iN 1 with output We used the data of Samples S01S95 for training and LS-
SVMlab toolbox developed by the ESAT laboratory of the
data yi R at input data xi R d , be such that Katholieke Universiteit Leuven for modelling. To achieve a
yi f ( x i ) ei , i 1, 2 , , N , high level of performance with LS-SVM model, some
parameters have to be tuned, including the regularization
where f () : Rd o R is an unknown real-valued smooth function parameter and the kernel parameters corresponding to the
and e1, e2 ,, eN are uncorrelated random errors with kernel type [3]. Here, RBF kernel was selected, and the
E [ei ] 0 and Var [ei ] f , i 1, 2, , N . The n data points of related parameters were =338.53 and V 2 1.29 . The modelled
results and bias ratios of modelled values to experimental data
the validation set are denoted as {( x vj , y vj )}nj 1 . The model of a were listed as follows.
LS-SVM regressor is given as f ( x ) wT M ( x ) b in the primal Table 1. Comparisons of experimental data and modelled
space with M () : Rd o Rd h a feature map which maps the input values on training data set
space into a so-called higher dimensional (possibly infinite Sample Experimental Modelled Values Bias Ratios
dimensional) feature space [4]. The regularized least squares No. Data [%] [%] [%]
cost function is given as 8 8.041256138753749 0.515701734
S01
1 T J N
min J J ( w, e) w w ei2 S02 4.59 4.632844955527412 0.933441297
w , b , ei 2 2i1
such that S03 19.7 19.756210639009929 0.285333193
wT M ( xi ) b ei yi , i 1, 2, , N . 26 25.926958809268438 0.280927657
S04
One defines the Lagrangian
S05 14.93 14.960071335900963 0.201415512
J N
> @
N
1 T
LJ (w, b, ei ; Di ) w w ei2 Di wTM ( xi ) b ei yi 13 13.051944632832452 0.399574099
2 2i1 i 1
S06
with Lagrangian multipliers D i R, i 1, 2, , N . By taking S07 8.57 8.715314585520298 1.695619434
the conditions for optimality S08 19.7 19.714496236698579 0.073584958
w LJ w LJ w LJ w LJ
0 , i 1, 2 , , N , S09 78.79 78.628016537393989 0.20558886
ww wb w ei wD i
one gets S10 5.66 5.714539996175514 0.963604173
0 1TN S11 18.38 18.365969305869413 0.076336747
b 0
1 :
1 y , S12 2.46 1.301959427590710 47.07482002
N I N D
J
307
S13 32 31.891369059461837 0.339471689 S52 4 4.018257497422205 0.456437436
S14 16 15.988663849820544 0.070850939 S53 42.22 42.120809418748244 0.234937426
S15 6.06 6.125206134086481 1.076008813 S54 8 8.086511948442507 1.081399356
S16 42.22 41.772360794727533 1.060253921 S55 6.96 7.053839297288853 1.348265766
S17 13.93 13.992842660473871 0.451131805 S56 7.46 7.498964267187930 0.522309212
S18 26 26.333273877302446 1.281822605 S57 64 63.852240475654028 0.230874257
S19 22.63 22.597494453577898 0.14363918 S58 8 8.033466111350636 0.418326392
S20 19.7 19.674657477127855 0.128642248 S59 4.29 4.358757075241162 1.602729027
S21 6.06 6.238038074742887 2.937922025 S60 6.5 6.758502159541882 3.976956301
S22 9.85 9.902835803024400 0.536404092 S61 16 16.007996484869707 0.04997803
S23 22.63 22.397037169770140 1.029442467 S62 13 13.016804766491749 0.129267435
S24 10.56 11.165294244983691 5.731953077 S63 9.19 9.103372421067689 0.942628715
S25 18.38 19.433980889820045 5.734390043 S64 4 4.288492462073283 7.212311552
S26 12.13 12.156251382878986 0.216417006 S65 64 59.572629977850710 6.91776566
S27 12.13 12.518602856233258 3.203650917 S66 4 4.208437881578075 5.210947039
S28 9.85 10.265353272639501 4.216784494 S67 19.7 19.817825556853123 0.598099273
S29 39.4 38.610006581244150 2.005059438 S68 24.25 24.013374380280805 0.975775751
S30 12.23 12.252299215078382 0.182332094 S69 64 63.525220035934893 0.741843694
S31 3.73 3.790287057572730 1.616275002 S70 24.25 23.925879505210840 1.33657936
S32 6.5 6.548654569360716 0.748531836 S71 34.3 34.241713834241800 0.169930512
S33 14.93 15.028414768248458 0.659174603 S72 4.92 7.948675660783765 61.55844839
S34 11.3 11.392221633154186 0.816120647 S73 68.59 67.321287665580940 1.849704526
S35 8.57 8.625364446458455 0.646026213 S74 11.31 12.118122143424003 7.145200207
S36 3.25 3.431557582418769 5.586387151 S75 2.3 3.911218355383305 70.05297197
S37 3.25 3.789276973933404 16.59313766 S76 42.22 41.638914243925313 1.376328176
S38 34.3 34.049141746076423 0.731365172 S77 12.13 12.567604572728563 3.607622199
S39 13 13.033525534885198 0.25788873 S78 10.56 10.690598727048856 1.23673037
S40 42.22 42.181262962654657 0.091750444 S79 64 63.038682215553450 1.502059038
S41 10.56 10.620003659912051 0.568216476 S80 10.56 12.519041349335328 18.55152793
S42 68.59 68.400276713556948 0.276604879 S81 8 9.597140836190471 19.96426045
S43 12.13 12.141569300762205 0.095377583 S82 48.5 48.330938092761798 0.348581252
S44 45.25 45.095015223879287 0.342507793 S83 7.46 7.767952810725260 4.128053763
S45 11.31 11.290482024720031 0.172572726 S84 7.46 7.071871642468889 5.202792996
S46 22.63 22.557303874904711 0.321237848 S85 11.31 11.245582383111563 0.569563368
S47 9.85 9.928671107377440 0.798691445 S86 12.13 12.181534086494390 0.424848199
S48 13 13.033716992945877 0.259361484 S87 14.93 14.889382612027667 0.272052163
S49 17.15 17.117853355498173 0.187443991 S88 78.79 78.574075056784181 0.274051203
S50 36.76 36.581636036352450 0.485212088 S89 11.31 11.284589936067128 0.224669
S51 26 26.020527258935751 0.078950996 S90 21.11 21.706781607088686 2.827009034
308
S91 22.63 19.623313860435086 13.28628431 Table 3 indicates that the average bias ratio of modelled
values to validation experimental data is only 5%, and all bias
S92 16 15.988131559860619 0.074177751 ratios are less than 13%.
S93 13 12.967432211561775 0.25052145
V. CONCLUSIONS
S94 17.15 17.123956743372108 0.151855724
Bridging the relationship between chemical constituents and
S95 27.86 27.778162848814549 0.293744261 pharmacological effect is one of the critical problems of
Average Bias Ratio [%] 3.828582939 TCMP. In this article, the correlation between BSR chemical
constituents and therapeutic index of anti-RSV was established
As can be seen from Table 1, the average bias ratio of based on LS-SVM regression. The comparisons on training
modelled values to experimental data is only 3.83% and 81 data set indicated that LS-SVM model can give better results,
bias ratios (85%) are less than 5%. This shows that our model and validation results also supported this conclusion. It
fits well with the experimental data. indicated that LS-SVM is a useful modelling methodology for
the study of fingerprint-efficacy correlation. Furthermore,
from a practical point of view, we can develop a piece of
software based on this model and predict the anti-RSV effects
quickly from the chromatographic fingerprint data of BSR
chemical constituents.
ACKNOWLEDGMENT
This work was supported by The National Natural Science
Foundation of China (Grant No. 81274080), Science and
Technology Development Plan Key Project for Traditional
Chinese Medicine of Shandong Province (Grant No. 2011Z-
003-3), and Natural Science Foundation of Shandong Province
of China (Grant No. ZR2014HM031, ZR2012HM078,
&ZR2011FQ034).
Figure 1. Fitted curve of LS-SVM model with datapoints REFERENCES

(blue) and estimation (red line) [1] W. P. Glezen, L. H. Taber, A. L. Frank, and J. A. Kasel, Risk of Primary
In addition, the data of Samples S96-S100 were used as Infection and Reinfection with Respiratory Syncytial Virus. American
Journal of Diseases of Children, 140: 543546, 1986.
validation set. Validation results were shown in the following
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Table 2. Y. Yu: Relational polarity analysis for the anti-respiratory syncytial virus
Table 2. Comparisons of validation experimental data and effect of Baikal Skullcap Root, Proceedings of the 2014 International
Conference on Advanced Mechatronic Systems, Kumamoto, Japan,
modelled values August 10-12, 2014.
Sample Experimental Modelled Bias Ratios Average Bias [3] C. Lu, T. V. Gestel, J. A. K. Suykens, S.V. Huffel, I. Vergote, and D.
No. Data [%] Values [%] [%] Ratio [%] Timmerman: Preoperative Prediction of Malignancy of Ovarian Tumors
using Least Squares Support Vector Machines. Artificial Intelligence in
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S97 22.63 22.74882273 0.52506729 [4] K. Pelckmans, J. A. K. Suykens, B. D. Moor: Regularization Constants
in LS-SVMs: a Fast Estimate via Convex Optimization Proc. of the
S98 13.93 13.87538775 0.392047774 4.997588926 International Joint Conference on Neural Networks: 699-704, 2004.
[5] N. Cristianini and J. Shawe-Taylor: An Introduction to Support Vector
S99 10.56 10.56001149 0.000108847 Machines. Cambridge University Press, 2000.
S100 13 14.60604624 12.35420184 [6] B. Schoelkopf and A. Smola: Learning with Kernels. MIT Press, 2002.
[7] O. Chapelle, V. Vapnik, O. Bousquet, and S. Mukherjee: Choosing
multiple parameters for support vector machines, Machine Learning, 46:
131159, 2002.
309
Energy-saving Improvement and Simulation Study on

Digital Hydraulic System
Fei Song, Jingjun Lou, Likun Peng

College of Power Engineering
Naval University of Engineering
Wuhan, China
Email: songfei880806@126.com, jingjun_lou@hotmail.com, pelik@163.com
AbstractIn order to solve the inefficiency problem of the the supply flow and the supply pressure remain constant in the
constant pressure digital hydraulic system, this paper built the whole work process. The movement direction and the speed of
model of the system and found primary reasons leading to power the cylinder (7 in Fig.1) are determined by the direction and the
losses through model simulation. With the pressure flow of the pressure oil from the dual-motor digital valve (6 in
compensation technology and the variable frequency hydraulic Fig.1).
technology, a new load-sensing digital hydraulic system was
designed to instead of the original system and the energy-saving
controller of the new system was also designed. Through the
simulation comparison study of two systems, it was found that
the load-sensing system can effectively reduce the overflow loss
and the throttling loss and that the average efficiency of the new
system is 30% more than the original system.
Keywords-digital hydraulic; pressure compensation; variable

frequency; load-sensing; energy-saving
I. INTRODUCTION
Hydraulic actuators have many special advantages such as
steady transmission, large carrying capacity, high power
density and easy layout, so they have been widely used in the
automotive industry, the construction machinery and other
fields. For its constant pressure oil supply mode, the overflow
loss and the throttling loss of the traditional hydraulic system
are so large that the system efficiency is low and that the
heating problem is serious. The inefficiency of the system not
only wastes lots of energy, but also has a bad effect on the
normal operation of the system. The load-sensing hydraulic
system could adjust the supply pressure and the supply flow
automatically according to the load and the operating speed in
order to reduce the overflow loss and the throttling loss as
much as possible. By this way, the system efficiency can be
greatly improved. With the development of new technologies,
the energy-saving performance of the load-sensing hydraulic
system improves continually. With the pressure compensation
technology and the variable frequency hydraulic technology,
the paper designed a new load-sensing digital hydraulic system 1. metering pump 2.AC motor 3.filter 4.check valve 5. relief valve
which can improve the system efficiency effectively to instead 6. dual-motor digital valve 7. asymmetric cylinder 8. displacement sensor
of the original constant pressure digital hydraulic system [1-3].
Fig. 1. The schematic diagram of the constant pressure digital hydraulic
system
II. CONSTANT PRESSURE DIGITAL HYDRAULIC SYSTEM
The schematic diagram of the constant pressure digital The working principle of the system is described as follows:
hydraulic system is shown in Fig.1. The AC motor (2 in Fig.1) the forward input pulses drive the drive stepper motor
drives the metering pump (1 in Fig.1) to supply oil for the connected to the spool by a sliding sleeve to rotate, and then
system. Because the speed of the motor keeps constant and the the sleeve can make the spool move along its axis when
supply pressure is determined by the relief valve (5 in Fig.1), rotating with the shaft of the stepper motor synchronously. As
978-1-4673-7995-3/15/$31.00 2015
c IEEE 310
the screw/nut pair at the left end of the spool turns the rotating In order to study power losses of the constant pressure
motion of the spool into the linear motion to the left, the valve digital hydraulic system, the paper built the AMESim model of
port opens. When P port is connected to A port and Q port is the system which is shown in Fig.2. The detailed modeling
connected to B port, the pressure oil comes into the rod process and the model validation can be found in Reference [4].
chamber of the cylinder through A port and the oil of the The dual-motor digital valve submodel of the model was
rodless chamber backs to the tank through B port. As the rod appropriately simplified. The main parameters of the system
extends from the cylinder with the pressure oil inflowing, the are shown in Tab.1. For the constant pressure oil supply mode,
rod will drive the displacement sensor (draw wire encoder or the supply pressure must meet the maximum load pressure and
grating ruler) fixed on the cylinder to generate feedback pulses the supply flow must meet the maximum operating speed.
which can drive the feedback stepper motor to rotate. Because Under the low-load or low-speed condition, there are lots of
the shaft of the feedback stepper motor is rigidly connected to overflow loss and throttling loss in the system which would
the nut, the nut will rotate with the motor synchronously. As reduce the system efficiency greatly.
the screw/nut pair turns the rotating motion of the nut into the
linear motion of the spool to the right, the valve port gradually TABLE I. THE MAIN PARAMETERS OF THE SYSTEM
turns down until off to achieve a negative position and speed Component Parameter Value
feedback of the cylinder. When the forward pulses are inputted
continuously, the drive stepper motor rotates forward and the piston diameter (mm) 180
Cylinder
rod extends continuously. On the contrary, the drive stepper rod diameter (mm) 80
motor rotates backward if the backward pulses were inputted.
At the same time, the valve port opens reversely and the rod pitch (mm/r) 1.5
retracts. feedback subdivision number 2000
Feedback
The movement direction of the cylinder is controlled by the mechanism driving subdivision number 2000
rotation direction of the driving stepper motor of the digital
sensor resolution(mm) 0.032
valve. The speed and displacement of the cylinder have a
proportional relationship with the rotation speed and the shaft speed (r/min) 1500
angular of the driving stepper motor. The speed and angle of Hydraulic
pump displacement (cc/r) 100
the motor are determined by the frequency and the number of Station
the control pulses, so the microcontroller only needs a few of pressure setting (MPa) 10
parameters to control the system.
spool diameter (mm) 16
Valve
III. POWER LOSS ANALYSIS maximum opening (mm) f2
The system efficiency can be described as

= =

where represents the load pressure, the load flow, the
supply pressure, the supply flow, the effective power,
and is the total power.
Because the cylinder is asymmetric, the load pressure
and the load flow should be defined as
, > 0
= 1
2 , < 0
, > 0
= 1
2 , < 0
where 1 represents the flow of the rodless chamber, 2 the
flow of the rod chamber, 1 the pressure of the rodless chamber,
2 the pressure of the rod chamber, and is the valve opening.
The displacement and the speed of the cylinder are
determined by the input pluses. The relationships between
them can be described as
Fig. 2. The AMESim model of the constant pressure digital hydraulic

=
system
311
increases with the increase of the positive load whose direction

= = = is opposite to the motion direction of the cylinder, but the
working chamber pressure decreases with the increase of the
where and represent the number and the frequency of input negative load whose direction is consistent with the motion
pulses respectively, the subdivision number of the driving direction of the cylinder. When the rodless chamber is the
working chamber, the minimum working pressure is 3.4MPa
motor, the subdivision number of the feedback motor, the
and the maximum working pressure is 7.6MPa. When the rod
resolution of the displacement sensor, and is time. chamber is the working chamber, the minimum working
pressure is close to 0MPa and the maximum working pressure
FL is 9.7MPa. The minimum working pressure occurs at the point
of the maximum negative load and the maximum working
pressure occurs at the point of the maximum positive load.
Because the supply pressure of the system is 10MPa, the
6 maximum pressure loss is 10MPa and the minimum pressure
loss is 0.3MPa during the whole work process.

Fig.5 shows the curves of the supply flow and the load flow
Fig. 3. The direction of the load force and the cylinder displacement under three load conditions. The motion laws of the cylinder
are the same, so there are little differences among the load
According to (4), the input pulses of the dual-motor digital
flows under three load conditions. For the asymmetric cylinder,
valve were set to make the cylinder follow a triangular wave
the forward and backward flows are different. The forward
whose frequency and amplitude are 1/40Hz and 0.2m
flow is 31L/min and the backward flow is 25L/min. Because
respectively. At the same time, the load was also set to change
the supply flow remains 37.5L/min, the flow loss of the
according to a triangular wave whose frequency is also 1/40Hz.
forward movement is 6.5L/min and the flow loss of the
For comparison study, the amplitudes of the load were set to backward movement is 12.5L/min. These excess flows will
160kN, 80kN and 0kN respectively. The directions of the load come back into the tank through the relief valve. If the
force and the cylinder displacement are defined as Fig.3. The operating speed of the cylinder further reduces, the flow loss
simulation time was set to 80s which are two motion cycles. will increase.
Fig. 4. The curves of the supply pressure and the load pressure Fig. 6. The curves of the system efficiency
Fig.6 shows the curves of the system efficiency under three

load conditions. By observing a single curve, we know that the
loading amount and direction have a great effect on the system
efficiency, but there are some differences between the forward
and backward efficiencies. The specific rules could be
summarized as follows: the system efficiency increases with
the increase of the positive load, but the system efficiency will
reduce with the increase of the negative load. The average
efficiency of the backward movement (the working chamber is
the rod chamber) is greater than the average efficiency of the
forward movement (the working chamber is the rodless
chamber). The essential reason causing the above phenomena
is that the working chamber pressure does not match the supply
Fig. 5. The curves of the supply flow and the load flow pressure. The system efficiency will reduces with the increase
of the pressure difference between the working chamber
Fig.4 shows the curves of the supply pressure and the load pressure and the supply pressure. Through the comparison of
pressure (working chamber pressure) under three load three efficiency curves, we know that the minimum efficiency
conditions. The working chamber pressure of the system of the system is close to 0 when the working chamber pressure
312
is lowest and that the maximum efficiency is 62% when the dynamically adjust the supply pressure and flow according to
working chamber pressure is highest. There are little the load and the operating speed of the system, in order to
differences among the average efficiencies of three load reduce the throttling loss and the overflow loss to improve the
conditions which are 35.5%, 35.2% and 35.0 % respectively. system efficiency [5-11].
These mean that the increase of the load cannot increase the
average efficiency of the system. The schematic diagram of the load-sensing digital hydraulic
system is shown in Fig.7. The new system is completed by
In summary, the essential reason causing power losses of adding a load-sensing circuit and a variable frequency motor to
the constant pressure digital hydraulic system is that the supply the original constant pressure digital hydraulic system. The
pressure and flow of the system dont match the required load-sensing circuit is consist of the pressure compensator (6 in
pressure and flow of the system. Because of the constant Fig.7) and the shuttle valve (8 in Fig.7) which can select the
pressure oil supply mode, the supply pressure and flow must higher one of two chamber pressures and lead it to the spring
meet the pressure and flow required by the maximum load and side of the pressure compensator. The supply pressure of the
the maximum operating speed. The system hardly works under system is determined by the spring force of the pressure
the maximum load or the maximum operating speed, so the compensator and the pressure from the shuttle valve, so the
pressure loss and the flow loss under the common conditions supply pressure of the system can follow the change of the load
are so great that the system efficiency is low. If we would pressure. By this way, the overflow loss of the system reduces
improve the system efficiency, the constant pressure oil supply greatly. According to the motion parameters of the digital valve,
mode must be changed to make the supply pressure and flow the controller will calculate out the required flow to control the
match the load pressure and flow. Only by this way, the speed of the variable frequency motor, so the supply flow of
inefficiency problem of the system can be solved finally. the pump can change with the required flow to reduce the
throttling loss of the system. The balance valve (9 in Fig.7) is
IV. LOAD-SENSING DIGITAL HYDRAULIC SYSTEM used to avoid the negative pressure of the rodless chamber
caused by the negative load which can lead to cavitations in the
chamber. The relief valve (5 in Fig.7) is only used as a safety
valve in the system. The supply pressure is determined by the
pressure compensator when the pressure does not exceed the
safe pressure of the system.
V. SIMULATION
1.metering pump 2.variable frequency motor 3.filter 4.check valve 5.relief

valve 6.pressure compensator 7.dual-motor digital valve 8.shuttle valve Fig. 8. The AMESim model of the load-sensing digital hydraulic system
9.balance valve 10.asymmetric cylinder 11.displacement sensor
Fig. 7. The schematic diagram of the load-sensing digital hydraulic The AMESim model of the load-sensing digital hydraulic
system system is shown in Fig.8. The differences between the models
of the load-sensing system and the constant pressure system are
In order to improve the efficiency of the constant pressure the load-sensing circuit, the variable frequency motor and the
digital hydraulic system, we must change the supply oil mode controller. The parameters of the load-sensing system and the
of the system. With the pressure compensation technology and constant pressure system are the same. The spring force of the
the variable frequency hydraulic technology, a new load- pressure compensator is set to 1.5MPa and the spring force of
sensing digital hydraulic system was designed, which can the balance valve is set to 10MPa.
313
Because the cylinder is asymmetric, the required flow is Fig.9 is the curves of the supply flow and the work flow of
described as the load-sensing digital hydraulic system. When the rodless
chamber is the working chamber, the supply flow is
31.75L/min and the work flow is 31L/min. When the rod
= 1 = 1 , > 0 chamber is the working chamber, the supply flow is

25.75L/min and the work flow is 25L/min. In the whole work
= = , < 0 cycle, the difference between the supply flow and the work
2 2
flow is always 0.75L/min. These mean that the variable
Taking into account the leakage flow , the supply flow frequency hydraulic station can adjust the supply flow real-
should be described as timely to match the required flow to minimize the throttling
loss of the system.
= + Fig.10 is the curves of the supply pressure and the load
pressure. In the whole work cycle, the difference between the
which could be used to control the speed of the servo motor. supply pressure and the load pressure is 1.7MPa except two
working conditions. When the supply pressure exceeds the safe
pressure, the relief valve is open and the supply pressure is
limited at 10MPa. At this time, the pressure compensator fails
to follow the change of the load pressure. When the cylinder
moves backward with the negative load, the supply pressure
can not follow the change of the load pressure. There is not a
balance valve installed at the rodless chamber side. When the
pressure of the rod chamber (working chamber) is less than the
pressure of the rodless chamber (non-working chamber) with
the negative load, the shuttle valve will select the pressure of
the rodless chamber as a feedback pressure. The supply
pressure cannot follow the change of the load pressure
(working chamber pressure) which makes the system
Fig. 9. The comparison of the supply flow and the work flow efficiency lower.
Fig. 11. The curves of the system efficiency

(a) The curves of the supply pressure
Fig.11 is the curves of the system efficiency. With the

positive load, the system efficiency will increase with the
increase of the load. With the negative load, the system
efficiency will reduce with the increase of the load. These rules
are the same with the constant pressure system, but the
efficiency of the load-sensing system change with the load by a
non-linear law. The average efficiency of the forward
movement (the rodless chamber is the working chamber) is
higher than the average efficiency of the backward movement
(the rod chamber is the working chamber) average efficiency.
These rules are different with the constant pressure system. The
above phenomena can be explained as: the difference between
the supply pressure and the load pressure always keeps 1.7MPa
(b) The curves of the work pressure and the flow loss remains 0.75L/min, so the power loss is fixed.
The system efficiency increases with the increase of the
Fig. 10. The comparison of the supply pressure and the work pressure working chamber pressure, but the rule is non-linear because of
the fixed power loss. Through the comparison of three
314
efficiency curves, we know that the minimum efficiency is 30% x The average efficiency of the load-sensing system is 30%
with the maximum difference between the supply pressure and more than the constant pressure system. The load-
the load pressure and that the maximum efficiency is 88% with sensing technology can improve the system efficiency
the minimum difference. The average efficiencies of three load significantly.
conditions are 64.9%, 65.7% and 65.7%. The average
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315
Path Planning of Airfoil Surface for Robotic Fibre

Placement
Lina Li, Xingang Wang, De Xu Min Tan
Research Center of Precision Sensing and Control The State Key Laboratory of Management and Control for
Institute of Automation, Chinese Academy of Sciences Complex Systems
Beijing 100190, China Institute of Automation, Chinese Academy of Sciences
{lilina2013, xingang.wang, de.xu}@ia.ac.cn Beijing 100190, China
min.tan @ia.ac.cn
AbstractIn this paper, a new path planning algorithm based planning directly determine the precision of the component
on triangular meshes of the airfoil open surface for four forming and the efficiency of the placement. Much attention
commonly used laying angles in robotic fibre placement is has been paid to this part and most path planning algorithms
presented. In the proposed algorithm, the 0o paths are computed are mainly carried out on the mould expressed with parameter
by the slicing method, the 45o paths are obtained by general equation or mathematical expressions. A new path planning
rotation transformation, and the method to equally divide arc is algorithm for open-contoured structures is proposed in [7]. In
adopted to get the 90o paths which can ensure that the complete this method, the parametric equation of the mould surface is
fibre tows distributed evenly on the surface connect the root and first given, then it uses a surface-plane intersection strategy to
tip part. Then the redundant path points are deleted, the final
formulate the initial path. The next path is offset from the
path points are obtained to generate the poses of the fibre
placement head which is mounted at the robot manipulators
initial path along the surface by a distance with maximal tow-
end-effector. Finally the simulation is carried out in software width in a perpendicular direction. Subsequent offset paths
RobotStudio and the effect of laying is displayed using OpenGL. continue to be formulated until complete surface coverage is
The simulation results verify the effectiveness of the proposed achieved. A varied offset distance method is developed to
method. guarantee all the tows to be placed on the mould completely [8].
In their work, the roller location determination is taken into
Keywordsrobotic fibre placement; path planning; triangular account, which allows a smooth roller motion along the
meshes generated path. The article [9] deduced an analytical algorithm
about the path planning on the base of the mathematical model
I. INTRODUCTION of the general revolved structures. In [10], a new parallel
equidistant path generation algorithm based on the geodesic is
Fibre reinforced composites play an important role in the introduced. This algorithm requires the distance between the
aerospace and automotive industries because of their advantage paths equal along the geodesic direction. The following paths
of high strength-to-weight ratio, high stiffness-to-weight ratio, are achieved using the parallel equidistant algorithm until the
the thermal characteristics, low moisture absorption, etc. mould surface is fully covered. However, it is inapplicable for
Nowadays, the application and the usage of the fibre reinforced most of the structures which are not expressed by parameter
composites have become an advanced sign of a new generation functions.
of aerospace crafts [1-3]. Robotic fibre placement is a widely With the development of the three-dimensional
used manufacturing technology for composite structures with measurement and the reverse modeling, the triangular mesh
low-cost, labor-saving and automation. It consists of a robotic model is more and more widely used in the industrial fields of
manipulator, a placement head and a mould. The placement aerospace, automobile, shipbuilding mold which are closely
head is controlled by the robotic manipulator to lay down related to the manufacturing industry. It has the advantage of
simultaneously a large number (up to 32) of the impregnated rapid, flexibility and adaptable topology [11-12]. Articles [13-
fibre tows. Then the tows are placed side by side on the mould 14] state path planning algorithms based on the meshed model,
surface. An elastomeric roller is used to place and compact the but the algorithms are mainly for the closed surface. Reference
tows. By adopting a robot manipulator and multiple fibre tows, [15] presents a path planning algorithm for the open-contoured
robotic fibre placement could make the composite structures surface with isometric laying. The surface can be completely
with rapid manufacturing and mass production, and it can cut covered using this method. But for the ailfoil open surface with
and restart each fibre tow to control the laying width which the characteristic of the curve length of the two end sides are
makes it suitable for complex structures with curvature different, when laying angle is 90o, the fibre cutting
changing significantly [4-6]. concentrated on one side of the surface which could not ensure
Path planning is one of key technologies within the scope the component have enough compressive strength along the
of robotic fibre placement. It figures out the distribution of the direction of 90o. It is necessary to place complete fibre tows
fibre tows placed on the mould surface. The results of the path connecting the root and the tip part regularly on every part of
the surface, so a new path planning algorithm is proposed in
This work is supported in part by National Natural Science Foundation of the present work.
China under grant 51405486.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 316
The rest of this paper is organized as follows. The topology After the topology reconstruction of the STL file, from a
reconstruction of the meshed surface is introduced in section II. given facet, its three edges, three vertices and its normal vector
The path planning algorithm based on meshed surface is can be easily obtained. From a known edge, its two vertices
presented in section III. Section IV gives the implementation and two facets on its both sides can be achieved. Similarly,
and verification of the algorithm. Simulations are given in from a given vertex, its coordinate, all the edges and facets
section V. The paper is concluded in section VI. converged to it are also known from the topology.
II. TOPOLOGY RECONSTRUCTION OF THE MESHED SURFACE III. THE PATH PLANNING ALGORITHM BASED ON THE
In numeral control (NC) machining, the meshed surface MESHED SURFACE
data files are usually provided as Stereo Lithography (STL) Generally, the fibre tows are continually placed by the
model with saving three vertices of each triangular placement head at a certain angle which is often set as 0o, 90o,
counterclockwise. In addition, the model used in rapid 45o, -45o respectively. The 0o is used to carry axial stress, the
prototyping is often based on STL model which is a file with a 90o is used to carry the radial stress, the 45o and -45o are used
large number of spatial triangular meshes being close to the to carry shear stress. If the composite structure is under
original CAD entity model on the basis of minimizing complex load, the layers of the structure are placed
geometric criterion. The discretization method of STL can multidirectional according to the four angle types [17]. For the
satisfy the requirement of path planning based on meshed airfoil open surface, the curve length of the two end sides are
surface. That is where the surface curvature changing greatly different, a new path planning algorithm for robotic fibre
the triangular mesh density is high and the mesh is sparse when placement is introduced.
the curvature with an even variation [16]. So the STL file of
representing the mould surface is adopted. A. The Generation of 0o Paths
The STL file is constituted by a lot of triangular meshes
The algorithm to generate 0o paths refers to the section
and each of which includes three-dimensional coordinates of
contour in the process of slicing algorithm which is often used
three vertices and the normal vector of the mesh. The data
in rapid prototyping technology, and is one of the key contents
redundancy of this file is large and it does not contain the
of the software system of the rapid prototyping [18-19]. The
topology among triangular meshes, the computation of path
length direction is set by the leading edge line which is shown
planning directly based on the STL file is very large. So, it is
in Fig. 2, the upper surface of the airfoil is where the fibre tows
necessary to establish the topology of the STL format file, and
are placed. Slicing the airfoil open surface from the length
remove the data redundancy. The surface topology
direction along which the tangent plane can be expressed as x
reconstruction flow chart is shown in Fig. 1.
= xi , where i=1, 2, , n, and xi+1 - xi = D, D is the maximal
width during placing process where D = d Nnum, d is the
State the container class variables for vertices, width of one fibre tow, Nnum is the maximal number of fibre
edge and facet, and state the temporary variable of
facet as F
tows in the process of single laying.
Leading Edge
Read a triangular called N from the STL file and
assign its normal vector to F
Root
Part
Tip
Part
Read a vertex of the N, determine whether a point is
in the vertex container. If it is not, the point is saved.
Otherwise, the index of the point is saved in F
Upper Surface
If vertices of the facet N N Fig.2 The airfoil model

had been traversed ?
Starting at the leading edge line, the edge of a triangular
Y which intersects with the tangent plane but has not been sliced
should firstly be found, then the point of intersection is
Construct three edges according to the indexes of
points of F saved in the chain. computed, finally the coordinate of the point, the edge where
the point locates and the facet which the point belonged to are
saved. According to the topology, the next edge in the adjacent
All the triangular meshes N triangular which intersects with the tangent plane and also has
have been read ? not been sliced is found, the intersection point is also saved.
The whole slicing data could be finally achieved in the same
Y way.
Add all the edges and facets connected to the
vertex, the topology is finished.
Fig.1 The diagram of the meshed surface topology reconstruction
317
B. The Generation of 45o Paths where D( xd , yd , zd ) , B(xb ,yb ,zb ) and 0 d i d 1 . By solving (5)
When solving 45o paths, adopting the slicing direction as and (6), the intersection point between the plane v and the line
the reference line, the directions of 45o paths are got by rotating segment BD is expressed as follows:
the reference line anticlockwise along the normal vector of the
xk (x1 -xd )+yk (y1 -yd )+zk (z1 -zd )
mesh where the path point locates, as shown in Fig. 3. i (7)
xk (xb -xd )+y k (yb -yd )+zk (zb -zd )
B X axis Therefore, the rules for obtaining the intersection point are
listed below:
A I P2 E
III
n1 t2 x If 0<i<1, then the intersection point P2 which is also the
P1 next trajectory point is between the two endpoints of the
Pc1 n3
t1 line segment BD, the coordinate of P2 could be obtained
P0 Pc0 n2
from (6).
II
x If i=0 or i=1, then the intersection point is the endpoint
C D of the line segment BD. Furthermore, if i=0, the next
trajectory point P2=D; if i=1, point P2=B;
Fig.3 The diagram of path generation with 45o
In Fig. 3, n1, n2 and n3 are normal vectors of the x If i[0,1], then substitute the last edge of triangular
corresponding triangular meshes. Assuming P1 is the start point mesh II into (6), the parameter i is determined.
of 45o path, the process of how to obtain trajectory point P2 Accordingly, if 0 d i d 1 , point P2 can be computed
from P1 is given as follows. Firstly, in the triangular mesh II, similarly to the above two cases. Otherwise, traverse all
the adjacent triangular meshes of point P1, each edge of
the point P1c could be computed by the point P1 on the basis of
the triangular is expressed by (6), then compute i until
the slicing algorithm. The normal vector of the surface where
point P1 locates is the mean of the normal vectors of two i [0,1], and P0P1P1P2!0, point P2 is achieved finally.
adjacent triangular meshes with a common edge BC where the When the trajectory point locates at the boundary of the
point P1 locates, and is expressed as follows: model, just as P0 in Fig. 3, the normal vector of where it locates
is taken as the same with that of the triangular mesh I. If the
np1 = (n0 + n1)/2 (1) point locates at the vertex of the triangular, as point Pi in Fig. 4,
Taking the vector P1P1c as vector t1 to represent the reference the normal vector of where it locates is defined as follows:
line, rotating t1 45o anticlockwise along np to get the vector t2,
m m
the binormal vector k of the surface where point P1 locates is
established as follows: nic sk ni,k
k 1
s
k 1
k (8)
t2 = Rot(f, D) t1 (2) where ni,k and sk are the normal vector and the area of the
k = np1 u t2 = [xk, yk, zk] T
(3) adjacent triangular meshes of point Pi. The unit normal vector
of point Pi is expressed as follows:
where
Rot ( f , D ) ni nic nic (9)
f x f x versD cos D f y f x vers D f z sin D f z f x versD f y sin D
ni
f x f y vers D f z sin D f y f y vers D cos D f z f y vers D f x sin D
ni,6
f x f z versD f y sin D f y f z vers D f x sin D f z f z vers D cos D ni,5
(4) s6 s5
ni,4
f=[fx, fy, fz] is the general rotation normal vector, fx, fy, fz are the Pi s4
components of f, and f = np1, D = 45o, versD = 1 - cos D . s1
The equation of the plane v constituted by the point P1(x1, y1, z1)
ni,1 s2 s3 ni,3
and the binormal vector k could be expressed as follows: ni,2
xk ( x - x1 ) yk ( y - y1 ) zk ( z - z1 ) 0 (5) Fig.4 The neighborhood of the vertex Pi
The edges of the triangular mesh II except BC where the C. The Generation of -45o Paths
current trajectory point P1 locates could be evaluated as follows: The algorithm to get the -45o paths is similar with that to
produce 45o paths. As in Fig. 3, taking the vector t1 as the
reference line, the -45o paths are obtained by rotating t1
P (i ) (1 i ) D iB (6) clockwise along the normal vector of the triangular where P1
locates, and other steps are same with that in section B.
318
D. The Generation of 90o Paths 0.3mm, the point density of each path is very high and the
Because the curvature changes small on the upper surface trajectory of the placement head is a set of line segments
of the airfoil, the fibre placement with maximal number of the constituted by produced points, so it is necessary to delete the
fibre tows is carried out when the laying angles are 0o, 45o, - redundant path points for improving the laying efficiency. The
45o. Only at the surface boundary, the cutting and restarting maximal projection of the path points to the point connection
information of fibre tows are needed to be known. However, line is defined as the step error , as shown in Fig. 6. With the
when the laying angle is 90o, the arc lengths between the step error = 2.0mm, the process of deleting redundant points
root part and the tip part are not equal, in order to ensure are summarized as follows:
the component have enough compressive strength along the x Step 1: According to the moving forward direction of
direction of 90o, it is required to place complete fibre tows the placement head, supposing point P1=Pi as the start
from the root part to the tip part evenly on the surface. So point, the coordinate of P1 and the normal vector of
an arc divided equally method is put forward to get the 90o where P1 locates are saved, and if P1 is the end point of
paths. the path, the computation stops. Otherwise, take point
Firstly, slicing the upper surface of the airfoil along the P2=Pi+h as the end point, where h is the number of
leading edge, contour curves which are numbered {L1, L2, points between them, and connect the two points to
L3 ,, Lm} are achieved. The lengths of curves are computed, constitute the line Li.
and the longest length is found. Supposing Li is the longest one,
dividing the length into n segments, and n = [Li/(dNnum)], x Step 2: Compute the projection distances of every point
where [ ] is the round operator. Secondly, dividing other between the start and the end point to the line Li. Then
curves Lj ( where j = 1, 2, , m, and ji ) into n segments. find the maximal distance dmax.
Finally, connecting the corresponding point of every curve x Step 3: If dmax<, set h=h+1, and return to step 2 until
sequentially, the 90o paths are achieved. the inequality dmax> is established for the first time,
then set h=h-1. Otherwise, set h=h-1, and return to step
IV. THE ALGORITHM IMPLEMENTATION 2 until the inequality dmax<= is achieved for the first
The method is implemented by C++ with the airfoil model time.
as in Fig. 2. The 0o paths are got by the slicing algorithm, the x Step 4: Point Pi+h is taken as the next path points and
45o paths are obtained by general rotation transformation, and coordinate and normal vector of Pi+h are also saved.
an arc divided equally method is adopted to get the 90o Then set P1=Pi+h as the start point, return to step 2. If
paths. Pi+h is the end point of the path, the computation stops.
A. The Implementation of Paths
The produced paths are displayed in Fig. 5, and four laying
angles are 0o, 90o, 45o, and -45o. Pi Pi+n

100
100
50
Fig.6 The step error neighborhood of the vertex
50
z /m m
On the basis of meeting the step error requirement, the

z /m m
0
0
-50
0
-50
0 number of path points decrease obviously, as illustrated in table
1. The reduced points can improve the efficiency of the fibre
-100 -100
-200 1500
-200
1500
-300
-400 500
1000
-300
-400 500
1000
placement.
-500 0
-500 0
y/mm y/mm
-600 -500 x/mm -600 -500 x/mm
TABLE I. THE NUMBER OF PATH POINTS

(a) (b)
100
100 Laying The Number of Path Points
50
50 Angle The Initial Num The End Num
z /m m
z /m m
0 0
0o 80 19
-50 -50
o
0
-100
0
-100 1500 90 142 2
1500
-200 -200 1000
1000 -300 o
-300
-400 500 -400
500
45 80 21
-500 0 -500 0
y/mm y/mm
-600 -500 -600 -500 x/mm o
x/mm
-45 80 21
(c) (d)
Fig.5 Planned paths with different angles, (a)0o , (b)90o, (c)45o , (d)-45o V. SIMULATION
B. Deleting redundant Path Points A. Simulation in Software Robotstudio

The method of calculating path points is discussed in During the placement process, the path points are finally
previous sections. The placement path is constituted by the used to generate the poses of the placement head which is on
serial connection of these path points. The above algorithm is the end-effector of robot. ABB IRB6640 robot is adopted as
experimented on the triangular meshes with the chord error is
319
the placement robot, the pose of the placement head is solved The simulation of fibre placement is carried out in
from the following equation: RobotStudio which is ABB robot simulation software. Taking
W
the 0o paths for example, the simulation is shown in Fig. 7.
TEETD = WTOOTP (10)
where T is the rotation transformation matrix, W is the world
coordinate system, E is the coordinate system of the tool center
point (TCP) of robot, D is the tool coordinate system of the
placement head, O is the workpiece coordinate system, P is the
path point. WTE is the rotation matrix from E to W, ETD is the
rotation matrix from D to E, WTO and OTP are also rotation
matrix from O to W and P to O separately.
Firstly, assuming the rotation matrix of the placement head
at path points as [n o a], where a = -k to guarantee that the Fig.7 The simulation of paths with the angle of 0o
direction of the placing by placement head is reverse to k
As shown in Fig. 7, x direction is the laying direction of the
which is the normal vector of the surface. The connection of placement head, z direction is perpendicular to the mould
the two adjacent points is set as the forward laying: surface downward. The simulation results indicate that the fibre
n = (x2 - x1, y2 - y1, z2 - z1) / |(x2 - x1, y2 - y1, z2 - z1)| (11) tows could be placed uniformly on the mould surface by the
placement head with a certain pose.
where (x1, y1, z1) and (x2, y2, z2) are coordinates of two adjacent
path points. Setting o = na / |na|, and then n is revised as n =
B. The Displayment of the Laying Effect
oa for ensuring the coordinate system to be orthogonal. The
general rotation transformation matrix OTP is expressed as After the simulation in RobotStudio with angles of 0o, 45o,
follows: 90o, -45o is done, the laying effects are displayed in OpenGL as
shown in Fig. 8 as follows:
nx ox ax x
n oy ay y
O
TP y (12)
nz oz az z

0 0 0 1
where (x, y, z) is the coordinate of the path point. The matrix (a) (b)
W
TO is established as follows:
W
TO =rot(Z ,D )Trans(d1 ,d 2 ,d3 )
cosD -sinD 0 0 1 0 0 d1
sinD cosD 0 0 0 1 0 d 2 (13)
=
0 0 1 0 0 0 1 d3

0 0 0 1 0 0 0 1 (c) (d)
Fig.8 The laying effect with different angles, (a)0o , (b)90o, (c)45o , (d)-45o
where D =-90o is the mould rotation angle along the z axis The effect of laying with the angle of 0o is shown in Fig.
[d1, d2, d3]=[1500, 0, 1000]T mm is the translation vector of the 8(a). 0o paths are obtained by slicing algorithm along the
mould in the world coordinate system. Taking ETD = E for leading edge of the airfoil and the width of the fibre is D,
simplification, the pose of the placement head in the world where D=dNnum=102.4mm, d=3.2mm, and Nnum=32. The blue
coordinate system could be got. However, the pose is dotted lines are the boundary of fibre ribbon. For 45o paths, as
expressed by quaternion [q1, q2, q3, q4] in the controller of ABB in Fig. 8(c), the distance between two adjacent fibre ribbons
robot, it is necessary to convert the pose which is expressed by along the leading edge is H, where H = 2D =144.8mm . The -
rotation matrix to quaternion. The quaternion is given by the 45o paths in Fig. 8(d) have the similar character with 45o paths.
following equation: Fig. 8(b) shows the laying effect of 90o paths which are
produced by an arc divided equally method. Because each
q1 nx o y az 1 2
fibre tow has a certain width, and it has to be cut off the
q 2 =sign( o z -a y ) n x -o y -a z +1 2 total width when the cut is needed. So the gap is produced
(14)
inevitably. The white blocks state the gaps during the
q 3 =sign( a x -n z ) o y -n x -a z +1 2 placement. The coefficient f (0f1) can be set to control
the gap and overlap during the placement. If f=0, the gap is
q 4 =sign( n y -o x ) a z -n x -o y +1 2
the maximum without overlap and if f=1, the overlap is largest
320
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321
Strongly Stable GPC with Suppression of Steady

State Gain and Closed-loop Poles
Akira Inoue Tomohiro Henmi Mingcong Deng

Professor Emeritus, National Institute of Technology, Tokyo University of
Okayama University Kagawa College, Kagawa, Japan Agriculture and Technology
Okayama, Japan Email: henmi@t.kagawa-nct.ac.jp Tokyo, Japan 184-8588
Email: inoue-09@t.okadai.jp Email: deng@cc.tuat.ac.jp
AbstractThis paper proposes a design procedure to satisfy The standard GPC[3] includes only one design parameter,
steady state and stable transient characteristics of closed loop the weighting coefcient on control inputs in the generalized
and poles of controller of strongly stable generalized predictive performance index except the receding horizons. The weight
control(GPC) systems. Strongly stable control system is dened is selected to specify the closed loop poles, which is the rst
as a system having both of stable poles of closed loop systems specication of the above three. That is, the standard GPC can
and stable poles of controllers. The strong stability is important
for safety, that is, the system is stable even when feedback loop
design only one specication and do not satisfy the other two.
get breakdown by an accident. The authors have already derived To design the strongly stable GPC, the authors extended the
a strongly stable controller for GPC systems. In designing the standard GPC to two degree of freedom compensators by using
strongly stable GPC, three characteristics should be specied. (1) coprime factorization approach[2] and introduced new design
The poles of the closed loop system. (2) The poles of the controller. parameters. Hence they can design the poles of controllers by
(3) The steady state gain. The existing strong stable GPC by selecting the newly introduced parameters[1]. But to design
authors is extended from the standard GPC to two degree of the strongly stable GPC, a new problem appears. That is, the
freedom compensators by using coprime factorization approach strong stability is derived by increasing the controllers order
and introducing new design parameters. In the extended GPC, and the new GPC introduces hidden poles brought by pole-zero
there exist hidden poles brought by pole-zero cancellation. And in cancellation. When the initial conditions are in mismatch, the
initial condition mismatch or sudden change of state by impulsive
disturbances, the effect of the hidden poles appears. This means
effects of the hidden poles appear. This means for safety, all
for safety, all the poles including the hidden poles should be the poles including the hidden poles should be stable.
stable. To design safe GPC, it requires to satisfy these three In addition, even when the controller is stable and the
characteristics and needs complicated trade-off between design output in feedback breakdown is bounded, the steady state of
parameters. The paper proposes to calculate the mathematical the output may be large and the plant may not be safe. To avoid
expressions by using symbolic computation software to make
the trade-off simple. In an example of a water level control
such large steady state, Yano and others proposed methods to
plant, the mathematical expressions are obtained explicitly and reduce the value of the output steady state [5]. The methods are
using the expressions, a controller is designed to satisfy the three to design one newly introduced parameter to match the steady
specications. state gain equal to 1 under restricted conditions. To relax the
conditions, they introduce Strong Stability Rate[6]. But the
KeywordsStrong stability, generalized predictive control
rate is dened under condition that the strong stable controller
(GPC), steady state characteristics, closed loop poles, controller
poles, analytical mathematical expressions, symbolic computation already exists. And in their methods still the problem of the
software, water level control. hidden poles remains.
This paper uses an extended controller including more
I. I NTRODUCTION
design parameters[4]. But to design GPC satisfying these three
In applying a control system to real industrial plants, the characteristics, we need complicated trade-off between design
most important issue is safety. The authors already proposed parameters. If these characteristics are expressed by mathe-
strongly stable generalized predictive control(GPC)[1] as a safe matical expressions analytically, then the relations between
control system. The strongly stable control system is dened the characteristics and the design parameters are given by
as a system having both of stable poles of closed loop systems graphically and the trade-off is easily obtained. This paper
and stable poles of controllers[2]. That is, the system is stable proposes to calculate the mathematical expressions by using
even when feedback loop get breakdown by an accident. symbolic computation software. In an example of a water level
control experimantal plant, the mathematical expressions are
In designing the strongly stable GPC, the following three
obtained explicitly and using the expressions. a controller is
specications should be specied.
designed satisfying the three characteristics.
(1) The poles of the closed loop system.
(2) The poles of the controller, which decide the stability of This paper is organized as follows. Section II gives the
the system when the feedback loop get breakdown. problem setting. Section III reviews strongly stable GPC.
(3) The steady state characteristic, that is, although the steady In section IV proposes a design procedure to use symbolic
state is guaranteed to be bounded when the controller is stable, computation in the design of poles of controller in strongly
if the steady state is large, then the system is not safe. stable GPC. Section V is for an example of a water level
978-1-4673-7995-3/15/$31.00 2015
c IEEE 322
control experimental system. In the example, mathematical
expressions of the closed loop poles, the controller poles and
the steady state gain are derived by using symbolic computa-
tion software. Then using the derived expressions 3D pictures
showing relations between these characteristics and design
parameters are depicted, which are used to select satisfactory
parameters. Finally, Section VI is the conclusion of this paper.
Notation z 1 denotes time-delay, that is, z 1 y(t) = y(t
1). Polynomials of z 1 are written as A[z 1 ], whereas rational
functions of z 1 are as A(z 1 ).
II. P ROBLEM SETTING

The plant to be considered is given by the discrete-time
single-input single-output system described by the following Fig. 1. Strongly stable control system
equations[3].
A[z 1 ]y(t) = z km B[z 1 ]u(t) + C[z 1 ](t) (1)
where coefcients e1 , , eN2 of Ej [z 1 ] are determined
A[z 1 ] = 1 + a1 z 1 + a2 z 2 + + an z n (2)
independently to j
B[z 1 ] = b0 + b1 z 1 + b2 z 2 + + bm z m (3) Step 2. For j = 1, , N2 , obtain (j 1)th-order polynomial
C[z 1 ] = 1 + c1 z 1 + + cl z l (4) Rj [z 1 ] and n3 th-order polynomial Sj [z 1 ] by decomposing
the following equation, where n3 = max{m, l} 1, and if
where u(t) is scalar input and y(t) is scalar output, km 1 n3 < 0, then let Sj [z 1 ] = 0.
is delay-time and (t) is uniform random measurement noise.
A[z 1 ], B[z 1 ] are polynomials with n, mth-order, coprime Ej [z 1 ]B[z 1 ] = C[z 1 ]Rj [z 1 ] + z j Sj [z 1 ] (9)
with each other. Polynomial C[z 1 ] is of order l. For simplic- 1 1
Rj [z ] = r0 + r1 z + + rj1 z (j1)
(10)
ity, it is assumed that (t) = 0, C[z 1 ] = 1 and km = 1.
Sj [z 1 ] = sj0 + sj1 z 1 + + sjn3 z n3 (11)
The control objective is for output y(t) to follow reference 1
w(t) and to have desirable response. To attain the objective, in where coefcients r0 , r1 , , rN2 of Rj [z ] are determined
GPC, the following generalized index J is to be minimized. independently to j
Step 3. Obtain coefcients p1 , , pN2 using the following

N2
N3 equation and dene nth-order polynomial Fp [z 1 ], n3 th-order
2 2
J= {y(t + j) w(t + j)} + {u(t + j 1)} (5) polynomial Sp [z 1 ] and (N2 1)th-order polynomial P [z 1 ]
j=1 j=1
[p1 , , pN2 ] = [1, 0, , 0](RT R + )1 RT (12)
where N2 and N3 are output horizon and control horizon
and for simplicity N3 is set as N3 = N2 . is a weighting
r0 0 0
coefcient. In this paper, an extended controller to satisy the r1 r0 0
following three specications is desinged. R = .. .. . . .. (13)
. . . .
(1) The poles of the closed loop system.
(2) The poles of the controller. rN2 1 rN2 2 r0
(3) The steady state gain when the feedback is cut.
0 0
0 0
= . . .. . : N2 N2 matrix (14)
.. .. . ..
III. S TRONGLY S TABLE M ODEL P REDICTIVE C ONTROL 0 0
This section reviews the design procedure of the strongly
N 2
stable GPC[1], [5]. The strong stability requires two stability Fp [z 1 ] = pj Fj [z 1 ] (15)
as given in Fig.1, which are, j=1
(i) the closed-loop is stable,
N2
(ii) also controller itself is stable so that the control input will Sp [z 1 ] = pj Sj [z 1 ] (16)
not run explosively when feedback loop is cut. j=1
The design procedure consists of the following 7 steps[1]:
N2
Step 1. For j = 1, , N2 , obtain (j 1)th-order polyno- P [z 1 ] = pN2 j+1 z j1 (17)

mial Ej [z 1 ] and nth-order polynomial Fj [z 1 ] satisfying the j=1
following Diopahtine equation
Step 4. Obtain (n + m)th-order polynomial Dp [z 1 ] and (n +
C[z ]1
= 1 1 j
A[z ]Ej [z ] + z Fj [z ] 1
(6) 1)th-order polynomial T [z 1 ] using the following equations
Ej [z 1 ] = 1 + e1 z 1 + + ej1 z (j1) (7) Dp [z 1 ] = A[z 1 ]Sp [z 1 ] + B[z 1 ]Fp [z 1 ] (18)
Fj [z 1 ] = f0j + f1j z 1 + + fnj z n (8) C[z 1 ]T [z 1 ] = A[z 1 ]C[z 1 ] + z 1 Dp [z 1 ] (19)
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Step 5. Using polynomial T [z 1], obtain coprime rational In designing controller, the poles are considered to be the zeros
expression G(s) of system (1) by the following equations. of Tl [z 1 ], not the zeros of T [z 1 ].
G(z 1 ) = B[z 1 ]/A[z 1 ] = N (z 1 )/D(z 1 ) (20) The poles of the controller are zeroes of the following
equation
N (z 1 ) = z 1 B[z 1 ]/T [z 1 ] (21)
D(z 1 ) = A[z 1 ]/T [z 1 ] (22) Tc [z 1 ]= (1 + z 1 Sp [z 1 ])Ud [z 1 ] z 1 B[z 1 ]Un [z 1 ](35)
Then N (z 1 ) and D(z 1 ) satisfy Bezout identity IV. D ESIGN USING SYMBOLIC COMPUTATION SOFTWARE
1 1 1 1 To design a strongly stable GPC, it is necessary to select
X(z )N (z ) + Y (z )D(z ) = 1 (23)
X(z 1 ) = Fp [z 1 ]/C[z 1 ] (24) polynomials Ud [z 1 ] and Un [z 1 ] to satisfy the three speci-
cations,
Y (z 1 ) = (C[z 1 ] + z 1 Sp [z 1 ])/C[z 1 ] (25) (1) The poles of the closed loop system.
and N (z 1 )D(z 1 ) RH are coprime. (2) The poles of the controller.
Step 6. Introducing new design parameter rational functions (3) The steady state gain.
U (z 1 ), K(z 1 ) RH , two degree of freedom stabiliz- But the selecting procedure relies on trial-and-error methods
ing controller for G(z 1 ) is given by the following Youla by repeated simulation as shown in conventional design
Parameterization[2] procedure of Fig.2.
u(t) = C1 (z 1 )w(t) C2 (z 1 )y(t) (26)

C1 (z 1 ) = (Y (z 1 ) U (z 1 )N (z 1 ))1 K(z 1 ) (27)
C2 (z 1 ) = (Y (z 1 ) U (z 1 )N (z 1 ))1
(X(z 1 ) + U (z 1 )D(z 1 )) (28)
Using new parameter polynomials Ud [z 1 ] and Un [z 1 ], pa-
rameter U (z 1 ) is dened as
Un [z 1 ]
U (z 1 ) = T [z 1 ] (29)
Ud [z 1 ]
where Ud [z 1 ] is chosen as a stable polynomial. And using a
constant parameter K1 , parameter K(z 1 ) is selected as
K(z 1 ) = Fp [z 1 ] + (1 + z 1 Sp [z 1 ])K1 (30)
Then controller (27) described by rational function is expressed
in polynomial form as
Fig. 2. Design procedures
{Ud [z 1 ](1 + z 1 Sp [z 1 ]) Un [z 1 ]z 1 B[z 1 ]}u(t)
= Ud [z 1 ](Fp [z 1 ] + (1 + z 1 Sp [z 1 ])w(t)
First dene the orders of parameters Un [z 1 ] and Ud [z 1 ]
(Ud [z 1 ]Fp [z 1 ] + Un [z 1 ]C[z 1 ]A[z 1 ])y(t) (31) as nn and nd . Then Un [z 1 ] and Ud [z 1 ] are given by the
Step 7. Using the controller (31) and Bezout equation (24), following polynomials
the closed-loop system is calculated as Un [z 1 ] = un0 + un1 z 1 + + unnd z nn (36)
y(t) = 1 1 1
N (z )D(z ) u(t) Ud [z 1 ] = 1 + ud1 z 1 + + udnd z nd (37)
= N (z 1 )D(z 1 )1 And the coefcients un0 , , unnn and ud1 , , udnd of
((Y (z 1 ) U (z 1 )N (z 1 ))1 K(z 1 )w(t) Un [z 1 ] and Ud [z 1 ] are determined to satisfy the three
specications.
(Y (z 1 ) U (z 1 )N (z 1 ))1
(X(z 1 ) + U (z 1 )D(z 1 ))y(t)) (1) The poles of the closed loop system. The poles are the
zeros of the polynomial Tl [z 1 ] of (34) substituted by Un [z 1 ]
= N (z 1 )K(z 1 )w(t) (32)
and Ud [z 1 ] of (36) and (37).
then the closed loop N (z 1 )K(z 1 ) is given by (2) The poles of the controller, which are the zeros of
z 1 B[z 1 ](Fp [z 1 ] + (1 + z 1 Sp [z 1 ])K1 )/T [z 1 ] (33) Tc [z 1 ] of (35) substituted by Un [z 1 ] and Ud [z 1 ] of (36)
and (37).
Then the poles of the closed loop are given by the zeroes of (3) The steady state gain. The gain is obtained by substi-
polynomial T [z 1 ] and independent to U (z 1 ). But actually, tuting 1 into z 1 into the closed loop gain (33)
the function N (z 1 )K(z 1 ) is obtained after pole-zero can-
celation. And the real poles are given by Gst = B[1]Ud [1](Fp [1] + (1 + Sp [1])K1 )/T [1] (38)
1 1 1 1 1 1
Tl [z ] = A[z ](U d[z ] U n[z ]z B[z ]) (34) To select the coefcients of Un [z 1 ] and Ud [z 1 ] satisfying
1 1 1 1 1 1
+ z B[z ](U d[z ]F p[z ] + U n[z ]A[z ]) these three specications still requires difcult trade-off, that
324
is, also trial and error. But if the mathematical expressions of and N2 = 2. The controllers are calculated by using sym-
these specications, Tl [z 1 ] and Tc [z 1 ] and the gain Gst are bolic computation software Risa/Asir. In the following, for
obtained by the coefciats of A[z 1 ], B[z 1 ], Un [z 1 ] and simplicity, parameter and symbol z 1 are denoted as m
Ud [z 1 ], then repeated simulations are not necessary, and the and x. The numerators Cw [z 1 ], Cy [z 1 ] and the denominator
relations between the specications and the coefcients are Tc [z 1 ] of the controller (31) are
given graphically. Hence the parameter selecting procedure is
easier as Proposed design procedure in Fig.2. Cw [x] = Cw n[x]/Cw d[x] (43)
2 2 2 2
Cw n[x] = (((ud1 a1 ud1 )m + (ud1 b0 a1 ud1 b0 a1
V. A N EXAMPLE : WATER LEVEL CONTROL 2ud1 b20 )m ud1 b40 )x + (a1 1)m2
+(b20 a21 b20 a1 2b20 )m b40 )
Cw d[x] = b0 m2 + (b30 a21 2b30 )m b50
Cy [x] = Cy n[x]/Cy d[x] (44)
Cy n[x] = ((un1 a1 m2 + (un1 b20 a31 2un1 b20 a1 )m
un1 b40 a1 )x2 + ((un0 a1 un1 )m2 + ((un0 b20 + ud1 b0 )a31
un1 b20 a21 + (2un0 b20 + ud1 b0 )a1 2un1 b20 )m
+(un0 b40 + ud1 b30 )a1 un1 b40 )x un0 m2 + (b0 a31
un0 b20 a21 + b0 a1 2un0 b20 )m + b30 a1 un0 b40 )
Cy d[x] = (m2 + (b20 a21 + 2b20 )m + b40 )
Tc [x] = un1 b0 x2 + (un0 b0 + ud1 )x + 1 (45)
Fig. 3. An water level control experimental system For the specication of the controller design, the closed loop
characteristic Tl [z 1 ] and the steady state gain at the feedback
breakdown Gst of (39) are also calculated;
In this section, the design procedure using the proposed
method for a water level control of an experimental process[7], Tl [x] = Tl n[x]/Tl d[x] (46)
[8] shown in Fig.1 is given. Tl n[x] = ((ud1 a1 m2 + ud1 b20 a1 m)x2 + ((a1 + ud1 )m2 + (ud1
The experimental system has a double tank(jacked tank) b20 a21 + b20 a1 + 2ud1 b20 )m + ud1 b40 )x + m2 + (b20 a21
with the outer tank Tank1 and the inner tank Tank2. Water +2b20 )m + b40 )
ows in through an inow mouth on the top of Tank1, and
outows through the mouth on the bottom of the Tank1. The Tl d[x] = (m2 + (b20 a21 + 2b20 )m + b40 )
inow volume is controlled by an electric valve and the level of Gst = Gstn/Gstd (47)
water of Tank1 can be measured by supersonic sensor placed at Gstn = (((ud1 + 1)a1 + ud1 + 1)m2 + ((ud1 + 1)b20 a21
the top of Tank1. The control objective is to control the water +(ud1 + 1)b20 a1 + (2ud1 + 2)b20 )m + (ud1 + 1)b40 )
level h[m](output y(t)) by inow volume q0 [l/min](input
u(t)). Specication of the plant is given in Table 1. Gstd = ((((un0 un1 )b0 + ud1 + 1)a1 + (un0 un1 )b0
+ud1 + 1)m2 + (((un0 un1 )b30 + (ud1 + 1)b20 )a31
TABLE I. S PECIFICATION OF THE E XPERIMENTAL P ROCESS
+((un0 un1 )b30 + (ud1 + 1)b20 )a21 + ((2un0
Diameter of Tnak 1 D1 = 0.3185[m] 2un1 )b30 + (2ud1 + 2)b20 )a1 + (2un0 2un1 )b30
Diameter of Tnak 2 D2 = 0.1143[m] +(2ud1 + 2)b20 )m + ((un0 un1 )b50 + (ud1 + 1)b40 )a1
Diameter of outlet d = 0.012[m] +(un0 un1 )b50 + (ud1 + 1)b40 )
Water level in tnak 1 h[m]
The controller are designed in three cases for comparison.
Case 1. Controller designed by conversional standard GPC[3].
The plant model is obtained as follows; First, obtain a This case corresponds to un0 = un1 = ud1 = 0. Okazaki and
continuous time nonlinear model, then linearize the model others[5] simulated this case as = 8500 for comparison.
around the equilibrium water level h = 0.4[m] and obtain Then from (43) to (47), we get the controller, the closed loop
a discrete time model with sampling time 1[sec][5] pole p1 and steady state gain Gst in feedback breakdown.
A[z 1 ]y(t) = z 1 B[z 1 ]u(t) (39) u = 0.0032713w 0.0031863y (48)

A[z 1 ] = 1 + a1 z 1 , B[z 1 ] = b0 (40) p1 = 0.95289 (49)
a1 = 0.998775, b0 = 14.4 (41) Gst = 38.4555 (50)
Set the design parameter polynomials as

Case 2. Controller by the existing extended method[5]. This
Un [z 1 ] = un0 + un1 z 1 , Ud [z 1 ] = 1 + ud1 z 1 (42) case is Ud [z 1 ] = T [z 1 ], Un [z 1 ] = U1 = 0.12253 and
325
= 8500. And the calculated controller and others are;
u= ((0.0031173z 1 + 0.00327139)w (51)
1 1
(0.11934z + 0.11935)y)/(0.81156z + 1.0)
p1 = 0.95289, p2 = 0.95289(double roots) (52)
Gst = 1.0 (53)
These are the same to those given by [5]
Case 3. Controller designed by the proposed method in this
paper. The controller poles are xed to ra1 = 0.6, ra2 =
0.7, then parameters un1 and ud1 are given by using (45) as
un1 = ra1 ra2 /b0 , ud1 = un0 b0 ra1 ra2 (54)
Then parameters and un0 are selected to satisfy other speci-
cations of Steady gain when feedback down and Absolute
values of the closed loop poles using equations of (46) and
(47). Once parameters , un0 , un1 and ud1 are decided, the
controller is calculated by using (43), (44) and (45). Then from
the plots of Steady gain when feedback down and Absolute Fig. 5. Absolute values of poles of closed loop with various and un0
values of the closed loop poles with various values of and
un0 as Fig.4 and Fig.5, reduction of the searching ranges of
parameters and un0 are obtained, then draw plots of the two
specications with xed at = 2500 and various values of
un0 and xed un0 at un0 = 0.145 and various values of as
Fig. 6 and Fig. 7. Finally parameters are decided as = 2500
and un0 = 0.145. Then the controllers and others are
u = ((0.0096182 0.0075792z 1 )w (55)
(0.13547 + 0.10814z 1 + 0.029131z 2 )y)
/(1.0 + 1.3z 1 + 0.42z 2 )
p1 , p2 absolute values = 0.8239(complex) (56)
Gst = 8.8123 (57)
Fig.8 shows the output and input by using the controller (48)
designed by the convensional GPC. Fig.9 shows results by the
controller (51) given by the extended GPC of [5]. The gure
also shows simulation results with the initial value mismatich,
where the effect of hidden pole appears. Fig.10 gives results
with the controller (55), where the transient responses fast and
the effect of hidden pole are small.
Fig. 6. Steady gain in feedback cut with un0 = 0.145 or = 2500
VI. C ONCLUSION
In this paper, a design procedure is given for strongly stable
generalized predictive control satisfying three specication; (1)
The poles of the closed loop system. (2) The poles of the
controller, (3) The steady state gain. The procedure is based on
introducing polynomial design parameters. Since the number
of the parameters increases, to calculate the above mentioned
specications is very complicated. This paper proposes to use
symbolic computation software for the calculation and the
calculation becomes possible. By these expressions, the design
procedure is easier in expressing the relations between the
specications and parameters. In the procedure, the hidden
poles caused by pole-zero cancelation can be considered,
Fig. 4. Steady gain in feedback cut with various and un0
which is not impossible by other methods[5], [6]. The design
procedure is demonstrated by designing controllers for a
water level control of an experimental plant. The results of
326
Fig. 9. Output and input by the extened GPC by [5]
Fig. 7. Absolute values of poles of closed loop with un0 = 0.145 or

= 2500
Fig. 10. Output and input by the proposed GPC
Fig. 8. Output and inout by standard GPC

[3] Camacho, E. F. and Bordons, C.: Model Predictive Control in the Process
Industry. Springer, 1995.
the demonstration are shown by simulations. To conduct an [4] A. Inoue and M. Deng: Design of poles of controller in strongly stable
experiment using the water level control experimental plant generalized predictive control using symbolic computation software,
ADCONIP, 2C3-5, 553/557, 2014
and to extend the proposed method to the GPC with integrator
[5] Okazaki, S., Nishizaki, J., Yanou, A., Minami, M. and Deng, M.:
in the contorller are future works. Strongly Stable Generalized Predictive Control Focused on Closed-loop
Characteristics(In Japanese), Trans. SICE, Vol.47, No.7, 317/325, 2011
ACKNOWLEDGMENT [6] Yanou, A., Minami, M. and Matsuno, T.: Strong Stability Rate for
Control Systems Using Coprime Factorization(In Japanese), Trans. SICE,
This work was supported by JSPS KAKENHI Grant Num- Vol.50, No.5, 441/443, 2014
ber 15 21591. [7] Deng, M. and Inoue, A.: Operator-based framework for fault diagnosis
in nonlinear tracking control systems, The Journal of the Inst. of
R EFERENCES Measurement and Control, UK, Vol. 39, No.5, 147/150, 2006.
[1] Inoue, A. Yonou, A. and Hirashima, Y. : A Design of a Strongly Stable [8] Deng, M., Inoue, A., Yanou, A. and Okazaki, S.: Stable anti-windup
Generalized Predictive Control Using Coprime Factorization Approach, continuous-time generalized predictive control to a process control ex-
Proc. American Control Conference, June, 1999, pp.652656.1999 perimental system, Measurement and Control: The Journal of the Inst.
of Measurement and Control, UK, Vol. 40, No. 4, 120/123, 2007
[2] Vidyasagar M.: Control System Synthesis, A Factorization Approach,
MIT Press. 1985
327
Model free fault detection using one set of reference

input and output data
Akira Inoue Tomohiro Henmi Mingcong Deng

Professor Emeritus, National Institute of Technology, Tokyo University of
Okayama University Kagawa College, Kagawa, Japan Agriculture and Technology
Okayama, Japan Email: henmi@t.kagawa-nct.ac.jp Tokyo, Japan 184-8588
Email: inoue-09@t.okadai.jp Email: deng@cc.tuat.ac.jp
AbstractThis paper proposes a method for fault detection models of the plants, usually models are not available in
of control plants without using plant models. So far, mainly, industry. Hence for plants with uncertainty, methods to use
there exist two methods to detect faults. The rst is a statistical adaptive observers[4] or to use the robustness to uncertainty[5]
method, which uses statistical characteristics of input signals and are proposed. But the uncertainty is partial and a dominant
fault signals. To extract the statistical characteristics, this method model is required and this method is not practically sufcient.
requires sufciently uctuated signals, which is not satised in
practical applications. The second method is to use a model,
Hence, a method for fault detection without using signals
such as to estimate an output in normal state of the plant using sufciently uctuated and also without using plant models is
an observer and compares the estimated output to a measured required.
output of the plant to be detected. But usually plant models
Recently, a method using ctitious reference signal, named
are not available in industry. Hence, a method for fault detection
without using signals of sufcient richness and also without using as Fictitious Reference Iterative TuningFRIT) is proposed[6].
plant models is required. The method in this paper does not The method uses only one set of input and output data as a
require sufcient richness of signals and plant models, hence reference signal and also does not require plant model. Hence
it is practically useful. The method uses a pair of input and FRIT is a practical method and many researches, such as an
output data of a normal state as reference data instead of using improvement of algorithm[7] and an extension to plants with
a model. From the data, the method derives an impulse response disturbances[8] are conducted. This paper adopts similar idea
sequence and compares the output estimated from the sequence to FRIT.
with the measured output and detects a fault from the difference
of the outputs. A simulation example of a water level control The idea is based on the fact that if one set of input and
experimental plant is given to show the effectiveness of the output data when the plant has no faults is measured as a
method. reference data, then from the single set of data, for single-
KeywordsFault detection, model free, reference input and input single-output system. an impulse response sequence
output data, impulse response sequence, water level control ex- is obtained. The sequence can be used as a plant model.
perimental plant. Although, the impulse sequence is an identication model, the
sequence does not require the estimation of model order and is
easier to derive than other models, such as transfer function,
I. I NTRODUCTION or, state space equation. Next step is to measure input and
In applying a control system to real industrial plants, the output data of plant to check whether a fault occurs or not.
most important issue is safety. For safety, to detect faults in Then using the obtained impulse sequence instead of using
early stage is necessary[1]. plant models, an output corresponding to the measured input
is calculated. The calculated output is considered as an output
So far, mainly, there exist two methods to detect faults, from the plant with no faults. Hence if there exits a difference
one is a statistical method, the other is using models. The between the calculated output and the measured output, then
rst method uses statistical characteristics of input signals the measured output is from a plant including a fault and the
and fault signals. For example, the methods applying blind fault is detected. This means the method in this paper does not
identication[2], [3] are to dene fault signal which appears require signals sufciently uctuated and plant models, hence
when fault occurs, then estimate the fault signal separately it is practically useful.
from input signals using the statistical independence between
input signals and the fault signal. To be able to estimate the The idea to obtain an impulse response sequence from a
fault signal separately, input signals are to be fully uctuated set of input and output data is rst used in [9] to derive a state
such as M-sequence signals. In real plants, to use M-sequence equation model as realization problem and is applied to obtain
signals as inputs is not realistic. the minimal order of state observer[10].
The second method, to use a model, is such as to estimate This paper is organized as follows. Section II gives the
an output in normal state of the plant using an observer and problem setting. Section III proposes a fault detection method
compares the estimated output to a measured output of the without using plant models. In Section IV, a simulation ex-
plant. If a difference between two outputs is detected, then a ample of a water level control experimental plant[11], [12] is
fault exists in the measured plant. But this method requires given to show the effectiveness of the method. Finally, Section
978-1-4673-7995-3/15/$31.00 2015
c IEEE 328
V is the conclusion of this paper.
II. P ROBLEM SETTING

The plant to be checked whether a fault occurs or does not
is a discrete-time single-input single-output time-invariant lin-
ear system, plant model is unknown and has zero initial state.
At least one set of input and output data {u0 (k), y0 (k), k =
0, 1, } of the plant with no faults is supposed to be available
beforehand. The problem is to detect a fault when the normal
state plant P is changed to a plant P with a fault from the
measured input and output data u(k), y(k) of the plant P.
III. FAULT DETECTION WITHOUT USING PLANT MODELS Fig. 1. Model free fault detection
Let denote the impulse response sequence with no faults as

{h(0), h(1), }. When there is no direct term from input to
output and the plant initial value is y(0) = 0, then the output
data {y0 (k), k = 0, 1, } with no faults corresponding to the
input data {u0 (k), k = 0, 1, } is given as
y0 (1) = h(0)u0 (0)

y0 (2) = h(0)u0 (1) + h(1)u0 (0)
..
.

k1
y0 (k) = h(k 1 i)u0 (i) (1)
i=0
where the impulse response sequence with no faults h(k), k =

0, 1, are unknown. But the input and output data u0 (k),
y0 (k) are supposed to be available, then if u0 (0) = 0, the
impulse response sequence h(k), k = 0, 1, are calculated
from the reference data u0 (k), y0 (k) are Fig. 2. An water level control experimental system
h(0) = y0 (1)/u0 (0)

h(1) = (y0 (2) h(0)u0 (1))/u0 (0) IV. A N EXAMPLE : WATER LEVEL CONTROL
.. EXPERIMENTAL PLANT
.

k1 In this section, the proposed fault detection method is
h(k 1) = (y0 (k) h(k 1 i)u0 (i))/u0 (0) (2) applied to a water level control of an experimental process[11],
i=1 [12] shown in Fig.2 by numerical simulation.
Now measure input u(k) and output y(k) from plant P to The experimental system has a double tank(jacked tank)
detect a fault. From the calculated impulse response, the output with the outer tank TANK 1 and the inner tank TANK 2.
corresponding the measured input u(k) when no faults is Water ows in through an inow valve NV1 on the top of
calculated as TANK 1, and outows through the valve V1 on the bottom of
the TANK 1. The inow volume is controlled by an electric
y1 (1) = h(0)u(0) valve ECV and the level of water of Tank1 can be measured
y1 (2) = h(0)u(1) + h(1)u(0) by supersonic sensor L1 placed at the top of TANK 1. The
objective is to detect a fault at electric valve ECV which cause
..
. a change of inow volume q0 [l/min](input u(t)). The control

k1 output y(t) is the water level of outer tank (TANK 1) h(t)[m].
y1 (k) = h(k 1 i)u(i) (3) Specication of the system is given in Table 1.
i=0
The plant model is a continuous time nonlinear model,
Then comparing y1 (k) with the measured output y(k), if the
difference u(t) a 2gy(t)
y(t)
= (5)
A A 1 (a/A)2
e(k) = y1 (k) y(k) (4)
A, a and g are given in Table 1. In the simulation, the reference
is e(k) = 0, then there is no fault and if e(k) = 0, then a fault input u0 (t) and output y0 (t) and the measured input u(t) and
exists. The detection procedure is depicted in Fig.1. output y(t) are calculated by using the nonlinear model (5),
329
TABLE I. S PECIFICATION OF THE E XPERIMENTAL P ROCESS
Diameter of TANK 1 D1 = 0.3185[m]

Diameter of TANK 2 D2 = 0.1143[m]
Diameter of outlet d = 0.012[m]
Cross-section area of TANK 1 A = 0.0682[m2 ]
Cross-section area of outlet a = 1.2566 105 [m2 ]
Gravity acceleration g = 9.8[m/s2 ]
Fig. 4. Impulse response sequence
Water level in TANK 1 h[m]
which is not known at fault detection. these inputs and outputs

are given by the differences from an equilibrium water level
h = 0.5[m] and inow u = 3.9339 105 [m2 /s].
Fig.3 shows the reference input u0 (t) and output y0 (t)

and Fig.4 gives the impulse sequence h(t) derived from the
reference input u0 (t) and output y0 (t) by using (2). The
sequence is not smooth because of the effect that the reference
input u0 (t) and output y0 (t) are derived from the nonlinear
equation (5) and the impulse response is based on a linear
equation (1). Fig. 5 is for the measured input u(t) and output
y(t). In the simulation, these input and output are derived from
the nonlinear equation (5) and to cause a fault, at t = 3000,
input u(t) is reduced to its 75%. The upper graph of Fig. 6
shows the calculated output y1 (t) using the impulse responsee
h(t). The lower graph of Fig. 6 is for the difference e(t) of
the two outputs y(t) and y1 (t). The measured output y(t)
changes at two point t = 1500 and t = 3000. The difference
e(t) = y(t)y1 (t) shows that among the two changing points, Fig. 5. Measured input and output
only the change at the point t = 3000 is caused by a fault.
Actually, the change at t = 1500 is by the change of input
as shown in the upper graph of Fig.5 and not by a fault. The V. C ONCLUSION
fault signal e(t) is calculated only by using the reference input
u0 (t), output y0 (t) and the measured input u(t), output y(t) This paper proposes a new fault detection method without
and not using plant model. using models. In the method, rst, obtain a set of input and
output data from the plant with no fault as reference data. From
the reference data, derive the impulse response sequence of
the plant with no fault. Then measure input and output on-line
from the plant to be checked for the existence of faults. Using
the measured input and the impulse response, calculate the
output. This calculated output is regarded as the output from
the plant without fault. Finally, compare the measured output
and calculated output, if there is no difference between the
two outputs, then fault does not exist, and if the difference is
not zero, then a fault exists and a fault can be detected. In the
procedure, only the reference input, output and the measured
input, output are used and no model is necessary. Hence, the
procedure is practically useful.
The method is demonstrated in simulation by using a water
level control experimental plant. In the simulation, it is shown
that the method clearly points out a changing point in output
caused by a fault against points by input changes.
Theoretical analysis such that to obtain the conditions on
the reference input and output and the conditions on the
measured input and output for fault detection remains as future
Fig. 3. Reference input and output works. Also, by this method, the output deviations caused
by fault and disturbance are not detectable separately. To
derive a method to detect faults separately to disturbances
330
[11] Deng, M. and Inoue, A.: Operator-based framework for fault diagnosis
in nonlinear tracking control systems, The Journal of the Inst. of
Measurement and Control, UK, Vol. 39, No.5, 147/150, 2006.
[12] Deng, M., Inoue, A., Yanou, A. and Okazaki, S.: Stable anti-windup
continuous-time generalized predictive control to a process control ex-
perimental system, Measurement and Control: The Journal of the Inst.
of Measurement and Control, UK, Vol. 40, No. 4, 120/123, 2007
[13] Inoue, A., Deng, M. Yoshinaga, S. and Okazaki, S.: Fault Detection to a
Process Control Experimental System by Using an Adaptive Observer(In
Japnense), Trans. of Society of Instrument and Control Engineers, Vol.43,
No.7, 621-623 (2007)
Fig. 6. Measured input and output
and to conduct an experiment using the water level control

experimental plant is a future work.
ACKNOWLEDGMENT
This work was supported by JSPS KAKENHI Grant Num-
ber 15K21591.
R EFERENCES
[1] Korbicz, J., Koscielny, J.M., Kowalczuk,Z. and Cholewa,W.: Fault Di-
agnosis, Models, Articial Intelligence, Applications, Springer, Berlin,
Heidelberg(2004)
[2] Inoue, A. and Deng, M.: Actuator Fault Detection Systems Design Based
on Blind System Identication, Dynamics of Continuous, Discrete and
Impulsive Systems, Series A, Mathematical Analysis, Supple., Vol.5,
1884-1887(2007)
[3] Nitta, M. and Sugimoto, K.: Blind Identication of Polynomial Matrix
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linear Control, Special issue on polynomial methods, Vol. 17, No. 8,
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[4] Inoue, A., Deng, M. and Yoshinaga, S.: Fault Detection by Using
an Adaptive Observer, Proc of the 2005 1nternational Conference on
Control, Automation and Systems, 710-713 (2005)
[5] Inoue, A. and Deng, M.: Fault diagnosis in a process experimental con-
trol system with unknown factors, Journal of Advanced Manufacturing
Systems, Vol.7, Issue 1, 151-155 (2008).
[6] Soma,S. Kaneko, O. and Fujii, T.: A New Approach to Parameter Tuning
of Controllers by Using One-Shot Experimental Data - A Proposal of
Fictitious Reference Iterative Tuning -(In Japanese)Trans. of the Insti-
tute of Systems, Control and Information Engineers, Vol.17,No.12,528-
536(2004)
[7] Masuda, S.A Model Reference Adaptive Control Using On-Line Direct
Control Parameter Tuning Method(In Japanese)journal of the Society
of Instrument and Control EngineersVol.52, No.10860-865 (2013)
[8] Masuda, S. and Takeda, K.: An FRIT Method for Disturbance At-
tenuation Using Input-Output Generated from Disturbance Responses
(In Japanese)IEEJ Trans. on Electronics, Information and Systems,
Vol.131, N.4788-793(2011)
[9] Kalman,R. E. Falb, P. L. and Arbib, M. A.: Topics in Mathematical
System Theory, McGraw-Hill, New York(1974)
[10] Inoue, A. Fisher, D. G. Shah, S. L. and Seborg, D. E.: Minimal-time,
minimal-order observers for discrete systems, Int. J. Control, Vol.30,
No.4, 597-615(1979)
331
Research on Algorithm of Nonlinear Self-

adaptive Flight Control System
Hao Long Sujie Song

College of Automation Department of Planning & Finance
Beijing Union University Aviation Industry Corporation of China
Beijing 100101, China Beijing 100022, China
longhao315@126.com songsjlongh@126.com
AbstractFor the nonlinear control problem of Super- growth in system order, the complexity of the controller is
maneuver aircraft, a nonlinear flight control law was presented increasing rapidly.
base on the nonlinear structure adaptive model inversion system,.
The sufficient and necessary condition of the control law was In this paper, a nonlinear structure adaptive model
analyzed. Finally the results of the height-angle maneuver inversion flight control algorithm [9-12] is proposed. It
simulation shows that the designed control system has good synthesizes the advantages of the model reference control,
performance. feedback linearization and adaptive control theory, overcomes
the shortcomings of the feedback linearization algorithm which
Keywordsnonlinear system; structure adaptive model needs the exact mathematic model, and it also has good
inversion control; flight control
adaptive ability for the system model nondeterminacy and the
disturbance. This algorithm is a direct adaptive control method,
I. INTRODUCTION which has the advantages of on-line real-time application, and
The super-maneuvering property is one of essential meets the requirements of complex nonlinear systems.
performances for the advance fighter. The aerodynamic
derivative changes acutely with the changing of flight altitude, II. SYSTEM MODEL
mach number and deflection of control surface, at the same
time, the aerodynamic parameters will be delay and coupling. General dynamic system can be show as the form of
The flight dynamics system has very complicated nonlinear differential equation (1):
feature. Under these circumstances the control system will be
impacted by several environmental disturb or self faults, so the F m a m V
M dL dt

flight control system must have the ability to resolve the all
nonlinear problem directly, and have self-adaptive capacity to (1)
meet the requirement of control quality and ensure safety.
Where M , L are the torques and the moment of
To the complicated nonlinear system, the traditional
algorithms such as small perturbation equation and line momentum respectively, V , a , F are the speed, the
feedback base on limited benchmark balanced state point acceleration and the forces. The kinematic part can describe the
cannot meet the system capability requirement. Recently the mathematical relationship between the state parameters exactly,
dynamic inversion theory is used, and is proved by flight test General dynamics due to the influence by the factors such as
successfully. However this algorithm needs high credibility force, mass, inertia and external disturbance, cannot be
nonlinear aircraft model. The papers [2-4] use the sliding-mode completely accurate description and need to structure
control, neural network and auto-disturbances rejection to parameter adaptive law of uncertain parameter estimation, or
improve system performance, and enhance the system use parametric identification to of obtain the uncertain
robustness. The receding horizon optimal (RHO) algorithm [5], parameters.
afford another way to solve those problem, but still has some
disadvantage including huge calculation in linearization Generally the nonlinear system can be described as
method at each sampling point, and applying difficultly in kinematic state variables and dynamic state variables and
engineering. A new method named back stepping [6-8], which is system is divided to run equation and dynamic equation. We
combined with neural network and fuzzy control, has good consider nonlinear dynamical systems that can be categorized
control effect. This method still has problem of inflate as these sets of differential equations, these sets of differential
calculation, and it is difficult to be used online. The virtual equation can be compactly written in the following structure
control parameters growth in exponential form along with the state space form:
This work is supported by Beijing Higher Education Young Elite Teacher
Project, No.YETP1760.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 332
x p f1 ( x p , xv ) Then the controller can be expressed as (6):
(2)
1
xv f 2 ( x p , xv , w) g ( x p , xv , w) u H ( x p , xv , w) wf wf
(3)
u M 1 1 G <
1

y c( x p , xv ) xp
(4) wx p wx p
(6)
Where [ x p xv ]T M is compact subset of R
mn
, wf1
1

M G
1
<
u R m is vector of the control input, y R m is vector of the wx
p

control output, w R is vector of an unknown changing with
k
Formula (5) can be expressed as (7)
the system status.(2) is Kinematic formula between vectors of e Ce Ke
T
system status [ x p xv ] ,(3)is the dynamic relationship of the (7)
wf1 wxv G > wf1 wxv @ < M u 0
1
state vector xv under the influence of force or torque,(4) is

1 1
system output, x p , xv are vectors of System kinematics state It only needs to solve M and [wf1 wxv ] , the
and dynamic state respectively. f1 ( x p , xv , w) is continuous controller can be designed, so it is called the model inverse
control system.
function with mth-order sub differentiation.
f 2 ( x p , xv , w) R is the nonlinear term including the inertia
m
IV. PARAMETER ADAPTIVE LAW DESIGN
state and the dynamic coupling, g ( x p , xv , w) R is the
m In the formula (6) G and M are ideal values for
parameters of formula (3), G and M are the estimate values
control influence term, H ( x p , xv ) R is the nonlinear state
m
at each state point. The control law in Formula (6) is designed
terms. in the ideal conditions. However in the actual state, we need
the estimator of G and M are required to meet formula (6)
III. SYSTEM CONTROL LAW DESIGN and (5), The adaptive change law for parameters should be
For system described as formula (2) to (4), we find the designed in order to let G and are close to ideal value.
M
Substituting G and M in (7), then dynamic error of
1
feedback control law u M (G < ) to ensure the
nonlinear system can track the reference state, and the estimated value is as follows:
dynamic error can satisfy the following relations:
wf1 wxv [G > wf1 wxv @ < M
1
e Ce Ke u ] (8)
e Ce Ke 0 (5)
In ideal conditions, the control law
Where e x p x pr is dynamic tracking error,
wf1 wxv [G > wf1 wxv @ < Mu ] 0 subtracts (8), then:
1
C ! 0, K ! 0 are positive definite weight matrixs.

e Ce Ke wf1 wxv [G > wf1 wxv @ < M
1
The control selected to ensure the dynamic error satisfies u]
wf1 wxv [G > wf1 wxv @ < Mu ]
(5) is showed as follow: 1
1
wf wf1 M )u ]
wf [(G G ) ( M (9)
u 1 g ( x p , xv , w) 1 x p wxv
wxv wx p wf1
[G Mu ]
wf1 wxv
[ f 2 ( x p , xv , w) H ( x p , xv , w)]
x pr
wxv
Where G G G and M M M , G and M
C ( x p x pr ) K ( x p x pr )` are the error between the estimated value and the ideal value.
Define: Theorem 1: The nonlinear system described by (2), (3)

and (4) would be stable, if the control law and parameter
wf1 wf
< x p 1 H ( x p , xv , w)
x pr adaptive law described in (10) are adopted.
wx p wxv
C ( x p x pr ) K ( x p x pr )
f 2 ( x p , xv , w) G and g ( x p , xv , w) M
333
The general thrust vector aircraft nonlinear mathematical
u M [G > wf1 wxv @ < ]
1 1
model [9-10] can be described by the following structural state
space form:
< wf1 wx p x p wf1 wxv H ( x p , xv , w)
1

x pr C ( x p x pr ) K ( x p x pr ) (10) I, T,\ , x , y , z

M * 2 wf1 wxv eu p q sin I tan T r cos I tan T
T
T
q cos I r sin I
G *1 wf1 wxv T e q sin I sec T r cos I sec T
V cos D cos E cos T cos\
Where *1 *2 is the positive definite symmetric adaptive V sin E (sin I sin T cos\ cos I sin\ ) (11)
weight matrix, whose valve is close related to the adaptive law V sin D cos E (cos I sin T cos\ sin I sin\ )
of parameters G and M
, and needs several adjustments and V cos D cos E cos T sin I
optimizations [8-9]
. V sin E (sin I sin T sin\ cos I cos\ )
V sin D cos E (cos I sin T sin\ sin I cos\ )
V sin E sin I cos T V cos D cos E sin T
V. FLIGHT CONTROL SYSTEM DESIGN V sin D cos E cos I cos T

^
z xz xz x y z z y z xz `
l I n I I I I I pq I I I I 2 qr (I I I 2 )
x z xz

m Iy Iz Ix pr Ixz r p Iy
2 2

^ `
l Ixz n Ix Ixz Ix Iy Iz qr Ix Ix Iy Ixz pq (IxIz Ixz )
2 2
D m
p g (cosD cos E sinT sin E sinI cosT
q sinD cos E cosI cosT)
r L (mV cos E) g(x , x , w) u
V g (sinD sinT) V cos E p v
(12)
D g (cosD cosI cosT) V cos E
E ( pcosD sin E qcos E

cos E
r sinD sin E)
(DtgE Y sec E) mV
g (sinD sin E cosI cosT V
g (cosD sin E sinT cos E sinI cosT) V
psinD r cosD
Defines:
p qsinItgT r cosItgT
xp >I T \ x y z@
T qcosI r sinI
qsinI secT r cosI secT
xv >p q r V D E@
T
V cosD cos E cosT cos\
T
V sin E(sinI sinT cos\ cosI sin\)
u G a G c G r G y G z G e f1(xp , xv , w) V sinD cos E(cosI sinT cos\ sinI sin\)
V cosD cos E cosT sinI
Where Ge Ga Gr Gc G y G z are angle of horizontal
V sin E(sinI sinT sin\ cosI cos\)
V sinD cos E(cosI sinT sin\ sinI cos\)
tail, aileron, rudder, canard, thrust vector nozzle at y direction, V cosD cos E sinT V sin E sinI cosT
thrust vector nozzle angle at z direction. V sinD cos E cosI cosT

>I,\ ,T , x, y, z, p, q, r,V ,D , E @ are Euler angle, position and
velocity components in the body frame. If state
parameter x >I,\ ,T , x, y, z, p, q, r,V ,D , E @ , then the
control parameters are showed as follows:
334
g pG a g pG c g pG r g pG y g pG z g pG e aircraft is changed to 180 degrees, we decreases the angle of
g qG attack and accelerate the aircraft.
g qGc g qG r g qG y g qG z g qG e
a
g ( x p , xv , w) g rG a g rGc g rG r g rG y g rG z g rG e The Kerbst maneuver flight can effectively narrow the
gV G a gV G c gV G r gV G y gV G z gV G e turning radius in the air combat, and it also has some practical
gDG gDG c gDG r gDG y gDG z gDG e application in air combat and avoiding missiles attack.
a
g EG a g EGc g EG r g EG y g EG z g EG e
In the herbst maneuver flight, the longitudinal and the
M R 6u6 yaw control are more intense, The speed, angle of attack and
angular velocity change acutely. In this condition the control
l I z n I xz I xz I x I y I z pq
requirements are more higher. And the controller performances
(I x I z I xz2 )
I z I y I z I xz qr
2
can be fully verified in the herbst flight.

m I I I pr I r 2 p2 I
y z x xz y The altitude of aircraft flight is 5000m, Ma=0.36,
l I xz n I x I xz I x I y I z qr maneuver action begins after 5s, the biggest angle of attack is
(I x I z I xz2 )
I x I x I y I xz pq
2 70 , roll around aircraft velocity vector axis when the angle of
attack is 50, and the aircraft begins to float fly when it rolls
f2 ( xp , xv , w) D m g ( cosD cos E sinT sin E sin I cosT over 180 ,at the same time decreases the angle of
sin D cos E cosI cosT )
L (mV cos E ) g (sin D sinT ) V cos E attack ,diving accelerates, and returns to level flight.
g (cosD cosI cosT ) V cos E
( p cosD sin E q cos E r sin D sin E ) cos E The weight values of the control system are as follows:
(D tgE Y sec E ) mV
g (sin D sin E cosI cosT V C diag >16, 260,80, 250, 60,180@
g (cosD sin E sinT cos E sin I cosT ) V
K diag >10,30,120,125,12, 220@
p sin D r cosD
G The adaptive weight parameters are as follows:
H ( x p , xv ) >O @ wf1 wx p R 6u6 (13)
* 1 diag > 25,500,16,100,10, 6@
The matrix M in Eq (13) is composed of the aircraft *2 diag >12,100,12,16,8, 20@
aerodynamic derivative and the flight state parameters. From
Simulation results are shown in figure 1
determinant of matrix we can see the matrix is non-
M 80
singular matrix. So the inverse matrix 1 exist.

M
60

>wf1
wxv @ consists of the system state
1
The matrix 40
, / deg
parameters such as V , D , E , I , T , and \ . The upper left 20
>wf1 wxv @ is nonsingular, so the matrix

1 0
quadeant of matrix
0 5 10 15 20 25
>wf1 wxv @
1 Time / sec
is nonsingular. The inverse matrix of
>wf1 wxv @ is exist. So we can conclude that we can find the

1
controller in the aircraft flight envelope. 200

100
VI. SIMULATION ANALYSIS
, , / deg
To analyze the control performance at high angle of

attack flight, This paper simulate the Herbst maneuvering, to -100
test the the control system adapt to the nonlinear dynamics. -200
0 5 10 15 20
Time / sec
The Herbst maneuver flight process is as follows: Aircraft
pulls up at the flat flight, then increases the angle of attack and
deceleration rapidly, when the angle of attack increases to a
large zone, change the aircraft's course through rolling rapidly
around the aircraft velocity vector axis, when the course of the
335
100 high angle of attack flight, and post-stall maneuver. The control
p
performance is good in the range of high angle of attack flight.
q
p, q, r / deg/sec r
VII. CONCLUSION
This paper has designed the control system for aircraft with
0
thrust vector, through the herbst maneuver flight simulation
that the system is proved to be a good solution to the high angle
of attack flight control for nonlinear maneuvering flight. It can
0 5 10
Time / sec
15 20
control the aircraft accurately. The adaptive performance
analysis of the algorithm is the next study and verification.
5200 REFERENCES
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336
The indoor real-time 3D localization algorithm using

UWB
Xuehong Li Shuhua Yang *
School of Automation School of Automation
University of Science and Technology Beijing University of Science and Technology Beijing
lixuehong1220@163.co m yangshuhua@ustb.edu.cn

AbstractThe actual location application always demands prospect [2, 3]. Such as building fire rescue, only get the
rapid initial positioning, high real time performance and high precise three-dimensional position of the people, can we carry
accuracy. In order to meet the demands above, this paper mainly out effective rescue. Warehousing logistics management, is
focus on the UWB indoor real-time 3D TDOA localization generally the spatial distribution of goods, only to realize 3D
algorithms based on the kalman filter. Firstly, the LKF, EKF and positioning for storage of goods, handling, and outbound links
UKF algorithms are applied to 3D localization, and the model to realize effective management pattern. In addition, the mine
parameters are given. And then, this paper proposes a safety production, precious materials monitoring, shopping
collaborative algorithm which is the Chan algorithm provides the malls, require three dimensional space real-time dynamic
initial value and the LKF, EKF, UKF real time positioning
positioning [4]. The UWB 3D indoor positioning technology is
algorithms do the subsequent operations, and proposes a method
in the primary stage of development, the three dimensional
to switch the algorithms dynamically. Finally, the result of the
simulation shows the indoor real-time 3D dynamic positioning space indoor real-time dynamic positioning algorithms still
algorithms achieve a good performance in both speed and
need further research and perfect.
precision. So, this paper mainly based on kalman filter (KF) UWB
indoor real-time 3D TOA positioning algorithm, in order to
KeywordsUWB; real time positioning; 3D location; kalman find a small calcu lation complexity, good real-time, high
filtering
positioning accuracy, and effective algorithm.
I. INT RODUCT ION II. UWB TOA 3D POSIT IONING MODEL

With the emergence and development of the global satellite
The M (M t 4) anchor nodes in 3D positioning are
positioning technology, people pay attention to the location-
based service (LBS) mo re and more, and gradually rely on described by ANi (i 1,2, , M ) the coordinate of i th
navigation and positioning. The 80% of the activities are held node ANi is ( xi , yi , zi ) . Mobile node is used by MN , which
indoors, so demands for indoor positioning is growing. Places position is ( x, y, z) .Measure the TOA value d i wh ich is the
such as the exhibition hall, warehouse, supermarket and
distance of MN and ANi (i 2, , M ) ,and di ,1 is the relative
workshop complex indoor environment often need to
determine the precise location of the equipment, items, and distance, which is the short of distance MN to ANi ( i 2,, , M ) ,
staff, in order to realize intelligent, reliable, efficient and and MN to AN1 .
systematic scheduling management [1].
According to the principle of electromagnetic wave di ( xi x)2 ( yi y)2 ( zi z)2
1
propagation being limited by the location accuracy and di ,1 di d1
complex indoor environment, traditional positioning 2
technology is difficult to meet the demand of positioning.
Ultra-wideband (UWB) technology with its unique advantages, A. TDOA LKF3D positioning algorithm
can satisfy the requirement of indoor high-precision In the process of position tracking, because the time
positioning. interval of adjacent distance is short, the position node moves
However, the study of two-dimensional plane indoor static slowly, mutation status generally will not happen, so we can
positioning is enough, and the research of three dimensional assume that in unit time interval the mobile node is uniform
space indoor real-time dynamic positioning is relatively less. motion [5]. Assuming that the motion parameters of mobile
And the former is difficult to meet the needs of user location node for the 3D coordinates of target at a certain mo ment and
applications, three-dimensional space indoor real-time dynamic the direction of the velocity components. Then model the LKF
positioning has more practical significance and application 3D algorithm.
Equation (2) is transformed into linear observation equation,
Corresponding author: Shuhua Yang
the vector form is:
Email: yangshuhua@ustb.edu.cn
978-1-4673-7995-3/15/$31.00 2015
c IEEE 337
Z HX ( x x) 2 ( y y ) 2 ( z z ) 2 ( x x) 2 ( y y ) 2 ( z z ) 2
DQG 2 2 2 1 1 1

( x3 x)2 ( y3 y )2 ( z3 z )2 ( x1 x)2 ( y1 y )2 ( z1 z )2
h( S k )
x2,1 y2,1 z2,1 0 0 0
x y3,1, z3,1, 0 0 0 2
( xM x) ( yM y ) ( zM z ) ( x1 x) ( y1 y ) ( z1 z ) ( M 1)u1
2 2 2 2 2
H 3,1,

Because h(Sk ) is nonlinear, use Taylor series expansion, the
xN ,1 y N ,1 z N ,1 0 0 0 ( N 1)u6
Jacobi matrix at Sk 1, k of h(Sk ) is H k :
ZKHUH xi1 xi x1 , yi1 yi y1 , zi1 zi z1 ,
K 2 K1 d 2d 2,1d1 2 wh1 ( Sk 1, k ) wh1 ( Sk 1, k ) wh1 (Sk 1, k )

2,1
0 0 0
K K1 d 2d3,1, d1 2
w x w y w z
Z 0.5 3 ,
3,1

wh ( S ) wh ( S ) wh ( )
S
2 k 1, k 2 k 1, k 2 k 1, k
0 0 0
K
N K d 2
2 d d ( N 1)u1
N ,1 1
Hk wx wy wz
1 N ,1
,
DQG Ki xi 2 yi 2 zi 2 .

In this positioning system, the motion parameters of MN whM 1 ( Sk 1, k ) whM 1 ( Sk 1, k ) whM 1 ( Sk 1, k ) 0 0 0
are 3D position coordinates and the velocity components of wx wy wz
( M 1)u 6
different directions. So the state vector at time k for mob ile
T
node MN is Sk xk yk zk Vkx Vky Vkz 6u1 , where each
wh1 (Sk 1, k ) x x2 x x1 .
component is the location and speed of MN in the cartesian
wx ( x2 x) ( y2 y) ( z2 z )
2 2 2
( x1 x) ( y1 y)2 ( z1 z )2
2
coordinate system.
The state equation is the same with TOA LKF3D
The state equation of TOA LKF 3D algorithm is:
algorith m, according to Equation (4). Thus, we can p ut the
Sk ASk 1 Wk 1 4 above model parameters in EKF iterat ive process, which can
realize TOA EKF real-time 3D spatial orientation.
1 0 0 'T 0 0 EKF3D positioning algorithm iteration process is [7, 8]:
0 1 0 0 'T 0
(1)Initialization, set the value of 6 3 = . 4 5
0 0 1 0 0 'T
where A ,
0 0 0 1 0 0 (2)Next predict : 6. . $6 . .
0 0 0 0 1 0

0 0 0 0 0 1 6u6 (3)Mean square error : 3N N $3N $7 4 .
'T=t k tk 1 shows positioning system samp ling time (4)The filter gain : . N 3N N + N7 + N 3N N + N7 5
T
Wk = wkx wky wkz wkV wkV wkV
x y z
is a Gaussian white noise. (5)State estimates: 6 N 6N N . . = N K6N N .

The observation equation of TDOA LKF 3D algorithm is: (6)Error covariance estimates: 3N , . N + N3N N .
Zk HSk Vk 5
Return the estimates Sk , Pk , and p repare the init ial value
where, Z k is the value of Z at time k Vk is the measurement for the next iteration.
noise vector of time k .
C. TDOA UKF3D positioning algorithm
Thus, we can turn the above model parameters in LKF In this method, the state equation and observation equation
iterative p rocess to realize TDOA LKF real-time 3D spatial is same with TDOA EKF3D algorith m, which is described as
orientation [6]. (4) and (6).
B. TDOA EKF3D positioning algorithm For N dimensional positioning system, transform the state
vector X by UT, namely, accord ing to the expectation and
To reduce the number of anchor nodes which participate in
variance of X, select a group of samp ling points F i
positioning, use Taylor series expansion linearization,
Equation (2) can be exp ressed as nonlinear observation symmetrically. The UT transformation formu la is as follows [9,
equation: 10]:
Zk h(Sk ) Vk 6
F0 X

where Zk [d2,1, d3,1, , dM ,11 ]T is the observation vector of time k,
F i X ( N O ) Px i
i 1,2, , N 7

Vk is the Gaussian white noise vector at time k.

F j X ( N O ) Px jN
j N 1, N 2, ,22N
N
338
where, X is the mean value of X Px is the variance matrix and E 2.
of X O D ( N J ) N shows the distribution parameters,
2
(e)Predict measurement sampling points :
which determines the sig ma d istribution around X D , J are
yki / k 1 h( xki / k 1 ), i 0,1, ,2 N .
constant, D is ratio, (Take a small constant commonlysuch
as: 1 t D t 104 ), J is a secondary dimension parameters (f)Mean and variance of measurement value of predict ion and
(common ly set 0 d J d N ) ( N O ) Px i
is the matrix square measured values and the state vector covariance:
root of i th column. 2N
Z k / k 1 wi yk / k 1
m i
This paper studies the three-dimensional positioning i 0
system so N 3 and set D 0.7 J 3 . Q is the 2N
PZZ wi ( yk / k 1 Z k / k 1 )( yk / k 1 Z k / k 1 ) R
c i i T
covariance matrix of process noise, set i 0

2N
PXZ wi ( xk / k 1 Sk / k 1 )( yk / k 1 Z k / k 1 )
c i i T
0 0 0 0 0
0 i 0
0 0 0 0 0
0
(g)Calculate UKF gain: K PXZ PZZ1 .
0 0 0 0 0
0
Q
0 0 0 G 0
0 (h)Get the update state vector : Sk Sk / k 1 K (Z k Zk / k 1 ) .
0 0 0 0 G 0
(i)Get the estimat ion error of covariance matrix
0 0 0 0 0 G
estimation : Pk Pk / k 1 KPZZ K T .
where G is the standard deviation of process noise. R is
the observation noise covariance matrix, set (j)Return the estimat ion of SkPk , prepare the initial value for
R diag (V 2,1
2
,V 3,12 , ,V M2 ,1 ) and V i ,1 is the standard deviation of the next iteration.
noise.
III. IMPROVE T HE COLLABORATIVE REAL -TIME POSITIONING
Take each matrix vector into the following UKF3D
localization algorithm iterat ive process, in order to realize the In the scene of actual location, it is generally intermittent
TDOA UKF3D positioning. interval, real-time locating and tracking. positioning interval
maybe very big, but it requires high initial positioning rapid in
UKF3D localization algorithm iteration process is: each positioning, real-time positioning, high positioning
(a)Give a in itial value of the algorithm, input accuracy and so on. Therefore, this article puts forward to
using Chan3D localization algorithm to get the location of the
S0 E > S0 @ , P0 E (S0 S0 )(S0 S0 )T Q and R . Where, E >@ initial value accurately, and provided it to the subsequent real-

means take a matrix average operation. time 3D localization algorithm based on KF. In this way, can
satisfy the initial positioning rapid calibration, and subsequent
(b)According Equation (7) to do UT transform (where X S0 ), KF based 3D localization algorithm converges faster, so as to
predict the state sampling points get 2 N 1 sigma ensure the effect of truly achieve real-t ime accurate positioning,
points Fi , i 0,1, ,2
,2NN take the state vector dimension N 3 . and meet the needs of rapid in itial align ment. I mprove the
collaborative real-time positioning process is shown in figure 1.
(c)Calculate the new state vector : xki / k 1 AFi , i 0,1, ,2
, N.
Chan algorithm P osition based on KF MN
(d)Predict the mean and variance:
2N
Sk / k 1 w
i 0
m i
x
i k / k 1 , Pk / k 1 Fast initial alignment stage Real-time positioning stage The output stage
2N
w (x
i 0
c
i
i
k / k 1 Sk / k 1 )( xki / k 1 Sk / k 1 )T Q
Figure 1. Improve the collaborative real-time positioning process
m c
where w is a weight nu mber, w is covariance weight,
i i A. Fast initial alignment
calculating formula for weight coefficient is: The positioning algorithm based on KF needs given the
current coordinates of the known or orig inal coordinate in
m O O
w0 , w0c 1D 2 E i 0 advance. Though we commonly set the observed value for the
N O N O first time as the state of the init ial value for iteration process, a
1
wim wic i 1, ,2N
,2 N diagonal matrix is the covariance matrix init ial value of the

2 N O filter estimate [11]. But in actual applicat ion, because it is hard
to obtain relatively accurate in itial value, several iterat ive
where E is common ly relative with the distribution of the state arith metic needs to return the actual location. So it is common
variables, this positioning system is Gaussian system, to lead the start positioning with big error, iterat ive
339
convergence speed is slow, poor real-t ime performance, due to get more accurate in itial positioning coordinates, and
positioning accuracy. When under the condition of the given greatly imp rove convergence speed, can quickly obtain high
initial value error is big, EKF algorithm is usually spread location estimat ion accuracy, improve the defects caused by
performance, estimate the result can't convergence. the initial value uncertainty. Chan3D localizat ion algorith m is
demonstrated by the simu lation results with real-t ime 3D
To improve these problems, take the average value of
localization algorithm based on KF, the improvement of the
beginning static sampling points as initial value, or take large algorith m can effectively achieve in itial positioning
state estimation covariance matrix init ial value, in this way,
applications faster calibration requirements .
even if the state of the initial value error is big, we can also
make the algorithm faster convergence based on KF. But t he
above methods is not good, so it is necessary to explore new
methods. This article puts forward to provide position to
estimate the initial value by Chan localizat ion algorith m,
combined with the collaborative localizat ion algorith m based
on KF algorith m, can effect ively achieve the starting location
faster calibrat ion requirements. TDOA algorith m, for examp le,
the simulation verifies the good features. Initial align ment
stage, sampling for the first time, when g ive an arbit rary init ial
value, the simulat ion results are shown in figure 2, the init ial
positioning estimated coordinates is shown in table 1.
Table 1. The initial location coordinates
Node coordinates X(m) Y(m) Z(m) Figure 3. Chan algorithm provides initial value simulation
Actual position 1.0000 0.5000 1.0000 B. Dynamically switch of real-time positioning algorithm
Chan3D-TDOA 0.9493 0.3860 1.1035 In a real scenario, positioning in real-time dynamic
LKF3D-TDOA 1.1337 0.2830 1.4836 positioning stage, the mobile node MN needs to build the
scope of the anchor nodes dynamic list within to maintain a
EKF3D-TDOA 0.3499 -0.2184 2.4135 communicat ion, the number of AN is refreshing at time n.
UKF3D-TDOA 2.0926 0.5190 1.8392 Positioning accuracy and real-time requirements are always
changing. So in order to meet the demand of pract ical
orientation better, the positioning can be divided into three
categories:
1 less AN (like n 4 ), general location accuracy, high

real-t ime: Calculat ing MN coordinates when adopting EKF3D
dynamic positioning algorith m, this algorith m can decrease in
positioning anchor node number, save hardware cost.
2 less AN number, high location accuracy, general real-

time: By UKF3D dynamic localization algorithm calculat ing
MN coordinates, the algorithm co mputational co mplexity is
slightly larger than EKF3D dynamic positioning algorith m,
but the precision is h igh, require less number of anchor nodes,
can save hardware cost.
3 mo re AN number (like n t 6 ), general location

accuracy, high real-t ime: Calcu lating MN coordinates when
Figure 2. Arbitraty initial value simulation adopting LKF3D dynamic positioning algorithm, the
algorith m co mpute less, high real-t ime performance, general
The table 1 shows that the real-time positioning algorith m accuracy, need more anchor nodes to positioning.
based on KF, when the initial value is given unaccurately,
initial position precision is ext remely low, relatively, Chan3D- Based on the above three kinds of orientation, set the
TDOA algorithm estimation is relat ively accurate. And the algorith m switching module, set the number o f positioning
figure 2 shows that EKF3D-TDOA location accuracy serious anchor nodes n , positioning accuracy V (value 1: general; 2:
decline, slow convergence. higher), positioning real-t ime requirements (value 1: general;
2: higher).
When using Chan3D-TDOA localizat ion algorith m
provides the initial value of location estimate, the simulat ion
result is shown in figure 3. Contrast figure 3 and figure 2
shows that the real-time positioning algorith m based on KF,
340
H 0 : 4 d n d 5,V 1,W 2 EKF3D

H1 : 4 d n d 5,V 2,W 1 UKF3D 8
H : n t 6, LKF3D
2
According to the type of ternary hypothesis test, according
to a set of parameters V W , and the anchor node AN
number on the list within co mmun ication scope, dynamic
selection switch 3D dynamic positioning algorithm.
IV. LOCALIZAT ION ALGORIT HM SIMUNLAT ION ANALYSIS
A.The contrast of 3D positioning error

In order to compare several positioning algorithms performance,
this paper gives all kinds of localization algorithms simulation error
under different noise measurement. The comparison of the 3D Figure 6. contrast of positioning component error and position error
positioning error and position error is shown in figure 4, figure 5, when V = 0.3m
figure 6, respectively set V = 0.08m, 0.2m and 0.3 m.
B.Operation efficiency and positioning accuracy contrast
When the observation noise standard deviation is constant,
position the weight error and error curve shows the same trend. Fro m the above conclusions, the Chan+Taylor3D -TDOA
Under the same observation noise standard deviation V , the position algorith m location effect is not very good, location accuracy
error of Chan+UKF3D-TDOA, Chan+EKF3D-TDOA and depends largely on the accuracy of the threshold method, the
Chan+LKF3D-TDOA are much smaller than Chan3D-TDOA algorith m co mputational co mplexity is very big, not suitable
algorithm. Though it is fair with Chan+Taylor3D-TDOA algorithm, for real-t ime dynamic positioning. So, we co mparative analyze
but it is more stable than Chan+Taylor3D-TDOA algorithm. When V Chan3D-TDOA, Chan+LKF3D-TDOA, Chan+EKF3D-TDOA
is small, the performance of Chan3D-TDOA positioning algorithm is and Chan+UKF3D-TDOA algorith ms by the CDF curves. As
better, but it has big volatility. When V is large, the positioning
shown in figure 7, 8, and 9, the observation noise standard
accuracy of Chan3D-TDOA algorithm significantly lower and deviation, respectively set V = 0.08m, 0.2m and 0.3m in
positioning error is bigger, the dynamic localization algorithm based
on KF has more positioning effectiveness. various algorith ms under different position precision
corresponds to the CDF convergence curve. Simu lation data
by repositioning average estimate of 200 independent.
As shown in figure 8, take the observation noise V = 0.2m,
when the positioning accuracy within 0.4m, the CDF of
Chan+LKF3D-TDOA, Chan+EKF3D-TDOA and
Chan+UKF3D-TDOA algorithms reached more than 95%, is
better than that of Chan algorithm is 40%. When positioning
accuracy within 0.4m, Chan+LKF3D-TDOA, Chan+EKF3D-
TDOA and Chan+UKF3D-TDOA algorith m CDF reached
more than 95%, is better than that of Chan algorithm. When
positioning accuracy within 0.2m, the CDF of Chan+EKF3D-
TDOA and Chan+UKF3D-TDOA algorith m is above 85%,
and Chan+LKF3D-TDOA algorith m is near to 15%, Chan
Figure 4. contrast of positioning component error and position error algorithm is to be around 2%.
when V = 0.08m Contrast figure 7, figure 8 and figure 9, we can see that the
positioning performance of four kinds of localizat ion
algorith ms will reduce with the increase of the observation
noise, but Chan+EKF3D-TDOA and Chan+UKF3D-TDOA
algorith ms can maintain relatively near the high positioning
accuracy, especially Chan+UKF3D-TDOA algorithm, even
when take the observation noise V = 0.3 m, positioning
accuracy within 0.25m, the CDF can reach above 80%.
Chan3D-TDOA algorith m, when the observation noise is
small, it is better to locate, but with the increase of the
observation noise, the positioning performance fell sharply.
Chan+LKF3D-TDOA performance is relat ively co mmon,
although the positioning performance is better than Chan3D-
TDOA algorithm, but it is not stable as Chan+EKF3D -TDOA
and Chan+UKF3D-TDOA algorithm.
Figure 5. contrast of positioning component error and position error
when V = 0.2m
341
accuracy is higher, but in the case of large observation error
the positioning performance is greatly reduced. It is not
suitable for the subsequent real-time dynamic positioning.
Although Chan+LKF3D-TDOA algorith m belongs to the
second category of equivalent linearization method, wh ich
without any approximation, only through the equation
transformation, t ransform the nonlinear equations into linear
equations, and solve it. The calculation is s mall, good real-
time performance, but the location performance is less than
Chan+EKF3D-TDOA and Chan+UKF3D-TDOA algorith ms.
Chan+EKF3D-TDOA and Chan+UKF3D-TDOA algorith ms
is the first kind of appro ximate linearization method,
Chan+UKF3D-TDOA algorithm co mputational complexity
greatly increased due to UT transformat ion, but the
Figure 7. CDF contrast of 3D positioning error when V = 0.08m positioning precision is higher. In conclusion, the TDOA 3D
dynamic positioning algorith m based on KF has better real-
time performance and high positioning accuracy. It could be
selected, which algorithm is suitable for dynamic positioning
according to the requirements such as the specific location.
REFERENCES
[1] Wan Qun, Guo Xiansheng, Chen Zhangxin. Indoor positioning theory,
method and application [M]. Beijing: Electronic industry press, 2012, 9.
[2] Onalaja O, Siyau M F, Ling S L, Ghavami M. UWB-based Indoor 3D
Position Estimation for Future Generation Communication
Applications[C]. IEEE International Conference on Future Generation
Communication Technology, 2013: 16-20.
[3] Pan M S, Tsai C H, T seng Y C. Emergency guiding and monitoring
applications in indoor 3D environments by wireless sensor networks[J].
International Journal of Sensor Networks, 2006, 1(1): 2-10.
[4] Li Hui, Li Layuan, Li Fangyun. A new kind of WSN three-dimensional
Figure 8. CDF contrast of 3D positioning error when V = 0.2m positioning mechanism [J]. Computer engineering and application, 2010,
46(14): 115-118.
[5] Zhang C, Kuhn M, Merkl B, Mahfouz M. Accurate UWB Indoor
Localization System Utilizing Time Difference of Arrival Approach[J].
IEEE Radio and Wireless Symposium, 2006: 515-518.
[6] Kalman R E. A new approach to linear filtering and prediction
problems[J]. Journal of Fluids Engineering, 1960, 82(1): 35-45.
[7] Hinsbergen C, Schreiter T, Zuurbier F S, et al. Localized extended
kalman filter for scalable real-time traffic state estimation[J]. IEEE
Transactions on Intelligent Transportation Systems, 2012, 13(1): 385-
394.
[8] Gordon N J, almond D J, and Smith A F MA Novel Approach to
Nonlinear Non-Gaussian Bayesian State Estimation [J]. IEE Proceedings
on Radar and Signal Processing, 1993, 140 (2): 107-113
[9] Crassidis J L. Sigma-point Kalman filtering for integrated GPS and
inertial navigation[J]. IEEE Transactions on Aerospace and Electronic
Systems, 2006, 42(2): 750-756.
[10] Bosch M, Najar M. Unscented kalman filter for location in Non Line of
Sight[J]. Vectors, 2006, 2.
Figure 9. CDF contrast of 3D positioning error when V = 0.3m [11] Fu Mengyin, Deng Zhihong, Zhang Jiwei. .Kalman filtering theory and
its application in the navigation system [M]. Beijing: Science press,
2003.
V. CONCLUSION
Chan3D-TDOA algorithm co mputational co mplexity is the
smallest, in condition of less observation error the location
342
Operator and sliding mode based nonlinear control

for cooling and heat-retention system
actuated by peltier devices
Takafumi Hatano Mingcong Deng Shin Wakitani

The Graduate School of Engineering The Graduate School of Engineering The Graduate School of Engineering
Tokyo University Tokyo University Tokyo University
of Agriculture and Technology of Agriculture and Technology of Agriculture and Technology
2-24-16 Nakacho, Koganei, 2-24-16 Nakacho, Koganei, 2-24-16 Nakacho, Koganei,
Tokyo 184-8588, Japan Tokyo 184-8588, Japan Tokyo 184-8588, Japan
Email: deng@cc.tuat.ac.jp
AbstractIn this paper, a nonlinear control system is designed

for a Cooling and Heat-retention system using Peltier devices.
First, Stability of this system is guaranteed by the operator theory.
Second, tracking performance is compensated by Sliding Mode
Control with reducing the chattering using sigmoid function.
Third, tracking performance is proven. Finally, the effectiveness
of the designed controller is shown by simulation results.
KeywordsPeltier device; Cooling and Heat-retention system;

nonlinear control; Sliding Mode Control
I. I NTRODUCTION Fig. 1: Cooling and heat-retention system
Peltier device is a thermoelectric conversion device using

Peltier effect which has a characteristic that one side is
endothermic and the other side is exothermic when current
is applied. Many research for Peltier device is performed [1]
[3]. The system considering the effective utilization of energy
is proposed. However, Peltier devices have nonlinearity and
the system has modeling error, so it is difcult to control this
system. So, in previous research [7], the system is stabilized by
using the Operator theory [6]. There are some research using
Peltier device for thermal control based on the Operator theory
[4], [5]. Furthermore, in order to compensate the tracking
performance, PI controller has been used. However, the system
is affected by the disturbance as the much opening or closing Fig. 2: A front view of the proposed system
of the door. And, the target temperature of the system is
changed frequently by contents in cooling and heat-retention
room. In this case, conventional PID controller cant respond
adequately. So, advanced tracking controller is needed. In this II. P ROBLEM S TATEMENT
paper, Sliding Mode Control [8], [9] is introduced as a tracking
controller. The outline of this paper is as follows. In Section II, A. Cooling and Heat-retention System
the problem statement is given. The Peltier device model and The Cooling and Heat-retention System is shown in Fig. 1.
the Cooling and Heat-retention System model are proposed in Furthermore, the front view about the model is shown in Fig. 2.
Section III. In Section IV, using operator theory and Sliding
Mode Control which are one of the nonlinear control theory, Cooling and Heat-retention System is covered with adi-
nonlinear control system is designed. In order to show the abatic material to maintain the cold or heat temperature.
effectiveness of designed controller, simulations in case of The aluminum plate in Peltier devices keeps the connection
target temperature changes are performed in Section V. Finally, between the cooling room and heat-retention room, which has
the conclusion of this paper is given in Section VI. excellent thermal conductivity. The Cooling and Heat-retention
978-1-4673-7995-3/15/$31.00 2015
c IEEE 343
System has a heat-retention room in the upper part and a
cooling room in the lower part. It is based on the characteristics
that cold air is easy to fall and warm air is tend to rise. There
are three Peltier devices sandwiched between two sheets of
aluminum plates in the center of system. First, the cooling
room is cooled down by these Peltier devices. Second, due to
heat generated at the same time with the cooling, an aluminum
plate of heat-retention room side is heated. Third, the heat is
diffused by fan-motor inside of heat-retention room, and heat-
retention room is heated. At this time, the temperature of heat
retention room becomes constant value due to stirring with fan-
motor. However, if the heat is sent to the heat-retention room
at this rate, the temperature would continue to rise. Finally, in
order to keep the temperature constant, the heat is absorbed
by Peltier devices on a top of heat-retention room.
B. Sliding Mode Control Fig. 3: The concept of Sliding surface

Sliding Mode Control is a theory which can design a non-
linear control system with a very good robustness. Sliding
Mode Control can be readily applied to a system with a amount, and uh is the exothermic amount of a Peltier device.
linear system, nonlinear system parameter variation system, the ud and uh are shown as follows.
time-varying system, the unknown parameters and unknown
disturbance. By designing the characteristics desired as a 1
ud = Sp Tc i Kp (Th Tc ) Rp i2 (3)
switching surface, it is possible to bind the system to the 2
characteristics of the desired. Sliding Mode Control has two 1
uh = Sp Th i Kp (Th Tc ) + Rp i2 (4)
characteristics. The rst is non-linear control. It has the 2
property that the control input is varied discontinuously, .
The second is adaptive control. If there is a sliding mode, Tc :Temperature of endothermic side of Peltier device [K]
the state is adapted to the characteristics of desired. If the Th :Temperature of exothermic side of Peltier device [K]
position of the system state moves upper to lower or lower to i :Input current value [A]
upper of the Sliding surface, feedback gain will be changed.
When the state position is reaching to the Sliding surface, it Sp Tc i and Sp Th i means the amounts of heat transferred to
is called as reaching mode. And, the state is constrained the endothermic side from the exothermic side by the Peltier
to Sliding surface by fast switching, a state in which the effect. Kp (Th Tc ) is the heat transferred by the temperature
sliding towards the origin is called sliding mode. The state of difference inside the device. In two equations, the Joule heat
sliding to the origin is very important, so this control theory is is occurred one side assuming that it is half. Thus, 12 Rp i2
called as Sliding Mode Control. Its ideal for Sliding Mode represents the Joule heat of one side. Furthermore, energy
Control if the frequency of switching is innite, but there is no conservation law is established from the relationship between
innite frequency in reality. Therefore, chattering due to nite the amount of exothermic and the amount of endothermic.
switching frequency becomes a problem. However, chattering Therefore, Eq. (3) and Eq. (4) are converted into Eq. (5).
measures have been also often designed, Sliding Mode Control
has many examples of application in the real system. uh = ud + iV (5)
And, V is shown as Eq. (6).
C. Design of Sliding surface
V = Rp i + Sp (Th Tc ) (6)
The concept of the Sliding surface on the 2-dimension of
phase plane is shown in Fig. 3. For a sliding mode on the phase In the Eq. (6), Sp (Th Tc ) represents Seebeck electromotive
plane, as indicated by the arrows in Fig. 3, if S > 0, the state force.
approaches the S = 0. And if S < 0, the state also designed
to approach the S = 0. This conditions can be expressed as B. Modeling of the system
follows in the formula.
The modeling conditions are shown in [7].
lim S 0, lim S 0 (1)
S+0 S0 In this paper, some laws about heat conduction are used in
If this formula is written more easily,Eq. (2) is given. modeling, which are shown as follows.
0
lim SS (2) 1) Newtons law of cooling
S0
q = T (7)
III. M ODELING
A. Modeling of Peltier Device q :Heat ux [W/m2 ]
:Thermal conductivity [W/m2 K]
In this section, modeling of the endothermic amount and
the exothermic amount are discussed. ud is the endothermic T :Temperature variation [K]
344
Fig. 6: Designed Controller
are obtained as follows.

Fig. 4: Aluminum plate models dy0 m0 ca
Q0 : = 2(ud1 + i1 V ) + Qf0 (9)
dt
dy1 ma ca
Q1 : = 2ud1 (S1 2S2 )y1 Q12 (10)
dt
dy2 m2 c2
Q2 : = y2 Q2 2Qf5 + Q12 (11)
dt
dy3 ma ca
Q3 : = 3(ud5 + i5 V ) + 2Qf5 (12)
dt
dy5 ma ca
Q4 : = 3ud5 (13)
dt
dy5 m5 c5
Q5 : = y5 Q5 (14)
dt
Fig. 5: Inside of Cooling and Heat-retention System models Furthermore, from the equations of heat capacity on Part
0, Part 1, Part 2, Part 3 and Part 5, the differential equation
(Eqs. (15)-(19)) are given.
dy0 2(ud1 + i2 V ) + Qf0

2) Equation between heat capacity and objects and their Part 0 : Q0 : = (15)
dt m0 c a
specic heat dy1 2ud1
Part 1 : Q1 : = + A11 y1 + A12 y2 (16)
dt ma c a
dQ = cmdT (8) Part 2 : Q2 :
dy2
=
Qf 5
+ A21 y1 + A22 y2 (17)
dt m2 c 2
dy3 3(ud5 + i5 V ) + 2Qf5
Part 3 : Q3 : = (18)
dt ma ca
dQ :Variation in heat capacities [J] dy5 3ud5
Part 5 : Q4 + Q5 : = A5 y5 (19)
c :Specic heat [W/m2 K] dt ma c a + m5 c 5
m :Mass [kg]
dT :Temperature variation [K] Here, A11 , A12 , A21 , A22 and A5 is represented as follows.
2S1 + 2S2 S1
As shown in Fig. 2, the system is decomposed into ve A11 := A12 :=
ma c a ma ca
parts when modeling is performed. Then, Part 2 and Part 5
S1 S1 + Q2
are cooling and heat-retention rooms and Part 1, Part 3 and A21 := A22 :=
Part 4 are aluminum plates are modeled. Also, the details of m2 c2 m2 c2
the model inside the Cooling and Heat-retention System and Q5
A5 :=
aluminum plate as the controlled object are shown in Fig. 4 and m5 c5
Fig. 5. Here, the width and length of Peltier devices which are
using in this model are 40 x 40 mm. Parameters of the Peltier
These parameters of modeling are shown in TABLE I and
devices are determined by the specication sheet. In detail, the
TABLE II.
other parameters are shown in TABLE I and TABLE II.
For the heat capacity Qn (n = 0, 1, 2, 3, 4, 5) of Part n, the IV. D ESIGNED C ONTROL S YSTEM
variables of temperature change amount yn = (T0 - Tn ) (n = 0,
1, 2, 3, 5) are dened. Then, model equations (Eqs. (9)-(14)) Designed Controller is shown in Fig. 6.
345
TABLE I: Parameter of Modeling signals.
e1
Outside temperature T0 [K](initial temperature) R11 : ud1 = ma ca ( A11 y1 ) (26)
Temperature of Part 0 T0 [K] 2B1
Temperature of Part 1 T1 [K](cooling mechanism) dy1
Temperature of Part 2 T2 [K](heat-retention room) S1 : b1 = (1 B1 )( + A12 y2 ) (27)
Temperature of Part 3 T3 [K] dt
Temperature of Part 5 T5 [K](cooling room) ma ca + m5 c5
Current (Input) in = 0.0 - 3.2 A (n= 1, 5) R51 : ud5 = e5 (28)
Power-supply voltage V [V]
3B5
Peltiers seebeck coefcient Sp = 0.070 V/K dy5
Peltiers heat conductance Kp = 1.12 W/K S5 : b5 = (1 B5 )( + A5 y5 ) (29)
Peltiers resistance Rp = 3.8 dt
Heat transfer coefcient of air = 35.345 W/m2 K
Specic heat of aluminum ca = 900 J/kgK B. Tracking Controller
Specic heat of Part n cn [J/kgK] (n=2, 5)
Mass of aluminum: ma [kg] The conceptual diagram of Sliding surface on a two-
Mass of heat sink: m0 = 0.1945 kg dimensional phase plane is shown in Fig. 3. In order to get the
Mass of Part n mn [kg] (n=2, 5)
Amount of endothermic capacity Sliding mode on the phase plane, the phase plane is designed
by Peltier device udn [W] (n=1, 5) to approach s = 0 at the time of s > 0 and s < 0.
Amount of heat diffusion by fan-motor Qfn [W] (n= 0, 5)
Amount of heat transfer 1) Design of Sliding surface: The Sliding surface is de-
from Part 2 to Part 1 Q12 [W]
Amount of heat loss of Part Qn [W/K] (n=2, 5)
signed in order to converge the system when s = 0. So,
Sliding surface is designed as s(t) = ce(t). C is c > 0 and
satises the Hurwitz condition. The error function is given as
TABLE II: Parameter of Cooling and Heat-retention System e(t) = r(t) x(t). And r(t) is the target value. Here, the
direction of the state on the Sliding surface,
la =0.20 m l2 =0.20 m l5 =0.23 m
wa =0.10 m w2 = 0.10 m w5 = 0.15 m
ha =0.001 m h2 = 0.09 m h5 = 0.16 m
S1 =la wa [m2 ] S2 =1.6103 m2 s = c(r(t)
x(t))
(30)
C. Exponential reaching law

A. Right coprime factorization Generally speaking, the Sliding mode has an approaching
From the Eqs. (9)-(14), Part 1 and Part 5 are expressed as mode while s 0. In order to cause the Sliding mode, you
follows. Here, Pn (n = 1, 5) represents plant. should guarantee that a point in the state space crosses any
Sliding surface before limited time. Therefore, improvement
P1 : ud1 y1 of motion properties and reduction of chattering using the
2ud1 method called the exponential reaching law is performed this
y 1 = + A11 y1 + A12 y2 (20) time. The expression of the exponential function arrival method
ma c a
is expressed as s = sgn(s) ks. When the locus in the
P5 : ud5 y5 phase plane is far from a Sliding surface, k of ks raises
3ud5 it enough. Then, the convergence time can short and the
y 5 = A5 y5 (21)
ma c a + m5 c 5 chattering can decrease. However, the convergence to s = 0
is asymptotic because s = s(0)ekt is used. Here, s(0) is
Based on the Operator theory, Eq. (20) and Eq. (21) an initial value. And, The condition Eq. (2) is not enough
have right factorizations(Pn = Nn Dn1 ) which are shown as as a guarantee of the convergence to a Sliding surface in the
follows. Here, Nn and Dn are stable operators, and Dn is limited time. The exponential reaching law can expressed as
invertible. u = ul + unl . ul is called as the equivalent control. ul is a
clause to describe the dynamics of the Sliding mode. ul is
2ud1 set in order to remain on s = 0 of the sliding side on the
D11 : w1 = + A11 y1 (22)

ma c a Sliding surface. unl is a discontinuous clause that is a clause
x 1 = w1 + A12 y2 to guarantee convergence in the limited time in the plane that
N1 : (23) is chosen. unl is a discontinuous member that is a member
y1 = x1
to guarantee convergence in the limited time on the Sliding
3ud5
D51 : w5 = (24) surface. unl = sgn(s), > 0 which is a discontinuous
ma ca + m5 c5 member, and ul = ks which is member of equivalent control,

x 5 = w5 A5 y5 using these two clauses, a control scheme is chosen as follows.
N5 : (25)
y5 = x5
s = sgn(s) ks, > 0, k > 0 (31)

For satisfying the Bezout identity (Sn Nn + Rn Dn = In ),
the invertible and stable operator Rn1 , and the stable operator
Sn are designed. Therefore, the plants, Eqs. (22)-(25) have Compare with Eq. (30) and Eq. (31),
a right coprime factorization, and the nonlinear closed-loop
becomes BIBO stable. Sn and Rn1 are shown as follows (n =
1, 5). Here, B1 , B5 are design parameters. e1 and e5 are error s = c(r(t)
x(t))
= sgn(s) ks( > 0, k > 0) (32)
346
And, if assigned to the Eq. (22) and Eq. (23) to Eq. (32),
sgn(s) + ks 2ud
= + A11 y1 + A12 y2 (33)
c ma c a
By solving this for ud , ud is written as follows.
ma ca sgn(s) + ks
ud = { + A11 y1 + A12 y2 } (34)
2 c Fig. 7: Sigmoid function
This is the output of the Sliding mode.
Moreover, Final Sliding Mode Control method is used.
This control method is producing a sliding mode only after E. The proof of tracking performance
the state of the system arrives at the sliding side. And the
control input for sliding mode is found. The control input is The Eq. (34) is solved for y2 ,
generally decided by Lyapunov function. Lyapunov function 1 2 + ks k
is selected as follows. y2 = { ud + sat(s) + r A11 y1 }
A12 + k
c
ma c a c c
(39)
1 2 When, coefcients of ud , sat(s), r, y1 are replaced by

V = s (35) , , , ,
2
y2 = ud + sat(s) + r y1 (40)
And the derivative of this function can be written as
follows. And, ud is considered as ud = G(r y). ud is multiply
by the gain G by the Sliding Mode Control to the deviation.
V = ss = s sgn(s) ks2 (36) y2 = G(r2 y2 ) + sat(s) + r y1 (41)
G
y2 = r+ sat(s) + r y1
This is, meet the following conditions. 1 + G 1 + G 1 + G 1 + G
(42)
V = ss 0 (37) Considering the Sliding Mode Control and gain G is
sufciently large, it can be written as follows. y2 = r. Part
5 can prove as same process. The tracking performance is
Thus, the stability of the Sliding Mode Control is ensured, proven.
trackability was compensated.
V. S IMULATION R ESULTS
D. Chattering reduction In this paper, the case where the target temperature is
changed by the contents is simulated. How to change the target
The newly introduced sgn(s) becomes 1 when s < 0, temperature are as follows. In this simulation, the number of
and becomes 1 when s > 0. This switch is ideal if done Peltier devices was one by one respectively above and below.
in innitesimal of time, but it depends on the sampling
time in the real system. Thus it becomes a cause of the
chattering. Therefore, this time, the saturation function sat(s) 10(0 t < 100) 5(0 t < 100)
is introduced. r2 = 12(100 t < 250) r5 = 6(100 t < 250)

10(250 t 500) 5(250 t 500)
(43)

1, s >
2 The temperature graph of the heat-retention room is shown
sat(s) = 1+e(ax)
1, |s| (38) in Fig. 8, and the temperature graph of the cooling room is

1, s < shown in Fig. 10. In these graphs, red line is the PI control
result, blue line is the Sliding Mode Control result and green
line is the target temperature. Overshoot in Fig. 8 is caused
|s| function is commonly referred to as a sigmoid by limitation of input value. Control input value of the heat-
function. Sigmoid function is shown in Fig. 7. retention room and cooling room are shown in Fig. 9 and
347
Fig. 8: Temperature of Part 2 Fig. 10: Temperature of Part 5
Fig. 9: Input of Part 2 Fig. 11: Input of Part 5
Fig. 11. PI control has greatly overshoots each time the target [3] R. Venkatasubramanian, E. Siivola, T. Colpitts, and B. OQuinn, Thin-
temperature is changed. Sliding mode is tracking immediately lm thermoelectric devices with high room-temperature gures of merit,
the target value. From these results, the proposed control Nature, Vol. 413, pp. 597-602, 2001.
system can track the target temperature. Therefore, it is veried [4] K. Takahashi, M. Deng, Nonlinear sensorless cooling control for a
that the control system is effective. peltier actuated aluminum plate thermal system, Proceedings of The
2013 International Conference on Advanced Mechatronic Systems,
pp.1-6, 2013.
VI. C ONCLUSION [5] M. Deng, S. Wen and A. Inoue, Operator-based robust nonlinear control
In this paper, a Cooling and Heat-retention system using for a Peltier actuated process, Measurement and Control, Vol. 44, pp.
116-120, 2011.
Peltier devices is proposed. The main purpose is to improve the
[6] M. Deng, Operator-based Nonlinear Control System Design and Appli-
tracking performance by using sliding mode. In older to verify cations. Wiley-IEEE Press, 2014.
the proposal method for tracking performance, we compared [7] T. Hatano, M. Deng, S. Wakitani, A Cooling and Heat-retention System
PI tracking and sliding mode tracking by simulation. Actuated by Peltier Device Considering Fan-motor Control, Proc. of the
IEEE International Conference on Automation Science and Engineering,
R EFERENCES Taipei, Taiwan, 2014.
[1] J. A. Chavez, J. A. Ortega, J. Salazar, A. Turo, and M. J. Garcia, SPICE [8] V. Urkin, J. Guldner, and J. Shi, Sliding Mode Control in Electrome-
model of thermoelectric elements including thermal effects, Proceedings chanical System, ,Taylor & Francis, 1999.
of 20th International Conference on Thermoelectrics, pp. 1019-1023, [9] D. Wang, Q. Zhang, A. Wang, and T. Yan, Robust Nonlinear Tracking
2000. Control Design for IPMC Using Neural Network based Sliding Mode
[2] W. Seifert, M. Ueltzen, C. Strumpel, W. Heiliger, and E. Muller, One- Approach, Proceedings of the 2014 International Conference on Ad-
vanced Mechatronic Systems, pp.1-6, 2014.
dimensional modeling of a Peltier element, Proc. of 20th International
Conference on Thermoelectrics, pp. 439-443, 2001.
348
978-1-4673-7995-3/15/$31.00 2015
c IEEE 349
350
351
352
Evaluation Method of Main Production Resource of

Society and Industrial Park of Extreme Arid Region (2)
Zulati Litifu
Statistics and Information Institute Xinjiang University of Finance and Economics and the Key Research Center of Humanities and
Social Sciences in the General Colleges and Universities of Xinjiang Uygur Autonomous Region
No.449 Beijing Middle Road of New City Area, Urumqi, China
zulati@qq.com
Abstractthis research presented three kinds of evaluation to the reserving energy resources, such as raw coal and crude
methods that can be feasibly applied for the short energy and oil and so on, the available amount of energy is considered to
water sources areas, such as the evaluation methods of regional estimate sustainable period for regional economy. However,
potential energy including the estimation of general potential as to the other renewable energy, such as wind energy, solar
energy, and the energy used in the industrial production process,
energy, tidal energy, wasted heat energy, biomass energy,
and also the available renewable energy that may be developed.
The Potential Energy Index that can describe the effective hydraulic energy, the contribution of such kinds of energy has
support period for society economy is presented in this paper. the obvious annual characteristics, hence the regular number
The Input and Output Theory is used for converting the is essential target that can be derived from experiment
renewable energy into the regular energy resources that can be operation record, and the energy contribution can be reflected
regarded as a steady energy element in the society economy by the difference of regional annual load demand and annual
system. This paper also considered the evaluation method of the power output from each kind of energy [1]. The last result is
degree of energy intensive utilization in the process of industrial the number of demanded load divided by the number of
production and society utilization, the evaluation of industrial reserved energy. By this way, the Potential Energy Index may
process mainly deals with the Industrial Parks that widely exist
provide the information of sustainable period consisted by all
in short energy area.
kinds of regional energy.
Index Termsenergy evaluation methods, short energy areas, As to the evaluation of power utilization of society, such
potential energy index, renewable energy regulation, input and as power utilization in the fields of living and industrial and so
output theory on, this denotes the degree of power utilization efficiency.
Considering the reality of industrial park model in China now,
the power efficiency deeply depends on the technology of
I. INTRODUCTION production process and power saving efficiency of equipments
It is important to estimate the general energy condition in under using; the evaluation index may be different along with
a short energy area, especially under the condition of saving the different region. Hence, this paper has not provided the
energy and developing the renewable energy. Usually, the concrete evaluation index; the national evaluation reference
support ability of existing local energy can entirely represent can be used for local enterprises. And the evaluation of living
the possible sustainable period for the regional or society power demand shows strong statistic characters, the degree of
economy, which shows the ability and information when the standard may compare with the number of other region in the
entire local energy is developed and consumed. By this way, same prefecture and province or the other provinces, the rank
people may clearly understand and control the entire and of efficiency degree may be derived in according to regional
future sustainable period of the energy in their own region. condition. As to the third method of energy evaluation, the
Actually, many areas have been ignoring the research related available power from each kinds of renewable energy is
to this field, the economic development can not match for the regarded as the steady and regular power [2], this way may
energy condition, especially the peoples in short energy areas, shows very important and practical meaning along with the
the situation of high and over limit energy consumption development of renewable energy. Usually, the green energy
happens always. The Potential Energy Index proposed in this is the main target to develop in short energy area, and along
paper takes six kinds of energy that exist in the most regions with the development of application technology, the power
of China as the example, even if some places are without six quality from wind and solar energy that widely exist in short
kinds energy, such situation will not affect the calculation energy areas of China and other countries may be better
result of potential energy. In the practical application, the regulated and applied, the influence of wind and solar and so
contribution of each kind of energy should be determined, as on may be reduced in a large degree, hence the output of
Financial support of this research is from National Natural Science

Foundation of China with Grant Number: 41261107 and the Fund of the Key
Research Center of Humanities and Social Sciences in the general Colleges
and Universities of Xinjiang Uygur Autonomous Region (050313B02).
978-1-4673-7995-3/15/$31.00 2015
c IEEE 353
various renewable energy can be regarded as the steady and Entire energy investigation
regular power just as the traditional power like thermal and
hydropower. Here, the contribution from the renewable energy
is introduced into Input and Output Table as the consumed
energy element, therefore, the developed renewable energy
may be involved in the society economic system. Entire natural Entire renewable
reserved energy energy
This research denotes the basic evaluation methods of
regional energy of short energy areas; the procedure of the
mentioned methods covers all possible accepts of consumed
energy, it will be very useful for the practical application.
Scale of regional society economic evelopment
II. EVALUATION METHOD OF GENERAL REGIONAL ENERGY BY
APPLYING POTENTIAL ENERGY INDEX
Scale of regional society economic development
Potential Energy Index is established based on natural
energy situation and investigation in target region, which can
clearly and simply represent the natural energy and it is the
prerequisite of energy development and easy to be corrected Formation of Potential Energy Index
by following the increment of regional population
Figure 1. The derivation process of Potential Energy Index
A. The basic conception of Potential Energy Index
In a short energy region, the economic development B. Derivation of Potential Energy Index by Reserved Energy
tightly depends on the energy supply ability, it is necessary to in the Target Redion
estimate the scale of reserved energy and renewable energy to Six kinds of energy that widely exist in the regions of
establish energy sustainable period that denote the safe China are considered in this paper as shown in Fig.2, the
energy supply time. The potential energy index consist of the most important in this figure are in order of hydraulic energy,
possible power from the all kinds of energy that exist in target solar energy and wind energy. In Xinjiang Region, the most
region, here, the entire explored energy reserves, such as raw important energy is solar energy in the short energy areas. In
coal and crude oil should be included in the index. And the this paper, considering the normal using purpose, the tidal
renewable energy that has annual characters, such as wind energy that often happens in the near sea is involved.
energy and solar energy and hydro energy and so on, this Xinjiang Region has condition to develop biomass energy
energy can be recycled and serve for generating power every since this region has well developed animal husbandry, and
year, therefore, the contribution of these energy should be the there are many forest and agricultural waste. Anyway, the
counted annually and show the converted and regulated
steady power information. Fig.1 shows the basic conception
of Potential Energy Index.
Figure 2. The coeffcients of Potential Energy Index related to six kinds of energy that widely exist in the regions of China
in the region of Tarim Desert, solar energy shows rich with In this function, ERS indicates the entire reserved energy in the
long time and strength sunshine. The meaning of Potential target region, which relates to the entire raw coal eRC and
Energy Index can be expressed by reserved energy matrix as crude oil eRO as well as natural gas eGS that possibly exists in
shown by the equation (1). target region. Here, the equation (1) indicates the entire
reserved energy that should be converted into same unit of
E RS [eRC , eRO , eGS ] (1) Standard Coal Equivalent (SCE), hence the coefficient matrix
is introduced as shown by the equation (2)
354
RRS [rRC , rRO , rGS ] (2) way if the sites are not more than 10. Calculation separates
10-minute wind data into the different direction by using
Where, RRS is energy coefficient matrix that consists of three Direction Codes as referred from [2], and then, converts 10-
converting coefficients of three main resources, such as the minute data into hourly average wind speed in defined
raw coal rRC and the crude oil rRC as well as the coefficients of direction. This process can be expressed by equation (4):
natural gas eRC. The number used for determining the
potential energy index is shown by the equation (3):

ri j > n (k k ) / N @u100% (4)
kk

vi j (v1k k v2k k ... vmk k ) / m
E ER RRS u E RS
(3) where; rij is hour ratio of wind in direction code kk (there are
[rRC , rRO , rGS ] u [eRC , eRO , eGS ]T 16 codes in Table 1), i and j indicate number of site and wind
In equation (3), EER is converted number with the unit of direction, n is wind blowing hours in direction kk and N is
standard cola equivalent. And this result can be directly general blowing hours in all direction. Results of rij show us
applied for the calculation with the result of renewable energy. the best wind direction of the site, in which WPT may work
steadily and efficiently. v1k k , v2k k ,..., vmk k are converted hourly
C. Derivation of Potential Energy Index by Renewable
Energy in the Target Redion wind speed, hence vijkk is average wind speed in direction kk.
Results of vijkk show us the strongest wind speed that may
Derivation of renewable energy shows strong annual
generate more wind power, vijkk locates at row i, column j of
characters, in this research, six kinds of renewable energy are
Wind Vector Matrix. If we have five wind directions in the
considered. Anyway, there may be other kind of renewable
application, therefore, the Wind Vector Matrix is:
energy in practice; the contribution of such energy should be
kk kk kk kk kk
added in Potential Energy Index. The possible maximum v5kk [ v 51 ( r51 ), v 52 ( r52 ), v 53 ( r53 ), v 54 ( r54 ), v 55 ( r55 )]
annual generation from renewable energy is considered.
Therefore, if we take such six kinds of renewable energy as Define V as the wind matrix obtained above, V0 is rated wind
the example, we have following procedure as shown in Fig 3 speed matrix of selected wind power turbine, therefore Wind
Generation Matrix of all sites is determined by equation (5):
Investigation of renewable energy

gij C1 (vij ) C2 (vij ) ... Cs (vij )
kk 1 kk 2 kk s
(5)
gWP >gW 1 , gW 2 , gW 3 , gW 4 , gW 5 @

The maximum power generation form
investigated renewable energy Where, C is known coefficient on the Output Character Curve
of wind turbine. With the same way, we can regulate solar
energy, hydraulic energy and other kinds of energy. In this
Value of steady and regulated power research, we take six kinds of energy as the example,
generation in the year therefore, the Generation Matrix from renewable energy can
be formed as follows:
Converting process of generation into g WP1 g WP 2 g WP 3 g WP 4 g WP 5

standard coal equivalent g SP1 g SP 2 g Sp 3 g SP 4 g SP 5

g HP1 g HP 2 g HP 3 g HP 4 g HP 5
G g BP1
Formation of Potential Energy Index g BP2 g BP3 g BP4 g BP5 (6)

Figure 3. The derivation process of Potential Energy Index from renewable g WH 1 g WH 2 g WH 3 g WH 4 g WH 5
energy in the target region g g mTP 5
TP1 g TP 2 g TP 3 g TP 4
Processing initial data of renewable energy is very
important for estimating possible generated capacity. Here, Here, assume that five sites are available to generate electric
wind power is taken as the example; we can estimate solar power from each kind of renewable energy; hence we may
and other kinds of renewable energy with the same method. obtain the Generation Matrix of 5 by 6 order matrix as shown
When regulate wind power, valid wind speed over 4.5m/s and in equation (6). And then, the coefficient matrix is necessary
accumulated blowing hours about 5000hr annually are to convert matrix (6) into standard coal equivalent (SCE).
expected, and the blowing hours in the main direction should Since the regular and statistic value of electric generation is
occupy 30% of annual windy hours in all direction. To obtain derived from practical operation, the available power
the precise wind data is difficult in practice, scattered wind generation of daily, monthly and yearly can be determined,
data could not be used for estimating wind generation. To hence the steady power generation in matrix (6) can
precisely describe wind condition on a large area and make converted into standard coal equivalent based on (7):
relative calculation easier, Wind Vector Matrix is therefore
derived by computing program; it is recommended by manual RRE [rWP , rSP , rHP , rBP , , rWH , rTP ] (7)
355
And then, the converted contribution is with the unit of B. Efficient Index of Regional Industrials Energy
standard coal equivalent as shown by equation (8): The systemic indices are consisted of three groups of
ERE RRE u G (8) indices [3], which may entirely express the energy utilization
condition of the regional industrial parks.
In this fiunction, ERE denotes the energy matrix with the unit 1) Efficient index of energy conservation
of standard coal equivalent, RRE is coefficient matrix shown This index much more deals with the historical energy saving
by (7), the G is generation matrix given by (6). Up to now, ability of industrial parks and enterprises, the unit of this
we have determined the contribution of reserved energy and index is usually energy consumption of ten thousands Yuan.
renewable energy by different method. The next step is to Energy consumption of unit product and comprehensive
obtain the Potential Energy Index in target region. energy consumption rank in the same industry to reflect the
D. Formation of Potential Energy Index in Target Region level of energy consumption. Therefore, this index may be
realized by determining energy consumption value and
The efficient value of reserved energy and renewable
comparison activities. The annually energy consumption
energy may be obtained from equation (3) and (8), here,
value ECEP may be determined by equation (11):
considering the annual characters of contribution from
renewable energy; the contribution is reflected by the annual ECTE
load minus generated power from renewable energy as shown ECEP (11)
by equation (9). Anyway, the energy that has not developed
V AEV
for utilization may be added to quantity of reserved energy. Here, ECTE is consumed total energy in the year, and VAEV is
the annual output value by consuming ECTE. Ranking
E ARL EGRL E RE ( E RLi E REi ) ... ( E RLn E REn ) (9)
position in industrials can be determined by equation (12):
In this function, EARL is general-actual load in the year of RI [ R1 , R2 ,....Rh, Ri , R j , ....., Rn ] (12)
target region; EGRL is regional apparent load annually, ERE is
determined by equation (8). When the renewable energy is Equation (12) is the order data matrix with increasing number,
directly connected to special load given number i to n, and the rank position RI can be determined only when Rh< Ri <Rj.
then, ERLi and EREi respectively denotes the special load that is this data is applied in comparison activity.
feeding by renewable energy EREi. Now, we have Potential
Energy Index of target region, especially short energy region: Start evaluation process of the efficiency of
E
regional energy uyilization
ERi
K SY (10)
E ARLi Original data investigation of enterprises
In this function, KSY is Potential Energy Index that indicates and other units of electric load
the sustainable year (or the month if necessary) with the unit
of year. EER and EARL can be obtained by equation (3) and (9).
Selection of the suitable theory method to
estimate energy utilization efficiency
III . EVALUATION OF UTILIZATION EFFICIENCY OF REGIONAL
INDUSTIALS AND OTHER UNITS USING ENERGY
A. The concept of Energy Utilization Effciency in a Target Theoretical calculation to determine the
Region energy utilization efficiency
In a region, especially in a short energy region, the

estimation of consumed energy in industrial parks and other Comparison the result with same region and
units is very important for determine the efficiency of energy province and other provinces
utilization. Here, the unit of efficiency usually is [economic
value/ton energy], in China we use [ten thousand Yuan/ton Figure 4. The evaluation procedure to determine energy utilization
energy]. This efficiency also deals with the technique level of efficiency in a target region
production process of enterprises, the equipments with high The rank position in comparison may results score that
technology may save big amount of energy in production. reflects the level in same or all industrials.
Fig. 4 shows the basic procedure of energy utilization 2) Efficient index of energy saving measures
efficiency. In practical application we have three main indices In estimating some indices, it is difficult to determine the
that may be deduced from many ways. Now, we take the exact numeric value, the qualitative analysis is therefore well
main power load of regional industrial parks as the example necessary. Sometimes, experts may indicate the relative
to explain energy utilization efficiency. importance of each measure in application. Such activities
may lead to subjective problems. The stuffs in charge of
energy statistics in enterprises are also good candidates to
serve for expressing energy saving measures. The evaluation
356
from stuffs make basis to estimate real situation, the results of denote the comsumed amount of renewable energy and total
evaluation can be divided into several degree that matching comsumed energy, then, it can be expressed by equation (16):
for target region, for example, the referred material [3] gives
results as shown in Table 1. This result may be applied for rRE ECRE ETCE (16)
many analyses, such as Analytic Hierarchy Process (AHP). Although the mentioned four proportions can denote the
efficiency of energy utilization, this research add two
TABLE I. THE LEVELS USING FOR ENERGY EVALUATION OF INDUSTRIALS
important aspects of the technological level of modernization
5HIHUHQFHV /HYHOVLQHQHUJ\HYDOXDWLRQ and development speed of renewable energy, which have
direct relation with saving energy activities of industrial park
OHYHOVLQRUGHU
and enterprises. Energy saving efficiency from high
HYDOXDWLRQUHVXOWV 93 SRRU IDLU JRRG 9* technology in production process may be expressed as:
Note: V.P and V.G denote very poor and very good 'EHT ECEO ECEN (17)
There are several indices to estimate the condition of Here, EHT is energy expected to save in improving technique
energy saving measurements that should be determined based of production process, ECEO and ECEN are respectively
on the actual environment of production and enterprises, for consumed energy originally and consumed energy with new
examples, the energy saving activities including special work technique. With the same way, the index of developing speed
groups, special measures, the achievement before and process of renewable energy is used for showing the ability in
of energy conservation. As to selection of analyses methods, developing renewable energy, it can be expressed as:
the Grey Analysis Method (GAM) and Analytic Hierarchy
Process (AHP) show good function in the energy estimation. rDS GNED GOPV (18)
3) Efficient method of energy saving potential Here, GNED and GOPV denote annual growth speed of
The reference material [3] provided the index of energy developing renewable energy and output value of production.
saving potential that consists of the four aspects, such as Now, the six methods may cover all aspects of saving energy
following meaning and equations: and energy utilization efficiency[4].
a) The cost proportion of energy saving investment
This ratio shows the information between annual IV. EVALUATTION OFENTIRE REGINAL ENERGY BASED ON
operating cost VOC and energy saving investment VESI that THE IMPUT AND OUTPUT THEORY
can be expressed by equation (13): In regional energy evaluation, to convert the consumed
energy, especially the renewable energy into the regional
rES VESI VOC (13)
economic system is important and essential for the future
b) The proportion of production capacity of large direction of energy utilization. In this research, the evaluation
advanced equipment method consider the regulation of renewable energy and add
consumed renewable energy into economic system, it is the
This ratio denotes the occupied proportion rp of large and developing target of regional energy and its evaluation.
advanced equipemrnts PLE in the total prodution capacity
PTPC of an industrial park or enterprise, which can be A. The Basic Concept of Evaluation Based on the Input and
expressed by equation (14): Output Theory
Not like traditional energy, renewable energy has
rP PLE PTPC (14) unsteady characters, the fluctuation of electric parameters,
such as wind and solar and so on. In practical application, the
c) The proportion of high value-added products electric fluctuation may influence the stability of main power
This ratio indicates the occupied proportion of output vale system. However, along with the development of regulator
from high value-added products VHAP in total output value and converter technology, it is possible to regard renewable
VTOP of an industrial park or enterprise, it can be expressed by energy as a part of traditional energy based on the efficient
equation (15): quantity of consumed energy, and add it in economic system.
B. The method to covert renewable energy into the input and
rHAP VHAP VTOP (15)
output system
d) The proportion of consumed renewable energy in Now the new energy developed by enterprises inside and
total energy consumption in the target region outside industrial parks makes energy efficiency improvised
This ration provided the information of utilization ability in a large degree. Here, two conditions need to be considered:
of an industrial park or enterprise in using solar energy, wind for a big economic system, when capacity of renewable
energy, hydropower, nuclear power and thermal energy, energy is lower than 3% in total demanded energy, then the
biomass energy and other new energy for the production contribution is difficult to reflect in efficiency. Anyway, for a
process. Defining rRE the ratio, ECRE and ETCE respectively small economic system, the energy efficiency need to detail
consider by calculation method in local economic system.
357
The consumed renewable energy is usually used in the type Equation (24) shows much more efficient for analyzing
of electric power that may be converted into economic value regional environment and energy in practical application of
as shown by equation (19): eco-industrial park or enterprises. Actually, this procedure
m n
may be used for analyzing emission and consumed energy
W T KW E Gsum T KW E gi j (19) with matrix Ac and A , this is an efficient way to estimate
i 1 j 1 operational efficiency of entire industrial park in a target
In introducing the total value W into economic system, both region. In this system, the final energy efficiency may be
types of value and real-flow methods are available. Hence, determined by the contribution from renewable energy, Fig. 5
for real-flow method, the unit is w k we t g sum , and it equal to shows the basic concept to estimate energy efficiency:
W UTable in case of value method. Here, kwe is the Energy Energy efficiency
Hybrid Power supply
included renewable Energy efficiency from
Equivalent Converting Factor for price; meaning is same as system composed by
energy industrial train
KWE. To prove this procedure is available, here introduce the renewable energy and
e=e1+e2++en
traditional energy
additional matrix X c . The equation xic j k i xi j vi j defines A=A A
elements in X c , here, k i is proportion factor of energy in the

cost of products, vi j is value given by the equation (19). Total energy efficiency based on the industrial train and renewable energy
Supposing new energy supply for sectors i and s, additional Figure 5. The total energy efficiency in an eco-industrial park considering
matrix X c may be expressed by equation (20): renewable energy and industrial train
X c k X V (20)
Make X c and local economic system in same unit, the V. CONCLUSION
energy cost used for products can be shown by equation (21): This research proved that the synthetic energy condition
> @
n n
X cc KX X c xi j (1 k i ) xic j (21) may be estimated by the mentioned methods. Potential energy
i 1 j 1 Index shows the total existing energy including explored,
Here, X cc is revised matrix, X indicates the original value exploring and reserved energy but not open for use in a target
table of input-output as below, K makes it possible to region. This index hence covers all kinds of reserved energy
introduce energy efficiency into original matrix X, it is and renewable energy. The evaluation method of industrial
formed by matrixes with two units including Energy Efficient parks and other units denotes the levels of energy utilization
Factor. In practical application, the number of matrix K is in efficiency, these indices may be determined based on the
accordance with the sector number for which new energy actual condition of industrial parks and enterprises. The
supplies power. As a result, Acc is produced in accordance evaluation method based on the input and output theory can
with X cc , it is available for environment analysis. The estimate the whole energy consumption by inserting
numerical efficiency of environment emission could be easily traditional and renewable energy into economic system, this
found by comparing revised Acc with original A . It is worth to way makes the platform for developing and introducing
mention that, this procedure may also be done by the direct renewable into local economic system. Therefore, this
consumption matrix. In the mentioned condition, additional research may provide the systemic methods to estimate
matrix Ac formed from wind energy value. In the same case as sustainable ability of regional energy, which cover all aspects
above, wind energy serves for sectors I and j, Ac may be of regional energy. The results from this research may be an
expressed by the n ranks matrix as: applicable reference for a region, especially for a region of
short energy.
Ac [ai j ] (i=1,2.n, j=1,2n) (22)
And then the mathematic relation of Acc may be together
REFERENCES
calculated by making the unit of Ac same as the unit of A : [1] Z. Litifu, .HQ1DJDVDNDThe research report of developing renewable
energy in Kurumori Region of Japan, 2004, Tokyo University of
x >I A Ac@ f I Acc f (23) Agriculture and Technology.
[2] Zulati Litifu , Li Jie, Yutaka Tonooka Analysis on the Local
Based on the above analysis, the elements from renewable Environment and Renewable Energy Based on Input-output Theory
energy may be added into any local economic systems that The Asian Economy and Social Environment Vol.3, 2010.
are widely used in the small and large region in Xinijang. [3] Qin Zi-6KHQJ Theoretical research and empirical analysis on the
Equation (24) provides the position for renewable energy[5]: evaluation index system of energy saving efficiency of industrial
enterprise, Master's thesis of Guang Zhou University,2010.
a11 a12 ... ... a1n [4] Wang Ying, Xu Ying, Wang Jun, Economic Statistics. published by

... ... ... ... ... Mechanical Industry Press, 2005.
ai1 aic1 ai 2 aic2 ... ... ain ainc [5] Xia Ming, Zhang Hong Xia,Liu Qi-Yun, The Theory, Methods and
(24) Data of Input and Output Analyses, SXEOLVKHG E\ 3HRSOHV 8QLYHUVLW\
Acc A Ac ... ... ... ... ...
of China, 2013.
a s1 a cs1 a s 2 a cs 2 ... ... a sn a csn
... ... ... ... ...
a a nn

n1
an 2 ... ...
358
Dynamic and Energy Analysis Based on Bumper

System Low-speed Collision Test
Zhiming Wang, Li Chen
School of Mechatronic Engineering and Automation
Shanghai University
Shanghai, China
chenli-612@163.com
AbstractThe dynamic load strength test of bumper system more effectively to evaluate energy absorption during a low-
is an important parameter for vehicle passive safety, but speed collision.
different test standards, different test requirements, which
caused much trouble to the test authority. So dynamic and During the collision, car bumper system should absorb
energy analysis based on bumper system low-speed collision test impact energy as much as possible, in order to reduce the body
is very impotant. Build parameterized model of bumper system, parts subjected to impact load, which are behind the bumper
analyse the dynamic characteristics and energy conversion system, so that to protect the components and occupant safety
characteristics when the bumper system low-speed collision better.
occurs, which is based on the ADAMS virtual prototype
technology. At the end of the paper we will use the test machine Test content: By the acceleration sensor and a force sensor,
for the dynamic load strength trials of bumper system on the we can acquire the pendulum and the test vehicle acceleration
basis of three typical standards, whose result will compare with and collision instant impact force real-timely. Drawing its
the below result that is analysed by ADAMS. According to the acceleration curve and impact force curve, these curves are
comparison we can find the correctness of the simulation result changing over time. The pendulum hammer and Experiment
is verified. Trolley acceleration versus time curve of quadratic integral,
can obtain the pendulum hammer and sled displacement versus
KeywordsBumper System low-speed collision; Dynamic and time curve and the relative displacement versus time curve, the
Energy Analysis; ADAMS invasion changes.
I. INTRODUCTION II. THE ESTABLISHMENT OF A LOW SPEED COLLISION
MODEL
The bumper system is widely using in the automobile, their
improvement method is also be paid more and more attention A. The Model of the Machine
by different automobile manufacturers.[1] Nowadays, many In order to improve the efficiency, this machine installed
countries have established relatively perfect test standards, three electric hoist cranes and three motors. In order to
such as GB 17354-1998, ECE R42, FMVSS PART 581 and improve the universality of the machine, the pendulum was
CMVSS 215, etc.[2,3,4] With reference to these standards, test adjustable, including its height and weight. Twelve sensors are
methods and performance requirements as shown in Table I. equipped to real-timely receive the test data. Four of them,
As we can see from Table I, the difference between these including a speed sensor, two acceleration sensors and an
standard test conditions, test equipments and the test methods angle encoder, are on the machine, the others, including four
are not large, the main difference: force sensors, two acceleration sensors and two color code
1) The reference height. From the point of view of car sensors, are installed on the car. This new type of dynamic
design, The center location of the bumper system is at different load strength machine mainly includes the pendulum impact
height. If the bumper system is at the same regulation height, test machine, the experiment trolley and the data processing
the protection device of some vehicles (such as MPV) is system. Its overall structure diagram of the pendulum impact
difficult to have the effect of moderate impact. Comparing test machine as shown in Figure 1.
with technical requirements of the GB 17354-1998 and the EU B. The Establishment of a Simplified Physical Model
ECE R42, FMVSS 581 can be more reasonable and effective
when evaluate the low-speed crash performance of the vehicle, In order to simplify the physical model, we can make the
the energy absorption requirements of bumper system are also following assumptions: the quality of the components are seen
higher. as rigid body, at the same time, the mass is concentrated in the
plane of symmetry, the center of gravity is in the geometric
2) The impactor. There are two kinds of the requirements center; the loaded weight of the pendulum will be simplified as
of American National Standards collision. One is an agreement a non-homogeneous rod, the center of mass is on the axis of
with GB 17354-1998 and ECE R42; the other adds a collision the rod; the weight of the hinges, screws and other fittings is
hit on the top of the plane. The aim of FMVSS 581 is to negligible, the friction between contact surface, rotation and
conside the chang of impacted center position when the sliding pair is
vehicle bumper is subjected to different impact, so that it is
978-1-4673-7995-3/15/$31.00 2015
c IEEE 359
TABLE I. DIFFERENT STANDARDS, TEST METHODS AND PERFORMANCE REQUIREMENTS
S/N Parameter GB 17354-1998 ECER42 FMVSS PART 581
BUMPER STANDARD CMVSS 215Canada
1 Impact velocity (frontal crash)Km/h 4+0.25 4+0.25 4 8
2 Impact velocity (Side impact)Km/h 2.5+0.1 2.5+0.1 2.4 4.8

3 Test Environment () RT RT RT RT
4 The load car quality vehicle servicing + passengers vehicle servicing + passengers vehicle servicing + passengers vehicle servicing
5.1 Material of impact head Hardened steel Hardened steel A1S1 4130 steel hardened(34 rockwell"C" Hardened steel
5.2 Shape
Collider
5.3 Effective mass Be equal to test vehicle "vehicle kerb mass"

5.4 Benchmark height 445mm 445mm 20inches(508mm) 16~20inches(406~508mm)
6.1 When test, plane"A" should always keep horizontal axis and the rotation of the pendulum
Pendulum device requirements
6.2 Pendulum axis of rotation and impact center distance shall not be less than 3.3 m
negligible, and ignore the influence of inertial force of the

ooooo
Pendulum height adjusting device Pendulum lifting device

whole system. According to the proposed design above, the
Motor hoist simplified physical models and force analysis diagram under
the generalized coordinates as shown in Figure 2.
Connecting rod 1, 3 are simplified to homogeneous rod
O1A, which is between point O1 and point A, its length is L1.
O1' is its center of mass, which is also between point O1 and
Anti-secondary impact point A, its quality is m1, moment of inertia relatived to the O1
Front bumper axis is J1, the tension that comes from upper hinge is N1, the
angle with the vertical direction of the link is 1; Connecting
rod 2, 4 are simplified to homogeneous rod O2B, which is
between point O2 and point B, its length is L2. O2' is its center
of mass, which is also between point O2 and point B,its
Machine frame quality is m2, moment of inertia relatived to the O2 axis is J2,
Experiment trolley Pendulum
the tension that comes from upper hinge is N2, the angle with
Fig. 1 Overall structure diagram of the pendulum impact test machine the vertical direction of the link is 2; The loaded weight of
the pendulum is simplified to heterogeneous rod AB, which is
between point A and point B, its quality is M and centroid is
C, in order to maintain the balance of traction system. Besides,
the quality of the connecting rod 1, 2, 3, 4 are equal (m), with
respect to the moment of inertia of the solid hinges are also
equal(J):
m1=m2=2mJ1=J2=2J
Collision head The rod O1A and O2B are parallelogram arrangement:
Weight L1=L2=L1=2=
Bumper (simplified) C. The System Movement Differential Equation is Derived
Dynamics modeling methods: The Newton-Euler method,
The Lagrange method, The Principle of virtual work and The
D 'Alembert principle, etc.[5] Lagrange method is always used
to analyze dynamic problem, first at all, choosing generalized
Experiment trolley coordinates, then, listting the expression of kinetic energy,
Pendulum
potential energy and generalized force, at last, putting it into
Fig. 2 Simplified physical model and stress analysis solution. In the Lagrange equation, it does not include external
360
and internal forces, it also does not include external torque and III. VIRTUAL PROTOTYPE SIMULATION TECHNOLOGY
torque. It overcomes the shortcomings when using Newton's BASED ON ADAMS
law to derive Kinetic equations, and the form is relatively
Scope of the study of virtual prototyping technology
simple, analysis steps are normative. Accroing to The
mainly for kinematics and dynamics of mechanical systems
Lagrange equation:
analysis, the core technology is the use of computer-assisted
d ( Ek % Ek Ep analysis of kinematics and dynamics of mechanical systems
& # ! Fi (i 1,2,3,...., n) 1 analysis to determine the displacement of the system and its
dt & qi # qi qi
components at any time, speed and acceleration, while causing
In the formula above, Ek is the kinetic energy of the system, the force is determined by solving the reaction system and its
Ep is the potential energy of the system, qi is generalized various components needed for sports and other algebraic
coordinates, Fi is generalized force, n is the number of equations.
generalized coordinate systems. A. Pretreatment
The freedom of the system:F=3n-(2P1+Ph)=33-(23+1)=2 This article uses The Firm-Soft hybrid modeling method to
so it is a two degree freedom system. Under the influence of establish the simulation model. The model includes rods,
gravity, the rod AB translates along with an arc, its centroid pendulum, weights, test trolley, which are all rigid body, and
coordinate is named as (X, Y), there is a constraint equation simplified front and back bumper, which are flexible body.
between (X, Y) and : Using Hypermesh software to discrete component into a fine
grid, finite element model of the front and rear bumper skins
.x+ . L sin + as shown in Figure 3. Using Ansys to carry out modal
, y) , L L cos ) 2
calculation. Then, calculating modal is saved as a modal
neutral file MNF, finally directly put into ADAMS to establish
Considering system is consisted of two material point, we can a flexible body. [6]After importing the simulation model, it is
simplify it as a plane problem so that it just selects a necessary to define the corresponding material properties. The
generalized coordinates. Defining the connecting rod with whole finite element model including 369710 units and
vertical direction angle as the. generalized coordinates, the 378887 nodes, element types in the model including the plate
corresponding angular velocity is the generalized velocity, and shell element and beam element and rigid unit and spring
choose was right in the clockwise direction. System to make unit, etc.
free fall, gravity is a conservative force, namely the Fi = 0, the
Lagrange equation can get the following form: In order to simulate the real movement of the system, we
need to abstract the actual situation of the respective deputy
d ( L% L campaign and define deputy campaign among members to
& # 0 3
dt complete the establishment of a virtual prototype. to complete
the establishment of the virtual prototype. Constraints of
The total kinetic energy for the system: virtual prototyping as shown in Table .
/E
2
T ki (1 / 2) M ( L ) ! 2 J 2 4
In the centroid C where horizontal rod AB is zero potential

energy surface, the total potential energy of the system:
. L +
V /E pi 4mg , L cos ) ! MgL(1 cos ) 5
2
The Lagrange function becomes:
L T V
. L +
(1 / 2) M ( L ) 2 ! 2 J 2 4mg , L cos ) MgL(1 cos ) 6 (a) Front bumper skin grid model (b) Rear bumper skin grid model
2 Fig. 3 Finite element model of the front and rear bumper plastic skins
Put the equation (6) into the equation (3):
TABLE . CONSTRAINTS OF VIRTUAL PROTOTYPING
d
dt
0 1
( ML ! 4 J ) (2mgL ! MgL) sin 0 7 S/
N
Constraint
Components
Constraint
Type
S/
N
Constraint
Components
Constraint
Type
Link & Rotation Test trolley Slide
After the deformation: 1 4
Ground deputy & Ground deputy
Rod & Rotation Test trolley Fixed
( ML ! 4 J ) (2mgL ! MgL) sin 0 8 2
Pendulum deputy
5
& Bumper deputy
Weights & Fixed Pendulum Contact
This is the movement differential equation of the system. 3 6
Pendulum deputy & Bumper deputy
Below, we will use the ADAMS software to carry out
automobile low-speed collision simulation analysis based on B. Crash simulation and its results
virtual prototype technology, simulation model for the Using the ADAMS to simulate frontal crash. (1)Test
kinematics and dynamics analysis. preparation: the pendulum is pulled to the initial tilt angle,test
361
trolley with bumper is placed into position to be tested, as
shown in Figure 4(a). (2)Test start: release the pendulum,
pendulum swing along an arc under gravity,then impacts the
test trolley, as shown in Figure 4(b). (3)Collision moment:
pendulum horizontal impact test car at a speed of
regulation,bumper deformates and absorbs a part of the motion
of the pendulum, as shown in Figure 4(c)and (d) . (4)After a
collision: pendulum rebounds, test car moves backwards , as
(a) (c) (e)
shown in Figure 4(e). (5)Pendulum stops swing , the test car
stops moving, as shown in Figure 4(f).
After a frontal collision, the maximum deformation
schematic diagram of the front and rear bumper skin as shown
is Figure 5(a) and (b). Effective plastic strain of front and rear
bumper as shown in Figure 5(c) and (d).
The pendulum and test trolley acceleration versus time
curve and the collision instant impact force changing with time (b) (d) (f)
curve as shown in Figure 6. Release the pendulum, pendulum Fig. 4 Frontal crash simulation
swing along an arc under gravity, The initial pendulum
acceleration of size is gsin (045). Since then the
pendulum acceleration slowly down to 0, then, the pendulum
impact test car level flatly at a certain speed , the emergence
of the pendulum acceleration curve appears peak, the crest
peak is 7000 mm/s2, at last it converges to 0, as shown in
Figure 6(a). The direction of its initial acceleration of the
pendulum is the same as its athletic direction. Moment of
pendulum impactting test vehicle, acceleration direction of the (a) (c)
pendulum changes and changed the direction of motion of the
pendulum. Figure 6 (a) shows the absolute value of pendulum
acceleration curve over time. The initial test, the test car is
stationary, the initial acceleration of test trolley is 0; Pendulum
impact test car, test car acceleration curve of the peak, peak of
about 4000 mm/s2, finally also tend to be zero, as shown in
Figure 6 (b), In the whole test process, test car at the same
direction of the acceleration and its direction of motion. (b) (d)
Pendulum impact test car, a wave impact force curve, peak at
Fig. 5 Maximum deformation and effective plastic strain
about 9000 N.When the impact force reaches the maximum
when the pendulum and instantaneous acceleration peak also
test vehicle, as shown in Figure 6 (c).
IV. THE EXPERIMENT
This chapter analyzes the reliability verified by simulation
experiments. In the experiment, the actual test equipment and a
high-speed camera captured the moment of impact image, as (a) The pendulum acceleration versus time curve
shown in Figure 7. Two acceleration sensors, Installed on the
pendulum and test trolley, can separately measures the
acceleration of pendulum and test trolley. Four acceleration
sensors, installed on the test trolley, can measures the collision
instant strike force. Using DIAdem software to collect the data
for processing. Acceleration and impact force versus time trial
curve as shown in Figure 8. The simulation model response is
compared with the experimental results, we can see, both (b) The test trolley acceleration versus time curve
within the error allowed range is the same, indicating that the
model simulation and as a preliminary estimate is possible.
Intercepting the test trolley and impact acceleration versus
time curve at the moment of impact, to make their acceleration
curve over time for an integral respectively, we can obtain
their speed change curve over time, as shown in Figure 9. To
make acceleration curve over time for quadratic integral
(c) The impact force versus time curve
respectively, we can accurately and easily obtain displacement
Fig. 6 Acceleration and impact force versus time emulational curve
362
change curve over time, as shown in Figure 10. Pendulum and research about collision problem in multibody dynamics
test car relative displacement curve over time is called method. (3) To further improve the data acquisition precision,
intrusion volume change curve. The moment of impact optimization control algorithm. Use higher precision sensors
relative displacement versus time curve can intuitively reflects for data acquisition, control strategy and algorithm for more
the deflection of the bumper assembly. The greater the in-depth research. (4) On the experimental data, establishing a
amount of the intrusion, the larger the deformation of the scientific assessment system. Through the experimental data
bumper, the better the performance of energy absorption, and collection and analysis, hope to establish a complete set of
when the relative speed of pendulum and test car becomes 0, evaluation system, improve the credibility of the inspection
the amount of the intrusion is maximum. After the experiment, and quarantine.
using red tag to sign out the damaged parts of Lavida Derivat
bumper, as shown in Figure 11. From the Figure 11, we can
see after the experiment, lower right of the bumper plastic
bonds gap, the plastic casing is damaged above. If we know
the mass of pendulum and test car, we can get the maximum
amount of intrusion, the kinetic energy of the pendulum and
test car: the kinetic energy of the pendulum and test car are
respectively recorded as Q1 ,Q2, according to the law of
conservation of energy, the total energy system: Q=(1/2)mv2,
the quality of the pendulum is m, the value of the v measured
by the speed sensor, The energy absorbed by the bumper is as
follows: Q0=Q-Q1-Q2.
V. CONCLUSION
By creating a simplified physical model and theoretical
analysis, this paper established the motion differential
equations of the system. Using ADAMS to implement the (a) The actual test equipment
automobile low-speed collision simulation analysis based on
virtual prototype technology. Expounds the prototype
modeling steps, get pendulum motion, acceleration and
impact force changing with time curve, validate the
correctness of theoretical analysis, it provides the national
standard stipulation about collision speed with reliable
theoretical basis, it provides car manufacturers with the
reasonable suggestions about the vehicle safety performance
when the vehicle research and development.
As the bumper system of Lavida Derivat for instance, this
paper introduces automobile low-speed collision test in detail,
including the subjects, experimental conditions, the
experimental steps, etc, then drawing the experimental curve,
and the experimental results are compared with the simulation
results of the third chapter, the correctness of the simulation
result is verified. Ultimately, we prove that the tester have the (b) The collision instant image
Fig. 7 The actual test equipment and collision instant image
ability to control the impact velocity and impact energy of
error, which meets the requirements of the relevant testing
standards at home and abroad, and it is significantly lower
than the traditional test method, which shows that the tester
measuring results are accurate and reliable.
In this paper can be further researched from the following
aspects: (1) Creating impact finite element model. In this
paper, the bumper assembly is simplified, we regard that the (a) The pendulum velocity versus time curve
bumper assembly structure do not influence on the simulation
results, at the same time, it did not consider the existence of
the flexible body. (2) The collision problems for further
research in this paper, only the simplified model of the system
analysis of the simulation is verified, the constraint conditions
are relatively simple. Finite element model can create a
collision in the future, add more boundary conditions of
collision finite element simulation, and further deepen the (b) The test trolley acceleration versus time curve
363
REFERENCES
[1] Peter J. Schuster: Current Trends in Bumper Design for Pedestrian
Impact. SAE International, 2006, SAE 2006-01-0464.
[2] ECE R42: Uniform provisions concerning the approval of vehicles with
regard to their front and rear protective devices (bumpers, etc.).
[3] Federal Motor Vehicle Safety Standards and Regulations Part 581,
FMVSS Part 581: Bumper StandardPassenger Motor Vehicles other
(c) The impact force versus time curve than Multipurpose Passenger Vehicles (Effective 9-1-78 and 9-1-79)
Fig. 8 Acceleration and impact force versus time trial curve Test speeds reduced (Effective 7-4-82).
[4] Canada Motor Vehicle Safety Standard NO. 215, CMVSS 215:
Bumpers-Passenger Cars..
[5] RONG Bao RUI Xiao-ting WANG Guo-ping YANG Fu-feng,
Developments of studies on multibody system dynamics, journal of
vibration and shock, Vol.30 No.7 2011, pp. 178-187..
[6] http://tech.caenet.cn/Article3441.html.
(a) The pendulum velocity versus time curve
(b) Test trolley speed versus time curve

Fig. 9 The velocity force versus time curve
Pendulum displacement
Intrusion volume
Displacement of the car
Fig. 10 The curves of displacement with time
Fig. 11 Damage of the Lavida Derivat front bumper
364
Feasibility of NeuCube Spiking Neural Network

Architecture for EMG Pattern Recognition
Long Peng1, Zeng-Guang Hou1,*, Nikola Kasabov2, Gui-Bin Bian1, Luige Vladareanu3 and Hongnian Yu4
1
Institute of Automation, Chinese Academy of Sciences, Beijing, China
Email: {long.peng, zengguang.hou, guibin.bian}@ia.ac.cn
2
Knowledge Engineering and Discovery Research Institute, Auckland University of Technology, Auckland, New Zealand
Email: nkasabov@aut.ac.nz
3
Institute of Solid Mechanics, Romanian Academy, Bucharest, Romania
Email: luigiv@arexim.ro
4
School of Design, Engineering & Computing, Bournemouth University, Poole, UK
Email: yuh@bournemouth.ac.uk
AbstractMultichannel electromyography (EMG) signals Bayesian classifiers [8], artificial neural networks [3], Gaussian
have been used as human-machine interface (HMI) for the mixture models [9], hidden Markov models [10], fuzzy logic
control of pattern-recognition based prosthetic system in recent [11], multilayer perceptron (MLP) [12], and support vector
years. This paper is a feasibility analysis of using recently machine [13].
proposed NeuCube spiking neural network (SNN) architecture
for a 6-class recognition problem of hand motions. NeuCube is an However, current classifiers can only process temporal data,
integrated environment, which uses SNN reservoir and dynamic without considering the spatial structure of the data. Raw data
evolving SNN classifier. NeuCbube has the advantage of usually need to remove noise firstly to achieve better accuracy.
processing complex spatio-temporal data. The preliminary NeuCube is a 3-D spiking neural network (SNN) reservoir that
experiments show that Neucube is more efficient for EMG specifically deals with spatio-temporal data proposed by N.
classification than commonly used machine learning techniques Kasabov [14], [15]. It is an approximate map of human brain
since it achieves better accuracy as well as consistent with its neurons assigned to particular locations based on brain
classification outcomes. The performance of NeuCube combined coordinate systems. A SNN reservoir of 1000 (10 x 10 x 10)
with TD features reaches up to 95.33% accuracy after a careful neurons is shown in Fig. 1. The size of the SNN reservoir can
selection of the features. This paper demonstrates that NeuCube vary depending on the task and the data. It is capable of
has the potential to be employed in practical applications of learning noisy data either on-line or with low amounts of
myoelectric control.
training. These two main advantages make it useful to
KeywordsNeuCube architecture; spiking neural network;
classification problems.
EMG; pattern recognition; hand motions
I. INTRODUCTION
The EMG signals, resulting from motor neuron impulses
that activate the muscle fibers, can be correlated with the force
produced by muscles [1]. The use of EMG signals is not only
beneficial in medical diagnoses, but can also be helpful in
controlling robot systems or prostheses.
To control multifunction prostheses, it is necessary to map
the representative features extracted from the surface EMG to
classes that represent different motions. This control strategy is
mostly based on the pattern recognition approach. The feature
extraction and classification portions of the pattern recognition
system have been the subject of extensive research. Fig. 1. A spiking neural network reservoir of 1000 neurons. [16]
Some commonly investigated features include time-domain
(TD) features [2], autoregressive (AR) coefficients [3], In this study, the spatial structure of EMG data is
concatenated TD and AR (TD+AR) features [4], the short-time considered, which is very different from previous work. As the
Fourier transform (STFT) [5], the wavelet transform (WT) [6], EMG signals are generated from motor neuron impulses that
and the wavelet packet transform (WPT) [7]. Most modern activate the muscle fibers, it can be investigated whether
classification methods also have been investigated such as connections between motor neurons are strengthened or
weakened, and how the connections as well as neuron spiking
Our work is supported in part by the National Natural Science Foundation activities change from random initialization to a stable pattern
of China (Grants 61225017, 61175076, 61203342, 61203342), and the
International S&T Cooperation Project of China (Grant 2011DFG13390).
during training on a particular dataset through NeuCube.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 365
The accuracy of EMG recognition algorithm is also In this study, EMG signals are acquired from four muscles
affected by the selection of EMG features. The features used in after a careful selection of relevant muscles coherently with the
this study include both TD features and frequency-domain (FD) intended motions, which are flexor carpi radialis, extensor
features. The performance of NeuCube combined with TD carpi ulnaris, extensor pollicis brevis, and flexor digitorum
features reaches up to 95.33% accuracy after a careful selection superficialis.
of the features.
Most previous researches did a preparation work before
The remainder of this paper is organized as follows: placing electrodes, such as shaving and cleaning the skin
Section II describes the structure of EMG acquisition device surface, to reduce the input resistance and the external
and experimental protocol. In Section III, the algorithms for disturbance [17, 18]. Although this preparation work is
EMG pattern recognition are proposed, including EMG signal beneficial to data acquisition, it confines the practicability of
processing, feature extraction, and the classifier description. In the classification method. So in this study, the electrodes are
Section IV, the experimental results show that NeuCube has a adhered to muscle surface directly without any disposal. Four
good performance for EMG pattern recognition. Finally, pairs of Ag/AgCl electrodes are employed to measure the
Section V draws the conclusion and gives some future work. analog EMG signals. At each recording site, the electrodes are
arranged in a differential configuration over the muscle belly
II. EXPERIMENTAL PROTOCOL and separated from each other by 2cm [19].
An eight-channel EMG acquisition device has been In the experimental session, the subject is instructed to
developed at our laboratory, whose structure is indicated in Fig. perform 50 contractions per class. Each contraction is 2 s in
2. It consists of an amplifier, a linear isolation circuit and an duration, with a 2 s resting period between consecutive
analog/digital (A/D) converter. The amplifier employs contractions. Stationary signals are acquired during each
differential-mode input with differential-mode amplification of contraction. The order of motions is randomized and 300
1000. The linear isolation circuit is used to achieve electrical contractions are performed by each subject totally.
isolation between the amplifier and the A/D converter. The
analog EMG signal is sampled at 2048Hz and digitized with III. PATTERN RECOGNITION METHODOLOGY
12-bit conversion resolution using the A/D converter. The
effective frequency band of EMG signal is distributed within A. System flow chart
10-500 Hz, mostly within the range of 50-150 Hz. This device Fig. 4 shows the main steps of the pattern recognition
has designed with a 50 Hz notch filter and a 20-200 Hz band- system. The data processing, feature extraction and
pass filter in hardware, so as to remove most of the signal classification portions of the pattern recognition system have
artifacts while retaining the information within the signals. been the subject of extensive research. These three portions
After converted to digital signals, the raw EMG signals are will be described in detail below.
transmitted to a PC for the following signal processing for
pattern recognition. Raw EMG
Amplifier Filter
Linear Isolation
A/D
USB
PC
Data Processing
Circuit
Electrodes
Raw EMG
EMG Acquisition Device
Feature Extraction
Fig. 2. Structure of EMG Acquisition Device.
One intact-limbed subject (male; 26 yrs) participates in the

experiment. The experiment focuses on 6-class patterns shown Classification
in Fig. 3, which are hand grasp, hand open, wrist flexion, wrist
extension, ulnar deviation, and radial deviation.
Class Label
Fig. 4. Flowchart of the procedure for motion pattern recognition.
B. EMG signal processing

The raw EMG signal processing includes eliminating the
signal offset and data windowing. Smoothing is not applied in
this study so as to reduce the delay of signals. Before data
windowing, the signal offset is subtracted from the signal in
each channel. The offset is approximate equal to the resting
state value of the baseline signal.
In order to perform a continuous classification, the
classifier acts upon a sliding window of data, producing a class
decision (an estimate of the intended motion) from each
Fig. 3. The six classes of motion used in the experiment.
366
window. In this study, a 128-sample data analysis window the important signal characteristics and store the main energy
(corresponding to 62.5 ms) is employed to extract features. of the signal, which is used as the frequency-domain (FD)
Consequently, the offset-removed data are segmented in 128- feature in this study using Daubechies wavelet of order 5 at
sample windows, with an overlap of 64 samples between two level 3.
consecutive windows. Hence, there is a 64-sample delay
between two consecutive windows. The classification is D. Classifier description
performed for each window. These choices make the response Each neuron in NeuCube belongs to a specific functional
time much less than 300 ms, which is widely used as an and structural area as in a human brain according to its (x, y, z)
acceptable delay for a real-time myoelectric control system coordinates. NeuCube was initially for processing brain data
[20]. such as EEG data and functional magnetic resonance imaging
(fMRI) data. While EMG data are generated from motor
C. TD and FD feature extraction neuron impulses, the connections of relevant motor neurons
TD and FD features were both employed in this study. during hand motions may be strengthened or weakened.
These features were extracted within the 128-sample data NeuCube maybe can explore how the connections change from
analysis window. TD features include the mean absolute value random initialization to a stable pattern.
(MAV), waveform length (WL), variance (VAR), and AR
coefficients. FD features include the power spectrum (PS) and Fig. 5(a) shows the location of EMG acquisition sites in
WT coefficients. NeuCube. Fig. 5(b) shows the connections between neurons
and the weight adjustment during training. This is very
MAV represents the absolute mean amplitude of EMG different from traditional methods, which offers facilities to
signal and it is a direct reflection of muscle contraction level. trace the learning process for the sake of data understanding.
WL provides a measure of the complexity of the signal. It is After training, the SNN reservoir has captured spatial and
defined as the cumulative length of the EMG signal within the temporal relationships from the data.
analysis window. VAR is the measure of the EMG signal's
power, which uses the mean value of the square of the
deviation of that variable in statistics. Mathematical definitions
of these features are given by
1 N
MAV xk
N k1
(1)
N
WL 'x
k 1
k where 'xk xk xk 1 (2)
1 N 2
VAR xk
N 1 k 1
(3)
where xk is the kth sample of EMG signals in the analysis

(a)
window, N is the length of the data analysis window.
The AR feature models individual EMG signals as a linear
autoregressive time series and provides information about the
muscles contraction state [21]. It is defined as
U
xk D x
i 1
i k i [k (4)
where D i represents autoregressive coefficients, U is the AR

model order, and [ k is the residual white noise [22]. A 4th-
order AR model is employed in this study to extract AR
coefficients.
The choice of the mother wavelet is critical in signal
processing, and several standard wavelets are tested to
determine which wavelet produces best detection result. In
preliminary studies, the Daubechies wavelet shows a better (b)
result amongst the Daubechies, Coiflet and Symmlet wavelets,
and thus it is selected as the mother wavelet. The Fig. 5. Snapshots from a dynamic visualization of a SNN reservoir: (a)
approximation coefficients of wavelet decomposition retain Initialization of neuron states; (b) Neuron connections change during training.
367
IV. RESULTS AND DISCUSSION It can be determined that NeuCube achieves the highest
Classification accuracy is used as the main index to show overall accuracy of 90.7% when using MAV feature for the 6-
the performance of EMG pattern recognition. class recognition problem of hand motions. While the closest
competitor is SVM with the second highest accuracy of 88.1%.
The 3-fold cross-validation procedure is applied to each MLP is the poorest performing with an overall accuracy of
combination of feature set and classifier. Original EMG 85.6%. In summary, the performance of NeuCube is superior to
datasets are randomly partitioned into 3 equal size sub-datasets. other three classification methods with better accuracy as well
In each fold, a single sub-dataset is retained as testing data and as consistent classification outcomes, which has potential
the remaining 2 sub-datasets are used as training data for the applications in EMG pattern recognition.
classification model. Each classification accuracy is produced
by averaging across the cross-validation results. Major factor that prevents high technology from
intervening into rehabilitation practice is cost. Though the
Table I shows the classification accuracy ranging from EMG acquisition devices commonly used in research and
68.7-95.3%. It is clear from the results that the (MAV+WL) clinical situations have better performance, they are expensive
features performed significantly better than the other features and unlikely to be widely available to patients. A relatively
with the highest overall accuracy. Moreover, MAV and WL are cheap and accessible EMG acquisition device may serve to
both time-domain features and they are easily real-time improve the current situation, which is beneficial to the
processed with lower time-consumption. extensive adoption of high technology.
TABLE I. COMPARISON OF OVERALL ACCURACY USING V. CONCLUSION

DIFFERENT FEATURES WITH NEUCUBE
The results of this study support the premise that NeuCube
Features Overall Accuracy (%) is feasible to use in EMG pattern recognition. Additionally, the
abilities of NeuCube to both spatially and temporally represent
Raw Data 68.7 data and provide visualization of the data could be useful in
MAV 90.7 future applications. The large number of parameters that need
to be optimized limits the extensive application of NeuCube.
WL 91.3 Efficient parameter optimization algorithm remains to be
Time-Domain
VAR 78.7 investigated. Future work will concentrate on the implement of
prosthetic system based on NeuCube.
AR 88.6
MAV+WL 95.3
PS 76.0 REFERENCES
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WT 78.0 Neuromusculoskeletal modeling: Estimation of muscle forces and joint
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vector machine (SVM), and multilayer perceptron (MLP). The [3] B. Karlik, M. Tokhi, and M. Alci, A fuzzy clustering neural network
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30 hidden nodes with 1000 iterations for training. The overall
[4] A. Al-Timemy, G. Bugmann, J. Escudero, and N. Outram,
accuracy of each method with the MAV feature is shown in Fig. Classification of finger movements for the dexterous hand prosthesis
6. control with surface electromyography, IEEE J. Biomed. Health Inf.,
vol. 17, no. 3, pp. 608618, May 2013.
[5] B. Hannaford and S. Lehman, Short time Fourier analysis of the
electromyogram: Fast movement and constant contraction, IEEE Trans.
Biomed. Eng., no. 12, pp. 1173-1181, Dec. 1986.
[6] K. Englehart, B. Hudgins, and P. A. Parker, A wavelet-based
continuous classification scheme for multifunction myoelectric control,
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[7] J. U. Chu, I. Moon, Y. J. Lee, S. K. Kim, and S. M. Mun, A supervised
feature-projection-based real-time EMG pattern recognition for
multifunction myoelectric hand control, IEEE/ASME Trans.
Mechatronics, vol. 12, no. 3, pp. 282290, Jun. 2007.
[8] K. Englehart, B. Hudgins, P. A. Parker, and M. Stevenson,
Classification of the myoelectric signal using timefrequency based
representations, Med. Eng. Phys., vol. 21, pp. 431438, 1999.
[9] Y. Huang, K. B. Englehart, B. Hudgins, and A. D. C. Chan, Optimized
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[10] A. D. C. Chan and K. B. Engelehart, Continuous myoelectric control
for powered prostheses using hidden Markov models, IEEE Trans.
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369
Optimal Fiber Orientations and Topology of Compliant Mechanisms

Using Lamination Parameters
Xinxing Tong, Wenjie Ge, Yonghong Zhang

School of Mechanical Engineering
Northwestern Polytechnical University
Xian, China
Email: xinxingtong0510@163.com
Email: gwj@nwpu.edu.cn
Email: zhangyonghong@nwpu.edu.cn
AbstractA design approach for compliant mechanisms with material can provide the excellent mechanical efficiency,
straight fiber laminate is presented to obtain the optimal fiber however, the heavily stress is appear in joint domains for these
orientations and topology structure simultaneously in this paper. mechanisms [7]. Moreover, the optimal balance between
Firstly, an equivalent constitutive relation of straight fiber compliant and rigid segments for a given topology optimization
laminate is parameterized in terms of lamination parameters. is hardly achieved using single material [8]. Composite
Taking lamination parameters and relative density as design materials are considered as good candidates of satisfying the
variables, minimizing the weighted linear combination of the contradictory requirements, due to their anisotropy and
mutual strain energy (MSE) and the strain energy (SE) is outstanding design ability characteristic. Many designs of
considered as objective function to achieve the desired
compliant mechanisms with multiphase materials or fiber
deformation and enough load carrying capacity with the volume
constraint. The nonlinear optimization problem is solved via the
reinforced materials have been reported [9-12]. Whereas the
well known method of moving asymptotes (MMA). The outcomes fiber orientations predefined by intuition are not optimal in
of first step are the optimal topology structure and lamination engineering field. Several different approaches, such as discrete
parameters. Secondly, the optimal fiber orientation for each layer material optimization, lamination parameters method,
is found by matching the optimal lamination parameters. Finally, optimality criteria method and so on, have been proposed to
the numerical examples of designing compliant inverters are achieve the optimal fiber orientations [13-15]. A number of
investigated to demonstrate the effectiveness of the proposed researches about fiber angle optimization are based on the fixed
method. topology shape in optimization process, which limits their
applications. Design method of combining the fiber
Keywordscompliant mechanisms; lamination parameters; orientations and topology structure is a big challenge in
topology optimization; straight fiber laminate engineering field. The initial attempt at combining topology
and fiber path was given by Setoodeh [16]. Whereas,
I. INTRODUCTION optimizing fiber orientations and topology structure
simultaneously for compliant mechanisms are rarely described.
Compliant mechanisms can deliver the desired force,
motion or energy, which gain some or all of their mobility from In this paper, the design approach to obtain the optimal
the elastic deformation. Compared with conventional rigid-link fiber orientations and topology structure simultaneously for
mechanisms, compliant mechanisms with worthwhile compliant mechanisms is proposed. The method can improve
advantages, such as small friction and backlash losses, low the performances of compliant mechanisms and sufficiently
noise and vibrations, cheap assembly costs and easy unitization exploit the tailored capabilities of composites. Taking
and miniaturization, are widely applied in the areas of precision lamination parameters and relative density as design variables,
instrumentations, aeronautics and astronautics, micro electro optimal lamination parameters distribution and topology
mechanical systems (MEMS) and so on. So far, the topology structure are firstly obtained by solving the non-linear
optimization is a principal systematic design approach for a optimization problem. And then, the optimal fiber orientation
continuum compliant mechanism, which has captured many for each layer is determined by matching the obtained
scholars attentions. A topology optimization problem aims at lamination parameters. Finally, the numerical examples are
determining the optimal materials distribution within a used to demonstrate the effectiveness of the proposed method.
predefined spatial domain and boundary conditions. The
The rest of this paper is organized as follows. Section II
topology optimization method for design compliant
describes the equivalent constitutive relation matrix and builds
mechanisms was firstly introduced by Ananthasuresh [1], and
the optimization model of compliant mechanisms. The
then the corresponding methods were expanded and applied in
sensitivity analysis and solution method are discussed in
the MEMS, crashworthiness design, fluid design and so on [2-
Section III. The fiber orientation for each layer required to
4]. Lu and Kota presented a systematic method for synthesizing
match the obtained optimal lamination parameters is
compliant mechanisms to morph a given curve or profile into a
target curve utilizing minimum number of actuators [5,6]. determined in Section . Section investigates and discusses
the compliant inverters with different weighted factors. The
Existing compliant mechanisms with single homogeneous conclusions are presented in Section VI.
This study was supported by the National Natural Science Foundation of
China (No: 51375383).
978-1-4673-7995-3/15/$31.00 2015
c IEEE 370
II. OPTIMIZATION DESIGN OF COMBINING FIBER C. Optimization Model
ORIENTATIONS AND TOPOLOGY Topology optimization method is able to achieve optimum
material distribution in design domain with boundary
A. Parameterized Constitutive Relations constraints. Relative material density in each element is set as
Lamination parameters were firstly introduced by Tsai and design variable with value between 0 and 1. The traditional
Hahn [17] and have been widely used for solving the optimum solid isotropic material penalization (SIMP) method penalizes
lay-up design problems in items of the convex feasible regions the Youngs modulus in isotropic material. For laminates,
in the design space and less variables [18,19]. Based on the which are no longer isotropic [20], the in-plane element
classic lamination theory, the lamination parameters Vi stiffness matrix A is penalized directly:
(i=1,2,3,4) are defined as nondimensional through the thickness
h integration of the layer orientation angles as: A xip A0 (6)
1/ 2 where A0 denotes initial stiffness matrix of solid element and A
(V1 ,V2 ,V3 ,V4 ) 1/ 2
(cos 2T ( z ),sin2T ( z ),cos 4T ( z ),sin 4T ( z ))dz (1)
is the stiffness matrix used in optimization process. The
exponent p dictates the degree to which elements with
where z z / h is the normalized z coordinate of the layers,
intermediate density may count towards the density of solid.
and T ( z ) is the fiber angle at z .
Minimizing the weighted linear combination of the MSE
In general, the in-plane stiffness matrix A of composite and the SE is considerate as objective to achieve desired
laminates can be fully parameterized using only four deformation and enough stiffness in design of compliant
lamination parameters regardless of the actual number of layers mechanisms. The optimization model of combining fiber
and expressed simply as linear function of the material orientations and topology structure for compliant mechanisms,
invariants as: in which lamination parameters and relative density are chosen
as design variables, is formulated as:
A h( 0 1V1 2V2 3V3 4V4 ) (2)
>V1 ,V3 @
T
where h indicates the total thickness of laminate, find x [ x1 , x2 ,..., xn ]T V
i (i 0,1, 2,3, 4) are defined by the material invariants and min f D MSE (1 D )SE
formulated with the materials longitudinal modulus, transverse
modulus, shear modulus and Poisson ratio. KU = F

Lamination parameters cannot be arbitrarily chosen since KU = L
the trigonometric functions entering their definition are related. f 2V 2 V 1 d 0 (7)
According to the definition of the lamination parameters in (1), 1 1 3
s.t. n
the in-plane stiffness of balanced symmetric laminate can be f 2 vi xi gQ d 0
parameterized by the only two lamination parameters, namely i 1
V1 and V3. The equivalent constitutive relation matrix D of x min d xi d 1 i 1, 2,..., n

straight fiber laminate and feasible region is expressed as:
1 d V j d 1 j 1,3
D 0 1V1 3V3
where, x and V indicate element relative material density and
2V V3 d 1
1
2
(3) lamination parameters vectors, global stiffness matrix K is
1 d Vi d 1 (i 1,3) assembled from element stiffness matrices ki in the usual
manner, F and U are the nodal applied forces and
displacements vectors, respectively, L and U are the adjoint
B. MSE and SE of Compliant Mechanisms
loads and displacements vectors, respectively, vi is element
The magnitudes of the MSE and SE are generally
introduced to describe the deformation and carrying volume after optimization, parameter g is defined as volume
performances of compliant mechanisms. In discretized finite fraction, Q is the initial volume of the design domain, xmin is
element model, the MSE and SE of compliant mechanisms are the minimum limit of element relative density, is the
defined as: weighted factor, n is the total number of discrete elements.
n
III. SENSITIVITY ANALYSIS AND SOLUTION METHOD
MSE v j 1
T
j k j uj (4)
A. Sensitivity Analysis
n
The sensitivity analysis is a key step in solving the topology
SE u
j 1
T
j k juj (5)
optimization problem of compliant mechanisms. Using the
adjoint matrix method in this section, the sensitivity of
where, n is discrete element number, uj and vj indicate the objective function f with respect to a change in design variable
nodal displacement vectors in j-th element forced by actual and xi , V1 and V3 are expressed as:
virtual load respectively, kj is stiffness matrix of the j-th
element.
371
wf k /4 kV1
cos(2Ti )
D ( pxip 1uiT (k* V1k* V3 k* )ui )
wxi 0 1 3
(8) i 1 4
(D 1)( pxip 1uiT (k*0 V1k*1 V3 k*3 )ui ) k /4 (14)
cos(4T ) kV3
i
4
wf wK wK i 1
D (U T U ) (D 1)(U T U) (9)
wV1 wV1 wV1 where k is total number of layers. T i is independent parameter to
define the lamination sequences and obtained by analytic
wf wK wK method.
D (U T U ) (D 1)(U T U) (10)
wV3 wV3 wV3
where, ui and ui are the adjoint and actual nodal displacements Define design domain, loads and
vectors in i-th element. k*0 , k*1 , k*3 denote the special element constraints
stiffness matrix and are defined as:
Initialize element density and
k*0
:
B T 0 Bhd:
lamination parameters
k*1
:
B T 1 Bhd: (11)
Solving displacement field (FEA)
B 3 Bhd:
T
k *3
:
where B matrix is geometric matrix of the rectangular element.

wK / wV j (j=1,3) can be obtained by assembling from element Solving objective and sensitivities
stiffness matrices wki / wV j (j=1,3), which is expressed as:

Update design variables (MMA)
wki p
x k* j ( j 1,3)
j (12)
wV j No
The sensitivity of constraint functions with respect to a Convergence
change in design variable xi ,V1 and V3 are expressed as: Yes
wf1 wf1
wV 4V1 1
1 wV3
(13) Topology structure Lamination parameters
wf 2 vi
wxi
Fiber orientations
B. Solution Method
Based on the above sensitivity results, the optimization
problem described in (7) is solved using the well-known MMA Stop
method proposed firstly by Krister Svanberg [21]. The
optimization scheme flowchart of compliant mechanisms is Fig. 1. Solution flowchart of topology optimization.
represented in Fig. 1.
V. NUMERICAL CASE STUDIES
IV. FIBER ORIENTATIONS RETRIEVAL In order to illustrate the efficiency of the proposed method
for solving the fiber orientations and topology structure
Based on the above optimization analysis, the topology simultaneously, a compliant displacement inverter with straight
structure and optimal lamination parameters have been fiber laminate is designed in this section. The material
achieved simultaneously. In the second step of this method, the constants of glass fiber reinforced epoxy are provided to be
fiber orientation for each layer required to match the obtained Youngs modulus E1 = 39 MPa , E2 = 8.4 MPa ,G12=4.2 MPa
optimal lamination parameters is determined. Several methods and Poissons ratio v12 = 0.26. The total thickness of the
have been developed in the past to obtain a laminate stacking laminate with 8 equal thickness layers is 1mm and penalization
sequence from lamination parameters whatever straight or factor p is 3. The volume constraint is 30% of the total volume.
curve fiber laminates [22,23]. In this study, the only two The 40mm 40mm quadrate laminate with fixed constraints at
lamination parameters (V1, V3) for balanced symmetric the upper-left and lower-left corners is subjected to a
laminate with equal thickness layer are required. According to concentrated force Fin=10N at center point of left boundary as
the (1), the relationship of fiber orientations and lamination shown in Fig. 2. The plate is discretized using 80 80 bilinear
parameters is expressed as: quadrilateral finite elements. The artificial springs
372
kin=0.001N/mm and kout=0.0001 N/mm are used to simulate the
reaction forces from the actuator and workpiece, respectively.
Fin uout
kin kout
(a) (b)
Fig. 4. Topology optimization results of compliant inverter with different
weighted factors: (a) D 0.6 and (b) D 0.8 .
Fig. 2. Design domain and boundary conditions of the complaint inverter.
The optimal topology structures with different weighted factors
In the first step, topology shapes and lamination parameters D 0.6 and D 0.8 are shown in Fig. 4, respectively. It can be
are obtained simultaneously with different weighted factors. seen that the clear topology structures can be achieved using
The design iteration history of the objective and the constraint the proposed method and the topology shape is influenced by
function are shown in Fig. 3. It is clear to see that the curves of the weighted factor obviously. Meanwhile, the evolution
objective and volume fraction values gradually stabilize and histories of lamination parameters with different weighted
the corresponding values are 0.062 with volume fraction 29.1% factors are shown in Fig. 5. The stable lamination parameters
(shown in Fig. 3(a)) and 0.01 with volume fraction 29.3% V1 ,V3 arrive to -0.26, 0.29 for D 0.6 ( shown in Fig. 5(a)) and
(shown in Fig. 3(b)), respectively. These results indicate that -0.1, 0.31 for D 0.8 ( shown in Fig. 5(b)) respectively.
the desired volume fraction 30% is achieved approximately
after optimization.
1.0 1.0
0.8 0.8
0.11 Lamination parameter (V1)
30 0.6 Lamination parameter (V3) 0.6
Lamination parameter (V3)

0.10 29 0.4
0.4
Objective function (Nmm)
0.2
28 0.2
Volume fraction (%)
0.09 0.0
Objective function 27 0.0
Volume fraction -0.2
0.08 -0.2
26 -0.4
25 -0.4 -0.6
0.07
24 -0.6 -0.8
0.06 -0.8 -1.0
23 0 10 20 30 40 50 60 70
0.05 22 (a) D 0.6 Iterations
0 10 20 30 40 50 60 70
(a) D 0.6 Iterations 1.0 1.2
0.8 Lamination parameter (V1) 1.0
0.06 0.8
30 0.6 0.6 Lamination parameter (V3)
0.05 0.4 0.4

Objective function (Nmm)
28 0.2
0.2
Volume fraction (%)
0.04 0.0
Objective function
0.0 -0.2
Volume fraction 26
0.03 -0.2 -0.4
24 -0.4 -0.6
0.02 -0.8
-0.6 -1.0
0.01 22
-0.8 -1.2
0 10 20 30 40 50 60 70
0.00 20 (b) D 0.8 Iterations
0 10 20 30 40 50 60 70
(b) D 0.8 Iterations
Fig. 5. The evolution histories of lamination parameters of compliant inverter
with different weighted factors.
Fig. 3. The evolution histories of the objective and the constraint function for In the second step, the only two fiber orientations are
compliant inverter with different weighted factors. required for balanced symmetric straight fiber laminate with 8
373
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374
A 6oftware Platform for Interactive Analysis on 3D

Medical Data
Cheng WeiXiao Yongfei Zhao Youlei

Shandong Provincial Key Laboratory of Robot and Taikoo(Shandong) Aircraft Engineering Co.,Ltd.
Manufacturing Automation Jinan, Shandong, P.R. China
Institute of Automation, Shandong Academy of Science zhaoyl@staeco.com
Jinan, Shandong, P.R. China
fei9818@163.com
AbstractAnalysis on the anatomical relationship between today, volume rendering accelerated by graphics hardware can
the conventional 2D medical images and correlative tissues is be implemented in a common PC in real time [6]. At the same
vital to both the physicians and the interns in surgery planning. time, design of the transfer function is also regarded as a better
However, regular measures are not intuitive and greatly depend way to understand the complex topology between the inner
on the physicians experience and their medical knowledge. In structures in the complex 3D model. Currently, prevalent ways
this paper, a software platform is developed for a more intuitive of generating a better transfer function can be divided into two
and accurate analysis on the anatomical relationship in the groups as semi-automatic and automatic methods [7, 8]. But by
diagnosis and surgery planning. Both the oblique clipping image reason of the diversity of medical image data, the complete
and a 3D tissue model with an interactive transfer function
automatic approach is still difficult to design in current
module are showed in a stereoscopic scene to illustrate the 3D
human pathology and anatomy in real time. For convenience, a
conditions [9]. In addition, since medical experts usually
software interface is also designed so that different 6DOF incline to interact with the medical dataset by their professional
interactive devices can be applied in the project. This article knowledge, the visual information is certainly an important
offers a novel resolution for the improvement in the assessment of factor in the diagnostic process. So the semi-automatic method
anatomical structures and understanding of medical imaging is a better choice to show the organic topology hidden in the
technology in a more realistic manner. data set. By adjusting the transfer function interactively,
experts can make the unimportant voxels transparent or
Keywordsvolume rendering; interactive analysis; transfer translucent to see the region of interests clearly.
function; 6DOF device; medical application
As known, the most pervasive diagnostic measure still
focuses on the inspection of a 2D slice image. In order to draw
I. INTRODUCTION a diagnostic conclusion, physicians need judge the slice
Because of the ability to produce clear and informative images position and orientation in the patients body based on
anatomical images, the medical imaging technology has their knowledge and experience. However, for the interns or
become one of the most important diagnostic measures in the the patients, only a 2D medical image is not so intuitive as to
therapy planning. It generates 2D image and leaves the depth prevent them from more comprehensive analysis. In other
information unused. That leads to these images non-intuitive to words, the reason is that the inspection of 2D medical images
the physicians and prevents the inexperienced interns from a and analysis on 3D medical volume data are two unattached
quick and proper conclusion. In recent years, more attentions processes. So as to achieve a highly intuitive and user friendly
have been paid to the functions of the medical software which software platform for the analysis on medical images, the
provide 3D information. For a more intuitive and oblique image is extracted from medical dataset and combined
comprehensive analysis, volume dataset formed by stacks of with the volume-rendering model to show the anatomical
2D equidistant images is reconstructed or rendered to show the relationship. Ensuring the interactive performance, an
diagnostic information in a virtual 3D space. But due to the accelerated way using the imaging and 3D texture mapping
bottleneck between the precision and throughput of computers, capacity of graphics hardware is adopted. The whole
volume rendering is still an auxiliary method for the ease of framework based on OpenGL and Open Inventor allows for a
interpretation in the diagnosis planning. convenient manipulation and interactive visualization. Finally,
some examples are presented using some clinical images to
Many methods were brought forward to consummate the testify the effectiveness of this method.
volume rendering method [1-3]. The transfer function was
designed to illustrate the inner organs by adjusting the
parameters of color and opacity together [4]. And the volume-
rendering algorithms also evolved from depending on the
algorithm optimization to depending on the hardware partly [5].
With the increasing computational power of the common PC,
978-1-4673-7995-3/15/$31.00 2015
c IEEE 375
II. SYSTEM DISCRIPTION essential together with an outer auxiliary device or something
else.
Interactive generation of the transfer function

B. Discription of Process
change the color Virtual
adjust the
transfer
parameter
Composite a new Scene The medical images of the human brain and liver are
function
Change the opacity
parameter
colortable
provided for our test. A sagittal CT slice sequence and an axial
Load
medical
MRI one are included. In order to prove the practicability of
User image
sequence
Volume Composite the 3D
this platform, the medical images applied in the software are all
original data acquired from different medical modalities.
operation Load into Clip planes parallel 3D
model from back to
3D texture to viewport against texture
rendering front using transfer
buffer volume dataset mapping
function
Move and
rotate the
camera
Output
the
As shown in Figure1, the whole system can be separated
final
scene
into four modules: user operation, adjusting of transfer function,
Manipulate
the
Virtual
probe
Construct a
virtual
Move or rotate the
probe and locate the
Extract
oblique
slice
Project the image
onto the scanning
volume rendering and virtual probing simulation. Furthermore,
interactive
device
simulation
probe scanning plane
mage
plane
every module is independent and it communicates with others
using the parameter interface to obtain the required parameters.
Firstly, the CT or MRI dataset is imported into the software by
Fig. 1. The whole process of the 3D medical data analysis system the user; then 3D volume rendering is implemented via the
volume rendering module. In the volume-rendering process,
A. Design Consideration
computations on the values of intensity and gradient at the
Our final goal is to develop a software which can improve sampling point require time-consuming trilinear interpolation
the efficiency and understanding in the diagnostic and therapy [11,12]. That is the main obstacle to the achievement of
process. So it should contribute to both the medical education interactive frame rates. One solution of this problem is to use
and the clinical analysis in the application. In order to simulate hardware acceleration, such as 3D texture mapping, to perform
the real inspecting process mostly realistically, a virtual probe all the trilinear interpolation. After transferring the medical
should be integrated into the virtual scene to interact with the images from main memory to the 3D texture memory on the
medical dataset from different medical modalities such as CT, graphics board, equidistant planes parallel to the viewport are
MRI and PET. Moving the probe, the oblique slice image of clipped against the bounding box of the volume dataset. If the
the volume data is projected onto the scanning plane at the slice number satisfies the restriction imposed by Nyquist
interactive speed just as the scanning process of the theorem, the volume can be represented by a stack of such
conventional ultrasound device. Since the size of pixels array proxy slices. Subsequently, volume rendering is completed by
of the slice image is greatly smaller than the one of the whole blending the textured polygons from back to front using a
medical volume data, some common image-processing given blending function.
algorithms can also be applied to emphasize the region of
interests with little influence on the interactive speed. In our software platform, the transfer function is design to
be adjustable by the slider controls and an adjustable histogram.
Considering the size of the medical volume data, the Both the gray values and the gradient values are considered as
interactive speed must be taken into consideration. Aiming at the adjustable parameters to filter the unimportant regions. The
this problem, many approaches have been put forward [2, 3, represents in the software panel includes four sliders and a
10]. But most of them sacrifice the image quality to gain the transfer function dialog box for users to adjust the parameters
rendering speed. Now, with the development of the hardware, depending on their experience and visual guide as Fig 2. Users
interactive volume rendering depending on graphics hardware are able to drag the sliders and draw the opacity curves
become possibe. Cullip realized volume rendering using 3D dynamically by moving the mouse in the histogram region to
texture mapping technology in 1993 [5]. Under the condition of achieve a better visual effect. While the transfer function is
the tradeoff between image quality and a proper rendering being adjusted, the current gray histogram is displayed in the
speed utilizing texture mapping technology, an interactive dialog box and used as the reference to choose the proper
speed can be achieved. So our software architecture is designed parameters. Although the intensity and gradient values are both
based on 3D texture mapping technology to finish the huge considered during the adjusting process, the final 3D model is
amount of trilinear interpolation operation in the reconstruction rendered without the lighting factor. That lies in two reasons.
of 3D model. One is that the rendering process can be accelerated without
In addition, another important problem is how to illustrate lighting factor; the other is that the gradient values are helpful
the anatomical topology not only between the slice image and for the separation of different organs in the adjusting process.
3D organs but also between different organs dynamically.
Transfer function specification for medical volume C. Geometric model for virtual scanning
visualization is a very subjective task and experts always want It is obvious that realizing this system involves establishing
to interact with volume data easily and quickly. So the transfer the geometric relationship between volume data, the scanning
function should also be intuitive and interactive. According to plane and the interactive parameters. For the movement in the
the difference of medical data in gray and gradient values, the virtual 3D space, the interactive parameters of six degrees of
color and opacity of corresponding voxels should be freedom (6DOF) are absolutely necessary to provide the
changeable in real time by adjusting the transfer function position and orientation information (x, y, z, T, I, M). T, I and
parameters. Finally, in order to realize the dynamic probing M are the angles rotating around x axis, y axis and z axis
course, an appropriate interface for an easier manipulation is
376
separately. These parameters usually references to a fixed And the plane equation in the voxel space can be denoted
coordinates called the global coordinates. However, the oblique as:
slice information is relative to the voxel coordinate. Before the
virtual scanning begins, it is necessary to determine the voxel- n*x x n*y y n*z z d (4)
scaling factor relating the voxel location to the dimension in
the global coordinates. Consequently, both the dimension-per- When the scanning plane moves into the region of volume
voxel and the position and orientation of the scanner in the data, the slice image in the corresponding position should be
virtual scene must be obtained in order to extract the correct projected onto it. By equation (4), the plane equation in the
slice image. Now, supposed that voxel P(x, y, z) is in the voxel voxel space is deduced. While the probe is moving or rotating,
coordinate, PT(xT,yT,zT) is relative to the global coordinate the values of the point and normal of the plane is updated
where xT=xxScale;yT=yyScale;zT=zzScale. When the 6DOF continuously using the parameters acquired from the 6DOF
sensor moves in the space, the offset to the original of the sensor and a dynamic scanning scene is achieved.
global coordinate is defined as (xOFF, yOFF, zOFF). As a result,
the final position of point P is calculated as: P2
P3 P2 P3
xscale 0 0 xOFF n
0 n
yscale 0 yOFF (1) P4
PT >x y z 1@
0
PM T P1
0 zscale zOFF Pg
Pg
0 0 0 1 Calculate the pixel
P5 P1
array in the plane
Clip against the
Pg is defined as a point in the scanning plane of the virtual bounding box and
probe; and the orientation of the plane can be determined by its get the intersection
point
normal where is represented as (nx, ny, nz). So the equation
of the scanning plane is determined as: Map the floating
image on the
scanning plane
nx x ny y nz z d
(2)
Similarly, the normal is transformed by the matrix MT to Fig. 3. Extraction of oblique scanning plane
locate the probe in the voxel space.p Supposed that the By updating the position and orientation parameters
*
transformed normal is denoted as n (n*x, n*y, n*z). Thus, a acquired from the sensor, a dynamic scanning scene is realized.
new plane equation is determined by the point Pg and the And some image processing algorithm can be applied to the
normal . floating image to inspect the pathological feather quickly. The
floating image in Fig 4 a) is an example of highlighting the
Scanning plane
n
Virtual probe
bone tissue using image segmentation; and the example in Fig
Y V v 4 b) shows an normal virtual scanning process.
Volume
P u
O U
W
o Yoff
X
Zoff
a) b)
Z Xoff Fig. 4. some examples of virtual inspection of medical image sequence;
a) Virtual scanning with image segmentation; b) virtual scanning without
Fig. 2. Geometric model of the virtual scanning process image processing
By the six parameters from the sensor (three for translation
and three for rotation), A translation matrix T and three rotation
ones ( RT , RI , RM ) are deduced. The position and orientation
is changed when the parameters are utilized to manipulate the
probe in real time; then, the final plane equation is determined
by the point Pg and normal .
Pg PM T T PT T
* (3)
n nM T RT RI RM
377
D. Interface for manipulation judge the right image and draw a more proper conclusion. In
the feedback region of the panel, the adjusted values of gray,
gradient and opacity are all shown in the panel and the
parameters with a better visual effect can be kept as a reference
in future research.
In the test, we used a desktop personal computer with ATI
Radeon X600 256MB Graphics Card supporting 3D texture
mapping technology, intel Pentium 4 3.0G processor, 1G RAM,
and a Microsoft Windows XP Professional operating system.
The Microsoft visual studio 6.0, TGS Open Inventor and
OpenGL library are all used to code the program. Three sets of
a) b)
image sequences are all tested in the program: 256256110
Fig. 5. virtual interactive devices; (a and b) 3D widget and 6DOF mouse brain MRI sequence, 256256256 brain CT one and
As known, a common mouse cant deal with the situation 512512264 liver CT one. The average speed of volume
of moving an object in a 3D space freely. Accordingly, in our rendering in our software reached about 30f/s, which is the
software, it is necessary to prepare a platform to do this job. standard speed for the evaluation of interactive level.
Two methods are adopted mainly. One is to construct a 3D
widget based on software to control the virtual probe in the
virtual scene; the other is to use a 6DOF sensor to do this work.
For a more universal application, both of them are integrated
into this software. A checkbox is attached to the panel to toggle
between two functions. A 3D widget class named dragger in
the Open Inventor platformkit is applied to realize 6DOF
control in 3D space by software. Besides that, a 6DOF device
from the 3DConnexion company is also used to testify the
feasibility of a more immersive manipulation.
Fig. 7. Some examples of the analyzing process
III. PRESULT AND DISCUSSION The examples in Figure 7 prove that this software platform
is capable of helping the interns or physicians to analyze the
medical image sequences in a more favorable and easier
manner. Some commercial applications have been available in
the different workstations, but they are usually expensive and
hardly popular. Currently, the platforms most commonly used
may still be PC. Based on the hardware graphics acceleration
technology, our software connects PC to the medical imaging
technology and provides the users with better interaction
capabilities. So, it has a broad perspective in the medical
application.
This project provides the physicians with a more accurate
and intuitive preoperative planning for the patients.
Considering the disparity in the occupation and understanding,
interns, physician and radiologists usually have different points
on a patient. If everyone can draw his own conclusion
according to an easier examination on the raw medical dataset,
it is absolutely helpful for a more accurate assessment.
Fig. 6. Liver image sequence scanning scene
Integrating all the functions discussed above, an interactive ACKNOWLEDGMENT
software platform is developed to learn the anatomical
knowledge or improve the users understanding of anatomy. In This paper is supported partially by Shandong Provincial
the virtual scene, the slice image, 3D model and inner Natural Science Foundation (ZR2014YL009 and
highlighted organs are illustrated intuitively and dynamically. ZR2013FM026).
Due to the ability to extract the oblique slice information from
the medical volume matrix in real time, the user is able to view
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3D Texture Hardware, UNCTech Report TR93-0027, Department of [11] Yang Heng and Lixu Gu. GPU-based Volume Rendering for Medical
Computer Science at the University of North Carolina, Chapel Hill, Image Visualization, in: Proceedings of Engineering in Medicine and
1993. Biology 27th Annual Conference, 2005, pp.5145-5148.
[6] R. Westermann, and T. Ertl, Efficiently Using Graphics Hardware in [12] B.A. Urban, L.E. Ratner, E.K. Fishman, Three-dimensional volume-
Volume Rendering Application, in: ACM Computer Graphics rendered CT angiography of the renal arteries and veins: normal
(SIGGRAPH98 Proceedings), 1998, pp.169-198. anatomy, variants, and clinical applications, Radiographics 21 (2001)
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Data Using Virtual 3D Scenes, Comp in Cardiol 26 (1999) 399-402. [13] A. Konig and E. Groller, Mastering transfer function specification by
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379
Master-slave Force Control Based on Grey GM(1,1) Model of Robot Gripper
Wei Cheng, Xuelin Wang, Haiyan Ma

Shandong Provincial Key Laboratory of Robot and Manufacturing Automation Technology,
Institute of Automation, Shandong Academy of Sciences
Jinan Shandong, P.R.China
chengweijob@163.com
AbstractThis paper describes the position and force control is used in slave finger, it includes an inner position
of a novel two-finger gripper using force control technology, a controller (Gp2) and an external PI force controller (Gf) and
master-slave force control strategy is deveoped for making the GM(1,1) model, where error (err) is as input of Gf; its
force track the desired force quickly with lower overshoot. PID output is as input of Gp2. Each finger has independent
controller is adapted to the position system for the master
controller and easy to implement. As is shown in Fig. 1,
finger, and force control is used to the slave finger with grey
GM(1,1) model, the prediction models are built by the signal of where Xd is the desired position of the master finger, where
force acquired from sensors, the force controller enforces a Fd is the desired force of the slave finger. In force feedback
relationship between the position of each finger and the force loops, the impact of disturbance on the position system is
on the manipulated objects, and the weights of the current and negligible because the assumed position control has high
the future force errors are automatic adjusted in integrated servo stiffness.
error according to the model precision. The force controllers
can employ the information of past, present and future force to
calculate an appropriate control correction to pre-compensate -
Xd e1 x1 xe 1
the force errors, thus it can obtain lower overshoot and faster u1
Gp1 Finger 1
response. Simulation results are presented to demonstrate the
efficacy of the proposed master-slave force controllers. Object
Fd err -e up s
Keywords-master-slave control; grey prediction; grasping force; uf 2
Gf Gp2 Finger 2
flexible grasp; robot gripper; predictive control xd x2 xe2
- 2
f GM(1,1 k0
I. INTRODUCTION ) f
Robotic manipulators and gripping devices for power
Fig. 1 Grasping control structure of a two-finger gripper
industrial purposes with high level of functionality and
dexterity are and still remain in a focus of research in
research laboratories all over the world [1]-[2]. The success III. DYNAMIC MODELS OF ROBOT GRIPPER
rate of grasping deformable objects with the robot hand is The double-drive gripper is shown in Fig.2. Each of
very low and the loss rate is very high, because most of them fingers had an independent servo drive system and was
are unsymmetrical, compliant, transformable, and the objects integrated with force. The dynamic equation of two fingers
between fingers is cracked or fell off when the grasping force can be described as
is too big or small [3]-[4]. The success of the manipulation
process depends on appropriate grasping force and torque f mx bx kx (1)
which can cause damage of objects, so it is necessary to Where f is the force, m is the equivalent mass, b is the
consider on grasping force control [5]-[7]. This capability is viscous friction coefficient, k is the elastic friction coefficient,
achieved by using proximity and force/torque sensor and by and x is the moving vector generated from motors.
properly controlling and coordinating the gripper and the
carrying arm [8]-[9]. A real-time prediction model is
established to predict dynamic changes of manipulator, and Finger 1 Finger 2
then the relations between torque and velocity were pre- f1 f2

controlled to decrease the damage [4],[10]-[12]. Position- xd1 xd2 Sensor 2
based force predictive control strategy will be proposed and
analyzed, and the simulation results will be presented for Sensor 1 xe1 xe2
tests performed with force controllers discussed. m1 m2
x1 x2
Motor 1 Motor 2
II. GRASPING CONTROL STRUCTURE
The master-slave force control strategy for a two-finger
gripper is shown in Fig.1. The control system of master
finger is composed of a position controller (Gp1), finger
Fig. 2 Dynamic models of a two-finger gripper
model, where error (e1) is as input of Gp1; the force control
978-1-4673-7995-3/15/$31.00 2015
c IEEE 380
This paper assumed that the motor can meet the control The data sequence including new prediction values is as
requirements, and the system initial value is zero in equation followed
(1), so the transfer function is described by the following
equation x (0) {x (0) (1), x (0) (2),...x (0) (n)x (0) (n 1),...} (11)
G(s) 1/ (ms 2 bs k ) (2)
Where the x (0) (n 1) is called the prediction value in
The desired force is described as followed
paper, because of a sampling period in advance.
fd (K ) k0 ( xd ( K ) xe ( K )) (3) (6) Average relative error of model GM(1,1)
Delete the data x (0) (1) and x (0) (n 1) from (12), and get
Where fd(K) is a desired force on the objects, and xd (K) is a an average relative error of prediction model
desired action position.
1 n
x ( 0) (i) x ( 0) (i )
IV. GREY PREDICTION GM(1,1) ALGORITHM T
n 1

1 x ( 0) (i)
(12)
The purpose of grey prediction GM(1,1) of the force
feedback loops is to predict grasping force information to
Where x(0)(i) and x (0) (i) (2in) are raw data and prediction
take some measures to control in advance. For a non-
negative time series, first given original data series data sequences.
V. CONTROL ALGORITHM PRINCIPLE
x(0) {x(0) (1), x(0) (2),...x(0) (n)}n t 4 (4)
A parallel control structure is proposed for the robot
Take the accumulated generating operation to obtain x(1) gripper, the position control is adopted by the master finger
from x(0). system, and the force control with grey GM(1,1) model is
adopted by the slave finger system, the sampling period in
x(1) ( x(1) (1), x(1) (2), x((1)) (n)) (5) the force loops is T1, and the position loops is T2. The order
of computation is first force control loops, and then is the
position control loops.
(1) Establish grey differential equation of GM (1,1)
A. Real time Grasp Planner
x(0) (k ) az (1) (k ) u (6)
The purpose of a planner is used to real time plan the
input control command at each sample time. When the built-
Where z(1)(k) is a consecutive neighbor generation to x(1)(k).
in sensor showed the actual grasping force is greater than the
setting force threshold, position control mode of the slave
z (1) (k ) 0.5* x(1) (k ) 0.5* x(1) (k 1) finger will be directly switched to the force control mode.
The Xd and Fd of the planner can be described as
(2) Construct matrix B and data vector Yn X d xd1 (k ) (13)
Fd f d ( K ) (14)
> a, u @
7
a ( B7 B)1 B7Yn
Where xd1(k) is the desired position at k sample time, and
fd(K) is the desired force at K sample time.
For force feebback control of the slave finger, the
(3) Compute coefficient a and u
sampling period should be selected according the position
x (0) (2) z (1) (2),1
control loops because of more fast response than the force
(0) (1)
x (3) z (3),1 a (8) loops (T1 >T2). Both sampling periods (T2) of the position
u
M M u control loops for two-finger are set to the same symbol.

x (n) z (n),1
(0) (1)
B. PID Position Controller of the Master Finger
PID controller is a control loop feedback mechanism
(4) Predictive output of accumulated model (controller) widely used in industrial control systems. The
PID controller calculates an error value as the difference
x (1) (k 1) ( x(0) (1) u / a)e ak u / a (9) between a measured process variable and a desired setpoint.
The controller attempts to minimize the error by adjusting
(5) Prediction results after reduction the process through use of a manipulated variable. The final
form of the PID algorithm is:
x (0) (k 1) x (1) (k 1) x (1) (k ) (10) k
u1 (k ) k p1e1 (k ) ki1 ( e1 ( j )T2 ) kd 1 (e1 (k ) e1 (k 1)) / T2 (15)
j 1
381
e1 (k ) xd 1 (k ) x1 (k ) (16) uf(K) is the position correction generated from the force
Where u1(k) is the actual grasping force of the master finger controllers.
at k sample time, kp1 is the proportional gain, kd1 is the PID controller is a linear one, and it is described by
differential gain, ki1 is the integral gain, e1(k) is the actual k
grasping position error at k sample time, and e1(k-1) is the u p (k ) k p 2 e2 (k ) ki 2 ( e2 ( s)T ) kd 2 (e2 (k ) e2 (k 1)) / T2 (22)
last actual error at k-1 sample time. s 1
C. Force Controller of the Slave Finger based on GM(1,1)

e2 (k ) xr (k ) x2 (k )k T1 / T2 (23)
The force controller would supply the real time
position correction to the inner position controller. The Where up(k) is the action position of the slave finger at k
purpose of force feedback control loops is to reduce the time in position mode, kp2 is the proportional gain, kd2 is the
difference in tracking the location of the direction, and differential gain, ki2 is the integral gain, e(k) is the position
increase the force control accuracy and reduce random error at k sample time.
disturbances existed in position control system.
Based the grey GM(1,1) model in[10], the force error of
slave finger can be obtained from Fig.1 VI. MATLAB SIMULATION TESTS
PID controller for position control of the master finger
err1 ( K ) ( f d ( K ) f ( K )) / k0 (17) is a very mature technology, here we only consider force
control algorithm of slave finger. In simulation tests, there
are m1=1 (kg), b1=15 (N.m/s), k1=2 (N/m). The sampling
err2 ( K ) ( f d ( K ) f ( K 1)) / k0 (18) period in the force control loop is T1=0.001(s), the position
sampling period is T2=0.0001(s). Given initial value of
Where err(K) is the actual force error at k time for slave GM(1,1) model is GM=[0.01,0.02,0.02,0.01,0.02]. In
finger, The average relative error is used as the test indicator coordinate system, the desired position is xd1(k)=0.001(m),
of model accuracy in paper. The model average relative xe1(k)=0 (m). The objects stiffness is k0=10000 (N/m), and
error is obtained form (12). If the average relative error is the desired force in desired position is fd1=10 (N) from
smaller, it shows the higher accuracy of grey model, so the equation (3). The gains of the force controller are kp1=20,
predictive precision is higher. If the model precision isnt ki1=0.01; the gains of position controller is kp1=5, kd1=0.1,
high, the system output cant be able to achieve control ki1=0.02.
requirements. Integrated error of control input can also be
expressed as
T err1 ( K ) (1 T )err2 ( K )T 1

err ( K ) (19)
T err1 ( K )T t 1
PI control algorithm is used as the force controller

which generally only for error compensation. Digital PI
algorithm is described by
K
uf ( K ) k p err ( K ) ki ( e( s)T1 (20)
s 1
Where uf(K) is the actual position correction of the slave

finger at K time, kp is the proportional gain, ki is the Fig. 3 Grasping force trajectory
differential gain, T1 is the sampling period of force loops, Fig. 3 shows that all the contact force can quickly reach
and err(K) is the integrated force error at K time. to the desired force value, in the case of the same
When the built-in sensors on fingers show the actual parameters, the actual force with prediction value (blue
contact force value is greater than the desired threshold, the trajectory) obtains lower overshoot and faster response as
position control mode will be directly switched to the force compared with the actual force without prediction value (red
control mode. The equation of planners can be described as trajectory); the reason is that the force controller includes
the information of predictive force. It is obvious that the
xr (k ) xd 2 ( K ) u f ( K ) (21) control effects with prediction are better than the red curve
from Fig. 4. Fig. 5 shows the output curve of position
Where xd2(K) is the desired position of the slave finger at K correction generated form force controller. It can be seen
sample time, xr(k) is the real time planning position, and that the position correction reaches to the desired one while
382
contact force is close to the desired one, and the position response. Simulation results are presented to demonstrate
correction with prediction is faster to the desired one with the efficacy of the proposed force controller.
lower overshoot and faster response speed. Dynamic
grasping performance has been greatly improved because of ACKNOWLEDGMENT
use of prediction model. Based on the master-slave control The research reported in this paper has been partially
technology, the required dynamic performance can be supported by Shandong Provincial Natural Science
adjusted by the independent controller according to the Foundation of China (ZR2012FQ022, ZR2013FM026,
controller tuning. ZR2014YL009) and International Science & Technology
Cooperation Program of China (2014DFR10620).
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[1] Wolf A, Steinmann R, Schunk H. Practical Applications[J]. Grippers
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[2] L. Biagiotti, C. Melchiorri, G. Vassura, A dexterous robotic gripper
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[3] Xuelin Wang, Yongfei Xiao, Shuhui Bi, et al, Design of test
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[4] Xuelin Wang, Changying Ji, Jun Zhou, et al, Design and experiment
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[5] E. Ottaviano, M. Toti, and M. Ceccarelli, "Grasp Force Control in
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[6] Qinchuan Li, Ting Hu, and Chuanyu Wu, Review of end-effectors in
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[7] Koda, Y. Maeno, T, Grasping force control in master-slave system
with partial slip sensor, Intelligent Robots and Systems, 2006
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[8] Rabenorosoa, K, Clvy, C, Lutz, P, Active force control for robotic
micro-assembly: Application to guiding tasks, Robotics and
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[9] Tungpataratanawong, S, Ohishi, K, Miyazaki, T, Force sensorless
workspace impedance control considering resonant vibration of
industrial robot, Industrial Electronics Society, 2005. IECON 2005.
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[10] Xuelin Wang; Xinjian Fan, Yongguo Zhao, et al, "Parallel force
control for a robot gripper based on grey prediction models,"Power
Fig. 5 Dynamic grasping position correction trajectory Engineering and Automation Conference (PEAM), 2012 IEEE, vol.,
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VII. CONCLUSION [11] Wang Michael Yu, Pelinescu Diana M, Contact Force Prediction
and Force Closure Analysis of a Fixtured Rigid Workpiece with
Master-slave force control strategy based on grey Friction, Journal of Manufacturing Science and Engineering,
GM(1,1) model for a two-finger robot gripper is proposed in Transactions of the ASME, vol.125, no.2, 2003, pp.325-332
this paper. One of the interesting tasks is to develop an [12] Hongtao Chen, Dengwan Li, Sui Huang; et al, "Study on the cutting
force prediction of supercritical material milling," Natural Comput-
industrial oriented grasping manipulator which could adjust ation (ICNC), 2010 Sixth International Conference on , vol.3, no.,
itself to dynamically changing operational parameters like pp.1148-1152, 10-12 Aug. 2010,doi: 10.1109/ICNC.2010.55836.
different shape and size of objects, and the advantage of the
proposed synthesis method is the simplicity of both the
design process and the implementation of the control
algorithm in practice. The proposed force controllers with
grey prediction model can employ the information of past,
present and future force information to calculate an
appropriate control correction to pre-compensate the force
errors, thus it can obtain lower overshoot and faster
383
Remote Automatic Test System based on MATLAB

using VISA over LAN
Wei Cheng, Fenggui Wang, Haiyan Ma
Institute of Automation
Shandong Academy of Sciences
Jinan 250014, Shandong Province, China
wfgranger@gmail.com
Abstract - VISA over LAN was used to design remote instruments from a computer. As an industry standard
automatic test system, in which MATLAB was selected as the implemented by several T&M companies such as National
application development environment to enhance the capability Instruments, Tektronix, Rohde & Schwarz and Keysight
of data processing and analysis. Native GPIB commands and Technologies, it defines an architecture consisting of many
queries were funneled to/from VISA instrument object using
resources that make up the instrument functionality. In VISA
Instrument Control Toolbox functions, and then used to control
electrical measuring instruments through VISA I/O Library API standard, there are some specifications for communication with
and VXI-11 protocol. An example system for microwave imaging resources over T&M-specific I/O interfaces such as GPIB and
test with digital oscilloscopes integrated was developed to VXI, and for T&M-specific protocols over PC-standard I/O
perform the test of radio frequency and intermediate frequency such as VXI-11 over TCP/IP and USBTMC over USB. It is a
signals. common standard for configuring and programming test
systems, in which the building of instrumentation drivers is
Keywords - VISA instrument object; GPIB command & query; standardized. Although there are multiple vendors and
VXI-11 protocol; digital oscilloscope; microwave imaging test implementations, the VISA library has standardized the
presentation of its operations over several software reuse
I. INTRODUCTION mechanisms, so applications written against VISA are vendor-
In a modern electrical measurement laboratory, there are interchangeable [4, 5]. As an implementation of VISA, the
more and more complex test tasks originating from actual VISA I/O Library API contains a set of operations, attributes,
needs that should be performed accurately and timely. They and events supports connectivity between application
generally need multiple electrical measuring instruments that development environments like MATLAB and multiple kinds
have different functions to work collaboratively [1]. Therefore, of resources including instruments. Applications that use VISA
it is necessary that various single independent instruments be access instrument resources by opening sessions to them.
integrated to a large-scale intelligent and networked system to Every session in VISA is unique and has its own life cycle.
complete those complex test tasks automatically. However, it is After establishing a session, an application can communicate
a difficult job to integrate so many different types and models with a resource by invoking operations associated with the
of instruments, which refers to electrical measurement, resource or updating characteristics of resources called
communication, computer hardware & software and automatic attributes.
control [2]. In some scenes, user is not convenient to operate
the instruments or computers in the field, and then the remote Generally, as the industry-standard library of common I/O
test is critical for these specific conditions [3]. operations, VISA is supported by most modern electrical
In order to save time of test and make it more accurate, a measuring instruments, some of which have Ethernet interface
remote automatic test system with powerful auto measuring, or adapter for LAN. So instruments can be controlled remotely
data acquirement, processing and analysis is designed. In this by computer through LAN with VXI-11 protocol used. VXI-11
system computer-controlled instruments are connected to is an industry standard protocol that can connect instruments
computer via Local Area Network (LAN), the Virtual over a LAN. A VXI-11 server runs on the instrument, and the
Instrument Software Architecture (VISA) is adopted as its VXI-11 client is installed on the remote computer controlling
standard, MATLAB is selected as the application development the instrument. VXI-11 client /server are connected by LAN,
environment, and native General Purpose Interface Bus (GPIB) and their implementation can be provided by the VISA API [6].
commands and queries are used to control electrical measuring
instruments. The architecture of remote automatic test system is shown
in Fig.1, in which Windows-based instrument is connected to
remote Windows-based computer via virtual GPIB, VXI-11
II. VISA OVER LAN client/server technology and Ethernet LAN connection, while
VISA is a widely used I/O API in the test and Non Windows-based instrument is connected to it via a GPIB-
measurement (T&M) industry for communicating with LAN connection with a GPIB-LAN adaptor installed to support
978-1-4673-7995-3/15/$31.00 2015
c IEEE 384
Ethernet LAN. Virtual GPIB is an internal resource in larger acquisitions than conventional GPIB ports. What is more,
Windows-based instrument, which means fast connectivity combining with the virtual GPIB, the VXI-11 server-side
between Windows and the embedded software side. It provides component provides a software passageway by which the
a software bridge to and from embedded software, permitting remote computer loading the VXI-11 client-side component is
direct internal access to the instrument for much faster and connected to control the instrument over Ethernet LAN.
Fig. 1. System architecture.
Native GPIB commands and queries, MATLAB

III. COMMANDS AND QUERIES THROUGH MATLAB Instrument Control Toolbox functions, and VISA standard are
MATLAB has powerful mathematical analysis and used to connect to and control instruments, and for data
simulation capabilities with toolboxes for real-time control, connectivity. Native GPIB commands and queries are written
signal processing, and statistics. In order to enhance the to VISA instrument object and then transferred to VISA API
capability of data processing and analysis of the remote through Instrument Control Toolbox functions. Fig.2 shows
automatic test system, MATLAB is selected as the application how GPIB commands and queries are funneled to/from a VISA
development environment. Through the built-in Instrument instrument object using Instrument Control Toolbox fprintf and
Control Toolbox (ICT), MATLAB software can be used to query functions. Other Instrument Control Toolbox functions
control instruments, make measurements, analyze data, and such as set, fread, fscanf can also be used to access VISA
build test systems. Once data are in MATLAB, they can be instrument objects. The actual commands sent by the VISA
analyzed and visualized for tasks such as signal processing and API comply with those in instrument-specific command set, so
statistical analysis [7]. the client software program written using VISA is portable
across different instrument models if the instrument-specific
Instrument Control Toolbox is a collection of MATLAB command set of them is same.
M-file functions, and it includes adaptors for the GPIB
interface and the VISA standard. Using these adaptors, the
IV. EXAMPLE OF IMPLEMENTATION
toolbox provides a framework from MATLAB for
communicating with instruments that support these standard As an example, a remote automatic test system for
interfaces. It enables to work with VISA interfaces and microwave imaging is developed, in which two Tektronix
communicate with instruments directly. Multiple VISA digital oscilloscopes is integrated. One Windows-based real-
software from different manufacturers including NI-VISA, time digital oscilloscope up to 8GHz is used to test radio
TekVISA and Keysight VISA are supported by Instrument frequency signals, and the other Non Windows-based real-time
Control Toolbox, and they make connectivity with Windows- digital oscilloscope up to 200MHz is used to test intermediate
based instrument possible without complicated programming frequency signals of microwave imaging system. By it, most
[8]. The live data of instruments will be imported into operations in the field are avoided, and this will help the
MATLAB, and this leads to it accepting live data rather than operator escape from the hurt of electromagnetic radiation.
reading data from a file.
385
Our own oscilloscope application program is designed in MATLAB and compute the image using specified imaging
MATLAB with Graphical User Interface (GUI) as its algorithms [10]. The waveform and computed image will be
operational interface as shown in Fig.3 [9], and it can displayed on the GUI interface immediately.
automatically acquire waveform data from oscilloscope into
Fig. 2. Commands and queries are funneled.
Fig. 3. Example system for microwave imaging test with Tektronix oscilloscopes integrated.
386
To ensure that the oscilloscope application program will V. CONCLUSION
run correctly, these steps are followed: In this paper, remote automatic test system that uses VISA
a) Set up the oscilloscope. I/O Library API and VXI-11 protocol over LAN is designed,
and MATLAB uses native GPIB commands and queries to
b) Retrieve the waveform data. control electrical measuring instruments through Instrument
c) Analyze the data and imaging. Control Toolbox functions. It is easy to implement and flexible
to extend. With powerful capability of data processing and
Some basic steps for communicating with a VISA analysis, this system makes test time saving and more accurate.
instrument object using the Instrument Control Toolbox
functions are as follows, and all other details of working with
ACKNOWLEDGMENT
oscilloscopes in MATLAB can be supplemented.
The paper is funded by Science & Technology
a) Create a VISA instrument object to an oscilloscope. Development Plan of Shandong Province, China (Grant No.
g = visa('tek','TCPIP::192.168.1.91::INSTR'); 2014GSF120009), International Science & Technology
Cooperation Program of China (Grant No. 2015DFA11200)
The VISA instrument object corresponding to the actual and Priority Research Program of Shandong Academy of
instrument with the described IP address is created, and Sciences, China (Grant No. 20120102). The authors would like
assigned to the variable g. The unique address strings called to thank all collaborators, especially who are in the UWB &
VISA descriptors identify VISA resources including THz Innovation Team, Shandong Academy of Sciences, China.
instruments, and here it refers to a networked instrument with
IP address 192.168.1.91.
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fprintf(g,'CURVE?'); [9] Su Yang; Liu Ling; Gao Kang, "Research of an Automatic RF Devices
Characteristic Test Bench for DC and Scattering Parameters
waveform_raw = fread(g,[recordLen2Transfer,ch],'int16'); Measurement," 2010 2nd International Conference on Information
Engineering and Computer Science (ICIECS), pp.1-4, 25-26 Dec. 2010.
The native GPIB *IDN? query is funneled through the ICT [10] Liu Guili; Kong Quancun, "Design of virtual oscilloscope based on
query function. This query returns the instrument identification GPIB interface and SCPI," 2013 IEEE 11th International Conference on
code. Electronic Measurement & Instruments (ICEMI), pp.294-298, 16-19
Aug. 2013.
Channel 1-4 are set as the data source from which
waveforms are obtained and returned.
e) Disconnect and clean up.
fclose(g);
delete(g);
387
Cubic Spline Solution for a Class of Boundary Value

Problems Using Spectral Collocation Method
Tian-jun Wang *, Qi-xian Zhou, Teng-teng Cui
College of Mathematics & Statistics, Henan University of Science & Technology, Luoyang 471003, China
*Corresponding author Email: wangtianjun64@163.com
Abstract: In this paper, we investigate the positive real number. As examples of applications, spectral
numerical solution of a class of boundary value collocation schemes are provided for three model problems
and one real practice. Numerical results demonstrate their high
problems of ordinary differential equations accuracy.
using parametric cubic spline function and
spectral collocation method. Efficient algorithms II. NUMERICAL METHOD OF BOUNDARY VALUE
PROBLEMS
are implemented. Numerical results demonstrate
the high efficiency and accuracy of the proposed In this section, we investigate the algorithms of the two-point
boundary value problems. We develop a smooth approximate
method. solution of (1) using parametric cubic function with unequally
spaced nodes.
KeywordsOrdinary differential equations,
Boundary value problems, Parametric cubic spline A. Legendre Collocation Methods
function, Legendre-Gauss-Lobatto nodes The Legendre polynomial of degree n is defined by
(1)n d n ((1 t 2 )n )
I. INTRODUCTION Ln (t ) , n 0,1.", t [1,1]. (2)
2n n! dt n
We consider a class of boundary value problems
Denote by tk (0 d k d N ) the N 1 distinct zeros of
ucc( x) f ( x, u ( x)), x I (a, b), polynomials (1 t 2 )w t LN (t ), arranged in decreasing order. We

u (a ) a0 , u (b) a1 , construct the parametric cubic spline function based on
(1) Legendre-Gauss-Lobatto nodes to approximate the solution of
problems (1).
where f ( x, u ) is a known continuous function on [a, b] . Some
authors discussed the spline solutions of (1) for the initial or B. Collocation Scheme of Boundary Value Problems
boundary value problem, as well as its quadratic spline We make the variable transformation x x(t),t [1,1].
solutions and cubic spline solutions for linear function
Then, the interval [a, b] is changed to the interval [ 1,1].
f ( x, u ) of variable u , see[1-7, and the references therein].
Also, others considered the approximate solutions of high- Dividing the interval [a, b] into N small intervals [ xi , xi1 ],
order spline function and collocation spline function, see [8-9, by xi x(ti ), i 0,1" , N 1. We have
and the related reference]. Khan [10] developed the parametric
cubic spline solutions of (1). Gao and Wang [11] gave a high a x0 x1 " xN b.
accuracy finite volume element method based on cubic spline
Generally, a parametric cubic spline function S ( x, W)
interpolation for (1) ( f ( x, u ) is linear or nonlinear). Recently,
Wang [12], Cai, Wang and Yin [13] presented the spectral ( S ( x, W) C 2 [a, b]) interpolates u ( x ) at the nodes
collocation method of a class of linear singular boundary value xk (0 d k d N ), depending on a parameter W( W ! 0) and
problems defined on bounded interval. However, it is also
reduces to cubic spline in [ a , b ] as W o 0 .
interesting to consider the numerical solutions of (1) with
parametric cubic spline function based on Legendre-Gauss- The spline functions S ( x , W) S ( x ) satisfies differential
Lobatto nodes. As a piecewise interpolation of third order, equation on the interval [ xi , xi 1 ] (cf.[10])
cubic spline interpolation has some merits, such as the high
accuracy, good smoothness, etc. So far, there is no result on x x
the spectral collocation method for such problems. In this S cc( x ) WS ( x ) S cc( xi ) WS ( xi ) i 1
hi 1
paper, we propose spectra l collocation methods for (3)
problems (1) with parametric cubic spline function. Using the x xi
continuity conditions, we construct the algorithm schemes of S cc( xi 1 ) WS ( xi 1 ) , i 0,1, " , N 1.
hi 1
unequally spaced nodes with parameter, which can take any
978-1-4673-7995-3/15/$31.00 2015
c IEEE 388
where hi 1 xi 1 xi . Eq. 3 is an inhomogeneous ordinary Using continuity conditions of S '( x ) at the nodes xi , we
differential equation with constant coefficients of second have
order. Its general solutions correspond to the general solution Di M i 1 (Ei 1 Ei ) M i Di 1M i 1
of homogeneous equation and a special solution itself.
Obviously, the general solution of the corresponding ui 1 1 1 u (9)
homogeneous equation of Eq. 3 is
( )ui i 1 , i 1," , n 1.
hi 1 hi 1 hi hi
S ( x) C1 cos W x C2 s in W x, (4)
where
And a special solution of Eq. 3 is
xi 1 x (Zi csc Zi 1) 1 1
S * ( x) S cc( xi ) WS ( xi ) Di hi
Zi2

W sin Zi Whi
1/2
, S ( xi ) ui
Whi 1
(5)
x xi 1 Zi cot Zi 1 cot Zi
S cc( xi 1 ) WS ( xi 1 ) . Ei hi 1/2 , S cc( xi ) Mi.
Whi 1 Zi2 Whi W
Let Zi 1 hi 1W1/2 . By the interpolation conditions, If the term of right hand side of Eq.1 f ( x , u ) g ( x) ,
S ( xi ) ui , S ( xi 1 ) ui 1 , then the general solution of Eq. q ( x)u ( x) , the first equation of Eq. 1 can be written as
3 is Mj q ju j g j ,
Z ( x xi )
Scc( xi1 )sin i1 Substituting it into Eq. 9, we have the following tridiagonal
hi21 hi1 system about the numerical solutions u1 , u2 ,", uN 1 which
S ( x) 2
Zi1 sin Zi1
Scc( xi )sin Zi1 ( xi 1 x) approximate the solution u ( x ) at xk (1 d k d n 1) ,
hi1 (hi hi 1Di qi 1 hi 1 )ui 1
(6) (hi hi 1 hi hi 1 (Ei 1 Ei )qi )ui
( x xi ) Z 2
(hi hi 1D i 1qi 1 hi )ui 1 (10)
S cc( xi1 ) i 1
S ( xi1 )
h2 hi1 h 2
hi hi 1 (Di gi 1 (Ei 1 Ei ) gi Di 1 g i 1 ),
i21
i 1
Zi1 ( xi1 x) . i 1," , N 1, u0 a0 , u N a1.

Z 2
Scc( xi ) 2 S ( xi )
i 1
hi1 hi1 III. NUMERICAL RESULTS
Differentiating Eq. 6 and taking x xi yields that In this section, we present some numerical results showing the
high efficiency and accuracy of the proposed method. The
S c( xi 0) numerical errors are measured by the following L -norm
f
1 EN max | y ( x) S ( x) | . (11)
> S cc( xi 1 ) S cc( xi ) cos Zi1 @ (7) a d xk db ,0 d k d N
W sin Zi 1
1/2
1 1 Example 1 We consider the following linear problem(cf.[10])

> S cc( xi 1 ) S cc( xi )@ > S ( xi 1 ) S ( xi )@. 2 1
Whi 1 hi 1 ycc y , x (2, 3),
2
In the same way, for x [ xi 1 , xi ], hi xi xi 1 and
x x (12)
y (2) 0, y (3) 0.
Zi hi W1/2 , we have Its exact solution is
S c( xi 0) y ( x) [5 x 2 19 x 36 / x] / 38.
1 In Fig. 1, we plot the errors log10 EN vs. log10 N . Clearly,
> S cc( xi ) cos Zi S cc( xi 1 )@ (8)
W sin Zi
1/2
the errors decay fast when N increases with different values
of the parameter W , and the approximate solutions converge at
1 1
> S cc( xi ) S cc( xi 1 )@ > S ( xi ) S ( xi1 )@. a certain algebraic rate. The numerical experiments show that
Whi hi it can get better numerical results when parameter W takes
suitably values. However, how to choose the best parameter
W is still an open problem.
389
Example 3. We consider the following linear problem
y cc y x 2 sin 3 x, x (0, S),
(15)
y (0) 0, y ( S) 325S .
Its exact solution is
3 25 x 2 13
y ( x) x cos 3x sin 3x.
25 250
Obviously, its solution has certain oscillation. But the
algorithm still has the high accuracy of the proposed method,
f
Fig. 1. L -error of example 1 see Fig. 3.
Example 2 We consider the following nonlinear problem,
5e 6 /12 x
y cc y ( y 1) 6 /12 x 3
,
3( e 6 /12 x
e )

y (1) (1 tanh( 6 /12)) / 4,
2
(13)

y (1) (1 tanh( 6 /12)) / 4.
2
Fig. 3. Lf -error of example 3.

By virtue of Eq. 9, we can get Example 4. We consider the following real practice
problem.:
(hi hi 1Di qi 1 hi 1 )ui 1 y '' k 2 y h sin Z x,
(hi hi 1 hi hi 1 (Ei 1 Ei )qi )ui where k is a constant depending on the mass of a vibrator
(hi hi 1D i 1qi 1 hi )ui 1 and the stiffness a spring. h also is constant depending on
(14) the mass of the vibrator, an external force and Z .
hi hi 1 (D i gi 1 (Ei 1 Ei ) gi Di 1 g i 1 ) In fact, it comes from the undamped forced vibration of a
hi hi 1 (D i ui21 (Ei 1 Ei )ui2 Di 1ui21 ), spring mass system. For simplicity, we take k h 1 and
Z 2 with boundary conditions y (0) y (S ) 0. In this
i 1, " , N 1, u0 a0 , u N a1. case, its exact solution is
Its exactly solution is 1
y ( x) (1 tanh( 6 /12 x)) 2 / 4. y ( x) sin 2 x.
3
The numerical errors are measured by E N . In Fig. 2, we plot In Fig. 4, we plot the numerical errors log10 EN vs. log10 N .
the errors log10 EN vs. log10 N . The numerical errors Obviously, the numerical errors decrease rapidly as N
decrease rapidly as N increases and show the high accuracy of increases. The numerical error has the same order with the
the proposed algorithm. The numerical error has the same 8
quantity O (10 ) when parameter W takes the value 10 .
order with the quantity O(10 12
) when parameter W takes
the value 0.3249 . Like example 1, how to choose the best
parameter W is still an open problem.
f
Fig. 4. L -error of example 4.
Fig. 2. Lf -error of example 2.
390
Remark 1 Here we consider the case that the term f ( x, u ) Technology (N.09001263) and Henan University of Science &
Technology SRTP under the grant No. 2014126 are
of the right hand side of Eq. 1 is a linear function of
acknowledged gratefully. The authors also gratefully
variables x, u . If f is also the linear function of u ' , for acknowledge the helpful comments and suggestions of the
example , reviewers, which have improved the presentation.
f ( x, u , u ') p ( x)u '( x) q( x)u ( x) g ( x), References
then we make the variable transformation (cf.[14]),
[1] J.H. Ahlberg, E.N. Nilson, J.L. Walsh, The Theory of
e2
1 p ( x ) dx
u ( x) z ( x) . Splines and their Applications,Academic Press, New York,
Then, problem (1) is changed to 1967.
[2] E.L. Albasiny, W.D. Hoskins, Cubic spline solution of
two point boundary value problem, Comput. J., 12 (1969) ,
z "( x) f ( x, z ( x)), x (a, b), 151153.
(16)
[3] E.A. Al-Said, Spline solution for system of second
z (a ) b0 , z (b) b1.
order boundary-value problems, Int.J. Comput. Math. 62
In the same manner, we can solve problem (16).
(1996), 143154.
Remark 2 We know that interpolation approximation is local, [4] E.A. Al-Said, Quadratic spline solution of two point
that is, cubic spline functions approximate the exact solutions boundary value problems, J. Nat. Geom., 12 (1997) 125134.
of boundary value problems at interpolation nodes [5] W.G. Bickley, Piecewise cubic interpolation and two-
xk (0 d k d N ) . Then it is reasonable to measure the point boundary-value problems,Comput. J., 11 (1968) , 206
f 208.
numerical errors with the L -norm for certain problem
[6] D.J. Fyfe, The use of cubic splines in the solution of
EN max | y ( x) S ( x) |, two-point boundary-value problems, Comput. J., 12 (1969) ,
a d xk db ,0 d k d N 188192.
[7] M. Sakai, R.A. Usmani, Quadratic spline and two point
where y ( x) is the exact solution of the boundary value boundary value problems, Publ. RIMS, Kyoto Univ., 19
problem and S ( x) is the approximate solution (or cubic spline (1983) , 713.
function) of boundary problem. [8] A.K. Khalifa, J.C. Eilbeck, Collocation with
quadratic and cubic splines, IMA J. Numer. Anal., 2 (1982) ,
IV. CONCLUDING REMARKS 111121.
[9] M. A. Noor, A.K. Khalifa, Cubic splines collocation
In this paper, we developed the parametric cubic spline methods for unilateral problems, Int. J. Eng. Sci., 25
function with Legendre spectral collocations method for a class (1987) ,15271530.
of boundary value problems. The new results improved and
[10] A. Kanth, Parametric cubic spline solution of two-
generalized the existing results of [7-10]. Numerical results
demonstrated the efficiency and high accuracy of the proposed point boundary value problems, Appl. Math. Comput., 154
approach. In particular, it is convenient to deal with nonlinear (2004),175-182.
terms, and save huge amount of work in calculation. It is also [11] G.H. Gao, T.K. Wang, A high accuracy Finite
useful for other nonlinear problems. Moreover, the adjustable volume element method based on cubic spline interpolation
parameter W involved in the cubic spline function enables us for two-point boundary value problems, J. Shandong
to fit the behaviors of exact solutions at finite interval closely. University( Natural Science) , 44(2009), 45-51.
So it works well even for the solutions changing rapidly and [12] T.J. Wang, Spectral collocation methods for a class
with certain oscillating. singular boundary value problems, J. of Henan University
of Science & Technology(Natural Science), 34(2013), 75-78.
ACKNOWLEDGMENT [13] W. Y. Cai, T. J. Wang, and Y. H. Yin, Spectral
collocation methods for a class of linear system singular
The financial support from the National Natural Science boundary value problems, J. of Henan University of Science
Foundation of China (N.11371123N.11171227), the Henan & Technology (Natural Science), ,35(2014), 87-90.
Province Education Commission under the No. 14B110021, [14] Y.Q. Ye, Lectures on ordinary differential equations,
The Doctor Fund of Henan University of Science and Beijing: People's Education Press, 1983.
391
Maximum Efficiency Control Method of Permanent

Magnet Synchronous Motor Based on Three-
Dimensional Table
Gen-Sheng Li*, Jin-Fa Xie, Li-You Xu
Vehicle and Traffic Engineering School
Luoyang, China
*Corresponding author Email: L.gensheng@gmail.com
AbstractIncrease the operating efficiency of the motor can have been proposed for efficiency optimization of PM
reduce energy consumption and the requirements for the synchronous motor, one approach is to improve the design of the
radiator, for some applications, the operating efficiency of the motor[7, 8], and the other is to study the motor control. For
motor even become one of the most important factors. In order to efficiency optimization control, researchers have proposed a wide
improve the efficiency of the motor, in this paper, the maximum variety of control methods, such as model-based methods[9-11],
efficiency permanent magnet synchronous motor control method curve fitting method[10], fuzzy theory[12-14], neural networks[15,
was proposed, the method takes into account the copper and iron 16], online search[17], etc.
losses based on the motor model, and can make a permanent A new maximum efficiency based on three-dimensional table
magnet synchronous motor to achieve optimal efficiency at
method has been proposed by the authors of this paper aiming at
different speeds by the way of look-up table. The proposed
improving the operating efficiency of PMSM, then, through
method reduces the amount of computation greatly, and it is easy
to implement in practical control. The simulation results showed analysis and simulation, it is proved that the algorithm is feasible
that the method can improve the efficiency of permanent magnet and effective.
synchronous motor effectively.
II. PMSM LOSS MODEL
KeywordsPMSM; Efficiency Optimization; Loss model; Figure.1 shows the direct and quadrature equivalent circuits
Three-dimensional form; which considering iron. is the armature resistance. is the
iron loss, and iron loss consists of hysteresis loss and eddy
I. INTRODUCTION
loss.
Permanent magnet synchronous motor (PMSM) has high
efficiency, high energy density, large starting torque and wide id uod iod
speed range[1]. With the performance increasing of NdFeB
permanent magnet materials and the development of vector
icd

control theory, high-performance processors and high-power ud Ze Lq ioq
high-switching speed of the power electronics element makes the Rc

performance of permanent magnet synchronous motor control
continuously improved, PMSM is now widely used for industrial
control and electric vehicles. d-axis
For interior structure, the motor is more robust and reliable,
and this structure determines the direct axis synchronous
inductance is less than quadrature axis synchronous inductance. iq Rs uoq ioq
The resulting unequal inductance will provide additional
icq
reluctance torque and expand the field weakening range. To take ZLi
full advantages of reluctance torque, improve the motor efficiency, uq e d od
and reduce the inverter output capacity, the maximum torque per Rc
Z\
ampere (MTPA) control method is widely used in the constant e f
torque range[2-4].
In general, PMSM running losses include mechanical q-axis
losses and stray loss, copper loss and iron loss[5, 6]. MTPA
cannot ensure that motor efficiency is optimal, because this Figure.1 dq axis equivalent circuit considering iron loss
method only takes the copper loss into account but ignore the iron dq axis voltage equation
loss. For some applications such as electric vehicles, efficiency is
a necessary factor to take into account, so the efficiency (1)
optimization control is necessary. In literature, various methods
978-1-4673-7995-3/15/$31.00 2015
c IEEE 392
Where (7)
Iron loss:

(8)
dq axis flux equations Total loss:
(9)
(2) With constraints equation (6) and equation (9) we can

construct the Lagrange equality.
Voltage state equation (10)

By calculating the extreme value of equation (10), we can
get the relationship between direct axis current and quadrature
(3)
axis current. The result is very complicated, and expressed it
as equation (10).
Where the actual part of the electromagnetic torque According to the equivalent circuit Figure.1, resistance
current equivalent to the open circuit when it tends to infinity under
maximum efficiency control. In this case the iron loss

resistance of the equivalent circuit of can be ignored.

(4) At the same time, we can get the MTPA control

relationships (equation 11) by calculated limit of equation 10

according to the argument
.
Flows through the equivalent resistor iron loss current,
generating iron loss current loss
(11)

(5) Through the analysis of the equivalent circuit and
numerical derivation, we can get a conclusion that MTPA is a

special case of maximum efficiency control.
Electromagnetic torque: Then, the equation (11) was used to analyze the impact of
speed variation on the control track of the maximum
(6)
efficiency.
Where
, d and q axis components of terminal voltage; TABLE I. Motor parameters
, d and q axis components of armature current; Motor Parameters value

0.0151
, d and q axis components of iron loss current; Winding resistance
, d and q axis components of armature self- d-axis inductance Ld
0.245mH
inductance
q-axis inductance Lq 0.844mH
the number of pole pairs;
flux linkage of permanent magnet per-phase. Magnet flux 0.08424Wb
The second item in equation (6) is reluctance torque 4
Pole pairs
produced by rotor saliency effects. For the permanent magnet 0.0346 km.m2
synchronous motor, we can use the reluctance torque to Rotor inertia J
improve the efficiency of the motor. From equation (6) we can
see that electromagnetic torque is no longer a direct result of According to motor parameters in the Table 1, we can draw
current through armature resistance when iron loss is the maximum efficiency control trajectory in Figure.2 by
considered. formula 11 when the iron loss equivalent resistance is 150.
The two maximum efficiency control trajectories
III. MAXIMUM EFFICIENCY CONTROL corresponding speed are 1500r/min and 2500r/min
In general, MTPA improves torque production in the respectively.
constant torque region, but cannot guarantee the highest id g ( Ld , Lq , iq , Z, Rc ) (10)
optimal efficiency because it is only in the case that copper We can get the three control points when electromagnetic
loss are minimal while the iron loss are not taken into account. torque is 40Nm, point A is suitable for MTPA control, point
Maximum efficiency control is implemented to make the sum B is the maximum efficiency control at 1500r/min , point C is
of copper loss and iron loss minimal. The expression of copper the maximum efficiency control at 2500r/min. As can be seen
loss and iron loss is available according to equivalent circuit from the figure.2, for a given torque, the faster the speed, the
Figure.1.
Copper loss:
393
larger the difference between in MTPA and in maximum dimensional table, it was shown in figure.3. In real-time
efficiency control. The same is true for . control processthe micro control unit (MCU) can obtain the
quadrature axis current command to achieve maximum
maximum efficiency control
efficiency control by look-up table in accordance with the
(Zm=1500r/min) MTPA and speed signal.
140
120 '
maximum efficiency control

100
(Zm=2500r/min)
iq/A
iq
) $
80
(
Torque
60 curve
&
%
40
-100 -80 -60 -40 -20
idid/A
Figure.2 Speed impact on maximum efficiency control
We can get the three control points when speed is Figure.3 Pre-computed three-dimensional table
2500r/min, point C is the maximum efficiency control at
40Nm point F is the maximum efficiency control at 70Nm, IV. SIMULATION AND RESULTS
As can be seen from the figure.2, for a given speed, The Motor model is established based on the equivalent circuit
greater the torque, the larger the difference between in in Figure.1, Figure.4 shows the model of motor established on
MTPA and in maximum efficiency control. The same is PLECS. PLECS is a simulink toolbox for system-level
true for . simulations of electrical circuits developed by Plexim, it
Because the maximum efficiency control have a large enhances simulink with the capability to simulate electrical
amount of calculation, it is very difficult to complete online circuits directly.
based on real-time calculation with motor parameters.
In this paper, the relationship between the current ,
current and speed was pre-calculated and stored as a three-
Figure.4 Motor model in PLECS
394
The proposed control method is simulated in
MATLAB/simulink, Figure.5 shows the structure of motor
-20
control system, and the motor parameters are reported in
table.1. -40 MTPA
id /A
Z id* -60
maximum efficiency
PI PI
PWM -80 control
dq/ PMSM
Table PI IGBT
0.25 0.3 0.35 0.4 0.45
iq*
id 100
dq/abc MTPA
iq 80
iq /A
Z 60
Sensor maximum efficiency
40 control
Figure.5 PMSM maximum efficiency control structure 20

0.25 0.3 0.35 0.4 0.45
This paper carries on the comparison between maximum Time /s
efficiency control and MTPA through the simulation. The
maximum efficiency control is performed according to the Figure.6 Simulation results of current when torque form
structure of figure.5, the speed controller to output the direct 20Nm step to 60Nm at 2500r/min
axis current command, and command can be obtained
according to the direct axis current command and speed by 500
look-up table. Thus avoiding the heavy computing and achieve MTPA
maximum efficiency control. 450
The paper use simulation to analyze the effects of different

control methods for motor operating efficiency of the dynamic 400
Total lossW
process. Simulation speed is 2500r/min, the load torque at 0.3s

350 maximum efficiency
time from 20Nm step to 60Nm, and simulation results shown control
in figure.6 and figure.7.
300
Figures.6 and figure.7 are the simulation results when
torque form 20Nm step to 60Nm at 2500r/min. In figure.6,
250
current and in maximum efficiency control are under the
MTPA control. We can see that different methods give 200
different command values under the same speed and torque
from the figure.6, In fact, there are a lot of combinations of 0.25 0.3 0.35 0.4 0.45
current group can be achieved for the same speed and torque Time /s
command, but only one among them is the best efficiency.
Figure 7 is the contrast of the total loss of different control Figure.7 Simulation results of total loss when torque form
methods, it can clearly see that total loss in maximum 20Nm step to 60Nm at 2500r/min
efficiency control is always smaller the MTPA control.
Simulation results show that the proposed maximum CONCLUSION
efficiency reduces the total loss in the whole control process, This paper presents a new method of maximum efficiency
and realized efficiency optimization. based on pre-calculated three-dimensional table. In this paper,
Clearly we can find out that under the same condition of after a systematic mathematical formulation on the maximum
speed and torque, different control methods may lead to efficiency control model of the PMSM driven system with iron
different command value. It can be seen from the results that loss considered. And the three-dimensional table look-up
the maximum efficiency control of the copper loss is greater maximum efficiency control structure is proposed. The
than the minimum current control, but the total loss is lower, simulation results showed that the proposed method can
because the motor iron loss along with the increase of speed improve the efficiency of permanent magnet synchronous
and torque, however, direct axle demagnetization current motor effectively.
increase which will reduce the air-gap flux. This will cause the REFERENCES
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[7] T. Finken and K. Hameyer, "Design and optimization of an IPMSM with [15] M. A. Al-Taee, et al., "Real-time efficiency optimisation of open-loop
fixed outer dimensions for application in HEVs," in Electric Machines controlled synchronous PM motor drive using Adaptive Neural
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396
Modeling and simulation of hydro-mechanical

continuously variable transmission system based on
Simscape
Zhili Zhou, Jiazhen Zhang, Liyou Xu ZhiQiang Guo

Vehicle and Traffic Engineering school YTO Group Corporation
Henan University of Science and Technology Luoyang, China
Luoyang, China 656416151@qq.com
xlyou@mail.haust.edu.cn
AbstractThe traditional methods of dynamic modeling for shifting process was carried out based on Simulink[9].The
the simulation of hydro-mechanical continuously variable above methods are the traditional modeling methods based on
transmission (HMCVT) are cumbersome and complex. The the abstract mathematical model, the modeling process is
physical simulation models of engine, hydraulic speed regulating complicated and time-consuming. Simscape, an extension tool
mechanism, mechanical speed regulating mechanism and the module of Simulink, is a multidisciplinary modeling and
load were established based on Simscape, and the dynamic simulation tool based on physical system. Compared with
characteristics of the components were analyzed in the paper. traditional modeling method, simscape is more convenient to
The simulation results show that with the change of displacement
reflect the structure of physical systems, and can simplify the
ratio e, the output speed of the system is continuous and stepless,
modeling process.
and the output torque of the system is constant when the torque
of load is constant. From the analysis results, it is concluded that In order to obtain higher simulation credibility, simplify the
the physical models are feasible. The research provides a process of mathematical modeling and simulation modules
theoretical foundation and a verification platform for further building and provide a mosular and integrated simulation
development and improvement of HMCVT shifting strategy. platform for the following research, the physical model of
HMCVT system was established in Simscape environment
Keywords simscape; HMCVT; physical modeling; simulation
based on the idea of modular modeling in the paper.
I. INTRODUCTION II. STRUCTURE AND WORKING PRINCIPLE OF HMCVT

Hydro-mechanical continuously variable transmission HMCVT is composed of hydraulic speed regulating
(HMCVT) is a drive system whose hydraulic power flow is mechanism which mainly consist of variable-displacement
parallel with the mechanical power flow. The system realizes pump and fixed-displacement motor, gear box and a single
the high efficiency by mechanical drive, realizes stepless speed common planetary gear train. Fig.1 is the HMCVT structure
through the combination of hydraulic drive and mechanical schematic diagram of Dongfanghong tractor 1302R[2].
drive. HMCVT has the characteristics of stepless speed
regulation and high efficiency, is an ideal transmission system
of large power vehicle[1-4]. However, the mechanism and
control system of HMCVT are very complex. Kinetic modeling
of the HMCVT, using the software or hardware in the loop
simulation, is an effective way to study its dynamics and
development of control strategy.
Many domestic scholars have done some researches on the
simulation methods of HMCVT system, and have achieved
good simulation results[5-9]. A dynamics model of multi-range
HMCVT was established and simulated in Simulink and
stateflow platform, the comparison between the simulation and
experiment results verified the validity of the model[5]; A
simulation model of HMCVT was established based on Fig. 1. Transmission scheme of HMCVT
AMESim, and the factors that influenced the shifting process
were analyzed through joint simulation[6]; On the basis of the As can be seen in the figure, C1, C2, , C8 are shifting
dynamic analysis of HMCVT system, the mathematical model clutches; s, c, r represent Sun, Carrier and Ring respectively; e
of the system was established and the simulation analysis of represents the displacement ratio; ne , nb are the input and
output speed of HMCVT respectively, r/min. The engine input
This work is financially supported by the national natural science fund
project (51375145), the key scientific and technological plan funding project
of Henan Province (142102210424), and the key technology research
programs plan fund project in department of education of Henan Province
(14B460015).
978-1-4673-7995-3/15/$31.00 2015
c IEEE 397
power is divided into two branches by the dividing mechanism, Engine in the Simdriveline is chosen directly. The output of
one branch is the hydraulic power which flows over the pump this model is a function of the engine throttle opening, the
and motor, the other one is the mechanical power which flows output power of different throttle opening degree can be
over the gear box, and the two branches finally converge in the obtained as long as the engine external characteristic data is
planetary. According to the different engagement of clutches input.
(shown in Table I) and the change of e, 6 continuous
transmission sections in forward direction and 3 continuous
transmission sections in reversing direction can be got. Besides,
the HMCVT speed ratio can change continuously and
steplessly within a certain range.
TABLE I. ENGAGEMENT STATUS OF CLUTCHES OF HMCVT
Clutch number
range C1 C2 C3 C4 C5 C6 C7 C8
H1
Fig. 2. Simulation model of engine
M1
HM2
HM3
Fig.2 is the simulation model of engine. As can be seen in
forward M2
the figure, the model is mainly composed of a simple engine
HM4 model (Generic Engine), the input control signal of throttle (T),
HM5 a torque sensor, a motion sensor and the inertia and damper of
M3 the engine output shaft. The input of the module is the engine
HM6 throttle opening, and the output is the power of engine. The
output torque and rotational speed of the engine are measured
H1
HM2
by the torque and speed sensors.
reverse
M1 2) Simulation model of hydraulic speed regulating
HM3 mechanism
a.
, represents the engagement or separate respectively; Hydraulic speed regulating mechanism always uses the
b. same specifications of the variable-displacement pump and
H, M, HM represents hydraulic,mechanical and hydro-mechanical range respectively.
fixed-displacement motor. The modeling assumptions are as
III. SIMSCAPE SIMULATION MODEL OF HMCVT SYSTEM follows: the internal leakage of hydraulic components is
laminar flow; the external leakage of low-pressure side circuit
A. Simscape introduction is ignored; the high and low pressure of pump equal to the
motors, respectively; the oil is charged without delay and oil
Simscape is a set of block libraries and special simulation charge pressure is constant; the oil density and viscosity do not
features for modeling physical systems in the Simulink change with the temperature and pressure of system in the
environment. It employs the Physical Network approach, working process; the mechanical friction and other nonlinear
which differs from the standard Simulink modeling approach factors of the fixed-displacement motor are ignored. According
and is particularly suited to simulating systems that consist of to the above assumptions, the flow equation of variable-
real physical components. According to this approach, each displacement pump, the flow equation of fixed-displacement
system is represented as consisting of functional elements that motor in high pressure and the torque balance equation of the
interact with each other by exchanging energy through their motor output shaft are as follows:
ports.
These connection ports are nondirectional. They mimic
physical connections between elements. Connecting Simscape qp n p Vpmax e C ip (PH PL ) C ep PH #
blocks together is analogous to connecting real components,
such as pumps, valves, and so on. In other words, Simscape V0 d(PH PL )
diagrams mimic the physical system layout. You do not have to qm n m Vm ! C im (PH PL ) ! C em PH ! %
e dt
specify flow directions and information flow when connecting
Simscape blocks, just as you do not have to specify this dnm
information when you connect real physical components. The Vm (PH PL ) Im ! B m n m ! Tm &
Physical Network approach automatically resolves all the dt
traditional issues with variables, directionality, and so on.
Where, C ip , C ep , C im , C em are the internal and external leakage
B. Simulation model of the transmission system of pump and motor respectively, m 3 /(Pa min) ; q p , q m are the
1) Simulation model of engine flow of pump and motor respectively, m 3 /min ; n p , n m are the
The control of engine is not involved in this paper, and the
engine model only plays a role as providing torque and speed rotational speed of pump and motor respectively, r/min ; PH ,
for the simulation system, so the simple engine model Generic PL are the oil pressure of high and low side respectively, Pa ;
398
Vpmax , Vm are the maximum displacement of pump and motor displacement motor, check valves, relief valves, the pipeline, a
charge pump, high and low pressure oil pressure sensors and
respectively, m /r ; V0 is the work volume of oil, m ; e is the
3 3
the solver module (solver configuration). Among them, the
oil elastic modulus; I m is the inertia of the motor load, kg/m2 ; relief valve module is used to prevent circuit overload; the
B m is the damping coefficient of motor, N m/(rad/s) ; Tm is charge pump module is mainly composed of a small flow
pump to supplement the leak of pump and motor; the check
the torque of the motor load, N m . valves RPLV_A and RPLV_B are used to help charge pump to
Fig.3 is the simulation model of hydraulic speed regulating two-way supplement oil, so that the pressure of low pressure
mechanism, which is mainly established by library modules in pipeline always maintain a certain pressure. Interface 1 is the
SimMechanics and SimHydraulics. The model is mainly variable-displacement pump speed signal input port, and
composed of a variable-displacement
p ppump,
p, a fixed- interface 2 is the fixed-displacement motor torque output port.
Fig. 3. Simulation model of hydraulic speed regulating mechanism
3) Simulation model of mechanical speed regulating Ring and Carrier respectively, N m ; k, parameter of the
mechanism planetary gear .
The mechanical speed regulating mechanism mainly Fig.4 shows the simulation model of mechanical speed
consist of a single planetary and several clutches. For a single regulating mechanism, mainly established by SimDriveline. In
planetary common planetary gear train, the speed and torque the figure, Planetary Gear is the model of the differential gear
between its three components (Sun, Carrier, Ring) is shown as
train; C1, C2, , C8 are the models of clutches, the hydraulic
follows:
control system of the clutches is replaced by control signals
(the Clutch Pressure signals module shown in the figure).
)n s ! kn r (1 ! k)n c 0 Interface 1 is the engine torque and speed signal input port,
( interface 2 is the fixed-displacement motor torque and speed
Ts : Tr : Tc 1 : k : (1 ! k) signal input port. According to the different engagement
conditions of clutch, mechanical power flow and hydraulic
Where, n s , n r , n c are the rotational speed of Sun, Ring and power flow converge in different components of the planetary.
Carrier respectively, r/min ; Ts , Tr , Tc are the torque of Sun, The interface 3 is the final output port of the power flow.
Fig. 4. Simulation model of mechanical speed regulating mechanism
399
4) Simulation model of load the control signals and display modules are added to the
The load is constant in this paper. A constant torque and an subsystems. The overall dynamics simulation model of
inertia are added to the output shaft of HMCVT directly to HMCVT system is as shown in Fig.5. In the figure, part 1 is the
simulate the constant load condition. control signals module, provides the required control signals
for the whole system; part 2 is the display module, outputs the
C. Simulation model of HMCVT final simulation results; part 3 is the engine module, provides
power for the system; part 4 is the load module, provides the
Package the engine model, hydraulic model, mechanical
required load for the system; part 5 is the mechanical module,
model and load model established above into subsystems, then
changes the output speed mechanically; part 6 is the hydraulic
connect them according to the dynamic relationship. Besides,
module,, changes
g the output
p speed
p steplessly.
p
Fig. 5. Simulation model of HMCVT

1- control signals module; 2- display module; 3- engine module; 4- load module; 5- mechanical module; 6- hydraulic module.
section, shifting time is 0.5s, 10.5~20s is hydro-mechanical

IV. SIMULATION AND ANALYSIS section, and the load torque is 400 Nm. To study simple and
In the simulation process, the simulation type of solver is explain the problem, only the hydraulic H1 and hydro-
variable-step, the solver is ode15s, the max step size is 0.4s, mechanical HM2 is analyzed. The control signals of
the simulation time is 20s, the throttle of engine is 0.5, and the displacement ratio e and clutch pressure and simulation results
max clutch control pressure is 1MPa. 0~10s is pure hydraulic are shown in Fig.6.
0.4 1
Clutch pressure signal (MPa)
0.2 C2
C3
Displacement ratio e
-0.2
0.5
-0.4
-0.6
-0.8
-1 0
0 5 10 15 20 0 5 10 15 20
Time (s) Time (s)
(a) Control signal of displacement ratio e (b) Control signal of clutch pressure
800 410
Speed of output shaft (r/min)
Torque of output shaft (Nm)
600
405
400
400
200
0 395
0 5 10 15 20 0 5 10 15 20
Time (s) Time (s)
(c) Speed of output shaft (d) Torque of output shaft
Fig. 6. The control signals and simulation results
400
Fig.6 (a) is the control signal changes of displacement ratio ACKNOWLEDGMENT
e in the simulation process. During the period of 0~10s, This work is financially supported by the national natural
section of pure hydraulic, e increases linearly from 0 to theory science fund project (51375145), the key scientific and
shifting point 0.378. During the period of 10~20s, section of technological plan funding project of Henan Province
hydro-mechanical, e decreases linearly from 1 to -1. (142102210424), and the key technology research programs
Fig.6 (b) is the control signal changes of clutch pressure in plan fund project in department of education of Henan
the simulation process. During the period of 0~10s, the clutch Province (14B460015).
C2 pressure (P2) is maintained at 0MPa, and the clutch C3
pressure (P3) is maintained at 1MPa. During the period of REFERENCES
10~10.5s, P3 falls down to 0 from 1MPa immediately, and P2 [1] Liyou Xu, Zhili Zhou, Mingzhu Zhang, Yan Li, Characteristics
increases linearly to 1MPa from 0 in 0.5s. During the period of analysis of hydro-mechanical continuously variable transmission of
10.5~20s, P2 is maintained at 1MPa, and P3 is maintained at tractor, Journal of China Agricultural University, vol. 37, no. 7, pp. 5-
1MPa. 8, 2006.
[2] Mingzhu Zhang, Zhili Zhou, Liyou Xu, Yan Li, Design of a multi-
Fig.6 (c) is the speed changes of output shaft in the range hydrostatic mechanical transmission for farm tractors,
simulation process. As can be seen in the figure, the output Transactions of the CASE, vol. 19, no. 6, pp. 118-121, 2003.
speed increases continuously and steplessly which [3] Liyou Xu, Zhili Zhou, Mingzhu Zhang, Yan Li, Design of hydro-
demonstrates the changing speed characteristics of HMCVT. mechanical continuously variable transmission of tractor, Transactions
At the end of the pure hydraulic section, the output shaft of the chinese society for agricultural machinery, vol. 37, no. 7, pp. 5-8,
2006.
rotational speed is 374 r/min. According to the analysis of
[4] Liyou Xu, Study on characteristics of hydro-mechanical continuously
reference [2], the theory speed is 383 r/min (the transmission variable transmission of tractor, Doctor, Xi'an University of
input speed is 2300r/min), so the relative error is 2.35%. At the Technology, Xi'an, 2007.
time of 10s, with the separation of C3 and the lock of C2, the [5] Mingzhu Zhang, Zhili Zhou, Liyou Xu, Yan Li, Modeling and
friction torque provided by clutches is less than the load torque, Simulation of the Multi-Range Hydro-Mechanical Continuously
so there is a decrease of output speed near the shifting point. Variable Transmission for Tractors, Journal of Xi'an University of
The speed fluctuation phenomenon relates to the displacement Technology, vol. 22, no. 3, pp. 269-273, 2006.
ratio, the clutch engaging time, oil working volume and load [6] Zhanzheng Guo, Shihua Yuan, Chongbo Jing, Chao Wei, Modeling
etc. Reasonable shifting strategies of HMCVT should be and simulation of shifting process in hydraulic machinery stepless
transmission based on AMESim, Transactions of the CASE, vol. 25, no.
developed to reduce the speed fluctuation as much as possible 10, pp. 86-91, 2009.
in the future. [7] Cui Gao, Analysisand simulation of hydrostatic transmission, Master,
Fig.6 (d) is the torque changes of output shaft in the Jiangsu University, Zhenjiang, 2010.
simulation process. In addition to the fluctuations during the [8] Hailong Tao, Hydro-mechanical continuously variable transmission
system simulation and research on quality of shifting process, Master,
period of shifting , the output torque keeps constant throughout Nanjing Agricultural University, Nanjing, 2013.
the simulation process, equals to the load torque .The system [9] Qiuyue Geng, Modeling and simulation analysis of hydro-mechanical
load torque is constant, so the motor load is also constant. continuously variable transmission power shift process, Master,
Besides, the system output torque is proportional to the motor Yanshan University, Qinhuangdao, 2014.
torque, so the HMCVT system shows the characteristic of
constant torque output. As can be seen in the figure,
corresponding to the speed fluctuation phenomenon analyzed
above, the output torque fluctuates at the shifting point. During
the process of developing HMCVT shifting strategy in the
future, the fluctuations should be reduced as much as possible
to improve the shifting qualities and system performance.
V. CONCLUSIONS
The simulation model of HMCVT is established based on
Simcape which is a multidisciplinary physical modeling tool,
the output speed and output torque of the are analyzed when
the system is under the constant load condition. The results
show that Simscape, as an efficient and intuitive physical
dynamic system modeling tool, can ensure a good simulation
accuracy, simplify the modeling process and improve the
modeling efficiency of HMCVT.
Through a comparative analysis between the simulation
results and theoretical analysis, the feasibility and reliability of
the simulation model has been verified. The research provides
a theoretical foundation and a verification platform for further
development and improvement of HMCVT shifting strategy.
401
Performance Comparison for Savonius Type Wind

Turbines by Numerical Analysis Approaches
Lei SONG1,2*, Hong-Zhao LIU2, Zong-Xiao YANG1
1 Institute of Systems Science and Engineering, Key Laboratory of Wind Power Systems
Henan University of Science and Technology, No.48 Xiyuan Road, Luoyang 471003, China
2 Faculty of Mechanical and Precision Instrument Engineering,
Xian University of Technology, Xian 710048, China
*Corresponding author Email: emailsl@163.com
Abstract Wind energy is a clean and renewable energy the rotor usually is used equipped with a Savonius wind rotor
resource and has been paid more and more attention by to improve the start-up performance. Thus, performance of
scholars around the world. As a drag-driven type Vertical Axis Savonius wind rotor, especially the wind energy utilization,
Wind Turbine (VAWT), traditional Savonius wind rotor has is still a primary research object of scholars. Theories for
disadvantage of low wind energy utilization but has a lot of the
advantages compared with Horizontal Axis Wind Turbines
VAWTs mainly include blade element momentum theory
(HAWTs) and lift-driven VAWTs. A fish-ridged wind rotor is and double multiple stream tube theory, which usually are
proposed based Savonius rotor to improve the flow field used for lift driven types wind rotor [1]-[2], research
characteristics. In this paper, the two wind rotors are analyzed approaches for drag driven wind rotors are mainly based on
and compared by computational fluid dynamics approach. The wind tunnel test and simulation analysis. Afungchui
simulation results show that the flo w field of the fish-ridged proposed a discrete vortex method to prodict the flow around
rotor is smoother than the Savonius rotor and the maximum a Savonius rotor [3]. An experimental and numerical study
value of wind energy utilization of the former rotor is bigger on a Savonius rotor was carried out to gain an insight into the
than that of the latter. It indicates that the new type of the rotor complex flow field developing around the rotor and to
has good performance.
evaluate its performance, a peak value of around 25% of the
Keywords Wind energy utilization; Fish-ridged rotor; power coefficient was obtained for conventional Savonius
Savonius rotor; Computational fluid dynamics (CFD). wind turbine [4]. Maximum experimental power coefficient
of a helical Savonius wind rotor was obtained 18% by
I. INTRODUCTION Kamoji [5]. El-Askary proposed three methods of
Wind energy is a clean and renewable energy resource controlling the wind direction were aiming at improving the
and has been paid more and more attention by scholars performance of Savonius rotor [6]. Nasef studied the
around the world. Savonius wind turbine is one type of aerodynamic performance of stationary and rotating
drag-driven Vertical Axis Wind Turbines (VAWTs). Savonius rotor for various overlap ratios by numerical
Compared with Horizontal Axis Wind Turbines (HAWTs) analysis method using four turbulence models [7]. A curtain
and lift-driven VAWTs, Savonius wind rotor has placed in front of the rotor is designed to increase the low
disadvantages such as low coefficient of wind power performance of the Savonius wind rotor [8]. The function of
utilization and low rotating speed, thus usage of this wind the curtain is designed to prevent the torque that occurs on
rotor has always been limited. However, Savonius wind the convex blade of the rotor in the negative direction. CFD
rotor has a lot of the advantages that other wind turbines method, process and analysis for a Savonius rotor based on
lacks. For instance, Savonius wind rotor is independent of the Eddy Viscosity Model k- 667 and Star-CCM+ are
wind direction without any yaw system which is needed in discussed [9]. Detailed flow field and performance of
HAWTs, it has simple structure and low cost of manufacture Savonius wind turbines and comparison between a bach
and maintenance, it has low noise, moreover, it has large turbine and Savonius turbine are studied [10]-[11], and the
start-up torque than other wind turbines and can start rotating bach turbine has good performance.
at very low wind speed. Since Savonius wind rotor is easier Considering improving wind energy utilization of
to withstand mechanical stress than other wind turbines, it Savonius rotor by developing flow field around the rotor, a
can also be considered as a high-quality mechanical device novel wind rotor is proposed which is so-called fish-ridged
of wind energy transmission. wind rotor. In this paper, the structures of the two wind
At present, the most widely used wind turbines in wind rotors and the performance are discussed and analyzed by
energy field are HAWTs and lift-driven VAWTs. HAWTs numerical analysis approaches.
have been already realized commercial production but costs
II. MODELS OF THE WIND ROTORS
of manufacture and maintenance are very high and is limited
strictly by wind conditions. Start-up wind speed of lift driven A. Geometrical Models of the Wind rotors
VAWTs such as Darrieus type wind rotor is very high, thus
This project was supported by the National Natural Science Foundation

of Ch ina (No. 71071078 and No. 51375145)
978-1-4673-7995-3/15/$31.00 2015
c IEEE 402
Savonius wind rotor is composed of two semi-cylindrical wind rotor, a long flow field area at the back of the wind
surfaced blades, which can cause drag force by wind power rotor is set as shown in Fig.2. Considering the division of
to actuate the rotor rotating around its axis, as shown in grids, boundary conditions, computer resources and other
Fig.1-a. One of primary causes of low wind energy factors, the inlet length of computational domain in the paper
utilization of Savonius wind rotor is that local vortex occurs is 10 times as much as the rotor diameter, the distance from
when airflow passes through the overlap area of the rotor. center of wind rotor to outlet is 15 times and the width is 20
The airflow streamlines changes violently since the rotor has times as shown in Fig.2-a. The computational domain is
two blades, usually up to 180ein overlap area, thus causes considered to discretized as unstructured triangular elements
the wind energy lost. Though three-blades Savonius wind and about 420,000 cells for Savonius wind rotor and 480,000
rotor can decreases the violent turning of airflow streamline, cells for fish-ridged wind rotor when diameters of the two
the wind energy utilization is lower than two-blades wind rotors are set 0.7m. The mesh distribution near the
Savonius rotor. Considering combining advantages of the rotors is as shown in Fig.2-b. A boundary layer mesh is used
two rotors, a structure of new vertical axis wind rotor is to achieve accurate results, as shown in Fig.2-c.
proposed as shown in Fig.1-b, which is named as fish-ridged
wind rotor. The blade of the new wind rotor is composed of
two arcs which are connected smoothly by opposing the
convex sides each other. Function of the big arc is to absorb
wind energy so as to generate driving force. By steering
airflow passing through overlap area of the rotor smoothly,
one of the functions of the small arc is to reduce wind energy
loss caused by violent change of airflow in lumen of the rotor, a) Overall co mputational domain b) Fish-ridged rotor
another function is that it can guide airflow to the leeside to
drive another blade, thus wind energy can be used twice so as
to improve wind energy utilization of the wind rotor. An
opening overlap area similar to Savonius wind rotor is
surrounded by small arcs of the blades. Aim of this structure
is to guide airflow passing through the opening overlap area
purposively and to obtain effects of overlap guiding flow and
wind energy reutilization. The overlap area of the two wind c) Close-up of boundary mesh
rotors can be stated and calculated by Eq.1 when the wind
Fig.2 Two-dimensional tri-mesh of the rotors
rotor has a central axis. S is diameter of inscribed circle of
the wind rotor, d is diameter of the central axis, and L is
Sargolzaei proposed that the optimum configuration of
chord length of a blade. In this paper, contrastive analysis on
the overlap ratio of Savonius wind rotor is 0.2 [12] when
the two wind rotor is carried out considering integrate
wind energy utilization is at maximum level, thus the value
performance of them.
of OL of the model in Fig.1-a is set as 0.2. In Fig.1-b, main
Sd parameters of the fish-ridged wind rotor include: D 700mm,
OL (1)
L R 200mm, 1 85, 2 36, S 160mm, L 386mm, diameter of
central axis d 45mm, Height of the prototype (H) 700mm.
Thus the overlap ratio OL is 0.29.
A Sliding Mesh (SM) method is used to solve the flow
field analysis since it is a transient approximate solution. In
the processes of SM method for the rotor, RNG k- viscous
model is used, SIMPLE scheme of pressure-velocity
coupling and second order upwind in spatial discretization
are selected to solve the simulation because of its higher
calculating accuracy. Inlet which locates at left side of the
domain is defined as velocity-inlet and outlet is outflow. The
a) Savonius wind turbine b) Fish-ridged wind turbine rotor is set to revolve counterclockwise to obtain positive
Fig.1 Geo metrical parameters of the two wind rotors
driving force.
III. ANALYSIS FOR S IMULATION R ESULTS
B. Simulation Models
As the two wind rotor are both drag-driven type and
Since the cross-section shape of the two wind rotors are
same at different height direction, it is entirely possible to usually the tip speed ratio is less than 1, considering
obtain the flow field distribution for the wind rotors by comprehensively maximum power output and wind energy
two-dimensional simulation. The models discussed in this utilization, the wind speed is set as 10m/s and is 0.6. Fig.3
paper are two-dimensional as shown in Fig.1. The shows the simulation results of torque curves in one
computational domain is set rectangular, Considering the revolution of the two wind rotors, which are selected the last
large wake flow effects aerodynamic performance of the stationary revolutions. Power coefficient is an important
403
target to evaluate the conversion efficiency of wind rotor. increasing number of blades. Comparison of performance
Eq.2 describes the calculation of . W is output power of the between Savonius rotor with two blades and fish-ridged
rotor defined as Eq.3. Where is air density (1.225kg/m3), A rotor are also carried. When wind speed is set as 8m/s and tip
is rotor cross-section area, T is torque of the rotor. speed ratio is 0.6, maximum value of power coefficient of
fish-ridged rotor is 24.10% and is larger than that of
W
K (2) Savonius of 22.31%, and when wind speed is set as 10m/s,
0.5 u U u A u v
3
maximum value of power coefficient of fish-ridged rotor is
24.22% and is larger than that of Savonius of 22.11%. This
T un indicates that the specific structure shown in Fig.1-b plays a
W (3) dramatic effect on improving flow field characteristics of
9.549
traditional Savonius rotor, especially the small arc of the
In Fig.3, there are two peak values of Savonius rotor blade. Since function of big arc of the blade is mainly to
create drag-type force, effect of improvement of wind energy
because it has two blades and three peak values for
utilization of fish-ridged rotor is mainly caused by the small
fish-ridged rotor because of three blades on it. Torque value
arc.
is a performance to overcome the resistance. For the
structure configuration in Fig.1-b, the minimum torque value
of fish-ridged rotor is much bigger than that of Savonius
rotor and torque curve of the former is more smoother than
that of the latter, it shows that the operation performance of
the fish-ridged rotor is much better than that of the Savonius
rotor. The smoother the torque curve is, the less impact on
the permanent magnet generator connected with the rotor in
working condition is. The average torque value of the
fish-ridged rotor in one revolution is 4.24Nm, and that of
Savonius rotor is 3.87Nm. The bigger torque value is, the
better performance to overcome start resistance of connected
generator is. According to Eq.2, power coefficient of
fish-ridged rotor is 24.2% and that of Savonius rotor is Fig.3 Torque over one revolution
22.1%. It shows that performance of wind energy utilization There are three blades in a fish-ridged rotor, therefore, a
of the fish-ridged rotor has been improved by 9.5% repetition interval is one third of a rotor revolving cycle, i.e.
comparing the Savonius rotor. The simulation shows that 120. Six average distributed positions of the interval are
performance of fish-ridged rotor is better than that of selected to study its flow field at different positions. Fig.4
Savonius. shows simulation results of velocity vectors at different
Using the simulation method mentioned above, angular positions of fish-ridged rotor.
performance at different conditions of three VAWTs are In Fig.4-a, the upwind blade 1 separates airflow to both
simulated including three blades Savonius rotor and the side of its convex and concave faces when wind pass through
results are shown in Tab.1. Maximum value of power it. Blade 2 acts as a drag driven one since it is impacted by
coefficient of Savonius rotor with three blades is 17.14% and part of airflow. Meanwhile, resistant torque is formed on
is far less than that of other two rotors, especially the blade 3 since it is in returning trip and convex face is upwind,
Savonius rotor with two blades. It shows that it is no use for
reducing violent change of airflow in overlap area by
Table.1 Performance co mparison of three VAWTs
Wind speed Tip speed Torque Rotating speed Output Wind Power coefficient
VAWTs
(m/s) ratio (Nm) (rad/s) power (W) Energy (W) (%)
Savonius rotor 8 0.5 2.73 11.43 31.20 153.66 20.30
( two blades) 8 0.6 2.5 13.71 34.29 153.66 22.31
10 0.5 4.36 14.29 62.29 300.13 20.75
10 0.6 3.87 17.14 66.34 300.13 22.11
Savonius rotor 8 0.5 2.29 11.43 26.17 153.66 17.03
( three blades) 8 0.6 1.65 13.71 22.63 153.66 14.73
10 0.5 3.6 14.29 51.43 300.13 17.14
10 0.6 2.5 17.14 42.86 300.13 14.28
Fish-ridged rotor 8 0.5 2.49 11.43 28.46 153.66 18.52
8 0.6 2.7 13.71 37.03 153.66 24.10
10 0.5 4.12 14.29 58.86 300.13 19.61
10 0.6 4.24 17.14 72.69 300.13 24.22
404
however, change of attack angle compared with two blades by geometric combination of blades. Airflow passing
Savonius rotor decreases wind resistance. Part flow which through the rotor can be guided by blades from windward
passes from inner cavity to its concave face also drives side to leeward side through inner cavity in order to improve
another blade 3 again after it has driven blade 2. An inner and smoothen streamlines pattern. The aim of overlap area
cavity, i.e. overlap area, is formed when three blades are guiding flow is to guide airflow exerting to another blade
arranged at 120 interval, and streamlines in it is smoother after it has driven one blade so as to improve wind energy
than that in Savonius rotor compared with Fig.1. utilization. This effect of wind energy reutilization means
Existing two driven blades also occurs in Fig.4-b when it that airflow will do its work on one blade again after it has
rotates to 20 against its original position. At this position, generated power through impacting the concave face of a
Direction of airflow is changed by concave face of small previous blade with structure of overlap area guided so as to
vane in blades 2, and then concave face of blade 3 is increase coefficient of wind utilization. For these effects,
impacted. Hence, compound driving force is sum of the two blades can not only generate power at windward side
forces exert on the blade 2 and 3, and driven torque is depending on being impacted by airflow, but also generate
enhanced. Blade 1 rotates 40 against its original position in power at leeward side by guiding flow acting on another
Fig.4-c and becomes a drag driven blade for enduring impact blade. Thus the range of power generation becomes widened
from wind. It is noticed that flow enters overlap area passing and hence coefficient of wind utilization can be improved.
by concave face side of blade 1 after having impacted it and Although part of energy loss occurs when airflow passes
impacts concave face of blades 3 after being guided by through overlap area, effects of impacting on blades and
convex face of small vane in blade 2, and reutilization of efficiency of energy transformation are improved by
wind energy occurs. The effect that airflow passes through changing shapes and structure of blades in the new type of
overlap area to drive another blades after having driven one the rotor. The rotor impacted by airflow continuously while
blade is also shown in Fig.4-d, Fig.4-e and Fig.4-f. In most rotating shows well continuity of power generation, and
positions of the repetition interval, there are always more features of rotating torque are also improved since more than
than one blades suffering the wind blowing. Therefore, the one blades are driven at different positions. It is noted that
total driving force of the rotor is total generating force of the curvature radius of the blade R and angle of installation of
blades and the wind energy utilization of the rotor is blades which forms the overlap area S shown in Fig.1-b have
enhanced. important influence on performance of the overlap area
Main effect of the fish-ridged rotor in structure is that it guiding flow and wind energy reutilization. Small arc of a
enhances ability that airflow passes through the overlap area blade near the overlap area also has important influence on
constructed by three fish-ridge-shaped blades, which is a the performance. Reasonable shape and value of structural
defect in traditional drag driven wind rotor of VAWT. This parameters should be improved and optimized to improve
effect can be described as overlap area guiding flow and can performance of the rotor in the future works.
be stated as follows. An opening inner cavity can be formed
a) Original position b) 20 position against original position
c) 40 position d ) 60 position
405
e) 80 position f) 100 position
Fig.4 Velocity vectors versus angular position of Fish-ridged rotor
force exerting on more than one blades. Effects of overlap

area guiding flow and wind energy reutilization should be
IV. CONCLUDING R EMARKS taken more attentions in design and analysis of multi-blades
In this paper, three performance of VAWTs are vertical axis wind turbine.
compared by numerical analysis approaches. Traditional Future researches on these VAWTs may focus on those
Savonius wind rotor has disadvantages such as low aspects:
coefficient of wind power utilization. In order to improve the 1 Further research and analysis of performance for the
performance, a fish-ridged wind rotor is proposed and proposed VAWTs at more different working conditions will
comparisons among fish-ridged rotor and Savonius rotor be simulated and analyzed to obtain more data. The
with two-blades and three blades are carried out. Usually, the prototypes of the VAWTs will be tested by wind tunnel tests.
wind rotors are hoped using in wind speed conditions with Simulation results and test results will be compared and
high utilization of wind energy, and the rotors will be braked analyzed also. Features of torque curve and power
when wind speed exceeds the safe value, thus in this paper, coefficient curve are key research targets.
studies on the wind rotors are set the wind speed value near 2 Considering structure parameters of the fish-ridged
the point when the rotors are with high wind energy rotor, the optimal configuration of them is needed to improve
utilization. The main conclusions include as follows: wind energy utilization further. An orthogonal optimization
1 The feature of fish-ridged rotor is that it is composed by method for parameters is considered now.
three blades which are same in shapes and arranged 3 Performances of the wind rotors in different tip speed
uniformly around the central axis. Design of blade is based ratio and wind speed conditions are being studied, and
on Savonius rotor but each blade consists of two arcs which performance simulation with three-dimensional model will
convex faces of them are opposite and linked smoothly at be taken into account in future studies.
end of them. An opening overlap area is surrounded by small
arcs of the blades. Configuration of this structure is to guide ACKNOW LEDGM ENT
airflow passing through the overlap area smoother than The financial support from the National Natural
Savonius rotor and to make the airflow driving another Science Foundation of China (NSFC) under the grant
blade to improve wind energy utilization. No.71071078 and No.51375145 are acknowledged
2 The simulation results show that performance of gratefully. The authors also gratefully acknowledge the
Savonius rotor with three blades is more poor than Savonius helpful comments and suggestions of the reviewers,
rotor with two blades and fish-ridged rotor. At different which have improved the presentation.
simulation conditions, maximum values of torque and power
coefficient of fish-ridged rotor are bigger than Savonius REFERENCES
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407
Fuzzy clustering analysis of batch production recipe
Shanzhong Liu Xiaona Song

College of Information Engineering College of Information Engineering
Henan University of Science and Technology Henan University of Science and Technology
Luoyang 471003, China Luoyang 471003, China
szliu@haust.edu.cn xiaona_97@163.com
AbstractAccording to the recipe information model correlations and sequence among text into account, thus the
specified in batch standard (ISA S88), via the modified recipe accuracy of the data analysis is affected.
similarity measurement method, an improved fuzzy clustering
algorithm (IFCA) is proposed based on fuzzy c-means (FCM) For the need of batch production recipe optimization and
algorithm in the PNN network. IFCA can effectively improve the process control precision improvement, the idea of PNN
choice of clustering center and has a good clustering effect for the probability neural network is introduced and an improved
recipe of batch production. Then use IFCA to cluster for fuzzy clustering algorithm (IFCA) of recipe based on fuzzy c-
production recipe of an equipment unit wort evaporator in beer means (FCM) algorithm is proposed. By improving the
production. Finally, the recipe classification result is compared distance measurement and matching measurement among each
with the classification of FCM algorithm, and the effectiveness of recipe and then changing the recipe kind heart, thus we can
IFCA is proved. classify categories more accurate that each recipe belongs to
one kind of recipe. Taking a brewerys recipe of wort
Keywordsprobabilistic neural network; fuzzy clustering; evaporator as the research object, the effectiveness of recipe
recipe; batch process classification accuracy have been studied by IFCA.
I. INTRODUCTION II. AN IMPROVED FUZZY CLUSTERING ALGORITHM

Recipe as an important mode contains lots of valuable Recipe model contains the following content: headline,
production information in the process of batch production[1]. formula, equipment requirements and procedures. When we
In the past, recipe were not getting much attention in various study recipe clustering for a certain equipment unit, only
applications of modeling, control and optimization of batch equipment stage program in recipe procedure is considered,
process, as that in a long time it was in a state of neglect[2]. In namely, "processing sequence" for short. Normally, process
fact, recipe act as a comprehensive knowledge expression, in output in formula related to raw materials and processing
the batch production process it will be changed according to sequence can be omitted. Equipment unit in batch production is
the actual needs of production. For a unit, there may be also unchangeable, so it can be omitted, too. Finally, the recipe
thousands of recipe combination. If we could build model for model of equipment unit will be simplified and it consist of
recipe through algorithm, the recipe can adapt to changes of following several elements: recipe name, raw materials
production objects and possess deployment information of (name/number), operation parameters and processing sequence
production equipment. Then batch control system will be able etc.
to have flexible operating characteristics better.
Because only recipe data can be classified by probabilistic
Recipe research is still in the stage of development at home neural network, the recipe as a comprehensive knowledge
and abroad. Some people proposed recipe fuzzy clustering expression not only include the data values (such as the amount
method based on the type of kernel function [3]. There are also of raw materials, operating parameters, etc.), but also include
many experts abroad using recipe formalized language to the words expression (e.g., processing order). Therefore, we
describe the main recipe which is mainly used in chemical will consider using the idea of probabilistic neural network to
batch production. do similarity measure calculation for words processing part in
Artificial neural network has the following advantages: self recipe so as to improve quantitative analysis among recipes,
learning, high fault tolerance and high non-linear description thus, the classification of the recipe will be more accurate.
ability and so on. Besides, it also has some intelligent So, first of all, the data type of attribute values are analyzed
processing capacity for completing the identification, process in recipe and it are divided into three categories: scale variable,
control or classification such as stronger learning ability, nominal variable and sequence variable. Besides, similarity
calculation and variable structure adaptive etc. Successful measurement for each data type will be given and it are
application of artificial neural network is presented in respectively called distance measurement, matching
bibliography [4-9]. But in these applications the data in sample measurement and sequence matching measurement.
are just analyzed. For the text contained in variables it only has
corresponding data replaced. The text does not take the
The work was supported by the Natural Science Foundation of China
(61203047), Science and Technology Innovation Team of Henan Province,
Science and Technology Innovation Team Support Plan of Henan University
(13IRTSTHN003), and Henan University of Science and Technology
Innovation Foundation (2011CX008).
978-1-4673-7995-3/15/$31.00 2015
c IEEE 408
A. Scale variable and its distance measurement in recipe Wherein, p is the number of all variables of the sample. k
Scale variable is a continuous variable with rough linear represents a combination relationship, such as k 1 mean
scale. The similarity measurement for the scale variable is
two-two combination match of searched variable, k 2 mean
called distance measurement.
combination match of three variables, and so on. mk represents
When the distance between input vector P1 and P is
calculated, various types of variables in the recipe model exist. current matching number of combination type. wk is the
For example raw material quantity and operating parameters weight of combination of each category.
and so on, they all belong to the scale variable. The similarities
among scale variable can be measured with Euclidean distance All these above variables use the corresponding distance
measure method. Calculation equation is as follows: measurement algorithm. Using the method of mixing distance
measure, we add each variable distance together and get the
x x j1 xi 2 x j 2 x x jjp
2 2 2
dij(1) (1) total distance between two vectors, which is the distance Dij
i1 ip
between the sample and pattern sample. Calculation equation is
Wherein, xi and x j is respectively two P dimensions recipe as follows:
samples of P and P1. Dij dij(1) dij(2) dij(3) (4)
B. Nominal variable and its matching measurement in recipe The classification of recipe model and the specific steps of
Nominal variable is a discrete metric with finite state value. establishment of probabilistic neural network are as follows:
The simplest nominal variable is called the binary variable, 1. Given the input sample vector P of ordering assignment
namely it only has two attribute values: 0 or 1, with or without. and the desired output vector Tc.
The similarity measurement for the nominal variable is called
matching measurement, namely, similarity or dissimilarity is 2. Convert the corresponding data index into vector group
measured with the degree of state matching. The commonly according to the output vector Tc.
matching measure is the simple matching measurement.
Raw material property in recipe belongs to the binary
variable, namely the nominal variable. It only has two attribute
values: with or without. Assume that the number of the raw
material variables is n, then the two matching measure of raw
material sample is defined as:
nm
dij(2) (2)
n
m is the sum of matching numbers (1-1) and (0-0).
C. Sequence variable and its matching measurement in recipe
Processing order in recipe is a nominal variable with a
particular order and context relationship, namely, each working
procedure is related to the former procedure and the next
procedure. Under this circumstance, the similarity
measurement for the processing variable will be not very
accurate if it is measured by using the simple matching
measurement method. Therefore, we define a new sequence
variable and measurement method for the processing order in
recipe.
Relative to nominal variable, sequence variable
combination is meaningful. If two samples have as much as
sequence variable combination matching, we can say that the
two variables is much more similar. Similarity measure of
sequence variable is calculated by eqs (3). The arithmetic not
only to calculate the degree of match of each variable, but also
do weighting, matching and searching for the combination of
various variables, until all the combinations are searched out.
p2
p k mk wk
d (3)
ij
k 0 pk
(3)
Fig. 1. The process of recipe fuzzy clustering
409
3. First, give the input vector P1 that is needed to test. Then The steps of IFCA are as follows:
calculate the distance between vector P1 and each sample P.
Moreover, take Gaussian basis function as activation function c 2 , fixed parameter m, a proper fraction H ! 0 , set
1.
in the hidden layer nodes and enter the expansion speed of l 1 and initial clustering center is Vi (0) .
radial basis function. At last, according to probability density
function of Parzen, we can calculate the probability of vector Dij(l ) between the
2. Using eqs (4) calculate the distance
P1 belonging to different categories
sample and the pattern sample. Using membership degree
4. According to the Bayes classification rules, so as to all the matrix calculation eqs(6) to calculate the degree of membership
probability of each sample belonging to each category, We will
get through competing to pick out the element that has the U (l ) , wherein U [uik ] .
highest probability. 1 will be defined as the corresponding
output, otherwise the output will be 0. Thus we get the output 1
vector Y. uik 2
, d i d c,1 d k d n
,1 (6)
c || x k vi || m
m 1
5. According to the output vector Y , convert vector set to
corresponding data index, then get the output result Yc. || x
j 1

k v j ||
Wherein, the distance between each sample is calculated by
n
IFCA. Recipe clustering criterion function is:
u
m
ik
i xk
n c
u ,1 d i d c is used to iterate, update

k 1
J m (U ,V )
m
Dij 2 (5) 3. v i n
u
ij m
j 1 i 1 ik
k 1
Through updating the kind heart and membership degree of
recipe clustering continuously and according to the probability and calculate the recipe clustering center Vi (l 1) ,
density function of Parzen to calculate the probability of input
vector belonging to each category. The process is shown in wherein V v ,
1
, v n . If Vi (l 1) Vi (l ) H , then stop
figure 1. iterating. Otherwise l l 1 , return the step 2.
TABLE 1. WORT EVAPORATOR RECIPE TABLE

(THE AMOUNT OF RAW MATERIALS AND OPERATING PARAMETERS)
the amount of raw materials/kg operating parameters

recipe
F1 F2 F3 F4 F5 F6 F7 F8 F9 F10
X1 5000 3600 5500 80 160 100 - 200 60 20
X2 5000 3000 6000 80 160 100 - 160 60 20
X3 5000 4000 6000 80 160 120 - 180 60 42
X4 5000 5000 8000 60 140 120 - 180 60 46
X5 5000 6000 8000 60 140 120 140 160 60 23
X6 4500 6000 5000 60 140 120 140 160 60 34
X7 4500 5500 7000 60 140 120 100 200 60 34
X8 4000 4000 6000 60 120 150 150 200 60 65
X9 4000 4000 5000 60 120 150 150 160 60 45
X10 4000 5000 7000 - 120 150 140 160 60 43
X11 4000 5000 6000 - 120 120 140 200 60 34
X12 5000 4000 6000 - 100 140 - 200 40 -
X13 5500 5000 7000 - 100 140 - 200 40 -
X14 6000 4000 6000 - 100 140 - 180 50 -
X15 6500 5000 6500 - 100 140 - 180 50 -
410
The recipe tables of wort evaporator are shown in table 1
III. SIMULATION STUDY and table 2.
Taking the wort evaporator production recipe in beer In table 1, F1-F3 are three main raw materials (unit is
production as an example, IFCA is used to do recipe analyzing. kilograms) and are nominal variable. The three kinds of
In beer production, wort evaporation control is a multi- materials were used in each recipe, so you can omit material
objective control. Main controlled parameters consist of name variable. F4-F10 is seven major process operating
evaporation intensity, final concentration, PH value etc. parameters. X1-X15 is 15 kinds recipe of wort evaporator.
TABLE 2. WORT EVAPORATOR RECIPE TABLE (PROCESSING SEQUENCE)
Processing Sequence
recipe
H1 H2 H3 H4 H5 H6 H7 H8 H9 H10
atmospheric boost atmospheric
X1 feed heating pressing Step-down hops discharge -
pressure1 pressure pressure2
X2 feed heating hops pressing Step-down discharge -
atmospheric boost
X3 feed heating hops pressing Step-down discharge - -
pressure1 pressure
X4 feed heating pressing two steam Step-down hops discharge
X5 feed heating pressing Step-down two steam hops discharge
X6 feed heating two steam pressing Step-down hops discharge
X7 feed heating hops pressing two steam Step-down discharge
X8 feed heating hops pressing Step-down two steam discharge
X9 feed heating hops two steam pressing Step-down discharge
atmospheric boost
X10 feed heating hops pressing two steam Step-down discharge -
pressure1 pressure
atmospheric boost
X11 feed heating hops two steam pressing Step-down discharge -
pressure1 pressure
atmospheric atmospheric atmospheric
X12 feed heating hops discharge - - -
pressure1 pressure2 pressure3
atmospheric atmospheric atmospheric
X13 feed heating hops discharge - - -
pressure1 pressure2 pressure3
atmospheric atmospheric
X14 feed heating hops discharge - - - -
pressure1 pressure2
atmospheric atmospheric
X15 feed heating hops discharge - - - -
pressure1 pressure2
In table 2, H1-H10 are processing order, as order variable, xij represents the i th recipe and the j th attribute. xij is the
the first three steps of processing order H1-H3 are all the same,
so can be omitted. recipe data after the standardized. n is total number of recipe.
In order to eliminate the impact caused by the difference of We will do simulation for probabilistic neural network
units among each different component in data recipe, we need model under the following conditions which has already been
to standardize the recipe data. Standardization formula is as established: do preprocessing to the data and take the
follows: transposed matrix of recipe 1,2,5,6,7,12,13 and 14 after data
standardization as input matrix P, then the rest of the other
xij x j recipes do as input matrix P1 of testing sample. Smoothing
xij* (7) parameter, it is extend constant in other words, should keep
sj consistent value 1.0.
1 n The method of initializing centers is based on the choice
xj xj
ni1
(8) method of FCM algorithm. Setting the weighted coefficient
m=1.5, the different results that are measured by using the
different distance are compared.
1 n 2 1 n
2
sj x j x j (9) Using FCM algorithm and IFCA to select the center of the
n 1 i 1 n i 1 PNN network, training for PNN network, obtaining the final
PNN network testing results are shown in table 3.
411
TABLE 3. PNN NETWORK PREDICT RECIPE CLASSIFICATION RESULTS
X1 X2 X3 X4 X5 X6 X7 X8 X9 X10 X11 X12 X13 X14 X15
recipe categories 1 1 1 2 2 2 2 2 2 2 2 3 3 3 3
FCM algorithm predict categories 1 1 1 2 2 2 2 2 2 2 1 3 3 3 3
IFCA predict categories 1 1 1 2 2 2 2 2 2 2 2 3 3 3 3
Study result shows that the test result has been enhanced by
using IFCA. It shows that the proposed optimization distance REFERENCES
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412
Fully discrete subgrid stabilized nite element

method for the Darcy-Brinkman equations in
Double-Diffusion convection
Yunzhang Zhang1,2, , Zhoufeng Wang1 , Qili Tang1

1
School of Mathematics and Statistics,Henan University of Science and Technology, Luoyang 471023, China;
2
Department of Mathematics, Nanjing University, Nanjing 210093, China

Corresponding author. Email: z2004228@126.com; yzzmath@gmail.com
AbstractWe present a fully discrete subgrid stabilized - uid is assumed to be Newtonian and to satisfy the Boussinesq
nite element method to solve the Darcy-Brinkman equations approximation; the ow is incompressible, laminar. In a porous
in Double-Diffusion convection. The time is advanced by one cavity (height H, width L : aspect ratio A = H/L), with a
order Backward Euler scheme. With the proper choosing of permeability K, the following dimensionless parameters, such
stabilized parameters, the optimal error estimates in space can be H3
obtained for velocity, temperature and concentration in H 1 semi- as, the thermal Grashof number GrT = gT T 2 and the
3
gC CH
norm. The derived theoretical results are supported by numerical solutal Grashof number GrC = 2 , the buoyancy ratio
experiments. One example is to verify the convergence results N = CT C
T , the Prandtl number P r =
, the Schmidt number
and the other example is a pure thermal convection in a porous
medium to verify the stability of ours method. Sc = Dc
, the Lewis number Le = PScr , the Darcy number
Da = HK2 and the thermal Rayleigh number Ra = GrT P rDa
KeywordsDouble-diffusive convection, Darcy-Brinkman, could be seen frequently in relevant publications [1], [2], [3],
Fully discrete, Subgrid stabilized nite element, Error analysis.
[4], where T and C denote the characteristics temperature
and concentration differences along the enclosure, respectively.
I. I NTRODUCTION
Double diffusive ows through porous media has been The fundamental difculty in solving these systems an-
mainly motivated by its importance in many natural and alytically is the coupling of different boundary layers and
industrial problems [1], [2], [3], [4], such as, the migration circulating main core inside the enclosure. On the other hand,
of moisture through air contained in brous insulation, grain as the dominance of convection term, if problem (1) is solved
storage, food processing and storage and contaminant transport by using the standard nite element method, it may exhibit
in ground water. Double diffusive ows through porous media global spurious oscillations [5] and yield inaccurate approxi-
are also of interest in geophysical systems, electrochemistry mation. A possible remedy is to use stabilization techniques to
and metallurgy. obtain physically correct numerical approximations, such as,
the defect-correction methods in [6], the variational multiscale
Let be a regular bounded open set in R2 with a polygonal method [7], [8], the projection-based stabilization method [1],
boundary . Suppose T = \B and the simulation time [2]. Aytekin Cibik and Songul Kaya have presented a semi-
t , where B is a regular open subset of . Double-diffusion discrete projection-based stabilization nite element method in
phenomena in a conned porous enclosure is modeled by the [1] and a fully discrete scheme with the linear extrapolation
non-linear time dependent Darcy-Brinkman equations which of convecting velocity terms in [2] for the Darcy-Brinkman
read in dimensionless form [1], [2], [3], [4]: given initial value equations in double-diffusive convection.
(u0 , T0 , C0 ), nd the velocity u : (0, t ] R2 , the pres-
sure p : (0, t ] R, the temperature T : (0, t ] R In this paper, we solve problem (1) in the fully discrete
and the concentration C : (0, t ] R satisfying subgrid stabilized nite element method case. The time is
ut u + (u )u + Da1 u + p advanced by the backward Euler scheme. With the proper
choosing of stabilized parameters, the optimal error estimate
= (T T + C C)g, in
in space can be obtained for velocity, temperature and con-
Tt T + (u )T = 0 in , centration in H 1 semi-norm. This article is different from [2]
Ct Dc C + (u )C = 0 in , (1) due to that we consider fully discrete subgrid stabilized nite
u = 0 in , u = 0 on , element case.
T C
T, C = 0 on T , , = 0 on B , The paper is organized as follows. In Section II, we present
n n
u(x, 0) = u0 , T (x, 0) = T0 , C(x, 0) = C0 in , some preliminaries necessary for the analysis that follows. The
fully discrete numerical scheme is given in Section III. In Sec-
where > 0 is the kinematic viscosity, > 0 is the thermal tion IV, error estimates of velocity, temperature, concentration
diffusivity, Dc > 0 is the mass diffusivity, Da is the Darcy are given in Theorems 4.1. Moreover, numerical experiments
number, g is the gravitational acceleration vector, T and C are given to verify the properties of the shown method in
are the thermal and solutal expansion coefcients. Here the Section V. Finally, conclusion is given.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 413
II. P RELIMINARIES Then, for all R H m+1 (), there is a constant F1
independent of space mesh h and time step t such that
We introduce some Hilbert spaces [9]:
X := H01 ()2 , Q := L20 () = L2 ()/R, PLH F1 H m m+1 . (4)
W := {S H 1 () : S = 0 on T },
III. N UMERICAL SCHEME
D := { H 1 () : = 0 on T }.
We will present the fully discrete subgrid stabilized numer-
The inner product and the norm in L2 () are denoted by
ical scheme of problem (2). For end time t , choose time-step
(, ) and , respectively, and the norm in the Hilbert space
size t and integer N such that t = N t. Denote by n the
H m () by m . All other norms will be clearly labeled with
function evaluated at time tn = nt, n = 0, 1, . . . , N and
subscripts. n+1 n
dt n+1 = t . The backward Euler temporal scheme
Following [1], [6], [7], [9], the trilinear skew-symmetric applied to the subgrid stabilized nite element method of
forms of convective terms are problem (2) reads as follows.
1 1
c1 (u, v, w) = ((u )v w) ((u )w v), Scheme 3.1:
2 2
1 1 Given (u0h , Th0 , Ch0 ), nding (un+1 , pn+1 , Thn+1 , Chn+1 )
c2 (u, T, S) = ((u )T S) ((u )ST ), h h
2 2 (Xh , Qh , Wh , Dh ) and (UH , GH , JH
n+1 n+1 n+1
)
1 1 (LH , MH , Bh ), for all (vh , qh , Sh , h , lH , H ,
H )
c3 (u, C, ) = ((u )C) ((u )C), (Xh , Qh , Wh , Dh , LH , MH , BH ) such that
2 2
for all u, v, w X; T, S W ; C, D. (dt un+1 , vh ) + ( + 1 )(un+1 , vh )
h h
1 n+1
Thus, the weak formulation of systems (1) is given by: for +c1 (uh , uh , vh ) + Da (uh , vh )
n+1 n+1
t (0, t ], nd a pair (u, p, T, C) X Q W D such ( vh , pn+1 ) + ( un+1 , qh ) 1 (UH

n
, vh )
h h
that
= T (gTh , vh ) + C (gCh , vh ),
n+1 n+1
(5)
(ut , v) + (u, v) + c1 (u, u, v) + Da1 (u, v) (dt Thn+1 , Sh ) + ( + 2 )(Thn+1 , Sh )
( v, p) + ( u, q) = T (gT, v) + C (gC, v), +c2 (un+1 , Thn+1 , Sh ) 2 (GnH , Sh ) = 0, (6)
h
(Tt , S) + (T, S) + c2 (u, T, S) = 0, (2)
(dt Ch , h ) + (Dc + 3 )(Chn+1 , h )
n+1
(Ct , ) + Dc(C, ) + c3 (u, C, ) = 0,
+c3 (un+1
h , Chn+1 , h ) 3 (JH n
, h ) = 0, (7)
for all (v, q, S, ) X Q W D. (uh UH , lH ) = 0,
n n
(8)
Let h be a regular and quasi-uniform triangulation [9] of (Th GH , H ) = 0,
n n
(9)
the domain , and 0 < h < 1 denote the maximum diameter (Chn JH n
,
H ) = 0, (10)
of the elements in h . For a given h , we consider the nite
element spaces (Xh , Qh , Wh , Dh ) (X, Q, W, D), for n = 0, 1, . . . , N 1, where the stabilization parameters
1 = 2 = 3 = O(h) are three non-negative constant
Xh = {vh C()d , vh |K P2 (K)d , K h }, functions.
Qh = {qh C(), qh |K P1 (K), K h },
If the stabilized parameters 1 = 2 = 3 = 0, Scheme
Wh = {Sh C(), Sh |K P2 (K), K h }, 3.1 reduces to standard full-implicit backward-Euler scheme
Dh = {h C(), h |K P2 (K), K h }, in time.
where Pr (K)(r = 1, 2) is the space of rth order polynomial

on element K. Note that the Taylor-Hood elements (Xh , Qh ) IV. E RROR ANALYSIS
satisfy the discrete inf-sup [9] condition. For functions (x; t) on the entire time interval (0, t ), we
To introduce subgrid stabilized nite element method, we denote the discrete norms
dene three large scale spaces (LH , MH , Bh ) on coarser grid t /t
H
||p,r := (t j pr )1/p .
LH = XH , MH = WH , BH = DH , (3) j=0
where XH Xh X, WH Wh W and DH Dh D.
Denote the constant dn
The spaces (LH , MH , BH ) will be approximated by P1 ele-
ment. Denote R = L2 ()22 or L2 ()2 and RH = LH , MH Da1
or BH . We need the following L2 orthogonal projection. dn = max{[ 3 F1 un+1 4
2
Denition 2.1.[10] The L2 projection of R into RH is : +F1 1 12 h2 ], [ 2 F1 1 T n+1 4
for all H RH and for all R, nd PLH RH such +4DaT2 g2 + F1 1 22 h2 ],
that [F1 Dc1 32 h2 + 2 F1 Dc1 C n+1 4
2
(PLH , H ) = (, H ). +4DaC g2 ]}.
414
Let (u, p, T, C) solve equations (2) and satisfy the follow- side function is added to (1). The given solutions are
ing regularity assumptions:
u1 = 10x2 (x 1)2 y(y 1)(2y 1)exp(t);
3
u, T, C L (0, t ; H ()) X, u2 = 10x(x 1)(2x 1)y 2 (y 1)2 exp(t);
ut , Tt , Ct L (0, t ; H 1 ()), p = 10(2x 1)(2y 1)exp(t);
p L (0, t ; H 2 ()) Q, (11) T = 3 u1 + 2 u2; C = 2 u1 3 u2.
utt , Ttt , Ctt L (0, t ; L2 ()).
We enforce boundary conditions to be the true solution,
and the initial condition to be the true solution at t = 0.
Theorem 4.1. Let (u, p, T, C) be the solution of con-
The mesh sizes scalings are set that for a renement, each
tinuous problem (2) and satisfy the regularity assumptions
of h gets cut in half. The nal time is chosen as t = 0.001
(11). Assume (ujh , Thj , Chj ) are the fully discrete solutions
and t = 0.000002. Fig.1 is the numerical results of this
of Scheme 3.1 by using (P2 , P1 , P2 , P2 ) elements for the
example. We see that a quadratic convergence rate both for the
velocity, pressure, temperature and concentration, respectively.
computed velocity, temperature and concentration in H 1 semi-
If choosing 1 = 2 = 3 = O(h) and H 2 = h, then for
normis obtained, which test and verify the theoretical results.
small enough 0 < h < H < 1 and t, there is a constant F2
independent of h and t, for any 0 < j N , such that
B. The porous cavity problem
uj ujh 2 + T j Thj 2 + C j Chj 2 This example refers to the study of natural convective ows

j1
171 in a porous cavity (height H, width L : aspect ratio A = H/L,
+t ( + )(un+1 un+1 2 here A=1), saturated by a binary uid. The domain with its
9 h
n=0 boundary conditions is illustrated in Fig.2. Horizontal temper-

j1
112 ature and concentration differences are specied between the
+t ( + )T n+1 Thn+1 2 vertical walls (T1 =1 and C1 =1 at the left wall, T2 =-1 and C2 =-
6
n=0 1 at the right wall). Horizontal walls are kept adiabatic and

j1
113 impermeable. No-slip velocity boundary conditions for whole
+t (Dc + )C n+1 Chn+1 2 boundary. A uniform grid of maximum 32 32 is used. We
n=0
6 only consider the case N = 0 which corresponds to a system

j
dn of pure thermal convection in a porous medium.
exp(t )F1 [h4 |p|22,2
n=0
1 td n The Nusselt and Sherwood numbers are used to describe
the heat and mass transfer characteristics and thus are of
+h |u|22,3 + h4 |T |22,3 + h4 |C|22,3
4
interest in engineering applications. In the present study the
+g2 h6 (T2 |T |22,3 + C 2
|C|22,3 ) average Nusselt and Sherwood numbers can be evaluated
+t (utt L (0,t ;L2 ()) + Ttt 2L (0,t ;L2 ())
2 2 respectively by
1 1
+Ctt 2L (0,t ;L2 ()) ) + H 4 h2 (|u|22,3 (12) Nu = (
T
)x=0 dy, Sh = (
C
)x=0 dy.
+|T |22,3 + |C|22,3 ) + h2 t2 (ut 2L (0,t ;H 1 ()) 0 x 0 x
+Tt 2L (0,t ;H 1 ()) + Ct 2L (0,t ;H 1 ()) ) We give values of the Nusselt and Sherwood numbers at A =
1 for different Ra numbers in which, Darcy regimes is taken
F2 (h2 + t). into account. Table 1 summarizes these results along with the
results obtained by [1], [3], [4]. It may be seen from the results
V. N UMERICAL EXPERIMENTS that the agreement with reference solutions available in the
bibliography [1], [3], [4] is excellent for Darcy regime even
We present some numerical examples to test the conver- with coarser grids. We use a uniform grid of maximum 3232
gence rate and stability of the method. The stabilized method for A = 1 where a sinusoidal grid of 64 64 was used in [3],
is implemented by using (P2 , P1 , P2 , P2 ) nite elements for uniform 24 24 was used in [1] and uniform 42 42 was
the velocity, pressure, temperature and concentration, respec- used in [4], respectively.
tively. All computations are carried out by using the software
FreeFem++ [11]. The nonlinear system is solved by Newton Fig.3 present streamline, isotherm and isoconcentration
iterative method at each time step. Linear systems are solved lines for Da = 103 , N=0, Pr=Le=10, Ra=400 at A=1,
using the UMFPACK solver. The stopping criterion is dened respectively. It may be seen from the results that the agreement
(j) (j1) (j) (j1) (j) (j1) with reference solutions available in the bibliography [1], [3],
by max{uh uh , Th Th , Ch Ch } <
8 [4] is excellent for Darcy regime even with coarser grids.
10 for the iterative solver.
VI. C ONCLUSION
A. Analytical solution
A fully discrete subgrid stabilized nite element method
We choose the articial viscosity parameters 1 = 2 = is given to solve the Darcy-Brinkman equations in Double-
3 = 0.1h, the parameters = 1.0, Da1 = 1.0, = 1.0, Diffusion convection. The backward Euler scheme in time is
Dc = 1.0 and = [0, 1]2 . As in [1], [2], [6], [7], in order to used. The optimal error estimate in space for velocity, tem-
have a known solution for the considered problem, a right-hand perature and concentration in H 1 semi-norm can be obtained
415
TABLE I. C OMPARISON OF THE AVERAGE N USSELT AND S HERWOOD
NUMBERS FOR N = 0, L E = 10 AT A = 1 WITH THERMAL R AYLEIGH
NUMBERS
Ra 100 200 400 1000

Nu This paper 3.77 5.86 9.56 14.02
Ref.[1] 3.15 5.02 7.83 14.01
Ref.[3] 3.11 4.96 7.77 13.47
Ref.[4] 3.27 5.61 9.69 -
Sh This paper 15.29 22.00 29.37 47.82
Ref.[1] 13.54 20.11 27.96 48.01
Ref.[3] 13.25 19.86 28.41 48.32
Ref.[4] 15.61 23.23 30.73 -
(a) Streamline
Fig. 1. Convergence analysis for the velocity, the temperature and the
concentration in H 1 semi-norm. From upper-left to lowerright, there are H1
error for the velocity, L2 error for the pressure, H1 error for the temperature, (b) Isotherm
L2 error for the velocity, and L2 error for the temperature, respectively
(c) Isoconcentration
Fig. 3. Streamline, isotherm and isoconcentration lines for Da = 103 ,

Fig. 2. Computation domain with its boundary conditions. N=0, Le=10, Ra=400 at A=1, respectively.
provided the proper choosing of stabilized parameters. Two toral Foundation of Henan University of Science and Tech-
numerical examples are given to test and verify the theoretical nology (No.09001625), the Science Foundation for Culti-
results. vating Innovation Ability of Henan University of Science
and Technology (No.2014ZCX009) and the Youth Scientic
ACKNOWLEDGMENT Foundation of Henan University of Science and Technology
(No.2012QN029).
The authors would like to thank the anonymous refer-
ees for their valuable comments and suggestions that helped
to improve this paper. This work is in part supported by R EFERENCES
the NSFC (Nos.11171269, 11401174), the China Postdoc-
[1] A. Cibik and S. Kaya, Finite element analysis of a projection-based sta-
toral Science Foundation (No.2013M531311), the Educational bilization method for the Darcy-Brinkman equations in double-diffusive
Commission of Henan Province of China (Nos.14B110020, convection, Applied Numerical Mathematics 64 (2013), pp. 35-49.
14B110021 and 14B110025), the Henan Scientic and Tech- [2] A. Cibik, Numerical analysis of a projection based stabilization method
nological Research Project (No.132102310309), the Doc- for the natural convection problems, A thesis submitted to the graduate
416
school of natural and applied sciences of Middle East Technical Univer-
sity, June 2011.
[3] B. Goyeau, J.P. Songbe and D. Gobin, Numerical study of double-
diffusive natural convection in a porous cavity using the Darcy-Brinkman
formulation, Int. J. Heat Mass Transfer 39 (1996), pp. 1363-1378.
[4] O.V. Trevisan and A. Bejan, Natural convection with combined heat and
mass transfer buoyancy effects in a porous medium, Int. J. Heat Mass
Transfer 28 (1985) 1597-1611.
[5] P.H. Rabinowitz, Existence and nonuniqueness of rectangular solutions
of the Benard problem, Arch. Ration. Mech. Anal. 29(1968), pp. 32-57.
[6] Yunzhang Zhang, Yanren Hou and Hongen Jia, Subgrid stabilized
defect-correction method for a steady-state natural convection problem,
Computers and Mathematics with Applications 67(2014), pp. 497-514.
[7] Yunzhang Zhang, Yanren Hou and Haibiao Zheng, A nite element vari-
ational multiscale method for steady-state natural convection problem,
based on two local gauss integrations, Numerical methods for partial
differential equations, 2014, 30(2), pp.361-375.
[8] Yunzhang Zhang, Yanren Hou and Jianping Zhao, Error analysis of a
fully discrete nite element variational multiscale method for the natural
convection problem, Computers and Mathematics with Applications,
68(4)(2014), pp. 543-567.
[9] R. Temam, Navier-Stokes equation: Theory and numerical analysis,
North-Holland, Amsterdam, New York, 1984.
[10] M.A. Belenli, S. Kaya, L.G. Rebholz and N.E. Wilson, A subgrid stabi-
lization nite element method for incompressible magnetohydrodynamics,
International Journal of Computer Mathematics, 90(7)(2013), pp.1506-
1523.
[11] F. Hecht, FreeFem++ manual, http://www.freefem.org/ff++, 2013.
417
The Simplified Homogeneous Balance Method

and Its Application to WhithamBroerKaup-Like
Equations
Wei Lia*, Xin-rui Wangb
a
College of Mathematics & Statistics, Henan University of Science & Technology, Luoyang 471003, China
b
Department of Mathematics, University of Chicago, Chicago, USA,
*Corresponding author Email: liwei6403@163.com
AbstractIn this paper, we have simplified the homogeneous of the liquid, ut represents a partial derivate of u with respect
balance method (HB). Using this simplified approach, the
Whitham-Broer-Kaup-Like (WBKL) equations are investigated. to t , D , E and J are real constants. The WBKL equations (1)
Various exact solutions of the WBKL equations are obtained via are very good models to describe dispersive waves. It is
a nonlinear transformation with the aid of solutions for the linear necessary to point out that when the parameters are taken as
equation.
different values, the following celebrated nonlinear evolution
KeywordsWBKL equations, Simplified Homogeneous equations (NLEEs) can be derived from WBKL equations (1).
Balance Method, Multiple soliton solutions, Periodic solutions in (i) If J 1 , the WBKL equations (1) becomes the
space variable, Rational solutions WhithamBroerKaup (WBK) equations
I. INTRODUCTION u t u u x H x E u x x 0,
(2)
H t H u x D u x x x E H x x
Nonlinear evolution equation is of great importance as 0.
these equations are able to describe the real features in a variety
of science and engineering areas. Obtaining the exact solution
of nonlinear evolution equation makes it possible for physicists (ii) If D 0, J 1 , the WBKL equations (1) reduces to the
and engineers to study the rule of wave propagation and test the approximate equations for long wave equations
accuracy of numerical solutions more accurately. In this paper, u t u u x H x E u x x 0,
we will propose a simplified homogeneous balance method (3)
(SHB). The main idea of this method is that when solving the H t H u x
E H x x 0.
solution of nonlinear evolution equation we replace an
unknown function f f M in the original homogeneous (iii) If D J 1, E 0 , the WBKL equations (1) reduces
balance method [1-14] by a logarithmic function A ln M ( A is to the variant Boussinesq equations
a constant) to simplify the original HB method as the u t u u x H x 0,
function f f M derived by using original HB, in the most (4)
cases, is a logarithmic function. By applying the SHB, we can H t H u x u x x x 0.
show that the exact solutions of some nonlinear equations can
be expressed as undetermined solutions of a linear equation. (iv) If D 1
3, E 0, J 1 , the WBKL equations (1)
Then a series of solutions of the linear equation can be obtained. reduces to the dispersive long wave equations
For illustration, we will consider WBKL equations [15-17] u t u u x H x 0,
in the form
(5)
H t H u x 3 u x x x 0.
1
u t u u x J H x E u x x 0,
(1)
H t H u x D u x x x E H x x 0, Zhou et al. [15] obtained some traveling wave solutions of
WBKL equations (1) by using the modified Gc G -expansion
where u u x, t represents the horizontal velocity, and method. Guo et al. [16] used the extended Gc G -expansion
method to obtain some exact solutions of WBKL equations (1).
H the height deviated from the equilibrium position
H x, t Song et al. [17] obtained some explicit expressions of solutions
978-1-4673-7995-3/15/$31.00 2015
c IEEE 418
for WBKL equations (1) by using the bifurcation method and
qualitative theory of dynamical systems.
ut uux r K uxx 0. (13)
Obviously, if u is a solution of (13), u and H satisfy (11)
In this paper, we will investigate the WBKL equations (1)
by using the simplified homogeneous balance method proposed and (12), i.e. u, H is a solution of WBKL equations (1) .
in this work. We can obtain some exact solutions for the Now we solve (13). Substituting u A ln M x into the
WBKL equations (1). Some of which is new by comparing
with the solutions of the Refs. [15], [16] and [17]. left-hand side of (13) yields
The rest of this paper is arranged as follows: in Section 2, the Mt r K M x x Mx
2
WBKL equations (1) is studied, and multi-soliton solutions, ut uu x r K u x x A
w

wx M
A
2 K M 2 (14)
rational solutions and periodic solutions in space variable of
WBKL equations (1) are derived by using simplified 2 2
homogeneous balance method proposed in this work; and in Setting the coefficients of M x M in (14) equal to zero
Section 3 some conclusions are reached. yields A r2 K . Taking (10) into consideration we
II. APPLICATION TO WBKL EQUATIONS
obtain B
2 K K E . Thus the expression (6) becomes
J
A. Multi-soliton solutions of WBKL equations
Considering the homogeneous balance among uu x ,
u r 2 K ln M ,
x
2 K K E (15)
H x and u xx in the first equation of WBKL equations (1) as
H
J
ln M x x .
well as among Hu x , u xxx and H x x in the second equation of
The expression (14) can be simplified as
WBKL equations (1), we assume the solutions of WBKL
equations (1) are of the form w Mt r K M xx
ut uu x r K u xx A 0,
u A ln M x , wx M
(6)
H B ln M x x , provided that M M x, t satisfies the linear equation
Mt r K M x x 0. (16)
where A and B are nonzero constant, M M x, t is a
To solve (16), we assume that
positive solution. A, B and M are all to be determined later.
From (6) we get
M M [ , [ k x Z t l, (17)
where k , Z and l are to be determined.
H B
A ux . (7) Substituting (17) into (16) yields
Substituting (7) into the left-hand side of WBKL ZM c r k 2 KM cc 0. (18)
equations (1) yields By solving (18), we have the following solution
ut uux J H x E uxx ut uux BA J E ux x , (8) Z
M 1 H exp k x Zt l , (19)
H t Hu x D u x x x E H x x k K
2

(9)
B w
A wx u uu
t x
A
B D E u xx . where k , Z , l and H are arbitrary constants.
Substituting (19) into (15) yields exact solutions of WBKL
Setting the coefficient of u x x in (8) equal to the coefficient equations (1)
2 HZ P
u x, t k 1 H P ,
of u x x in (9) yields
B E r K

A J
, (10)
2 K E
HHZ 2 P
H x, t ,

2
where K DJ E , K ! 0.
2
J K k 2
1 H P
Substituting (10) into (8) and (9), we get where
ut uu x J H x E u xx ut uu x r K u x x 0, (11) P exp Z
k x Z t l .
k2 K
Ht Hu x D uxxx E H xx A wx t
B w u uu r K u
x xx 0, (12) Since k , Z , l and H are arbitrary constants and solutions
provided that of the linear equation (16) are additive, we obtain the following
solution of (16)
419
following five solutions
N
Z
M 1 H i exp 2 i ki x Zi t li , (20) M x2 2 t , (23)
i 1 ki K x2
r 4t
M 1 qt e
1
where ki , Zi , li and H i i
1, 2, , N are arbitrary constants.
2
, (24)
N
Substituting (20) into (15) yields multiple soliton solutions
M 1 ai e r k t cos ki x,
2
of WBKL equations (1)

i
(25)
i 1
N HZ

2 i 1 ki
i i
Pi
N
M 1 ai e r k t sin ki x, i
2
(26)
u x, t , i 1
N
1 H i Pi M 1 c1 x3 c2 x2 6 c1x 2c2 t. (27)

i 1
2 Substituting (23)-(27) into (15), we obtain five sets of exact
N Hi Z i2 N N Hi Z i
2 K E i i i 1 k solutions of WBKL equations (1). They include rational
P 1 H P Pi

H x, t

i 1 ki
2 i
i1 i ,
solutions and periodic solutions in space variable of WBKL
equations (1).
2
J K N

1 H i Pi C. Others solutions of WBKL equations
i1 Equation (13) is a Burgers equation, it has following
where solutions [18]. These solutions contain kink solutions, blow-up
Z solutions, periodic solutions, and so on.
exp 2 i ki x Zi t li .
Pi
ki K
u x, t r2k K 1 tanh kx 2k 2 K t ,
B. Rational solutions and periodic solutions in space u x, t r2k K 1 coth kx 2k 2 K t ,
variable of WBKL equations
We suppose 2k K
N u x, t 2 ,
1 ek xr k K t
M m xt ,
i
i
(21)
i 0 r 2k K
where mi x i 0,1, , N are to be determined.
u x, t ,
1 e

kx k2 K t
By substituting (21) into (16), we get
2k K
m x r K mcc x 2m x r K mcc x t
1 0 2 1 u x, t
1 ek x r k K t
2 , )
Nm x r K mcc x t r K mcc x t
N 1
N 1
0. N
r 2k K
u x, t
N N
,
By considering 1, t ,
N
, t are linear independent, we get 1 e
k K t kx 2
m1 x r K m0cc x 0, u x, t 1 r 2 K tanh kx k t ,
u x, t 1 r 2 K coth kx k t ,
NmN x r K mccN 1 x 0, u x, t 1 2 K tan kx k t ,
mccN x 0. u x, t 1 r 2 K cot kx k t ,
By solving the above system of equations, we get
r 2 K cosh x

u x, t

2 N 1 i j
N i x ,
N i !
2 N 1 i
1 N
mi x aj , (22) sinh x e r K t
K N i j 1
2 N 1 i j !
r 2 K cosh x
i 0,1, , N, u x, t ,
where a j are arbitrary constants. sinh x e r K t
r 2 K sinh x
Substituting (21) and (22) into (15), we obtain the rational
u x, t ,
fractional solution of WBKL equations (1). cosh x e r Kt
Moreover, it is not difficult to find that (16) has the
420
ACKNOWLEDGMENT
r 2 K sinh x
u x, t , This work is supported in part by the National Natural
cosh x e r K t Science Foundation of China (NOs. 11171269 and 11171227)
x 2 K x and the Henan Scientific and Technological Research Project
u x, t r tanh , (NO. 132102310309). The authors also gratefully
t t t acknowledge the helpful comments and suggestions of the
x 2 K x reviewers, which have improved the presentation.
u x, t r coth ,
t t t
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422
Tracking Control of Quad-rotor Helicopters Suspended a Power

Supply Cable with On-line Estimation of Disturbances
Hayami Hayakawa and Shogo Obata Manabu Yamada

Department of Engineering, Electronics and Mechanics Graduate School of Engineering
Graduate School of Engineering Nagoya Institute of Technology
Nagoya Institute of Technology Nagoya, 466-8555, JAPAN
Nagoya, 466-8555 JAPAN yamada.manabu@nitech.ac.jp
AbstractIn this paper, we propose a tracking controller for state equation by changing coordinates in the state-space. The
quad-rotor suspended a flexible cable. The first contribution is to linearization is an extension of [4,5]. By using the linearization,
present a new disturbance observer to estimate online both the a new tracking and disturbance rejection controller based on
tension of the cable and unknown disturbances applied to
dynamics. The second one is to propose a new exact linearization disturbance observer is presented. Some simulations and
method which reduces the nonlinear closed-loop system to a linear verification experiences are performed to validate the
controllable state equation by changing coordinates in the state- effectiveness of the proposed controllers.
space. By using the linearization, a new tracking controller based
on disturbance observer is presented for obtaining asymptotically II. VARIABLES AND NOTATIONS
rejection against unknown constant disturbance. Variables and notations used in this paper are as follows.
KeywordsQuad-rotor helicopter, Power Supply Cable ,
6O êx , ey , ez ` Inertial frame.
Estimation of disturbance, Linearization, Position tracking control 6A ê1, e2 , e3` Body-fixed frame.
I. INTRODUCTION T Position of the origin of inertial frame in
p x y z
6O .
Quad-rotor helicopter has capabilities of hovering, vertical
I T \
T
Angle of the airframe from 6O to 6A .
take-off and landing. It has been expected for various
applications, including environmental monitoring, pesticide p q r
T
Angular velocity of the airframe from
spraying and inspection structures like bridges by aerial 6O to 6A .
photography. m R1 mass of the airframe.
There have been a lot of researches to control quad-rotor, J diag [ J x , J y , J z ] Inertia matrix of the airframe around the
for example [1-5]. However, it is assumed to equip a battery center mass in 6A .
for power supply. It has a disadvantage that its operation time g R1 Gravitational acceleration.
is limited to a short one for example about twenty minutes. f R1 Collective thrust in body center of
Recent some researches have studied on a quad-rotor gravity.
suspended a flexible cable for power supply. Equipping the 1 2 3
T
Airframe torque generated by thrust in
cable enables to operate in non-limited time and to correspond 6A .
to high capacity data. However, quad-rotor is suffered from dt d x dy d z
T
Translational disturbances without

disturbances by both wind and tension of the cable. The tension by the cable in 6A .
disturbances make it difficult to control quad-rotor. In the d d1 d2 d3
T
Torque disturbance in 6A .
previous studies, e.g., [6], the dynamics of cables have been L Length of the cable.
modeled as serially-connected rigid links and the disturbance w Linear density of the cable.
by the tension of the cable has been analyzed by the use of T1 Tension of the cable(winding system
theory of the catenary. However, they have not been taken into side).
account disturbances by wind and changes of shape of cables M1 Angle from T1 to x axis.
and troublesome identifications of many parameters are Tension of the cable(quad-rotor side).
T2
required. Therefore, it is difficult to apply to real rotor systems.
In this paper, new disturbance observer and tracking M2 Angle from T2 to x axis.
controller are proposed for a quad-rotor system suspended a
flexible cable for power supply. The first contribution is that III. PROBLEM FORMULATION
the disturbance observer can estimate online both the tension of The quad-rotor helicopter consists of a rigid cross frame
the cable and unknown disturbances applied to dynamics. The equipped with four rotors as shown in Fig. 1. The model of the
second one is to obtain a new exact linearization method which quad-rotor helicopter suspended a cable and a cable winding
reduces the nonlinear closed-loop system to a linear controllable system is shown in Fig 2. Thecable is suspended to the center
978-1-4673-7995-3/15/$31.00 2015
c IEEE 423
of gravity of the quad-rotor helicopter. It is assumed that there p= v
is no torque disturbance by a cable, and that the quad-rotor (6)
mv R 3 f mg T dt ,
helicopter and a cable are in a same two-dimensional x-z
surface. where
x 0 Tx dx

v y , g 0, T 0 , dt d y
z g Tz
dz
(7)
cos I sin T cos\ sin I sin\

R3 cos I sin T cos\ sin I cos\ .
cos I cosT
Next, the rotational dynamics of the quad-rotor helicopter
suspended a cable is given as follows, where the quad-rotor
Fig. 1 Model of quad-rotor helicopter. helicopter is suffered from unknown torque disturbances.
Rr
J C J d , (8)
Z Z
where
J
diag J x , J y , J z , p q r
T
0 r q I W 1

C r 0 p , T , Z W 2
q p 0 \ W 3 (9)
d1 1 sin I tan T cos I tan T

dZ d 2 , Rr 0 cos I sin I ,
d3 0 sin I / cosT cos I / cos T
where, I and T satisfy that
Fig. 2 Quad-rotor system suspended a flexible cable.
I t 90, T t 90 t . (10)
We consider the case where the parameters T1 and M1 , L are
measured at the winding system. The horizontal and vertical The problem in this paper is considered as follows.
direction equilibriums of force on the cable are written as
T1 cos M1 T2 cos M2
Position Control Problem
(1) T
For any given desired output of X d (t ) xd (t ), yd (t ), zd (t ) ,
T1 sin M1 T2 sin M2 wLg .
find the control inputs of ( f , ) satisfying that
(2) lim p pd 0
tof
(11)
Then, the parameters T2 and M 2 are obtained by
for any initial states and against any unknown constant
disturbances, dt and dZ , where
wLg T sin M denotes the Euclidean
2 2 2
T2 1 1
T1 cos M1 (3)
norm.
wLg T1 sin M1
IV. DESIGN OF POSITON CONTROL SYSTEM
M2 sin
1
. (4) As described in the third section, the static tension T and
wLg T1 sin M1 T1 cos M1
2 2 2
its direction M can be treated as known parameters. However,
we need another disturbance observer for disturbances except
Equations (3) and (4) implies that T2 and M 2 are estimated by for the tension disturbance, because the quad-rotor and the
using the measured values of T1 , M1 and L . In the remaining cable are suffered from disturbances like wind. The
part of this paper, we consider T2 and M 2 as known parameters. disturbances except for the tension disturbance are defined as
dt , dZ . Accordingly, we designed disturbance observer for
The horizontal and vertical components are presented as dt , dZ ,where it is assumed that the time derivative of dt , dZ
follows, respectively,
are sufficiently small. The translational and rotational
Tx T2 cos 2 , Tz T2 sin 2 . (5) dynamics of the quad-rotor are represented as follows.
The translational dynamics of the quad-rotor helicopter
Mq Vmq G BF T d , (12)
suspended a cable is given as follows, where the quad-rotor
helicopter is suffered from stationary unknown disturbances. where,
424
m 0 0 0 0 0 z1 (cos I sin T cos\ sin I sin\ ) f Tx
1
dx
0 m 0 0 0 0 m
0 0 m 0 0 0 z2 (cos I sin T sin\ sin I cos\ ) f
1
dy (21)
M
0 0 0 Jx 0 0
(13) m
0 0 0 0 Jy 0 z3 cos I cosT f g Tz
1
dz ,
0 Jz m
0 0 0 0
where,
0 0 0 0 0 0 z z1 z2 z3
T
, f f m, g 0 0 g
T
0 0 0 0 0 0
0 0 0 0 0 0 T Tx 0 Tz , Tx
T
Tx m , Tz Tz m (22)

Vm
0 0 0 0 Jzr J yq
T
0 0 0 Jzr 0 J x p dt d x d y dz .

0 0 0 J yq 0
Jx p
The parameter dt is the estimated value of translational
T T
q x y z p q r , G 0 0 mg 0 0 0 disturbances. The differential form of (21) is given as follows.
(cos I sin T cos \ sin I sin \ ) 0 0 0 (14) z1 p

(cos I sin T sin \ sin I cos \ ) 0 0 0 d
z2
1
G q T dt , (23)
(cos I cos T ) 0 0 0 dt m
B z3
0 1 0 0
f
0 0 1 0 where,
0 0 0 1
G RF
F
T
f W1 W 2 W 3 , T Tx 0 Tz 0 0 0
T
cosT cos\ sin I sin T cos\ cos I sin\
R cosT sin\ sin I sin T sin\ cos I cos\
d x d y d z d1 d 2 d3 .
T
d sin T sin I cosT (24)
Theorem 1 cos I sin T cos\ sin I sin\
The disturbance observer is given as follows. cos I sin T sin\ sin I cos\
d X K0 ( Mq Vmq) cos I cos T
(15)
X K
K0 X K0{G BF K0 (Mq Vmq) T Vmq}, 0 f 0
.
where, K 0 is a parameter to be designed. K 0 is satisfies K0 ! 0 . F f 0 0
0 1
Then, the estimated error of disturbances ed d d 0
converges exponentially to zero. Moreover,

Proof det[G] f 2
. (25)
The estimated error of disturbances ed d d is differentiated
as follows. Thereby, G is a nonsingular matrix for f z 0 .Then, define u
as a temporary input as follows.
ed d d . (16)
p T
u1
Since the d is a constant disturbance, by using (15) and (16) x
u u2 Gq 0 . (26)
we have
u3
ed X K0 (Mq Vmq Vmq) . (17) f Tz
Next, by using (12)and (15), it follows that Then, the translational dynamics from ui (i 1,2,3) to the
ed K0ed . (18) position is represented as follows.
1 1 1
Therefore, we obtain x z1 ed , y z2 ed y , z z3 ed z
m x m m
ed ed (0)e K0t , lim ed 0. (27)
(19) 1 1 1
tof z1 u1 d x , z2 u2 d y , z3 u3 d z .
m m m
Accordingly it can estimate accurately arbitrarily constant
disturbances. Equation (27) implies an exactly linearized translational
dynamic system from ui (i 1,2,3) to the position, which is our
V. EXACTLY LINEARIZATION AND PROCEDURES OF key idea.
CONTROL SYSTEM DESIGN Our new controller design method based on the
In order to linearize the translational dynamics of (6), define linearization consist the following these steps.
the following new states (Step1) By applying the well-known conventional linear
1 control theory to linear system of (27), it is easy to design
z R3 f g T dt , (20) ui (i 1,2,3) satisfying the above mentioned Position Control
m
Problem.
in other words,
425
(Step2) By using (26), we obtain both the trust input of f and Therefore, we have
the desired angular velocities p and q. Let pd and qd be the lim e x t 0 .
t of
(36)
desired angular velocities.
(Step3) The real control inputs of torque W1 , W 2 , W 3 Now, from (34), ud is defined as follows.
satisfying the Position Control Problem are presented. ud K e x . (37)
Now, we will explain the details of the steps 1 - 3. Equation In Step 2, by using (26), we obtain both the trust input
(27) is represented in the state equation as follows. denoted by f d and the desired angular velocities as follows.
d Let pd and qd be the desired angular velocities, p and q,
x Ax Bu D0 , y Cx , (28)
dt respectively.
where, T
pd ud 1
x >x y z x y z z1 z2 z3 @
T
1 1
x
qd G u d 2 G 0 . (38)
O3u3 I 3u3 O3u3 O3u3
O f d ud 3
A 3u3 O3u3 I 3u3 , B O
3u3
Tz
O3u3 O3u3 I 3u3
In Step 3, we consider the angular velocities p t , q t , r t .
O3u3 (29)
T
D0
1 1 1 The inputs of W1 , W 2 , W 3 are designed as follows,
0 0 0 ed ed ed 0 0 0
W1 J y J z qr pd k1e p J x d1
m x m y m z
(39)
u >u1 u2 u3 @ , y
T
>x y z@ , C
T
> I3u3 O3u3 O3u3 @ ,
D0 is the element converging exponentially to zero. W2

J z J x pr qd k2eq J y d2 (40)
Therefore, the translational system is linearized. Then, it
enables to apply linear control theories e.g., tracking control
W3
J x J y pq rd k3er J z d3 , (41)
system. In order to design tracking control system, the error of where,

states is defined as follows. e1 p pd , e2 q qd , e3 r rd
e x x xd . (42)
(30) k1 ! 0, k2 ! 0, k3 ! 0.
The tracking error representation of (28) is represented in a Then, the angular velocities are given as
linear state equation as follows. p t pd t e1 0 ek1t (43)
d
ex Ae x Bu D0 , e y Ce x , (31)
dt q t qd t e2 0 ek2t (44)
where, r t rd t e3 0 ek3t . (45)
T
ex ex e y ez ex e y ez ez ez ez3
1 2 Therefore, if we set the design parameters satisfying that
O3u3 I 3u3 O3u3 O3u3 k1 , k2 , k3 K0 , the speed of estimation of disturbances is faster
O
A 3u3 O3u3 I 3u3 , B O3u3 than convergence speed of pitch angular velocity, p, q.r
O3u3 O3u3 O3u3 I 3u3 (32) converge exponentially to zero. Additionally, the trust input of
f (t ) is obtained by using f d t of (38) .
T
1 1 1
D0 0 0 0 ed ed ed 0 0 0
t
m x m y m z f t m f d (W )dW . (46)
T 0
u >u1 u2 u3 @ , e y
T
ex ey ez , C > I 3u3 O3u3 O3u3 @
Theorem 2
u1 u1 z1 , u2 u2 z2 , u3 u3 z3 , (33) The controller consisting of W1 , W 2 , W 3 , f in (39),(40),(41),
all elements of D0 converge to zero exponentially. By (46) satisfies (11) for any initial states and against any
applying to the well-known linear control theory, y the unknown constant disturbances, dt and dZ .
following lemma provides the solution on the inputs u of the Proof
Position Control Problem. Substituting (39),(40),(41),(46) into the dynamics of the
quad-rotor helicopter suspended a cable of (6) and (8), the
Lemma whole feedback system is represented as follows.
Consider the control input as follows.
e x t Ce
A BK t
e x 0 C e
t A BK t W
D0 (W )dW (47)
u t Ke x , (34) 0
T
where, K satisfies that real part of all eigenvalues of the 1 1 1
D0 0 0 0 m ed x ed ed J1 J 2 J 3 (48)
system matrix A BK are negative. Then, the tacking control m y m z
system (31) is stabilized. The error response of the system is J1 e1 (0) ek t , J 2 e2 (0) ek t , J 3 e3 (0) ek t ,
1 2 3
(49)
represented as follows.
where, the matrix A BK is stable, and D0 converges to
ex t Ce
A BK t
e x 0 C e
t A BK t W
D0 (W )dW . (35) zero vector exponentially. Therefore, the error of tacking
0
The error of tacking control converges exponentially to zero control converges exponentially to zero with any initial values
with any initial values ex 0 . ex 0 against any constant disturbances.
426
VI. SIMULATION
In this section, in order to validate the effectiveness of the

proposed observer and controller, the result of simulations is
shown. The physical parameters and initial values of

controlled system are given as follows.

physical parameters:
m 3.18 [kg ], g 9.81[kg s 2 ]
J diag 7.0 u 102 7.0 u 102 11.1u 102 [kgm2 ]

initial satates:
x 0 y 0 z 0 1 0 0 m Fig.4 Time responses of T .
I 0 T 0 \ 0 0 0 0 rad
x 0 y 0 z 0 0
0 0 0 m s

I 0 T 0 \ 0 0
0 0 0 rad s

translational and rotational disturbances:

d x d y d z 2 2 2 N , d1 d2 d3 1 1 1 N m

parameters of disturbance observer and controller:
K0 10 , k1 k2 k3 3 3 3

definition of the cable :
w 0.028 kg m , L L 0 t m , L 0 3 m
1 1 Fig.5 Time responses of observer error of e d .

T1 wL 0 g wLg N
2 2
closed-loop poles :

^3.5 3.5 3.5 3.6 3.6 3.6 3.7 3.7 3.7 `

The desired trajectory on the position:

t 0 0 (t 16)

xd yd zd
16 0 t 16 (16 t 40)

Fig.6 Time responses of tracking error of e x

Fig.3 Trajectry of quad-rotor hericopter.
Fig.7 Time responses of attitude .
427
Figure 3 shows the desired output and the trajectory of the
quad-rotor. Figure 4 shows the tension of the cable to the
quad-rotor T estimated by T1 defined in the simulation.

Figures 5 and 6 show that the disturbance observer rapidly has

estimated unknown disturbances and has rejected the

disturbances. Moreover, Figure 7 shows the time responses of
the attitude of the quad-rotor suspended a flexible cable.

VII. EXPERIMENTAL VERIFICATION
In this section, in order to validate the effectiveness of the
estimation method of T2 and M 2 consisting of (3) and (4),

some experiments are performed. In the experiment, the values
of T1 , T2 , M1 , M 2 are measured. From (3) and (4), the estimated
values of T2 , M2 are compared with the measured values. The
effectiveness is verified with the errors of eT2 , eI2 , where the Fig.10 Verification of I2 .
errors are defined as follows.
eT2 T2 T2 Figures 9 and 10 show the disturbance observer accurately
(50)
estimate the tension disturbance. Therefore, the effectiveness
eI2 I2 I2 . (51) of the proposed estimation method of (3) and (4) is validated.
Then, the values are measured in changing 'z shown in Fig. VIII. CONCLUSINON
8, where 'z is the height difference of T1 and T2 under the In this paper, a new disturbance observer has been proposed
case where 'x is a constant. The parameters of the experiment to estimate online both the tension of the cable and unknown
are set as follows. disturbances. Then a new tracking controller based on an exact
parameters: linearization has been presented against any constant
w 0.125 kg / m, L 4 m , 'x 2.8 [m] . disturbance for the position of quad-rotor system.
REFERENCES
[1] L.R.G.Carrillo, A.E.D.Lopez, R.Lozano and C.Pegard,

Quad Rotorcraft Control, Springer, (2013).
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Yaw Angle Control for a Four Rotor Mini Helicopter
Based on a Geometric Approach Transaction on the
Japan Society of Mechanical Engineers (C), 78-785,
Fig.8 Parameters of a flexible cable in experiment. 126/137, (2012)
[4] K.Mori, K.Hotta and M.Yamada: Adaptive H-inf
Tracking Control for Quad-rotor Helicopters Based on
Input-output LinearizationTransactions of the Society

of Instrument and Control Engineers50-11, 784-791,
(2014)
[5] N. Takahashi, S.Yamashita, Y.Sato, Y.Kutuna and

M.Yamada: All-round two-wheeled quadrotor helicopters

with protect-frames for airlandsea vehicle (controller

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[6] F.A. Goodarzi, D.Lee and T.Lee: Geometric Stabilization

of a Quadrotor UAV with a Payload Connected by
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Conference, 4925/4930(2014)
Fig.9 Verification of T2 .
428
Multivariable Controller Design Evaluating

Closed-Loop Interaction by Iterative LMI
Optimization Using Frequency Response Data
Shogo Shinoda Kazuhiro Yubai Daisuke Yashiro

Dept. of Electrical and Dept. of Electrical and Dept. of Electrical and
Electronic Engineering Electronic Engineering Electronic Engineering
Mie University Mie University Mie University
Kurimamachiya, Tsu, JAPAN 5148507 Kurimamachiya, Tsu, JAPAN 5148507 Kurimamachiya, Tsu, JAPAN 5148507
Email: shinoda s@ems.elec.mie-u.ac.jp Email: yubai@elec.mie-u.ac.jp Email: yashiro@elec.mie-u.ac.jp
Junji Hirai
Dept. of Electrical and
Electronic Engineering
Mie University
Kurimamachiya, Tsu, JAPAN 5148507
Email: hirai@elec.mie-u.ac.jp
AbstractThis paper proposes a multivariable controller These controller syntheses directly derive the controller using
design method using frequency response data. The proposed frequency response data set without any mathematical models,
method evaluates a diagonal dominance in a closed-loop manner and they are not subject to a modeling error. Moreover, the
by using a singular value and designs a controller by solving designer can choose the controller structure arbitrarily, and the
an optimization problem that involves nonconvex quadratic controller order does not directly depend on the complexity
matrix inequalities. This optimization problem is rewritten as
linear matrix inequalities (LMI) by introducing iterative LMI
of the plant unlike in the case of the model-based controller
constrains. The controller achieving highly diagonal dominance is syntheses. In these methods, the unique controller (parameters)
designed by repeating an update of the optimization problem and can be easily obtained through the convex optimization. The
the convex optimization. This optimization algorithm guarantees controller syntheses for multivariable systems are addressed in
monotonically convergence of an evaluation value in terms of the [3] and [4]. The controller synthesis proposed in [3] minimizes
iteration. The experimental results show the effectiveness of the a sensitivity function in lower frequencies, while a constraint
proposed method in comparison with the conventional method. related to singular values, which is important for multivariable
KeywordsMultivariable controller design, Diagonal domi- controller design, is imposed. The controller synthesis pro-
nance, Iterative LMI posed in [4] leads to a controller approximating a reference
model dened by a designer while guaranteeing the closed
stability based on the Nyquist stability criterion.
I. I NTRODUCTION
In model-based controller syntheses, the mathematical In the design of a multivariable controller, suppression of
model is rstly constructed using the input/output data sets interaction among each channel has to be required as well as
obtained from the controlled plant, the controller is secondly low sensitivity and wide control bandwidth. Interaction is one
designed based on the model. The model-based controller of main factors that make control of multivariable systems
syntheses are widely used in the industrial eld since they complicated, and deteriorates the tracking performance. In
can evaluate the stability of the closed-loop system and the model-based control syntheses, a precompensator (decoupler)
control performances before its implementation. However, it is is designed to suppress interaction. Typically, a design of a pre-
difcult and complicated to acquire the reduced-order model compensator requires a mathematical model of the controlled
of the plant with complex dynamic behavior. There might be a plant, especially an inverse model of the controlled plant.
modeling error between the actual plant and its reduced-order However, a modeling error of the mathematical model leads
mathematical model, which leads to performance degradation to signicant performance deterioration. Since the controller
and/or instability of the control system. On the other hand, a syntheses based on frequency responses utilize a raw data set
modeling error is reduced by using more complex model, but obtained from the controlled plant, performance deterioration
the designed controller is then obtained as the complicated could be avoided. However, the controller design methods
form. The above mentioned problem is more highlighted in proposed in [3] and [4] do not evaluate interaction directly.
multivariable control systems. In contrast to these previous works, the authors have proposed
the multivariable controller design method evaluating diagonal
For the above problem, the controller syntheses using dominance in [5]. This method evaluates a gain of each ele-
only frequency response data receive much attention [1][4]. ment of an open-loop transfer function matrix using frequency
978-1-4673-7995-3/15/$31.00 2015
c IEEE 429
response data set, and leads to a high diagonal dominance open-loop interaction E L (s) but S(s) and S d (s) in the case
controller. However, this method requires a weighing function of incompletely decoupled.
for balancing gain of an open-loop transfer function matrix
considering the frequency and the channel, and this weighing As mentioned above, the proposed method directly eval-
function has a strong impact of the control performance. uates the closed-loop interaction by introducing . The
Moreover, since this method evaluates diagonal dominance proposed method searches the parameter vector minimizing
for an open-loop system, diagonal dominance in a closed-loop using frequency response data sets. Moreover, the perfor-
system could not be reduced. mance constraints for sensitivity, complementary sensitivity,
and control input in the frequency domain are also imposed.
This paper proposes a new multivariable controller synthe- In the next section, the proposed method is explained.
sis evaluating closed-loop diagonal dominance using frequency
response data set. The proposed method evaluates the largest III. C ONTROLLER SYNTHESIS FOR DIAGONAL
singular value of an interested close-loop system, which does DOMINANCE
not require a weighting function as in [5] and directly evaluates
closed-loop control performance. By introducing an iterative This section proposes a multivariable controller synthesis
LMI proposed in [3] to solve a certain class of optimiza- for achieving diagonal dominance using frequency response
tion problems, the proposed method obtains a monotonically data sets.
decreasing evaluation value and (at least) a local minimum.
Finally, the effectiveness of the proposed method is veried A. Controller
by experiments of a tension-and-velocity control apparatus.
For an n m multivariable time-invariant plant P (s), an
m n controller linearly parameterized by a parameter vector
II. P ERFORMANCE INDEX FOR INTERACTION and a stable basis function vector (s), C(s, ) = T (s),
In [6], a performance index for closed-loop interaction will be designed in the proposed method. Then the open-loop
has been proposed. This section explains this performance transfer function matrix L(s) is represented as
index and gives a problem setup for the proposed multivariable L(s, ) = P (s)C(s, ) = P (s)T (s). (9)
control synthesis.
Each element of (s) is a stable proper basis transfer function,
Firstly, dene n n transfer function matrices represented and hence the designer could x the controller order and
as structure by appropriate selection of (s).
E L (s) = L(s) Ld (s), (1)
E S (s) = S(s) S d (s), (2) B. Formulation of the design problem
E T (s) = T (s) T d (s), (3) As mentioned in the previous section, the closed-loop
interaction is suppressed by minimizing . The controller
where Ld (s), S d (s), and T d (s) are n n diagonal transfer design problem is described as
function matrices dened as
min
Ld (s) = diag {L11 (s), , Lnn (s)} , (4) ,
1
S d (s) = (I n + Ld (s)) , (5) subject to
1
T d (s) = Ld (s) (I n + Ld (s)) . (6) (E T (jk , )) ,

Lqq (s) represents a q th diagonal element of an open-loop (S(jk , )) Smax (k ),

transfer function matrix L(s). From Eqs. (1)(3), the following (10)
(T (jk , )) Tmax (k ),

relationship is derived: (Q(jk , )) Qmax (k ),

E T (s) = E S (s) for k = 1, , N,
1 1
= (I n +L(s)) (L(s)Ld (s))(I n +Ld (s)) where () represents the largest singular value. Constraints
= S(s)E L (s)S d (s) (7) from Eq. (10) are simultaneously imposed at N prespecied
frequency points k (k = 1, , N ). The frequency points
In [6], the H norm of E S (s), equivalently E T (s), denoted must be nely gridded to approximate as . Equation (10)
as represents performance constraints for 3 closed-loop proper-
= E S (s) = E T (s) (8) ties,
1
is adopted as a performance index for the closed-loop in- S(s) = (I n + L(s)) , (11)
1
teraction. For a multivariable closed-loop system, it is well- T (s) = L(s) (I n + L(s)) , (12)
known that the effect of interaction is remarkably observed in Q(s) =
1
C(s) (I n + L(s)) . (13)
middle frequency range around the gain crossover frequency
[7]. Equation (8) gives an interpretation to that the closed- Here, S(s), T (s), and Q(s) are a sensitivity function, a
loop interaction is a singular value of an open-loop complementary sensitivity function, and a closed-loop transfer
interaction E L (s) weighted by a sensitivity function S(s) function from a reference to a control input, and Smax , Tmax ,
and a diagonal sensitivity function S d (s). This means that Qmax are the upper bounds for a singular value of the cor-
interaction in the closed-loop system depends on not only responding transfer functions, S(s), T (s), Q(s), respectively.
430
For solving the above optimization problem, an approximation matrices:
for a sensitivity function S(s) is introduced. Since a sensitivity Y Dk () = Smax (k ) (L(jk , ) Ld (jk , )) ,
function S(s) is bounded by imposing Eq. (10), the singular (19)
value of E T (s) is also bounded as ZDk () = I n + Ld (jk , ),
Y Sk = Smax (k )1 I n ,
(E T (jk , )) =
(S(jk , )E L (jk , )S d (jk , )) (20)
ZSk () = I n + L(jk , ),
(S(jk , ))
(E L (jk , )S d (jk , ))
Y Tk () = Tmax (k )1 L(jk , ),
Smax (k )
(E L (jk , )S d (jk , )) . (14) (21)
ZTk () = I n + L(jk , ),
Then the original design problem is converted into the follow- Y Qk () = Qmax (k )1 C(jk , ),
ing optimization problem: (22)
ZQk () = I n + L(jk , ),
min for k = 1, , N.
,
By introducing the matrices
subject to
(i)
Z = ZDk (i1 ), (23)
Dk
(E L (jk , )S d (jk , )) Smax (k )1 ,

(i)
Z = ZSk (i1 ), (24)
(S(jk , )) Smax (k ),
Sk
(15) (i)
(T (jk , )) Tmax (k ), ZTk = ZTk (i1 ), (25)
(Q(jk , )) Qmax (k ),
(i)
Z = ZQk (i1 ) (26)
Qk
for k = 1, , N.
of the corresponding constraints at the i th iteration using
as Z
By solving the above optimization problem, the designed the solution at the previous optimization problem i1 , the
controller achieves closed-loop diagonal dominance. However, sufcient condition for Eq. (15) at the i th iteration are derived
the constraints (15) are still nonconvex with respect to the as
controller parameter . To solve this problem, the optimization
algorithm proposed in [3] is introduced. This optimization
(i)
ZDk ZDk + Z (i) ZDk Z (i) Y 1 Y Dk , (27)
(i) Z
Dk Dk Dk Dk 2

algorithm gives a solution by converting a certain class of non-
(i) (i) (i) (i)
convex problem into a convex problem and solving the convex Z Z + Z ZSk Z Z Y Y Sk ,
Sk Sk Sk Sk Sk Sk (28)
problem iteratively. In the next subsection, the optimization (i) (i) (i) (i)
ZTk ZTk + ZTk ZTk ZTk ZTk Y Tk
Y Tk , (29)
algorithm proposed in [3] is briey explained.
(i) (i) ZQk Z (i) Y Y Qk .
(i) Z
ZQk ZQk + Z Qk Qk Qk Qk (30)
C. Iterative LMI constraint By applying the Schur complement, the optimization problem
at the i th iteration is rewritten as LMIs:
In [3], a nonconvex constraint representing a lower bound
of a maximum singular value of a certain matrix is approx- min 2
imated as a linear constraint, and the linearized problem is , 2
iteratively solved. In this subsection, we will briey review subject to
how to convert a nonconvex constraint into an iterative LMI
and describe how to apply it to the proposed controller design (i) (i) ZDk Z (i) Z (i) Y
ZDk ZDk + Z Dk Dk Dk Dk 0,
method. Y Dk 2I n

(i) (i) ZSk Z (i) Z (i) Y
Consider n n arbitrary nonsingular (complex) matrices, ZSk ZSk + Z Sk Sk Sk Sk 0,
For Y and Z, the relationship
Y , Z, and Z. Y Sk In
(31)
(i) (i) (i) (i)
Y Z 1 1 Z Y Y Z 1 I
ZTk ZTk + ZTk ZTk ZTk ZTk Y Tk 0,
Y Tk In
Z Z Y Y (16) (i)
(i) (i) (i)
ZQk ZQk + ZQk ZQk ZQk ZQk Y Qk
the
is derived. Moreover, for arbitray matrices Z and Z, 0,
Y Qk In
relationship
for k = 1, , N.
(Z Z)
(Z Z) 0
Here, the LMI constraints (31) corresponds to the original

Z Z Z Z +Z Z Z
Z
(17) nonconvex constraints (15). the solution set of the above
optimization problem at the i th iteration is a convex subset
is also satised. From Eq. (17), the sufcient condition for Eq. of the previous solution set i1 , and hence the solution i
(16) is represented as meets all the original constraints and achieves a smaller than
Z Z
+Z Z
Y Y . that obtained at the previous iteration. Given an appropriate
Z Z (18) initial solution 0 , the iterative update of the optimization

Equation (18) is equivalent to Eq. (16) in the case of Z = Z. problem using the previous solution i1 and its optimization
leads to a monotonically decreasing . Moreover, the stability
In the proposed design problem, the nonconvex constraints of the closed-loop system is achieved if the initial solution
(15) are converted into linear ones by introducing the following 0 stabilizes the closed-loop system because the sensitivity
431
constraint is always imposed and the distance between the
Nyquist plot and the critical point (1, j0) is always larger
1
than Smax at arbitrary frequency points.
Although this algorithm doe not guarantee the convergence
to the global optimal solution, it gives a unique solution for
a certain class of nonconvex optimization problems while
satisfying all constraints. Moreover, if multiple sets of fre-
quency response data at different conditions are obtained, we
can easily obtain more robust controller by solving the above
optimization problem simultaneously considering all frequency Fig. 2. Evaluation value for iteration of LMI optimization
response data sets.
IV. E XPERIMENTAL VERIFICATION

This section shows the effectiveness of the proposed
method by the experimental results. The proposed method
is compared with the controller design method proposed in
[3], we call this method as the conventional method hereafter.
The conventional method derives a controller using frequency
response data sets, but the diagonal dominance is not directly
considered. Fig. 3. Evaluation value
A. Controlled plant
The upper bound for S(s), T (s), and Q(s) are listed as
A tension-and-velocity control apparatus is adopted as a

controlled plant, which has two inputs (input torques 1 and

1.4(j + 0.001)
2 for two motors) and two outputs (the pulley velocity v and Smax () =
j + 2
the arm angle ). Two motors and a pulley are connected by a
Tmax = 1.4, and Qmax = 0.321.
exible belt. For this experiment, 2 is ltered by a low-pass
lter with 10 rad/s of cut-off frequency to increase interaction The terminate condition of the iteration of the proposed
between the pulley velocity and the arm angle. method is that a relative error of the objective function of the
optimization problem (31) falls within 0.01% for 3 successive
iterations.
Moreover, the robust controller is designed using multiple
frequency response data sets in the proposed method. In this
experiment, 4 frequency response data sets are dened by 4
experimental input/output data sets obtained for the different
environments that the different weights are put on the arm of
the controlled plant. Then, the only upper bound for S(s) is
modied as

1.4(j + 0.001)
Smax () =

.
j + 0.12
The frequency responses are computed at logarithmically

equally spaced 150 points between 103 and 103 rad/s. The
Fig. 1. Schematic of tension-and-velocity control apparatus designed controller structure is a PID controller as dened in
Eq. (32).
B. Experimental condition C. Results and discussions
The frequency response data set is estimated by the sine The LMI optimization (31) in the proposed method con-
sweep experiment by applying a sine wave of varying fre- verged at the 15th iteration. Figure 2 shows the prole of the
quency ranging from 103 to 103 rad/s with constant ampli- evaluation value for the iteration number. The evaluation
tude. The frequency points are given as logarithmically equally value decreases monotonically to 0.183 = 14.7 dB. Figure 3
spaced 300 points between 103 and 103 rad/s. The controller shows the evaluation value at the prespecied 300 frequency
linearly parameterized structure is given as a PID controller: points. As mentioned above, since is an upper bound for
, is conservative compared with (E T (j)), and hence
I2 does not coincide with the peak value of (E T (j)). However,
C(s, ) = [P I D ] 1
s I2
. (32) minimizing in the proposed method clearly leads to reduction
1+0.03s I 2
s
of the peak value of (E T (j)) as shown in Table I.
432
TABLE I. C OMPARISON BETWEEN THE PROPOSED AND THE
CONVENTIONAL METHOD
(E T (jk )) [dB]
Peak of [dB]
Proposed method 17.2 14.7
Conventional method 0.346
Fig. 5. Gain characteristics of the sensitivity function
Fig. 4. Eigenvalue loci
Eigenvalue loci of the open loop transfer function matrix

L(j) shown in Fig. 4 do not encircle the critical point
Fig. 6. Gain characteristics of the complementary sensitivity function
(1, j0), which means that the designed controller achieves
closed-loop stability. Figures 5 and 6 show the gain char-
acteristics of the sensitivity function and the complementary
sensitivity function, respectively. Compared with the conven-
tional method, the control bandwidth of the proposed method
is reduced but the peak gains of the non-diagonal elements
are much suppressed to about 20 dB. Moreover, S(s) and
S d (s), equivalently T (s) and T d (s), are almost coincide
with each other in the proposed method, which means that
= E T = E S is much suppressed.
From sine sweep experiments for different load conditions,
multiple frequency response data sets of the controlled plant
are obtained as Fig. 7. Figures 810 show the largest sin-
gular values of S(s), T (s) and Q(s) designed for multi-
ple frequency response data sets. For all perturbed models,
constraints (15) imposed for the largest singular value of Fig. 7. Multiple frequency response data sets of plant for 4 different load
S(s), T (s), and Q(s) are satised. Moreover, eigenvalue conditions
loci for each frequency response data set also satisfy the
encirclement condition as Fig. 11. The evaluation values erties, even when the controlled plant is perturbed, can be
for each frequency response data set are shown in Fig. 12. designed easily by the proposed method.
The upper bound for all perturbed models is 9.31 dB,
and the peak vale of (E T (jk )) is 1.54 dB. This for
multiple frequency response data sets is not small compared V. C ONCLUSION
with the previous result for one frequency response data set This paper proposed the multivariable controller design
of the proposed method. However, because in the case of method using frequency response data sets. The proposed
perturbed models there are some uncertainties in the controlled method introduced the index achieving diagonal dominance in
plant, the designed controller achieves robustness for the plant a closed-loop manner to suppress interaction between channels.
perturbation. The controller design problem achieving diagonal dominance
is described as a minimization problem of the largest singular
By minimizing , the proposed method evaluates interac-
value of E T (s), which is converted into iterative LMI con-
tion wholly in all frequency points in terms of closed-loop
straints. Finally, the effectiveness of the proposed method is
property. As a result, closed-loop performance S(s) and T (s)
veried by the experiments.
approach to S d (s) and T d (s), respectively. Moreover, the
proposed method is far superior to the conventional method As a future work, conservativeness caused by approxima-
in suppressing interaction between channels in a closed-loop tion of S(s) as shown in Eq. (14) should be reduced.
manner. In addition, the robust controller satisfying constraints
for the largest singular values of the some closed-loop prop-
433
Fig. 8. Largest singular values of S(j) for multiple frequency response Fig. 12. Evaluation value for multiple frequency response data sets
data sets
[3] S. Boyd, M. Hast, K. J. Astr om: MIMO PID Tuning via Iter-
ated LMI Restriction, https://web.stanford.edu/boyd/papers/pdf/mim
o pid tuning.pdf (2014)
[4] G. Galdos, A. Karimi, R. Longchamp: H Controller Design for
Spectral MIMO Models by Convex Optimization, Journal of Process
Control, Vol. 20, No. 10, pp. 11751182 (2010)
[5] S. Shinoda, K. Yubai, D. Yashiro, J. Hirai: Multivariable Controller
Design Evaluating Eigenvalue Loci Using Frequency Responses, Proc.
of 57th Japan Joint Automatic Control Conference, 1B08-6 (2014)
[6] J. Lee, T. F. Edgar: Dynamic interaction measures for decentralized
control of multivariable processes, Industrial & engineering chemistry
research, Vol. 43, No. 2, pp. 283287 (2004)
Fig. 9. Largest singular values of T (j) for multiple frequency response [7] A. G. MacFarlane, J. J. Belletrutti: The characteristic locus design
data sets method, Automatica, Vol. 9, No. 5, pp. 575588 (1973)
Fig. 10. Largest singular values of Q(j) for multiple frequency response
data sets
Fig. 11. Eigenvalue loci for multiple frequency response data sets
R EFERENCES
om, B. Bernhardsson, S. Boyd: PID Design by
[1] M. Hast, K. J. Astr
Convex-Concave Optimization, Proc. of 2013 European Control Con-
ference, pp. 44604465 (2013)
[2] A. Karimi, G. Galdos, R. Longchamp: Robust xed-order H Con-
troller Design for Spectral Models by Convex Optimization, Proc. of
47th IEEE Conference on Decision and Control (2008)
434
Flow Disturbance Suppression for a Pneumatic

Vibration Isolator Using a Central Pattern Generator
Yukinori Nakamura, Daishi Funaki, Mami Kimura , and Shinji Wakui

Institute
of Engineering, Tokyo University of Agriculture and Technology
2-24-16 Nakacho, Koganei, Tokyo, 184-8588 Japan
Email: {yukino-n, wakui}@cc.tuat.ac.jp
Faculty of Engineering, Tokyo University of Agriculture and Technology
2-24-16 Nakacho, Koganei, Tokyo, 184-8588 Japan
AbstractThis paper presents the suppression method of ow vibration caused by ow disturbance. Section III describes
disturbance, which is the variation of compressed air supplied to the characteristic of the CPG and presents our proposed dis-
a pneumatic vibration isolator. A central pattern generator (CPG) turbance suppression method. Section IV shows experimental
is utilized to compensate effect of ow disturbance. In order to results. Finally, conclusions are given in Section V.
implement a CPG-based controller, feedback type control scheme,
which does not require a pressure sensor, is adopted. Moreover,
CPG-based and displacement controllers are connected in parallel II. P NEUMATIC V IBRATION I SOLATOR
so as to avoid the vibration of isolation table during the start-up The pneumatic vibration isolator has an air spring as an
of isolator. The proposed approach is veried by simulation and
experiment.
actuator. By using this actuator, heavy apparatuses such as
semiconductor lithography equipment can be sustained. Fig.
1 shows the photograph and schematic diagram of pneumatic
I. I NTRODUCTION vibration isolator considered in this paper. To keep the position
of the isolation tale, the amount of the air supplied to the
Pneumatic vibration isolators are widely utilized so as to
air spring is adjusted. An air slider is used to avoid the
reduce the effect of ground vibration transmitted to semi-
horizontal motion of the isolation table. In order to measure
conductor lithography equipment, which prints a circuit pattern
the relative displacement between the isolation table and oor,
on a silicon wafer [1][3]. The isolators have air springs so
a displacement sensor is attached to the vibration isolator. The
as to support the semiconductor lithography equipment. By
block diagram of the vibration isolator is shown in Fig. 2, and
adjusting the inner pressure of the air springs, the position of
model parameters are summarized in Table I. The model shown
the isolation table can be kept constant. Due to this adjustment,
in this gure is linearized around an equilibrium position of the
the effect of the ground vibration can be reduced. Although
isolation table. For simplicity, we assume that the displacement
compressed air is supplied to the air springs, the air pressure
of oor is zero (i.e., x0 = 0). Then, the transfer function from
varies. This pressure variation is called ow disturbance [4].
It causes the vibration of the isolation table. Since the ow Air slider
Air slider
Air slider
disturbance varies periodically due to compression process of Table
Table
air, our previous work [5], [6] employed repetitive control, Table
Table
which is a compensation method of a periodic disturbance. Hung
Hung Servo
Hung
However, the actual period of compressed air pressure is frame
frame valve frame
time-varying. In [5], [6], the variation of the period was not Air
Air
sufciently discussed. spring
Air Position
Therefore, in this paper, we consider the suppression of spring sensor
Servo
Servo
the ow disturbance, whose period is time-varying. In order valve
valve
to compensate effect of the ow disturbance, a central pattern
generator (CPG) [7][11] is employed. This generator was Fig. 1. Photograph and schematic diagram of pneumatic vibration isolator.
proposed as the model which is present in the spinal cord. In Pneumatic system Mechanical system
[9], [10], the biped locomotion of human beings was analyzed
K
by using the CPG. Moreover, in [11], the CPG was applied to
the control of robot arm. On the other hand, we use the CPG in d
c D
order to suppress the ow disturbance. This paper focuses on
how the CPG should be implemented in the control system for u 1 p f 1 1 1 x
Gq A0
pneumatic vibration isolators. The objective of this study is to 0V0 s M s s
consider applicability of the CPG with control of the pneumatic 1 1
vibration isolator. The effectiveness of our approach is shown s s
by simulation and experiment. A0 0
The rest of the paper is organized as follows. Section II

explains the structure of pneumatic vibration isolator and the Fig. 2. Block diagram of pneumatic vibration isolator.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 435
TABLE I. PARAMETERS OF PNEUMATIC VIBRATION ISOLATOR . Vibration isolator
Symbol Description Nominal value Unit Air compressor
M Mass of isolation table 120.33 kg Isolation table
D Viscous damping coefcient 479 Ns/m Oilfree
Regulator Servo
K Spring constant 5120 N/m valve
Air Pipe
Gq Flow gain 1.6 105 m3 /s/V
0 Compressibility 2.74 106 1/Pa
c Flow conductance 4.6 1010 m3 /s/Pa Air spring
V0 Volume of pneumatic spring 1.5 103 m3
A0 Effective area 7.8 103 m2
Pressure
sensor
d Flow disturbance - m3 /s Valve driver
u Input voltage to servo valve - V A
INN
D
AD712-
f Driving force of air spring - N 01 ADC

A
OUT
N
Displacement signal
D
AD712-
02 DAC
A
N
AD712-
x Displacement of isolation table - m

D
03 DIO
AND ANDORO
AD-7905 MEDA
x0 Displacement of oor - m
p Inner pressure of air spring - Pa
DSP
Fig. 3. Experimental setup for pneumatic vibration isolator.

the input voltage to the displacement of isolation table is given
by
x(s) 1 A0 Gq
= . (1)
u(s) A20 s 0 V0 s + c
M s2 + Ds + K +
0 V0 s + c
2
The term M s + Ds + K in (1) corresponds to the mechanical
system, which is shown in Fig. 1. By contrast, the term
(A0 Gq )/(0 V0 s+c) corresponds to the pneumatic system. The
other term (i.e., (A20 s)/(0 V0 s + c)) can be expressed as air
spring stiffness. The reason is that since the ow conductance
c is sufciently small, the the transfer function (1) can be Fig. 4. Photograph of air compressor.
approximately expressed as follows:
Air Outlet valve
x(s) 1 A0 Gq Inlet valve Start of piston motion
, (2) Stop of piston motion
u(s) M s2 + Ds + K + Kair 0 V0 s + c Cylinder
Pressure [kPa]
where Piston
A20
Kair = ,
0 V0 Time [s]
Air tank
Kair [N/m] denotes the air spring stiffness.
Compressed air
Fig. 3 illustrates the experimental setup. The air supplied to
the pneumatic vibration isolator is generated by the compressor
whose photograph is shown in Fig. 4. The output signal of the
displacement sensor is fed back to a digital signal processor Fig. 5. Structure of air compressor.
(DSP), where control law is implemented. According to this
control law, the input voltage to the servo valve is decided and
the air ow into the pneumatic vibration isolator is adjusted.
Tpos s + 1
Fig. 5 shows the schematic diagram of the oilless recip- Cpos (s) = ks , (3)
Tpos s
rocating type compressor. The compression process of air
is follows: First, the piston moves up and down so as to where ks and Tpos denote gain [-] and time constant [s]. The
generate compressed air. During this process, the pressure of parameters of this compensator are chosen as ks = 0.05 and
compressed air increases. Then, when the inner pressure in air Tpos = 0.53 s. The position sensor sensitivity kpos is 6670
tank exceeds the upper limit, the piston stops moving. As a V/m. Fig. 7 shows the experimental result. Since the outputs
result, the pressure of compressed air decreases. Finally, the of pressure and displacement sensors are measured, the unit
piston restarts the movement, resulting in the increase of air of the vertical axis in Fig. 7 is voltage. From this gure, it
pressure. Since the above process is iterated, the pressure of can be seen that the pressure change of compressed air and
compressed air changes periodically. For this reason, the ow the vibration of isolation table are observed.
disturbance can be considered as a periodic one. In practice, the period of air pressure varies due to the
In order to explain the vibration caused by ow distur- specication of compressor, the gain of controller, the number
bance, we measure the displacement of isolation table and of pneumatic equipment connected to the compressor, etc. For
the pressure of compressed air. The control system used example, when the number of pneumatic equipment increases,
for this measurement is shown in Fig. 6. Cpos , kpos , and the air ow into the pneumatic equipment becomes large. It
e denote a displacement controller [-], displacement sensor results in the variation of the pressure period.
sensitivity [V/m], and error [V]. As a displacement controller,
the following PI compensator is used:
436
d
x1
e u x u f1 1 + 1
Cpos
Vibration
isolator 0

+ 1 0 2
x1
kpos Step signal

+y
0 0
u0
x2
Fig. 6. Displacement control system for pneumatic vibration isolator.

0 0
0.2 5.0 u f2 + 1 + 1

Displacement [V]
15 m 100 kPa 2

Pressure [V]
0
0.1 Displacement 4.5 1 0
x2 v2
0 4.0
-0.1 Pressure 3.5
Fig. 8. Block diagram of neural oscillator.
-0.2 3.0
0 50 100 150 200
Time [s] TABLE II. PARAMETERS OF NEURAL OSCILLATOR .
Symbol Description Value Unit
Fig. 7. Vibration caused by air pressure variation. 1 Time constant 15 s
2 Time constant 30 s
Adaptation constant 1.0 -
Strength of inhibitory connection 1.0 -
between neurons
III. C ENTRAL PATTERN G ENERATOR BASED F LOW ufi (i = 1, 2) Input of oscillator - -
D ISTURBANCE S UPPRESSION xi (i = 1, 2) Membrane potential - -
vi (i = 1, 2) Self-inhibitory input - -
A. Central Pattern Generator u0 Excitatory tonic input - -
y Output of oscillator - -
The CPG was presented as a model, which generates the
rhythmic motion [7][11]. This model consists of mutually
inhibited neurons, i.e., a neural oscillator. Fig. 8 shows the CPG-based controller is employed. By using this controller,
block diagram of the neural oscillator presented in [7]. The the feedforward input whose period is equal to the pressure
model parameters are summarized in Table II. The mathemat- period can be generated. However, there is a phase lag between
ical model of the neural oscillator is given by input and output of the CPG (i.e., the ow disturbance and the
feedforward input). Due to this phase lag, the ow disturbance
1 x 1 = x1 v1 f (x2 ) f (uf1 ) + u0 , (4) cannot be completely suppressed. Fig. 10 shows the block
2 v 1 = v1 + f (x1 ), (5) diagram of control system in the feedback case. In this case, the
1 x 2 = x2 v2 f (x1 ) f (uf2 ) + u0 , (6) error e is applied to the CPG-based controller, and the pressure
sensor is not required. In consideration of the pressure sensor
2 v 2 = v2 + f (x2 ), (7) cost, we use the CPG-based controller as the feedback one.
y = f (x1 ) f (x2 ), (8)
Pressure d
where sensor
f (x) := max(x, 0). CPG
As shown in Fig. 8, the excitatory tonic input is selected as a

unit step signal. The remarkable feature of this model is that e u Vibration x
Cpos isolator
the oscillator generates the output whose period is equal to
that of input. It is called entrainment. Our approach generates
the control input such that the effect of ow disturbance kpos
is compensated by entraining sensor output. The detail is
explained in the next subsection. Fig. 9. Block diagram of control system with central pattern generator
(feedforward case).
B. Implementation Method of CPG for Pneumatic Vibration
Isolator d
In this subsection, we consider how the CPG algorithm is e C pos u x
Vibration
implemented in the control system of the pneumatic vibration and isolator
isolator. To suppress the ow disturbance, the CPG can be CPG
used as feedforward or feedback controller. Hereinafter, we call
this controller a CPG-based controller. Fig. 9 shows the block kpos
diagram of the control system in the feedforward case. In this
method, the air pressure is measured by means of the pressure Fig. 10. Block diagram of control system with central pattern generator
sensor. Since the resolution of the pressure sensor is low, (feedback case).
there is a difculty in measuring the air pressure accurately.
In order to compensate the effect of sensor resolution, the
437
In the feedback case, the CPG-based controller can be C. Simulation Result
connected to the displacement controller by the following two
To evaluate the performance of our approach, we perform
methods: cascade connection and parallel connection (see Figs.
simulation. The values of parameters of CPG and pneumatic
11 and 12). In both cases, the input of oscillator is chosen as
vibration isolator used for this simulation are listed in Tables I
uf1 = uf2 = e. It is, however, difcult to implement the
and II. The period of ow disturbance is set to 70.0, 80.0, and
cascade connection. When the pneumatic vibration isolator
85.0 s. The tunable parameters of the CPG are chosen as k1 =
is started up, the isolation table has to be levitated to the
30 and k2 = 0.12. The other conditions of the simulation are
equilibrium position. During this levitation, only the displace-
the same as those of the experiment shown in Section II. Fig.
ment controller (i.e., PI compensator) has to be employed. The
15 shows the displacement of isolation table. In this gure, a
reason is that, if the CPG-based controller is also employed, the
dashed line denotes the case without the CPG-based controller.
isolation table is uctuated due to the periodic output signal
In this case, only displacement controller Cpos is used. A solid
generated by the CPG. Due to this, the cascade connection
line denotes the case with the CPG-based controller. From this
of the CPG-based controller and the displacement controller
gure, it can be seen that even if the period of ow disturbance
is not appropriate for the control of the pneumatic vibration
varies, the vibration of isolation table can be attenuated by
isolator. In the case with parallel connection, only displacement
using our approach. Therefore, the proposed control scheme
controller can be used at the start-up of the pneumatic vibration
with the CPG-based controller is effective for ow disturbance
isolator by switching off the CPG-based controller (see Fig.
suppression.
13(a)). After the isolation table reaches to the equilibrium
position, the CPG-based controller is switched on. Due to 0.2
Displacement [V]
the above procedure, parallel connection of the CPG-based 15 m W/O CPG
0.1
controller and the displacement controller can be implemented
(see Fig. 13). Fig. 14 shows the block diagram of the control 0
system with the CPG-based controller. k1 and k2 denote the -0.1 W/ CPG
tunable parameters. As shown in Table II, the time constants
1 and 2 are determined so that the ratio 1 /2 is 0.5 [11]. -0.2
0 50 100 150 200
The other parameters are tuned by trial and error method. Time [s]
(a) Pressure period: 70.0 s.
0.2
e u
Displacement [V]
CPG C pos 15 m W/O CPG

0.1
0
Fig. 11. Displacement controller and CPG-based controller (cascade connec-
tion). -0.1 W/ CPG
-0.2
0 50 100 150 200
C pos Time [s]
e u (b) Pressure period: 80.0 s.
CPG 0.2
Displacement [V]
15 m W/O CPG
0.1
Fig. 12. Displacement controller and CPG-based controller (parallel connec-
0
tion).
-0.1 W/ CPG
C pos C pos -0.2
0 50 100 150 200
e u e u Time [s]
CPG
(c) Pressure period: 85.0 s.
CPG
Fig. 15. Displacement of isolation table.
Switch off Switch on
(a) Before equilibrium state. (b) After equilibrium state.
IV. E XPERIMENT
Fig. 13. Start-up of CPG-based controller.
In this section, we conduct experiments on ow disturbance
suppression. The conditions of this experiment are the same as
d those of simulation shown in Subsection III-C. The procedure
C pos of the experiments is as follows:
e u Vibration x
isolator (1) Verifying the periodic output generated by the CPG-
k1 CPG k2 based controller without connection of the control
system.
kpos
(2) Determining the polarity of the servo valve.
Fig. 14. Block diagram of control system with CPG-based controller. (3) Evaluating the performance of the CPG-based distur-
bance suppression method.
438
A. Verication of Output C pos
To suppress the ow disturbance, it is necessary that the Sign at u
CPG generates the output signal on the basis of the error summing junction or
e. For this reason, we verify the output signal of the CPG- CPG k2
based controller without connection of the control system. In
other words, under the condition that the tunable parameter
Fig. 17. Change of sign at summing junction for determination of polarity.
of the CPG, k2 , is set to zero, the output signal is measured.
Experimental result is shown in Fig. 16. The upper side of this
gure denotes the output of the CPG-based controller, and the 0.2
Displacement [V]
lower side of this gure denotes the displacement of isolation 15 m
0.1
table. From this gure, it can be seen that the output of the
0
CPG is periodic. Thus, periodic signal can be generated by
using the CPG-based controller. -0.1
-0.2
0.2 0 50 100 150 200
Output of CPG [V]
Time [s]
0.1
(a) Positive case.
0
0.2
Displacement [V]
-0.1 15 m
0.1
-0.2
0 50 100 150 200 0
Time [s]
-0.1
(a) Output of CPG.
0.2 -0.2
0 50 100 150 200
Displacement [V]
15 m Time [s]
0.1
(b) Negative case.
0
-0.1 Fig. 18. Effect of polarity on time response of control system.
-0.2
0 50 100 150 200
Time [s]
20. By opening the needle in the throttle valve, the amount of
(b) Displacement of isolation table.
air owed through pipe can be adjusted. In this experiment,
Fig. 16. Output of CPG-based controller and displacement of isolation table the pipe connecting the regulator to the servo valve branches
(open path). into two. Since the amount of exhaust air is adjusted by using
the throttle valve, the experiment can be performed under
B. Determination of Polarity the condition that the period of compressed air pressure is
changed.
From the transfer function (1), when the sign of input
voltage u is positive, the displacement of isolation table, x, Experimental results are shown in Figs. 21 and 22. The
increases. However, in practice, there is a possibility that periods of the compressed air pressure are about 74.2 s and
the polarity of the servo valve used for the experiment is 67.2 s. Due to the results shown in Subsection IV-B, the sign at
different from that modeled as the transfer function (1). Before the summing junction is negative. From Figs. 7, 21, and 22, it
conducting the experiment on ow disturbance suppression, we can be seen that the vibration of isolation table is attenuated by
determine the polarity of servo valve by changing the sign at using the CPG-based controller. Moreover, it can be also seen
the summing junction (see Fig. 17). Fig. 18 shows the effect that the amplitude of the vibration is almost constant regardless
of the above sign on displacement of isolation table under the of the pressure period. Therefore, ow disturbance suppression
condition that the above sign is positive or negative. From this can be successfully achieved by means of our approach.
gure, it is found that, in the case where the sign is positive,
the control system is unstable. In contrast, in the case where
the sign is negative, the control system is stable. This result
indicates that the polarity of servo valve used for experiment
is negative. For this reason, in experiments shown in the next
subsection, we change the sign at the summing junction from
positive to negative.
C. Performance Evaluation of CPG-based Disturbance Sup-

pression Method
In the experiment on the CPG-based ow disturbance
suppression, we change the period of compressed air pressure
by means of a throttle valve. The photograph of this valve is Fig. 19. Photograph of throttle valve.
shown in Fig. 19, and experimental setup is illustrated in Fig.
439
Exhaust V. C ONCLUSION
air
Vibration isolator
Air compressor Throttle
In this paper, we considered the suppression of ow
Isolation table
valve disturbance, which affects the performance of pneumatic vi-
Oilfree
Air
bration isolator. The CPG-based controller was employed so
Pipe
as to compensate effect of time-varying period of the ow
Servo disturbance. As implementation methods of the CPG-based
valve controller, the feedforward type and feedback type control
Regulator
Valve driver schemes were presented. Since, in the feedforward type, the
A
INN
D
AD712-
01 ADC
A
pressure sensor is needed, the feedback type control scheme
is effective in terms of sensor cost. In the feedback type, the
OUT
N
D
AD712-
02 DAC
A
N
AD712-
D
03 DIO
AND ANDORO
AD-7905 MEDA
CPG-based controller is connected to the control system by

DSP means of cascade connection or parallel connection. However,
in the case of cascade connection, there is a possibility that
Fig. 20. Change of pressure period with throttle valve. the isolation table uctuates due to the periodic output of the
CPG-based controller during the start-up process of pneumatic
5.0 vibration isolator. For this reason, the parallel connection of the
100 kPa
74.2 s CPG-based and displacement controllers was adopted. From
Pressure [V]
4.5
simulation and experimental results, it was found that the ow
4.0
disturbance can be suppressed by using our approach under
3.5 the condition that the period of the ow disturbance varies.
3.0 It is important future work to show the conditions and targets
0 50 100 150 200 that can be applied to the disturbance suppression. In addition,
Time [s]
we will consider design method of the CPG-based controller
(a) Air pressure. as another future work.
0.2
Displacement [V]
15 m R EFERENCES
0.1
[1] H. Pu, X. Luo, and X. Chen, Modeling and analysis of dual-chamber
0 pneumatic spring with adjustable damping for precision vibration isola-
-0.1 tion, Journal of Sound and Vibration, vol. 330, no. 15, pp. 35783590,
2011.
-0.2 [2] Y. H. Shin and K. J. Kim, Performance enhancement of pneumatic
0 50 100 150 200
Time [s] vibration isolation tables in low frequency range by time delay control,
Journal of Sound and Vibration, vol. 321, no. 3-5, pp. 537553, 2009.
[3] E. I. Rivin, Vibration isolation of precision equipment, Precision
Engineering, vol. 17, no. 1, pp. 4156, 1995.
Fig. 21. Air pressure and displacement of isolation table (Pressure period:
74.2 s). [4] H. Shirani and S. Wakui, Control of an isolated tables uctuation
caused by supplied air pressure using a voice coil motor, Journal of
System Design and Dynamics, vol. 4, no. 3, pp. 406415, 2010.
5.0 [5] Y. Noguchi, Y. Nakamura, and S. Wakui, Repetitive control for pneu-
100 kPa
67.6 s matic anti-vibration apparatuses under a multi-loop control system, in
Pressure [V]
4.5
Proc. IEEE International Conference on Industrial Technology (ICIT),
4.0 Mar. 2015, pp.447-452.
3.5 [6] Y. Noguchi, Y. Nakamura, and S. Wakui, Flow disturbance suppression
and transmissibility reduction of pneumatic anti-vibration apparatuses
3.0 using repetitive control, in Proc. IEEE/ASME International Conference
0 50 100 150 200
on Advanced Intelligent Mechatronics (AIM), Jul. 2014, pp.131-136.
Time [s]
[7] K. Matsuoka, Sustained oscillations generated by mutually inhibiting
(a) Air pressure. neurons with adaptation, Biological Cybernetics, vol. 52, no. 6, pp.
367-376, 1985.
0.2
[8] K. Matsuoka, Mechanisms of frequency and pattern control in the
Displacement [V]
15 m
0.1 neural rhythm generators, Biological Cybernetics, vol. 56, no. 5-6, pp.
345-353, 1987.
0
[9] G. Taga, Y. Yamaguehi, and H. Shimizu, Self-organized control of
-0.1 bipedal locomotion by neural oscillators in unpredictable environment,
Biological Cybernetics, vol. 65, , no. 3, pp. 147-159, 1991.
-0.2
0 50 100 150 200 [10] G. Taga, A model of the neuro-musculo-skeletal system for human
Time [s] locomotion I. Emergence of basic gait, Biological Cybernetics, vol.
73, no. 2, pp. 97-111, 1995.
[11] M. M. Williamson, Neural control of rhythmic arm movements,
Fig. 22. Air pressure and displacement of isolation table (Pressure period: Neural Networks, vol. 11, no. 7-8, pp. 1379-1394, 1998.
67.6 s).
440
Design of a Fault Tolerant Control System using

Mahalanobis-Taguchi(MT) System
Shin Wakitani Mingcong Deng

Tokyo, Japan 184-8588 Tokyo, Japan 184-8588
Email: wakitani@cc.tuat.ac.jp Email: deng@cc.tuat.ac.jp
AbstractIn this research, a failure tolerance control system

design scheme using Mahalanobis-Taguchi (MT) system is pro-
posed. In this method, we consider a situation that an actuator
such as a heater gradually deteriorates and eventually breaks
down. The failure detection component in a control system detects
whether the system is broken, and switches to a backup actuator
if a fault is detected in the actuator. In the proposed algorithm,
an augmented system including an actuator is described as a
rst-order plus time-delay system, and their system parameters
are estimated by the recursive least squares method. Unit space
is designed using the estimated system parameters that are Fig. 1. Fault tolerant control system.
obtained during normal operation; based on the Mahalanobis
distance, the failure detection component determines whether a
newly obtained system parameter in operation belongs to the
unit space. The control system switches to a backup actuator damaged and sustain normal operation of the system by
if the newly estimated parameters do not belong to the unit switching to the backup actuator.
space. The effectiveness of this method is evaluated by simulation
experiments. The remainder of this paper is organized as follows. Section
II presents a brief overview of the fault tolerant control system.
I. I NTRODUCTION Section III presents the details of fault detection method, and
explains the fault detection method that uses the MT system.
In process systems like heat process systems which have a Section IV presents the simulation results. Finally, Section V
long time constant, a long recovery time is necessary if systems summarizes the research ndings and identies outstanding
stop their operation because of damaged or malfunctioning concerns.
actuators such as heaters. A fault tolerance system [1][4],
which can detect or predict quickly if a system is faulty and
can switch to the backup system, is effective for systems
in which the cessation of operation will affect productivity. II. D ESIGN OF A FAULT TOLERANT CONTROL SYSTEM
Many studies related to fault prediction and fault detection [5],
which are important components of fault tolerance systems, The proposed control system is composed by the controller,
have conducted. In these studies, the Mahalanobis-Taguchi actuator1 which is mainly used, actuator2 which is used when
system (MT system) [6][9], which has been applied to many the actuator1 is broken, the recursive estimation component
industrial systems as an effective system for fault prediction that is estimating the augmented system parameters P by the
and detection because of its simple algorithms. In case of the RLSM and the fault detection component. In this paper the
MT system, a unit space is designed prior to operation by a following velocity-type proportional-integral-derivative (PID)
homogeneous cohort, which is composed of a number of items controller [10] is applied as a controller:
during normal operation of the system. This proposed system
determines whether the newly obtained data belongs to the unit u(t) = KI e(t) KP y(t) KD 2 y(t), (1)
space by calculating the Mahalanobis distance. e(t) := r(t) y(t). (2)
This paper proposes the design method of the fault tolerant
system based on the MT system. According to the method, an Where, u(t), y(t) are the control output and the system output,
augmented system including an actuator is described as a rst- respectively. e(t) is the control error that is dened by (2)
order plus time-delay system, and their system parameters are and r(t) is the reference value. KP , KI and KD express the
estimated by the recursive least squares method (RLSM). A proportional gain, the integral gain and the derivative gain,
unit space is designed prior to operation using the estimated respectively. This fault tolerant control system can maintain
system parameters that are obtained during normal operation. its operation if the main actuator1 is broken by any reasons
because the fault detection component detects trouble of ac-
We conrmed the effectiveness of the system by simulation tuator1 and switches to the backup actuator2. Next section
study and the method could successfully if an actuator was explains about the fault detection in detail.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 441
TABLE I. DATA BEFORE NORMALIZATION
III. FAULT DETECTION
A. Recursive estimation component S.D. 1 2 j k
mean m1 m2 mj mk
It is assumed that the augmented system P (s) including the item 1 item 2 item j item k
Sample No.1
actuator1 is described as the following rst-order plus time- Sample No.2
x11
x21
x12
x22
x1j
x2j
x1k
x2k
delay system: . . . . . . .
. . . . . . .
. . . . . . .

K Sample No.i xi1 xi2 xij xik
P (s) = eLs . (3)
1+T .
.
.
.
.
.
.
.
.
.
.
.
.
.
. . . . . . .
Sample No.n xn1 xn2 xnj xnk
The discrete time model that is obtained from the system P (s)
by discretizing the sampling interval Ts [s] and is added to a
modeling error is given as follows: TABLE II. DATA AFTER NORMALIZATION

1 )y(t) = z (d+1)
A(z 1 )u(t) + (t) ,
B(z (4)
S.D. 1 1 1 1 1
mean 0 0 0 0 0

1 ) = 1 + a item 1 item 2 item j item k
A(z 1 z 1 Sample No.1
1 ) = b0 + b1 z 1 . (5) Sample No.2
u11 u12

u1j

u1k
B(z u21 u22 u2j u2k
. . . . . . .
. . . . . . .
Actually, these system parameters A(z 1 ) and B(z 1 ) are .
Sample No.i
.
ui1
.
ui2
.

.
uij
.

.
uik
unknown, thus these parameters are estimated by the following . . . . . . .
. . . . . . .
RLSM: . . . . . . .
Sample No.n un1 un2 unj unk
= (t
(t) 1) + (t1)(t1)
(t), (6)
+ T (t1) (t1)(t1)
where,
which is composed by a number of items in normal status
1 (t1)(t1) T (t1) (t1)
(t) = (t 1) + T (t1) (t1)(t1)
. (7) of systems. And this system discriminates either the newly
obtained data is belong to the unit space or not by calculating
(t) is a predictive error and is given as follows: Mahalanobis distance.
(t) = y(t) T (t 1)(t 1), (8) It is assumed that the homogeneous cohort is given like
Table I by normal state operation data. The mean mj and
where, standard deviation (SD) j is calculated for the data in Table
:= [
(t) a1 (t), b0 (t), b1 (t)]T , (9) I, and these data xn are normalized by the following equation
to become mean 0 and SD equals to 1:
(t) := [y(t), u(t d), u(t d 1)]T . (10)
xij mj
uij = , (14)
indicates the forgetting factor and is generally set as between j
0.95 and 1.0. d is expresses the number of the estimated n
step size of the discrete time model. If upper and lower limit mj = xij /n, (15)
values of d is known in advance, d is set as the minimum i=1

value of estimated values. d is set as 0 if the limit values are
n 2

n
unknown. The estimate values of system parameters in P (s)
1 1
are calculated by following equations: j = Vj = x2ij xij . (16)
n i=1 n i=1
Ts
T(t) = , (11) The normalized cohort is shown in Table II. After this prepa-
log( a1 (t))
b0 (t) + b1 (t) ration, the following correlation matrix R is designed:

K(t) = , (12)
1+a 1 (t) 1 r12 r1j r1k
r21 1 r2j r2k
b1 (t) . .. .. .. .. ..
=
L(t) + d Ts . (13) .
b0 (t) + b1 (t) . . . . . .
R=
rjk
(17)
rj1 rj2 1
. .. .. .. .. ..
B. Mahalanobis-Taguchi (MT) system .. . . . . .
rk1 rk2 rkj 1
Values of estimated system parameters which are obtained
by closed-loop data do not always converge to their true values Where, the correlation coefcients rpj are described as fol-
from the viewpoint of the identiability [11]. Thus, when lows:
closed-loop data is utilized to the fault detection, it is expected n
uip uij
that the accuracy of the fault detection goes up by using the
i=1
statistical nature of estimated parameters than using values of rpj = rjp = . (18)
estimated parameters. This section explains the fault detection n
method based on MT system. MT system is the system that In this paper, the estimate parameters T(t), K(t),

L(t) in a
a unit space is designed in advance by homogeneous cohort steady state are used as items which compose a unit space.
442
102
C. Fault detection by using MT system
100
y
This paper thinks a situation that the actuator1 breaks while 98
1 1.5 2 2.5 3 3.5 4 4.5 5
operation. It is assumed that a result of system identication 104
at t[step] is given like the following v(t): 8
7
v(t) = [T(t) K(t)

u
T
L(t)] . (19) 6
5
1 1.5 2 2.5 3 3.5 4 4.5 5
The square value of Mahalanobis distance according to the t[s] 10
4
designed unit space is given as follows:

1 Fig. 2. Control result during normal operation.
M D(t) = (t)T R1 (t). (20)
k
Note that the (t) is a normalized vector of v(t) which is 100
given by the following equation: 80
T
vj (t) mj
(t) = . (21) 60
j 1 1.5 2 2.5 3 3.5 4 4.5 5
104
It is known that the square values of Mahalanobis distance 15.5
which compose a unit space follows the 2 distribution with
the k degrees of freedom. In this case, the data distribution in
K
15
normal operation follows the 2 distribution with the 3 degrees
of freedom. Therefore, the threshold value T hM D for fault 14.5
1 1.5 2 2.5 3 3.5 4 4.5 5
detection becomes T hM D = 11.34 when the signicance level 10
4
is set as 1.
20
As mentioned above, the fault of the actuator1 can be
L
detected by monitoring the value of M D(t). In addition, the 10
fault tolerant control system can be designed by switching the 0

1 1.5 2 2.5 3 3.5 4 4.5 5
actuator1 to the backup actuator2 when the system detects that
the actuator1 fails. t[s] 104
Fig. 3. Trajectories of estimated system parameters corresponding to Fig.2.

IV. S IMULATION
The effectiveness of the proposed method is evaluated by a
simulation. The controlled object is described as the following this simulation, the system gain Kact1 of the actuator1 changes
rst-order plus time delay. based on the following equations:
3.0
G(s) = e5s (22)
5.0 (t < 30000s)
1 + 50s
1

Transfer functions of actuator1 Gact1 (s) and actuator2 5.0 (t 30000)
Kact1 (t) = 5000 (25)
Gact2 (s) are given as follows:
(30000s t 35000s)

0 (t > 35000s)
5
Gact1 (s) = Gact2 (s) = (23)
1 + 10s Moreover, the system parameters are identied by the RLSM
In the simulation, these systems are discretized by the sampling and M D(t) at each step is calculated. The actuator1 is
interval Ts = 10[s] and add the white Gaussian noise with switched to the actuator2 when the M D(t) is satised
mean 0 and variance 0.1 as modeling error. M D(t) > T hM D . The control result, the trajectory of M D(t)
and the state of used controller number is shown in Fig.4. The
First, I-PD controller is applied to the system model in or- trajectories of estimate parameters are shown in Fig.4, and
der to make a unit space. System parameters, T(t), K(t),

L(t), the trajectories of the system gain Kact1 of the actuator1 is
in normal operation at each step are obtained by the RLSM. shown in Fig. 6. Fig.4 shows that the actuator1 is switched to
PID parameters are determined by the CHR method [12] con- actuator2 100step later when the system gain Kact1 varies.
sidering the characteristics of the actuator1. These parameters From Fig.4, the value of M D(t) is bigger than the value
are calculated as follows: which is calculated when the the system gain Kact1 does
KP = 0.48, KI = 0.080, KD = 0.120 (24) not change. These results show that the proposed method
is performed appropriately and show the effectiveness of the
The reference value are set as r(t) = 100. proposed method.
The control result in steady state is shown in Fig.2.
Trajectories of system identication corresponding to Fig.2 are V. C ONCLUSIONS
shown in Fig.3.
This paper proposes a design method for a fault tolerant
Next, a unit space is designed by the estimation result in control system using the MT system. In the proposed system,
Fig.3, and the same PID controller is applied to the system. In the augmented system parameters under normal operation
443
102
that the proposed method can detect the failure of an actuator
100
in a short time. In the future work, the effectiveness of the
y
98
1 1.5 2 2.5 3 3.5 4 4.5 5 proposed method will be evaluated by real equipments. The
10
4
deterioration diagnosis method using the Mahalanobis distance
8 will also be considered.
7
u
6
5
1 1.5 2 2.5 3 3.5 4 4.5 5
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104 [1] M. S. Shaker and R. J. Patton, Active sensor fault tolerant output
15 feedback tracking control for wind turbine systems via t-s model,
MD
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Engineering Applications of Artificial Intelligence, vol. 34, pp. 112,
0 2014.
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4
[2] Y. Guo, H. Su, D. Zhu, and H. Aydin, Preference-oriented real-time
10 scheduling and its application in fault-tolerant systems, Journal of
Actuator
3
Systems Architecture, vol. 61, no. 2, pp. 127139, 2015.
2
1 [3] L. Liu, Z. Wang, and H. Zhang, Adaptive nn fault-tolerant control
0 for discrete-time systems in triangular forms with actuator fault,
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Neurocomputing, vol. 152, pp. 209221, 2015.
t[s] 10
4
[4] Z.Wei, L.Wentao, and T.Shaocheng, Fault-tolerant control against
actuator faults for a class of t-s fuzzy discrete-time interconnected
Fig. 4. Control result in case of going wrong with the actuator1. systems, ICIC express letters. Part B, Applications : an international
journal of research and surveys, vol. 6, no. 3, pp. 717722, 2015.
[5] F. Kiasi, J. Prakash, S. Patwardhan, and S. Shah, A unied framework
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invariant systems using marginalized likelihood ratio test with uniform
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priors, Journal of Process Control, vol. 23, no. 9, pp. 13501361, 2013.
[6] G. Taguchi and R.Jugulum, The Mahalanobis-Taguchi Strategy: A
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10
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[7] C.A.Elizabeth, H.Jungeui, J.Rajesh, P.Kioumars, R.M.Kenneth, and
15.5 T.Taguchi, An evaluation of mahalanobis-taguchi system and neural
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K
15
[8] C.Hung, T.Hsu, and C.Liu, Expert systems with applications, The
14.5 Mahalanobis-Taguchi system Neural network algorithm for data-
1 1.5 2 2.5 3 3.5 4 4.5 5 mining in dynamic environments, vol. 36, no. 3, pp. 54755480, 2009.
4
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[9] A. Pal and J.Maiti, Development of a hybrid methodology for dimen-
sionality reduction in mahalanobis-taguchi system using mahalanobis
20
distance and binary particle swarm optimization, Expert Systems with
Applications, vol. 37, no. 2, pp. 12861293, 2010.
L
10
[10] T.Kitamori, N.Takeuchi, and A.Nishizaki, Design of pid and i-pd con-
0 trol removing the deadtime out of the loop with no extra compensator
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(in japanese), Proc. SICE, pp. 107108, 1996.
t[s] 104
[11] L.Ljung, System Identification: Theory for the user. Prentice-Hall,
1999.
Fig. 5. Trajectories of estimated system parameters corresponding to Fig.4.
[12] K.L.Chien, J.A.Hrones, and J.B.Reswick, On the automatic control of
generalized passice systems, Trans. ASME, vol. 74, pp. 175185, 1952.
5
3
Kact1
0
1 1.5 2 2.5 3 3.5 4 4.5 5
t[s] 10
4
Fig. 6. Trajectory of the system gain of actuator1.
are estimated in advance by using the RLSM, and a unit

space is designed based on these estimated parameters. The
Mahalanobis distance between newly obtained data in the
control system and the unit space is calculated, and the system
switches to a backup actuator if the failure of an actuator is
detected when the value of a value of the Mahalanobis distance
is beyond the threshold value. Simulation experiments conrm
444
Data-driven PID Gain Tuning for Unknown Impulse

Disturbance Attenuation
Shiro Masuda
Department of System Design
Tokyo Metropolitan University
Hino, Tokyo, Japan 191-0065
Email: smasuda@tmu.ac.jp
AbstractData-driven design approaches based on input- the reference signal keeps constantly a certain value. It has the
output measurements with no need for help from a plant model advantage that it more directly tunes the control parameters for
have attracted attention from several researchers. We have the designing regulator problems than the conventional ones.
proposed such a disturbance attenuation Fictitious Reference
Iterative Tuning (FRIT) using input-output data generated by This paper proposes a data-driven PID gain tuning method
a step or impulse disturbance, and showed the effectiveness based on the FRIT in the regulator problem. The proposed
of the approach through experiments of DC motor control PID gain tuning method is based on the FRIT approach in
and helicopter attitude control. The present work applies the the regulator problem proposed by [16]. The proposed method
approach to the experimental data for temperature control. The calculates PID gains in an off-line manner from one-shot
PID gains are tuned so that temperature of a piece of metal experimental input-output data, which is collected by feeding
would follow a disturbance reference model output signal. From
unknown impulse-type signal to the input signal of the closed-
the experimental result, the disturbance attenuation FRIT is
effective for PID gain tuning from closed-loop input and output loop system. The obtained PID gains achieves a closed-loop
experimental data generated by a impulse disturbance with system so that the plant output follows the reference model
unknown magnitude. output. The paper also gives a method for estimating the
magnitude of impulse-type signal, which facilitate to collect
KeywordsPID control; data-driven control parameter tuning; one-shot experimental input-output data. The present work
FRIT;
applies the approach to the experimental data for temperature
control of a piece of metal. The PID gains are tuned so that
I. I NTRODUCTION temperature of the piece of metal would follow the disturbance
reference model output signal. The experimental result shows
The PID control has been widely employed in the practical
that the disturbance attenuation FRIT is effective for PID gain
control systems because it can implement feedback control
tuning from closed-loop input and output experimental data
systems by a simple control structure consisting of propor-
generated by impulse disturbance.
tional, integral, and differential controllers. The performance
of PID control systems heavily depends on the PID gains,
which are proportional, integral, and differential gains, so it II. P ROBLEM S TATEMENTS
has been an important issue to tune PID gains properly. Several
tuning methods from simple experimental measurements with
no need for help from plant models, such as the Ziegler-
Nichols method, the Chien, Hrones, and Reswick method have
been proposed[1]. However, these methods require a plant
test by the change of the reference signal, so they are not
adequate for regulator problems where the reference signal
keeps constantly a certain value. Furthermore, conventional
model-free PID gain tuning methods cannot make the plant
response follow the prescribed output.
On the other hand, Fictitious Reference Iterative Tuning
(FRIT) approach, which has been originated by [13], [12], Fig. 1. Closed loop system in the regulator problem
[7], is one of the direct controller design methods from ex-
perimental input-output data, such as iterative feedback tuning
Consider a single-input, single-output, continuous-time,
(IFT) [5], virtual reference feedback tuning (VRFT) [3]. Such
time-invariant, one-degree-of freedom closed-loop system with
direct design approaches based on input-output measurements
disturbance signal at the input signal. shown in Fig. 1. Let the
with no need for help from a plant model have attracted
plant model be denoted by P (s) in the form of the transfer
attention from several researchers [10], [4], [9], [2], [8], [11],
function. The argument s stands for differential operator, and
[6], [14], [15], [16]. Recently, [16] has proposed a controller
initial values of transfer functions are assumed to be zero.
parameters tuning method for a regulator problem using the
FRIT approach. The method tunes the control parameters so Attention is restricted to the feedback controller C(, s)
that the plant output follows the reference model output while linearly parametrized in terms of control parameters. That is,
978-1-4673-7995-3/15/$31.00 2015
c IEEE 445
Disturbance Reference
d Model
signals are measured from the closed-loop system with the
ydr controller C(, s) shown in Fig. 1 when the impulse-type
Pdr (s) signal d0 , the magnitude of which is unknown, is fed into
the input signal of the closed-loop system. The present work
considers an impulse-type disturbance with unknown magni-
r =0 u
e yd tude. The disturbance is expressed as , where denotes the
C ( , s ) P(s ) magnitude of the disturbance, and denotes the Diracs delta
function which stands for unit impulse signal.
Regarding the control input u0 is generated from the c-
titious reference signal r (), we can introduce the following
Fig. 2. The control problem for tuning PID gains equation.
u0 = C(, s) (r () y0 ) (6)
the controller C(, s) can be described as Using the control input (6), the measured output signal y0
can be represented as
C(, s) = T (s) (1)
y0 = P (s)(u0 + )
where is an n-dimensional control parameter vector, and
= P (s) {C(, s) (r () y0 ) + }
(s) is also an n-dimensional vector whose elements are
rational functions of s representing a transfer function. Using = P (s)C(, s)r () P (s)C(, s)y0 + P (s)
the description in (1), a PID controller can be represented as Hence, the output signal y0 becomes
T = [ kP , kI , kD ] (2) P (s)C(, s) P (s)
y0 = r () + (7)
T
(s) = 1, 1s , s+1
s
, >0 (3) 1 + P (s)C(, s) 1 + P (s)C(, s)
where kP , kI , and kD denote proportional, integral, and On the other hand, from (6), the ctitious reference signal
differential gain, respectively. is a small positive real number, r () can be described as
which stands for a time constant of the approximate differen-
1
tiation. r () = C(, s) u 0 + y0 (8)
0 denotes an initial control parameter vector, and it is Using (7) and (8), we can get
assumed that the controller C(0 , s) stabilizes the closed-loop
system, but 0 is not a sufciently tuned control parameter P (s) P (s)C(, s)
y0 = u0 + y0
vector. Now, let u0 and y0 be the measured one-shot closed- 1 + P (s)C(, s) 1 + P (s)C(, s)
loop experimental input and output signal, respectively when P (s)
an impulse-type signal d0 , the magnitude of which is unknown, + (9)
1 + P (s)C(, s)
is fed into the input signal of the closed-loop system for a
certain period (from time 0 to time T ). The control objective Now, assuming that there exists the ideal control parameter
is to derive the control parameter vector realizing an ideal d which leads to perfect matching of the transfer fucntion
response by using one-shot closed-loop experimental input from disturbances d to outputs y with the prescribed ideal
and output signal u0 and y0 instead of a plant model. The reference transfer function.
paper denes the ideal response as outputs of reference model
transfer function Pdr (s), which is shown as ydr = Pdr (s)d. Under the assumption, the following equation is satised.
Hence, the control problem, which is illustrated by Fig. 2, P (s)
Pdr (s) = (10)
can be reduced into the optimization problem which minimizes 1 + P (s)C(d , s)
the following cost function consisting of the one-shot closed-
loop experimental input and output signal u0 and y0 . Hence, substituting = d into (9), it follows from (10) that
T y0 = Pdr (s)u0 + C(d , s)Pdr (s)y0 + Pdr (s) (11)
Jd () = (yd () ydr )2 dt (4)
0 It should be noted that (11) is an idetication model in
where yd ( is the closed-loop response for the disturbance terms of the ideal control parameter d and the magnitude
signal d when the controller C(, s) is employed for the of the impulse-type disturbance . The proposed FRIT in the
feedback controller. regulator problems is a method for deriving control parameters
and the magnitude of the impulse signal simultaneously
P (s) based on the identication model. Now, we dene a parameter
yd () = d (5)
1 + C(, s)P (s) and its estimated parameter vector
vector as
= [T , ]T ,
T ,
= [ ]T (12)
III. FRIT IN THE REGULATOR PROBLEM
where is an estimated control parameter vector and
is the
FRIT introduces a ctitious reference signal r () that estimated magnitude of the impulse-type signal.
generates closed-loop input and output signals corresponding
to the rst experimental input-output data u0 and y0 . These The tuning method for the proposed FRIT is as follows.
446
) as
Step 1: Dine the estimated output signal y( the reference transfer function for the reference signal. These
researches utilize the following identication model for the

) = Pdr (s)u0 + C(
y( )Pdr (s)y0 + Pdr (s) ideal control parameter vector
(13)
using u0 , y0 and , which stands for Diracs delta y0 = Pr (s)C(d , s)1 u0 + Pr (s)y0 (21)
function representing an unit impulse signal.
Step 2: Set the performance index evaluating the inte- where d makes the closed-loop transfer function from dis-
grated square error between y( ) and y0 . turbances to the output correspond to the reference transfer
T function Pr (s). Namely, the following equation is satised.
) =
JF d ( ) y0 )2 dt
y (
( (14) P (s)C(d , s)
0 Pr (s) = (22)
1 + P (s)C(d , s)
Step 3: Derive the control parameters by solving the opti-
mal value which minimizes the cost function(14). It should be noted that (21) is not linearly parameterized in
terms of the controller transfer function. Hence, the FRIT
in the earlier researches has to employ nonlinear optimizing
)
= arg min JF d ( (15) methods such as Gauss-Newton method, PSO (Particle Swarm

Optimization). On the other hand, the identication model for
The following theorem gives the calculation method for solv- the proposed approach employs the linear parameterized iden-
ing optimal value of the evaluation function. tication model (11). Hence, the proposed approach can derive
the explicit formulation for the optimal parameter vector.
Theorem 3.1: It is assumed that there exist an ideal
control parameters d which satises (10), and the signal Remark 3.1: The assumption that the matrix A de-
d0 which has generated the input-output data u0 and y0 is ned in (16) is nonsingular implies that (s)Pdr (s)y0 is per-
assumed to be an impulse-type signal the magnitude of which sistently exciting (PE) on the interval [0, T ]. The assumption
is unknown. In addition, the matrix A Rnn dened as is satised when the disturbance d0 includes sufciently rich
T frequency components.
A= T dt (16)
0 IV. A NUMERICAL EXAMPLE
is assumed to be a nonsingular matrix. where is dened as Consider the closed-loop system in the regulator problems,
= [T Pdr (s)y0 , Pdr (s)]T (17) where an unknown impulse-type signal is fed into the input
signal. shown in Fig. 1.
Then, the optimal control parameter vector and the esti- Consider the following three order plant model.
mated magnitude of the impulse-type disturbance which
1
minimizes the performance index (14) can be solved as is P (s) = (23)
shown in the following way. (s + 1)3
= A1 b
(18) The plant model is assumed to be unknown, but the plant is
stabilized by PID controller, with the proportional gain kP =
Here, b Rn is dened as 0.5, the integral gain kI = 0.5, and the differential gain kD =
T 0.0.
b = dt (19) u0 and y0 are the one-shot experimental input-output data
0
= Pdr (s)u0 y0 (20) generated by an impulse-type disturbance signal, the magni-
tude of which is = 10, but it is unknown. Fig. 3 shows the
one-shot experimental input-output data. The below gure in
Proof: From (1), (13), (14) and (20) becomes Fig. 3 also shows the reference model output in the thin line.
T 2 The following reference model transfer function was used.
)
JF d ( = T + dt
s( s + 1)
0 Pdr (s) =
T T T (0.5s + 1)3 (s + 1)2
= T T
dt + 2 T
dt + 2 dt The control objective is to tune control parameters so that the
0 0 0
plant output follows the reference model output using the the
Furthermore, using (16) and (19), we can get one-shot experimental input-output data u0 and y0 shown in
T Fig. 3 instead of the plant model.
T A
) =
JF d ( 2bT
+ 2 dt
0 Fig. 4 shows the simulation result when the input-output
data are assumed to be generated by a unit impulse signal,
From the assumption of the theorem, A is a positive denite
) which implies that the magnitude of the impulse-type signal for
matrix. Hence, the optimal solution which minimizes JF d (
is unique, and is given by (18). the calculation of the PID gains is different from the magnitude
of the impulse signal generating input-output data u0 and y0 .
The earlier researches on the FRIT[13], [12], [6], [7], The obtained PID gains are kP = 2.5436, kI = 1.2628 and
[15], [14] derives the control parameter vector so that the kD = 3.1890. Fig. 4 shows the simulation result for the closed-
output signal of the closed-loop system follows the output of loop systems with the PID gains obtained from the FRIT
447
method without estimating the magnitude of the impulse-type 0.35
signal. Fig. 4 also shows the reference model output in the thin
line. From Fig. 4, we can see that there remains the difference 0.3
between the reference model output (thin line) and the plant
output (thick line). 0.25
On the other hand, Fig. 5 shows that simulation result 0.2
when the unit impulse signal is fed into the input signal of 0.15
the closed-loop system with the tuned PID gains obtained

by the FRIT simultaneously estimating the magnitude of the 0.1
impulse-type signal. From Fig. 5, the reference disturbance

output (thin line) almost corresponds to the plant output (thick 0.05
line). The tuned PID gains are kP = 2.4892, kI = 1.0871, 0
and kD = 1.9494. In addition, the estimated value of the

magnitude of the disturbance is = 7.9924. From these -0.05
0 5 10 15 20
simulation results, we can see that the proposed method is

effective in the presence of unknown impulse disturbances.
Fig. 5. The plant output and the reference model output with estimating the
magnitude of the impulse-type disturbance
1
-1
V. A N EXPERIMENTAL RESULT FOR TEMPERATURE
CONTROL
-2
-3
This section shows the experimental result for the temper-
ature control model. In the experiment, the control objective is
-4
0 5 10 15 20 to keep the temperature of a certain metal ingot at 80 degree
by the the PID control. The initial PID gains are set to be
kP = 1.67, kI = 0.033, kD = 0.0. Then, the cold metal
3
was attached to the hot metal for one second, and how the
2 temperature returns the set value from the deviation due to the
1
disturbance is measured. The observed data shows the control
action due to unknown impulse-type signal. The control result
0
is shown in Fig. 6.
-1
-2
0 5 10 15 20
25
20
Fig. 3. The rst experimental data u0 (above) and y0 (below) 15
10
0.35
5
0 50 100 150 200 250 300
0.3
84
0.25
82
0.2
80
0.15
78
0.1
76
0.05
74
0 50 100 150 200 250 300
-0.05
0 5 10 15 20
Fig. 6. The rst experimental data u0 (above) and y0 (below) in the

temperature control
Fig. 4. The plant output and the reference model output without estimating
the magnitude of the impulse-type disturbance
Using the one-shot input-output data, the proposed method
was applied, where the reference model was selected in the
448
following way. from closed-loop input and output experimental data generated
20s(s + 1) by impulse-type disturbances with unknown magnitude.
Pdr (s) = . (24)
(20s + 1)3 As a future work, the stability analysis is a signicant topic
for the subject of the paper.
The obtained PID gains are kP = 3.24, kI = 0.05,
kD = 36.6. In addition, the magnitude of unknown impulse-
ACKNOWLEDGMENT
type signal generating the one-shot input-output signal is
= 208.7. This work was partially supported byJSPS KAKENHI
Grant Number 25420446.
Fig. 7 shows the experimental result when the obtain PID
gains were employed
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ative tuning-, Proceedings of 2nd IFAC Workshop on Adaptation and
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regulator problems using the FRIT method. The FRIT method [14] K. Tasaka, M. Kano, M. Ogawa, S. Masuda, and T. Yamamoto, Direct
for regulator problems tunes the PID gains so that the plant PID tuning from closed-loop data and its application to unstable
response follows the reference model output. The paper tries to processes(in Japanese), Trans. of Institute of Systems, Control, and
Information Engineering, 22, pp.137144, 2009.
give a method for estimating unknown impulse signals for the
[15] S. Masuda, M. Kano, Y. Yasuda, and G. D. Li, A ctitious reference
FRIT method using input-output data generated by unknown iterative tuning method with simultaneous delay parameter tuning of
impulse signal. The proposed method assumes that the dis- the reference model, International Journal of Innovative Computing,
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by only using one-shot input-output data for unknown impulse-
type disturbances. The experimental result shows that the
disturbance attenuation FRIT is effective for PID gain tuning
449
Size and Weight Reduction of Semicircular Duplex

Manipulator for Rescue Operation
Soichiro Kimura Kazuyuki Ito
Graduate School of Engineering Department of Electrical and Electronics Engineering
Hosei University Hosei University
Koganei, Tokyo, 184-8584, Japan Koganei, Tokyo, 184-8584, Japan
souichiro.kimura.b7@stu.hosei.ac.jp ito@hosei.ac.jp
AbstractApplications of robots for rescue operations have duplex mechanism. However, the cross-sectional diameter of
attracted considerable attention. However, at real disaster sites, the developed manipulator was about 6 cm, which is not
some of the spaces in the rubble are so narrow that small enough to operate in a collapsed wooden house [10].
conventional rescue mobile robots cannot pass through them. In this study, with the goal of operating the robotized
Hence, the development of a robotized endoscope is expected. In
endoscope in collapsed wooden houses, we redesigned our
this study, we redesigned our previous rescue manipulator to
downsize its body without losing robustness. We developed a previous semicircular duplex manipulator [8-9]. We
new small-sized duplex manipulator and successfully reduced developed a downsized new manipulator and conducted
its size by 70%. experiments in simulated rubble to demonstrate its
effectiveness.
Keywords: rescue manipulator; duplex mechanism; semicircular
manipulator; passive manipulator II. CONVENTIONAL SEMICIRCULAR DUPLEX MANIPULATOR
Target
I. INTRODUCTION
We address search and rescue operations using robots. Obstacle Obstacle
Utilizing robots to search for survivors is one of the most
rational solutions to prevent a second disaster. In addition to
the safety consideration, robots can move through narrower
spaces than human rescue workers [1-8]. Obstacle Obstacle
Since before the development of rescue robots, industrial
endoscopes have been utilized to search for survivors. They a) Initial position
are effective because they can be inserted into a narrow
space. However, they have a serious problem with turning.
Although the body of an industrial endoscope is flexible, it
sometimes cannot move in the desired direction because of Obstacle Obstacle
blockage. Thus, one of the most important abilities required
for rescue robots is mobility in rubble.
Various rescue robots have been developed to solve the
endoscope problem. Obstacle Obstacle
Crawler-type robots [1-5] are the most popular. However,
although they have high mobility, their size is comparatively b) Collision
large, and they cannot move into narrow spaces in rubble
such as collapsed wooden houses.
An active scope camera [6] is one of the most effective
solutions. Its shape is similar to that of an industrial Obstacle Obstacle
endoscope. It has a vibration mechanism, and the vibration
can be converted into a driving force to move through rubble.
However, to convert the vibration into a driving force, it
requires contact with walls. Therefore, the mobility is
Obstacle Obstacle
restricted in a free space such as a hollow area in rubble.
In our previous work, to solve these problems, we
c) Blockage
developed a semicircular duplex manipulator [8-9]. This
robotized endoscope can move in the desired direction. Even Fig. 1. Movement of industrial endoscope.
in hollow areas, it can turn and move forward by utilizing a
978-1-4673-7995-3/15/$31.00 2015
c IEEE 450
A. Problem of Conventional Industrial Endoscope .
An industrial endoscope is effective in searching for
survivors in narrow spaces. However, it has a serious Passive joint
90 [deg]
problem with turning. Fig. 1 shows the operating procedure
of an industrial endoscope. Usually, the endoscope is moved
forward by being pushed from the back end (Fig. 1 a)). Only
the head joint can be controlled, and it turns in the desired
direction. However, the rest of the body is flexible and, if the
head contacts an obstacle (Fig. 1 b)), the pushing force is
deflected, which prevents the endoscope from moving in the Spring rail
desired direction (Fig. 1 c)).
Fig. 4. Passive joint.
In our previous work, to solve this problem, we developed a
semicircular duplex manipulator. However, the cross-
All the joints of the manipulators are passive and can move
sectional diameter of the developed manipulator was about 6
in three dimensions, as shown in Fig. 4. In addition, every
cm, which was not small enough to operate in collapsed
joint has a locking mechanism and can hold the joint angle.
wooden houses. Therefore, in this study we redesigned our
Fig. 5 shows this locking mechanism. A hose is installed in
previous manipulator and developed a downsized new
the manipulator. The hose is expanded using air pressure,
manipulator.
which pushes the pin into the hole and locks it in place. By
releasing the air, the pin returns, and the joint is released.
B. Semicircular Duplex Manipulator
In a previous study, we developed a semicircular duplex Unlocked
manipulator to solve the problems of the industrial
endoscope Fig. 2 shows the conventional semicircular Spring Disk with holes
duplex manipulator [8-9]. This manipulator was designed to
be operated by human power without using electrical power.
Body Hose Pin

Camera
Locked
Microphone
Fig. 2. Semicircular duplex manipulator. Air

The duplex mechanism is composed of two semi-circular
manipulators, as shown in Fig. 3. These manipulators are
connected together through a rail, and they can move back Disk with holes
and forth freely.
Spring
Side view Wire for directioncontrol
Pulley
Rail Passive joint

Hose
Hose Pin
Front view
Fixed point of rail
Fig. 5. Lock mechanism.
Rail To control the direction of the head link, each manipulator

Slide
Pulley has two wires, as shown in Fig. 6. When the wire is pulled,
Fixed point of pulley the head link turns toward that side.
Fig. 3. Duplex mechanism.
451
III. SIZE AND WEIGHT REDUCTION OF SEMICIRCULAR DUPLEX
MANIPULATOR
A. Proposed Structure
c
To reduce the size and weight, we improved the
Fixed point of wire Passive joint Wire conventional semicircular duplex manipulator. We
redesigned the joint mechanism and locking mechanism. Fig.
8 shows the proposed joint mechanism, and Fig. 9 shows a
comparison with the conventional mechanism .
A passive joint is realized by connecting two links, with a
lock mechanism. As shown in Fig. 9, to reduce the size and
Pull weight, we downsized the width of the link by 50%. To
realize sufficient stiffness, we employed an aluminium L-
shape for both sizes. Fig. 10 shows the internal mechanism
of the lock mechanism, and Figs. 11 and 12 show a
comparison to the previous mechanism. As shown in Fig. 10,
Fig. 6. Control of direction.
to reduce the size, we employed wedges instead of pins. The
two wedges are connected to a plate sprig (Fig. 8 and Fig.
Fig 7 shows the operation method of the duplex 12), and by pushing this plate spring, the wedges engage the
manipulator. First, we push one manipulator in the desired rotating shaft, and the joint is locked (Fig. 12). To push the
direction and lock all of its joints (step 1). Second, we push spring plate, we employ a hose. The mechanism to expand
the other manipulator along the locked manipulator (step 2). the hose is the same as the conventional mechanism.
Third, we unlock the locked manipulator and lock the other However, in the proposed mechanism, we reduce its
manipulator. Finally, we push the unlocked manipulator diameter by 50%, as shown in Fig. 13.
along the locked manipulator.
Hose Passive joint
By alternating this procedure, the manipulator can move in
the desired direction by utilizing the locked manipulator as a
guide.
Target
Obstacle Obstacle Plate spring

Wedge
Obstacle Obstacle
Fig. 8. Joint mechanism.
a) Step 1
Conventional mechanism Proposed mechanism

Obstacle Obstacle
Lock all joints
Obstacle Obstacle

b) Step 2 20 [mm] 10 [mm]
35 [mm] 35 [mm]
Obstacle Obstacle 30 [mm]

10 [mm]
Longitudinal Lateral
stiffness stiffness
1 [mm]
20 [mm] 2 [mm]
1.2 [mm] 10 [mm]

Obstacle Obstacle
Fig. 9. Rotating mechanism.
c) Step 3
Fig. 7. Movement of proposed manipulator.
452
Wedge
3.5 [cm]
3 [cm]
Fig. 10. Locking mechanism (internal view).
Previous mechanism Proposed mechanism

Hole Fig. 14 Dimensions of developed manipulator.
Wedge
Pin
B. Prototype
We developed a prototype model based on the proposed
mechanism. Fig. 15 shows an overview of the developed
manipulator, and Figs. 1618 show close-ups of each
mechanism.
Up
Pressure Slide Hose
Fig. 11. Locking mechanism.
Air pump
Previous mechanism Proposed mechanism
Unlocked Unlocked
Pump
Passivve joint Sponge
Fixed point Passivve joint Wire
Sprin
Hole Plate Spring
Pin Pulley
Hose Wedge
Locked Locked
Rail
Fig. 15. Developed manipulator.
Air Air
Fig. 12. Mechanism for locking and unlocking.
Joint mechanism
Hose
Previous manipulator Proposed maniputator

Spring Joint mechanism
Spacer 25 [mm]
Plate spring
Joint mechanism Plate spring Wedge
Air Hose Air 12 [mm]
60 [mm] 30 [mm]
Fixed point of
Fig. 13. Cross section of manipulator.
plate spring 1 [cm]
Fig. 16. Joint and locking mechanism.
453
From Fig. 16, we can confirm that the joint was
successfully downsized.
Fixed point of wire
Wire Joint mechanism Wide area

Proposed
exploration type Current
Fig. 17. Front end of manipulator. robot manipulator manipulator
Fig. 17 shows the front end of the manipulator. Two wires Fig. 19. Comparison of robot and manipulators.
are installed, and the head can be turned by pulling a wire
from the tail end.
TABLE I. SIZE OF MANIPULATOR
IV. EXPERIMENTS
A. Basic Movement Experiments

Spring rail Pulley
To confirm the basic ability of the proposed mechanism, we
conducted preliminary experiments.
Fig. 20 shows the sliding motion, and Fig. 21 shows the
turning motion of the head end. We confirmed that the basic
functions were successfully realized.
Fig. 18. Slide mechanism.

No. 1 No. 2
Fig. 20. Sliding motion.
Fig. 18 shows the sliding mechanism. One manipulator has a
rail, and the other manipulator has pulleys to move along the
rail. One manipulator can slide along the other manipulator
using this mechanism.
C. Comparison with Conventional Model

Fig. 19 and Table I provide the results of a comparison to No. 1 No. 2
previous robots. The left side of Fig. 19 shows a Fig. 21. Turning motion.
conventional serially connected clawer robot. The centre
shows the previous manipulator, and the right side shows the Fig. 22 shows the result of an experiment to confirm the
proposed manipulator. locking ability. Although the manipulator was slightly bowed
As listed in Table I, we reduced the size of the cross- by its weight, the locking mechanism worked effectively.
sectional diameter by about 50%, and we reduced the weight
by about 75% compared to the previous manipulator. In
addition, the number of parts was also reduced from 3900 to
about 2000.
454
V. CONCLUSION
70 [cm] In this study, we focused on a rescue manipulator to search
35 [cm] for survivors under rubble. To operate it in a narrow space,
we improved our previous duplex manipulator, downsizing
its cross-sectional diameter by 50% and its weight by 75%.
To demonstrate the effectiveness of the proposed mechanism,
we developed a prototype and conducted an experiment in
simulated rubble. The results confirmed that the proposed
duplex manipulator has a higher performance than the
a) Locked conventional model.
35 [cm] ACKNOWLEDGEMENT
This research was partially supported by the Japan Society
70 [cm] for the Promotion of Science through a Grant-in-Aid for
Scientific Research (C) 15K00316.
REFERENCES
b) Unlocked
[1] M. Arai, T. Takayama, and S. Hirose, Development of
Fig. 22 Locking mechanism.
souryu-: connected crawler vehicle for inspection
inside narrow and winding spaces, in Proceedings of
B. Movement Experiment in Narrow Space the International Conference on Intelligent Robots and
To demonstrate the effectiveness of the proposed Systems, 2004, pp. 52-57.
manipulator, we conducted an experiment in simulated three- [2] R. Haraguchi, K. Osuka, S. Makita, and S. Tadokoro,
dimensional rubble. Fig. 23 shows an example of the results. The development of the mobile inspection robot for rescue
The manipulator was inserted from the bottom left position activity, MOIRA2, in Proceedings of the 12th International
of Fig 23, and the target was the small red object in the Conference on Advanced Robotics, 2005, pp. 498-505.
rubble. The space between the walls was narrow, and to find [3] H. Miyanaka, N. Wada, T. Kamegawa, N. Sato, S.
the target, the manipulator had to turn three times. In Tsukui, H. Igarashi, and F. Matsuno, Development of a unit
addition, the head of the manipulator had to be raised type robot "KOHGA2" with stuck avoidance ability, in
without utilizing the wall. Thus, this task would be very IEEE International Conference on Robotics and Automation,
difficult for conventional robots, and conventional industrial 2007, pp. 3877-3882.
endoscopes could not accomplish it. The results confirmed [4] R. Murai, K. Ito, and K. Nakamichi, Snake-Like
that the proposed duplex manipulator has high performance Robot for Rescue Operations Proposal of a Simple
and would be effective at finding survivors in rubble. Adaptive Mechanism Designed for Ease of Use, Advanced
Robotics, 2008, pp. 771-785
[5] K. Nagatani, S. Kiribayashi, Y, Okada. S Tadokoro,
T. Nishimura, T. Yoshida, E. Koyanagi, and Y. Hada,
10 [cm] Redesign of rescue mobile robot Quince, Safety, Security,
15 [cm]
and Rescue Robotics. (SSRR), 2011, pp. 13-18.
[6] M. Konyo, K. Isaki, S. Tadokoro, and F. Takemura,
Acrylic board Active scope camera for urban search and rescue, in Proc.
No. 1 No. 2 of IEEE/RSJ Int. Conf. on Intelligent Robots and
Systems, 2007, pp. 2596-2602.
[7] A. Hirayama and K. Ito, Development of rescue
manipulator to search narrow space for victims, Artificial
Life and Robotics, vol. 13, 2008, pp. 331-335.
[8] Y. Simodate and K. Ito, Semicircular duplex
manipulator to search narrow spaces for victims, Safety,
Security, and Rescue Robotics. (SSRR), 2011, pp. 7-12.
No. 3 No. 4 [9] K. Ito, Y. Simodate, Development of semi-circular
duplex manipulator for search and rescue operations in
narrow spaces, International Journal of Advanced
Mechatronic Systems, 2014, Vol. 6, No. 1, pp. 1-11.
[10] K. Mouri, H. Masuda, M. Onosato, F. Tanaka, and
H. Date, Accessibility evaluation of rescue robots using
rubble models of collapsed houses, JSME Annual
No. 5 No. 6 Conference on Robotics and Mechatronics (Robomec) (In
Fig. 23. Movement experiment in environment. Japanese), 2008, "2P2-B02(1)"-"2P2-B02(2)".
455
SUBMITTED TO ICAMECHS 2015 1
Adaptive Fault Diagnosis for Continuous Time-delay

Repetitive System Subject to Sensor Fault
Hai-gang Zhang, Sen Zhang, and Yi-xin Yin
AbstractThis note proposes an adaptive fault diagnosis fault detection and diagnosis for repetitive system should
scheme for the continuous time-delay repetitive system subject also be given the same emphasis. As we know, there is no
to the sensor fault. The theory of iterative learning control(ILC) relevant research about the fault detection and diagnosis for
is employed in the fault reconstructed method. With the increase the repetitive system subject to the senor faults, which is one
of iterative step, the sensor fault estimation signal can track the of the motivations in this paper. On the other hand, time-delay
actual fault tightly including slow- and fast- varying fault. In
phenomenon is very common in many real industrial system,
order to verify the effectiveness of the proposed fault diagnosis
method, three kinds of sensor faults are taken into consideration such as air pollution system, networks control system el. al.[6] .
in the simulation part. The results show that the reconstructed Here, we attempt to employ the theory of iterative learning
fault signal can track the actual fault well despite of the kinds control to fault diagnosis in repetitive system. The proposed
of sensor faults. fault diagnosis method subject to the sensor fault takes the
time-delay phenomenon into consideration, and can well get
Keywordsfault diagnosis, sensor fault, iterative learning con-
trol, repetitive system rid of the interference of time-delay link.
In this paper, an adaptive fault diagnosis method subject to
sensor fault in the repetitive system is proposed. Based on the
I. I NTRODUCTION iterative learning control theory, it can reconstruct the sensor
With the increasing complex of modern industrial systems fault with the increase of iterative number. With a view to
and higher system performance requirement, sensors play an the time-delay link, the proposed method can track not only
increasingly important role in many practical systems such constant fault but also time-varying fault. In the simulation
as aerospace, military industry, process industry and other part, three forms of sensor faults are taken into consideration,
elds[1] . With the advent of big data era, the reliable operation and the results demonstrate the effectiveness and robust of
of the sensor directly affect the stability of the system[2] . The the proposed scheme. For simplify, the contribution of this
sensors are eyes to production factories, which are responsible manuscript can be summarized as follows:
for providing the most realistic system data to the operator. (1) We employ iterative learning control theory into the
Minor sensor fault often leads to mistaken operations, thus fault diagnosis scheme, and receive more reliable and effective
causing more serious faults[4] . Therefore it is essential for results.
the sensor fault detection and isolation during the system (2) This note aims at the sensor fault in the repetitive system,
operation. which is a new attempt to our knowledge. In addition, it takes
Sensor Fault Diagnosis(SFD) methods can be divided into account the delay phenomenon in repetitive system.
into two categories: physical redundancy-based approach (3) This scheme is suitable for a wide variety of failure
and analytical redundancy-based approach[1,3,5]. The physical modes including constant, slow- and fast-varying faults. And
redundancy-based method aims to generate redundancy by it has certain robustness to the external noise.
increasing the number of sensors. If the redundancy exceeds The reminding paper is organised as follows. Section 2 is the
the articial threshold, the failure alarm system will start. This system description and problem formulation. The convergence
approach is not only time-consuming, but the results are not analysis of the proposed sensor fault diagnosis method is
reliable. Another method based on the analytical redundancy presented in Section 3. The simulation results are shown in
establishes the appropriate mechanism model rst, and then Section 4 and conclusions are drawn in Section 5.
detects the sensor fault through the appropriate software. This
approach attracts more and more attention because of its fast
response time and the adaptive ability subject to fault forms. II. S YSTEM DESCRIPTION AND PROBLEM FORMULATION
Here we aim at the analytical redundancy-based approach. Considering the following linear time-delay repetitive sys-
During the past decades, the research of repetitive system tem:
like hard disk drive, freeway trafc, robot manipulator, batch

reactor, electrical drive et. al. becomes a hot eld[7] . And x k (t) = Axk (t) + A0 xk (t ) + Buk (t)
iterative learning control(ILC) is now a well-established con- (1)
yk (t) = Cxk (t) + Df fk (t)
trol scheme subject to the repetitive system[8] . Additionally,
where t [0, T ] and k 0 represent the time index and
Hai-gang Zhang, Sen Zhang and Yi-xin Yin are with the School of
Automation and Electrical Engineering, University of Science and Technology iterative index respectively. x Rm , u Rn and y Rp
Beijing, No. 30, Xueyuan road, Haidian District, Beijing, China. e-mail: denote the measurable state, the control input and the output
zhang gang1989@126.com, zhangsen@ustb.edu.cn, yyx@ies.ustb.edu.cn. of the system respectively. f Rm is the fault signal and is
978-1-4673-7995-3/15/$31.00 2015
c IEEE 456
the known time-delay parameter. A, B, C, A0 and Df are of state and time-delay state information, which can make the
appropriate size constant known matrices. fault diagnosis more fast and accurate.
Assumption 1: For the above repetitive system, (A, C) is Intuitively, according to the ILC theory, the fault reconstruc-
observable. tion signal can track the actual fault with the error update
Assumption 2: The system (1) satises the same initial state parameters. The next section will present the suitable selection
and control input conditions as of update parameters and the convergence analysis of the
proposed scheme.
xk (0) = x0 , uk (t) = ur (t) , k 0 (2)
Assumption 3: The fault signal in the above system satises III. C ONVERGENCE A NALYSIS
the following condition: In order to facilitate analysis prove, we give the following
lemma:
f (t) , k k + 1
fk (t) = (3) Lemma 1: Assume x(t) and y(t) are both continuous
0, 0 k k
function in the real domain. If there exist constant a (a 0),
where f (t) is the fault signal to be detected and k 1 is a b, c, such that the following inequality holds:
constant to represent the beginning time of fault. t
Remark 1: This notes focus on the research of fault x(t) c + (ax( ) + by( ))d (9)
diagnosis for repetitive system based on iterative learning, 0
rather than the design of controller. Thus we assume the control then the continuous function x(t) are uniformly bounded:
input ur (t) is known in advance. Additionally, the same initial
t
state condition and the observable condition are the classical
assumptions in iterative learning control. x(t) ceat + ea(t ) by( )d (10)
0
Remark 2: Here, we do not limit the fault form. From
[12]
the following simulation part, we can see the proposed fault Theorem 1 : For the system (1) and the designed fault
diagnosis method can deal with most of faults including diagnosis method (5), (6) and (7), if the fault estimation update
constant, slow-varying and fast-varying faults. parameters satisfy k1 = Df1 CA, k2 = Df1 CA0 and
In order to facilitate the convergence analysis, we present k3 = Df1 , the output estimation yk (t) can track the actual
the following denition: output y(t), while fk (t) can approach the actual sensor fault
Denition 1: For : [0, T ] Rq , the norm is dened innitely in the sense of norm.
as follows: Proof: From the assumption (2), we know the system
= sup [ et ] (4) (1) satises the same initial conditions. Considering ek (t) =
0tT
yk (t) yk (t), we can get
For the system (1), we propose the following sensor fault
diagnosis approach: ek+1 (t) = ek (t) + yk (t) yk+1 (t) (11)
xk (t) = A
xk (t) + A0 x
k (t ) (5) So
+Bu(t) + Lek (t)
ek+1 (t) ek (t) = [
yk+1 (t) yk (t)]
k (t) + Df fk (t)
yk (t) = C x (6) = C[ k (t)] Df [fk+1 (t) fk (t)]
xk+1 (t) x (12)
t
= C[ 0 [xk+1 ( ) xk ( )]d Df fk (t)

fk+1 (t) = fk (t) + fk (t) (7) Applying the equation (8), one can get
m p
where x R and y R are the estimation of system state
t
and output respectively. f Rm is the reconstructed sensor ek+1 (t) ek (t) = C 0 [xk+1 ( ) xk ( )]d
fault updated by both its previous information and the error t
k1 Df 0 [ x ( ) xk ( )]d k3 Df ek (t)

update parameter fk (t). ek (t) = yk (t) yk (t) represents the t k+1
k2 Df 0 [ xk+1 ( ) x k ( )]d
output estimation error and L is the gain matrix with the t (13)
appropriate dimensions. = (CA + k1 Df ) 0 [ xk+1 ( ) xk ( )]d
t
Here we presents the error update parameter: (CA0 + k2 Df ) 0 [ xk+1 ( ) xk ( )]d
t
CL 0 [ek+1 ( ) ek ( )]d k3 Df ek (t)
t
fk (t) = k1 0 [x ( ) x
k ( )]d Note that k1 = Df1 CA, k2 = Df1 CA0 and k3 =
t k+1
+k2 0 [ xk+1 ( ) xk ( )]d (8) Df1 ,
so
+k3 ek (t) t
Remark 3: k1 , k2 and k3 are the gain parameters during the ek+1 (t) = CL [ek+1 ( ) ek ( )]d (14)
update of the sensor fault. The error update operator contains 0
not only the system output information, but also the system Then
457
this case, one can recalculate the error update parameters such
t as:
ek+1 (t) CL 0 [ek+1 ( ) + ek ( )]d
t (15)
= 0 [1 ek+1 ( ) + 1 ek ( )]d t
fk (t) = k1 0 [
xk+1 ( ) x
k ( )]d
where 1 = CL. t
k2 [
xk+1 ( ) xk ( )]d +
Applying the Lemma 1, one can get +2 t
0 (24)
t 0
[
xk+1 ( ) xk ( )]d
ek+1 (t) e1 (t ) 1 ek ( ) d (16) +k3 ek (t)
0
Multiplying et in both sides of the above inequality, one IV. S IMULATION RESULTS
can know In this section, some simulation studies are presented to
verify the effectiveness of the proposed fault diagnosis method.
t Consider the following continuous time-delay system with
t t
ek+1 (t) e 1 e e1 (t ) ek ( ) d (17) parameters:
0

So 1 1 1
x(t)
= x(t) + x(t 1) + u(t)
(1 )T 2 1 1
ek+1 (t) 1 1e1 ek (t) yk (t) = [ 2 1 ] xk (t) + 2fk (t)
(18)
= ek (t) (25)
If is large enough, than < 1. So Here three kinds of sensor faults are taken into consideration
as follows:
ek+1 (t) ek (t) (19) (1) The pulse signal:

Here we can know the output estimation can track the actual 4 t>4
f1 (t) = (26)
output with the increasing of iterative step in the sense of 0 others
norm. That is (2) The sinusoidal signal:

lim ek (t) = 0 (20) sin(t 1) t > 4
k f2 (t) = (27)
0 others
Then one can get
(3) The mixed signal composed of index and sinusoidal
lim xk (t) = xk (t) signals:
k (21)
lim yk (t) = yk (t) et2 1000 3 sin(t) t > 4
k f3 (t) = (28)
0 others
Similarly, we can draw another conclusion through the
above certication process. So The above denote that the fault occurs at t = 4 in the rst
sensor, while the other sensor runs normally. Here we set t
fk (t) = fk (t) (22) [0, 10]. And the fault diagnosis parameters are presented as
For the implement of the proposed sensor fault diagnosis following:
scheme, we present the following discusses:
(1) We employ the theory of ILC to the fault diagnosis L = 0.03 (29)
method. From a practical point of view, it is not particularly
strict to select the iteration parameters. In fact, we nd k1 = [ 1 1 ]
out that one can relax the restrictions on the error update k2 = [ 1 0.5 ] (30)
parameters(k1, k2 , k3 ) in the simulation experiments. For ex- k3 = 0.5
ample, if the matrix Df is not square, one can calculate the up-
date parameters by its MooreCPenrose generalized inverse[11], The simulation results for the above sensor faults are shown
as following: in Fig. 1, where we can see the proposed sensor fault diagnosis
method can well reconstruct the corresponding faults. Before
1

T the occur of any sensor fault, the fault diagnosis signal is zero

k 1 = D f D f DfT CA
1 and identies the actual sensor fault very accurately. When
k2 = DfT Df DfT CA0 (23) the fault happens, our proposed fault diagnosis method can

1 track all kinds of faults with the increase of iterative number

k3 = DT Df DfT including constant fault in (a), slowly-varying fault in (b) and
f
fast-varying fault in (c).
(2) In many fault diagnosis notes, the delay time is assumed The fault diagnosis method can reconstruct the actual fault
unknown with known lower and upper bounds: . In more and more accurately with the iteration of repetitive
458
6 Actual Fault
5
Estimation Fault
yk (t) = [ 2 1 ] xk (t) + 2fk (t) + k (t) (31)
k=2
k=6
4
where k (t) denotes 10% white noise. Fig.4 is the 10th
Fault diagnosis
k=10
3 iterative result relate to the external interface. So the proposed

2 fault diagnosis scheme can get rid of the interface of external
1 noise.
0
0.7
1
0 1 2 3 4 5 6 7 8 9 10
f1
t/s 0.6 f2
f3
(a) The pulse fault 0.5
2.5 0.4
Error
Actual Fault
2
Estimation Fault
1.5
0.3
1
Fault diagnosis
0.2
0.5
0
0.1
0.5
k=15
1
k=10 0
1.5 k=5 5 10 15 20
No. of iteration
2
2.5
0 1 2 3 4
t/s
5 6 7 8 9 10 Fig. 2 The change of error over No. of iteration.
(b) The sinusoidal fault 0.5
k=6
f1
0
4 k=5 Actual Fault
k=10 Estimation Fault 0.5
3
0 1 2 3 4 5 6 7 8 9 10
k=20
2 0.5
Fault diagnosis
1
k=10
f2
0
0
1
0.5
0 1 2 3 4 5 6 7 8 9 10
2
0.5
3 k=10
f3
4 0
0 1 2 3 4 5 6 7 8 9 10
t/s
0.5
0 1 2 3 4 5 6 7 8 9 10
(c) The mixed fault composed of index and sinusoidal signal t
Fig. 1: Simulation results of three kinds of sensor faults Fig. 3 The interface to normal sensor.
4
f1
system. Fig.2 presents the change of estimation error over No. 2
of iteration. If one choose the suitable error update parameters, 0

0 1 2 3 4 5 6 7 8 9 10
the error between the actual and estimation sensor fault will 2
tend to zero after some iteration.

0
f2
In the simulation experiments, we just consider one sensor

t 2/
is fault(4, sin (t 1), e 1000 3 sin (t)). Another sensor 2
0 1 2 3 4 5 6 7 8 9 10
runs normally. Fig. 3 shows the inuence to the normal sensor 10
when to estimate the sensor fault, where one can see the normal 5
f3
sensor signal appears slight uctuations. However, it is within 0
the system permissibility. 5

0 1 2 3 4 5 6 7 8 9 10
t/s
In order to verify the robust of the proposed sensor fault
diagnosis scheme,we take the external disturbance into con-
sideration. we set Fig. 4 Simulation results with external noise.
459
V. C ONCLUSION [9] E. Fridman and U. Shaked. An improved stabili-zation method for linear
time-delay systems. IEEE Trans. Autom. Contr., 2002, 47(11): 1931
This note proposes an adaptive fault diagnosis method 1937
subject to the sensor fault in continuous time-delay repetitive [10] D. W. E. Dixon, E. Zergeroglu, and B. T. Costic. Learning control
system. The iterative learning control theory is employed into algorithm for tracking slowing varying trajectories. IEEE Trans, Syst.,
the fault reconstruction process. Under the condition of suitable Man, Cybern. B., 1997, 27: 657 670
selection of iterative parameters, the estimation fault signal [11] C.R. Rao and S.K. Mitra, Generalized Inverse of Matrices and its
can reconstruct the actual fault with the increase of iterative Applications, Wiley, New York, 1971
number. Simulation results show the effectiveness and robust [12] D. Serre, Matrices: Theory and Applications, Springer, New York, 2002.
of the proposed scheme. In the future research, we aim to study
the following aspects:
(1) How to select more suitable iterative parameters:
The keynote of the proposed fault diagnosis scheme is
Equation (8) and the selection of fault update parameters k1 , k2
and k3 . How to select the suitable iterative parameters is just
based on the mathematical analysis. Following we will employ
some optimization algorithms to choose the corresponding
parameters.
(2)How to improve the convergence speed:
This scheme aims at many kinds of sensor fault forms
including constant, slow-varying and fast-varying fault. In the
simulation experiments, we can see the convergence speed for
the fast-varying fault is slower than the other two fault forms.
So it is essential to get more research of the convergence speed.
(3)If the delay time is unknown:
In our proposed fault diagnosis method, the delay time is
known. Actually, we do not know the accurate delay time in
most system. Alternatively, we just know the range of delay
time. Thus, how can we do subject to the unknown delay time.
ACKNOWLEDGMENT
This work was supported by the National Natural Science
Foundation of China (NSFC grant No. 61333002) and Beijing
Natural Science Foundation (grant No. 4132065).
R EFERENCES
[1] Zhang Y L, Chen W M, Zhang P, Hu S R, Huang X W and Zheng
W. Overview on sensor fault diagnosis technology. Transducer and
Microsystem Technologies, 2009, 28(1): 35 39
[2] Tan P, Cai Z X and Yu L L. Research on fault diagnosis of different
precision redundant sensors. Control and Decision, 2011, 26(12): 1909
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[3] M. L. Corradini and G. Orlando. Actuator fault identication and com-
pensation through sliding modes. IEEE Trans. Control Syst. Technol,
2007, 15(1): 184 190
[4] Yang H, Mao Z H and Jiang B. Model-Based Fault Tolerant Control for
Hybrid Dynamic Systems with Sensor Faults. ACTA AUTOMATICA
SINICA, 2006, 32(5): 680 685
[5] Arimoto, S. Mathematical theory of learning with application to robot
control. in K. S. Narendra (Ed.), Adaptive and Learning system: theory
and application. New Haven, Connecticut, USA: Yale University: 379-
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[6] [6] J. Y. Choi and J. S. Lee. Adaptive iterative learning control of
uncertain robotic systems. in Proc. IEEE. Contr. Theory Appl., 2000,
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[7] [7] Wei C, Wang C and Ming S. Iterative learning based fault detection
and estimation in nonlinear systems. Journal of Syatem Engineering and
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[8] Gao L, Liu X M and Gu Q X. New fault detection and estimation
algorithm based on iterative learning. Control and Decision, 2010, 25(8):
1173 1177
460
1
Model Identication and Adaptive Control Design

for a 6 DOFs Manipulator
Weiliang Ge, Wei He, Yunchuan Li, Chenguang Yang
AbstractIn this article, kinematic modeling design of a In recent two decades, many approaches in adaptive control
humanoid robot is presented by using Devanit-Hartenberg (D-H) eld have been studied and developed. Under the condition
model. Based on the coordinate frame, the model identication that the output is measurable, the adaptive neural network
of a 6 degree-of-freedom (DOF) upper limb is investigated with
Newton-Euler(NE) formula. Particle Swarm Optimization (PSO) control is proposed in [10], [11]. Under the condition of
is used to optimize the trajectory of each joint, the adequate motion disturbances and parametric uncertainties, the robust
excitation of the robot is provided and the estimated result is control theory is applied to the adaptive control to improve
improved. The estimated inertia parameters are taken as the the stability of the manipulator system [12], [13]. To solve
initial values of the Recursive Newton-Euler (RNE) adaptive the optimal tracking control problem, iterative adaptive control
control algorithm. Simulations are provided to verify the result
of the identication algorithm. scheme is developed in [14].
However, because of the computational complexity of these
Index TermsHumanoid Robot, Particle Swarm Optimization,
approaches, such abundant theoretical and experiment results
Recursive Newton-Euler Formulation, Recursive Adaptive Con-
trol cannot improve the practical applicability of adaptive control
algorithms, especially for manipulators with more than 4
DOFs. As shown in Fig. 1, there are 6 DOFs in the upper limb
I. I NTRODUCTION of HUBO. In order to avoid the computation complexity, the
Robots with upper limbs are generated in this environment recursive algorithm based on the NE formulation is proposed
where the articial intelligent technology has explosive im- [15]. In this recursive algorithm, the linear in parameters
provement. The upper limb manipulator of a biped humanoid (LIPs) process can be computed in recursive algorithm based
robot, is shown in Fig. 1, which is designed by Korea on NE formulation. In this way, the computation complexity
Advanced Institute of Science and Technology (KAIST). In of the adaptive control algorithm can be reduced dramatically.
this article, the internal parameters of upper limb of HUBO No matter how many DOFs the manipulator has, the handling
are identied. methods are always same, except the processing time varies
In the research eld of the model identication, lots of with the variation of DOF.
works have been investigated [1]. Investigators have developed
various methods for the model identication of manipulators
[2]. The robotic manipulators are designed and processed II. P RELIMINARIES
according to precise kinematic specications. In recent years, PSO method is a kind of group algorithm, which is based on
the kinematics of robot manipulator has been intensively the behavior of a group of living beings. We can suppose that
investigated [3]. To improve the accuracy, the characteristic- the real time position of particle i is xi and the best position
equation based method is proposed in [4]. The dynamic is pi . The best position of the group is pg . The velocity of
equations of kinematic model of rigid bodies are derived by particle i is vi . During each update cycle, both pi and pg are
the NE or Lagrangian method [5], [6]. all updated. The particle position and velocity can be updated
When a humanoid robot picks up or puts down something, as [16], [17],
the load of the manipulator changes signicantly. This may
cause the robotic control system unstable. To resolve this vit+1 = c0 vit + c1 r1 (pi xti ) + c2 r2 (pg xti ), (1)
problem, the adaptive control scheme is proposed [7], [8], [9]. xt+1 = xti + vit+1 . (2)
i
W. Ge is with the School of Automation Engineering, University of Proposition 1: [18] Given a function f from Rn to R and
Electronic Science and Technology of China, Chengdu 611731, China.
W. He is with the School of Automation and Electrical Engineering, S a subset of Rn . We seek a point z in S which minimizes f
University of Science and Technology Beijing, Beijing 100083, China. (Cor- on S or at least which yields an acceptable approximation of
responding author, Email: hewei.ac@gmail.com) the minimum or inmum of f on S.
Y. Li is with the Department of Electrical and Computer Engineer-
ing University of Maryland College Park, Maryland 20742, USA. Email: Theorem 1: [18] Any recursive satises the Assumption 1,
yli93@umd.edu has the convergence property.
C. Yang is with Center for Robotics and Neural Systems, Plymouth
University, Plymouth PL4 8AA, United Kingdom.
Theorem 2: [1] Given the non-linear dynamic systems
This work was supported by the National Natural Science Foundation of
China under Grant 61203057, the National Basic Research Program of China x = f (x, t), x(0) = x0 , (3)
(973 Program) under Grant 2014CB744206, the National High Technology
Research and Development Program of China (863 Program) under Grant with an equilibrium point at the origin, and let N be a
2015AA042304 neighborhood of the origin, then origin O is stable in the
978-1-4673-7995-3/15/$31.00 2015
c IEEE 461
2
sense of Lyapunov if for x N there exists a scalar function As mentioned in [19], the N-E equation is shown in (7)
V (x, t) > 0 and V 0.
fi = Ii ai + vi Ii vi , (7)
III. M ODELING AND IDENTIFICATION where ai , vi and Ii represents the spatial acceleration, spatial
A. Kinematic Modeling velocity and spatial inertia , respectively, and fi denotes the
To analyze the kinematics of the system, the model can force applied on i th joint. The N-E equation can be further
be viewed as a three-link structure shown in Figure 1. Ti is represented as

the joints. Using the positive direction of coordinate and the Ii i + S(i )Ii i S(d0i )mi ci
modied D-H model, the link transformation matrix i1 T can fi = , (8)
i mi d0i + S( i )mi ci + S(i )S(i )mi ci
be obtained [19]:
(8) can be expressed more compactly as
fi = Ai i , (9)
where Ai is a 6 10 matrix which can be expressed as

0 S(d0i ) L( i ) + S(i )L(i )

Ai = ,

K&
t
K&
d0i S( i ) + S(i )S(i ) 0
^ where the mass moment mi ci appears as a quantity to be

z
estimated in combination. And d0i = vi + i vi , S(xi ) is a

K& Z

W
W
3 3 matrix shown in (10), L(xi ) is a 3 6 matrix shown in

(11), and l(Ii ) is expressed as (12).
Z z W

d
y
d

d

y
y
0 x3 x2
z
z
z
S(xi ) = x3 x1
W
d z
d
0 (10)

x2 x1 0

y
z
z
d

x1 x2 x3 0 0 0

L(xi ) = 0 x1 0 x2 x3 0
z
(11)

Z

d
y

0 0 x1 0 x2 x3
z
l(Ii ) = [Ixx , Ixy , Ixz , Iyy , Iyz , Izz ] ,

T
(12)
and i is a vector of 10 unknown inertia parameters which
Fig. 1. Upper limb manipulator
can be expressed as

T
Remark 1: T1 to T6 denotes joint 1 to joint 6, respectively, i = mi , mi ci , l(Ii )
and T0 is the reference coordinate, which is located at the
center of chest. Dene fij as the spatial force at joint i due to the movement
of link j alone. Then fii is the spatial force at joint i due to
movement of its own link which is the same as (9).
ci si 0 ai1
si ci1 The total spatial force i fi at joint i is the sum of the spatial
ci ci1 si1 si di
i1
T =
si si1
, (4) forces i fij for all links from joint j to joint i,
i ci si1 ci1 ci1 di
0 0 0 1 6
6

i i
fi = fij = XjF Aj j , (13)
which, for short, can be written as (5) j=i j=i
i1
R i1 P
i1
i T = i i . (5) where i XjF is the spatial force transform matrix.For conve-
0 1
nience, we note that i XiF = I66 . Each i fi must be translated
into torque i since only torque about the joint rotation axis
B. Dynamic Modeling
zi can be measured directly. For short, we can express it as
From the modied D-H model and the transform matrix follow
discussed above, we may calculate the angular velocity i , (n) = K (n) , (14)
the angular acceleration i and the line acceleration vi : T T
where (n) = [1 , 2 , ..., 6 ] , = [1 , 2 , ..., 6 ] . In this
i =i1
i Ri1 + zi i , way, each elements of the torque vector or matrix can be
i1
i =i Ri1 +ii1 Ri1 zi i + zi i , expressed as
(6) T T
vi =i1
i R[v i1 + i1 i1
i P + i1 (i1 zi zi
i i F
i1 i = fi , Kij = Xj Aj ,
i P )], 0 0
462
3
and Kij = 0110 if i > j. For this 6 links manipulator, is a function of the geometry of the manipulator structure, it can
6 1 vector and K is a 6 60 matrix. be generated by simulation. The SVD of K can be expressed
as [19]
C. Trajectory Parametrization K = U SV T , (19)
Arbitrary signal can be expressed as the Fourier expansion Considering = V T and = U 1 = U , (19) can be
as (15). In this expression, the parameter can be designed as rewritten as
band-limited and periodic signal if N is nite. Similarly, the = S, (20)
angular velocity and angular acceleration can be expressed as
follows. where S is a 6M 60 matrix, and is 60 1 matrix. As
N
S is a diagonal matrix, S6M60 can be replaced as S6Mr ,
ak bk meanwhile 601 can be replaced as r1 , where r is the
= 0 + sin(kf t) cos(kf t) , can be estimated
kf kf rank of matrix S. The new inertia matrix
k=1
N as
= (ST S)
1 ST .
= 0 + ak cos(kf t) + bk sin(kf t) , (15) (21)
k=1 Another method is Ridge Regression. In this method, the
N
matrix K T K is substituted by K T K + I10n . I10n is a
= 0 kf ak sin(kf t) + kf bk cos(kf t) , identity diagonal matrix and represents a very small value
k=1
which is much less than the smallest nonzero eigenvalue of
where ak and bk are the coefcients of Fourier transformation; K T K. In this way, the estimated can be expressed as
0 , 0 , 0 are the offsets of each joint trajectory; f is the
= (K T K + I60 )1 K T .
(22)
fundamental pulsation of the Fourier series; k is the frequency
coefcient.
IV. R ECURSIVE A DAPTIVE C ONTROL D ESIGN
D. Parameter Optimization for Trajectory
A. Adaptive Control
Based on the Theorem 1, the PSO has the convergence prop-
erty. Meanwhile the PSO method can converge to the ideality The dynamics of an n-link rigid robotic system without
limits in a shorter time for this optimization problem. We can additional friction or external disturbance can be described
treat this parameter optimization for exciting trajectory as a as follows [7]
multi-dimension nonlinear free model optimization problem.
M (q)
q + C(q, q)
q + G(q) = . (23)
For K in (17) is a nonsingular matrix, the condition number
of matrix S can be dened as the objective function, where Property 1: [7] The matrix M (q) is symmetric and positive
S = diag(1 , 2 , , m ) is a part of S shown in (19). Thus denite. The matrix M (q) 2C(q, q)
is skew-symmetric.
the objective function is as Eq. (16) shown and the variables Property 2: [7] Assuming there is no external disturbance,
are Fourier transformation coefcient ak and bk in (15). the left-hand side of the dynamic equation can be linearly
2 S1 2 . parameterized as
cond(S) = S (16)
M (q)
q + C(q, q)
q + G(q) = Y (q, q,
q). (24)
E. Model Identification Method
Remark 2: The notation () represents the computed or
With the torque sensors on each joint of the manipulator, i nominal value of () and indicates that the theoretically exact
can be measured directly. And (14) represents the dynamics of feedback linearization cannot be achieved in practice due to
the joint for one sample point. As in this model identication, uncertainties in the robotic system. The error or mismatch
there are M data points: () = () () is a measure of ones knowledge of the system
1
K1 dynamics.
K2 2 In this article, the basic adaptive control law follows the

K = . , = . , = K, (17) method in [7]. Using the sliding model control method, both
.. ..
the steady state position error and velocity error can be
KM M eliminated. The desired trajectory of q(t) is qd (t). And the
where K is a 6M 60 matrix and is a 6M 1 vector. For trajectory error is q = q(t) qd (t). The control objective is to
the structure inherent characteristic, the matrix K may be not track the desired trajectory. We use the sliding surface error
full rank. So the least square method is needed. The estimated to estimate error as in [20],
of can be expressed as (18)
s = q qr = q +
q, (25)
T 1 T
= (K K) K , (18) As mentioned before, we need to estimate robotic system
parameters by LIP method so that the matrix Y is now a
The following two methods can be applied to solve the
function of qr and qr
nonsingular problem. One method is Singular Value Decom-
position (SVD) of K in (17). For the matrix K is only the (q)
M q)
qr + C(q,
qr + G(q) = Y (q, q,
qr , qr ). (26)
463
4
We can design the control law and adaptive law as the condition number less than 130 is enough for exciting the
full statement of the arm structure. The optimization results
q) Kr,
= Y (q, q, (27)
of the Fourier coefcients are shown in Table I

= 1 Y T (q, q, q)r, (28) From the simulation result, it is obvious that the PSO algo-
rithm has a high convergence efciency. Using the coefcient
where and K are both diagonal constant matrixes. Con- parameters in Table I and based on (15), the optimal trajectory
sidering the Lyapunov stability, we can design the Lyapunov can be obtained as shown in Fig. 2.
function as
1 1
V (t) = rT M r + T . (29)
2 2 Exicting trajectory
Joint1 pos
2
We can obtain the time derivative of the last formula -2

0
0 50 100 150 200 250 300 350 400

1
V (t) = rT M r + rT M r + T .
time
(30)
Joint2 pos
2
2 0
-2
0 50 100 150 200 250 300 350 400
Considering the property mentioned above and substituting the time
Joint3 pos
6
control law and adaptive law in, we have 4
2
0
V (t) = rT Kr 0.
0 50 100 150 200 250 300 350 400
(31) time
Joint4 pos
1
0
-1
-2
-3
B. Recursive Algorithm 0 50 100 150 200

time
250 300 350 400
Joint5 pos
2
In this article, the initial value of adaptive control is sup- 0
-2
posed to be the estimated vector in model identication. So 0 50 100 150 200

time
250 300 350 400
the real value in (27) can be dened as
Joint6 pos
2
0
-2
i =[mi , mci,x , mci,y , mci,z , Ii,xx , Ii,xy , Ii,xz , 0 50 100 150 200
time
250 300 350 400
(32)
Ii,yy , Ii,yz , Ii,zz ]T .
To simplify the description of the Slotine adaptive control
Fig. 2. Optimal trajectory
method in (24), we can dene r as
qr + C(q,
r = H(q) q)
qr + G(q) = Y (q, q,
qr , qr ). (33) In the Fig 2 the solid lines are the joint trajectories, and
the dot lines are the constraint of each joint. The gure shows
As we know, recursive algorithm is an open-loop model, in that all the excited trajectories are restrained in the constraint
which each joint can be analyzed separately. The control and boundary.
adaptive law can be written in a recursive way. We assume that
in (27) is consisted by positive denite matrix Pi R1010 .
B. Parameter Estimation
The torque control and adaptive law in (27) can be represented
as follows The measured and estimated torque are shown in Fig. 3. In
this gure, the thick line is the measured torque, and the thin
= r KD s, (34) line is the estimated torque. Fig. 3 illustrated that the measured
i and estimated torque are almost identical. The estimation error

i = Pi T
sj yji , (35) is very small, which is shown in Fig. 4.
j=1 From the torque estimation result and estimation error, it is
n apparent that the torque of each joint can be estimated with
where r,i = k=1 yik k is the ith element of r , and yik =
(yik,1 , yik,2 , , yik,10 ) R110 is the element of Y in (27). a high accuracy. The torque estimation errors are less than
As the derivation in, the parameter yik in (35) can be expressed 5 107 N m. The high accuracy estimation result indicates
as that the estimated inertia parameters are suitable for this set of
trajectories and torques. And the estimated inertia parameters
yik = (ki )T Bk + (ik )T Ak , (36) are shown in Table II.
where
k1
C. Recursive Adaptive Control
ki = k
k1 Ri , (37)
k1
On the basis of the RNE adaptive control algorithm, the
hki+1 = k
k1 R(hi+1 +k1
k p), (38) simulation experiment is provided in this section. We use
ik = ki hki+1 , (39) zero as the initial position of each joint. The initial value of
inertia parameters in (32) are the estimated data from the
From the (27) and (34), torque can be calculated [15]. model identication module. The initial values of the other
parameters in recursive algorithm are as follows: 0 = 0,
V. N UMERICAL S IMULATIONS AND D ISCUSSION
0 = 2z0 g, 0 = 0, hii+1 = 0, and i i = zi /2, where g is the
A. Exciting Optimal Trajectory gravitational acceleration. The gain matrix KD in (34) is given
The excitation of optimal trajectory is the rst step of the by diag(22, 10, 13, 13, 11, 12), the sliding surface coefcient
model identication. For the condition of model identication, matrix in (25) is given by diag(8, 30, 5, 0.1, 13, 0.1) and
464
5
TABLE I
C OEFFICIENTS
Coefcients Joint1 Joint2 Joint3 Joint4 Joint5 Joint6

a1 0.0809 0.1578 0.0747 -3.084e-4 -0.0175 0.1089
a2 0.1870 -0.1432 -0.1236 0.2508 0.3013 0.0044
a3 -0.0406 -0.1306 0.3670 0.0597 -0.0538 0.1254
a4 -0.1554 -0.1242 0.0960 0.3006 0.0482 0.0967
a5 -0.0376 -0.0860 0.1920 -0.1368 0.0493 -0.1159
b1 -0.1426 -0.3889 -0.2593 0.1383 0.0924 0.2347
b2 0.1021 0.1311 0.3530 -0.103 -0.0603 0.1098
b3 0.1690 0.0790 -0.1844 -0.0430 -0.0339 -0.2097
b4 0.1530 0.3067 -0.4159 -0.0115 0.1136 -0.0243
b5 0.3600 0.1896 -0.2709 -0.1878 0.2461 0.1022
TABLE II
E STIMATED PARAMETERS
Parameters Unit Joint1 Joint2 Joint3 Joint4 Joint5 Joint6

mi Kg 0 0 0 1.5370e-02 1.53699e-02 3.55626e-02
mcx Kg m 0 9.54103e-08 9.64515e-09 -2.665e-05 1.17065e-02 5.07750e-03
mcy Kg m 0 2.72188e-05 -8.1902e-02 8.8609e-03 -1.2679e-05 6.99648e-03
mcz Kg m 0 3.40486e-19 -2.7219e-05 8.3420e-02 -8.8609e-03 - 9.35302e-03
Ixx Kg m2 0 2.47756e-03 2.13150e-03 4.7763e-03 -4.4776e-03 0.51961e-03
Ixy Kg m2 0 7.64263e-07 2.64990e-08 1.4295e-06 4.92949e-08 - 3.23927e-05
Ixz Kg m2 0 -1.55390e-07 -6.6769e-08 2.0950e-07 2.98953e-03 - 2.81641e-04
Iyy Kg m2 0 2.68877e-03 2.89464e-04 -6.955e-04 1.47890e-02 5.11529e-03
Iyz Kg m2 0 -3.45664e-09 -1.4773e-10 1.2946e-05 6.67067e-09 - 1.89297e-04
Izz Kg m2 5.16632e-03 -5.65875e-05 1.94927e-03 5.5351e-03 1.93014e-02 7.4893e-04
10-7 Estimated error

2
1
0
-2
0 50 100 150 200 250 300 350 400
time steps
Measured and estimated torques 10-7
0.5 2
0
2
0
1
0.5 -2
0 50 100 150 200 250 300 350 400
0 50 100 150 200 250 300 350 400 time steps
10-7
time steps 5
0
3
5 -5
0
2
0 50 100 150 200 250 300 350 400

5 time steps
0 50 100 150 200 250 300 350 400 2
10-7
time steps
4
0
-2
1 0 50 100 150 200 250 300 350 400
0
3
time steps
1 5
10-7
0 50 100 150 200 250 300 350 400
5
0
time steps -5
0 50 100 150 200 250 300 350 400
0 time steps
0.5
4
10-7
1 2
0
6
0 50 100 150 200 250 300 350 400 -2

0 50 100 150 200 250 300 350 400
time steps time steps
1
0
5
1
0 50 100 150 200 250 300 350 400
time steps Fig. 4. Estimated error
0.1
0
6
0.1
0 50 100 150 200 250 300 350 400
time steps
measured
estimated
adaptive law matrix P in Eq. (35) is given by 106 I60 , where
Fig. 3. Measured and estimated torque
I60 is a 60 60 identity matrix. According to the set of
initial values, the control simulation effect and control error
are shown in Fig. 5 and Fig. 6. In Fig. 5, the solid and dot
lines represents the actual and desired trajectory of each joint,
465
6
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control of a rehabilitation robot by state and output feedback, Journal
of Intelligent & Robotic Systems, pp. 117, 2014, DOI: 10.1007/s10846-
Fig. 5. Output of the robotic system with adaptive control 014-0150-6.
[11] Z. Li and C.-Y. Su, Neural-adaptive control of single-master-multiple-
slaves teleoperation for coordinated multiple mobile manipulators with
time-varying communication delays and input uncertainties, IEEE
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with application to MEMS gyroscope, Journal of Mechanical Science
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and Technology, vol. 25, no. 8, pp. 20612066, 2011.
[13] W. He, S. S. Ge, B. V. E. How, and Y. S. Choo, Dynamics and Control
0.2 of Mechanical Systems in Offshore Engineering. London, UK: Springer,
2014.
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[14] Q. Wei and D. Liu, Adaptive dynamic programming for optimal
Error
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tracking control of unknown nonlinear systems with application to coal
Joint 1 gasication, IEEE Transactions on Automation Science and Engineer-
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[15] H. KaWasaki, T. Bito, and K. Kanzaki, An efcient algorithm for the
1
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Zero line
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VI. C ONCLUSION
In this paper, the D-H model of the upper limb of HUBO

is presented and the NE formulation of the manipulator has
been derived. The exciting trajectory generation method based
on PSO has been proposed. Using this method, the accuracy
and generalization of the estimation result can be guaranteed.
Based on the optimized trajectory, the structural inertia pa-
rameters have been estimated. To reduce the complexity of
the computation, recursive adaptive control algorithm plays a
good role for improving the control performance.
466
Precise Tracking Control for Piezo-Actuated Stage

Using Inverse Compensation and Model Predictive
Control
Nguyen Manh Linh and Tran Vu Minh Xinkai Chen

Graduate School of Engineering and Science Department of Electronic and Information Systems
Shibaura Institute of Technology Shibaura Institute of Technology
Saitama 337-8570, Japan Saitama 337-8570, Japan
Email: mf14421@shibaura-it.ac.jp Email: chen@shibaura-it.ac.jp
AbstractIn this paper, we consider tracking control prob- variation of plants parameters and disturbance. However,
lem of piezo-actuated stage which is composed by a piezoelec- inversion-based Prandtl-Ishlinskii or Preisach model is
tric actuator (PEA) and a positioning mechanism (PM). This quite complicated and requires much computation effort. In
plant can be modeled by cascading a hysteresis with a linear contrast, Bouc-Wen model has received increasing interest
dynamical system. The tracking performance of this system due to its ability to describe a variety of hysteresis with
is signicantly affected by hysteresis phenomenon of PEA. In
less parameters [7]. Therefore, several control techniques
order to improve the performance, a modied Bouc-Wen model
is proposed to describe the hysteresis more accurately. Then, based on Bouc-Wen model have been proposed. In [8], a
inverse Bouc-Wen is used to compensate hysteresis nonlinearity. simple inversion-based multiplicative structure is proposed
Finally, model predictive control (MPC) with integral of error to compensate for hysteresis nonlinearity in PEAs. However,
state variable is employed for control design. Experimental this feed-forward technique with xed parameters can not
results show that the proposed method has excellent tracking perform well under variation of amplitude and frequency. To
performance in comparison with conventional proportional- enhance the performance, other advanced techniques such
integral (PI) controller. as adaptive control [9], [11], sliding mode control (SMC)
KeywordsHysteresis, model predictive control, inversion- [10] are also employed. In [9], a discrete-time Bouc-Wen
based control, Bouc-Wen model. model is setup by using numerical approximation. Then, all
the unknown parameters are on-line updated by adaptive
law while stability and small tracking error are guaranteed.
I. I NTRODUCTION But in this case, the inuence of load is not considered.
In micro-nanotechnology, PEA has been widely used In [10], the unknown parameters are off-line estimated by
because of their fast response, high stiffness, high operating particle swarm optimization (PSO). After that, a hysteresis
frequency and precision in displacement (to subnanometre compensator based inverse multiplicative structure is
resolution). However, intrinsic drawbacks such as hysteresis, employed to linearize the system. The remaining model
creep and structural vibration may signicantly degrade error is then estimated by a linear extended state observer
performance of controlled system. In tracking control (LESO) and handled by a SMC. Experimental results of
applications, the major problem is hysteresis, which is rate this method show robustness and good performance at low
and amplitude dependent. In open-loop case, it may produce frequency. However, the tracking frequency is limited at
10% 15% displacement error at low frequency, and even 15Hz where the tracking error is up to 10%.
larger at high frequency [3]. Hence, improving performance In this study, tracking control problem of piezo-actuated
of PEA control systems with hysteresis nonlinearity has stage is considered. In theory, conventional Bouc-Wen
received great attention. model can effectively describe symmetrical hysteresis. In
In order to effectively deal with hysteresis problem, the fact, the hysteresis in such system as piezo-actuated stage
most popular approach is to describe the hysteresis by a is not truly symmetric. Hence, a modied Bouc-Wen model
mathematical model rst and then develop the controller. is proposed to enhance the exibility in describing the
Several models have been proposed to describe the hysteresis hysteresis phenomenon. For control design, an inversion
such as Preisach model [5], Prandtl-Ishlinskii model [2], of hysteresis is used to cancel its effect rst. Once the
Bouc-Wen model [7], etc. Base on these models, various hysteresis is compensated, any other control techniques can
control techniques have been developed [1]. For example, in be applied. Among the existing control techniques, MPC
[3], [4], [6], an inverse hysteresis is built and put in cascade is one of the most popular approach because of its ability
with PEA as a compensator. Then, by using feedback to deal with constraints [12], [13]. Further analysis also
control technique, the system can perform well under small shows that MPC has feedforward and feedback properties,
978-1-4673-7995-3/15/$31.00 2015
c IEEE 467
Fig. 1: Conventional Hysteresis Loop Fig. 2: Hysteresis loop of PEA
which may improve performance of tracking control at high = 0.3, 1 = 1, 2 = 3, v(t) = 10 sin(210t). From (4)
frequency. However, conventional MPC has behavior of a and Fig. 1, it can be seen that the upper and lower bound of
proportional control. As a result, steady state error may hysteresis loop has same absolute value. But in practice, these
exists, especially when the model is imperfect. In order to bounds are different. Fig. 2 shows a practical hysteresis loop
deal with above problem, MPC with integral of error state of piezo-actuated stage, in which the upper bound is larger
variable is utilized. To show the effectiveness of proposed than the lower bound (8.3m and 7.6m). In order to get a
method, an experiment is conducted and the results are better description of this phenomenon, a modied Bouc-Wen
compared with those obtain from conventional PI controller. model with ability to move the hysteresis loop up or down
is proposed in this paper.
II. P ROBLEM S TATEMENT B. Modied Bouc-Wen Model

A. Hysteretic Characteristic of Bouc-Wen Model The modied Bouc-Wen model can be described by
following equations:
Hysteresis nonlinearity in smart materials like PEA can
be described by Bouc-Wen model [11]: u = H(v) = 1 v + 2 a (8)
a = v(1
(sign(v)sign(
a ) + + sign(v))|
a | ) (9)
n
u = H(v) = 1 v + 2 (1)
where a is modied hysteresis variable, is new introduced
= v(1
(sign(v)sign()
+ )||n ) = vf
(, v)
(2) parameter, which ships the hysteresis loop upward or down-
with (t0 ) = 0, > ||, n 1, , and n are parameters ward and must satisfy || + ||. New upper and lower
which decide the shape, amplitude and smoothness of the bound of hysteresis variable are given by following lemma.
hysteresis loop, 1 and 2 are constants with same sign. Lemma 1: Consider nonlinear dynamical system described
Normally, 1 and 2 are positive, representing the energy by (8) and (9). For any piecewise continuous input v, the
dissipation property of mechanical system. is a hysteresis output a is bounded with

variable. Function f (, v)
is known as shape function, with n 1/( + ) a n 1/( + + ) (10)
and dened as
two inputs and v,
Proof: By using following Lyapunov function
f (, v)
= 1 (sign(v)sign()
+ )||n (3)
La = a (t)2 /2 (11)
For any piecewise continuous input signals v, the value of
hysteresis variable is bounded [7], [11]: Taking derivative of La we have four different expressions
governed by the signs of inputs v and a as follow
|(t)| n 1/( + ) (4)
1) With a 0 and v 0 :
Inversion of above hysteresis is proposed in [11] as follow:
L = a v(1
( + + )|a |n ) (12)
1 2
v(t) = HInv (u(t)) =
1
u
1
1 (5) It is clear that if || + ||, then L 0 for

u a n 1/( + + ) = M ax (13)
v = (6)
1 + 2 f (1 , u1 )
2) If a < 0 and v < 0:
u u
1 = f (1 , ) (7) L = a v(1
( + )|a |n ) (14)
1 + 2 f (1 , u1 ) 1
Hence, L a 0 for
An example of typical hysteresis loop and variable is il-
lustrated in Fig. 1. The parameters are set as = 0.6, a n 1/( + ) = M in (15)
468
3) In other cases:
L = a v(1
+ ( )|a |n ) 0 (16)

From (12)-(16), it can be concluded that La 0 for all
a M ax or a M in . It means for every piecewise
continuous input v and initial condition a (t0 ) satisfy M in
a (t0 ) M ax , then M in a (t) M ax . An example
about the inuence of parameter is illustrated in Fig. 3.
The parameters are set as = 0.55, = 0.1, = 0.35,
1 = 1, 2 = 3, v(t) = (10t + 2) sin(210t). Fig. 3: Inuence of on modied Bouc-Wen model
C. Inversion of Modied Bouc-Wen Model

The inversion of modied Bouc-Wen model described by
(8) and (9) has the same form and properties as in [11]:
1 2
v = HInv (u) = u aI (17)
1 1
u u Fig. 4: Structure of control system
aI = fa (aI , ), aI (t0 ) = 0 (18)
1 + 2 fa (aI , u )
1
1
III. C ONTROL D ESIGN
u u u
fa (aI , ) = 1(sign(aI )sign( )++sign( ))|aI |n A. MPC based Non-minimal State Space (NMSS) Model and
1 1 1
(19) Integral-of-Error State Variable
where aI is inverse hysteresis variable and fa is shape The block diagram of control system is depicted in Fig.
function of inverse model. 4. The piezo-actuated stage is composed by a PEA and a
Lemma 2: Nonlinear dynamic system described by (17)- mass-spring-damper. Hence, above plant can be modeled by
(19) has following properties [11]: cascading hysteresis, which is described by modied Bouc-
a. The output aI (t) is bounded by (10). Wen model, with a linear dynamical system. An inverse
b. For aI (t0 ) = 0, sign(aI ) = sign(v)
= sign( u1 ) Bouc-Wen model is utilized to compensate for nonlinear
c. If H(HInv (u(t0 ))) = u(t0 ), then hysteresis. Then, MPC with integral of error state variable
is employed for control design purpose.
H(HInv (u(t))) = u(t) (20) In discrete time case, linear dynamical model can be repre-
Proof: Substitute in [11] by + sign() and use the same sented by
method. y(k) = a1 y(k 1) an y(k n)
+ b1 u(k 1) + + bm u(k m)
(26)
D. Discrete Time of Inverse Modied Bouc-Wen Model a1 y(k 1) an y(k n)
+ b1 u(k 1) + + bm u(k m)
For control implementation purpose, a discrete time ver-
sion of inverse modied Bouc-Wen model is derived by using in which, y(k) and u(k) are output displacement and input
numerical approximation. control voltage at time instance k, respectively. The term
aI,k+1 aI,k represents modeling error. For simplicity, this error can be
aI (21) regarded as input and output disturbance.
Ts
uk+1 uk uk Ld = a1 y(k 1) an y(k n)
u = (22) (27)
Ts Ts d =b1 u(k 1) + + bm u(k m)
where Ts is sampling period. Substitute (21) and (22) into
Without disturbances, (26) can be rewritten in transfer
(17)-(19), we get the approximate solutions
function form as
1 2
vk = uk aI,k (23) B(z 1 )
1 1 Wp = (28)
uk A(z 1 )
aI,k = aI,k1 + fa (k) (24)
1 + 2 fa (k) where z 1 is backward shift operator, A(z 1 ) and B(z 1 )
uk are two relatively prime polynomials of order n and m,
fa (k) = 1 (sign(aI,k1 )sign( )
1 respectively, satisfying m n
(25)
uk
+ + sign( ))|aI,k1 |n B(z 1 ) = b1 z 1 + b2 z 2 + ... + bm z m (29)
1
A(z 1 ) = 1 + a1 z 1 + a2 z 2 + ... + an z n (30)
469
T
In conventional MPC, the linear dynamical system is nor- UF = [uk uk+1 uk+N p1 ]
T
mally represented in controllable canonical state space form. YdF = [yd,k+1 yd,k+2 yd,k+N p ]
But in this case, the state variables may have no physical
T T
XF = x (k + 1) xT (k + 2) xT (k + N p)
meaning and immeasurable leading to the need of an ob-
The optimal control sequences can be obtained by minimiz-
server. For simplicity, NMSS model with an integral of error
ing following objective function
state variable is utilized in this paper because of several
advantages such as: all state space variables are measurable, J = UFT u UF + XFT x XF (35)
type 1 servomechanism performance can be established by
integral of error part of the state vector [14]. where x and u are two positive denite weighting matrix
Dene the integral of error state variable as of dimension (n + m)N p (n + m)N p and N p N p,
zk = zk1 + yd,k yk (31) respectively. Without constraint, by substituting (34) into (35)
and differentiating J with respect to U , the solution for
in which, yd,k is desired output at time instance k. From (26) optimization problem can be obtained as [14]
and (31), the system can be represented in NMSS form as
follow, UF = Kx(k) RYdF (36)
x(k) = Ax(k 1) + bu(k 1) + dyd (k) K= (u + HT x H)1 HT x F (37)
(32)
y(k) = cx(k) R= (u + HT x H)1 HT x G (38)
where the state vectors and matrices are dened as, After getting solution from (36)-(38), the rst element
T
x(k) = [yk ykn+1 uk1 ukm+1 zk ] of control sequences U will be used as input of inverse
(n+m)(n+m)
A = Bouc-Wen model (23)-(25). The output v(k) computed from

a1 an1 an b2 bm1 bm 0
1 (23) is the actual control output. Other remaining elements
0 0 0 0 0 0
of vector U are ignored. The process is repeated in every
.. .. .. .. .. .. .. .. ..
. . . . . . . . . next sampling cycles.

0 1 0 0 0 0 0

0 0 0 0 0 0 0
0 0 0 1 0 0 0
B. Properties of MPC using NMSS and Integral of Error
. .. .. .. .. .. .. .. ..
.. . . . State Variable
. . . . .
0 0 0 0 1 0 0 Let K r1 = [k1 kn+m ] and Rr1 = [r1 rN p ] be the
a1 an1 an b2 bm1 bm 1 rst row of matrix K and R, respectively. The output of MPC
b(n+m)1 = [b1 0 0 1 0 0 b1 ]
T
at each sampling cycle can be computed by:
(n+m)1 T
d = [0 0 1]
uk = (r1 yd,k+1 + + rN p yd,k+N p )
c1(n+m) = [1 0 0]
Base on (32), the future state vector in next Np steps can be (k1 yk + + kn ykn+1 )
(39)
obtained recursively as (kn+1 uk1 + + kn+m1 ukm+1 )
N
p1 kn+m zk
x(k + N p) = AN p + AN pi1 buk+i
or in polynomial form,
i=0
N
(33)
p1
L(z 1 )uk = S(z 1 )yk R(z 1 )yd,k+N p + KI zk (40)
+ N pi1
A dyd,k+i+1
j=0 where
In matrix form, (33) can be rewritten as S(z 1 ) = k1 + k2 z 1 + + kn z n+1 (41)
XF = Fx(k) + HUF + GYdF (34) R(z 1 ) = rN p + rN p1 + + r1 z N p+1 (42)
in which, UF , YdF and XF are future control sequences, L(z 1 ) = l0 + l1 z 1 + + lm1 z m+1 (43)
desired outputs and
states, respectively.
b 0(n+m)1 0(n+m)1 with l0 = 1, li = kn+i and KI = kn+m .
A yd,k yk
Ab b 0(n+m)1 Substitute zk = 1z 1 into (40), the control law can be
.
F = .. H = .. .. .. .. described by
Np
. . . .
A Np Np 1
1 KI
A b A b b uk = { (yd,k yk ) S(z 1 )yk
d 0(n+m)1 0(n+m)1 L(z ) 1 z 1
1
(44)
Ad d 0(n+m)1 R(z 1 )yd,k+N p }

G = .. .. .. ..
. . . . From (44), the block diagram of MPC based NMSS is
ANp d ANp 1 d d constructed as illustrated in Fig. 5. Denote Wc , Wd and WLd
470
in which 1x = diag(2 ) of dimension Np Np , Hf and
Hh are matrix of dimension N p (n + m) and Np Np ,
respectively. Dene = 1 /2 , then we have
u = 1x (52)
Substitutes (51) and (52) into (50) and eliminate 1x in both
sides, we have
Hf = (I + Hh )K (53)
Fig. 5: Block diagram of MPC based NMSS Equation (53) shows that the position of closed loop poles
can be adjusted by the ratio between the two weighting
as transfer function from reference input, input disturbance matrices. Hence, tuning procedures are as follow:
and load disturbance to output, respectively, we have Step 1: Fix u by abitrary value 1 as (49).
KI Bz N p (1z 1 )RB
Step 2: Set scale factor and nd x by (52).
Wc = Y
Yd,k+N p = KI B+(1z 1 )(SB+LA) (45) Step 3: Check the stability of closed loop system by using
1
(1z )LB (37) and (45). Return to Step 2 if the performance is not
Wd = Y
d = KI B+(1z 1 )(SB+LA) (46) satised.
(1z 1 )LA
WLd = Y
Ld = KI B+(1z 1 )(SB+LA) (47)
IV. E XPERIMENTAL R ESULTS
The stability of closed loop system can be established by
tuning weighting matrix u and x , then it follows that To show the effectiveness of the proposed method, an
experiment is setup by using available commercial devices
lim Wc = 1 listed in Table I. The sampling period of controller is xed
z1
lim Wd = 0 at 0.5ms. The piezo-actuated stage is shown in Fig. 6.
(48)
z1 The order of both Bouc-Wen and linear dynamical system
lim WLd = 0 is chosen as n = 2. Then, all parameters are off-line
z1
estimated by open-loop data and optimization toolbox of
From (48), it can be concluded that the output of closed loop Matlab. Fig. 7 shows that the estimated hysteresis has good
system will track any constant reference while rejecting other agreement with the experiment loop and the model error is
constant input and output disturbances. smaller in comparison with conventional Bouc-Wen model.
Finally, sinusoidal reference signals with amplitude 10m
C. Tuning of MPC and different frequencies are utilized to verify the tracking
Tunable parameters of MPC are the prediction horizon performance. The experimental results of proposed method
and the weighted matrices used in cost function. In theory, are compared with those getting from PI controller. All
number of prediction horizon NP can be set to be innite to parameters of system are listed in Table II. From Fig. 8, it
ensure stability of closed loop system. But in practice, NP can be observed that at low frequency (1Hz) the maximum
is nite and depends on power of control hardware. In this tracking errors of both methods are very small, 0.02m with
case, the stability of system mainly depends on the weighted proposed method and 0.05m with PI. As the frequency
matrices x and u . From (45), it can be observed that the increases (20Hz), the tracking error of PI controller increases
rst rows of matrix K decides the position of closed loop signicantly (0.8m) in comparison with proposed method
poles. But the relationship between K and the two weighted (0.2m).
matrix x and u (37) is not straightforward and make tuning
of MPC become a challenging task. Many results on tunning TABLE I: Experimental Devices
of MPC have been listed in [15] and its citations. In this
paper, simple tunning technique is proposed as follow. Devices Name Producer Characteristics
Let select PEA - PFT-1100 Nihon Ceratec max 85m, 800N
Displacement sensor-PS-1A Nanotex Resolution: 2nm
u =diag(1 ), 1 > 0 -10V 150V ,
Power supply PD-1200 Nihon Ceratec
> 0, if i = j = k(n + m), 0 < k Np Bandwidth: 6kHz
x (i, j) = 2 Interface Board CONTEC 16bits 32ch AI, 2ch AO,
0, in other cases AIO-163202F-PE sampling rate: 500kHz
(49)
Equation (37) can be rewritten as V. C ONCLUSION
HT x F = (u + HT x H)K (50) This paper has discussed about tracking control of piezo-
Note that actuated stage. Firstly, a modied Bouc-Wen model has been
proposed to describe hysteresis phenomenon in PEA more
HT x F = 1x Hf accurately. Then, inversion of modied Bouc-Wen model in
(51)
HT x H = 1x Hh discrete time case is obtained and utilized to compensate for
471
TABLE II: Systems Parameters
Parameter Value Parameter Value Parameter Value
1 1.1922 -0.0083 b2 0.2096
2 0.5908 a1 -0.2435 1 0.05
0.0255 a2 -0.215 2 0.22
0.0073 b1 0.0794 Np 3
Kp 0.7613 KI 3167
Fig. 8: Tracking errors at 1Hz and 20Hz
[4] Jin-Wei Lian, Hung-Yi Chen, Feedforward and feedback control for
Fig. 6: Piezo-actuated stage piezoelectric-actuated systems using inverse Prandtl-Ishlinskii model
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with inverse rate-dependent model for piezoelectric actuators in trajec- [15] J.L. Garriga, M. Soroush, Model predictive control tuning methods:
tory tracking applications, IEEE/ASME Trans. Mechatronics, vol. 12, a review, Ind. Eng. Chem. Res., 49, 3505-3515, 2010
no. 2, pp. 134142, Apr. 2007.
472
Oscillatory Behavior based Fault Feature Extraction for

Bearing Fault Diagnosis
Juanjuan Shi Ming Liang

Department of Mechanical Engineering, University Department of Mechanical Engineering, University
of Ottawa, ON, Canada K1N 6N5 of Ottawa, ON, Canada K1N 6N5
E-mail: jshi091@uottawa.ca E-mail: ming.liang@uottawa.ca
Abstract - An intelligent fault signature extraction naturally, bearing condition monitoring has been the
scheme based on oscillatory behaviors is reported in subject of intensive research. Bearing health assessment
this paper for bearing fault diagnosis. The proposed is mostly done based on the analysis of vibration signal
method is based on the joint application of measured via accelerometers.
morphological component analysis (MCA) and tunable
However, vibration signal collected from a
Q-factor wavelet transform (TQWT) to decompose a
defective bearing is a mixture of several signal
signal into two signal components (i.e., low- and high-
components including the fault-generated impulse,
oscillation components) according to whether they
interferences from other mechanical or/and electrical
having sustained oscillations. As bearing fault-induced
components, and background noise. The fault-induced
transients (low-oscillation component) oscillate
signature, especially at its early stage, is often severely
differently from periodic interferences and noise (high-
masked by background noise and various interferences,
oscillation component and residual), they can be
making fault feature extraction full of challenges.
separated via the MCA with the aid of TQWT which is
Therefore, to ensure the fault signature is extracted
parameterized by Q-factor and plays a role of
successfully, de-noising methods are required to
distinguishing signal components presenting different
remove such corrupting noise and interferences
oscillatory behaviors. The low- and high-oscillation
effectively.
components can be obtained by solving the objective
function formulated based on MCA and TQWT. The The de-noising methods can in general be grouped
determination of Q-factor for each signal component into two classes, i.e., the filter-based and wavelet
representation is also explored in this paper. The decomposition-based. The former includes classical
effectiveness of the proposed method is examined by filter-based (i.e., low-pass, high-pass, band-pass, band-
experimental data. stop filters, etc.) and wavelet filter-based methods. The
pivotal point of classical filter-based de-noising
Keywords: Oscillatory Behavior, Intelligent Fault
methods is to find the proper center frequency and
Feature Extraction, Signal Decomposition, Tunable Q-
bandwidth so as to keep the impulse-like signal
factor Wavelet Transform, Bearing Fault Diagnosis
component as much as possible but filter out the noise-
I Introduction and interference-related signal components. However,
Rolling element bearings are among the most this kind of methods often requires prior knowledge of
frequently encountered components in the vast majority the system and signals, which in reality is often
of rotating machines, their reliability and carrying unknown beforehand. The WT can also be considered
capacity being important for the performance of the as a special filtering operation. The frequency response
overall machine. However, they are prone to failure as of the wavelet filter varies as the scale factor and shape
they often work in a harsh environment and are factor change. In this way, low-pass, high-pass, band-
subjected to heavy load [1, 2]. Therefore, quite pass or multi-band pass filters can be obtained.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 473
Nevertheless, the performance of these de-noising Fig. 1, two important features can be obtained: (1) time-
techniques is greatly affected by the wavelet parameter scaling a signal produces no effect on its oscillatory
selection strategy. Wavelet decomposition de-noising behaviors, and (2) signals with the same Q-factors, i.e.,
technique is also commonly used for bearing fault the same oscillatory behaviors, may be either high
detection. The theoretical foundation of this kind of frequency signals or low frequency signals, which
methods is the principle of multi-resolution analysis [3, means the Q-factor is independent of signal frequencies.
4]. However, such methods that are developed for This feature is particularly important. For example, the
Gaussian white noise reduction are incapable of traditional filter-based methods are non-effective in
removing periodic interferences. Motivated by the separating these signals, like signals in Fig. 1 (a) and (c)
issues presented above, a new fault signature extraction (or signals in (b) and (d)), because they share the same
method based on oscillatory behaviors is proposed in frequency band. However, the OBSD provides an
this paper. appealing means for addressing this issue.
This paper hereafter is structured as follows. The 0.2

a 8
concept of the signal oscillatory behavior is interpreted 0.1 6 Q = 3.6
in section , where the oscillatory behavior based
Amplitude
Amplitude
0 4
signal decomposition (OBSD) is also detailed. Section
-0.1 2
introduces the basis generation based on TQWT. The
-0.2 0
0 0.1 0.2 0.3
strategies of determining parameters for the proposed 0 0.005 0.01 0.015
Time (s)
0.02
Normalized frequency
method are given in Section V. Section V validates the b 0.1 20
proposed method by experiments. The conclusion is 0.05 15 Q = 3.6
Amplitude
Amplitude
drawn in Section V. 0 10
-0.05 5
II Oscillatory Behavior based Signal
-0.1 0
Decomposition 0 0.005 0.01 0.015
Time (s)
0.02 0 0.1 0.2
0.3
The OBSD method expresses a signal as the sum of c 0.3 3
0.2
high-oscillation and low-oscillation components. A 2
Q=1
Amplitude
Amplitude
0.1
high-oscillation component is defined as a time domain 0
1
waveform that displays sustained oscillatory behaviors -0.1
whereas a low-oscillation component is defined as a -0.2

0 0.005 0.01 0.015 0.02
0
0 0.1 0.2 0.3
waveform that is consisted of non-oscillatory transients 0.15
Time (s)
d 6
[5]. To illustrate, four signals are presented in Fig.1, 0.1
Q=1
where signals in Fig.1 (a) and (b) are classified as high- 4
Amplitude
Amplitude
0.05
oscillation components as each of them contains several 0

2
-0.05
cycles of a sine wave multiplied by a bell-shaped
-0.1 0
0 0.1 0.2 0.3
function; whereas, signals in Fig.1 (c) and (d) are low- 0 0.005 0.01 0.015
Time (s)
0.02
oscillation components that does not exhibit Fig. 1 Signals oscillatory behaviors quantified by Q-factors: a high
continuously oscillatory behaviors. As seen, each signal Q-factor signal and its spectrum with frequency of (a) 0.15 and (b)
0.04; a low Q-factor characterized signal and its spectrum with
only contains a single cycle. It is reported that a signals frequency of (c) 0.15 and (d) 0.04.
oscillatory behavior can be quantified by Q-factor
Signals measured from physical systems are often
which is defined as the ratio of the center frequency of
consisted of sustained oscillations and transients, i.e.,
a signal to its bandwidth. The more oscillatory cycles
high-oscillation component and low-oscillation
comprising a signal, the higher its Q-factor is, as shown
component. Restated, the signal can be considered as a
in Fig. 1. Note that signals in Fig.1 (a) and (b) are time-
mixture of two separate signal components, each one
scaled version of one another. Likewise, the same can
having its own oscillatory behaviors. The transient is
be said for signals in Fig. 1 (c) and (d). By observing
474
often a carrier of useful information for system health bases with different oscillatory behaviors can be
condition. Therefore, extracting the transient signal is a constructed. The TQWT, like other kinds of wavelet
key step for monitoring system condition. To achieve transform, is based on the multi-rate filter banks, as
this, the MCA which has been proved to be an effective shown in Fig. 2, where it is implemented through
tool in signal decomposition is employed [5-7]. iteratively applying the two-channel filter bank on its
Suppose that a noisy signal x, a combination of k low-pass channel. Note that the TQWT is specified
independent components and white Gaussian noise, i.e., directly in the frequency domain and implemented
using radix-2 FFTs, thus it can be more efficient.

K
x k 1
xk n (xk represents the kth component, n is
the noise), is to be decomposed. All components H0() LPS H0() LPS H0() LPS wJ+1(n)
sparsest representations which can be sought over the H1() HPS wJ(n)

dictionary including all bases are given by x(n)
H1() HPS w3(n)
H1() HPS w2(n)
K
H1() HPS w1(n)
a
K
Jk x (1)
2
{a1 , ..., a k } Arg min k 1
ak 1 k k 2
Analysis filter bank Coefficients
{a1 ,...,a K } k 1
wJ+1(n) LPS 1/ H0*() LPS 1/ H0*() LPS 1/ H0*()

where k is a regularized parameter, k is the kth basis, wJ(n) HPS 1/ H1*()
and ak is the coefficient of the kth component. As long

w3(n)

HPS 1/

H1*()
y(n)
as ak and k are obtained, each component can be w2(n) HPS 1/ H1*()
w1(n) HPS 1/ H1*()

estimated as xk k a k .
Coefficients Synthesis filter bank
Since there are only high-oscillation component Fig. 2 Analysis and synthesis filter banks for the TQWT.
and low-oscillation component in this study, the Once Q-factor is specified, a wavelet basis with
objective function of MCA, with respect to ak, can be specific oscillatory behavior is determined. For
written as example, four kinds of eight-stage wavelet transform,
2 as shown in Fig. 3, are generated by four different Q-
J (a1 , a 2 ) x 1a1 2 a 2 2
J 1 a1 1
J 2 a2 1
(2)
factors respectively. Observing Fig. 3, it can be
where subscripts 1 and 2 represent low-oscillation concluded that: a) with different Q-factors, the
component and high-oscillation component, oscillatory behaviors of TQWT-generated bases are
respectively. Once the basis for each signal component different, and more specifically, the larger the Q-factor,
is created, the coefficients of each signal component the more oscillation the basis presents, b) the wavelet of
can be obtained by minimizing (2). Each signal each stage is the time-scaling version of another but the
component can be accordingly approximated Q-factor is not affected by the operation because the
by xk k a k , k 1, 2 . oscillation degrees of the wavelet and its time-scaled
versions keep unchanged, which ensures that a high-
III Basis Generation via TQWT oscillation basis is comprised of all high-oscillation
In order to solve the objective function and obtain wavelets and vice versa. A specific basis associated
the coefficients for each signal component, the bases with a specific Q consists of J wavelets which are
1, 2 that are used to represent each signal component translated and/or scaled versions of each other but all
have to be created. This is also important for the have the same degree of oscillation, due to the same Q-
success of the MCA method as the bases 1, 2 play a factor. As such, all the bases can be created similarly in
role of distinguishing two components with different a systematic manner. As the analyzed signal cannot be
oscillatory behaviors. The TQWT [8] is employed in decomposed into unlimited number of levels, the
this paper for this purpose, where the Q-factor as allowable number of decomposition level, i.e., J, has to
previously discussed representing oscillatory behaviors be set according to the signal length, as follows [8]
is easily specified. Via specifying different Q-factors,
475
The Q2 determination representing high-oscillation
log( N )
4(Q 1)
component is more challenging as the vibration
J max r (Q 1)
(3) interferences and noise in the raw signal are often
log( ) random and unknown. However, it is well known that
r (Q 1) 2
bases of Q1 and Q2 should be of low mutual coherence
in order to ensure the success of decomposition via the
where N is the signal length, z stands for the largest
MCA. More specifically, a zero value of coherence
integer that is less than z, and r is the redundancy. between two bases indicates complete independence of
Wavelets: Subbands 1 through 8 Wavelets: Subbands 1 through 8
the two. The mutual coherence between two bases are
a b
1 1 formulated as
2 2
3 3
Subband
Subband
4 4
5 5 Q1 1 2
6
7
6
7
Cmax max C( An , Bl ) , Q2 ! Q1 (4)
8 8 n(1,... J A )
l (1,... J B )
Q2 1 2
0 50 100 150 200 250 0 50 100 150 200 250
Time (samples) Time (samples)
Wavelets: Subbands 1 through 8 Wavelets: Subbands 1 through 8 where An and Bl represent wavelets of A and B at
c d
1
2
1
2
decomposition levels n and l respectively. The right-
3 3
hand side of the above equation is adopted from [5]. It
Subband
Subband
4 4
5 5
6 6 therefore can be seen that Cmax depends on the Q-
7 7
8 8
factors of the two bases. Ideally, Cmax should be as close
0 50 100 150 200 250 0 50 100 150 200 250
Time (samples) Time (samples) to zero as possible. For this purpose, Q2 should be as
high as possible. However, too high Q2 incurs a
Fig. 3 Wavelet subbands of TQWT bases associated with four
different Q-factors: (a) Q=1, (b) Q=3, (c) Q=7 and (d) Q=10. substantial amount of computations. In the case of
bearing fault detection, Q1 = 1 is selected. Then the high
IV Q-factor Determination of TQWT Q-factor has to be in a suitable range to avoid high
When rolling elements interact with damaged area, computational requirements while in the meantime the
a series of impulsive signal is generated as shown in coherence between high- and low-bases can be as small
Fig. 4 (a). Enlarging Fig. 4 (a) and only observing an as possible.
impulse in Fig. 4 (b), its transient part has a similar The relationship between gains of Cmax and Q2 is
curve shape with the wavelet of Q = 1 as presented in plotted in Fig. 5. The gain of Cmax denoted by Cmax is
Fig. 4 (c). Hence, the Q-factor representing low- expressed by
oscillation component is set to 1, i.e. Q1 = 1.
'C (Q )
max 2
Cmax (Q2 1) Cmax (Q2 ), for Q t 22
(5)
a 1
0.5
where Cmax(Q2) is the maximal coherence value
Amplitude
0
between the Q1 basis and a given Q2 basis. By
observing Fig. 5, it can be seen that the gain of Cmax
-0.5
drops monotonically with the increment of Q2, and it
-1
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1
Time (s) almost keeps unchanged after Q2 reaches 10 (less than
b c
1 0.3
1.9%). This means that the contribution made by
0.2 Q=1
0.5
increasing Q2 to the reduction of Cmax is quite
Amplitude
Amplitude
0.1
0
0
significant at the beginning; however, it drops
-0.5
-0.1 monotonically with the increase of Q2 and is negligible
-1
0 0.005 0.01
-0.2
0 0.005 0.01 after Q2 reaching 10. As seen in Fig. 5, most of changes
Time (s) Time (s)
of Cmax is achieved when Q2 10. Quantitatively, the
Fig. 4 (a) Simulated faulty bearing vibration signal, (b) an impulse
Cmax is decreased by 62.2% (= Q 2 'Cmax (Q2 ) ) when
10
from (a), and (c) wavelet with Q = 1.
2
476
Q2 reaches 10. Keeping increasing Q2 from 11 to 20 Two ER16K bearings used to support the test kit are
reduces the Cmax by 10.6%; however it incurs complex amounted a steel shaft with diameter 5/8. The shaft is
computation. For example, for a signal with 32768 also connected with a gearbox by belts and two sheaves
(=8192*4) data length, the number of level J is 178 to generate interferences. The diameter ratio of the two
(calculated by (3)) for Q2 equal to 10 while the J sheaves is 1:2.6. The gear meshing frequency is
reaches 310 when increasing Q2 to 20. Considering the calculated based on the motor shaft rotational frequency
negligible contribution and the substantial amount of trend, the number of pinion (drive gear) teeth and the
computations caused by additional increment in Q2, the pulley belt speed reduction ratio (i.e., gear meshing
maximal Q2 is fixed at 10. frequency = motor shaft rotational speed fr number of
pinion teeth/speed reduction ratio). In this case, the
0.25 number of pinion teeth is 18 and the shaft speed was set
0.2 at 2100 RPM (35 Hz); hence the gear meshing
0.15
frequency is 242.3 Hz (= fr 18/2.6). An unbalanced
'Cmax
0.1
0.05
X: 10
Y: 0.0194
flywheel (with two screws added to it) is used to create
0
10 20 30 40 50 60 70 80 90 100
mass imbalance and hence resulting in additional
Q2
interferences. The right bearing has a pre-seeded single
outer race fault with the characteristic frequency fBPFO
Fig. 5 The relationship of Cmax versus Q2.
of 125 Hz (= 3.572 fr). Signals are sampled at the rate
Recalling (2), by means of TQWT, the 1(2) is the of 12 kHz. The accelerometer is placed on the platform,
matrix that are constituted by the synthesis functions of far away from the defective bearing, which renders
low(high) Q-factor TQWT and a1(2) is the coefficients more challenges for fault detection implementation.
of low(high) Q-factor TQWT, i.e., w1(2). Then (2) can
be re-written as Normal Unbalanced Faulty
Belt
Bearing Rotor Bearing
J J xw w
2
J (w , w ) w w
1 2 1 1 1 2 2 1 1 1 2 2 2
(6)
J J
1
1
x TQWT ( w ) TQWT ( w )
1 2
1
w 1 1 2
w 2 1 1 1 2 2 2
where TQWT-1 denotes the inverse TQWT, and 1 and

2 are subband-dependent regularization parameters.
With the TQWT, coefficients w1 and w2 can be attained
by minimizing (6). The high- and low-oscillation AC Driver Motor Accelerometer Gearbox
components of the concerned signal can then be

calculated as follows
Fig. 6 Test setup
-1
xk TQWT (w k ), k 1, 2 . (7)
The original vibration and its envelope spectrum
are shown in Fig. 7 (a) and (b) respectively. It can be
V Experiment Evaluation seen that the envelope spectrum is dominated by the
To assess the effectiveness of the proposed method, interference stemming from gear meshing. The FCF
the experiment is performed on the SpectraQuest and its harmonics cannot be seen on the spectrum. As
machinery fault simulator (MFK-PK5M) in our lab in such, the proposed method is then applied to analyze
the University of Ottawa. Vibration signals are the vibration signal and the results are shown in Fig. 8.
collected by an accelerometer (ICP accelerometer, The minimization of the objective function is reached,
Model 623C01) via an NI data acquisition board (NI as can be seen in Fig. 8 (a). The extracted high-
USB-6212 BNC) and recorded in a computer using the oscillation component in Fig. 8 (c), as expected, mainly
LABVIEW software. The test rig is shown in Fig. 6. contains gear meshing vibration which presents
477
sustained oscillatory behavior. This is echoed by the based on oscillatory behaviors; hence, weak fault
contents of its spectrum in Fig. 8 (d), where the gear signatures that are classified as low-oscillation
meshing frequency and its harmonic dominated the component can be extracted. The strategies of
landscape. Fig. 8 (e) presents the extracted fault- determining Q-factor for representing both low- and
induced transients, i.e., low-oscillation component. high-oscillation components are developed. There are
Envelope demodulating the resulting low-oscillation two main advantages of the proposed approach: a) it
component leads to the spectrum in Fig. 8 (f), in which extracts signals of interests based on oscillatory
the fBPFO at 125Hz and five its harmonics can be clearly behaviors instead of the frequency or/and scale
identified. information that the conventional methods often do;
therefore it can remove in-band interferences and noise,
a b
1 0.2
Gear meshing and b) it is independent of filters, thereby relieving the
frequency
0.5 0.15 difficulty of filter parameter specification. The
Amplitude
Amplitude
0 0.1 effectiveness of the proposed method is validated by

-0.5 0.05 experimental data.
-1 0
0 0.5
Time (s)
1 0 500
Frequency (Hz)
1000 Acknowledgment
Fig. 7 Additional outer race fault test #1: (a) the raw vibration signal, This work is supported by the Natural Sciences and
and (b) the envelope spectrum of the raw signal. Engineering Research Council of Canada (RGPIN
a 1000 b 0.4
121433), National Natural Science Foundation of China
800 0.2
(71271226) and Research Center of System Health
Amplitude
Maintenance of Chongqing Technology and Business

J(w 1 ,w 2 )
600 0
400 -0.2
University. Their supports are very much appreciated.
200
0 50 100
-0.4
0 0.5 1 References
Iteration Time (s)
[1] G. Georgoulas, T. Loutas, C. D. Stylios, V. Kostopoulos,
c 1 d 0.4 Bearing fault detection based on hybrid ensemble detector
Gear meshing
0.3 frequency and its and empirical mode decomposition, Mech. Syst. Signal
0.5 harmonic Process. 41 (2013) 510-525.
Amplitude
Amplitude
0.2 [2] M. Liang, H. Faghidi, Intelligent bearing fault detection

0
0.1
by enhanced energy operator, Expert Syst Appl (2014).
[3] D. L. Donoho, I. M. Johnstone, Adapting to unknown
0
-0.5
0 0.5 1 0 500 1000 smoothness via wavelet shrinkage, Journal of the American
Time (s) Frequency (Hz) Statistical Association 90 (1995) 1200-1224.
e 0.4 f 0.02
[4] S. G. Mallat, A theory for multiresolution signal
fBPOF and its
harmonics
decomposition: The wavelet representation, IEEE
0.2 0.015
Transactions on Pattern Analysis and Machine Intelligence 11
Amplitude
Amplitude
0 0.01 (1989) 674-693.

[5] I. W. Selesnick, Resonance-based signal decomposition: A
-0.2 0.005
new sparsity-enabled signal analysis method, Signal Process.
-0.4
0 0.5 1
0
0 500 1000
91 (2011) 2793-2809.
Time (s) Frequency (Hz) [6] J. Bobin, J. L. Starck, J. M. Fadili, Y. Moudden, D. L.
Fig. 8 Detection of outer race fault using the OBSD method: (a) the Donoho, Morphological component analysis: An adaptive
minimization process of objective function, (b) the residual, (c) the thresholding strategy, IEEE Transactions on Image Processing
high-oscillation component and (d) its FFT spectrum, (e) the low- 16 (2007) 2675-2681.
oscillation component and (f) its envelope spectrum. [7] J. L. Starck, Y. Moudden, J. Bobin, M. Elad, D. Donoho,
Morphological component analysis, Optics & Photonics pp.
VI Conclusion 59140Q-59140Q-59115.
[8] I. W. Selesnick, Wavelet transform with tunable q-factor,
A scheme for intelligent fault signature extraction IEEE Trans. Signal Process. 59 (2011) 3560-3575.
of bearings using OBSD is proposed in this paper. The
proposed method can effectively remove vibration
interferences and noise which are respectively
identified as high-oscillation component and residual
478
Switched Reluctance Motor/Generator Simulation

Research Based On Compressed Air Energy Storage
System
Zan Xiaoshu Zhu Hong

School of Electric Power Engineering School of Information and Electrical Engineering
China University of Mining and Technology China University of Mining and Technology
Xuzhou, China Xuzhou, China
zanxiaoshu@126.com 15152461515@163.com
AbstractCompressed air energy storage (CAES) system has and gradually adopted for its competitive advantages of simple
become a popular energy storage device for micro grid because of construction, high efficiency, wide speed range, fault tolerance
many advantages. The principle, structure, simulation model and and low manufacturing cost[5][6]. Switched reluctance motor
the simulation results of the switched reluctance motor/generator is convenient to operate as a generator as well as a motor by
system based on the CAES system has been studied in the paper. adjusting control parameters. Switched reluctance generator
The nonlinear simulation model by the flux linkage data has strong development potential in starter/generator system
calculated by two-dimensional finite element is built firstly. Then compared with other motors[7][8]. It has good performance,
the sliding+PI control method is put forward in the motor economy and efficiency to use the switched reluctance
process and the fuzzy+PI control method is put forward in the
motor/generator into the compressed air energy storage power
generation process. The simulation results have validated the
generation system.
effectiveness of the control strategy and control parameters. The
switched reluctance motor/generator system has well rotor speed
tracking and voltage output performance and it has reference II. COMPRESSED AIR ENERGY STORAGE SYSTEM
value and application prospect in the CAES system. STRUCTURE
Keywordsswitched reluctance motor/generator; compressed Switched reluctance motor/generator system based on the
air energy storage; simulation mode CAES system is mainly composed of switched reluctance
motor/generator double function motor, micro gas turbine, air
compressor, storage containers, combustion chamber and other
I. INTRODUCTION parts as fig.1.
The development of new renewable energy micro grid has
become the important direction of world's energy strategy SRZHU SRZHU cooler
adjustment, energy saving and emission reduction such as wind RXWSXW LQSXW
power, photovoltaic power generation, biomass power

1DWXUD
OJDV Switched
combustio micro gas
generation[1]. Compressed air energy storage (CAES) system n chamber turbine
reluctance
motor/
generator
+LJKSUHVVXUH
FRPSUHVVRU
/RZSUHVVXUH
FRPSUHVVRU
has become a popular energy storage device for increasing

micro grid system inertia, improving micro grid dynamic
response speed and power quality with the advantages of large DLU
capacity of energy storage, long storage period, high efficiency +LJK

SUHVVXUH
JDV
and relatively small investment[2][3]. Motor/generator system
is the importance conversion device between micro grid and
CAES system and its stability, affordable, and conversion
efficiency is directly related to the safe and efficient operation 6WRUDJHFRQWDLQHUV
of the new energy micro grid.
Fig. 1. Compressed air energy storage system structure.
At present, the motor and generator system are two separate
equipments in most CAES system[4]. If a set motor system has Its function mainly includes two parts: when the electrical
function of compressed air when electric and generating energy is needed to stored, the switched reluctance motor
function when gas turbine power generation, it can reduce the drives the high-pressure and low-pressure compressor to the
investment cost of the energy storage system and equipment container with the air compressor and cooling device in the
volume, increase the reliability of the system and reduce the middle; when need to release energy, micro gas turbine
maintainability of the system. rotational drive the switched reluctance generator operation to
output power by releasing the compressed air mixed gas into
The switched reluctance motor has been widely concerned the micro gas turbine. It can be found that the switched
This work was supported in part by the Xuzhou city science and
technology projects (XM13B115) of China.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 479
reluctance electric motor/generator is the core component of reluctance motor operation, the appropriate control strategy is
compressed air energy storage station in the system and it asked to get fast motor speed tracking speed, small static error
participates in the process of air energy storage and power and little overshoot.
generation process. Therefore its performance is directly
related to the conversion efficiency of energy storage power In order to get better speed tracking performance, the
station, power, the performance of the response speed, etc. sliding mode + PI control strategy has been adept as shown in
fig3. Sliding mode variable structure control method is used
when the speed error of actual speed and tracking speed is
III. SWITCHED RELUCTANCE MOTOR/GENERATOR SYSTEM bigger which makes the speed gap reduced rapidly and the PI
STRUCTURE control method is used when the speed error of actual speed
The control diagram for switched reluctance and tracking speed is smaller which avoids sliding mode
motor/generator based on the Compressed air energy surface oscillation of sliding mode control disadvantages.
storage(CAES) is shown in fig.2, which consists of reluctance
Angle Air
motor/generator, DSP controller, power converter, Gas turbine, signal compressor
air compressor, position sensor, voltage sensor, current sensor
n0
and so on. The switched reluctance machine can be operated as Tracking PI
speed controller PWM Power
motor or generator modes according to the different turn-on/off output convertor 650*
angles. sliding mode
! n0 controller
*DV $LU d
650* O a2 a d n d T
WXUELQH FRPSUHVVRU dt dt dt
Fig. 3. Motor control of sliding mode+PI method

SRVLWLRQ RXWSXW
GHWHFWLRQ
SRZHU The sliding controller could be obtained by the following
Power converter LQSXW JULG process. It is defined as
x1 n* n (1)
9ROWDJH &XUUHQW x x
GHWHFWLRQ GHWHFWLRQ
'ULYHU x2 x1 n a (2)
FLUFXLW
The switch function is selected by
Sn x1 O x 2 n* n O a (3)
'63
3&PRQLWRU Here, a , O and n are respectively rotor speed
&RQWUROOHU
acceleration, time constant and tracking speed. The sliding
Fig. 2. Switched reluctance motor/generator system structure mode surface is a straight line by S n 0 . Control law is as
follows
IV. CONTROL STRATEGY IN SIMULATION U S n ! 0;
u (4)
A. Motor Control Strategy U S n 0;
In the process of compressed air energy storage, switch 1
When S n 0, a ( n * n) (5)
reluctance motor/generator is needed to drive the compressor O
which pressures the air into storage containers. The resistance And U is the power supply voltage of the power
of the compressor is changing with the constant change of converter.
storage containers pressure. As a result, the switch reluctance
motor electric process of compressing air is a variable B. Generation Control Strategy
resistance process. In order to make sure that the container In the process of the release of compressed air, high
pressure change unapt too fast to make the container pressure steam is produced with the introduction of gas into the
temperature exorbitant, it is needed to control the compression combustion chamber which drives the micro. Mechanical
process and limit pressure changes in a certain range. energy is produced by the micro gas turbine rotation and the
According to the compression process of stress change switched reluctance generator is driving to run which converts
demands and compression process speed, different mechanical energy to electrical energy transmission. In the
compression container exists the optimization characteristic process of the whole power generation, the output rotor speed
curve of the compression process. In order to achieve the and torque have been changing as the micro gas turbine
requirements of the air compression process, the switch combustion conditions change. It is an important problem to
reluctance motor need to control to tracking the compression keep the output voltage stability with the input force fluctuation.
process characteristic speed curve. Therefore, for switched In order to obtain more stable output voltage and stronger anti-
480
interference ability, this paper uses the fuzzy + PI control TABLE I. FUZZY TABLE OF INTERNAL-MODEL PARAMETER
strategy to design the output voltage.
O Input 'u
The switched reluctance generator control strategy flow NM NS ZO PS PM
diagram based on the fuzzy + PI control method is shown as
PM 0.85 0.60 0.50 0.25 0
Fig.4. Fuzzy mode variable structure control method is used
when the voltage error of actual voltage and tracking voltage is PS 0.60 0.50 0.25 0 0.25
bigger which makes the voltage gap reduced rapidly and the PI ZO 0.50 0.25 0 0.25 0.55
control method is used when the voltage error of actual speed Input
and tracking voltage is smaller which avoids the static NS 0.25 0 0.25 0.50 0.65
'u 2
differential of fuzzy mode control disadvantages. NM 0 0.25 0.50 0.60 0.85
NM 0.25 0.45 0.50 0.85 0.95
Angle micro gas
signal turbine
U 0
Target
PI V. CONTROL STRATEGY
voltage controller PWM Power
output convertor 65*
A. Simulation Model
Fuzzy
!U0 controller In order to test the proposed control strategies and the
d
Output
voltage
dt control parameters, the nonlinear simulation model of the
switched reluctance motor/generator system based on the
CAES has been built using MATLAB/SIMULINK software.
The simulation model introduces the lookup table flux linkage
Fig. 4. Generator control of fuzzy+PI method
method to build the switched reluctance motor/generator
The fuzzy controller adopts the structure with two inputs module based on the flux linkage data calculated by two-
dimensional finite element. From the fig.5, it can be seen that
and one output. The two inputs is 'u u aim u act and 'u 2 . the simulation model is composed of the switched reluctance
Here u aim is the target voltage and u act is the actual voltage. motor/generator module, power converter module, voltage
And the one output of fuzzy controller is the voltage PWM PWM output module, the motor controller module, the
output u (t ) . According to the fuzzy control theory, the fuzzy generator controller module, the aim output voltage module,
the aim speed module and so on. The switched reluctance
reasoning table of parameter is got by Table. 1. motor/generator phase flux linkage model is shown by Fig.6.
Fig. 5. System simulation model
481
Fig. 6. Switched reluctance motor/generator phase flux linkage model
B. Simulation Results
The simulation experiments at motor and generator state
have been finished in all different rotor speed to validate the
simulation model and the control strategy.
Fig.7 gives the rotor speed tracking simulation results at
speed up from the 0r/min to 1500r/min. It can be found that the
rotor speed curve has a good tracking ability at speed up by
comparing the given speed and actual speed. It is known that
the delay time of rotor speed tracking is 0.15s with almost no
rotor speed overshoot and the steady-state rotor speed ripple is
about 1%.
Fig.8 gives the rotor speed tracking simulation results at
speed down from the 1500r/min to 0r/min. It can be found that
the rotor speed curve has a good tracking ability too at speed Fig. 8. Rotor speed tracking simulation results of speed down
down by comparing the given speed and actual speed. It is
known that the delay time of rotor speed tracking is 0.16s with
almost no rotor speed overshoot and the steady-state rotor
speed ripple is about 1%.
Fig. 9. Generator simulation results of speed down disturbance
Fig.9 gives the simulation results of output voltage

Fig. 7. Rotor speed tracking simulation results of speed up fluctuation at rotor speed up disturbance. From the simulation
results, it is known that the generation voltage has the rise of
482
15% and the recovery time is about 0.13s. Fig.10 gives the TABLE III. GENERATOR SIMULATION RESULTS AT OUTPUT VOLTAGE
24V
simulation results of output voltage fluctuation at rotor speed
down disturbance. From the simulation results, it is known that Disturbance (r/min) voltage wave(V) Recovery time(s)
the generation voltage has the falling of 16% and the recovery 400 Speed up 20% 2.1 0.13
time is about 0.15s.
400 Speed down 20% 2.3 0.15
The motor rotor speed tracking simulation results from
400r/min to 2000 r/min are shown as Table 2. In the results, the 800 Speed up 20% 2.4 0.15
tracking delay time, speed overshoot and steady state wave
have been listed. It can be see that the tracking delay time from 800 Speed down 20% 2.5 0.17
0.10s to 0.18s when the speed rises from 400r/min to
2000r/min. The overshoot is within 7% at different rotor speed 1200 Speed up 20% 2.8 0.18
and the steady state wave is about from 4r/min to 20r/min 1200 Speed down 20% 3.0 0.21
which is about 1% of the speed. From the simulation results, it
is can be summarized that the system has good tracking effect 1600 Speed up 20% 3.1 0.23
by the sliding+PI control strategy.
1600 Speed down 20% 3.3 0.24
2000 Speed up 20% 3.4 0.27
2000 Speed down 20% 3.8 0.28
I. CONTROL STRATEGY
In this paper, the principle, structure, simulation model and
the simulation results of the switched reluctance
motor/generator system based on the CAES has been studied.
The sliding+PI control method is put forward in the motor
process and the fuzzy+PI control method is put forward in the
generation process. The system nonlinear simulation model has
been built by MATLAB/SIMULINK software to validate the
rationality of the control strategy. The switched reluctance
motor/generator system has the advantages of fast and smooth
Fig. 10. Generator simulation results of speed up disturbance
motor tracking performance and also steady and robustness
The generator voltage disturbance simulation results from generation performance. The system has well reference value
400r/min to 2000 r/min are shown as Table 3. In the results, the and application prospect in the CAES system.
voltage wave and Recovery time have been listed. It can be see
that the voltage wave from 2.1Vto 3.8s when the speed up and REFERENCES
speed down 20% from 400r/min to 2000r/min. The recovery [1] Ghiassi-Farrokhfal, Y. , Keshav, S. , Rosenberg, C., Toward a Realistic
time is about from 0.13s to 0.28s. From the simulation results, Performance Analysis of Storage Systems in Smart Grids, IEEE
it is can be summarized that the system has good generator Transactions on Smart Grid, vol.6, no.1, pp.402 - 410, 2015.
performance by the fuzzy+PI control strategy. [2] Martinez, M. , Molina, M.G. , Frack, P.F. , Mercado, P.E., Dynamic
Modeling, Simulation and Control of Hybrid Energy Storage System
Based on Compressed Air and Supercapacitors, IEEE (Revista IEEE
TABLE II. SIMULATION RESULTS America Latina) Latin America Transactions, vol.11, no.1, pp.466-472,
2013.
Speed [3] Ha Thu Le , Santoso, S., Operating compressed-air energy storage as
Tracking delay time (s)Overshoot (%)steady state wave (r/min)
(r/min) dynamic reactive compensator for stabilising wind farms under grid fault
400 0.10 2 4 conditions ,Renewable Power Generation, IET, vol.7, no.6, pp.717-726,
2013.
600 0.12 2 5 [4] Van der Linden, S. (Alstom, Midlothian, VA, USA),"The case for
CAES," Modern Power Systems, vol.22, no.8, pp.19-21, 2002
800 0.13 3 7 [5] Hao Chen and Gu, J.J., B. (2010) "Implementation of the Three-Phase
Switched Reluctance Machine System for Motors and Generators,"
1000 0.13 3 9 Mechatronics, IEEE/ASME Transactions on, June, vol.15, no.3, pp.421-
432.
1200 0.15 4 10
[6] Hao Chen. (2000) "Principles, design and application of the switched
1400 0.16 5 12 reluctance motor drive(Book style), " China University of Mining &
Technology Press, Xuzhou, pp. 1-23
1600 0.17 5 15 [7] B. Li and S. Wang, "The comparison of application for integrated starter
alternator system motor, "Mechanical Research & Applications, vol.3,
1800 0.18 6 17 no.21, pp.56-59, Mar. 2009.
2000 0.18 7 20
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[8] B. Li and S. Wang, "The comparison of application for integrated starter
alternator system motor, "Mechanical Research & Applications, vol.3,
no.21, pp.56-59, Mar. 2009.
484
Surface Flaws Detection Algorithms for Large

Aperture Optical Element
De Xu
Zhengtao Zhang Research Center of Precision Sensing and Control, Institute
of Automation, Chinese Academy of Sciences
Research Center of Precision Sensing and Control, Institute
Beijing, China
of Automation, Chinese Academy of Sciences de.xu@ia.ac.cn
Beijing, China
zhengtao.zhang@ia.ac.cn
Feng Zhang
Xian tao Research Center of Precision Sensing and Control, Institute
Research Center of Precision Sensing and Control, Institute
Beijing, China
feng.zhang@ia.ac.cn
Beijing, China
taoxian2013@ia.ac.cn
AbstractIn this paper we consider the inspection of surface 10-14], there are still many difficulties need to be solved. Such
flaws in large aperture optical element. A high efficiency and as, how to detect some micro size defects within a large area,
precision instrument is proposed which contains two kinds of the precise calibration method of dark-field bright, image
imaging systems. One is dark-field imaging system (DFIS)
constructed by line scan camera with 10m resolution. The other feature extraction algorithm in a complex background, the
is bright-field imaging system (BFIS) constructed by microscope lighting style and so on.
with 1m resolution. Considering the small depth of field of DFIS, Nowadays, the majority methods used to detect the flaw are
an adaptive scanning method based on collimation laser and based on the energy scattering of the flaws on the surface of
several focusing points is proposed to keep the clarity of DFIS in the optics [3, 4, 6, 13, 15-17]. These methods can evaluate the
large scope scanning. After the scanning, an image mosaic flaws in some extent, but it is difficult to measure the flaws
algorithm for the DFIS is presented based on SIFT features and
clustering algorithm. Then, the feature extraction algorithm of precisely and hard to be calibrated. Some measurement scope
flaws in DFIS and BFIS is designed. In order to check the flaws can also detect the flaws in detail, but it is not suitable for the
more precisely, a location algorithm that can guide the BFIS to large optical element and has very complex data
inspect the same flaw in DFIS is introduced. Finally, the processing[18]. The need of large aperture optical element
calibration method of two imaging systems is studied. detection is fast and precise.
Experiments show that the device can scan an optical element In order to track the true damage sites on the surface of an
with size of 810mm460mm in less than 6min without complex
manual operation and the detection precision can reach 3m optic, [17] used machine learning tools and data mining
satisfying the requirement of practical need. techniques to identify and remove signals associated with
debris or reflections. [13] designed a rapid feature extraction
Index TermsLarge aperture optical element, Image Mosaic, algorithm based on the combination of vertex chain code and
Defect detection, Dark-field imaging system, bright-field imaging discrete green to improve the extraction speed. A defects
system.
detecting method based on Local Area Signal Strength (LASS)
and 2-D histogram is theoretically and experimentally
I. INTRODUCTION
proposed in [19]. [20] demonstrates that a machine-learning
A T present, precise optical elements are widely used in

high power laser systems[1-4], shortwave optics and low-
light level imaging and etc.[4-7] However, the flaws on the
algorithm can successfully predict the surface location of the
damage site using an expanded set of characteristics for each
damage site. A digital evaluation system of surface
surface of the optical element may cause damage to the imperfections is proposed in [16, 21, 22]. But this system has
performance of the optical[4]. Different kinds of defects (such to move the heavy optical element in X-Y and it takes 1~2
as scratches, pitting and etc.) will result in different degrees of hours to inspect an optical element with size of 800mm
laser scattering, energy absorption and diffraction patterns[8, 400mm.
9]. In this paper, a device is introduced which integrates two
The automatic inspection of surface imperfections of kinds of imaging systems. In this way, we can use the
precise optical elements is a durable problem expected to be advantages of two vision system. As known to all, the dark-
solved. Although, more and more scientists focus on the field imaging system is difficult to be calibrated precisely
defects detection of the optics and detection method [1, 5, 6, especially for small defects. In our device, we can used the
978-1-4673-7995-3/15/$31.00 2015
c IEEE 485
DFIS to scan the large aperture optical element within 6min to the image for line scan camera, the optical axis of the camera
get the distribution of the flaws with 10m resolution. Also, should be vertical to the surface of the optical element at first.
we can measure the small flaws using the BFIS in a small The function is realized by the optical element clamp using the
scope based on the DFIS image with 1m resolution. In this collimation laser. When the incident light coincides with
way, we can achieve effectiveness and precision at the same reflected light, it means that the optical axis of the camera is
time. vertical to the surface of the optical element. The optical axis
The reminder of this paper is organized as follows. Section is paralleled to the collimation laser which are realized by the
II introduces the mechanical structure of the equipment and mechanical installation and calibrated beforehand.
the pose adjustment strategy. In Section III, the image
processing and calibration methods of bright-field imaging III. IMAGE PROCESSING OF BFIS
system are presented in detail. The imaging processing
algorithm of dark-field imaging system and calibration method A. adaptive binarization algorithm
are also discussed in Section IV. Experiments are given to In this part, an effective binarization algorithm is designed.
verify the effectiveness of the algorithms in Section V. Finally, First, the gradient of each image coordinate is computed by (1).
the paper is concluded in Section VI. (u, v) is the image coordinate. I(u, v) is the grey value of the
pixel at (u, v). T(u, v) is the maximum gradient value between
II. INSTRUMENT STRUCTURE DESIGN horizontal and vertical directions.
Tu, v Max( I (u , v) I (u , v)I (u, v ) I (u, v ) ) (1)
Then, ST denotes the sum of T(i, j) in a small
neighbourhood with size MN. SV denoting the accumulation
of I(u, v) and T(u, v) is also obtained shown in (2). At last, the
threshold value of each pixel is computed by ST, SV and T
where s is an adjustment coefficient. Then the image is
binarized by (3) where Ib(u,v) is the grey value of the image
after binarization.
# M N
ST T (u, v)
u v
M N
(2)
% SV ! I (u, v) * T (u, v)
u v
SV
T s *
& ST
#1, if I (u , v) ) T (3)
I b (u , v) %
&0, if I (u , v) ( T
Fig.1 system structure
The main structure of equipment is shown in Fig.1 which IV. CALIBRATION

contains 3DOF movement axes. The world coordinate is
A. Calibration of bright-field imaging system
shown in Fig.1 which is coincidence with the motion
coordinate. The horizontal motion axis moves along the X Firstly, the pixel equivalence is calibrated using a
direction, the vertical motion axis moves along the Y direction. calibration gauge. The least space of it is 10m. So, the pixel
The line scan camera and CCD camera are armed at the focus equivalence is 0.85m/pixel.
movement axis which moves along the Z direction. The line A Nikon Measurement Microscope is employed to get the
scan camera with the linear light resource constructs the dark- true size of chosen flaws. As the Nikon Measurement
field imaging system with 8K resolution. The CCD camera Microscope is calibrated beforehand, its measurement value
and microscope lens combined with coaxial light source can be trusted as true value. 8 flaws are chosen and the
construct the bright-field imaging system. The optical element measurement values comparison between each other. It can be
clamp has two degree adjust mechanisms which are pitch and seen that the two manners coincide with each well and the
yaw. With these angles adjustment design, the surface of the maximum error is less than 3m. As the resolution for DFIS is
optical element can be vertical to the optical axis of the two 10m it can be regard as true value.
cameras. B. Calibration of BFIS
The depth of the field (DOF) for line scan camera and Compared to DFIS, its much easier to get the actual size of
microscope are 1mm and 40m, separately. The size of the flaws in BFIS, just multiply image size by pixel equivalent.
optical element is with 810mm460mm. To keep the clarity of
486
This can be verified by making use of commercial measuring Otherwise, it will be measured by the BFIS using the location
microscope. A high-precision calibration board can be used to algorithm given in III. A 3-order polynomial is used as shown
compute the pixel equivalent. On the condition that, the in (5) to fit the relationship between image size and actual size
resolution of BFIS is nearly 10 times as much as that of DFIS. in DFIS.
The measurement value of flaws in BFIS is regard as true Lns a x a x a x a (5)
value compared to that measured by DFIS.
B. Chart of Flaw Distribution
V. IMAGE CAPTURE AND PROCESSING OF DFIS The captured image data for a piece of large optical element
The line camera is scanned by column. After the scanning, is huge and over 4G usually. The images even cant be opened
the sub-images are stitched together to be constructed as a in a 32 bit windows OS. However, it is necessary to record the
whole image. injury state of the optical element in each step, e.g. after the
According to the principle of DFIS, the image features of installation, transfer, repairmen and so on. People want to
flaws are bright and the background is dark. However, the understand the state of the optical element qualitatively in a
contrast is not sufficient sometimes because of the incident simple way with fewer amounts of data.
angle of light source and certain type of defects. On the other hand, the vast majority of flaws are very small
with respect to the entire optical element which means the
detected flaws marked on the original image size will be
difficult to be observed. At present, inspector marks the
substantial distribution of flaws on a A4 paper artificially.
This approach is not only inefficient but poor accuracy.
Therefore, it is necessary to generate a flaw distribution chart
that marks the number and the distribution of flaws in a small
image size based on the original detection result of out
instrument.
The process of generating chart of flaws distribution (CFD)
is based on the binarization method mentioned in section V.B.
The flaws contours in the dark-field images are detected
using the freeman chain code. Then, the information of flaws
Fig.2 sampled image points
can be obtained which include length, area, contour
In this section, a binarization algorithm is proposed based
coordinates and centroid coordinates. The length and area are
on background sampling. First, a series of sampled points are
the most important features of selecting flaws which cared by
got shown in Fig.2. The sample interval is m row and n
the inspector. The detected flaws in different size range can be
column in image space.
marked with different colors in CFD. In order to make the
# n n
Td ( I (ni, mj ) d (4)
entire distribution of damage in an appropriate proportion
% nn i j display
the flaws are zoomed with the center of centroid
n Int (W / n), n Int ( H / m) coordinates. The principle of enlarge flaws can be expressed
&
as (6).
where W and H are the image width and height respectively,
and I(x, y) is the gray value of the pixel in coordinates (x, y). #u r + (u u ) r +u
p 1 p pc 0 pc (6)
Td is the threshold and d is a adjust coefficient. %
v r + (v v ) r +v
A. Calibration of DFIS & p 1 p pc 0 pc
The principle of DIFS is introduced as follow. The lighting where (up, vp) is the pixel coordinates of the point P in a flaw
system usually adopts side lighting way. If there is no flaw on contour in the dark-field images. (upc, vpc) is the centroid
the surface, the background of image is dark. If there are coordinates of the flaw contour which include point P in the
defections located on the surface of the optical element, the dark-field images. (up',vp') is the corresponding pixel
object image will be bright on the image plane. However, the coordinates of the point P in flaws distribution chart. r0 is a
relationship between image size and actual size is nonlinear size scale between the flaws distribution chart and the entire
because of the nonlinear scattering effect, especially for small dark field image after switching. r1 is the magnification of a
flaws. single flaw contour.
To make full advantage of the DFIS and BFIS in our
instrument, the flaws can be measured in section. When the VI. EXPERIMENTS AND RESULTS
flaw size in DFIS is larger than certain value which can be
A. Experiment System
determined by experiment, the relationship between image
size and actual size can be fitted by polynomial fit method. The practical instrument is shown in Fig.3 (a) which is
487
described in section II. The vision system of DFIS contains a B. Image processing of DFIS and BFIS
Dalsa line scan camera and a Schnelder lens with
magnification 0.82X shown in Fig.3 (b). The resolution of line
scan camera was 8192 pixel and the maximum of line
frequency was 68.6 KHz. The pixel equivalence of DFIS is
9.8m. The depth of field of Schnelder lens is 0.51mm and
the field of view is 70mm. The vision system of BFIS contain
a PointGrey CCD camera which equipped with a Navitar
zoom lens with magnification 0.47~ 4.5 shown in Fig.3 (b).
The capture speed of the camera can reach 15 frames per
second with image size of 1280960 in pixel. The pixel
equivalence of DFIS is 1m. The optical element clamp has
two degree adjust mechanisms which are pitch and yaw. The
(a)
distance of travel of 3DOF motors is 1000mm, 500mm and
50mm for X, Y and Z axis, respectively. The maximum size of
the optical element for inspecting is 810460mm. The CPU of
the host computer is Intel CoreTM2 DUO with frequency of
2.8GHz.
A navigation map is designed to see the HD image easily.
The functional part can manage the motion control, image
processing of DFIS and BFIS, etc. The detection results of
flaws are displayed in result output area line by line.
(b)
Fig.4 Flaws extraction result, (a) flaws in BFIS, (b) flaws in DFIS
The image processing result of BFIS is shown in Fig.4 (a).

It can be found that the background of the image is very
complex and the grey value of flaws can be dark or bright. The
red rectangle denotes the minimum enclosing rectangle of the
flaws in image plane. The extraction result of flaws of DFIS is
shown in Fig.4 (b). The flaws both in DFIS and DFIS can be
detected correctly.
C. Calibration of BFIS
A Nikon Measurement Microscope is employed to get the
(a) true size of chosen flaws shown in Fig.5 (a). The according
linear light source
image is shown in Fig.5 (b). As the Nikon Measurement
Microscope is calibrated beforehand, its measurement value
line scan camera can be trusted as true value. 8 flaws are chosen and the
and lens
measurement values comparison between each other is shown
in Fig.6. It can be seen that the two manners coincide with
each well and the maximum error is less than 3m. As the
resolution for DFIS is 10m it can be regard as true value.
CCD camera and collimation coaxial light

lens laser source
(b)
Fig.3 Practical device, (a) Practical device, (b) vision part.
(a) (b)
Fig.5 Flaws image captured by BFIS and Nikon Measurement Microscope (a)
captured by Nikon Measurement Microscope, (b) captured by BFIS
488
calibration for BFIS BFIS calibration error
90 5 width of faws
Nikon Measurement Microscope 500
80 BFIS 4.5
Results of the measurements by BFIS
70
4 450 Results of the measurements by DFIS
3.5
60
lenghen of flaws/m
400
3
50
error/m
2.5 350
width of flaws/m
40
2
30 300
1.5
20
1 250
10 0.5
200
0 0
1 2 3 4 5 6 7 8 1 2 3 4 5 6 7 8 9 10
times time
150
(a) (b)
100
Fig.6 Calibration result for BFIS, (a) calibration result (b) calibration errors
50
D. Calibration of dark-field imaging system 0 2 4 6
times
8 10 12 14
(a)
Calibration result for DFIS
450
length of flaws in DFIS
fitting result
400
350
length of flaws/m
300
250
200
150
(a) flaws in BFIS 100
50
0 2 4 6 8 10 12 14
times
(b)
Calibration error
9
6
errors/m
3
(b) Corresponding flaws in DFIS
Fig.7 images used to calibrate DFIS, (a) flaws in BFIS (b) flaws in DFIS 2
14 samples of flaws captured by DFIS are given in Fig.7 (a) 0

0 2 4 6 8 10 12 14
which sizes are bigger than 50m. The corresponding flaw times
images are given in Fig.7 (b). The size of these samples (C)
measured by DFIS and BFIS are given in Table I. It can be Fig.8 calibration of big flaws in DFIS, (a) width of flaws measured by DFIS
and BFIS, (b) fitting result, (c) calibration error
seen that more details of flaws can be found in BFIS compared
to DFIS. Because of the dark-field scattering effect, the image TABLE I
size of flaws in DFIS is larger than actual size shown by Fig.8 WIDTH OF BIG FLAWS
(a). Index Measured by DFIS/m Measured by BFIS/m
Cubic polynomial is adopted to fit the relationship between 1 98.2 73.1
2 98.2 69.9
the image size in DFIS and the actual size measured by BFIS 3 101.2 76
mentioned in section V.A. The fitting parameters of Fig.7 (b) 4 107.8 68.4
are shown in (7) is the parameters for Fig.8 (b). Combination 5 110.1 83.2
Fig.8 (b) and Fig.8(c), we found that the fitting error is less 6 110.9 71.5
7 137.2 99.5
than 3m when the size of flaw is over 344.4m. 8 145.4 117.7
Lns . x . x . x . (7) 9 146.8 113.2
10 186.2 148.5
11 245.1 210.7
12 344.4 300
13 445.8 401.7
14 452.2 409
489
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However, the fitting result cant be satisfied when the size silicon wafer defects," in SPIE proceedings series, 2005.
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of flaws is less than 50m because of the strong dark-field "An Optical-System for the Detection of Surface Imperfections in
scattering effect. According to these experimental results 4 Ceramics for Use in a Computer-Based Quality-Control Machine," Optics,
important conclusions can be drawn as follows: Illumination, and Image Sensing for Machine Vision Vi, vol. 1614, pp.
57-62, 1992.
The smaller the flaw size is, the stronger the dark-field
[7] F. L. Ravizza, M. C. Nostrand, L. M. Kegelmeyer, R. A. Hawley, and M.
scattering effect is. A. Johnson, "Process for rapid detection of fratricidal defects on optics
When the size of flaw is big enough, a good fitting using linescan phase-differential imaging," in Laser Damage Symposium
result can be derived. XLI: Annual Symposium on Optical Materials for High Power Lasers,
2009, pp. 75041B-75041B-11.
For the smaller flaws, DFIS has bigger amplification [8] I. F. Stowers, "Optical cleanliness specifications and cleanliness
effect that is the advantage of DFIS. However, its verification," in SPIE's International Symposium on Optical Science,
difficult to get the actual size by just fitting method. Engineering, and Instrumentation, 1999, pp. 525-530.
[9] G. Bhar, A. Chaudhary, and P. Kumbhakar, "Study of laser induced
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490
An Adaptive Observer-Based Fault Detection and

Diagnosis for Nonlinear Systems with Sensor and
Actuator Faults
Xiaomo Yan Bailing Tian Hong Wang

School of Electrical and School of Electrical and School of Electrical and
Electronic Engineering Electronic Engineering Electronic Engineering
The University of Manchester Tianjin University The University of Manchester
Manchester, UK M13 9PL Tianjin, China 300072 Manchester, UK M13 9PL
Email: xiaomo.yan@manchester.ac.uk Email: bailing tian@tju.edu.cn Email: hong.wang@manchester.ac.uk
AbstractA novel fault diagnose method is presented for known input becomes more meaningful in the FDD strategy
the nonlinear systems with coupled fault and disturbance via design. By using this method, the usage of the information
adaptive observer technique. Residual matrix is used in this paper provided by system is maximum and the performance of FDD
to describe the values of unknown inputs. Instead of adding strategy is improved with the extra input information. Due to
robustness on the estimate states, this novel observer structure the difculties of states obtaining in the industrial processes
focuses on eliminating the disturbance signal on the residual
and the development of observation theory, observer-based
matrix by using vector unitization so that the residual matrix
can be approached precisely. The adaptive law is obtained by technique is commonly used in system design. Based on the
using Lyapunov stability theory. Finally, an application on second conclusion of previous work [11], Wang and Daley proposed
order system is included in the end of this paper to show the an adaptive fault diagnose strategy for linear system with
effectiveness of the proposed strategy. actuator fault and discussed a general situation when system
subjected to disturbance [12]. Because of the possibility of
KeywordsUnknown-Input, Observer design, System diagnosis, the existence of both actuator and sensor faults [13], Wang
Nonlinear
et al. expanded their strategy to the situation when both
actuator and sensor fault exist in the system via adaptive law.
I. I NTRODUCTION Under the consideration of a more general industrial case
[14], a FDD strategy is proposed to estimate the actuator fault
Faults are the unexpected signals exist in the system, in nonlinear system which is independently to the system input.
such as inaccurate sensor feed-backs, un-modeled nonlinear
parts caused by aging and etc. [1][4]. Faults not only affect In the last few year, many fault detection and diagnose
the values of the states but also change the structure of the methods have been proposed and applied in different
system, which make the system outputs cannot remain proper. industrial processes. Capisani et al. [15], proposed a FDD
Sometimes, the system may not even capable to maintain strategy for actuator and sensor faults separately via both
stable. Fault detection and diagnosis (FDD) has received an super-twisting and suboptimal algorithm. Furthermore, the
increasing attention over the last few decades as a result proposed strategy is applied on the COMAU SMART3-S2
of demand for higher reliability and safety in the industrial manipulator. In 2015 [16], Liu et al. presented an adaptive
processes [5][8]. fault-tolerant control for Markovian jump systems, in which
the system parameters are considered as a constant matrix
When faults occurs in industrial processes, it will degrade in each period, with actuator faults and disturbances via
the performance of the system and even causes accidents. backstepping. In the same year [17], Defoort et al. proposed a
We would like to set an alert signal to detect and diagnose fault diagnose strategy for nonlinear system with uncertainties,
the faults happening in the system [9]. However, not all sensor and actuator faults via adaptive law and super twisting
the uncertainties in the system need to be diagnosed; for sliding mode method. But the result is based on an assumption
instance some of the disturbances have already been taken of the decoupling between actuator fault and uncertainties.
care of by the robustness design of controller. Therefore, Then the system can be divided into two sub-systems, one
method for robust residual generation is required in the of which is with only actuator fault and the other is affected
FDD to eliminate effect from disturbances [10]. Along with by uncertainties and sensor fault. The proposed strategy fails
robustness added by dead-zone, it also reduces the sensitive to work when the faults and uncertainties are not able to be
to small magnitude. In 1993 [11], Wang and Daley developed decoupled.
a new perspective of fault estimation design for unknown Motivated by the previous work [11][14], [16], [17], the
system with unknown inputs to avoid the delay brought in by nonlinear system dynamics is built with a residual matrix
previous FDI strategies. A residual independent with unknown which is used to represent the actuator fault. Due to the
input is developed. The actuator fault can be represented by its exist of sensor fault in the system, we assume all the
relationship with known input, which means the knowledge of
978-1-4673-7995-3/15/$31.00 2015
c IEEE 491
system states are unavailable during the strategy design. The A. Unknown Input Observer(UIO) Design
strategy presented in this paper is based on adaptive observer
technique. The main contribution of this paper are twofold. UIO-based FDD strategy is one of the most common FDD
First, a novel observer structure is developed which focuses methods. In the past, UIOs is usually designed in or similar
on provide an asymptotically stability to the estimation of to a Luenberger-Like structure [14], [18][20], which is
residual matrix. Secondly, an observer-based FDD strategy for
nonlinear unknown system with coupled fault and disturbance z = )
Az + f (z) + g(z)u + L(y C x
is proposed. Lyapunov stability of the close-loop system with (4)
=
x z + Kv
FDD strategy is also been check later in this paper.
where z Rn is the observer state vector, x Rn is the
A. System estimation of system state vector. v is a vector needed to be
Consider the non-autonomous nonlinear systems designed with the practical needs. The rst part in (4) is a
close-loop Luenberger-Like observer structure based on the
x = f (x) + Eg(x)u + Ed knowledge of system dynamics. When there is no disturbance
(1)
y = Cx or unmodeled parts in the system, Luenberger observer is
asymptotically stable, as a result the observer error e = x x

where x Rn is the system states vector. u Rm is the converges to zero when t . The second equation in
known input vector. g(x) Rmm is a matrix based on (4) is used to optimal the performance of the system with
system states. f (x) Rn is a vector eld on state plane. disturbance. The design of vector v is used to add extra
E Rnm is the real matrix. y Rm is the output vector robustness into observer, so the disturbance will not degrade
of the system. Rmm is a residual matrix with a prior the stability of observer.
knowledge, which is used to diagnose if there is a actuator fault As shown in Figure 1, a novel UIO structure of the observer
occurring in the system. The unknown inputs d can also be
used to describe additive disturbances, unmodeling nonlinear
parts or loads of the system.
Remark 1: When sensor fault occurs, all the system states
can not be obtained directly in the design.
Assumption 1: f is a locally Lipschitz map from domain
D Rn into Rn , satisfying
||f (a) f (b)|| Kf ||a b||
where Kf is Lipschitz coefcient, a and b are vectors.
Assumption 2: g is a locally Lipschitz map from domain
D Rm into Rm , which means
||g(a) g(b)|| Kg ||a b||
where Kg is Lipschitz coefcient, a and b are vectors.
Assumption 3: Based on the our experience, it is impossi- Fig. 1. Unknown Input Observer Structure
ble to design an industrial process with unlimited inputs. The
inputs of the system are bounded with u , which means is proposed. The dynamics of the UIO is described as
||u|| < u (2)
z = Ax + f (
x) + Eg( + L(y C x
x)u )
(5)
x= z + Ev
Assumption 4: There exist a positive dened P ,satisfying
where x Rnn is the estimated state vector. z Rn
P E = CT (3) is the state vector of the observer. is the adaptive law,
and L Rnm is a correction matrix. According to the
system dynamics shown above, fault occurs in the system
can be considered as a change of the amplitude of controller
II. U NKNOWN -I NPUT-O BSERVER BASED FAULT
parameters, which means the control signal may not be proper
D ETECTION AND D IAGNOSIS S TRATEGY D ESIGN
anymore no matter the estimate states is accurate or not. At the
In this section, the UIO-based strategy is designed for same time, due to the close loop observer structure we used, the
unknown nonlinear system with coupled fault and disturbance. disturbance also has an effect on the observer state, which may
Actuator fault is represented by residual matrix. Based on a lead an error between the real coefcient matrix and estimate
prior knowledge of the system, we can set up a limit for residual matrix. Different with the observers structure we used
residual matrix to represent if the fault is occurring in the to, the structure in this paper is focusing on adding robustness
system. The Lyapunov stability of the close-loop system with inside the observer structure for residual matrix so that the
FDD strategy is also validated later in this section which shows residual matrix can be estimated accurately, and the system
that the observer error converges to zero asymptotically. states are estimated actually.
492
B. Dynamics of the Observer Error where the i and ui represents the ith component in each
vector. gim is the component in ith row and mth column in
To estimate the states of the system, the proposed observer
matrix g.
suppose to steer the observer error e to zero, let

e=xx (6) Theorem 1: Consider the unknown nonlinear system de-
scribed as Equation (1), if a)assumption 1-4 hold. b) Observer
When observer error steers to zero, it guarantees that the states parameters are picked as (11) and (12). c) There exist a L
of observer converge to real states and move along the system ensuring that P LC P A 21 P T P 12 Kf2 I 12 P EE T P
trajectory as long as the derivative of observer error remain 1 2 2
zero, which is given by 2 u Kg I 0. Then the estimate error e and adaptive error
will converge zero when t .

e =x x
Proof: Consider a Lyapunov function candidate that is
=f (x) + g(x)u + Ed f (
x) described as
LCe E v (7) 1 1 T
g(x)u V = eT P e + tr( ) (13)
2 2
=f + gu g LCe + Ed E v
u
where P Rnn is a real symmetric positive dened. The rst
where f = f (x) f ( x) is the error between system states part of candidate is in a typical candidate way which used
=
and observer states, and is the adaptive error.
to show the stability of estimation error. The second part is
Basing on the knowledge of output, let designed in the form of trace. The trace of the residual matrix
=y C x can be used to ensuring that at the end of process estimation
(8) residual matrix will converge to the value of unknown weight.
=Ce
Then the derivative of Lyapunov candidate (13) along the
where y is the output of the system trajectory of system (1) satises
C. Fault Detection and Diagnosis(FDD) Strategy
T )
V =eT P e + tr(
In this section, we consider a general situation when
=eT P (Ae + f + Egu E LCe
g u
actuator fault and disturbance are coupled in the system. m (14)
When there is no fault, we have

+
+ Ed E v) i i
1H 0 ... 0 i=1
0 2H . . . 0
= ... .. = H (9) where v is to be designed to improve robustness on the
0 . 0 estimation residual matrix. Based on the Cauchy-Schwarz
0 ... 0 mH inequality, Equation (14) can be scaled into
where H is a constant matrix. 1 1
Similar to the previous works [11][14], when actuator fault V eT (P A + P P P LC + P EE T P )e
2 2
occurs, the residual matrix can be considered as constant when
m
t > tf +

i i + eT P E + 1 f T f
g u (15)
= constant = H (10) i=1
2
According to the previous description, we design dynamic of v 1
+ eT P (Ed E v)
+ uT T g T gu
here to add robustness to eliminate the effects from disturbance 2
on residual matrix. The method we used is similar to the
With the assumptions made in Section II that f and g satisfy
thought in traditional sliding mode. Based on the information
Lypschitz condition, the estimate error f and g
also satisfy
of the -norm of disturbance, design the dynamic of v via
vector unitization. f Kf ||e|| (16)
Recall d is bounded and satised ||d|| = d . To eliminate
the disturbance, v is chosen as Kg ||e||
g (17)

v = d (11) where Kf and Kg are the Lypschitz constants dened in
||||2
assumption 1 and 2.
The adaptive law () is designed based on the certainty The upper bound of Equation (15) can be magnied as
equivalence principle. When we use the estimated value to take
1 1 1
the place of unknown parameters in the observer, the estimate V eT (P LC P A P T P Kf2 I P EE T P
error will converge to zero with the proper updating law, which 2 2 2

m
m
is to be proved later by Lyapunov stability theory. Pick in 1 2 2
T
u Kg I)e + (d v) + (ui j gji + i )i
the way as 2 i=1 j=1
m (18)
u1 (i g(
x)i1 ) . . . 0 By picking
i=1 where i is the ith weight on the diagonal of .
. parameters in the same way of Equation (11) and (12), it is

= .. (12)
0 0 easy to see that

m
0 . . . um (i g(
x)im )
i=1 T (d v)
||T || ||d|| d ||T || 0 (19)
493
and m m
observer parameters also need to satisfy the from in Theorem

1, which is P LC P A 12 P TP 12 Kf2 I 12 P EE T P
(ui j gji + i )i = 0 (20)
1 2 2 1
2 u Kg I 0. We pick L = 0.7 . Then the eigenvalue of the
i=1 j=1
The Equation (18) becomes P LC P A 12 P T P 12 Kf2 I 12 P EE T P 12 u2 Kg2 I are

1 1 1 = 0.05 0.5454i, where i represents the complex operator.
V eT (P LC P A P T P Kf2 I P EE T P Now we can get the expression of the observer
2 2 2
1 2 2
u Kg I)e
z1 = x2 + (y 2x1 3x2 )
2

(21) z2 = x1 + (0.5 sin(x1 ) + 1)u + 0.7(y 2 x1 3
x2 )
Based on Equation (21) with the Lyapunov stability theory,
x
1 = z 1
if exist a L that makes P LC P A 12 P T P 12 Kf2 I
x 2 = z2 + v
1 T 1 2 2
2 P EE P 2 u Kg I 0, the observer error steers to zero (28)
and the adaptive law will converge to the value of unknown where x i are the estimate state value, zi is the observer state,
residual matrix asymptotically. and v is dened as
0.1(2e1 + 3e2 )
III. N UMERICAL E XAMPLE v = (29)
0.00001 + ||2e1 + 3e2 ||2
In this section, the proposed strategy is applied into an
unknown nonlinear system. In the example, parameters are can be obtained from
chosen in the same way as described above. Figures of simu-
lation are included to show the effectiveness of the proposed = u(2e1 + 3e2 )(0.5 sin(
x1 ) + 1) (30)
strategy. where u is designed based on errors between the reference
Remark 2: To avoid the possible singular problem, an extra signals and observer states.
scalar 0 < 0 << 1 is added in this part in this expression to Place the initial values of system states and observer states
make sure the denominator can not achieve zero. The dynamic differently.
of v becomes
1 0
v = d (22) x(0) = ; x
(0) = z(0) =
|0 | + ||||2 0.5 0
the presence of 0 may bring delay in the response of v, and (0) = 1
it may also makes 1 >> d v > 0. But in the rst part = 0.5
(0)
of Lyapunov candidate, we pick L to make P LC P A
1 T 1 2 1 T 1 2 2
2 P P 2 Kf I 2 P EE P 2 u Kg I 0 which means Figure 2 and 3 are the states response of nonlinear system
if 0 is chosen carefully, this small positive real number can
be canceled by the result of rst part. The sign of Lyapunov
candidate will not change and the conclusion of Theorem 1 1.5
x1
x
still can be hold. 1est
Consider the nonlinear system described by

x 1 = x2 1
x = x1 + (0.5 sin(x1 ) + 1)u + 0.1 sin(t) (23)

2
System State (x1)
1.02
y = 2x1 + 3x2 1
0.98
where x1 and x2 are the system states. y is the output of the 0.5
0.96
system that can be measured. u is the system input. In this 0.94
example, 0.1 sin(t) is used to represent the disturbances in the 4.6 4.8 5 5.2
system with bounded with 0.1. then we can get the system
matrix A, E, g and C from the equations above, which
0
0 1 2 3 4 5 6
0 1 0
Time(s)
A= E= (24)
1 0 1
Fig. 2. State Response with Fault and Disturbance(x1 )
C = [2 3] (25)
g = 0.5 sin(x1 ) + 1 (26) shown in Equation (23). As the gures above shown us, the
system states can be observed actually. Figure 4 is used to
pick the P matrix in the form as show the upper limit of control input u = 2. The fault occurs
when t = 4s and remains a constant. Figure 5 and 6 are
3 2 works with and without the design
P = (27) how the adaptive law
2 3
of v when the same disturbance exist. Comparing with these
which is positive dened with the eigenvalue 1 and 5, and sat- two gures, it clearly shows that when the observer designed
ises Equation (3). Furthermore, to have a proper observer, the without v, the disturbance has an affect on the adaptive law,
494
1.2

est
1.2
x2 1.1
x2est
1
1
0.9
0.8
0.8
Residual Signal
0.7
0.6
System State(x )
2
0.04
0.03
0.02
0.6
0.01
0.4
0
0.5
0.01
0.02
0.03
0.2 0.4
4.5 4.55 4.6 4.65 4.7 4.75
0.3
0
0.2
0 1 2 3 4 5 6
Time(s)
0.2
0 1 2 3 4 5 6
Time(s)
Fig. 6. Adaptive Residual Signal without Robustness

Fig. 3. State Response with Fault and Disturbance(x2 )
when the magnitude of disturbance beyond the capability of
v, the adaptive law may not able to be used the same way as
residual signal.
2
*u
IV. C ONCLUSION
1.5
In this paper a novel robust UIO structure and a FDD strat-

1
egy for MIMO unknown nonlinear system with coupled fault
0.5 and disturbance are proposed. Instead of adding robustness to
reverting the states, the UIO observer in this paper focusing on
Equivalent Control Input
0
adding robustness on residual matrix so that the fault can be
0.5 estimated. The fault detection and diagnosis works for MIMO
1
nonlinear unknown system no matter the inputs are coupled or
not.
1.5
2
V. ACKNOWLEDGMENT
2.5
0 1 2 3 4 5 6
The work is supported by the Chinese National Science
Time(s)
foundation with grant number 61134001 and 61134006, these
are gratefully acknowledged.
Fig. 4. Control Input Signal
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for switched nonlinear discrete time descriptor systems, IEEE trans.
Automatic Control, vol. 53, no. 1, pp. 373379, 2008.
[20] S. Sundaram and C. N. Hadjicostis, Delayed observers for linear
systems with unknown inputs, IEEE trans. Automatic Control, vol. 52,
no. 2, pp. 334339, 2007.
496
Minimum Mutual Information Control for

Multi-variable Non-Gaussian Stochastic Systems
Qichun Zhang Aiping Wang Hong Wang

Control Systems Centre Institute of Computer Sciences Control Systems Centre
The University of Manchester Anhui University The University of Manchester
Manchester, U.K. M13 9PL Hefei, P.R.China Manchester, U.K. M13 9PL
qichun.zhang@manchester.ac.uk apwang401@126.com hong.wang@manchester.ac.uk
AbstractIn this paper, a novel control algorithm is presented can be treated as the extension of entropy. In [4], minimum
to minimize output statistical couplings for a class of dynamic entropy control has been presented and also minimum mutual
nonlinear multi-variable non-Gaussian stochastic systems. Using information control can be considered as the extension of
Cauchy-Schwartz mutual information, a new performance crite- minimum entropy control.
rion is given and this associated control algorithm is presented
to minimized the mutual information of the system outputs so In this paper, the Cauchy-Schwartz mutual information is
as to minimize the statistical couplings among system outputs. used, which can be reformulated by Renyi entropy[5]. To
The convergence of this presented control algorithm is analyzed simply the expression, the equivalent performance criterion is
and the effectiveness of the proposed algorithm is shown by given based on information potentials. The control inputs can
simulation.
be designed by gradient descent using presented performance
KeywordsCauchy-Schwartz mutual information, minimum criterion. The convergence of the system output and the
statistical couplings, non-Gaussian stochastic systems. optimization approach are analyzed associate to the presented
control algorithm.
I. I NTRODUCTION The rest parts of the paper are organized as follow: In Sec-
tion II, the problem description is given including the model of
The decoupling control has been well-developed and many
the system and the formulation of the control objective. Section
control methods have been presented [1]. However, most of the
III shows how to obtain the distribution of the system outputs
decoupling control methods are based on the system model.
using known distribution of noises. The main result of this
In practice, the accurate system models are difcult to es-
paper is presented in Section IV where a novel performance
tablish. Motivated by probability independence, the couplings
criterion is given, the control algorithm and the analysis are
among the outputs of the systems subjected to random noise
also presented in this section. Section V and Section VI are
can be analyzed in statistic, which is the extension to the
the simulation and the conclusions, respectively.
traditional coupling description for the determined systems.
The covariance matrix can be used as an ideal tool to solve
the statistical decoupling problem for a class of outputs II. P ROBLEM D ESCRIPTION
of the stochastic systems which obey Gaussian distribution.
However, in more general case, the covariance matrix cannot Assume that the systems can be represented by the follow-
represent the property of the outputs coupling in statistic. For ing NARMA model
general stochastic systems subjected to non-Gaussian noises,
the mutual information[2] can be used as a new tool to yk = f (yk1 , . . . , yk , uk1 , . . . , uk , wk ) (1)
minimize the statistical couplings. It is simply to shown that the
mutual information is equivalent to covariance matrix with the where k is the sampling instant. y and u denote the n-
Gaussian distribution. Therefore, this paper presents a novel dimensional output vector and the m-dimensional control
control algorithm to achieve the minimized coupling problem vector, respectively. w denotes ndimensional noise vector
which described by statistical approach. Consider a class of which obeys known non-Gaussian distribution. and are the
nonlinear auto-regressive moving average (NARMA) models, orders of the system and controller. f () is a known nonlinear
assume that the non-Gaussian distributions of noise are known. function. Without loss of generality, it is assumed that f () is
Then, the distribution of system outputs can be calculated continuous, bounded and rst-order differentiable with respect
[3]. Furthermore, the mutual information can be obtained as a to all its variables.
performance criterion and the system is completely decoupled In practice, the assumption on the known probability den-
in statistic when the mutual information equals to 0. sity functions (PDFs) of wi is realistic. For simplicity, suppose
In information theory, the mutual information has several that the stochastic noise wi are mutually independent and the
different expressions, such as Shannon mutual information, joint probability density function (JPDF) can be obtained by
Renyi mutual information and Cauchy-Schwartz mutual in-
n
formation. All of them can be used to describe the coupling w1 ,...wn (x1 , . . . , xn ) = wi (xi ) (2)
relationship among the system outputs. The mutual information i=1
978-1-4673-7995-3/15/$31.00 2015
c IEEE 497
The couplings among the system outputs can be described According to the above Lemma, rst of all, the inverse
in statistic which has been mentioned above. Once the system function of yk+1 and wk can be formulated using Eq.(1)
outputs are statistical independent, the completely decoupled
can be achieved where the following equation holds. wk = f 1 (yk1 , . . . , yk , uk1 , . . . , uk , yk ) (9)

n
(yk ) = i (yi,k ) (3) With the known JPDF of w in Eq. (2), the JPDF of yk ,
i=1
(yk ), can be obtained
where () denotes JPDF and i () denotes a set of marginal (yk ) = w1 ,...wn (wk ) |P | (10)
probability density functions (MPDFs).
Motivated by Eq.(3), the control objective can be formu- Therefore, the MPDFs for each outputs can be calculated
lated as from the JPDF
n

min (yk ) i (yi,k ) (4) i (yi,k ) = (yk ) dy (11)
y y
i=1
where y is the probabilistic space of system outputs and where y = y\ {yi }

denotes the norm of function.
The control objective (4) can be obtained by substituting
Eq. (10) and Eq. (11). However, it cannot be used as a perfor-
III. PDF S OF S YSTEM O UTPUTS mance criterion directly due to the computational complexity.
Since the noises of the system obey non-Gaussian distribu- Therefore, a novel equivalent criterion is presented in next
tion, the measured system outputs will also be non-Gaussian section.
variables. Therefore, it is necessary to establish the PDFs of
the system outputs and the following lemma [6] is recalled IV. C ONTROL A LGORITHM
here.
A. Performance criterion
Lemma 1: Assume that (1 , 2 , . . . , n ) is an n-
dimension continuous random vector, whose JPDF is Based on the JPDF and MPDFs of the system outputs at
1 ,2 ,...,n (x1 , x2 , . . . , xn ), if there exist Borel measurable sampling instant k, the Cauchy-Schwartz mutual information
functions zj = fj (x1 , x2 , . . . , xn ) , j = 1, 2, . . . , n such that can be used as performance criterion.
j = fj (1 , 2 , . . . , n ) , j = 1, 2, . . . , n holds. Moreover,
n
(z1 , z2 , . . . , zn ) is any possible value of (1 , 2 , . . . , n ), for y
(yk ) i (yi,k )dyk
i=1
the following equation group ICS (yk ) = log

n

z1 = f1 (x1 , x2 , . . . , xn )
y
2 (yk ) dyk y
i2 (yi,k )dyk
.. (5) i=1
. (12)
z = f (x , x , . . . , x )
n n 1 2 n
Notice that ICS (yk ) 0 with equality if and only if Eq.(2)
and it always has a unique solution as follows holds. It is shown that this performance criterion is equivalent
to that given (4).
x1 = h1 (z1 , z2 , . . . , zn )

.. (6) To simplify the expression of (12), the performance crite-
.
x = h (z , z , . . . , z ) rion can be restated using quadratic Renyi entropy as follows:
n n 1 2 n

n
where each hj (z1 , z2 , . . . , zn ), j = 1, 2, . . . , n is rst-order ICS (yk ) = hR2 (yk ) i (yi,k )
partial differentiable with respect to all its variables. Thus, the i=1 (13)
random vector (1 , 2 , . . . , n ) is continuous and its JPDF is 1 1
n
2 hR2 ( (yk )) 2 hR2 i (yi,k )
as follows i=1
1 ,2 ,...,n (z1 , z2 , . . . , zn ) where hR2 () denotes quadratic Renyi entropy.

1 ,...,n (h1 (z1 , . . . , zn ) , . . . , hn (z1 , . . . , zn )) |P |
= (z1 , z2 , . . . , zn ) z Thus, the performance criterion (12) is rewritten as
0, otherwise 1 1
(7) ICS (yk ) = log VJ + log VM log VC (14)
where z is a set comprised by the totally possible values 2 2
of the random vector (1 , 2 , . . . , n ). |P | is the Jacobin where VJ , VM and VC are information potentials[7] which are
determinant of the transformation as follows: expressed by
x1 x1 x1
z . . . z VJ = 2 (yk ) dyk
1 z2 n y
(x1 , x2 , . . . , xn ) x 2 x2
. . . z x2
n
n
|P | = = z 1 z 2
.. (8) VM = y i2 (yi,k )dyk
(z1 , z2 , . . . , zn ) ... .. ..
. i=1 (15)
. .
n
xn xn . . . xn VC = 2
(yk ) i2 (yi,k )dyk
z1 z2 zn y
i=1
498
Since quadratic Renyi entropy is a monotonic decreasing C. Algorithm Analysis
function of information potential, the performance criterion for
sampling instant k is given by Due to (20), at each sampling time, the optimal value can
be obtained if the initial value within the neighborhood of op-
1 timal value, which means the control algorithm is convergent.
Jk = R1 VJ + R2 VM R1 R2 VC + uTk1 R3 uk1 (16)
2 Suppose that there exist a bounded optimal control input
where R1 , R2 and R3 are weights. which makes the off-diagonal elements of P bounded. Then,
the new variables can be introduced as uk1 = uk1 uk2 .
B. Controller Design Substituting uk1 into Eq. (18), we have
To minimize the performance criterion (16), the following
equation is given. 2R1 y J (yk , uk1 ) dyk y J (yk1 , uk2 ) dyk1

Jk
=0 (17) +2R2 y M (yk , uk1 ) dyk y M (yk1 , uk2 ) dyk1
uk1
2R1 R2 y C (yk , uk1 ) dyk y C (yk1 , uk2 ) dyk1
where 0 denotes zero vector with m-dimension.
= R3 uk1
Substituting Eq. (15), Eq. (17) leads to (22)
VJ
R1 u + R2 u
VM
R1 R2 uVC
+ R3 uk1 To analyze the local stability of the systems, linearizing the

k1 k1 k1
= 2R1 y J (yk , uk1 ) dyk + 2R2 y M (yk , uk1 ) dyk equation above, the approximation formula is given.

2R1 R2 y C (yk , uk1 ) dyk + R3 uk1 (y , u ) dy J (yk ,uk1 )
dy |k yk
J k k1 k y k
=0 y
J (yk ,uk1 ) yk
(18) + y uk1 duk1 |k 1 uk1
y
where = PJ,k yk + PJ,k1 uk1
u
k ,uk1 ) (23)
J (yk , uk1 ) = (yk , uk1 ) (y uk1

n Similar to Eq.(23), Eq.(22) can be restated as
M (yk , uk1 ) = i (yi,k , uk1 ) 1
i=1 z A (k) A (k 1) yk1
n
n = B (k 2) + 12 R3 z 1 B (k 1) + 12 R3 uk2
i (yi,k ,uk1 ) j (yj,k , uk1 )
uk1
j=1
(24)
i=1
j=i where A(k) and B(k) are polynomial matrices with appropri-

n
ate dimensions.
C (yk , uk1 ) = (yk , uk1 ) i (yi,k , uk1 )
i=1 y
A (k) = R1 PJ,k y
+ R2 PM,k y
R1 R2 PC,k
k ,uk1 )

n (25)
(y uk1 i (yi,k ) B (k) = R1 PJ,k + R2 PM,k R1 R2 PC,k
u u u
i=1
n
(y ) n Since the optimal control input vector uk can be obtained
+ (yk , uk1 ) i i,k ,u k1
j (yj,k , uk1 )
uk1
j=1
by gradient optimization where the Eq.(18) holds. It implies
i=1
j=i that Eq.(24) can also be satised with this optimal input
(19) vector. When the polynomial matrix z 1 A (k) A (k 1)
which indicates that there exists a positive real R3 sufciently is stable, the local stability of the system outputs can be
large so that guaranteed. Therefore, for each sampling instant k, the system
2 Jk outputs are bounded.
>0 (20)
u2k1
Remark 3: Generally, the convergence depends on the cou-
plings of the systems and it is static relationship between the
It has been shown above that the minimum value of the statistical couplings and control inputs. In other words, for each
performance criterion at sampling instant k exists. Thus, the sampling time k, the optimal control input uk can be obtained.
gradient descent optimization approach can be used for each However, it cannot guarantee the convergence of the system
sampling instant. outputs.

Jk
ui = ui1 s (21) Finally, the procedure of the presented control algorithm
uk1 uk1 =ui1 are summarized here:
where s is the step size. After i steps searching, the optimal Step 1 Formulate the JPDF and MPDFs of the system
ui is obtained as the optimal control input for this sampling outputs based on known noises distribution.
instant. e.t. uk = ui at sampling k. Step 2 Set the initial value of the system.
Remark 1: The formula of gradient is complex in some Step 3 Run the system and Collect the data for sampling
cases, Eq. (21) can be rewritten by difference operation. instant k and get Jk .
Step 4 Check the condition (20). If false, return to Step
Remark 2: The step size s can be adaptive and the stan- 2.
dard adaptive step size approach can be used for each step Step 5 Calculate the control input using the performance
which can make the initial value more exible. criterion.
499
Step 6 Update the states of the system.
Step 7 Go to next sampling instant k + 1 and run Step
3-7.
V. A N UMERICAL E XAMPLE
Consider following MIMO nonlinear coupled stochastic
system

1 (0.1 u )
2
y1,k = 0.81 y1,k1 + 0.91 y2,k1
1 1,k1
+ (0.21 + 0.31 ) u1,k1
+ (0.21 + 0.11 ) u2,k1
+ 1 w1,k + 1 w2,k
1 (0.2 u )
2
y2,k = 0.92 y2,k1 + 0.82 y1,k1
2 2,k1
+ (0.32 + 0.22 ) u1,k1
+ (0.12 + 0.22 ) u2,k1
+2 w2,k + 2 w1,k
where
(0.1u2,k1 )2
1 = (1+y1,k1 )2 (1+y2,k1 )2
Fig. 1. The curves of system outputs
(0.1u1,k1 )2
2 = (1+y1,k1 )2 (1+y2,k1 )2
1
1 = (1+y1,k1 )2
1
2 = (1+y2,k1 )2
The PDFs of w1 and w2 are given as follows:

1
1 2
0
x (1 x) dx x2 (1 x) ,
w1 (x) = x[ 0 1 ]

0, otherwise
1 1

10
2 0 x(1 x) dx
2
x(2 x) ,
2
w2 (x) = x[ 0 2 ]

0, otherwise
To rewrite the system model using the inverse function, the

nosies at sampling instant k can be described as
w1,k = 11 y1,k 0.8y1,k1 0.2u1,k1 Fig. 2. The curves of control inputs
2
0.2u2,k1 (0.1 u2,k1 ) y2,k
1
w2,k = 2 y2,k 0.9y2,k1 0.3u1,k1
2
0.1u2,k1 (0.1 u1,k1 ) y1,k
Furthermore,

1 2
1 (0.1 u2,k1 )
P = 2 1
(0.1 u1,k1 ) 2
Using Lemma 1, the JPDF and MPDFs of system outputs

can be obtained. Setting the initial weights R1 = 1, R2 = 1
and R3 = 0.01, the performance criterion (16) can be calcu-
lated for each sampling instant.
The optimal control input vector can be obtained by
Eq.(21). Following the presented control algorithm, the results
of simulation are given as follows:
Figure 1 and Figure 2 show the system outputs and the
control inputs, respectively. For this example, the system
Fig. 3. The performance criterion
outputs are bounded and the control inputs trend to 0.1 which
makes the matrix P diagonal so that the outputs of this
system are completely decoupled in statistical sense. Figure 3
500
Fig. 4. The 3D mesh MPDF of y1 Fig. 6. The error of distribution at k = 2
Fig. 5. The 3D mesh MPDF of y2 Fig. 7. The error of distribution at k = 10
gives the curve of the performance criterion based on mutual lently by mutual information and Renyi entropy. Based on this
information which is closed to 0. new criterion, the control algorithm is presented to minimized
Meanwhile, Figure 4-5 show the 3D mesh of the system the mutual information of the system outputs. Moreover, the
output MPDFs and the error between the JPDF and the statistical couplings among system outputs are minimized. The
production of MPDFs of system outputs are given as Figure 6- convergence and the procedure are analyzed. It has been shown
7, where Figure 6 shows that the error at k = 10 signicantly that the optimal control inputs for each sampling instant can be
reduced compared with the initial condition k = 2. obtained following proposed control algorithm when the initial
values are chosen within the neighborhood of optimal control
It is shown that the error between the JPDF and the input values. The effectiveness of the proposed algorithm is
production of MPDFs of system outputs is minimized with shown by a numerical example. Furthermore, the performance
the optimal control input signal, which means the presented criterion with control algorithm presented in this paper can
algorithm can achieve the control objective. be extended simply and also the multi-objective optimization
approaches can be used to solve the proposed control problem
VI. C ONCLUSIONS without any conditions of convex optimization.
This paper presents a novel control algorithm using the
concept of Cauchy-Schwartz mutual information to minimized ACKNOWLEDGMENT
output statistical couplings, for a class of dynamic nonlin-
ear multi-variable non-Gaussian stochastic systems which are The work is supported by the Chinese National Science
represented by NARMA model. The performance criterion is foundation with grant number 61134001 and 61134006, these
given by information potential which is transformed equiva- are gratefully acknowledged.
501
R EFERENCES [5] Goncalves, L.B. and Jose Leonardo, R.M. Renyi entropy and cauchy-
schwartz mutual information applied to MIFS-u variable selection algo-
[1] Wang, Q. Decoupling Control, Springer; 2002. rithm: a comparative study. Pesquisa Operacional vol.31, no.3, 2011,
[2] Cover, T.M. and Joy, A.T. Elements of information theory. John Wiley pp 499-519.
& Sons; 2012. [6] Zhang, J., Ren, M. and Wang, H. Minimum entropy control for non-
[3] Guo, Lei and Wang, Hong. Stochastic distribution control system design: linear and non-Gaussian two-input and two-output dynamic stochastic
a convex optimization approach. Springer Science & Business Media; systems. IET Control Theory & Applications vol.6, no. 15, 2012, pp
2010. 2434-2441.
[4] Wang, Hong. Minimum entropy control of non-Gaussian dynamic [7] Erdogmus, D. and Jose C. P. Generalized information potential criterion
stochastic systems. IEEE Transactions on Automatic Control, vol.47, for adaptive system training. IEEE Transactions on Neural Networks,
no.2, 2002, pp 398-403. vol.13, no.5, 2002, pp 1035-1044.
502
Design and Simulation of Dual Fuzzy Self-adjusting

Immune PID Controller for Grain Drying System
Dai Aini ,Zhou Xiaoguang, Zhang Chi, Liu Xiangdong, Zhou Huiling
Beijing, China
e-mail:dan20023@163.com
AbstractThe grain drying process has the characteristics of have the advantages of learning and reasoning; it is
large time delay, nonlinearity, multi disturbance and strong independent on the mathematical model, and can approach any
coupling. In order to reduce the grain moisture content during nonlinear function, and can be a good solution to the problems
drying process, to ensure the grain quality of the grain, and the traditional controller encountered. Therefore, intelligent
enable the uniform moisture content of outlet grain, a new control is especially suitable for such complex systems as grain
improved controller model for grain drying which called the dual drying. In 1997, research by Taprantzis shows that the fuzzy
fuzzy self-adjusting immune PID controller in this paper is control has better dynamic characteristics than PI control [4].
proposed based on immune feedback mechanism, and the Intelligent control has been applied to grain drying control
problem of fixed change rate of the parameters of general fuzzy
system by a number of domestic and foreign scholars such as
immune PID controller is solved. Matlab simulation tool is used
to simulate the control models of grain drying system, and the
H.Mansor, Farkas. I ,Perrot, Zhang and Litchfield, GuoFang Li,
effectiveness of this new improved control method for the grain Zhaihuai mao, WenFu Wu, Han Feng, MingShan Liu and
drying system is shown by simulation on the performance Peidong Wang, Shangwei Dong [5][6][7][8][9[10][11][12] et
comparison with the other control methods, such as: general PID, al.
fuzzy self-adjusting PID and general fuzzy immune PID. The Fuzzy Immune PID controller based on the immune
simulation results show that the new fuzzy immune PID feedback mechanism combines the intelligent fuzzy control
controller has better dynamic performance in the aspects of with the traditional control, and has the advantages of simple,
overshot, stability and anti-jamming. (Abstract) good robustness and independence on the system model. A
fuzzy immune PID controller is designed and simulated by the
Keywordsgrain drying; dryer; fuzzy control; intelligent scholar Wang Yan [13], and simulation results show that the
control; simulation (key words) control performance of the method is much better than general
PID. Some scholars have also pointed out that the change rate
I. INTRODUCTION of PID adjustment parameters of this method is the same, and
Today in the development of ecological agriculture, the to some extent, it will affect the control effect. Aiming at this
drying of the main goal can be summarized as to maximize the limitation, scholars such as Jiang zhongyang, Zhang Lei, and
drier throughput at optimal energy efficiency and minimum Li Qi[14][15][16] have developed new improved methods like
grain quality deterioration [1]; grain quality will be affected if genetic optimized fuzzy immune PID algorithm, and the
too dry, too wet, not uniform drying or drying process in the simulation have proved that the improved control algorithm is
high temperature. So the effective automatic control strategy of more stable than the general fuzzy immune PID control. In
drying process to ensure the grain drying quality is very view of the same limitation, this paper designs a new improved
important. fuzzy immune PID control algorithm. Since the algorithm uses
Grain drying control is characterized by large lag time, two fuzzy controllers, Dual Fuzzy Self-adjusting Immune PID
nonlinearity, strong coupling and disturbance, and it is a controller is unified called in the paper. The algorithm
complicated heat and mass transfer process which is influenced combines the advantages of fuzzy self-adjusting PID control
by various factors. In the sixties of the 20th century, the main algorithm and the general fuzzy immune feedback PID
control methods of grain drying process were forward control, algorithm, and it can dynamic adjust the PID parameters and
feedback control, forward-feedback control and other further improve the control quality. By simulation on the
traditional control which were not too much stable [2].The performance comparison of several control methods based on
traditional control algorithms are dependent on the clear grain drying model, the feasibility of the control method
mathematical model of controlled object, it is difficult to reach applied in grain drying control is proved.
the ideal control effect for such a complex system as grain
drying. Since 1970s, the research development of computer II. GRAIN DRYER PRINCIPLE
control technology and artificial intelligence have provided According to dry process, dryers are usually classified into
new ways for advanced control of grain drying [3], thereafter cross-flow, concurrent-flow, counter-flow, and mixed-flow. In
drying control come into the intelligent control period. general, large-scale drying equipment is mainly composed of
Intelligent control with adaptive and robust Characteristics
Sponsored by National Common weal Industrial Special Scientific
Research Funds for Grain Industry (No. 201413006).
978-1-4673-7995-3/15/$31.00 2015
c IEEE 503
hoisting machine, discharged machine, hot blast furnace, process. T cells are composed of inhibit T cells (TS) and helper
blower, and granary, etc. cells (TH), which respectively inhibit and help B cells respond
Take the tower dryer for example, its workflow is described to a stimulus. When the antigen is increasing, there are more
as followed: first finish the parameters setup; next, starts the TH cells and less TS cells in the body which will produce more
hot air blower to work; the certain hot air is blowing into the B cells, that is more antibodies; when the antigen is gradually
drying tower, then, lifting machine starts to work, and the wet reduced, TS cells will increase and inhibit the generation of TH
grain come into the granary from the grain entrance, when the cells, thereby reducing the B cells, antibodies decreased. When
lower grain level sensor alarm, the end of the grain discharged. the antigen is eliminated, the immune response is completed.
Thereafter the hot air and wet material contact in the drying Assuming the K generation amount of antigen is (k);the
mode, and heat and mass exchange to dry grain. In the whole output of TH cells is TH(k; The output of TS cell is TS (k);
dry process, the speed of the discharge grain motor is adjusted According to the immune feedback mechanism, the total
by the intelligent control center every time interval according stimulation received by B cells was u(k), as shown in the
to the detected drying parameters, after the outlet grain formula (1).
moisture has reached the target value, the grain is discharged, S(k)=TH(k)-TS(k) (1)
and the dry process ends. The dryer control schematic diagram
is shown in Fig.1. Among them: TH(k)=k1(k)TS(k)= k2f[u(k),u(k)] (k)
is a selected nonlinear control function that represents the
strength of the ability to inhibit the stimulation of external
stimuli. Its feedback control law is shown in (2) and (3):
u(k)= =
= kp (2)
kp= K{1 -f [u(k)u(k)] } (3)
Among them, k= k1 is the speed of control response, =
k1/ is related to the stability of the response, kp will change
with the controller output, Moreover, a reasonable adjustment
of k and is also crucial, and it can enable the control system
has smaller overshoot and faster response rate.
3.2 Fuzzy immune PID feedback controller
The fuzzy immune PID controller combines fuzzy immune
Fig. 1. Schematic diagram of the tower drier. control with the general PID controller. Output of the fuzzy
immune PID is shown in (4) by replacing antigen of
There are many factors that affect the control of grain fuzzy immune controller with the general PID controller.
drying, the main factors of which are the grain initial u(k)= kp
temperature and inlet moisture, the ambient environment

temperature and moisture, the hot air and cooling air flow, the
hot air temperature, and the speed of the grain. Under a certain
period of time and environmental conditions, some variables

can be thought to be unchanged for a certain batch of grain
drying, such as: the grain initial temperature and initial
moisture content, the ambient environment temperature and

moisture, hot air and cooling air flow. In order to further
simplify the control model, in general, the air temperature and
air flow are also considered as quantitative in the actual control
process of grain drying, in which, the speed of the discharging (4)
motor is controlled to realize the drying target by detecting the Among them
outlet grain moisture according to the corresponding control
algorithm. k 1 -f [u(k)u(k)] } (5)

III. DESIGN OF DUAL FUZZY SELF-ADJUSTING IMMUNE PID k {1 -f [u(k)u(k)] } (6)
FOR GRAIN DRYING SYSTEM
k (7)
3.1 Fuzzy Immune Principle
The nonlinear control function can be obtained from
Biological immune system can produce antibodies against a the output of the fuzzy controller and can take different values
foreign invasion of the antigen, which plays the defense role. according to the two input changes of the fuzzy controller. As
The most important cells in the immune system are the in (5)-(7), the parameters of the controller can be
lymphocytes which are mainly two kinds: B and T cells; B adjusted adaptively with the output variation, which overcomes
cells are responsible for antibody production and carry out the the limitations that the general PID controller parameters cant
immunity function and T cells regulate the whole immune
504
be dynamic adjusted during the control process. Its controller discourse is shown in Fig.6, and it can be seen that the surface
structure is shown in Fig.2: is smooth and the system performance would be better.
Fuzzy controller

Proportional u du/dt
r e y
Integral Immune Controlled
controller object
Differential
Fig. 2. Fuzzy immune PID feedback controller
The fuzzy controller is two-dimensional model and has Fig. 5. Membership Function plots
two fuzzy sets inputsthe output of immune controller u and
the error rate uc=du/dt; one output : the nonlinear
function of the immune controller. The universe of discourse
of the input and output are [-1,1], and each of the input y
variables has three fuzzy sets:{positive, zero, negative} or {P,
Z, N}; the output has five fuzzy sets: { positive big, positive
small, zero, negative small, negative} or {PB,PS,Z,NS,NB};
the fuzzy controller can use the following 9 knowledge rules:
IF u is N and uc is N then f() is PB
IF u is N and uc is Z then f() is PS
IF u is N and uc is P then f() is PS Fig. 6. The relationship surface figure of the output and input
IF u is Z and uc is N then f() is PS
IF u is Z and uc is Z then f() is Z 3.3 Design of Dual Fuzzy Self-adjusting Immune PID
IF u is Z and uc is P then f() is NS
Although the control effect of the fuzzy immune PID
IF u is P and uc is N then f() is NS
controller will be improved obviously in the process of control,
IF u is P and uc is Z then f() is NS
it can also be seen by the formula (5)-(7) that change rates of
IF u is P and uc is P then f() is NB
PID parameters ( ) are the same, which should be
The input and output membership functions are shown in
different in the actual control process, thus having some
Fig.3, Fig.4 and Fig.5 .
adjustment difficulty to some extent and affecting the control
effect.
Fuzzy self-adjusting PID controller can tuning the PID
parameters differently according to the control situation, so
using this feature a new improved method in this paper is
proposed which is called the dual fuzzy immune PID controller
by combining the advantages of two fuzzy controllers: the
fuzzy self-adjusting PID controller and the general immune
feedback controller. The structure of dual fuzzy self-adjusting
immune PID controller is shown in Fig. 7.
Fig. 3. Degree of Membership Function plots u fuzzy controller fuzzy controller
u du/dt
r y
e
PID adjuster Immune controlled
de/dt controller object
Fig. 7. Structure of dual fuzzy self-adjusting immune PID controller
IV. SIMULATION STUDY AND RESULTS DISCUSSION

In order to verify the effectiveness of the above methods in
the process of grain drying control; the grain drying model
Fig. 4. Membership Function plots -uc

uses a first-order lag transfer function [17] ;

Finally, according to the fuzzy rules, defuzzification will the simulation models of several control methods are designed
transform the output of the fuzzy controller from a fuzzy respectively in Matlab; the input of each model is the step
set to a crisp number by using the gravity method-centroid and
response function (Final Value=0.15) imitating the final
the Zadeh fuzzy logic operationAND. The relationship
output moisture content, and the sampling time is 1s.The step
surface figure of the output and input in the universe of
response curves of different control models are simulated
within the time of 2000s.
505
The PID parameters are adjusted according to the Ziegler- TABLE CONTROL PERFORMANCE COMPARISON OF DIFFERENT
CONTROLLERS BASED ON ZIEGLER-NICHOLS
Nichols setting formulas and adjusted in practical terms.
Ziegler-Nichols setting formula (8), (9), (10) are shown in the Controller G y(tp) tr ts
following: general PID 65.7% 0.248598 107s 424s
fuzzy self-adjusting PID 55.3% 0.232953 116s 457s
(8)
fuzzy immune PID 23.8% 0.185632 160s 445s
Ki=Kp /2.2 (9) dual fuzzy self-adjusting
23.3% 0.184970 155s 413s
Kd= Kp 0.5 (10) immune PID
Among them T=210, L=60, K=2.21, ts=1; Putting the
parameters into the formula(8),(9),(10), the simulation TABLE VALUE A AND VALUE B OF ITAE INDEX
parameters of the general PID (kp,ki,kd )are 1.9, 0.0144, 30
Index Control effect A B
respectively. In the model simulation, the PID parameters of ITAE P 1.357 -0.947
all controllers are the same; moreover, k and parameters of ITAE I 0.842 -0.738
the fuzzy immune PID controllers are the same, respectively ITAE D 0.381 0.995
are: 0.4, 0.1. One fuzzy controller of the dual fuzzy self-
adjusting immune PID is the same with fuzzy immune In practice, for a certain set parameters of K, L and T,
controller, and the other fuzzy controller is the same with the control index can be optimized by using numerical method,
fuzzy self-adjusting PID controller. The simulation results of For example, the IAE and ITAE indexes, as in (12) and (13).

the controllers are shown in Fig.8, and the performance |e(t) (12)

parameter values of the control system can be calculated based t|e(t) (13)
on the data derived from simulation curves in Matlab The calculation formula for the regulator parameters is
according the following definition, as shown in Table: shown as (14)
The rising time tr: the time to reach the steady state for the
first time in the transient process. (14)

Maximum overshoot G is as shown in (11) : The adjustment functions of each parameter are shown in
\W S \f (15), (16), (17)
G u Proportional adjustment function: (15)
\f (11)
y(tp): The first peak value of the system response. Integral adjustment function: (16)
y(): The steady value of the response of the system. Differential adjustment function: (17)
The values of A and B are fixed, as shown in Table,
Adjusting time ts: the required time from y(tp) to y( )
Putting the value of A and B into (14), the calculated values of
between the deviation to allow (f2 tof5%), and maintained
kp,ki,kd are respectively: 2.01100.010123.0036, In the
within the allowable range.
actual operation, the simulation conditions and the computing
Taking the adjusting time calculation of general PID for
methods of performance parameters are the same with the
example, referring to the data derived from the Matlab
simulation of Fig.7. The simulation results of the controllers
simulation figure and with the standard of f5% steady error
are shown in Fig. 9 and control performances values of the
range, it can be analyzed that the error is controlled within f simulation results are shown in Table .
5% since 424 seconds, so the adjustment time is 424 seconds.
It can be seen from the figure 8 and table that the Simulation results comparison of different control methods for grain drying process
0.25
maximize overshoot and the steady error of all fuzzy
controllers are less than general PID controller; the control

performances of two immune controllers are both superior to 0.2
OUTPUT VALUE
that of general PID controller and the fuzzy self-adjusting PID
controller. 0.15
Simulation results comparison of different control methods for grain drying process
0.25
general PID controller

0.1
fuzzy self-adjusting PID controller
OUTPUT VALUE
0.2

fuzzy immune PID controller
0.05 dual fuzzy self-adjustment immune PID controller
0.15
0
0.1 general PID controller 0 200 400 600 800 1000 1200 1400 1600 1800 2000
fuzzy self-adjusting PID controller TIME(S)
fuzzy immune PID controller
0.05 dual fuzzy self-adjustment immune PID controller
Fig. 9. Simulation results comparison of different controllers for grain
drying process based on ITAE index.
0
0 200 400 600 800 1000 1200 1400 1600 1800 2000
TIME (S)
Fig. 8. Simulation results comparison of Dual Fuzzy Self-adjusting Immune

PID and other controllers based on Ziegler-Nichols setting formula.
506
TABL CONTROL PERFORMANCE COMPARISON OF DIFFERENT V. SUMMARY
CONTROLLERS BASED ON ITAE INDEX
A dual fuzzy immune PID controller is designed in this
Controller G y(tp) tr ts paper based on the immune feedback mechanism, which has
general PID 59.3% 0.238925 107s 320s solved the problem of fixed change rate of PID parameters. By
fuzzy self-adjusting PID 43.1% 0.214634 117s 335s
simulation on the performance comparisons of different
fuzzy immune PID 28.1% 0.192209 128s 268s
dual fuzzy self-adjusting
control methods, it is testified that the improved immune PID
0.295% 0.150440 370s 260s has faster response speed, better accuracy and strong anti-
immune PID
jamming, which can be effectively applied in the control of
By comparison the simulation, the fuzzy immune PID and grain drying process.
the dual fuzzy self-adjusting immune PID have less overshot
and less adjusting time, between them, although the adjusting REFERENCES
time of the dual fuzzy self-adjusting immune PID controller is [1] Lutfy, O. F., Mohd Noor, S. B., Abbas, K. A. and Marhaban, M. H.
longer than other control methods, it has the best control effect, 2008. Some control strategies in agricultural grain driers: A review.
the shortest adjusting time, almost no overshot, and minimum Journal of Food, Agriculture & Environment 6(2):74-85.
steady error. [2] Li guofanMao zhihuai. Advanced control of grain drying process[C].
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adjusts the rising time and overshot, and parameter mainly [3] Han Feng, Wu wengfu, Zhu hang. Control Status and Developing Trend
of Grain Drying Process [J]. Journal of The Chinese Cereals and Oils
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better control performance than the other two controllers. dryer. drying technology. 1997,vol: 15( 2),pp. 511-537.
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[7] Perrot, N, Bonazzi, C, Trystram, G.Application of fuzzy rules-based
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to verify the anti-jamming performances of the controllers, the air drying. Drying Technology,vol. 16 (8).pp. 1534-1565.
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adjusting immune PID are all able to reject the input Intelligent Controller for Grain Dryer [J]. Journal of Hebei Normal
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disturbance rapidly and perform significantly better than
general PID. Among them, the fuzzy immune PID and the [10] Liu Mingshan,Wu Chengwu, Wu Siqi, Zhou Yuan, Wang Hui, Ren
Lisheng. Research and Simulation of fuzzy control expert system for
dual fuzzy self-adjusting immune PID are able to track rapidly grain drying [J]. Journal of Agricultural Machinery.
the desired value at the presence of input disturbance, and the [11] Wang Peidong. Study on the intelligent control of rice drying based on
response value fluctuation affected by the input disturbance BP neural network [D]. Harbin Engineering University,2011.
are smaller, especially the dual fuzzy self-adjusting immune [12] Dong Shangwei. Intelligent control system of grain dryer based on
PID performs most excellent in terms of the amplitude and Fuzzy Neural Network [J]. Food Processing.
adjusting time, so it is especially suitable to the control [13] Wang Yan. Design and Simulation of fuzzy immune PID controller [J].
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0.25
Simulation results comparison of different control methods for grain drying process [14] Jiang Zhongyan, Cai Zaixing, Gong tao. An improved fuzzy immune
general PID controller
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feedback PID controller[J]. Control Engineering,2008,05:485-488.
Output
Value
fuzzy immune PID controller [15] Zhang Lei, Song Shuzhong, Ma Jianwei. Study on Genetic Optimization
0.2 dual fuzzy self-adjustment immune PID controller of Fuzzy Immune PID in Shuttle Kiln Temperature Control [J]. Power

Supply Technology,2013,02:314-317+328.

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[16] Li Qi, Shang Wenbin. Study on the improvement of immune PID in the
control of two tank water tank [J]. Computer Simulation,2013,10:372-
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0.1 [17] Weng shaojie. Research on the Microcomputer Detection and Control

System for Continuous Flow Grain Dryer [D].1989
0.05
0
0 200 400 600 800 1000 1200 1400 1600 1800 2000
Time(S)
Fig. 10. The anti-jamming effect comparison between simulation results of

dual duzzy delf-adjusting immune PID and other controllers based on
Ziegler-Nichols setting formula.
507
A Brushless DC Motor Speed Control System Based

on DSP Controller
Songming CAO, Yong LIU, Ming HU, Xin FU
Automation School
Beijing, China
Email: csmbupt@126.com
AbstractIn this paper, the control system of brushless DC Brushless DC motor needs electronic switch circuit to
motor is designed to use the TI company's digital signal ensure their normal work.Each phase winding of brushless
processor TMS320F2812 as the main control chip. Design for DC motor is connected with the external switch circuit. And
hardware of the system is as follows : drive circuit, voltage and the power tube in the electronic switch circuit is controlled by
current detection circuit, etc. Software designed in DSP software PWM signal which generated by the control circuit. Therefore
development environment Code Composer Studio. The C the hardware part of the brushless DC motor control system
language and assembly language are used for mixing composed of motor and electronic switch circuit. Its principle
programming. The system realizes brushless DC motor speed diagram is shown in figure 1. Motor stator winding need DC
control. Control method is fuzzy PID control. And thanks to the
regulated power supply through the electronic switch circuit to
fuzzy PID control algorithm, dynamic and static performance
and robustness of the system have been greatly improved.
supply power. The position of the motor rotor is detected by
the IGBT drive element. And then controller through the signal
KeywordsBLDCM; DSP; hardware circuit; fuzzy PID of rotor position to realize the control of switch tube
conduction and deadline. Therefore some winding transmit
electric current and others power outage would be
I. INTRODUCTION automatically controlled. The circuit realizes the electronic
Because of the brushless DC motor with easily controlled, commutation.
simple structure, high efficiency, good reliability, long life and
other advantages, its application increased rapidly[1-3]. Texas
instruments (TI) designed a digital signal processor DSP
TMS320F2812 which has high computing power and
reliability, it solves the problem of the motion control
application as a powerful tool.
Conventional speed control systems generally use PID
control method. However, PID control is linear control. It has a
problem that over-reliance on the model parameter of control
object. It cannot adjust parameters according to external
changes. So its control accuracy and robustness are poor. In Figure 1 Brushless DC motor system structure diagram
this paper, fuzzy PID control algorithm is the control method.
The deviation and deviation change rate are input of fuzzy
reasoning and then adjust PID parameters real-time. Thereby III. THE BRUSHLESS DC MOTOR SPEED CONTROL HARDWARE
SYSTEM
system achieves the high precision real-time speed control.
The schematic diagram of the brushless DC motor speed
This paper's main goal is designing the corresponding control hardware system based on DSP is shown in figure 2.
hardware circuit and combining with software program to The hardware system main contains control circuit, drive
realize the brushless DC motor speed control. circuit and display circuit. The DSP TMS320F2812 processor
is the core of control circuit. The control circuit mainly through
II. THE WORK PRINCIPLE OF BRUSHLESS DC the pressed key input to set for a given speed signal, DSP
MOTOR SYSTEM produces corresponding PWM control signal according to the
Under normal circumstances, the DC motor stator fixed speed set, control on-off of IGBT. Drive circuit is the control
magnetic field generated, whereas the armature in the rotor circuit of PWM amplifier, reliable control of the IGBT turn-on
position. In order to make DC motor normal rotation, we can and shut off the motor according to the control instruction.
make use of commutator and brush uninterrupted change the Display circuit is mainly composed of key circuit, seven
direction of the current in the armature winding. It makes two segment digital tube circuit, micro control unit and other
remained perpendicular direction of the field, thus generating a components of the circuit. Its function is to set the brushless
constant torque drive motor rotating continuously. DC motor speed, according to the status of brushless DC motor
speed.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 508
V. THE DESIGN OF THE DETECTION AND PROTECTION
CIRCUIT
A. Measuring voltages circuit

In the motor running process, in order to ensure reliable
operation, we often to test for a DC bus voltage. The circuit
principle diagram is shown in figure 5.

Figure 2 Control system principle block diagram
IV. THE ANALYSIS AND DESIGN OF THE DRIVE CIRCUIT Figure 5 Measuring voltages circuit
Drive circuit of brushless DC motor speed control system Figure 5 is bus DC voltage detection circuit. The normal
contains power conversion circuit and IGBT drive circuit. The work of the DC bus voltage is 24V. The voltage divided into a
design of the power conversion circuit uses a three-phase voltage follower. The voltage is sent to DSP to complete AD
bridge type star connection electric circuit. The circuit is shown conversion after through inverting amplifier circuit and high
in figure 3. The driver chip uses IR2110 component. The linearity analog the photoelectric coupler.
component is gate drive, dual channel, high speed power
device of the monolithic integrated driver module. The chip has
B. Measuring current circuit
adopted a highly integrated level conversion technology. It will
greatly to simplify requirement of the logic circuit control the In the power circuit, there are three current detection
power devices, and improve the reliability of the drive circuit. circuits. These circuits detect the bus current, the motor U
In addition, the IGBT drive circuit is amplify the PWM signal phase current and the V phase current respectively. The bus
processor DSP the output of the power, so that the power current detection circuit is shown in Figure 6.
device can reliably shut off and saturation conduction. It's
working mode has a direct affect on the normal work of the
whole motor speed control system. IGBT drive circuit is shown
in figure 4.
Figure 6 Measuring current circuit
The circuit receives small voltage signal when the bus

current through small resistance R70. The voltage signal goes
through two LM358ADs. The LM358ADs make sampling
signals same phase amplify and integral respectively. And then
the sampling signal is sent to DSP to complete AD conversion
through inverting amplifier circuit and high linearity analog the
photoelectric coupler.
Figure 3 Power conversion circuit principle diagram The line current of motor winding detection circuit is
shown in figure 7. The detecting element used in circuit is hall
current voltage sensor CS010GT. The sensor can measure DC,
AC, pulse and a variety of irregular waveform of current under
the condition of the electrical isolation. And it can measure the
voltage value from the output terminal of motor winding. The
voltage value can correspond to the measured current.
Figure 4 IGBT drive circuit principle diagram

Figure 7 Motor winding line current detection circuit
509
Due to the working voltage of TMS320F2812 chip is 3.3V, bridge power tube up and down at the commutation, failure
more than the voltage will cause permanent damage to the DSP. indicator working. D15 is failure indicator.
In order to protect and enhance the system of DSP anti-
jamming capability, we tend to set up the hardware protection VI. THE SOFTWARE DESIGN
circuit before the signal is sent to DSP to AD conversion.
Control software using C code complete modular software
C. Measuring over-current circuit design, the main program as shown in figure 10. The main
contents contain initialize each module of the system, initialize
In the running process of the system, there will be over- variables of the system, realize the control function by enter the
current anomalies. In order to effectively prevent the damage, interrupt service subroutine, etc. The DSP initialization
we generally need to add the necessary protective measures in program completes the definition of DSP registers, constants,
the circuit design. The measures can ensure the normal work of variables and achieve A/D module, EVB module initialization.
the control circuit, driving circuit and motor device. Then open the DSP interrupt and fault interrupt, loop to wait.
Over-current detection circuit working principle: DC bus
current is sent into the inverting amplifier after being sampled, A. Cycle waiting for interrupt
then compared with a given voltage by voltage comparing The stage of cycle waiting for interrupt: interrupt service
comparator. If it is greater than the reference voltage, it shows routine of timer is the core part of the control program. Its
over-current condition happened. The comparator output over function is performing algorithm program in each cycle, select
current signal. The signal makes DSP control output instruction the correct space voltage vector and convert them into the
blockade PWM pulse and then the motor stops running. inverter switch of PWM switch signal control. The fault
Measuring over-current circuit principle diagram is shown in interrupt is the top priority in all program interrupt. Once the
figure 8. motor control system fails, the interrupt service routine will
blockade PWM output and machine halt.
Figure 8 Measuring over-current circuit
D. Fault alarm circuit

In the inverter bridge circuit, the same bridge arms of the
two power switch tube cannot conduct at the same time. If
conduct at the same time, the bridge arm up and down the DC
bus voltage would appear shoot through phenomenon. But the
electrical resistance in the circuit is very small. It would cause
a short circuit and power devices may soon be burnt, thus great
influence on the normal operation of the whole circuit system.
Figure 9 Fault alarm circuit

When design the control program for the system, in order to
prevent appearing to conduct on the bridge arm up and down at
the same time, we specially add the dead zone to the PWM
signal. Despite the corresponding protective measures in the
control program, program also appears to abnormal situation
possibly. Therefore, in order to strengthen the protection
measures, we design a fault alarm circuit, is shown in figure 9.
D16 is the failure indicator when the bridge arm up and down Figure 10 Main program flow diagram
at the commutation. When there is over-current or inverter
510
method. The fuzzy reasoning method is "max-min" synthesis
B. Fuzzy PID control algorithm program of the Mandan reasoning method. Weighted average method
The author combines fuzzy control and conventional PID is used to solve fuzzy method.
control algorithm. The deviation e and deviation change rate
ec made by brushless DC motors given speed and actual VII. EXPERIMENTAL ANALYSIS
speed. And then system gets E and EC through makes them
fuzzy. After fuzzy reasoning, the system makes PID In order to verify the effectiveness of the control method,
controller parameters Kp, Ki, Kd automatic online adjustment We simulate and analyze fuzzy PID controller by
depends on the speed deviation and the deviation rate. Matlab/Simulink. And we compare it with the conventional
PID controller and the pure fuzzy controller. The simulation
Each linguistic variable of the E, EC and Kp, Ki, Kd selects
with the parameters of the brushless DC motor as follows:
{NB,NM,NS,ZO,PS,PM,PB}. Each fuzzy subset is defined
as: NB (negative big), NM (negative middle), NS (negative rated current is 5A, rated power is 3 kw, rated speed is 1550
small), Z (zero), PS (positive small), PM (positive middle), R/min, armature winding resistance R=0.758, the armature
and PB (positive big). To set the range for them is {-6,-5,-4,- winding inductance L=1.35mH, the moment of inertia J
3,-2,-1,0,+1,+2,+3,+4,+5,+6}. Their membership function is =1.34x10-3 kgm2. The motor speed simulation curve of
trigonometric function. We define Kps function is to controlled by conventional PID controller and sudden minus
improve the response speed of the system, Kis function is to load cases at t=0.06s is shown in figure 11. The motor speed
reduce the steady-state error of the system, the function of Kd simulation curve of controlled by pure fuzzy controller and
is to improve the dynamic performance of the system. sudden minus load cases at t=0.06s is shown in figure 12.
The motor speed simulation curve of controlled by fuzzy
Through features of the brushless DC motor speed control,
PID controller and sudden minus load cases at t=0.06s is
we can summarize the fuzzy control rules of the Kp, Ki, Kd.
And then we convert them into accurate speed value which shown in figure 13.
can be received by controller through solving the fuzzy
VIII. CONCLUSION
In this paper, we designed the power conversion circuit,
drive circuit and detection circuit and other hardware circuit in
the control system based on TMS320LF2812 DSP digital
brushless DC machine. System software adopted modular
structure. It is fully functional, PWM modulation is realized by
just using timer compare unit. The author uses Fuzzy PID
control algorithm. The algorithm makes the system control
Figure 11 Conventional PID controller simulation curve precision high and response fast. Experiments show that the
system hardware investment is less, low design cost, the
adoption of the hardware anti-interference design, improve the
reliability and stability of the system. And thanks to the Fuzzy
PID control algorithm, dynamic and static performance and
robustness of the system has been greatly improved.
ACKNOWLEDGMENT
This work is supported by National High Technology
Research and Development Program of China(No.
Figure 12 Pure fuzzy controller simulation curve 2011AA040203), National Science and Technology Support
Program of China(No. 2013BAD17B06), Special Fund for
Grain Research in the Public Interest(No. 201313009-06).
REFERENCES
[1] Hongwei WANG, Hui LIANG. DSP Control of Brushless DC Motor

without Position Sensor[J], Power Electronic Technology,39(6): 102-
104, 2005
[2] Chunhua WU Guocheng CHEN Chengbo SUN. An Improved
Sensorless Brushless DC Motor Testing Technology [J], Electric Drive
Automation, 27(3): 31-33, 2005
Figure 13 Fuzzy PID controller simulation curve [3] Qiancheng ZHANG Yuping DU. Research of the Sensorless
Brushless DC Motor Control [J], Manufacturing Automation, 33(8):98-
101, 2011.
[4] Yaocheng CAI. Hall Position Sensors in Brushless DC Motor.
SMALL&SPECIAL ELECTRICAL MACHINES, 27(5)2325, 1999
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[5] Chen ZHANG. Direct current Motor Brush Less's Principles and [6] Kenichi lizuka, Hideo Uzuhashi, Minoru Kano,et a1. Microcomputer
Application [M], Beijing Mechanical Industry Publishing, 2001 Control for Sensor-less Brushless Motor[J], IEEE Trans Industry
Applications,21(4):95~601,1985
512
Precision Size Measurement Instrument for Irregular

Objects
Xian Tao (corresponding author)
Wanji Liu Research Center of Precision Sensing and Control, Institute
Patent Examination Cooperation Center of the Patent Office, of Automation, Chinese Academy of Sciences
SIPO Beijing, China
Beijing, China love6tao@126.com
wanjiok1@163.com
Abstract-Precision size measurements are widely used in enterprise. Nowadays, the majority of companies are usually
industrial production such as candies and cookies in the food relied on traditional measuring methods, such as micrometer,
industry. However, it is a challenge to measure irregular objects venire caliper, gauges and other tools to measure, which need
in a universal device because of poor adaptability and low
precision. In this paper, a high-precision measurement device for to rely on a lot of manual procedures. It not only increases
irregular objects based on machine vision is designed. It consists labor costs and management costs, but also has no stability.
of a rotational adjustment platform, two imaging units, a However, the commercial vision systems available in the
weighing device and a host computer. Armed with this device, a market are very expensive which is limited for wide
novel algorithm with good robustness is proposed to rapidly application. Commercial vision systems lack versatility which
measure irregular objects. The sub-pixel location algorithm is often designed only for one product or object. Moreover,
based on spatial moment is used for the accuracy size
measurement. Experiments show that the measurement accuracy many measurement devices can only measure the regular
is less than 25m. object such as the circular object or square object. Based on
Keywords: Size measurement, irregular objects, sub-pixel edge, the detection of regular shapes have many common
machine vision. algorithms such as least square method, Hough transform,
learning automata algorithms in [9-11] which are proposed for
I. INTRODUCTION the shapes of round and oval. But they are not for the irregular
W ith the rapid development of image processing

technology, the methods of non-contact measurement
are emerged including laser triangulation, industrial
shape. Universal commercial measuring devices cant also
directly measure irregular objects.
The motivation of this work is to design a low-cost, high-
computed tomography(CT) and machine vision[1-3]. The precision, adaptable instrument for irregular objects based on
measurement method of machine vision is a combination of machine vision. The designed measurements device is mainly
image processing and artificial intelligence. This method has composed of two telecentric visual systems and a rotating
many advantages such as objective, reliable, repeatable, high adjustment platform. The telecentric visual systems can
efficiency and accuracy. Therefore, more and more industries quickly capture high-quality images of the two perspectives
using the measurement method based on machine vision to and the adjustment platform has capable of posing adjustment
achieve the industrial production automation inspecting and
for irregular objects. Targeting at irregular objects, a novel
measurement. For example, a non-contact measuring device
measurement algorithm is proposed. A sub-pixel location
[4-5] for spur gear based on machine vision is designed to get
algorithm based on spatial moment is used for the accuracy
the gears key parameters, such as outside diameter, root
diameter and number of teeth. In [6], machine vision has been edge positioning.
used in automatic measurement of garment dimensions which The rest of this paper is organized as follows. The
is used for testing stability as proof of shrinkage resistance. A measurement task and the structure of the dimensional
dimensional measurement system [7] for large size ceramic measurement system are proposed in Section II. In Section III,
floor tiles based on the machine vision using a single camera the principle of telecentric visual system is introduced. The
is designed. It can obtain the dimension of diagonals and detailed measurement process and the novel measurement
sidelines of floor tiles in high accuracy. The machine vision algorithm are also presents. Section IV gives the experiments
method in [8] is used in the field of dimension detection for and results. Finally, this paper is concluded in Section V.
cell phone battery. II. TASK & THE MEASUREMENT SYSTEM
The size of objects and parts are very important for
industrial production which affects product quality in closed- A. Task
loop control. For example, in the field of food, irregular The measuring instrument designed in this paper is a
products (such as candies and cookies) are necessary to be versatile device for irregular objects or parts, so the two kinds
measured before product packaging. The acquisition of of candy in a food factory are regarded as measurement
precise sizes can reduce using expensive wrapping paper, examples to introduce the device. Of course, this device can
which has a direct impact on the economic interests of the also be applied to other measurement occasions. The two
978-1-4673-7995-3/15/$31.00 2015
c IEEE 513
kinds of candy are 3.8g and 6.0g which are shown in Figure placed on the front of the light source 1. Vision system 2 is
1.The weight of small candy is 3.8g and the big candy is 6.0g. fixed horizontal to a bracket which is pointed to light source 2.
It can observe the side surface of the candy. The rotation
adjusting platform mounted on the base is constructed by a
stepping motor which is located in the center of the optical
axis of the visual system. Because of the bottom of big candy
is not flat, there is need to adjust the posture of the candy for
dimensional measurements. The light source 1 is fixed on the
adjusting platform, so it can be adjusted with the rotary
motion and provides a background light for visual system1.
(a) Front view of small candy (b) Lateral view of small candy
Light source 2 is located in the center of the optical axis of the
visual system 2 and provides backlight for it. Weighing
device is an assistive device which can transform the quality
information to the computer through the serial port using for
the discrimination of candy type. When the candy is placed on
the adjusting platform, the operator instructs the image
capture and adjustment of the platform motion, and then the
captured image is transferred to the industrial computer for
completing the processing images. Based on the processing
(c) Front view of big candy (d) Lateral view of big candy
Fig.1 Two kinds of candy sample result, size of candy can be obtained
Our task in this paper is to utilize the measurements

automatically for the two kinds of candy. The length, width
and thickness of candies are measured. As can be seen from
Figure 1, two candies have a different shape. Both of them
have irregular shapes. The small candy is the hard candy
whose bottom is flat, but the big candy is gummy whose
bottom is uneven. Due to the impact of food processing
technology, the shape of candy in the bottom will be slightly
different. Since the actual shape of candy is irregular, the
length of candy is defined as the largest external contour
length in spindle direction, the width of candy is defined as
the external contour length perpendicular to spindle direction,
and thickness is defined as the maximum distance in height
direction from the placement of the plane. The requirements Fig.2 System structure
of measurement accuracy in this task are less than 50m.
III. AUTOMATIC MEASUREMENT PROCESS
B. The structure of the measurement system As the above configuration, the overall flow of
For the current characteristics of two different shapes of dimensional measurement is shown in Figure 3. The
candy, how to achieve rapid and highly accurate measurement process includes four parts: the system
measurements are facing the greatest difficulty in measuring calibration, preprocessing, image processing, dimensional
device. The proposed measurements device is composed of measurement.
two visual systems, two LED light source, a rotating First of all, the parameters of the two cameras are
adjustment platform, a weighing device and an industrial calibrated in the initialization. The pixel equivalents can be
computer. The device setup is shown in Fig. 2. obtained in this step. Then the measuring apparatus is
The visual system consists of a telecentric lens and array initialized by controlling the adjustment platform to the initial
CCD. Both vision systems use telecentric lens. The telecentric position and opening lighting source 1 and lighting source 2.
lens is particularly suitable for the size of high-precision The vision system 1 and vision system 2 capture the current
measurements, because the changes of object distance in the image as the background image of each. The edge line of
depth of field do not cause the change of the amplification adjustment platform imaging in the visual system 2 is
factor. The illumination uses backlighting in bright field. The extracted as the base of the height of candy. Then the candy is
combined of telecentric lens and LED to image make image placed on the adjustment platform for measurement which
edge gray value changes rapidly. The sharper edge is more complete imaging in the visual system 1 and system 2.
suitable for post-image processing. In the device, the visual Candies are classified by the weighing apparatus. Depending
system 1 and the visual system 2 are mutually orthogonal on the type of candy, different image processing algorithms
placed. Vision system 1 is fixed perpendicular to the are used to get the size of candy in pixel accuracy. Then, the
horizontal base of the stent which can observe the candy sub-pixel location algorithm based on spatial moment is used
514
for the further accuracy measurement. Finally, the is to establish a correspondence relationship between the
measurement results are output to excel report. pixels in the image and the real world position of each point.
In this paper, the pixel equivalent of vision system 1 is k1, the
pixel equivalent of vision system 2 is k2.
A. Camera calibration
In a camera system, there are two primary components
correlated with image quality: optical lens systems and image B. Image processing
sensor. For two things, benefited by the so-called object-side The process of preprocessing includes the acquisition of
telecentric lens, as shown in Fig. 4, in the object-side background images and extracting feature line from the side
telecentric lens, the aperture is placed on the image side focal background image, background subtraction, binarization and
plane of the lens. Only the light which is paralleled to the the contour extraction of candy.
optical axis is imaged at the focal plane of the camera through After the control platform complete reset, the two
the aperture stop. All light can be considered to come from background images can be obtained via two visual systems
infinity. This special light path is parallel so that which are expressed as B1 (u, v), B2 (u, v). Since the candy is
magnification of the image does not change with changing placed on the control platform, the side of candy is imaged by
object distance in a certain object distance [12]. The images the visual system 2. The rotation control platform imaged in
are immune to perspective distortion within the entire depth of the visual system 2 is the background area, so it needs to be
focus. Moreover, the impact derived from lens distortion is detected to obtain the edge line of the rotation control
negligible in this lens. platform as the reference height in measurement.
The lower half of the B2 (u, v) is set to be the ROI (region
of interest). Then edge points of the rotation control platform
are obtained by scanning the ROI. Line fit method is utilized
to find the edge of the rotation control platform on the image,
using Random Sample Consensus (RANSAC) [13].Then the
line equation of the edge of the adjustment platform can be
obtained as given in (2).
au bv 1 ! 0 (2)
After acquiring the background images, candy

measurement and extraction are starting. In this process, the
candy is to be placed on the adjustment of the platform in
advance. If the background image in front view is B1 (u, v),
and the current capturing image in front view is F1 (u, v). The
foreground image in front view is R1 (u, v). The background
image, the current image and the foreground image in lateral
view also can be expressed as B2 (u, v), F2 (u, v) and R1 (u, v).
If the pixel difference between F1 (u, v) and B1 (u, v) is greater
than the threshold value T, the pixel points in R 1 (u, v) is
denoted as the image of candy which value is 1, otherwise R 1
(u, v) = 0.
Thus the image of candy R 1 (u, v) in front view can be
Fig.3 System structure calculated in (4)
1if F1 (u , v) # B1 (u , v) % T
R1 (u , v) ! (3)
0, if F1 (u , v) # B1 (u , v) & T
The fixed threshold cannot adapt the complex background

very well. In this paper, Otsu method is used to calculate the
threshold T. One-dimensional Otsu method [14] based on one
dimensional histogram of the image takes Otsu of the target
object and background as the selection criteria and the
Fig.4 The model of telecentric lenses. threshold T is calculated as in (4)
After the lens is determined, the pixel equivalents of
camera are calibrated in next. Calibration of pixel equivalent 2 ! max{ p(T )[1- p(T )]( 1 - 0 ) 2 }
T (4)
515
where p(T) is the probability of a region whose grayscale
value is in the range of [0, T-1]. 0 and 1 represent the
i
s ! { i p1 , i p2 , i }. (6)
average gray value of background and object respectively. T2 i
where s is the feature of the i- point-pairs, p1 is the pointi
is the total variance of the two areas. When variance takes the which is nearest to the line il1 in the contour G1, ip2 is the
maximum value, the threshold value is the optimal threshold point which is nearest to the line il2 in the contour G1. i is the
T. angle between the straight line and the X direction which can
The process of contour extract is proposed as follows. In be expressed as
the differential image R 1 (u, v), the searching order is from the
top to the bottom and from left to right in order to find the i
= i -1 + (7)
starting point of the boundary of the candy. When the starting where the is the increment angle.
point of the boundary is found, it is needed to track the In the fig.5, the distances of each point-pair in the contour
boundary for the next point as the clockwise or G1 to the two parallel straight lines are calculated. The two
counterclockwise. The track directions are used in the points ip1 and ip2 on a contour are recorded which have the
freeman chain code [15] in eight directions and the track is shortest distance to the parallel line il1 and il2. Then the length
stopped until the contour points back to the starting point. The of the edge of the contour can be expressed as
contour points of candy in the two vision systems are saved in
the set G1 and G2.
i
d ! i dl # i d o # i dt (8)
C. Size measurement Where id is the length of the contour edge when the rotation
angle is i, idl is the distance of two parallel straight lines. ido
For two different shapes of candy, a novel processing
algorithms is proposed. The RVC (Rotary vernier caliper) is the shortest distance from the point in the contour G1 to the
method is both used for small candy and large candy. The line 1 and idi is the shortest distance from the point in the
distinction of candy is by weighing device. contour G1 to the line 2.
Since the bottom of the small candy 3.8g is the flat, the The all length of the contour edge set D can be expressed as.
length and width of the candy can be measured directly
through the vision system 1. The height of the small candy D ! {1d , 2d ,..., i d ,...,n d }. (9)
can be obtained by the vision system 2. However, big candy So the length Ls and the width Ws of the small candy in the
has the uneven bottom. So the width and the height of the big pixel accuracy can be obtain by (7)
candy should be measured after pose adjusting. Ls ! max( D) ( k1
The proposed method of RVC is used to rapid measure the (10)
length and width for the irregular shape. The main idea is to Ws ! min( D) ( k1
use a pair of parallel lines along the edge point and rotate 360 Then edge points Ph in the high direction is obtained by
degrees for getting the maximum and minimum distances of scanning the image F2 (u, v) in the visual system2. The
the candy edge. Two parallel lines are equivalent to the two height Hs of the small candy in the pixel accuracy can be
jaws of the venire caliper in manual measurement. When the obtained by (11).
rotation angle i(0,90), two parallel lines are through the aphx bphy 1
bottom left corner and upper-right corner of the image. When H s ! k2 ( (11)
the rotation angle i (90,180), two parallel lines through the a 2 b2
upper left and upper-right corner of the image respectively. Where a,b is the parameters of the line equation in (2), (Phx,
Phy) is the pixel coordinates of the edge points Ph in image F2
(u, v).
Since the bottom of the big candy is uneven, it is needed
to convert the side surface of candy to a standard position.
The rotating angel of platform is the angle between the
spindle of the candy contour and the horizontal direction in
image. The spindle direction is also the direction parallel line
il and il that the id gets the max value in the RVC algorithm.
1 2
Fig.5. The principle of rotation of venire caliper. Then the width and height of the big candy can be obtained in
the same way as the small candy.
The RVC algorithm is used to find the two best point-pairs The sub-pixel positioning is the key of measurement
in all point-pairs set S in the contour G1. accuracy. It will further improve measurement accuracy. The
subpixel edge detection algorithm of spatial moment [16] is
S ! {1s, 2 s,..., i s,...,n s}. (5) used in this paper with good accuracy and stability. So the
And point-pairs which are the edge points in (6) are converted to
sub-pixel level.
516
IV. EXPERIMENTS (2) . The size of the large candy is obtained by the side
lengths of the two bounding rectangle after position
A. Experiment System
adjustment.
An experiment system (as shown in Fig. 6) was established
according to the scheme given in Section II. In the experiment
system, two vision units were a PointGrey camera and a Gige
camera. The resolution of camera 1 was 16241234 in pixel
and the resolution of camera 2 was 1280960 in pixel. The
fields of view of the two cameras are 44.537.0mm and 24.3
20.2mm. The adjusting platform had capable of rotating
360 degrees. Two light sources are both controlled via USB
for switching. The CPU of the host computer was Intel (a) (b)
CoreTM2 DUO with frequency of 2.8GHz.
(c) (d)
Fig.7. The images processing of candy (a) fitting line, (b) background
subtraction, (c) binarization,(d) contour extraction.
Fig.6. the designed structure.
B. Image Processing
(a) (b)
According to the automatic measurement process presented
in Section 3, the parameters of two cameras need to be
calibrated at first. The pixel equivalents of two cameras were
obtained in (1) as follows: k1 = 32.1m/pixel, k2 =27.22m
/pixel.
Before the image acquisition, the line equation of the edge
of the adjustment platform was obtained to determine the
parameters in (2) with LSM fitting. The estimated parameters
were a = 0, b= 1.499 10-3. The result of fitting line which (c) (d)
was marked in green color in Figure 7(a). In the experiment of
background subtraction, the T in (4) for the binarization was Fig. 8 The size measurement of two candy, (a), (b) the images of small
candy,(c), (d) the images of big candy
set to 80. Three images in Fig. 7 (b), 7(c) and 7(d) were the
result of background subtraction,the result of the binarization C. Results of measurement
and the result of the contour extraction. In this experiment, according to the measuring method in
According to the measurement method presented in Section III(c), sizes of the standard block were measured by 15
III(c), two kinds of candy were measured in this experiment. times. The true sizes of the standard block were 35.00mm,
The image-processing result of small candy was shown in 24.5.0mm and 8.90mm. Table I listed the measured sizes of
figure 8(a) and 8(b). The image-processing result of big candy standard block. The points marked with "o" were the length of
was shown in figure 8(c) and 8(d). The increment angle in (7) the standard block. The points marked with "*" were the

was set to 1/360 . The green lines in figure 8(a) were two width of the standard block and the points marked with ""
pairs of parallel lines which were the reference for length and were the thickness of the standard block. The maximum
width. The red points marked in the contour of candy were the measurement error of the standard block was 0.022 mm which
two best point-pairs. The red point in figure 8 (b) is the edge was less than the length of a pixel. Therefore, this instrument
points Ph in (11). The height of the small candy is the distance had a high measurement precision for irregular objects. The
from the highest point on the contour to the reference line in
517
result of size measurement of standard block was shown in and Sensors Environments, Magdeburg, Germany, Nov. 16-18, 2012,
pp. 138-143.
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518
A New Method of Periodicity Estimation for

Mechanical Acoustic Data
Zhipan HONG1, Guoliang LU2
Key Laboratory of High-efficiency and Clean Mechanical Manufacture of MOE,
School of Mechanical Engineering, Shandong University, Jinan, 250061, China
1
hongzhipan92@163.com, 2luguoliang@sdu.edu.cn
AbstractPeriodicity estimation in mechanical acoustic time- progress until now. In this study, we proposed a new approach
series data is a well-established problem in data mining as it can for capturing and characterizing periodic patterns in
be applicable in variety of disciplines either for anomaly mechanical acoustic time-series data. Our main contributions
detection or for prediction purposes in industry. In this paper, we of the study are summarized as follows.
develop a new approach for capturing and characterizing
periodic patterns in time-series data by virtue of the dynamic x We develop a computation approach to accurately
time warping (DTW). We have conducted extensive experiments detect the potential periodic patterns in a given time-
to evaluate the proposed approach with synthetic data and our series data. This approach does not require any manual
collected data in practice. Experimental results demonstrated its re-calibration or intervention in execution.
effectiveness and robustness on periodicity detection in highly
noised data. x We conducted extensive experiments to evaluate the
proposed approach with synthetic data and our collected
KeywordsPeriodicity estimation; analysis of time-series data; data in practice. Experimental results demonstrated its
Rotating machine; dynamic time warping effectiveness and robustness on periodicity detection in
highly noised data.
I. INTRODUCTION The rest of the paper is organized as: In Section II, we
Data mining in time series is a well-established problem in discuss the problem of previous methods and major issue of
signal processing as it can be applicable in a wide range of periodicity detection for mechanical acoustic time series data.
industrial disciplines which acquire and record large amounts In Section III, we describe the proposed approach in details. In
of periodic time-series data. For the analysis of such data, Section IV, we show the experiment results. We, last, draw
periodicity estimation, namely, discovering the potential conclusions in Section V.
periodic patterns in a given time-series data, is the first and
essential step which can: (1) allow for more effective and II. PERIODICITY DETECTION PROBLEM
accurate signal processing in many high-level purposes such as
seen in anomaly detection and prediction tasks [1]; (2) allow Let us assume that a sequence of n time-stamped measured
for more meaningful and accurate processing, e.g., clustering values has been collected in a time series Y. A time series Y is
and classification of given data [2], and (3) also be used for said to be periodic with a period p if it can be divided into
interactive exploration and visualization of massive periodic equal length segments, each of length p, that are almost
database [3]. similar [7]. One simple instance is a time series Y=
{abcabcabcabd} which is obviously periodic with =3.
Let us consider one specific area where periodicity can be Hamming distance can be a good indicator to measure the
applicable in industrial field: degree/level of similarity of two segments by comparing the
time-stamped values position-wisely [8], which can be defined
Periodic analysis is an indispensable tool in automotive,
as follows:
aviation and manufacturing industries for machine monitoring
and diagnostics [4]. Based on a widely accepted fact that 1 a j z b j
ab= j
m 1
mechanical acoustic data can be a good indicator of running- H (1)
0 a j b j
0
state of a machine, we can identify whether a structural system
has changed from its preceding running-state, depending on the S(a, b) = 1- H(a,b)/m
estimated periodicity, through a statistical and mathematical
Where , b are two segments with equal length m, and , bj are
comparison of the data in the past periods with the one in the
corresponding to jth data in these two segments and b
current period, and then take appropriate actions to maintain
respectively. H is the hamming distance, while S is the
the operation and to avoid accidental consequences.
similarity measure.
In the past several decades, we have witnessed a lot of
research achievements to address this problem, e.g., [5, 6], but A. Major issue of periodicity detection for mechanical
the majority of these approaches generally require manual re- acoustic time series data
calibration or intervention in execution. Therefore, automatic The higher value length m in hamming distance is, the more
approaches for periodicity detection/estimation are still in
978-1-4673-7995-3/15/$31.00 2015
c IEEE 519
similar the two segments , b are, i.e., S(a, b) is more ~
approaching to 1. However, in mechanical acoustic time-series

Ci DTWY Y
j
i
j (3)
data, there are often relatively-large variations in both ~

Where Y j is the subsequence of Y with the equal data
amplitude and timing among segments in two periods due to
~
the unavoidable noise in capturing and transmission in real- number of Yi, i.e., Y j = { yj1, yj1+1, , yj1+li-1} where j1 is the
world workshop, which takes a serious effect on periodicity ~
detection. Taking Y = {abcabbcabcabd} for example, Y can be index of first data in Y j ;
also periodic in spite that the second segment {abbc} and the c) Repeat the step b. We last have the comparison cost {Ci}
fourth segment {abd} are not the same as others due to time for all candidate segments {Yi}.
shift and amplitude variation. As for this kind of situation, the Using the above segment comparison, the given time series
hamming distance fails to measure the similarity of two Y is synchronized with all candidate segments.
segments, e.g., {abbc} and {abc} when they are out of the
phase. Therefore, for effective and reliable data mining, we B. Periodictiy determination
need the periodicity estimation to be accurate and robust. Since the resulted comparison cost can measure the
compatibility of candidate segments, specifically, a lower cost
III. PROPOSED SCHEME: PERIODICITY ESTIMATION IN indicates a more compatibility for one compared segment, we
MECHANICAL ACOUSTIC TIME-SERIES DATA can determine the expected period-length by seeking the
minimum comparison cost, as:
To absorb the variations in both amplitude and timing in
collected data and the existed noise, we employ to use the ll arc min Ci . (4)
i
Dynamic Time Warping (DTW) [9] to measure the similarity of
two segments for periodicity estimation. C. Algorithm
The DTW finds the optimal alignment between two The equations are an exception to the prescribed spec The
segments of numerical measurement-values. Let us assume that pseudo code of our proposed approach is given in Algorithm 1.
two segments A and B have been extracted time-stamped Algorithm 1 Pseudo code of periodicity estimation
features, i.e., A = {ai }, i=1, 2, , N and B = {bi }, i =1, 2, , Require:
M, where ai and bi are corresponding to ith frame in A and B. Time series Y={yt}, t=1,2,.n;
DTW calculates the distances between every pair of (ai, bi) in Lengths of candidate segments: [l1 l2].
terms of their corresponding feature values. Various distance Ensure:
metric p can be used in calculation. The best match between A Expected length l.
and B, namely the optimal warping path, is the one with the 1. Initialize li as l1;
lowest distance given by DTWp(A, B)=D(aN, bM) where matrix 2. Iterative segment matching is executed as
D is dynamically computed by: While li l2 do
Compute matching score Ci by (3);
D(a i 1 , b j 1 ) li = li + 1; //Update li.
p (2) End while
D(a i , b j ) a i , b j min D(a i , b j 1 ) 3. Determine l by (4);
D(a , b )
i 1 j
IV. EXPERIMENT
Then, our proposed approach for periodicity detection in
mechanical acoustic time series data is executed as follows. A. Experimantal implementation
We conducted two experiments in order to evaluate the
A. Segment comparison effectiveness of our proposed approach. In the first experiment,
To capture and characterize the potentially periodic patterns we first use a synthetic sine signal with a random noise for a
in a given mechanical acoustic time-series data, we need to preliminary evaluation, and then, add white noise with
synchronize one candidate segment with the given mechanical different SNR in the sine data to evaluate the robustness of the
acoustic time series. The candidate segment should contain the approach to noise. In the second experiment, we use our
typical patterns of periodicity in time series and should have collected acoustic signal of gear-shift of engine to evaluate the
the same or at least very close time length as one periodic data. effectiveness of our approach.
Supposing that we have obtained one time series data, i.e., Y = The detailed description of the experiments and results are
{y1, y2, y3, , yn} where n is the data number of Y, we then given in the following.
perform the following procedures for segment comparison:
a) Determine the lengths of candidate segments to be from B. Experiment I: synthetic data
l1 to l2. l1 and l2 can be estimated empirically or estimated with To preliminarily evaluate the effectiveness of the approach,
prior knowledge in practice; we synthetically generate a sine signal, i.e., y=ay sin(t+),
b) For each candidate segment Yi, i.e., Yi = { y1, y2, y3, , with a random noise. Parameters are given in TABLE I.
yli} where li [ l1 l2], we compared it with the given time series
Y iteratively on the entirety of Y, and the comparison cost Ci is
defined as:
520
TABLE 1. Parameters in sine signal.
Amplitude Frequency Phrase Sampling
a=1 = 1/5 =0 10
Clearly, the period length of this sine signal is 2*/, that is,
31.42. Under a sampling rate of 10, the detected periodic
length is approximately to 314. In the detection of this
experiment, we set the lengths of candidate segments [ 280,
350] empirically. The detected result in this signal is shown in
Fig.1. More specifically, from Fig.1 we can see that the
detected periodic length is 315, which is approximately to be
314. So, the approach is feasible in this synthetic sine signal.
Note that, in this test data, the SNR (Signal-to-Noise Ratio) is Fig.2 The periodicity detection in the sine signal with the SNR of 5dB.
-3.0095dB. However, it is uncertain that whether the algorithm
is still feasible when the SNR is higher or lower than it.
Component heads identify the different components of your

paper andThe
Fig.3 areperiodicity
not topically subordinate
detection to each
in the sine signal withother. Examples
the SNR of -5dB.
include ACKNOWLEDGMENTS and REFERENCES, and for
these, the correct style to use is Heading 5. Use figure
caption for your Figure captions, and table head for your
table title. Run-in heads, such as Abstract, will require you to
apply a style (in this case, italic) in addition to the style
provided by the drop down menu to differentiate the head from
the text.
Fig.1 The detected result in the sine signal
Therefore, in order to evaluate the feasibility of the

approach with the influence of differently-level noise, we re-
Fig.4 The detected results with the SNR of -50dB to 50dB.
generated the sine signal by adding noise from a SNR range of
-50dB to 50dB with an interval 5dB. Two examples (SNR 5dB
and -5dB) are given in Fig.2 to Fig.3. It can be seen that our
approach is still effective for both of these two data.
More specific results are shown in Fig.4, where the line
with * indicates the detected results and the dotted line
indicates the real period. For SNR higher than 0 dB that
indicates more signal than noise, our approach can be operated
successfully. When SNR is lower than 0 which indicates more
noise than signal, our approach degrades in the overall trend. In
Fig.5, we give such an example (SNR -35dB). The noise is
much higher than the original signal which make it very hard to
discriminate the actual signal. For this case, our approach fails
to the estimation due to the large noise. Overall, from Fig.4, we Fig.5 Periodicity detection in a highly-noise polluted data (SNR -35dB).
can conclude that our approach can feasible for periodicity
estimation for a SNR at least of -20dB.
521
C. Experiments II: Real signal guarantee the computational efficiency and effectiveness, l1
In this session, we will evaluate the feasibility of the and l2 have to be confirmed empirically or prior knowledge
proposed approach on our collected acoustic signal. This test before periodicity estimation.
signal was first acquired by a microphone which was mounted
on an automobile transmission gearbox; then the signal was V. CONCLUSIONS
amplified and sent to a sound level meter for periodicity In this paper, we have proposed a new approach for
estimation in the experiment. capturing and characterizing periodic patterns in mechanical
Because the acoustic signal of engine gearbox is a very acoustic time-series data. The approach does not require any
large data and with an unknown noise (Fig.6(a)), we sampled it manual re-calibration or intervention in execution. We have
down to eliminate the impact of noise and decrease the burden conducted extensive experiments to evaluate the proposed
in computation. The down-sampling rate is 1/50 and we approach with synthetic data and the collected data in practice.
choose the beginning 1000 data of resampled signal to estimate Experimental results demonstrated its effectiveness and
its period as seen in Fig.6(b). In estimation, we set the lengths robustness on periodicity detection in highly noised data.
of candidate segments [100, 200] in this data. Fig.6(c) In the future work, we will apply the proposed approach
shows the result. It can be seen that the estimated period- for mechanical anomaly detection and prediction task in the
length , as seen in Fig.6(c) is approximately equivalent to the workshop.
desired result it should be, which indicates that the approach is
feasible in actually-collected mechanical acoustic data.
ACKNOWLEDGMENT
This work is supported in part by National Natural Science
Foundation of China (61403232), Natural Science Foundation
of Shandong Province, China (ZR2014FQ025), Scientific
Research Foundation for the Returned Overseas Chinese
Scholars, State Education Ministry of china, and the
Fundamental Research Funds of Shandong University
(2014TB004).
REFERENCES
[1] Vineeth Balasubramanian, Shen-Shyang Ho and Vladimir Vovk,
Conformal Prediction for Reliable Machine Learning, 2014, Pages
7197.
[2] C.T. Yiakopoulos, K.C. Gryllias, I.A. Antoniadis, Rolling element
bearing fault detection in industrial environments basedon a K-means
clustering approach, EI, C.T. Yiakopoulos et al. / Expert Systems with
Applications 38 (2011) 28882911.
[3] Xinguang Li, Hong Fan, Xuehao Fu, Network Transmission Strategy
for Raster Data in 2010 2nd International Conference on Future
Computer and Communication, IEEE , 2010, pp. v2-256v2-259.
[4] ZeFeng WANG, Jean-Luc ZARADER, Sylvain ARGENTIERI, A
Novel Aircraft Engine Fault Diagnostic and Prognostic System based on
Fig.6 Periodicity detection in the acoustic signal of an automobile SVM, 2012 IEEE International Conference on Condition Monitoring
transmission gearbox. In (d), we indicate the boundaries of periodic segments and Diagnosis23-27 September 2012, Bali, Indonesia. pp. 723728.
with red lines [5] Yuan Li, Zhongjie Xie, The wavelet detection of hidden periodicities in
time, Elsevier Science B.V. Statistics & Probability Letters 35 (1997)
D. Dicussion 9-23.
Although the experimental results have demonstrated the [6] Feiyan Hu, Alan F. Smeaton, Eamonn Newman. Periodicity Detection
effectiveness and feasibility of our proposed approach for in Lifelog Data with Missingand Irregularly Sampled Data, in
periodicity estimation in a given time-series data, two factors International Conference on Bioinformatics and Biomedicine. IEEE ,
2014, pp. 1623.
should be remarkably considered in practical usage. The first
[7] Elfeky, Mohamed G.; Aref, Walid G.; and Atallah, Mikhail J.,
is the degree of noise in captured data. As has been shown in "Periodicity Detection in Time Series Databases" (2002).
experiment I, our approach can feasible for periodicity ComputerScience Technical Reports. Paper 1547.
estimation for a SNR at least of -20dB. Fortunately, in [8] Stan Z. Li, Anil Jain, Encyclopedia of Biometrics, Springer US, 2009.
practical usage, we can ensure the SNR of noise higher than - [9] Alan Bundy, Lincoln Wallen. Catalogue of Artificial Intelligence
20dB, e.g., by setting the hardware parameters in capturing or Tools, Symbolic Computation 1984, pp 32-33.
by filtering to the signal before processing. The second factor
is the determination of lengths of candidate segments for
segment comparison, i.e., [l1, l2] described in Section III.A. To
522
Acoustic emission signal harr wavelet denoise

research
Kenan Shen, Mingcong Deng Ming Li
College of Machinery and Transportation Graduate School of Engineering, College of Machinery and Transportation
Southwest Forestry University Tokyo University of Agriculture and Technology, Southwest Forestry University
KunmingYunnanChina Koganei, Tokyo, Japan KunmingYunnanChina
AbstractIn order to obtain wood acoustic emission signal wood and soft wood, wood derived change process failure
waveform. A multi channel acoustic emission signal problem [6]. Ando use of acoustic emission technique to study
acquisition system based on NI high-speed data acquisition the old wood microscopic fracture process, [7].Tanaka by
equipment was constructed. At the same time, a signal actual production site of experiments to study the wood
wavelet extraction and processing platform based on LabVIEW processing feed speed changes, the acoustic emission signal
software was designed, which can be used to collect separate and the relationship between the feed rate [8].Zhu introduced
extract the acoustic emission signal, spectral analysis and other the wavelet analysis technology in wood processing tool
basic functions. The system was proved to be effective through online monitoring aspects, comparative analysis and Gabor
the acoustic emission experiment. Through the comparison of wavelet analysis method in the tool monitoring, and TCM are
three different signal extract ways, further verify the advantages discussed[9].MARKKU existing wood drying process
of harr wavelet analysis. As a platform for wood acoustic
simulation, obtained transformation parameters water content,
emission signal acquisition and processing, this system provides
the necessary foundation for the processing of wood acoustic
moisture gradient, temperature, density and other data, and can
emission signal. use parameters, a good estimate of the stress concentration
portion of the wood, and minor cracks generating portion of
Keywordssignal processing; the wood drying process provides data to support [10].
Therefore, this article will use acoustic emission sensors
I. INTRODUCTION and high-speed data acquisition equipment,build wood
Acoustic emission(AE) is the phenomenon where high acoustic emission signal acquisition system based on
frequency stress waves are generated by rapid release of LabVIEW. And extract AE signal waveform from the original
energy within a material. AE technique as a non destructive noise signal using the wavelet analysis method.
testing method. It has been widely used in a lot of fields. It can
be used to ensure the safety of the civil method such as II. WAVELET THEORY
bridges and mechanical structures. Though AE is generally
used as a local technique for monitoring specific areas of a A. Problem statement
structure, for example regions with visible presence of cracks
or crack prone areas such as welded regions and joints with Acoustic emission(AE) is the phenomenon where high
bolted connection; it can also be used for global or semi- frequency stress waves are generated by rapid release of
global monitoring technique. energy within a material. AE signal can be use to judge the
Initial studies on AE phenomenon were made by Kaiser in internal stress changes. For wood materials, the internal stress
1950s using tensile tests. Earliest use of AE technique was in changes can reflect the internal damage and fracture. But the
testing of rocket-motor casings in 1964, followed by the wood AE signal is very difficult to extracted, because when
applications in areas, such as petrochemical, nuclear, the original signal is collected, it always accompanied with a
aerospace and construct industries [1]. First application of AE lot of noisy signal. In order to extract the real signal from the
technique to monitor bridges was reported in early 1970s and, original signal, there must chose a suitable method to reduce
later in the decade US Federal Highway Administration the noise signal.
undertook more tests. More information about the early tests
can be found in[2]. Nowadays, AE technique is routinely used B. Different method to process the wood AE signal
to monitor pressure vessels, aerospace structures, rotating
machinery, tool wear, pipes and weld analysis. It has been Windowed Fourier Filtering and low-pass Filtering as
successfully applied for a wide range of materials, such as tradition signal processing method, can be use to solve the
metals, concrete, composites, wood and rocks[3-5]. noise reduction problems,and have a good result. But when the
Since the 1980s, acoustic emission technique was used to input signal with the a lot of noise, the result turn to be not
detect wood processing, drying, loading, etc. CHEN very well. The well-known Fourier amplitude spectrum is a
application of acoustic emission techniques to monitor the suitable analysis tool when applied to stationary signals, where
process in static fatigue failure under torsional loads of hard the frequency content does not change with time or space. But
978-1-4673-7995-3/15/$31.00 2015
c IEEE 523
when dealing with non-stationary signals information about sensors and the corresponding PAI preamplifier, the sensor
which frequency is present at which place in the signal is signal acquisition frequency range 22KHz ~ 220KHz; data
hidden in the phase spectrum, not easy to interpret. collection by an independent NI USB-6366 8-channel high-
speed signal acquisition. Fig.2 shows the hard ware physical
So in order to extract the real wood AE signal, in this assembly diagram.
paper, select a better noise reduce method. Wavelet analysis as
a dynamic frequency analysis method, The wavelet transform
is a relatively new concept for representation and analysis of
temporal or spatial signals. For AE signal processing, wavelet
and wavelet packet analysis is mainly used for metal material
of acoustic emission signal waveform extraction and
recognition [11-15], and for the wood industry, the application
of the method is still in trial stage, mainly using wavelet and
wavelet packet analysis for the off-line signal processing [16-
18]. Because of the main subject of real-time data exchange,
poor data collection equipment, the wood AE signal is too
difficult to extract.
In this paper will use the harr wavelet to process the AE Fig.2 hard ware physical assembly diagram.
signal. Harr wavelet is defined in the (0,1) of a single
rectangular wave, because it is in the time domain is not
B. Wood acoustic emission signal wavelet extraction system
continuous so as wavelets its performance is not good, but it
has its own characteristics, such as simple calculation, so the In this paper use harr wavelet analysis method to extraction
wavelet transform is also common wavelets [19-20]. Its core and analysis the wood AE signal, to achieve dynamic acoustic
function graph shown in Figure 1. emission signal acquisition and analysis. At the same time use
another two method to compare the the experiment result. The
other two ways are low pass filter and windowed Fourier filter
method. In this paper there will be three sub-VI to fulfill the
the signal acquisition, signal separation and signal waveform
extraction.
The function in fig.3 can be use to achieve the purpose that
signal acquisition and signal storage. The function in fig.4 can
be use to disintegrate the mix signal. The function in fig.5 can
be use to reduce the noise in the original signals which
including windowed Fourier filtering and low-pass filtering
and harr wavelet filtering. The function in fig.6 is the harr
wavelet analysis original function.
Fig. 1 The core function waveform of Haar wavelet
To achieve the purpose, designing a s series of LabVIEW

function which can be use to process the AE signal. Chose
harr wavelet as the core function to reduce the noise of wood
AE signal. At the same time, use the Windowed Fourier
Filtering and low-pass Filtering method to compare with the Fig. 3 Data collection VI
wavelet analysis result.
III. WOOD ACOUSTIC EMISSION SIGNAL

ACQUISTION SYSTEM BASED ON LABVIEW
A. Hard ware select
In order to meet the needs of multi-point monitoring,

Based on NI high-speed data acquisition card to build a multi-
channel acoustic emission signal acquisition system that can
simultaneously capture 8-channel signal, the highest collection
rates up to 2MHz. The entire acoustic emission signal
acquisition platform mainly have three parts, the sense Fig. 4 Acoustic emission signal separation VI
amplifier, data acquisition and data storage consisting. The
sense amplifier part Shenghua SR150N acoustic emission
524
IV. UWOOD ACOUSTIC EMISSIN SIGNAL
ACQUISITION AND EXTRACTION TEST
To verify the effect of this article constructed acoustic

emission signal acquisition and processing system, we use the
natural air-dried specimens of Yunnan pine, means of
transmission through the external sound source is carried
wood acoustic emission signal acquisition and extraction tests.
Where in the sheet size of 116400mm; the use of lead-
Fig. 5 Acoustic emission signal extraction VI breaking fashion modeling of acoustic emission signals;
transmit signals through three channels to acquire the sound,
that voltage amplitude of each channel is set to (-5v, 5v);
signal sampling frequency of 100KHz. To simulate the
acoustic emission source is the origin of coordinates, the
position of the three acoustic emission sensors are (60,0),
(160,0), (230,0), the unit is mm.
At first, use the separation VI to separate the hole signal
to three signal. The signals from the three sensors, after a three-
channel signal acquisition sub-VI process, forming a aliasing
(shown in the far left in Figure 7). Then using acoustic
emission signal separation sub-VI The three separate signal
Fig. 6 Wavelet analysis VI
aliasing signal is separated into (Fig. 7), which from left to
right as the original acquisition signals from three sensors,
Wood acoustic emission signal processing platform since the sensor from the sound source location different, after
constituted by the VI, not only completed a multi-channel the separation of the three signal waveforms differ in
signal acquisition and storage, while providing a graphical magnitude, especially the position furthest away from the
waveform of the original signal and the signal waveform of sound source 3 sensor, resulting in signal amplitude due to
each channel processed visually, and provide a corresponding signal attenuation significantly reduced, thus affected by noise
time domain signal the frequency spectrum, thus providing a more apparent.
necessary basis for comparison and analysis of different signal
extraction method.
Fig. 7 Mixture and separation signals
(a) Equi-ripple low-pass filter
525
(b) Windowed Fourier filter
(c) Wavelet analysis
Fig. 8 Different ways process the signal waveform
Fig. 9 The signal frequency spectrum of wavelet extraction
Figure 8 shows the signal waveform of each channel characteristics especially when the sensor is far from the
signal through three different methods after extraction. Figure sound source. In addition, by reducing the effects of signal
(a) shows the signal through a low pass filter and other grain from the spectrum it is evident that the farther away from the
processing, when the acoustic emission signal was stronger sound source, the lower the acoustic emission signal energy
than the noise (signal diagram (a) left side of the sensor 1 and acquisition.
2), which can retain characteristics of acoustic emission
signals, but by amplitude smoothing effect, the relative decline
in amplitude of the signal at the same time, the noise is V. CONCLUSION
amplified to a certain extent. However, when the acoustic In order to obtain wood acoustic emission signal waveform.
emission signal and noise signal strength close (Figure (a) A multi channel acoustic emission signal acquisition system
signal rightmost sensor 3), the waveform of the extraction based on NI high-speed data acquisition equipment was
method after significant distortion. Figure (b) shows a window constructed. At the same time, a signal wavelet extraction and
with Fourier filtering method by smoothing effect is more processing platform based on LabVIEW software
obvious, the signal waveform of each channel after extraction was designed, which can be used to collectseparateextract
were significantly distorted. Figure (c) then the wavelet the acoustic emission signal, spectral analysis and other basic
analysis method can effectively extraction the acoustic functions. Wood specimens acoustic emission tests showed
emission signals, especially in the relatively weak useful that when using wavelet analysis method, the system can
signal (such as signal acquisition sensor 3), wavelet analysis effectively extraction the acoustic emission signal. However,
method is more complete extraction of the acoustic emission this article only verified by an external sound source test the
signals. effectiveness of artificial systems, the future will be different
species of wood specimens.
In order to analyze the composition and characteristics of
the signal, Figure 9 shows a wavelet analysis of each sound
emission spectrum waveform. The test measured the acoustic REFERENCES
emission signal frequency is mainly concentrated around [1] Scruby, C.B. An introduction to acoustic emission. Journal of Physics E:
30KHz, but the sound propagation path in wood by, reflection, Scientific Instruments, 20(8), 946-953. 1987
diffraction, scattering and effects of structural wood interior, [2] Holford, K.M., & Lark, R.J. Acoustic emission testing of bridges. In G.
Fu (Ed.), Inspection and monitoring techniques for bridges and civil
acoustic emission signal exhibits a certain degree of dispersion structures . Cambridge,U.K.: Wood head Publishing Limited. Pp.183-
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denoising to improve damage analysis in glass fibre-reinforced hydraulic components by acoustic emission and wavelet analysis[J].
composites. Nondestructive Testing and Evaluation, : 1-15. 2013 Journal of Testing and Evaluation. Vol.36(6): 534-539. 2008
[4] Bruno C. Z. Honorio,Rodrigo D. Drummond,Alexandre C. Vidal et [14] Subba R.S.V., Subramanyam B.. Analysis of acoustic emission signals
al.Well log denoising and geological enhancement based on discrete using wavelet transformation technique[J]. Defence Science Journal.
wavelet transform and hybrid thresholding[J]. Energy exploration & Vol.58(4): 559-564. 2008
exploitation, Vol.30(3):417-433. 2012 [15] Serrano E.P., Fabio M.A.. Application of the wavelet transform to
[5] Olufemi A. Omitaomu,Vladimir A. Protopopescu,Auroop R. Ganguly acoustic emission signals processing[J]. IEEE Transactions on Signal
et al.Empirical Mode Decomposition Technique With Conditional Processing. Vol.44(5): 1270-1275. 1996
Mutual Information for Denoising Operational Sensor Data[J]. IEEE [16] Kamala G., Hashemi J., Barhorst A.A.. Discrete-wavelet analysis of
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41(12): 3645-3655. 2006 [17] Shen Kenan, Ding Xinzeng, Zhao Hailong, Li Ming. Wood
[7] Ando K, Hirashima Y, Sugihara M, et al. Microscopic processes of surface acoustic emission signal source location based on
shearing fracture of old wood, examined using the acoustic emission triangle positioning method[J]. World Forestry Research. Vol.28 (01):
technique[J]. Journal of Wood Science, Vol.52(6): 483-489. 2006 56-60. 2015(in Chinese)
[8] Chiaki Tanaka. An Automatic Control of the Feed-Rate of a Band-Saw [18] Hu C.S., Afzal M.T.. A wavelet analysis-based approach for damage
for Wood working[J]. Mokuzai Gakkaishi, Vol.38,No.12:1172-1174. localization in wood beams[J]. Journal of Wood Science. Vol.52(5):
1992 456-460. 2006
[9] Zhu K, Wong Y S, Hong G S. Wavelet analysis of sensor signals for [19] S. Saha Ray,A. K. Gupta.Comparative analysis of variational iteration
tool condition monitoring: a review and some new results[J]. method and Haar wavelet method for the numerical solutions of
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[10] Tiitta M, Tomppo L, Lappalainen R.Combined acoustic and electric [20] Shen Kenan, Ding Xinzeng, Zhao Hailong, Li Ming. Wood Injury
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Material Science and Engineering, Vol.5(2): 78-83. 2010 University of Science & Technology(Natural Science). Vol.36(03):33-
[11] Ahadi M. Bakhtiar M.S.. Leak detection in water-filled plastic pipes 37. 2015
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Emission signals[J]. Applied Acoustics. Vol.71(7): 634-639. 2010
[12] Khamedi R., Fallahi A., Refahi O.A.. Effect of martensite phase
volume fraction on acoustic emission signals using wavelet packet
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527
Operator-based Nonlinear Networked Control

System with Packet Error
Tomohito Hanawa and Mingcong Deng

The Graduate School of Engineering
Tokyo University of
Agriculture and Technology
2-24-16 Nakacho, Koganei, Tokyo
184-8588, Japan
AbstractThis paper is concerned with the operator-based only. This assumption is difcult to satisfy in real control sys-
nonlinear networked control systems with packet errors. In tems. As stated above, communication networks include noise.
communication network, packet may include errors caused by Then the packet sended through communication networks
noise in network, and in conventional control method, these can be lossed or include errors. In conventional networked
packets are regarded as lost packets. This means information control methods, the packets including unrecorverable errors
of control signals is also lost completly, even if the disturbance
caused by errors is acceptable for control systems. The proposed
are discarded or retransmitted. This implies the information
system treats packets in communication networks with errors as of the control signals are also discarded even if network
control signals with perturbation. This control scheme reduce the transmission error is acceptable for control systems. Moreover,
numbers of dropped packets caused by noise in communication when packets are retransmitted, transmission delay become
network. Firstly, the operator-based plant model and packet long and power comsumpsion of network devices increase.
communication model with packet error is proposed. Secondly,
the operator-based nonlinear control system is proposed. Finally, Addressing this problem, networked control systems with
the effectiveness of the proposed control scheme is conrmed by packet errors are required, but it is difcult to compensate by
simulation. using conventional nonlinear control systems. When control
signals are perturbed by packet errors, the transmission errors
KeywordsNetworked control systems, nonlinearity, packet, have different properties compared with the conventional ones
perturbation
caused by conventional disturbance signals. In this paper,
operator-based nonlinear control system is extended to solve
I. I NTRODUCTION this problem by using proposed packet communication model.
This model shows that the transmission errors have different
The networked control systems have been researched in properties compared with conventional disturbance model.
recent years, because networks can reduce costs to construct Additionally the control performance is guaranteed by using
plants. In conventional construction methods, plants and con- the operator-based method.
trollers are connected by using exclusive wired connection
directly. This connection increases costs and complexities for The outline of this paper is given as follows. Nonlinear
construction and maintenance of plants. The networked control plant models and packet communication model are proposed
systems can reduce them because communication networks for in Section II. Design of robust stable nonlinear control system
networked control systems can be shared. Moreover, communi- is shown in Section III. Simulations are given in Section IV,
cation networks can be extended to large scale network. These and Section V is the conclusion.
are merits compared with conventional construction methods.
In networked control systems, plants and controllers are II. M ODELING AND P ROBLEM S TATEMENT
connected to communication networks with noise and commu- A. Networked Nonlinear Control System with Packet Errors
nication delay. Therefore, networked control systems include
nonlinearities, time-varying communication delay, packet loss The networked system modeled in this paper is shown in
and variable sampling result [1][4]. These characteristics are Fig. 1. In Fig. 1, the controller and the plant are connected
known as the problems of networked control systems, so many through network, and the packets in network are perturbed
researchers have been proposed nonlinear control methods [5], by noise n1 and n2 . The perturbed packets may include
[6]. error. In conventional networked control systems, these packets
are discarded and treated as lost packets. As stated above,
One of conventional control scheme for networked control when packet is discarded, information of control signal is also
system is designed by using operator-based method. This discarded, even if transmission error is acceptable.
method describes uncertain nonlinear plants and nonlinear
control system as nonlinear operators, and the robust stability B. Operator-based Nonlinear Plant Modeling
and tracking performance can be guaranteed easily [7], [8].
However, in conventional research, the uncertain parameters of In this paper, nonlinear operators are used to describe non-
communication network is assumed as communication delay linear plants. Let the nominal plant and the plant pertubation
978-1-4673-7995-3/15/$31.00 2015
c IEEE 528
uR (t) and vR (t) are dened as:
t
duR ( )
uR (t) = uR (0) + d (4)
0
d
t
duL ( )
uL (t) = uL (0) + d (5)
d
0 t
duC ( )
uC (t) = uC (0) + d (6)
0
d
1
uR (0) = {au(0) + v(0) + (a + b)hR } (7)
b
1
Fig. 1. The proposed networked control system uL (0) = {au(0) + v(0) + (a + b)hR } (8)
b
1 (a + b)(hR + hL )
uC (0) = au(0) + v(0) + (9)
b 2
be P and P , respectively. The overall plant P is given as
duC (t) 0, |uC (t) u(t)| < uC (t) uL (t)
follows: = du(t) (10)
dt dt
, Otherwise

duL (t) 0, |uC (t) u(t)| < uC (t) uL (t)
= du(t) (11)
dt , Otherwise
y(t) = P B
a [up ](t) dt
a [up ](t) duR (t) 0, |uC (t) u(t)| < uC (t) uL (t)
= (P + P )B (1) = du(t) (12)
dt dt
, Otherwise
v(0) = max(u(0) hR , min(u(0) + hL , q1 )). (13)
where P and P are nonlinear operators, and Eq. (1) is where, a > 0, b > 0, and hL < hR are satised.
described by using operator-based expression [7]. y(t) and
up (t) is plant output and control input with perturbations. The
proposed nonlinear plant model is shown in Fig. 2. In Fig. 2, D. Packet Communications
operator B a describes backlash. In this paper, networked nonlinear control systems with
packet errors are modeled by using nonlinear operators. The
networked nonlinear plant with packet error is modeled as:
u(t) = M [u](t) (14)
p(t) = En [ u](t)

T
= pk pk1 pk2 . . . pk
Fig. 2. Nonlinear plant with uncertainties
q(u(t), ek )
q(pk , ek1 )
q(p )
= k1. k2
,e (15)
..
q(pk+1 , ek )
C. Backlash modeling ek > ek1 > > ek (16)

u u(t) mod ek )
(t) (
In this paper, a backlash model with integration is used [8]. u(t), ek ) = min 1,
q( (17)
ek
The Backlash model is shown in Eq. (2) and Eq. (3).
pp (t) = p(t) + n(t) (18)
p (t) = De [pp ](t)
u

a + b, u = uL and du(t) = pTp e
dt = 0
(19)

du(t)
up (t) = M 1 [
up ](t)
a + b, u = uR and dt = 0 (20)
m(u) = a, uL (t) < u(t) < uR (t) (2) y(t) = (P + P )[up ](t) (21)

m(u(t )), u = uL and du(t) = 0

dt where M , En , De , P and P are designed invertible op-
m(u(t )), u = uR and du(t)dt = 0 erators, network interfaces of the controller, network inter-
t faces of the plant, nominal nonlinear model of plants and
du
v(t) = m(u(t)) dt (3) (t), p(t),
perturbation of the plant, respectively. Signals u(t), u
0 dt
n(t), pp (t), u
p (t), up (t) and y(t) are output of controller,
decimal expression of packets, sended packets, perturbations
in network, perturbed packets, perturbed decimal expression,
perturbed control inputs and plant output, respectively. The
In Eq. (2), the parameters uL (t), vL (t), uC (t), vC (t), proposed model of the plant is shown in Fig. 3.
529

eT1 = G1 G1 . . . eki1 2 . . . ek (30)

eT2 = G2 G2 . . . eki2 2 . . . ek (31)

G1 ei1 > ei1 2 > > e (32)
G2 ei1 > ei2 2 > > e (33)
Fig. 3. The proposed model of networked plants t
C[e](t) = e( )d (34)
0
In this paper, it is assumed that the set of time in which where parameters G1 and G2 are designed parameters.
packet errors begin or end is countable set.
B. Tracking Performance
The parameters er (t), u(t) and y(t) are dened as:
E. Problem Statement er (t) = r(t) y(t) (35)
In conventional networked control systems, packets includ- u(t) = M11 Co1 De1 [p1 + n1 ](t)
ing errors are discarded, and information of control signal is M11 Co1 De1 [p1 ](t) (36)
also discarded. The main objective of this paper is to design a y(t) = M21 Co2 De2 [p2 + n2 ](t)
robust nonlinear networked control system for uncertain plant
with packet error by using operator-based scheme. M21 Co2 De2 [p2 ](t) (37)
u (t) = (P + P )B a [u](t)
a [u + u](t).
(P + P )B (38)
III. N ONLINEAR C ONTROL S YSTEM Moreover, in this paper, the parameter u (t) is assumed as
small parameters.
A. Design of Proposed Control System By using Eq. (35), the parameter er can be described as:
The proposed control system is shown in Fig. 4. In Fig. 4, er (t) = r(t) y(t)
the parameters r(t), y(t), n1 (t) and n2 (t) are the reference a [u + u](t)
= r(t) (P + P )B
input, the plant output, the packet errors for the control
a [u](t) + u (t)
= r(t) (P + P )B
input, the packet errors for the feedback signal, respectively.
Moreover, proposed controllers are designed as: a C[e](t) + u (t).
= r(t) (P + P )B (39)
In this paper, it is assumed that Eq. (40) is satised.
Ci1 [
u](t) = De1 En1 [
u](t) (22)
C[er ](t) = C[e](t) (40)
Ci2 [
y ](t) = De2 En2 [
y ](t) (23)
e1 En1 [ Therefore, Eq. (39) can be described as:
Co1 [
up ](t) = D up ](t) (24)
e2 En2 [ er (t) = (I + (P + P )B a C)1 [r](t) + (t) (41)
Co2 [
yp ](t) = D yp ](t) (25)

T
De1 pp1 (t) = pp1 (t)e1 (26) where

e2 pp2 (t) = pT
D p2 (t)e2 (27) a C)1 [r + u ](t)
(t) = (I + (P + P )B

T a C)1 [r](t).

En1 [
u](t) = p p1 p2 . . . p (I + (P + P )B (42)

u(t), G1 )
q( In this paper, the parameter u (t) can be assumed to be a
q(p , G1 ) small parameter. Therefore, (t) can be also assumed to be

.. a small parameter. Consequently, the tracking performance of
.
the proposed control system is guaranteed.
= q(pi , G1 ) (28)
q(p
i1 , ei1 1 )
. IV. S IMULATION
..
A. System Model
q(p , e )

T In this paper, simulations results are shown to conrm the
n2 [
E y ](t) = p p1 p2 ... p
effectiveness of proposed system. In these simulations, the bit
y (t), G2 )
q( error rate in communication network which is shown in Fig.
q(p , G2 )
1 is assumed as constant.

..
.
B. Conventional control system
= q(pi , G2 ) (29)
q(p
i1 , ei2 1 ) The conventional control system is described in Fig. 5, and
. parameters used in simulations of conventional control system
..
are shown in Table I. In Fig. 6, the plant output signal is
q(p , e ) affected by large distarbance caused by packet error.
530
Fig. 4. Proposed networked control system
Fig. 5. Conventional control system
TABLE I. D EFINITIONS OF PARAMETERS TABLE II. D EFINITIONS OF PARAMETERS

2
P [up ](t) up (t) P [up ](t) up (t)2
(P + P )[up ](t) up (t)2 + 0.01up (t) + 0.02 (P + P )[up ](t) up (t)2 + 0.01up (t) + 0.02
Bit Error Rate of control input 1.0 103 Bit Error Rate of control input 1.0 103
Bit Error Rate of feedback signal 1.0 103 Bit Error Rate of feedback signal 1.0 103
a 0.01 a 0.01
b 1.0 b 1.0
hr 0.5 hr 0.5
hl 0.5 hl 0.5
r(t) 1.0 r(t) 1.0
G1 2 103
G2 1.0
is shown in Fig. 4, and parameters used in simulations of

proposed control system is shown in Table II. In Fig. 7, the
plant output signal shows good tracking performance, and sup-
pression the distarbance caused by packet error. Consequently,
the effectiveness of the proposed control system is conrmed.
V. C ONCLUSION
In this paper, we investigate the robust nonlinear networked
control system for nonlinear plants with packet error. Then,
the packet communication model for nonlinear control system
with packet error is introduced. To compensate the disturbance
caused by packet error, a nonlinear networked control system
is proposed. Finally, the effectiveness of the proposed control
Fig. 6. Simulation results of the conventional control system system is conrmed by simulations.
R EFERENCES
C. Proposed control system
[1] W.H. Chen and W.X. Zheng, An improved stabilization method for
In this section, the effectiveness of proposed control system sampled-data control systems with control packet loss, IEEE Transac-
is conrmed by simulation. The proposed control system tions on Automatic Control, vol. 57, no. 9, pp. 23782384, 2012.
531
Fig. 7. Simulation results of the proposed control system
[2] W.A. Zhang and L. Yu, Stabilization of sampled-data control systems

with control inputs missing, Automatic Control, IEEE Transactions on,
vol. 55, no. 2, pp. 447452, 2010.
[3] C. Peng, D. Yue, E. Tian and Z. Gu, A delay distribution based stability
analysis and synthesis approach for networked control systems, Journal
of the Franklin Institute, vol. 346, no. 4, pp. 349 365, 2009.
[4] R. Silva, J. Lemos and L. Rato, Variable sampling adaptive control of a
distributed collector solar eld, IEEE Transactions on Control Systems
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[5] M. Deng and A. Inoue, Networked non-linear control for an aluminum
plate thermal process with time-delays, International Journal of Systems
Science, vol. 39, no. 11, pp. 10751080, 2008.
[6] S. Bi, M. Deng and S. Wen, Operator-based output tracking control
for non-linear uncertain systems with unknown time-varying delays, IET
Control Theory & Applications, vol. 5, no. 5, pp. 693699, 2011.
[7] M. Deng, A. Inoue and K. Ishikawa, Operator-based nonlinear feedback
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tions on Automatic Control, vol. 51, no. 4, pp. 645648, 2006.
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plants preceded by uncertain backlash(In Japanese), IEEJ Transactions
on Electronics, Information and Systems, vol. 134, no. 9, pp. 12141220,
2014.
532
Optimal control of non-prehensile manipulation

control by two cooperative arms
Changan Jiang, Satoshi Ueno Yoshikazu Hayakawa

Department of Mechanical Engineering, Department of Mechanical Science and Engineering,
Ritsumeikan University, Nagoya University,
1-1-1 Noji-higashi, Kusatsu, 525-8577, Japan. Furo-cho, Chikusa-ku, Nagoya, 464-8603, Japan.
Email: jiang@fc.ritsumei.ac.jp
AbstractIn this paper, an optimal control method to non- object manipulation, [6] captured behaviors of a human and
prehensile manipulation control by two cooperative arms is simulated for virtual human robot interaction. To succeed in a
proposed. In details, based on the dynamic model of the two- real manipulation of a multi-link object, [7] built a dynamic
rigid-link object, an approximate model is derived. According to model for manipulating a two-rigid-link object applying two
the obtained model, an optimal regulator is designed to realize cooperative arms and designed controllers to realize holding
the holding motion of two cooperative arms which is used to keep
the two-rigid-link object stable on the arms. Finally, simulation
and lifting-up motion. Further, [8] proposed a control method
results are shown to verify the effectiveness of the proposed for two cooperative arms by utilizing static friction.
method. Considering fast variance of movement of robot arms
KeywordsNon-prehensile manipulation, optimal control, two- may lead patient to feel afraid, uncomfortable even painful
rigid-link, holding motion, optimal regulator during holding and lifting-up, the designed controllers could
be modied according to the patients feeling. Since optimal
regulator can be modied by changing the weight which is
I. I NTRODUCTION related to control input in cost function J, it is applied to
In recent years, with the increase of the senior citizens, realize the holding motion of the two cooperative arms in
the problem of the shortage of the caregivers appears sub- this research. Based on the considered two-rigid-link dynamic
sequently. In order to solve these problems, many different model [7], [8], an approximate model around equilibrium point
research groups have developed some power assist devices. is derived. Since this obtained model is controllable, an optimal
Among these groups, RIKEN-SRK Collaboration Center for regulator can be designed for it. Finally, in order to verify the
Human-Interactive Robot Research has developed a nursing- effectiveness of the proposed method, simulation results on
care assistant robot named ROBEAR (see Fig. 1). It was holding the two-rigid-link object with two cooperative arms
designed to lift up, hold and transfer a person from a bed are shown.
to a wheelchair or to assist a patient to stand up with its two
The rest of this paper is organized as follows. In Section
human like arms.
2, problem statement is introduced. System dynamic model is
presented in Section 3. In Section 4, according to the approx-
imate model around equilibrium point, an optimal regulator
is designed for holding the two-rigid-link object. Simulation
results are shown in Section 5. Section 6 is conclusion of this
paper.
II. P ROBLEM STATEMENT

A schematic diagram of the system is shown in Fig. 2.
The object is composed of two rigid links (link 1 & link 2)
Fig. 1. ROBEAR [1] which are connected by a passive joint. (x, y) is the position
of the passive joint, 1 , m1 , I1 , d1 and 2 , m2 , I2 , d2 are the
orientation angles, masses, inertias and radii of link 1 and link
Towards the more general and difcult problem of manip- 2, respectively. The centers of mass of two links, marked as
ulating a person, this research is concerned with a simplied , are located at L1 and L2 from the passive joint. The object
one: non-prehensile manipulation of a two-rigid-link object is manipulated by two arms whose positions are denoted by
by two cooperative arms in a two-dimensional space. That (xA1 , yA1 ) and (xA2 , yA2 ) respectively. r1 and r2 are the radii
is, a person is regarded as a two-rigid-link object with a of two arms. l1 and l2 are the distances from the contact points
passive joint. Many research works for different non-prehensile to the passive joint. The normal forces and friction forces are
manipulation tasks can be found in the literatures [2][5]. acted at the contact points, which are denoted by FN1 , FN2
However, these works were concerned with one-link object and FF1 , FF2 . In this paper, for holding or lifting up the object,
to be manipulated by one or two manipulators. For multi-link the arms will be controlled to manipulate the object. That is,
978-1-4673-7995-3/15/$31.00 2015
c IEEE 533
(xA1 (t), yA1 (t)) and (xA2 (t), yA2 (t)) should be controlled to where, ki and di are spring constants and viscosity coefcient,
guarantee that (x(t), y(t)) could track the desired trajectory. respectively. i is a deformation in the normal direction at
In order to achieve this purpose, the object dynamics model contact point.
will be introduced in next section.
The friction forces were modeled as

[si FN i , si FN i ] for vi = 0
FF i = (3)
di FN i sgn(vi ) for vi = 0
where, si and di are coefcients of static and dynamic
friction, respectively. vi is relative velocity in the tangent
direction.
li and i can be described as follows

1 s1 c1 0 0 x xA1
l1 c1 s 1 0 0 y yA1
= 0 0 s2 c2 xA2 x
(4)
2
l2 0 0 c2 s2 yA2 y

Fig. 2. Schematic diagram of the system
r1
0
+
r2
0
III. S YSTEM DYNAMIC MODEL
where, r1 and r2 are radii of two arms, respectively.
In this section the system dynamic is considered. Employ-
ing the object dynamic model from [7], [8], the dynamics of the
object can be described by applying Newton-Euler equations IV. O PTIMAL REGULATOR DESIGN
of motion as (1). In above section, the dynamic model of the considered
system is introduced. According to the obtained nonlinear
M (q) q + G(q) = B1 FN + B2 FF =
q + C(q, q) (1)
model, for specied FN and FF , if there exists q which can
where, si = sin i , ci = cos i , q := (x, y, 1 , 2 )T , FN = satisfy (1), we call state q as equilibrium point of the system.
(FN1 , FN2 )T , FF = (FF1 , FF2 )T , Before designing optimal regulator, a linear approximation to
the obtained nonlinear model around an equilibrium point will
m1 + m2 0 m1 L1 s1 m2 L2 s2 be rstly found .
0 m1 + m2 m1 L 1 c 1 m2 L2 c2
M (q) = 2 We assume that q = q0 = (x0 , y0 , 10 , 20 )T , friction force
m1 L1 s1 m1 L1 c1 I1 + m1 L1 0
m2 L2 s2 m2 L2 c2 0 2
I 2 + m2 L 2 F Fi = 0 when the system is at equilibrium point, q =
(x, y, 1 , 2 )T is minor change from the equilibrium
point, and
0 0 m1 L1 1 c1 m2 L2 2 c2 sin i = i , cos i = 1,
0 0 m L s m L s
=
C(q, q) 0 0
1 1 1 1 2 2 2 2

0 0 sin(i0 + i ) = sin i0 + cos i0 i ,
0 0 0 0
cos(i0 + i ) = cos i0 sin i0 i .
0
(m1 + m2 )g
G(q) =
m1 gL1 c1 Then, substitute q = q0 + q into (1),
m2 gL2 c2
0 + = M (q0 + q)q + C(q0 + q, q) q
s1 s2
c1 c2 +G(q0 + q) (5)
B1 =
l1 0 is obtained. Where, M (q0 + q) = M (q0 ) + M , G(q0 +
0 l2 q) = G(q0 ) + G and

c1 c2
s1 s2 0 0
B2 =
0 0 M =
0 0
0 0 m1 L1 c10 1 m1 L1 s10 1
m2 L2 c20 2 m2 L2 s20 2
and g is the gravitational acceleration.
m1 L1 c10 1 m2 L2 c20 2
In [7], a visco-elastic model (2) was employed to describe m1 L1 s10 1 m2 L2 s20 2
0 0 ,
interaction behavior between links and arms in the normal
direction. 0 0

FN i = ki i + di i for 0 (2)
0 for < 0 G = (0 0 m1 gL1 s10 1 m2 gL2 s20 2 )T ,
534

0 0 m1 L1 1 (c10 s10 1 ) From (4),
0 0 m1 L1 1 (s10 + c10 1 )

C(q0 + q, q) = 1 s10 c10 0 0 xA1
0 0 0
0 0 0 l1 c10 s10 0 0 yA1
= 0 0 s20 c20 xA2
2
2 (c20 s20 2 )
m2 L2 l2 0 0 c20 s20 yA2
2 (s20 + c20 2 )
m2 L2
. s10 c10 (x xA1 )c10 + (y yA1 )s10
0 s10 (x xA1 )s10 + (y yA1 )c10
c10
0
s20 c20 0
c20 s20 0
= 0,
Let = 0, = 0, then (5) becomes
0 x
0 y
+ G(q0 ) + G = 0 + .
M (q0 )q (6) (xA2 x)c20 + (yA2 y)s20 1
(xA2 x)s20 (yA2 y)c20 2
Since G(q0 ) = 0 when the system is at equilibrium point, (6)
can be simplied as can be obtained. Substitute the above equations into (7), we
can get approximate model as follows
+ G =
M (q0 )q (7) + (H4 H1 H2 H5 )q
M (q0 )q (9)

c10 c20 x A1
According to (1), we can get s10 s20 FF1 yA1

= 0 + H3
0 F F2 x A2
0 0 yA2
c10 1 c20 2 0 0 FN 1
s10 1 s20 2 0 0 FN2 where,
=
0 0 0 0 FN 1 l 1
0 0 0 0 FN 2 l 2 0 0
c10 FN1 c20 FN2
0 0
s10 FN1 s20 FN2
s10 1 s20 2 H1 =
0 0 0 0
c10 1 c20 2 FF1
+ F 0 0 0 0
0 0 F2
0 0 k1 s210 k1 s10 c10
k1 s10 c10 k1 c210
c10 c20 H3 =
s10 s20 FF1 k1 l1 s10 k1 1 c10 k1 l1 c10 k1 1 s10
+ 0 0
0 0 FF2
0 0 k2 sin2 20 k2 sin 20 c20
k2 s20 c20 2
k2 c20
s10 s20 0 0 FN1
c10 c20 0 0 FN2 0 0
+ (8)
0 0 1 0 {FN1 l1 }
k2 l2 s20 + k2 2 c20 k2 l2 c20 + k2 2 s20

0 0 0 1 {FN2 l2 } 0 0 0 0
0 0 0 0
H4 =
In this research, we assume that di i 0, so we get 0 0 m1 gL1 s10 0
0 0 0 m2 gL2 s20

FN1 k1 0 0 0 1 0 0 s10 FF1 s20 FF2
FN2 0 0 k2 0 l1 0 0 c10 FF1 c20 FF2
{F l } = k l k 1 1 0 0 2
. H5 =
0 0 0 0 .
N1 1 1 1
{FN2 l2 } 0 0 k2 l2 k2 2 l2 0 0 0 0

k1 s210 k2 s220 k1 s10 c10 + k2 s20 c20
k1 s10 c10 + k2 s20 c20 k1 c210 k2 c220
H2 =
k1 l1 s10 + k1 1 c10 k1 l1 c10 + k1 1 s10
k2 l2 s20 k2 2 c20 k2 l2 c20 k2 2 s20
k1 (x xA1 )s10 c10 k1 (y yA1 )s210
k1 (x xA1 )c210 + k1 (y yA1 )s10 c10
k1 l1 (x xA1 )c10 + k1 l1 (y yA1 )s10 k1 1 (x xA1 )s10 + k1 1 (y yA1 )c10
0

k2 (xA2 x)s20 c20 + k2 (yA2 y)s220
2
k2 (xA2 x)c20 k2 (yA2 y)s20 c20
0
k2 l2 (xA2 x)c20 k2 l2 (yA2 y)s20 k2 2 (xA2 x)s20 + k2 2 (yA2 y)c20
535
Since FFi = 0 at equilibrium point, H5 is 044 . We assume 0
FF1 and FF2 are small enough to be ignored, so (9) can 0.1 x
be represented as the following state equation.
x & y [m]
ref
yref
0.2
x
x = Ax + Bu y
(10) 0.3
y=x 0.4
0 1 2 3 4 5 6 7
t [sec]
Where,
200
T
x = (q q) u = (XA1 YA1 XA2 YA2 )T
150
& [deg]
1ref
044 I44
2ref
A=
2
100
M 1 (q0 )(H1 + H2 H4 ) 044

1
1
50 2
044
B= 0
0 1 2 3 4 5 6 7
M 1 (q0 )H3 t [sec]
Since rank([B AB]) = 8, we know that the system (10) Fig. 3. Behaviors of the two-rigid-link object
is controllable, and an optimal regulator can be designed for
it. The cost function J is employed as
0
inf

0.1
J= (xT Qx + uT Ru)dt.
xA1 & yA1 [m]

(11) x
A1
0 0.2
y
A1
where, Q > 0 and R > 0. Then, optimal regulator which 0.3
minimizes the cost function J is given as 0.4

0 1 2 3 4 5 6 7
t [sec]
1
u = R B P x.
T
(12) 0.6
where, P is the solution of the following Riccati equation 0.4

xA2 & yA2 [m]
x
A2
0.2
P A + AT P P BR1 B T P + Q = 0 (13) y
A2
0
V. S IMULATION RESULTS 0.2

0 1 2 3 4 5 6 7
t [sec]
In this section, by using the above proposed optimal

regulator, simulation for holding two-rigid-link object at the Fig. 4. Positions of two arms
same place was done. The initial state of the object is q0 =
(0.029[m] 0.234[m] 150.4 29.8 )T , the desired state is
qr = (0.03[m] 0.235[m] 150 30 )T . The parameters of From the above simulation results, the effectiveness of
the system are shown in Table I. The total time of simulation the proposed method is veried. As we known, making Q
is T = 7[s], and Fd = (0[Kgf] 0.1[Kgf])T is added as bigger or make R smaller can improve response of this system.
disturbance to the joint of the two-rigid-link object during Usually, these two parameters are obtained by trial and error to
t = 2 2.1s. For optimal regulator, we chose Q = I88 , improve the performance of the system. If this method will be
R = 0.5 I44 . implemented into ROBEAR to hold patients, R of the optimal
regulator should be modied according to the feeling of the
TABLE I. PARAMETERS OF THE SYSTEM
patients. Otherwise, fast variance of movement of two robot
i=1 i=2 arms would lead patients to feel afraid, uncomfortable even
mi [Kg] 2.71 2.5
Li [m] 0.367 0.399 painful.
Ii [Kgm2 ] 0.17 0.136
ri [m] 0.051 0.051
ki [N/m] 105 105 VI. C ONCLUSION
In this paper, an approximate model of two-rigid-link
The simulation results are shown as follows. In Fig. 3, object was obtained based on its dynamic model. Since the
solid lines show the position (x, y) of the objects joint obtained model is controllable, an optimal regulator was de-
and orientation angles (1 , 2 ) of the object, dotted lines signed to realize the holding motion of two arms. In order
show the desired position (xref , yref ) and orientation angles to show the effectiveness of the designed optimal regulator,
(1ref , 2ref ). From Fig. 3, we can see the position and the simulation results were given. In the future work, the friction
orientation angles of the objects joint is controlled to be stable compensation will be considered into the regulator and R of
on the desired state even a disturbance Fd was added. Fig. the optimal regulator will modeed according to the feeling of
4 shows the behaviors of two arms. Since we set the initial the patients.
positions of two arms as the ones which can make the system
be equilibrium on the desired state, we can see two arms
were moved to try to keep the object at the beginning. After R EFERENCES
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537
SVR-based input-output mapping of a micro-hand
Kou Fujita Shuichi Wakimoto Mingcong Deng Shin Wakitani

The Graduate School Research Core for The Graduate School The Graduate School
of Engineering Interdisciplinary Sciences of Engineering of Engineering
Tokyo University of Okayama University Tokyo University of Tokyo University of
Agriculture and Technology 3-1-1 Tsushima-naka, Agriculture and Technology Agriculture and Technology
2-24-16 Nakacho, Koganei, kita-ku, Okayama 2-24-16 Nakacho, Koganei, 2-24-16 Nakacho, Koganei,
Tokyo 184-8588, Japan 700-8530, Japan Tokyo 184-8588, Japan Tokyo 184-8588, Japan
AbstractMicro-hand is one of soft actuators. It has many with generalized Gaussian kernel is proposed[10]. And SVR
merits, however, it is of nonlinearity. Moreover, it needs sensorless with generalized Gaussian kernel is proved its effectiveness.
control. Sensorless control with SVR-based mapping of a micro- Thus this research utilize generalized Gaussian distribution
hand is proposed in this paper. Effectiveness of the proposed (GGD) for a kernel function. GGD is extension of Gaussian
method is veried by the experiment of the control system. distribution. Generalized Gaussian distribution can adapt more
KeywordsSoft actuator; nonlinear control; right coprime distributions by tuning shape parameter. SVR is usually said
factorization; support vector machine; support vector regression; that it has excellent generalization ability. However, depending
generalized Gaussian kernel on the method of training, it can cause over-tting or lack
of generalization ability. In previous research[14], sensorless
I. I NTRODUCTION nonlinear control using robust right coprime factorization and
SVR estimation is proposed. However, the training data of
Soft actuators have been getting increased notice with SVR can be more improved. Moreover GD kernel is used
the development of medical techniques and drop of birthrate. in the previous research. The generalization ability of SVR
Soft actuators are actuators which are composed of exible or the accuracy of output estimation are improved by using
materials. Because of their exibility and high safety to fragile GGD kernel and changing the construction of training data
objects, they are expected to apply in medical, biological sets. Computing time is shortened by reducing the number of
and welfare elds. Many of them are driven by air pressure. training data sets. These points are improved in this research.
For example, McKibben articial muscles and straight bers Based on the above, SVR-based input-output mapping of a
type articial muscles[1]. However, these actuators have some micro-hand is proposed.
problems. First, because of their complicated manufacturing This paper is composed as follows. In chapter 2, the control
process, miniaturizing and cutting cost are limited. Second, system with SVR-based mapping is explained. In chapter 3,
if they can be miniaturized, they cannot move large. Finally, the result of experiment is shown. In chapter 4, the conclusion
tubes which are supplied air pressure increase with increasing is given.
moving directions. Thus a micro-hand[2],[3] was developed to
solve the problems as above. A micro-hand is a soft pneumatic
actuator which has the shape of bellows and made of silicon II. C ONTROL SYSTEM WITH SVR- BASED MAPPING
rubbers. Because of its structure, a micro-hand can be made A. Support vector regression
by low cost, small, and simplicity.
On the other hand, a micro-hand is required to control by In this paper, we utilize Support Vector Regression (SVR)
sensorless. To design sensorless control system, estimating [4]-[7]. SVR is an extension of SVM for regression. SVR make
actuators outputs is needed. Because a micro-hand is expected a model from relationship between inputs and outouts. The
to using for medical elds, especially in operations. And goal of SVR is to identify a function f (x) from training data.
the sensor which can attach itself to micro-hand directly is SVR is available for nonlinear function and has generalization
nothing because a micro-hand is too small. In this paper, capability. The regression model f (x) is shown as
support vector regression (SVR)[4]-[7] is utilized for output
estimation. SVR is a regression machine which is extended f (x) = T (x) + b (1)
by support vector machine (SVM). SVR is used by many where x means input vector, shows weight vector, b is offset,
researchers recently. SVR has some advantages, for example, and (x) is a nonlinear function that maps the input space into
high generalization ability with a little training data and valid a higher dimension feature space. In the SVM modeling, slack
for nonlinear model, etc. SVR uses the kernel method. The variables are
kernel method makes SVRs calculation easy. If one function
satises some properties, it can become a kernel function. 0 (yi f (xi ) )
i+ = (2)
Various kernel functions are used for SVR. Gaussian kernel yi f (xi ) (yi f (xi ) > )
which is applied by Gaussian distribution (GD) is mainly used
0 (yi f (xi ) )
for a kernel function in SVR. However, many distributions do i = (3)
not follow Gaussian distribution. To solve this program, SVR yi + f (xi ) (yi f (xi ) < )
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c IEEE 538
where is a conguration parameter and (xi , yi ) is training Eq.(9) and Eq.(10) for Eq.(6).
data. Then, the SVR approach denes an optimization problem
as follows. max Lp
+
i ,i
1 +
n n n
1
min [ T + C (i+ + i )] (4) = max [ ( +
i )(j j )(xi ) (xj )
T
,b, 2 +
i ,i 2 i=1 j=1 i
i=1

n
n

Subject to equality constraints, + yi +
i i +
i + i ] (13)
i=1 i=1
yi (xi ) b
T
+ i+ , i = 1, n Constraint conditions are shown as follows.
(xi ) + b yi
T
+ i , i = 1, n (5) n

i+ , i 0, i = 1, n +
i i =0
(14)

i=1
where C controls the penalty associated with deviations lager 0 +
i , i C0
than , n is the number of training data.
A kernel function is shown as follows.
Introducing Lagrange multipliers + +
i , i , i and i ,
Eq.(5) can be rewritten as the following optimization problem, K(xi , xj ) = (xi )T (xj ) (15)
Applying a kernel function, Eq.(13) is rewritten as follows.
1 n
Lp = T + C0 (i+ + i ) 1 +
n n
+
2 max [ j
i=1 j K (xi , xj )
+
i ,i 2 i=1 j=1 i i

n

+ +
i + i yi + (xi ) + b
T

n
n

i=1 + yi +
i
i +
i + i ] (16)
n
i=1 i=1

i + i + yi T (xi ) b
Applying a kernel function, Eq. (12) is rewritten as follows.
i=1

n
+ +
n

i i +
i i (6) f (x) = i +
i K(xi , x) + b (17)
i=1 i=1
Optimum solutions is the point where partial differentiation of Gaussian kernel is usually used as kernel function, Gaus-
Lp about , b, + , are zero, so following equations hold as sian kernel is shown as follows.

to optimum solutions. xi x2
K(xi , x) = exp (18)
2 2
Lp n
= (+
i i )(xi ) = 0 (7)
B. Generalized Gaussian distribution
i=1
Lp
n
Generalized Gaussian distribution(GGD)[10]-[12] is used
= ( +
i i ) = 0 (8) for kernel function to improve the ability of generalization
b i=1 in this paper. Generalized Gaussian distribution includes all
Lp normal and Laplace distribution, and all continuous uniform
= C0 + +
i i = 0 (9)
i+ distributions on bounded intervals of the real line. The proba-
bility density function(PDF) of GGD with mean and shape
Lp parameter is given by
= C0
i i = 0 (10)
i
x
f (x; , , ) = exp (19)
From Eq.(7), the vector is shown as 2(1/)

n (1/)
= (20)
= (+
i i )(xi ). (11) (3/)
i=1
+ t z1
where denes Gamma function given by (z) =
Eq.(1) is rewritten as 0
e t dt(z > 0). , (> 0) and denote the mean,
shape and scale parameters respectively. GGD can match many

n distribution by changing shape parameter . GGD is applied
f (x) = (+
i i )(xi ) (x) + b.
T
(12) for kernel function in this paper.
i=1
Fig. 1 illustrates the PDFs of generalized Gaussian distri-
bution for various with = 0 and = 1. Two special cases
An optimization problem holds by substituting Eq.(7), are the Laplacian distribution for = 1 and the Gaussian
539
distribution for = 2. For the limiting case of , generalized TABLE II: The parameters of the model
Gaussian distribution approaches to an impulse function and
the uniform distribution as 0 and respectively. Output angle
p Input air pressure
a Cross-section drawing of the actuator
b Thickness of the actuator
L0 length of the movable part of the actuator
The detail of the model is in [14].

Control sysmtem with SVR estimation is shown as Fig. 2
y, y are actuator and estimation output respectively.
Fig. 1: PDFs of GGD for = 0.7, 1.0, 2.0, 100( = 0, = 1)
Generalized Gaussian kernel is given as follows.

xi x Fig. 2: Control system with SVR estimation
f (xi , x; , ) = exp (21)
2(1/)
A, B are selected by operator theory[15],[16].
(1/)
= (22)
(3/)

2L0 (2ra + b)
A(y)(t) = (1 K) + 2(2ra + b)
C. Improvement of SVR training data set by(t) + L0
(26)
Input air pressure p and Time t are used for the input of B(u)(t) = 2Ku(t) (27)
SVR in previous research. the number of training data is 5,472.
Therefore it caused over-tting and lack of generalization
ability. Computing time is very long. In this paper, Input air where K is designed controller parameter, A is stable and
pressure p, The last position of micro-hand xi1 and The B is stable and invertible.
second last position of micro-handxi2 are used for the input
of SVR (i is step). And training data is reduced from 5,472 to C is the tracking controller as follows.
1,080 by reconsidering the method of training. t
C( e1 )(t) = kI e1 ( )d + kP e1 (t) (28)
0
TABLE I: The comparison of training data
III. R ESULT OF EXPERIMENT
Input data of SVR Data sets
Previous reserch 5, 472 sets
This reserch
p, t
p, xi1 , xi2 1, 080 sets
A. Experimental system
In this section, the experimental system is shown. Fig. 3
shows the experimental system of this research. Fig. 4 shows
D. Sensorless control system the actuator (micro-hand).
The control system is designed to verify the effectiveness
of the proposed method. The model of the micro-hand is given
as follows,

L0 2ra + b
= 1+ , (23)
b p 2ra b
where
b Fig. 3: Experimental system
ra = a + , (24) Fig. 4: Actuator
2
B. The experiment
4a3 + 3a2 b
= . (25) The experimental result of the proposed method is shown.
6ra bE0 To compare with the previous research, the result using
previous researchs data sets is also shown. Table III shows
The parameters of the model are shown in Table II. experimental parameters.
540
TABLE III: Experimental parameters IV. C ONCLUSION
Desired value r0 = 3.14 rad

Sensorless control system with SVRbased-mapping of a
Natural length of the actuator L0 = 1.35 102 m micro-hand is proposed. The estimation ability of SVR is
Radius of the actuator a = 1.0 103 m improved by using generalized Gaussian kernel and changing
Thickness of the actuator b = 0.15 103 m training data sets. Computing time are shortened by reducing
Rubber radius ra = 1.075 103 m
Initial Young modulus E0 = 1.43 106 Pa
the number of training data sets. With accurate estimation,
Control parameter K = 0.95 we can control a micro-hand more accurately. With shortening
Integral parameter kI = 3.0 105 computing time, we can obtain many merits. In conclusion, the
Proportional parameter kP = 1.0 105 effectiveness of the proposed method is proved by the exper-
The result of the proposed method is shown in Fig. 5. imental result. The future work is establishing the method of
optimizing SVR and generalized Gaussian kernel parameters.
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[3] S. Wakimoto, K. Suzumori, Y. Nishioka: Miniaturization of Large Dis-
Fig. 5: The result of proposed method placement Rubber Actuator, JSME Bioengineering Conference, Vol.22,
pp.104, 2010.
The result using the previous training data sets is shown
[4] V. Vapnik: The nature of statistical learning theory, Springer, New York,
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[5] T. OnodaSupport Vector Machine,Ohmsha, 2007
[6] L. Jiang, M. Deng, and A. Inoue, Support vector machine-based two
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[7] N. Cristianini, J. Shawe-Taylor: An Introduction to Support Vector
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[8] V. Cherkassky and F. Mulier, Learning from Data: Concepts, Theory,
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[9] C. Chang and C. Lin: LIBSVM - a library for support vector machines,
Fig. 6: The result using previous data sets http://www.csie.ntu.edu.tw/ cjlin/libsvm/, 2008.
[10] M. Deng, A. Inoue and Q. M. Zhu: An integrated study procedure on
Output result could track for desired value 3.14. Compared real-time estimation of time-varying multi-joint human arm viscoelas-
with using the previous data sets, the proposed method can ticity, Transactions of the Institute of Measurement and Control, Vol.33,
estimate actuators output much more accurately. Therefore the No.8, 919-941, 2011.
generalization ability of the proposed method is proved. [11] J. A. DominguezMolina, G. GonzalezFaras, R. M. Rodrguez
Moreover, thanks to reducing the number of training data sets, Dagnino, ITESM Campas Monterrey: A practical procedure to estimate
the shape parameter in the generalized Gaussian distribution, technique
estimations computing time could be cut. The comparison of report I0118 eng.pdf, 2003.
computing time is shown in Table IV. [12] S. Yu, A. Zhang and H. Li: A review of Estimating the Shape Param-
eter of Generalized Gaussian Distribution, Journal of Computational
Information Systems, Vol.8, No.21, pp. 90559064, 2012.
TABLE IV: The comparison of some values
[13] T. Kawashima, A. Wang, S. Wakimoto and M. Deng: SVR based
estimation modelling and robust nonlinear control for a miniature
Computing time Fitness pneumatic curling rubber actuator, Proc. of The 2012 International
The proposed method 20s 82.8%
Conference on Advanced Mechatronic Systems,Tokyo, Japan, pp.304
Using proposed data sets 158s 118%
309, 2012.
Fitness is the ratio of tting[18] for actual result and [14] M. Deng and T. Kawashima: Adaptive Nonlinear Sensorless Control
Fitness is given by: for an Uncertain Miniature Pneumatic Curling Rubber Actuator Using
Passivity and Robust Right Coprime Factorization, Control Systems
N
Technology, IEEE Transactions on, vol.PP, no.99, pp.1,1, 2015 (Ac-
[ y (k) y(k)]2 cepted).

[15] M. Deng: Operator-based nonlinear control systems design and appli-
Fitness = 100[%] (29)
k=1
1 cations, IEEE Press, John Wiley & Sons, Inc., 2014.

N
[16] M. Deng, A. Inoue and K. Ishikawa: Operator based nonlinear feedback
[y(k) y]2 control design using robust right coprime factorization, IEEE Transac-
k=1 tions on Auntomatic Control, 51(4): 645648, 2006.
[17] T. Miyagawa, K. Toya, Y. Kubota: Static Characteristics of Pneumatic
From Table IV, the computing time of the proposed method Soft Actuator using Fiber Reinforced Rubber, JSME Conference on
Robotics and Mechatronics, 1A2A01, 2007.
is much shorter than the previous one. Considering Figs. 5,
6 and Table. IV, the proposed method could estimate the [18] S. Adachi Basis of system identication, TDU press, 2009
actuators output accurately and quickly.
541
Nonlinear Remote Temperature Control of

a Spiral Plate Heat Exchanger
Ryohei Fujii Mingcong Deng Shin Wakitani

The Graduate School of The Graduate School of The Graduate School of
Engineering Tokyo University of Engineering Tokyo University of Engineering Tokyo University of
Agriculture and Technology Agriculture and Technology Agriculture and Technology
AbstractIn this paper, the time-delay is considered when II. S YSTEM AND PROBLEM SETUP
process equipment is controlled by a wireless network in a large-
scale plant. To prevent a decline of a control performance by the A. Remote Control System
time-delay, the time-delay compensation controller is designed. Remote control system, which is used in this work, is
Whats more, the experimental environment which simulates the denoted in Fig. 1. In large-scale plant, radio repeaters are re-
remote control is made, and the effectiveness of the designed
control system is conrmed by simulation and experiment results.
quired when the central monitoring room controls each process
equipment by using small-sized wireless module. In addition,
all wireless module cant be worked simultaneously due to a
Keywordsnonlinear, communication, temperature control, limit of radio channel. Thus, the time-delay is occured with
time-delay, operator theory control input from the central monitoring room to a process
equipment and sensor output from a process equipment to the
central monitoring room. A decline of control performance due
I. I NTRODUCTION to the time-delay is concerned. In this work, the compensation
of the time-delay is mainly conducted.
In a large-scale plant, various process equipment is oper-
ating. These process equipments are monitored and controlled
from the central monitoring room. DCS device is developed
to satisfy these demands. Moreover, in conventional large-
scale plants, remote control is demanded between the central
monitoring room and each process equipment. So far remote
control system was constructed by using optical ber with
HIS-FCS communication. Recently, the method of a remote
control is proposed by wireless communication between FCS
and each eld equipment. The advantages of remote control
by wireless communication are a reduction of wiring costs for
wiring communication, and easy of the extension of facilities.
However, the communication time-delay occurs when remote
control by wireless communication is conducted, and there is
a possibility to lead to a decline of a control performance. Fig. 1. Wireless communication control system in large-scale plant
Therefore, the time-delay compensation for control system
with the time-delay was also discussed in previous work[1],
[2], [3]. In these previous work, the inner structure of a spiral B. Experimental Equipment
plate heat exchanger was not considered, and the approximate
Experimental equipments, which are used in this work, is
model of controlled object was obtained by using the method
denoted in Fig. 2. DCS device takes on a role of the central
of logarithmic mean temperature difference[4]. Other previous
monitoring room[6]. Two PCs are prepared for intercommuni-
work obtained the model by considering inner structure of
cation between DCS device and a spiral heat exchanger. Each
a heat exchanger, however, an inner solid wall of a heat
PCs send a signal to the remote partner. However, when the
exchanger between heated uid and cryogenic uid was not
experiment is done, two PCs are places nearby, so the time-
considered[5]. Accordingly, in this work, a more accurate
delay is made in the interior of PCs.
model is proposed by considering the inner structure of a heat
exchanger including its solid wall and not using rate of heat
C. Problem Statement
transfer. In addition, the aim of this work is to improve the
control performance by designing controllers with an accurate In this section, the problem statement is set. An object of
model. the problem is to improve the control system with the time-
978-1-4673-7995-3/15/$31.00 2015
c IEEE 542
this heat exchanger has complex inner structure, so an accurate
modeling is difcult to get. Therefore, in this paper, for
modeling of the spiral plate heat exchanger, the inner structure
is divided into micro volume. In addition, energy balance of
heated uid and cryogenic uid is considered to get this model.
A cylindrical coordinate system is used in modeling. First, the
heat balance of heated uid in micro volume is considered.
The energy variation of micro volume is derived from {(the
heat into micro volume)-(the heat from micro volume)}[9],
[10]. Heat balance Qhr [W] in the direction of the r axis is
given as
Fig. 2. Experimental equipment Qhr = qr (r)Ar (1)
where qr (r)[W/m2 ] is a heat ux in the direction of the r
axis and Ar [m2 ] is the heat transfer area. A heat ux in the
delay in Fig. 3. This control system has the time-delay with direction of the r axis is intended by overall heat transmission,
input-output. The time-delay has bad inuence on a feedback which is given as
control system, and it leads to depress a control performance.
In this work, the time-delay compensation controller is de- qr (r) = k(Th Tc ) (2)
signed and aim to improves performance of the control system 2
with the time-delay. where k[W/(m K)] is a coefcient of overall heat transfer,
which is given as
1 1 L 1
= + + (3)
k hc hh
where hc [W/(m2 K)], hh [W/(m2 K)], L[m], [W/(mK)] de-
note a heat transfer coefcient of cryogenic uid, a heat
transfer coefcient of heated uid, a thickness of a solid wall of
inner structure of the heat exchanger and thermal conductivity
of the solid wall, respectively. Moreover, micro volume V [m3 ]
Fig. 3. Control system with the time delay and Ar [m2 ] are given as
V = rdrddz (4)
III. M ODELING OF A CONTROLLED OBJECT Ar = (r + dr)ddz (5)
When a control system is designed, the model of a con- Therefore, heat balance Qhr [W] is given as
trolled object is used to design controllers. Thus, the model is
1 1
introduced in this section. A spiral plate heat exchanger, which Qhr = k(Th Tc )Ar = k(Th Tc ) + V (6)
is used in this work, is denoted in Fig. 4[7], [8]. Fig. 4 (Left) r dr
is an outside drawing, Fig. 4 (Right) is a schematic diagram. Secondly, qh ()[W/m2 ], which is a heat ux in the direction
of the axis, is considered. qh () can be represented by the
movement of the heat due to thermal gradient in the same
uid. Thus, qh () is given as
Th 1
qh () = (7)
r
And, heat balance in the direction of the axis is given as
Qh = qh ()A (8)
where A [m2 ] is heat transfer area in the direction of the
Fig. 4. A spiral plate heat exchanger (Left: An outside drawing of a axis, which is given as
spiral plate heat exchanger, Right: A schematic diagram of a spiral plate heat
exchanger) A = drdz (9)
Therefore, from (7), (8) and (9), Qh is given as
As seen in Fig. 4 (Right), this heat exchanger has a spiral
inner structure. Therefore, a high-efcient heat exchange is Th 1 1
possible, because the solid wall between heated uid and cryo- Qh = V (10)
r2
genic uid is thin and has a large area. Moreover, compared
Hence, from (6) and (10), the energy balance of heated uid
to other heat exchangers, this heat exchanger is small-sized
is described as
and has a self-cleaning action from the fact that the cross-
sectional shape of the uid passage is uniformity. Therefore, Th 1 1 Th 1
C = k(Th Tc ) + + 2 (11)
this heat exchanger is excellent process equipment. However, t r dr r
543
TABLE I. PARAMETERS OF SPIRAL PLATE HEAT EXCHANGER
When considered in the same way, the energy balance of
cryogenic uid is given as Parameter of spiral a = 0.022 [m/rad]
Thermal conductivity of SUS304 = 16.7 [J/(sm C)]
Tc 1 1 Tc 1 Reynolds number Re = 15659[]
C = k(Tc Th ) + + 2 (12) Prandtl number Pr = 7[]
t r dr r Nusselt number of heated uid Nuh = 5613[]
Cross-sectional area of ow channel A = 5.5 104 [m2 ]
From (11) and (12), the equation (13) and (14) are obtained. Specic heat of water C = 4.2 [kJ/(m C)]
Density of water = 1.00 [kg/cm3 ]
T 1 1 T 1 Width of solid wall of heat exchanger L = 1.83 103 [m]
C = kT + + 2 (13) Heat transfer coefcient of cryogenic uid hc = 366 [W/(m2 C)]
t r dr r Width of ow channel w = 0.005 [m]
T = Th T c (14)
From the spiral structure of the heat exchanger, the parameter
r is changed into the parameter by using Archimedes spiral of uid. Reynols number includes characteristic length which
r = a. And, the separation of variables on T (, t) = x()y(t) has inuence on the ow of uid. In my study, characteristic
yields the equation (15) from (13). length is height of a spiral plate heat exchanger because of
1 1
cross-sectional shape of a ow path of a spiral plate heat
y (t) 2kx() a + dr + a23 x ()
C = = B (15) exchanger. Nusselt number is turned into different value when
y(t) x() uid is heated or cooled. And, initial conditions (24)(26) are
where the parameter B is an arbitrary xed number. From (15), applied to the equation (20).
the following two ordinary differential equations are obtained.
T (0, t) = Thi (t) Tci (t) (24)
C y (t) = By(t) (16) T (0, 0) = Thi (0) Tci (0) (25)

1 1 T (6, t) = Tho (t) Tco (t) (26)
x () = Bx() + 2kx() + (17)
a2 3 a dr
Thus, the model of exhaust temperature of cryogenic uid is
Solving (16) and (17) yields to these following equations. given as

B
y(t) = C1 t (18) Tco (t) = Tho (t)
C
A1 + A5 A4 Ti (t)
2ak3 a2 B4 a2 k4 Ti (t) exp + ln (27)
x() = C2 exp + + (19) Ti (0)
Uh (t) + A3
A2 t
3 4 2dr
where C1 and C2 are arbitrary xed numbers. Thus, T (, t) is Ti (t) = Thi (t) Tci (t) (28)
given as where h, c, i, o denote heated uid, cryogenic uid, inlet tem-

2ak3 a2 B4 a2 k4 B perature, exhaust temperature, respectively. Moreover, A1 A5
T (, t) = C3 exp + + + t are parameters which are represented by physical constants of
3 4 2dr C
(20) system. These parameters are given as
where C3 is an arbitrary xed number. In this work, in the 2a(6)3
same way as previous works, controlling a ux of heated A1 = (29)
uid make the exhaust temperature of cryogenic uid to target 3
Re Pr A
temperature, so it is necessary to relate the model to a ow A2 = (30)
rate. Therefore, Stanton number is used. Stanton number is a Nu C
dimensionless number which represents the characteristic of L 1
A3 = + (31)
the uid. Stanton number St [] is given as hc
hA a2 (6)4 C
St = (21) A4 = (32)
C U 4
a2 (6)4
where h[W/(m2 K)] is thermal conductivity of the uid, A[m2 ] A5 = (33)
2w
is cross-sectional area of a ow channel, C [J/(kgK)] is
specic heat of uid, [kg/m3 ] is density of uid, and U [m3 /s] And, each parameter is denoted in Tab. I.
is a ow rate. (21) is translated to
C U IV. C ONTROL SYSTEM DESIGN
h= St (22)
A In this paper, the design of a control system is based on
The equation (22) is used to relate the model (20) with the operator theory. In operator theory, the controlled object P is
ow of heated uid. Moreover, Stanton number is given as regarded as the mapping from input u to output y (y = P (u)).
Nu This mapping P is the nonlinear model of input-output relation
St = (23) of the controlled object. Thus, the modelling of a spiral plate
Re Pr heat exchanger was conducted before the design of a control
where Nu [], Re [], Pr [] are Nusselt number, Reynolds system. Secondly, a control system based on an operator theory
number, Prandtl number, respectively. These parameters are is designed. Thirdly, the design of the time-delay compensation
dimensionless numbers, which indicate a specic characteristic controller is carried out.
544
A. Control System Design Based on Operator Theory
In this work, the design of a control system is performed
by an operator theory which is one of the nonlinear control
theories[11]. In operator theory, the plant P is taken as a
mapping from input u to output y. Plant P satisty a right
Fig. 6. Closed loop system based on an operator theory with the input-output
factorization if there exist two stable operators N and D1 . time-delay
Moreover, plant P is side to have a right coprime factor-
ization if there exist two stable operators S and R which
satisfy the Bezout identity SN + RD = I. I is an identity
mapping(Exaple :u = I(y) = y). As a result of this method, C1 and C2 are given as
the closed-loop system which is illustrated in Fig. 5 becomes u (t) = C1 (r)(t) = T1 P 1 (r)(t) (40)
stable.
r (t) = C2 (r)(t) = S2 (r)(t) = S2 (r)(t) (41)
where operator T1 is an inverse operator of an operator 1 .
Fig. 5. Closed-loop system based on an operator theory
Fig. 7. Closed loop system with the time-delay compensation controller

In this work, the control system is designed between input
u(t) which is a ow rate of heated uid Uh (t) and output
y(t) which is exhaust temperature of cryogenic uid Tco (t). And, the control system in Fig. 7 can be transformed to
Plant P is represented by y = P (u)(t), and P has a right the control system in Fig. 8.
factorization on operators N and D1 . Operators N and D1
are given as

A1 + A5 A4 Ti (t)
N ()(t) = Tho (t) Ti (t) exp 1 + log
(t) + A3
t Ti (0)
(34)
Fig. 8. Equivalent plot of Fig. 7
D()(t) = A2 (t) (35)
For operators N and D1 , operators S and R1 which are = S2 N +
From Fig. 8, under the assumption that L
designed to satisfy the Bezout identity are given as RT1 D is formed, output y(t) is given as
K 1 (S2 + RT1 P 1 )r(t)
y(t) = N L
R(u)(t) = u(t) (36)
A2 = NL 1 (S2 N + RT1 D)N 1 r(t)
1K
S(y)(t) = (37) = r(t) (42)
+A5

T
A1
(t)y(t) A

T (t)
A3
log hoT (t) t4 log T i (0) Thus, output y(t) tracks target temperature r(t) even in
i i
the case of the time-delay with input-output. However, only
where K is a designed parameter. controllers C1 and C2 , it is difcult to ensure the tracking
performance in the case which disturbance occur. Thus, the
B. Closed-loop system with the time-delay tracking of the control system is assured by design of PI
controller in Fig. 9. PI controller in Fig. 9 is given as
In this study, the time-varying delay occurs with input- t
output of process equipment due to the remote control by
r2 (t) = F (e1 )(t) = KP e1 (t) + KI e1 ( )d (43)
using a network. Therefore, an inuence of the time-delay with 0
input-output is represented by operators 1 and 2 in Fig. 6.
Operators 1 and 2 are given as where KP is a proportional gain, KI is an integral gain.
u (t) = 1 (u)(t) = u(t 1 (t)) (38) V. S IMULATION AND EXPERIMENTS

y (t) = 2 (y)(t) = y(t 2 (t)) (39) This section is made up with three subsections. First, an
where 1 (t) is a time-varying delay with input u(t), 2 (t) is a efcacy of a control system is made sure by simulations and
time-varying delay with output y(t). gets designed parameters. Second, using experimental system
in Fig. 2, an effectiveness of this proposed control system
To compensate an inuence of the time-delay, feedforward is conrmed. Third, the result of this proposed method is
controller which is illustrated in Fig. 7 is designed. Controllers compared with the result of previous research.
545
to imitate a control system of a large-scale plant by using wire-
less communication. And, the time-delay with input-output is
occurred randomly(1 2s) to assume the remote control of
various process equipment by using wireless communication
on network. Initial condition is the ow of heated uid is
zero, and inlet temperature of heated uid is controlled by
Fig. 9. Control system with PI controller
a heater keeping about 50 C, the ow of cryogenic uid is
constant(4.2L/min). PI gain which used in the experiment is
determined by simulation. Experiment conditions are denoted
in Tab. III and the result of the experiment is denoted in Fig.
A. Simulation
12. Fig. 12 is Trend Window of DCS device which can view
The parameter which is used in simulation is shown in Tab. conditions of each process equipment in real time. Fig. 12 is
II. In this simulation, it is presumed that inlet temperature of shown as the output tracking target temperature in about 60s
cryogenic uid, inlet temperature of heated uid and exhaust after the experiment. Thus, validation of the designed control
temperature of heated uid are constant. And, the random time- system is conrmed from the result of experiment.
delay(1 2s) is caused. The result of this simlation is denoted
in Fig. 10-11. Therefore, the validation of an efciency on the TABLE III. E XPERIMENTAL PARAMETERS
designed control system is conrmed from Fig. 10-11. Sampling period Ts = 1 [s]
Target temperature r = 30 [ C]
TABLE II. PARAMETERS OF SIMULATION Parameter of spiral a = 0.022 [m/rad]
Proportional gain KP = 0.91[]
Sampling period Ts = 1 [s] Integration gain KI = 1.02[]
Target temperature r = 30 [ C] Initial inlet temperature of cryogenic uid Tci (0) = 19.5[ C]
Initial exhaust temperature Tco (0) = 20.0 [ C] Initial inlet temperature of heated uid Thi (0) = 50.5[ C]
of cryogenic uid Initial exhaust temperature of cryogenic uid Tco (0) = 20.0[ C]
Inlet temperature of heated uid Thi = 50 [ C] Initial exhaust temperature of heated uid Tho (0) = 37.7[ C]
Inlet temperature of cryogenic uid Tci = 20 [ C] Flux of cryogenic uid(const. ) Uc = 4.2[L/min]
Exhaust temperature of heated uid Tho = 40 [ C]
Parameter 1 of model A1 = 9.8923[(m2 K)/W]
Parameter 2 of model A2 = 0.0097[K/(kgJ)]
Proportional gain KP = 0.91[]
Integration gain KI = 1.02[]
Fig. 10. Input: Flux of high-temperature uid
Fig. 12. Experimental result
C. Experiment of Previous Result

The model based on logarithmic mean temperature dif-
ference method as well as previous research is shown in the
following[12]. And, parameters which are used in the model
are denoted in Tab. IV.

Fig. 11. Output: Exhaust temperature of cryogenic uid

1 1
Tco = Thi (Tho Tci ) exp KLH
h ch Uh c cc Uc
(44)
B. Experimental Result
Controller is designed based on the same method this
The parameters which are used in simulation are shown in previous study[4]. Designed controllers are shown in the
Tab. III. In this study, we built a experimental system in Fig. 2 following. Input u(t) is dened as ux of heated uid Uh (t),
546
TABLE IV. PARAMETERS OF THE MODEL BASED ON LOGARITHMIC
MEAN TEMPERATURE
VI. C ONCLUSION
Designed parameter Kd = 0.5 [] In this paper, we tried to design the model of a spiral
Exhaust temperature of heated uid Tho = 35 [ C] plate heat exchanger. Specically, the inner structure of a spiral
Inlet temperature of cryogenic uid Tci = 20 [ C]
Inlet temperature of heated uid Thi = 50 [ C] plate heat exchanger is divided into micro-volume, and energy
Density of cryogenic uid c = 1000[kg/m3 ] balance of each types of uid is considered to propose more
Density of heated uid h = 1000[kg/m3 ] accurate model than the previous research. Moreover, using
Specic heat of cryogenic uid cc = 4217[J/kgK]
Specic heat of heated uid ch = 4217[J/kgK] the proposed model, the design of control system is conducted
Flux of cryogenic uid(const. ) Uc = 4.2[L/min] based on an operator theory. In addition, the time-delay com-
Overall heat transfer coefcient K = 368[W/m2 K] pensation controller is designed against control system with
Length of heat exchanger L = 3.953[m]
Characteristic length of heat exchanger H = 0.11[m] the input-output time-delay. Finally, an effectiveness of the
Proportional gain KP = 0.37[] designed control system is conrmed by simulation and two
Integration gain KI = 0.38[] experiments.
Heating surface area A = H L[[m2 ]]
R EFERENCES
and output y(t) is dened as exhaust temperature of cryogenic

[1] M. Deng, A. Inoue, and K. Umemoto: Analysis and experiment study
uid Tco (t). on networked nonlinear controller design for a water level process
experimental process, Proc. of 2008 IEEE International Conference on
Networking, Sensing, and Control, pp. 22-25, 2008.

KA KA [2] M. Deng and A. Inoue: Networked non-linear control for an aluminum

N ()(t) = Thi T exp (45) plate thermal process with time-delays, International Journal of System
(t) c cc Uh Science, Vol. 39, No. 11, pp. 1075-1080, 2008.
T = Tho Tci (46) [3] M. Deng, A. Inoue, A. Morimoto, and S. Wen: Model output following
1 control of a networked thermal process, Proc. of 2009 IEEE Interna-
D (u)(t) = h ch u(t) (47) tional Conference on Networking, Sensing, and Control, pp. 81-86, 2009.
1 KP [4] J. Okazaki: Studies on nonlinear remote temperature control of a heat
S(y)(t) = (48)
1 1 y(t) exchange system realized by distributed control system (DCS) device,
c cc Uc + KA log ThiT Tokyo University of Agriculture and Technology, 2014(in Japanese).
e(t) [5] S. Yang, K. Furukawa and M. Deng: Modeling on the uid temparature
R1 (e)(t) = (49) distribution of a spiral heat exchanger, IEEE International Conference
KP h ch on Automation Science and Engineering, Taipei, Taiwan, pp. 170-175,
Aug. , 2014.
When this model is used, the result of experiment is denoted
[6] K. Furukawa: Studies on realization of fractional order robust nonlinear
in Fig. 13. Shown a transient state of waveform on output fault tolerance control system by using DCS device, Tokyo University
in Fig. 13, overshoot is caused. A steady state is presumed of Agriculture and Technology, 2015(in Japanese).
when a logarithmic mean temperature method is used, hence, [7] J. Okazaki, S. Wen and M. Deng: Modeling and operator based
a control performance of a transient state is decline due to the nonlinear tracking control using DCS device of a spiral heat exchange
control sysytem based on an operator theory using the model process, Proc. of The ICAMechS 2012, pp. 719-724, Japan, 2012.
of a plant with the designed controller. And, the method of [8] J. Okazaki, S. Wen, M. Deng and D. Wang: An application of DCS
previous study that output tracking target temperature is slower device to a heat exchange process, Intelligent Robotics and Applications,
ICIRA 2012, Part I, Lecture Notes in Articial Intelligence 7506, pp.
than this study. These results show that the method of this study 111-120, Canada, 2012.
is improved compared to the previous. [9] T. L. Bergman, A. S. Lavine, F. P. Incropera, and D. P. Dewitt:
FAUNDAMENTALS OF HEAT and MASS TRANSFER, Wiley, 7th
edition, 2011.
[10] P. M. Gomadam, R. E. Write, and J. W. Weidner: Modeling Heat
Conduction in Spiral Geometries, Journal of The Electrochemical
Society, 2003.
[11] M. Deng: Operator-Based Nonlinear Control Systems Design and
Applications, Wiley-IEEE Press, 2014.
[12] A. Zavala-Rio, R. Femat and R. Santiesteban: An Analytical Study of
The Logarithmic Mean Temperature Difference, Revista Mexicana De
Ingenieria Quimica, Vol. 4, pp. 201-212, 2005.
Fig. 13. Experimental result besed on previous research method
547
Operator based voltage control experiments of

thermoelectric generation system
Ryuji Yoshida Mingcong Deng Shin Wakitani

The Graduate School of Engineering The Graduate School of Engineering The Graduate School of Engineering
Tokyo University Tokyo University Tokyo University
of Agriculture and Technology of Agriculture and Technology of Agriculture and Technology
AbstractBoost converters have nonlinear characteristics by

semiconductor switching elements in a circuit. Generally, con-
trollers are designed by a linearized model of the boost converter
based on state space averaging method. This study proposes
design scheme considering discontinuous conduction mode with-
out linearization. In detail, rstly, modeling of boost converter
in discontinuous conduction mode is derived. Secondly, control
system designed based on operator theory is shown. Finally,
the effectiveness of the proposed control system is veried by
simulation and experimental results to the change of the load
and the input voltage.
KeywordsBoost converter; discontinuous conduction mode;

thermoelectric generation; nonlinear control; operator theory
I. I NTRODUCTION Fig. 1: Thermoelectric generation system

In recent years, the increase of global environmental issues
motivate research into alternative electrical power generation
method. One of the power generation methods is thermoelec-
tric generation that directly convert heat energy into electrical
energy by Seebeck effect [1], [2]. Thermoelectric generation
have merits such as environment-friendly and high reliability.
Therefore, it is adopted for military and space applications. It
is promised to adopt to applications such as automotive waste
heat recovery in the future. On the other hand, thermoelectric
generation has some problems. One of the defects is the
change of output power on the thermoelectric generator(TEG) Fig. 2: Boost converter
due to temperature difference uctuation. Thus, thermoelectric
generation system has a power conditioning stage such as a
DC-DC converter or inverter depending on a load to supply performance because of the diffrence between the two opera-
stable power as shown in Fig. 1. tion modes.
Figure 2 shows a boost converter circuit. It consists of This study proposes a design scheme by considering dis-
an inductor, a capacitor, a MOSFET and a diode. An ideal continuous conduction mode without linearization. In detail,
switch replaced MOSFET to generalize in Fig. 2 [3]. Boost rstly, modeling of boost converter in discontinuous con-
converters have nonlinear characteristics by semiconductor duction mode is derived. Secondly, control system designed
switching devices in a circuit. Generally, controllers are de- based on operator theory is shown. Finally, effectiveness of
signed by linearized model of the boost converter based on the proposed control system is veried by simulation and
state space averaging method. A previous work [4] demostrated experimental results to the change of the load and the input
that modeling of a buck-boost converter in continuous con- voltage.
duction mode(CCM) by state space averaging method [5] and
control system design based on operator theory [6]. However,
II. M ODELING
buck-boost converters operate in discontinuous conduction
mode(DCM) depending on the condition. Controller designed In this section, the modeling of the boost converter in DCM
in CCM can not guarantee stability and compensating tracking by generalized state space averaging method is shown. The
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c IEEE 548
Boost converter in Fig. 2 is considered power loss by a foward
voltage of diode, assuming that the losses by parastic element
is small. Although the loads, which is a resistance, is not
practical, the model is discussed to be understand easily in
general.
A. Discontinuous conduction mode

Boost converters have two operation modes, CCM and DCM.
They are dened as shown.
Denition 1 (Continuous Conduction Mode)
iL = 0, t
Denition 2 (Discontinuous Conduction Mode)
t T ; iL (t) = 0 Fig. 3: Reactor current of boost converter

T = (0, )
The waveform of the reactor current in CCM and DCM is TABLE I: Parameters of a boost converter
illustrated in the graph in Fig. 3. The two operation modes
E Input voltage [V]
are switched by parameters of the circuit and the duty ratio. vC Capasitor voltage [V]
Therefore, the problem with the modeling of boost converters iC Capasitor current [A]
is that the state space averaging method can not be adopted vL Reactor voltage [V]
iL Reactor current [A]
for boost converters in DCM. Dr Duty ratio [-]
Ts Switching period [s]
R Resistance []
B. Generalized state space averaging method L Inductance [H]
C Capasitance [F]
Generalized state space averaging method is a method that Vf Forward voltage of diode [V]
linearlizes low frequency signal without linearization of high
frequency signal. The method is described below.
Step 1 Reactor current and capacitor voltage are replaced
for DC voltage.
Step 2 Steady state to high frequency circuit is solved.
Step 3 The average values of reactor voltage and capaci-
tor current are caluculated, moreover, the average
(a) When subinterval 1
value is represented as a function of DC voltage
given in Step 1.
Step 4 Equation (1) is solved by assuming that the DC
voltage is low frequency state space.
dx
= Gy (1)
dt
(b) When subinterval 2
G = [1/L 00 1/C] , x = [iL vc ] , y = [vL ic ]
C. Modeling of boost converter in DCM

Boost converters in DCM have three states depending on the (c) When subinterval 3
switch and the diode state. Here, subinterval 1 denoted when
the switch is in the on state, subinterval 2 denoted when the Fig. 4: Equivalent circuits of a boost converter in DCM
switch is in the off state and diode is in the on state, subinterval
3 is when the switch is in the off state and diode is in the
off state, respectively. Equivalent circuits of boost converter in
Subinterval 1 (0 t Dr Ts )
DCM in respective subinterval are shown in Fig. 4. Table I
The reactor current and capacitor current are:
shows parameters of boost converter. Low frequency capacitor
voltage replaced with DC voltage by Step 1 in Fig. 5. Behavior E vC
of high frequency circuits in a period are got by Step 2. iL = t, iC = (2)
L R
549
(a) When subinterval 1
Fig. 6: Control system
III. D ESIGNED C ONTROL S YSTEM

In this section, the control system is designed based on
(b) When subinterval 2
operator theory. The model of a boost converter in DCM is
given by Eq. (7). Output y(t) equal capacitor current, and
control input u(t) is duty ratio of PWM. Therefore, Eq. (7) is
represented by
E(t)
u2 (t) Ts E(t)
dy(t) y(t) + Vf E(t) y(t)
(c) When subinterval 3 = (8)
dt 2LC R
Fig. 5: Equivalent circuits of a boost converter by generalized Equation (8) can be divided into stable operator N , and
state space averaging method invertible stable operator D1 such as Eq. (9) based on
operator theory.
P = N D1 (9)
N and D1 are:
Subinterval 2 (Dr Ts t Dr + Dr2 Ts )
The reactor current and capacitor current are: dy 2 (t) dy(t)
N ()(t) : + 2(Vf E)
E Vf vC E dt dt
iL = (t Dr Ts ) + Dr Ts 2 2 2
L L + y (t) + (Vf E)y(t) = 2 (t) (10)
vC R R
i C = iL (3)
R Ts
1
Here, if equations as follows: t = (Dr + Dr2 )Ts , iL = 0 are D (u)(t) : (t) = E u(t) (11)
LC
satised, Eq. (4) is given.
When stable operator A and B are designed for satisfying
E the Bezout identity as shown in Eq. (12), N and D are right
Dr2 = Dr (4)
vC + Vf E coprime factorization. Here, I means an unimodular operator.
Subinterval 3 (Dr + Dr2 Ts t Ts ) AN + BD = I (12)

The reactor current and capacitor current are:
A and B 1 are:
vC
iL = 0, iC = (5)
R A(y)(t) : b(t) = (1 K)

Average value of iC is calculated from Eq. (2), (3), (5), and it dy 2 (t) dy(t) 2 2
is represented as function of vC by Step 3. The average value + 2(Vf E) + y 2 (t) + (Vf E)y(t)
dt dt R R
of iC is: (13)
iC = Dr Dr2 TS E vC (6)
2L R 1 1 1 LC
B (e)(t) : u(t) = e(t) (14)
KE Ts
As Eqs. (4), (6) are substituted for Eqs. (1), Eq. (7) represent-
ing the behavior of DCM is given by Step 4. Figure 6 shows the system to improve tracking performance.
Here, C is designed as follows.
E t
Dr2 Ts E
d
vC vC + Vf E vC C()(t) : r(t) = Kp (t) + Ki ( )d
= (7) (15)
dt 2LC RC 0
550
TABLE II: Parameters of experiments
L Inductance 470 H
C Capacitance 1000 F
Vf Forward voltage of diode 0.67 V
Ts Switching period 10 s
Kp Proportional gain 10 -
Ki Integral gain 0.1 -
Fig. 9: Experimental result when input voltage is variable and

resistance is constant
experiments are demonstrated as below cases.

Case 1 Input voltage and resistance is constant
Case 2 Input voltage is constant, resistance is variable
Fig. 7: Experimental result when input voltage and resistance Case 3 Input voltage is variable, resistance is constant
is constant The experimental results with Cases 1, 2 and 3 are shown in
Figs. 7, 8 and 9, respectively. The effectiveness of designed
control system is veried from Figs. 7, 8 and 9, because of
the output tracking the desired value. As can be seen from
Fig. 8, voltage variation is kept below about 2% to resistance
variation.
V. C ONCLUSION
This study shows that the method xed the uctuated ther-
moelectric generated voltage. In detail, rstly, modeling of
the boost converter in discontinuous conduction mode is de-
rived. Secondly, control system is designed based on operator
theory. Finally, simulations and experiments are demonstrated
to evaluate the effectiveness of designed control system. The
effectiveness of designed control system is veried.
R EFERENCES
[1] D. M. Rowe, Modules, systems, and applications in thermoelectrics,
CRC Press, 2012.
[2] D. M. Rowe, Thermoelectrics Handbook: Macro to Nano, CRC Press,
Fig. 8: Experimental result when input voltage is constant and 2005.
resistance is variable [3] R. W. Erickson, D, Maksimovic, Fundamentals of Power Electronics
Second Edition, Springer, 2001.
[4] M. Takahashi and M. Deng, Nonlinear Robust Power Control of
Uncertain DC-DC Converter with Bilinear Dynamics, Grobal Journal
IV. E XPERIMENTAL R ESULTS of Technology & Optimization, Vol.6, Issue 1, 2014.
[5]
R. D. Middlebrook, S. Cuk, A General Unied Approach to Model-
In this section, experimental results of designed control system ing Switching-Converter Power Stages, in Proc. of the IEEE Power
are shown. The parameters of experiment are shown in Tab. II. Electronics Specialists Conference, 1976, pp. 18-34.
Proportional and integral gain were determined by a trial-and- [6] M. Deng, Operator-Based Nonlinear Control Systems Design and
error method to make the overshoot 0%, and allowance limits Applications, Wiley-IEEE Press, 2014.
of error of 5% of desired value. Duty ratio, which is control
input, was limited to 0 Dr 0.8.
To evaluate effectiveness of designed control system, three
551
Robust Controller Design for Networked Control System with Packet Dropout
and Quantization Error
Haiquan Wang Rongxiang Gao Qian Zhang Shengjun Wen

School of Electrica l and Information Engineering
Zhongyuan University of Technology
Zhengzhou, China
e-mail: wanghq@zut.edu.cn
H state feedback controller is designed.

Abstract The stability of networked control systems
is researched in this paper. In this typical distributed
closed-loop control system connected with network, II. NETWORKED CONTROL SYSTEM MODEL
quantization errors and packet dropouts frequently occur For describing the system more accurate, the
that the previous model of networked control system tend to
networked control system in this paper is combined with
ignore. In order to describe the behavior of the control
system exactly, the nonlinear quantizer is introduced and three parts, they are Markov jump model, nonlinear
Markov jump system model is established to describe the quantizer and H state feedback controller respectively.
packet dropout. Subsequently, based on the established
Here Markov jump model is used to describe packet
model, H state feedback controller is designed to ensure dropout, nonlinear quantizer is used in the A/D channel
the stability of system and the Linear Matrix Inequality and the H state feedback controller is designed to
(LMI) is used to solve the controller. The simulation results
ensure the stability of whole system.
show that H state feedback controller can ensure the
stability of whole system with packet dropout and A. Markov jump system model
quantization error. Markov jump system is a random hybrid system.
The system simulates instability of network
KeywordsNonlinear quantizer; Markov jump system
communication with packet dropout. If Markov chain
model; H state feedback controller; Linear Matrix model is used, the networked control system based on
Inequality timing driving is defined. The sampling period T is the
same in the process of sampling operation. The spend
time of Network packet transmission is k , if k T ,
I. INTRODUCTION
one packet is successfully received. If k T , the
Networked control systems NCSs is a distributed
closed-loop control system with controller, actuator and packet may be missed or wrong order.
sensor which are connected through a communication Markov ju mp system model based on packet
network. The structure could enable the execution of dropout could be described as Eq.1 [6][7].
tasks from long distance, eliminate unnecessary wiring, k pij Pr[ k 1 j| k i] (1)
reduce the complexity and the cost in designing and
implementing the control systems , the corresponding where k and pij represent transition probability,
researches have attracted much attention. k represents the received packet and k 1 is
Xu and Dong proposed a H state feedback the coming packet.
controller design method with network-induced delay in
[1]. Hong and Dimirovski G.M considered a class of B. Nonlinear quantizer
control problems about switch fuzzy systems in [2]. The signal on network is digital, so analog-to-digital
H -norm controller for wireless networked control conversion including sampling, quantification and coding
should be executed. Here the logarithmic quantizer is
system with time delay has been designed by Waleed introduced to quantify digital signal which is encoded
Al-Azzawi and Marwan Al-Akaidi in [3]. Bernoulli from analog signal. As one of a typical static quantizer, it
equation has been introduced by Daniel W.C.Ho to could guarantee smaller quantization error. Its basic form
simulate packet dropout in [4] and [5]. But the former is shown as Eq.2 [8][9]
researches have not considered the network packet i 1 1
dropout and network delay simultaneously, and the 0 i 0 x i 0
1 1
established mathematical model is not completely (2)
accurate. q x 0 x0
q x x0
In order to improve the control performance, nonlinear
quantizer is designed and Markov chain is introduced to
establish discrete-time jump system model with packet
dropout and quantization error, then the corresponding
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c IEEE 552
1 controller, the following two conditions should be
and 0,1 is defined as quantitative satisfied [10] [11]
1
1) The closed-loop networked control system is
density.
exponentially mean-square stable when k 0 .
The quantization error of logarithmic quantizer can
be defined as a very small range, namely 2) For a given scalar 0 and all nonzero variable
q . If is defined as quantization error, k , under the zero-initial condition, the controlled
variable satisfies
the equation q x 1 x is true, where R .
E z k E k

2 2 2
(7)
C. Networked control system model k0 k 0
Considering the discrete-time system
H state feedback controller is designed with
x k 1 Ax k Bu k D k
(3) lemma 1 and theorem 1.
z k Ex k Lemma 1 [12] Schur complementsFor constant
where x k R n is state variable, u k R m is matrices A11 , A12 , A21 , A22 which satisfy the
control variable , k R is reference input in the p
conditions of A11 A , A12 A21
T T
, A22 A22
11
T
and
range of L2 0, , z k R l
is controlled variable, A11 A12
A , the following condition are equivalent.
A , B , D , E are known real matrices. A21 A22
The state variable x k through the network are 1) A0
given by A11 0 , A22 A12T A111 A12 0
2)
x k 1 x k x k 1 (4)
3) A22 0 , A11 A12 A22 A12 0
k k 1 T
where k is loss probability and meets the probability
rules of Markov chain, namely k Pij . So the feedback Theorem 1 Given a scalar 0 , if there exist
controller can be designed as symmetry and positive definite matrices P , Q , S and
u k Kq x k (5) K satisfying the following LMIs

P1 G1 G2 0 D 0

where q x k is quantized state variable, K is real
P 0 0 0 E

matrices. S 0 0 0 (8)
Fig.1 shows the structure of networked control 0
Q S 0 0
system. I 0
2
w k

I
u k x k 1 z k
where G1 A BK 1 1 k and G2 BK 1 k ,
z 1
the closed-loop system (3) is stable. The symbol *
x k
represents symmetry element.
Proof If the Lyapunov function is selected as
z 1
V V1 V2 V3 ,
x k 1

q x k
q

x k
1

where V1 x k , k x k Px k , T
V 2 x k , k x k 1 S x k 1 ,
T
k 1
V3 x k , k x k 1 i Qx k 1 i ,
T
Fig.1 Structure of Networked Control Systems i 0
V x k , k x k Px k x k 1 S x k 1
T T
By adding (3) and (4) to (5) , (6) can be deduced so .

k 1
x k 1 i Q x k 1 i
T
as Eq.3
x k 1 A BK 11 k x k BK 1 k x k 1 D k
i 0
V x k , k must be positive definite matrices when

z k Ex k
k 0 . The forward difference of V x k , k is
(6)
V x k , k V x k 1 , k 1 V x k , k
x k 1 Px k 1 x k Px k x k S x k
T T T
III. H CONTROLLER DESIGN

x k 1 S x k 1 x k Q x k
T T
For the above system, as a stable state feedback 1T U1 1
553
where 1 x k
T x k 1T x k T T , IV. SIMULATION EXAMPLE

In order to verify the control algorithm performance,
G1T PG1 P G1T PG2 0
twin-spool turbojet engine and temperature control
U1 G2T PG2 S 0 system are introduced as control objective and
Q S corresponding controllers will be designed.

The state-space equation model of twin-spool
When LMIs 8 is established, 9 is establis hed by turbojet engine is,
lemma 1, U1 0 is get, namely V x k , k 0 , so x k 1
2.2937 0.67664 0.5199 1.8318
x k 0.5078 0.6261 u k
(3) satisfies exponentially mean-square stable when 0.048 2.5831 (11)
0.1069 0.155
k 0 . k
0.0767 0.0806
P 0 G1
T
0 1
z k
0
T (9) xk
S 0 G2 P G1 G2 0 0 0.139 0.1045
x k N L N H are low pressure rotor
T
Q S 0 where
revolutions and high pressure rotor revolutions.
Next, the H stability of the system could be
u k W f A8 represents fuel flow and jet nozzle
T
proved. The performance index function

area. k H M a are flight altitude and Mach
T
J zk z k k k is adopted, under zero
T 2 T

number. z k N LT6
k 0 T
are low pressure rotor
initial conditions and k L2 0, ,
revolutions and low pressure turbine temperature [17].

J z k z k 2 k k V x k , k The state transition probability matrix is
T T
k 0
0.6 0.4 based on Markov chain. 1 is defined.
P
2TU2 2 0.3 0.7
T t min -0.18748 could be calculated with Eq.8. Because
where 2 x k
T x k 1T x k T k
T
,
tmin 0 , the linear matrix inequality is resolvable. The
E E G PG1 P
T T
G PG2 G PD G PD
T T T
parameters P 1.4821 0 , 2.9642 0 ,

1 1

2 1
0 Q
GT
PG S 0 0 1.4821 0 2.9642
U2 2 2
Q S 0 1.4821 0 could be obtained. Packet reception
2
S
D PD I
T
0 1.4821
When LMIs (8) is established, (10) is for the first time and the second packet dropout are
established by lemma 1, U 2 0 is get, namely J 0 . assumed in network communication. So 1 0.6 . The
k 2 2
T
From all above, the discrete networked control systems step signal is added from the
satisfies H robust stability under boundary.
D k , namely
initial time, and the control variable is
P 0 0 0 G1T
S 0.1069 0.155 2.0 0.0805
0 GT2

0
PG1 G2 0 D 0.0767 0.0806 2.0 0.001 .
Q S 0 0
(10) The controller parameters K could be solved with the
2I DT
above conditions.
ET 2.9369 11.2492
K
0
I E 0 0 0 0 2.487 3.6802
0
Simulation has been executed and the results are
0 shown as Fig.2 and Fig.3 when the sampled period T is
0.5s.
Based on the proof above, the problem of robust
controller design can be converted into the problem of
solving linear matrix inequality as shown in Eq.8. The
procedure of solving linear matrix inequality is
introduced in [13][14][15][16] which would not be
discussed in this paper.
554
2.7778 0.3049 .
The curve of the low pressure rotor revolutions
0.12
conditions K
2.2222 4.5732
low pressure rotor revolutions
0.1
0.08 Fig.4 and Fig.5 show that the output response of the
0.06
controlled system when the sampled period T is 0.5s.
0.12
0.04
0.1
0.02
0.08
step response
0
0 1 2 3 4 5 6
sampling period 0.06
Fig.2 The low pressure rotor revolutions

0.04
low pressure turbine export temperature
x 10
-3
The curve of the low pressure turbine export temperature
7
0.02
5 0
0 5 10 15 20 25
4 sampling period
Fig.4 The step response of z k

3
1
0.25
0
-1
0.2
-2
-3
0 1 2 3 4 5 6
step response
sampling period 0.15
Fig.3 The low pressure turbine export temperature

0.1
Obviously, the controlled system comes back to

equilibrium position after 8 sampled points and the 0.05
outputs are 0.0805 and 0.0009 respectively.

Furthermore, another plant which is temperature 0
0 5 10 15 20 25
sampling period
control system referred in [18] is introduced in this paper
to validate the control performance. Fig.5 The step response of zk
1 0.1 0.2 0 0.1 0 From Fig.4 and Fig.5, the output of the controlled
x k 1 x k 0.1 0.1 u k 0.1 0.1 k
0.1 0.8 system is equal to the reference input after 20 sampled.
0.41 0.1 The steady-state error is 0.0995 and 0.1995 and can be
z k xk
0.1 0.1 ignored.
(12) As mentioned above, the H state feedback
The state transition probability matrix is controller could guarantee the stability of the networked
0.6 0.4 system with quantization error and packet dropout.
P based on Markov chain. 1 is
0.3 0.7 V. CONCLUSIONS
defined. tmin -0.774941 can be get in solving 8.
Networked control system with packet dropout and
Because of tmin 0 , the linear matrix inequality has a quantization error is established in this paper based on
1.6917 0 H state feedback controller. In order to establish
solution. So P ,
0 1.6917 networked control system model more accurate, packet
dropout is simulated by Markov chain and nonlinear
3.3834 0
, S
1.6917 0
is get. quantizer is adopted. And then Lyapunov function is
Q
0 3.3834
0 1.6917 introduced to convert the system model to linear matrix
Packet dropout for the first time and the second packet inequality. The simulation results prove that H state
dropout are assumed in network communication. So feedback controller can keep controlled system stability.
k 1 1 is
T
1 0.7 is get. The step signal
added in zero initial time, the input signal of the REFERENCE
[1] Xu Xiao-dan, Dong Ling. The feedback control of the
controlled system is D k , namely
cost -guaranteed state of the robust H of network control
0.1 0 1.0 0.1 system[J]. Electronic Instrumentation Customers, 2013,1;
0.1 0.1 1.0 0.2 . The controller [2] Hong Yang, Dimirovski G.M, Jun Zhao. A state feedback

parameters could be solved with the above
H control design for switched fuzzy systems[J]. Intelligent
Systems, 2008,1(3);2 -7
[3] Waleed Al-Azzawi, Marwan Al-Akaidi. Robust stability of
solar-power wireless network control system with stochastic time
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delays based on H -norm[J]. International Journal of Systems
Science, 2015,46(5);896-907
[4] Yugang NiuDaniel W.C.Ho. Control strategy with adaptive
quantizers parameters under digital communication channels[J].
Automatica2014,50;2665-2671
[5] Niu,Y.,Ho,Daniel W.C. Design of sliding mode control subject to
packet losses[J]. IEEE Transactions on Automatic Control,
2010,55(11);2623-2628
[6] Jiang Chong, Zhang Qingling. Markov model and H control
for network control system with random short delay[J]. Systems
Engineering and Electronics, 2008,30;2241-2244
[7] Wen Jiwei, Liu Fei. Receding H control for discrete Markov
jump system[J]. Control Engineering, 2010,17(1);67-70
[8] Tan Fang. Network control system stability analysis based on
quantizer[D]. Masters degree thesis of Hangzhou university of
electronic science and technology,2012.
[9] Dai Jianguo, Cui Baotong. H control for nonlinear network
control system with state quantized[J]. Control and Decision,
2011,26(1);67-70
[10] Wei-Wei CheJian-Liang WangGuang-Hong Yang. H
Control for Network Control Systems with Limited
Communication[J]. European Journal of Control2012,2;103-118
[11] Shun JiangHuajing Fang. H static output feedback control
for nonlinear networked control systems with time delays and
packet dropouts[J]. ISA Transactions201352;215-222
[12] Zhang Zuogang, Wu Huiming. Decentralized robust stabilization
for a class of uncertain time-delay system[J]. Journal of Liaoning
engineering technology university, 2010,29(4);694-696
[13] Yu Li. Robust control: Linear Matrix Inequality approach[S].
Beijing: Tsinghua university press, 2002.
[14] Jocelyn Sabatier, Mathieu Moze, Christophe Farges. LMI stability
conditions for fractional order systems[J]. Computers &
Mathematics with Applications, 2010,59(5);1594-1609
[15] Emilia Fridman, Michel Dambrine. Control under quantization,
saturation and delay: An LMI approach[J]. Automatica,
2009,45(10);2258-2264
[16] Wang Songgui. Matrix Inequalities[S]. Beijing: Science press,
2006.
[17] Xie Guanghua, Zeng Qingfu. Robust H controller design for
Aircraft engine based on LMI[J]. Journal of Aircraft,
2000,21(2);175-178.
[18] Zhou Xia, Qu Baida. Uncertainly discrete networked control
systems with H robust control[J]. Science Technology and
Engineering,2013,13(25);7401-7406
556
Active power filter design for improving

power quality
Junming Xiao, Xiangming Zhang, Shengjun Wen, and Zhengbo Liu
School of Electrical and Information Engineering
Zhongyuan Road No.41, Zhengzhou, 450007, China
Email: wsj@zut.edu.cn
Abstract: The paper design a current control based active power strongly depend on the accuracy of reference signal and its
filter (APF) for improving power quality by reactive power speed of computation.
compensation and harmonic filtering. The designed APF is based Over the past three decades, significant efforts and progress
on a voltage source inverter (VSI), where the VSI is controlled by has been made in the area of power system harmonic analysis.
two loops, the voltage control loop and the current control loop.
Harmonic study is becoming an important aspect of power
The voltage control loop is used to regulate the DC link capacitor
voltage of the VSI. Via triangular wave control, the current control system analysis and design [6], in order to shape the more
loop is used to produce a tracking PWM signal to shape the harmonic current such that it is in-phase with the same shape
harmonic current such that it is in-phase with the same shape as as the input voltage. Such as the dq0 detecting method, it is
the input voltage. The major advantage of the proposed APF is to widely used in the harmonic analysis active power filters.
search the reference current for improving power quality by using To search the more reference signal, it is necessary to do
dq0 detecting method. Simulation results are given to validate the detailed harmonic study of the load and the APF in the power
proposed scheme. From the results, it shows that the reduction system network. The power electronic of the APF generates
of %THD is better in power system networks. the harmonics. So removing the harmonic, the reference
Keywordsactive power filter; voltage source inverter;
current signal selects the fundamental current of the load
triangular wave control; harmonic current; dq0 detecting method; current. The proposed current controlled shunt APF is shown
fundamental current ;THD in Fig. 1. There are two control loops, the voltage control loop
and the current control loop.
1. INTRODUCTION
With increasing use of power electronic equipment, which Nonlinear
Load
represent nonlinear loads, has caused many disturbances in the
quality of power. Moreover, the harmonics generated by the L
nonlinear loads pollute, and harmonics in a power system Vs
caused by highly nonlinear devices degrade its performance. R Dq0 Detecting

As a result poor power factor, weakening efficiency, C
Method
overheating of motors and transformers, malfunction of Isc
sensitive devices are encountered [1-2]. Harmonic distortion PI Current Low Pass
can be suppressed using harmonic filters in power distribution Controller Controller Filter
systems [3]. There are two types of the harmonic filters Ifc Vc
PI Vcref
passive and the active Power filters. The passive filtering is Controller
the simplest conventional solution to mitigate the harmonic
distortion. But these provide either over- or under-
compensation of harmonics, whenever a load change occurs.
In order to overcome these problems, active power filters Fig. 1 Current controlled based shunt APF
(APFs) have been developed [4]. Recently the power The voltage control loop regulates the average value of the
electronic development spurred the interest in IGBTs, DC link capacitor voltage (Vc). The sensed DC link capacitor
MOSFETs, etc. [5] and then APFs are developed voltage is sent to a low pass filter (LPF) to remove the ripples
incorporating power electronics technology to support the present in it. The stable voltage is obtained by comparing with
needs of industry. Active power filter has been recognized as a a reference DC voltage (in this paper, VCref =800V) and the
viable solution. There is a need to design an active power filter, error is fed to a PI controller. To derive the reference current,
which is capable to maintain the THD well within the IEEE the fundamental current of the harmonic current is got by the
norms, under variable load conditions. In APF design and dq0 detecting method, in other words, the fundamental current
control, calculation of compensation current and reference is as the reference current. The derived reference current is
signal generation is main task. Filtering characteristics compared with the source current in the current control loop
978-1-4673-7995-3/15/$31.00 2015
c IEEE 557
for generating gate signals for the switches of the voltage load. In such conditions, the capacitor supports the load
source inverter (VSI) [7] of the APF. In Fig. 1, Ifc is the demand for the half period of the supply frequency. The DC
fundamental current; Isc is the source current; Vcref is the given link capacitor value is calculated from the energy balance
voltage for the DC link capacitor voltage. principle. The energy stored in capacitor is equal to the energy
demand of the load during the transient period. This
2. DESIGN OF HARMONIC FILTERING UNITS assumption after simplification gives the expression for
2.1.Design of VSI calculating the value of DC link capacitor [8], C as
The VSI of a single-phase current controlled shunt APF is

shown in Fig.2. The VSI is controlled to produce a
Vc Id
+ + I d
- PI Controller
+ Low Pass
I fa
Vcref Filter dq0_to_abc
fb fc
Transformation
Iq
Fig.3 Voltage controller diagram
fundamental terminal voltage in-phase with the AC system

2SVs is
voltage. The magnitude of the inverter terminal voltage C 2 1 2 (1)
depends on the DC link capacitor voltage (Vc). By controlling w V V
the gate signals of the switches, the inverter terminal voltage c c , min
can be made to lag or lead the AC system voltage, so that real where Vc,min is the desired minimum capacitor voltage. In
power flows into or out of the inverter circuit. practice(C=5000mF), a slightly higher capacitance value is
selected to take care of the capacitor losses.
+
S1 C1 2.3. Dq0 detecting method
Ia In a three phase system of non-linear load current should
L contain active, reactive and harmonic components [9-10]. To
R isolate these reactive and harmonic current components for
Vc
compensation, require to transform the 3-phase line currents
Vs S4 C2 into stationary 2-phase orthogonal coordinate plane. The
instantaneous load currents are transformed into the stationary
- - axis by using Clarke transformation. The - components
of the current quantities are transformed to the rotating
Fig. 2 Voltage source inverter synchronous dq reference frame by using park equations,
For the voltage source inverter, there are the following 2S 2S
cos( wt ) cos( wt ) cos( wt )
circumstances: I d 3 3 I a (2)
di 2 2S 2S
I q sin( wt ) sin( wt ) sin( wt ) I b
S4 = on ica 0, ca 0,Vc1 n,Vc 2 p 3 3 3
I
dt 0 1 1 1 I c
2 2 2
dica
S1 = on ica 0, 0,Vc1 n,Vc 2 p In order to get the fundamental current, the d-axis and q-axis
dt will be implemented through a Low Pass Filter (LPF), so there
S1 = on ica 0,
dica
0,Vc1 p,Vc 2 n are I d and

I q . Inverse t ransformation is given by
dt

di I fa sin( wt ) cos( wt ) 1 I d
S4 = on ica 0, ca 0,Vc1 p,Vc 2 n (3)
dt 2S 2S
I fb sin( wt ) cos( wt ) 1 I q
I 3 3
where Vc1 = VC2; Vc1 + Vc2 = Vc .
fc sin( wt 2S ) cos( wt 2S ) 1 0
2.2. Design of DC link capacitor 3 3
The DC link capacitor supplies or absorbs energy, whenever
there is a sudden change in the active power demand of the
558
IL I hc + I vc
PI Controller VSI
-
I fc
dq0
Transformation
Fig.4 Traditional current controller diagram
IL dq0 I hc + I vc
Transformation
PI Controller VSI
-
Fig.5 Proposed current control diagram
Fig.6 Simulation circuit of three-phase shunt APF using the traditional current control loop
Fig.7 Simulation circuit of three-phase shunt APF using the new current control loop
559
where Ifa, Ifb and Ifc are the fundamental current from the
harmonic study of the load, considered the reference current.
(a)
(b)
Fig. 8 Simulation circuit of traditional current control
3. DESIGN OF CONTROLLER
3.1. DC-voltage regulation (c)
Fig. 9 simulated wave forms with reference to simulation circuit
In order to maintain the dc-voltage, the d-axis harmonic of Fig. 6 ; (a):I(L) load current; (b):I(red) the harmonic current

reference current I d must be added with the dc-component of from calculating of dq0, I(blue) the VSI driving the harmonic
current ;(c): I(s) source current.
of the dc-voltage. Before inverse dq0 transformation current

( I d = I d + I dc ) , I dc is from Low Pass Filter (LPF) of I dc , 2) The proposed current controlled shunt APF is got by
I dc is controlled by PI-compensator [11]. However, the current using the new current control loop.
4.1. Results of traditional current control
I q does not contribute for the active power to maintain the dc-
The simulation circuit of three-phase shunt APF with diode
voltage. It is shown in Fig.3.
3.2. Design of current controller
1) Increasing use of nonlinear loads, in a distribution
network has caused many disturbances in the quality of power,
and harmonic pollution is dynamics with the load change. The
traditional current control loop cannot better eliminate the
harmonic pollution. It is shown in Fig.4.
From Fig.4, I L = I fc + I vc . But in practice, there are
nonlinearity and uncertainty factors in the power system and
the VSI, so I vc I fc + I vc , where I L :the current of
load ; I hc :the harmonic current, I hc = I L - I fc ; I vc :the VSI drive Fig. 10 THD (%) of source current wave
the compensable harmonic current .
2) In ideal conditions, the source current of through a active
power filter equals the fundamental current ( I fc = I sc ) . So the
I fc is considered as the reference current. It is shown in Fig.5.
4. SIMULATION RESULTS
Three-phase shunt APF with diode rectifier feeds an RL
load. The proposed current controlled shunt APF has been
simulated by using MATLAB for a 220 V, 50 Hz AC system.
1) The proposed current control shunt APF is given by
using the traditional current control loop. Fig. 11 Voltage wave of the DC link capacitor voltage
rectifier feeding an RL load is shown in Fig. 6 by traditional
current control. R1load =10, Cload =1000. The circuit of
560
HB1 is shown in Fig. 8. HB1 is used to generate gate signals performance of the harmonic current of the Fig.13 is better
for the IGBTs. The harmonic current is controlled by than the dynamic tracking performance of the harmonic
triangular wave to generate PWM. current of the Fig. 9. So, the new current controller can
The simulated wave forms of Fig. 6 are shown in Fig. 9, improve the power quality.
where I(RL) is the load current, I (S)is the source current,
I(VSI)is the current supplied by APF . THD (%) of current 5. CONCLUSION
source wave is shown in Fig.10 and Fig. 11 shows the voltage In the three-phase power grid, when connecting the APF,
wave of the DC link capacitor voltage. the current of the source is distorted such that a new reference
4.2. Results of proposed current control needs to be selected. By selecting the fundamental current as
the reference current, a current control based APF is designed
The simulation circuit of three-phase shunt APF with diode to improve the power quality, where the reference current in
rectifier feeding an RC load is shown in Fig. 11 by the new the proposed APF is generated by calculating the reactive
current control. current drawn by the load. Simulations are carried out for
The simulated wave forms of Fig.12 are shown in Fig. 13, three-phase current controlled shunt APF by selecting
where I (RL) is the load current, I is the source current, I (VSI) different types of the reference current. Results show that the
is the current supplied by APF. THD (%) of source current proposed current controller is better to improve the power
wave is shown in Fig.14. quality.
REFERENCES
[1] Subjak Jr JS, Mcquilkin JS. Harmonics-causes, effects, measurements,

analysis:an update. IEEE Trans Ind Appl, 1990, 26:103442.
[2] IEEE Task Force on Harmonics Modeling and Simulation. Modeling
and Simulation of the Propagation of Harmonics in Electric Power
(a) Networks, Part 1& 2. IEEE Trans Power Delivery 1996, 11(1):452-474.
[3] Peng FZ. Harmonic sources and filtering approaches. IEEE Ind Appl
Mag, 2001, 7:1825.
[4] Hafner J, Aredes M, Keman K. A shunt active power filter applied to
high voltage distribution lines. IEEE Trans Power Delivery, 1997,
12:266272.
[5] Moran L, Mahomar J, Dixon J. Selecting the best point of connection
(b) for shunt active filters in multi-bus power distribution systems. In:
Conference record of the industry applications conference; 2002,
3:17031709.
Fig. 13 simulated wave forms of Fig. 12 ; (a):I(red) the harmonic current
[6] Corasaniti VF, Barbieri MB, Arnera PL, Valla MI. Hybrid active filter
from calculating of dq0, I(blue) the VSI driving the harmonic current ;(b): I(s)
for reactive and harmonics compensation in a distribution network.
source current.
IEEE Trans Ind Electron, 2009, 56(3):670677.
[7] Massoud AM, Finney SJ, Williams BW. Control techniques for
multilevel voltage source inverters. In: IEEE proceedings on power
electronics specialists conference, 2003,1:171176.
[8] R. Mahanty, Indirect current controlled shunt active power filter for
power quality improvement,Electrical Power and Energy Systems, 2014
62:441449.
[9] B.Bahrani, S. Kenzelmann, A. Rufer, Multivariable-PI-based dq current
control of voltage source converters with superior axis decoupling
capability, IEEE Trans. Ind. Electron, 2011, 58 (7):30163026.
[10] M. Milosevic, Decoupling Control of d and q Current Components in
Threephase Voltage Source Inverter, Tech. Rep., Technical Report, ETH
Zurich, 2003.
[11] Marzoughi A, Imaneini H, Moeini A. An optimal selective harmonic
mitigation technique for high power converters. Int J Electr Power Enery
Fig. 14 THD (%) of source current wave Syst 2013, 49:3439.
4.3. Analysis on simulation results
In simulate circuits of Fig.6 and Fig.12, the PI parameters of
the current controller is equal. From Fig. 9 and Fig.13, it can
be seen that the source current is distorted at the instant of
connecting the APF. So I vc I fc + I vc , I hc cannot be as the
reference current. However, it does not affect the performance
of APF and the source current becomes sinusoidal after
connecting the APF. From Fig. 14 and Fig. 10, THD of Fig. 14
is lower that THD of Fig. 10. Moreover, the dynamic tracking
561
Fractional PID based stability control for a single

link rotary inverted pendulum
Wudai Liao1, Zhengbo Liu1, Shengjun Wen1, Shuhui Bi and Dongyun Wang1
1
School of Electrical and Information Engineering
Zhongyuan Road No.41, Zhengzhou, 450007, China
Email: wsj@zut.edu.cn
2
School of Control Science and Engineering
University of Jinan, Shandong, 250022, China
Abstract: Fractional order based stability control for the which represents the dynamics of the real system more
system of the single link rotary inverted pendulum is exactly.
presented. The mathematical model is derived using Combined with the PID control which is the most
Lagrange Equation and the G-L fractional calculus. widely used in control theory, the fractional order PID
O
Then the integer order PID controller and fractional u
( PI D ) controller [5] was firstly introduced by Podlubny
order PID controller are designed respectively. Under the in 1999. The dynamic response of fractional order control
condition of the same parameters K P , K I and K D , the system was accurately analyzed and the better performance
integrator of order O and a differentiator of order P of used for fractional order objects also was proved.
O u
the fractional order PID controller are adjusted The PI D controller not only has the three
adaptively. Finally, comparing with the integer order PID parameters K P , K I , K D existed in traditional PID
controller, the results show the system of fractional order controller, but also possesses another two adjustable
PID controller is more quickly swigged, and the stability
parameters (integral order O and differential order P ), thus
control performance is more effective.
they provide more flexibility in the controller design. Many
O u
Keywordsrotary inverted pendulum; G-L fractional calculus; researchers have studied the robustness of PI D controller
fractional order PID controller and its applications in different levels, such as the
O u P
designing of PI D and PD [6,7] controller at a given
1. INTRODUCTION phase margin and gain margin amount, stability analysis of
As a high-order, multi-variable, non-linear, strong fractional order PI and PID controller [8], as well as
coupling and unstable system, the inverted pendulum fractional order controller design for the automatic voltage
system is a favorite experimental objective in control regulator system[9]. Fractional order PID controller can
system labs, has been the focus of control theory [1, 2]. At achieve better control effectiveness. So, fractional PID
present, the research on inverted pendulum are mostly based stability control is considered for a single link rotary
concentrated in the linear inverted pendulum system, and inverted pendulum
the study of link rotary inverted pendulum is less.
Compared with the traditional linear inverted pendulum, 2. MODELING OF LINK ROTARY INVERTED
annular inverted pendulum with three degrees of freedom, PENDULUM
overcome the route restrictions, is checking various control
theory and more ideal control system [3, 4]. For the The rotational inverted pendulum consists of a
inverted pendulum system, the traditional PID control rotational servo motor system which drives an independent
effect could hardly achieve ideal control effect, so this output gear. A rotational inverted pendulum length of the
paper introduces the fractional order PID control. connecting rod l1 and mass m is mounted to the output gear
Fractional calculus is a generalization of integer orders and the length of the pendulum rod is 2l2 (as shown in
calculus and it extends regular integer orders to non-integer Fig.1). The pivot arm rotates in a horizontal plane XY by
orders case. Compared to classical integer calculus, means of a servo motor and must be moved in such a way
fractional calculus computationally requires large memory that the pendulum, which rotates in a plane XZ that is
978-1-4673-7995-3/15/$31.00 2015
c IEEE 562
always perpendicular to the rotating arm, is in the upright x l1sinT1 - lsinT 2cos T1
position.
In Fig.1 the inverted pendulum is displaced from the y l1cos T1 lsinT 2sinT1
upright position, where T1 denotes the angle of the pivot z lcos T 2 (1)
arm, T 2 dot and T1 dot are the angular velocities of the
The kinetic energy dT of a short length dl is
inverted pendulum and pivot arm. The parameters T 2 and
x2 x2 x2
T1 are the generalized coordinates that describe the inverted 1 dl 1 dl
dT m
2 x y z m2
pendulum system. And physical parameters of rotary 2 2l2 2 2l2
inverted pendulum as shown in Table 1. x2 x2 x2 x x
l12 T 1 l 2 T 2 l 2 T 1 sin 2T 2 - 2l1 L T 1 T 2 cosT 2 (2)
z The kinetic energy Tm2 of Pendulum is
2l2 1 x2
m 2l1 T 1
2
Tm 2 dT
y dl 0 2
T1 x2 x2
2 2 x x
2l2
m 2l22 T 2 m 2l22 T 1 sin 2T 2 - m 2l1l2 T 1 T 2 cosT 2
l1 3 3 (3)
T 2 l2
x The kinetic energy Tm1 of connecting rod is

x2
1 1
m1l12 T 1
2
Tm1 J1W1
2 6 (4)

The kinetic energy Tm3 of mass is
Fig.1. Structure of the rotary inverted pendulum
1 x2
Parameter Definition Size

Tm3 m3 L1 T 1
2
2 (5)
The mass of The total kinetic energy of system is
m1 kg Connecting rod 0.2340
T Tm1 Tm 2 Tm3
The mass of x2 x2 x2
m2 kg Swinging rod 0.1323 1 1 2
m1l12 T 1 m 2l12 T 1 m 2l22 T 2
6 2 3
2 x2
m3 kg The mass block 2 x x x 1
0.1780 m 2l22 T 1 sin 2T 2 - m 2l1l2 T 1 T 2 cosT 2 m 3l12 T 1
3 2 (6)
The length of In connecting rod horizontal position of zero potential
l1 m connecting rod 0.2210
energy, so the system of the potential energy is equal to the
potential energy of Pendulum.
Pendulum
l2 m Centroid distance 0.1975
V Vm1 Vm 2 Vm3
of the axis
0 m2gl 2cosT 2 0 m 2gl2cosT 2 (7)

g mxs 2
Acceleration of
gravity 9.8 The Lagrangian is L T V . The generalized
coordinates of system is q ^T1 , T 2 ` . As there is no
Table 1 Physical parameters of rotary inverted pendulum
external force on the generalized coordinate T 2 , namely,
The establishment of the inverted pendulum motion
d wL wL
Fi i 1,2
equation and the analysis methods mainly include the
Newton-Euler method and Lagrange method. From the
dt w qx wqi
pendulum rod rotation distances as L take a short, the i
coordinates for a short length dl is
563
d wL wL D 1
0 Z0(D ) 1, Z (jD ) (1 )Z (jD1) , j 1, 2, (12)
dt w Tx wT 2 j
2
x2 x2 x2
By introducing notion of the fractional order operator
1 1 2
L T V m1 L12 T 1 m 2 L12 T 1 m 2 L22 T 2 aDtD f (t ) , the differentiator and integrator can be unified.
6 2 3
2 x2 x x 3.2 Solution of fractional calculus linear equations
m 2 L22 T 1 sin 2T 2 m 2 L1 L2 T 1 T 2 cosT The general form of fractional order linear equations
3 of calculus
2 1 cos T 2
- m1gL1 - m 2 gL m 3gL 3 E n1
(8) an DtE n y (t ) an 1 Dt y (t )
So, E
(13)
a1 Dt 1 y (t ) a0 DtE 0 y (t ) u (t )
xx 3 xx
T2 2
m 2l1l2 T1 cosT 2
where E n ! E n1 ! ... ! E1 ! E0 ! 0 and u t can consist of a
4m 2 l2
x2
function and its fractional order differential.
4
m 2l22 T 1 sinT 2 cosT 2 m 2 gl2sinT 2
3 u (t ) bm DtD m x(t ) bm 1 DtD m1 x(t )
xx x x xx (14)
T2 f1 (T1 , T 2 , T 1 , T 2 , T 1 ) (9) b1 DtD1 x(t ) b0 DtD 0 x(t )
When taking the equilibrium position, the initial value
of each variable is 0, the above formula in the equilibrium Assume that the function y t with zero initial
position Taylor series expansion and linearization, and the conditions, the equation (13) can be Laplace transform
xx
use of angular acceleration as input u T1 )inally the
system transfer function is got. Y ( s) bm sD m bm1sD m1 b1sD1 b0 sD 0
G( s)
Y ( s) 3l1 0.8392 U ( s) an s E n an1s E n1 a1s E1 a0 s E0
G( s)
U ( s) 4l2 s 2 3g s 37.2152
2
(10)
(15)
3. THE DESIGN OF CONTROLLER Gs is the Fractional order transfer function.
3.1 The definition of fractional calculus By the definition of fractional calculus G-L (11),
Fractional order PID controller is an extension of the discrete method can be rewritten as
[( t a ) / h ]
1
a Dt y t | Z (jD ) yt jh
integer orders PID controller, where the integral and D
differential order are extended to fractional domain, and the hD j 0
orders of integral and differential can be any real number >t a / h @ (16)
1
[10].
h
y
D t
Z Dj yt jh
In the fractional order PID controller, the most
j 1
important point is the definition of the fractional calculus In the formula (13), the numerical solution of
which is definite by Grunwwald-Letnikov (G-L). differential equation can be directly deduced.
>t a / h @
D
1
a Dt f t 1 j f t jh
D j
lim 1 n
Di [( t a ) / h ]
h o 0 hD
j 0 yt [ut Z (j E ) y(t jh ) ]
i
(17)
n
Di h Ei
1 [( t a ) / h ] (11)
hE i 0 j 1
|
hD
Z (jD ) y(t jh ) i 0
i
j 0
In the Eq.17, h is the step and Z jE can be calculated
i
D
Among Z jD 1 j
are the coefficients of the by the following formula
j Ei 1
polynomial of function 1 z . The coefficient can be
D Z0( E ) 1, Z (j E )
i i
(1 )Z (j E1i ) , j 1, 2, (18)
j
calculated by the following formula
So the differential values of the input signal u t can
be calculated.
564
3. 3 The fractional order PID controller Finally, get their control response comparison chart, as
Combined with the PID control which is the most shown in Fig.3.
widely used in control theory, the fractional order PID
O u
( PI D ) controller was firstly introduced by Podlubny in
Fractional order PID controller
1999. The dynamic response of fractional order control
system was accurately analyzed and the better performance
used for fractional order objects also was proved. Proportional K
The PI O D u controller not only has the three
Gc(s)
parameters K P , K I , K D existed in traditional PID e(t) Integral I O
u(t)
G(s)
y(t)
controller, but also possesses another two adjustable _
Model object
parameters (integral order O and differential order P ), thus u
Differential D
they provide more flexibility in the controller design.
As one of the most common form of fractional order
PID controller, the PI O D u controller, involving an
additional integrator of order O and a differentiator of Fig.2 Structure of fractional order PID controller
order P could be expressed as Eq.19
Ki 1.15
Integer order PID control response
Gc ( s) Kp O
Kd s P (O , P ! 0) (19) Fractional order PID control response
s 1.1
1.05
The control variable u(t) can be expressed in the time
domain as angle(rad)
1
0.95
u(t ) K p e(t ) K i D O e(t ) K d D P e(t ) (20)
0.9
Clearly, if O 1 , P 1 , a classical PID controller can 0.85
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2

be recovered. Through tuning parameters reasonably, the time(s)
O P
control performance can be improved by PI D controller. Fig.3 Control response comparison chart of
The advantage lies in the fact that the controllers are less
sensitive to the changes of parameters of a controlled Integer order PID and fractional order PID controller
system [11].
By comparing the simulation results, we can see that
4. SIMULATION RESULTS the fractional order PID controller have smaller overshoot,
Through the formula (19) we can know that shorter setting time and smaller steady state error. Under
when O 1 , P 1 , this is a classical PID controller. Visible, the condition of the same parameters K P , K I and K D , the
integer order PID controller is a special circumstance of fractional order PID controller possesses another two
fractional order PID controller. In this paper under the adjustable parameters (integral order O and differential
condition of the same parameters K P , K I and K D , and then order P ). If the setting range is larger, more flexibility in
the controller design is provided, and better control
to adjust the integrator of order O and a differentiator of
effectiveness can be got.
order P of the fractional order PID controller to compare
their control response effect. The design of fractional order 5. EXPERIMENT RESULTS
PID controller is shown in Fig.2.
Through the above algorithm of fractional calculus, According to the front pendulum determined
then fractional order PID controller can achieve by the mathematical model, using Simulink to build a circular
Matlab. In this paper under the condition of the same single-stage inverted pendulum system mode and
parameters K P , K I and K D .In here we take the K P =3, packaging, and the real-time control module are shown in
Fig.4.
K I =2, K D =0.1, and then to adjust the integrator of order
O and a differentiator of order P of the fractional order
PID controller, finally we take the O =1.5and P =0.98 .
565
It can be seen from Figs. 5, 6 that the Inverted
pendulum can be stability controlled in the
vertical direction and keep small amplitude oscillation.
6. CONCLUSION
In this paper, by using the definition of fractional
calculus G-L, numerical solution of differential equation
can be directly deduced. Then this algorithm is used to
design fractional order PID controller. Under the condition
Fig.4 Real-time control program of rotary inverted pendulum
of the same parameters K P , K I and K D , adjust the
Annular single-stage inverted pendulum real-time
control experiment carried out in Simulink environment. integrator of order O and a differentiator of order P of the
Open inverted pendulum system real-time control module, fractional order PID controller to get best control
put the parameter into the fractional PID controller module performance. By comparing the integer order PID
k p 3, ki 2, kd 0.1, vd 0.98, vi 1.5 . Then click edit controller, the fractional order PID controller has two more
control parameters. Finally, the results show that if the
program. After the success of the editor click "Connect To setting ranges of the controller parameters are larger, the
Target", then click on "Start real - time code". Manually lift controller can be more flexible, and better control
up the pendulum, you can get the output waveform of real- performance can be got. So the system of fractional order
time control shown in Fig.5 and Fig.6. PID controller is more quickly swigged, and the stability
0.5 control performance is more effective.
0.4
REFERENCES
0.3
0.2 [1] Pujol G, Acho L. Stabilization of the fourth pendulum with backlash
0.1 using H-LMI technique: Experimental validation. Asian Journal of
angle(rad)
Control, 2010, 12(4): 460-467.

0
[2] Noh J S, Lee G H, Jung S. Position control of a mobile inverted
-0.1 pendulum system using radial basis function network. International
Journal of Control, Automation, and Systems, 2010, 8(1):157162.
-0.2
[3] Yang J H, Shim S Y, Seo J H,et al. Swing-up control for an inverted
-0.3 pendulum with restricted cart rail length. International Journal of
-0.4
Control, Automation, and Systems, 2009, 7(4): 674680.
[4] Park M, Kim Y J, Lee J J. Swing-up and LQR stabilization of a
-0.5
0 5 10 15 20 25 30 rotary inverted pendulum[J]. Artificial Life and Robotics, 2011,
time(s) 16(1): 9497.
O P
[5] Podlubny I. Fractional-order systems and PI D controllers[J]. IEEE
Fig.5 Actual output curves of connecting rod Transactions on Automatic control, 1999.
[6] Sanjoy D, Lalit C S, Nidul S. Automatic generation control using two
degree of freedom fractional order PID controller. Electrical Power and
4
Energy Systems, vol. 58, 2014.
3.5 [7] Richa S, K.P.S. Rana and Vineet K. Performance analysis of
fractional order fuzzy PID controllers applied to a robotic manipulator.
3 Expert Systems with Applications, vol. 41, 2014, pp. 4274-4289.
[8] Morteza M. A genetic-multivariable fractional order PID control to
2.5 multi-input multi-output processes. Journal of Process Control, vol. 24,
angle(rad)
2014, pp. 336-343.

2
[9] Zhang D., Tang Y. and Guan X.. Optimum Design of fractional order
1.5
PID controller for AVR system using an improved artificial bee colony
Algorithm. Acta Automatic Sinica, vol. 40, no. 5, 2014.
1 [10] Xue D., Zhao C and Chen Y.. Fractional order PID control of a DC-
Motor with elastic shaft: A Case Study. Proceedings of American
0.5 Control Conference, 2006.
O P
[11] Reyad E K. Fractional-order PI D controller design.
0 Computers and Mathematics with Applications, vol. 66, pp. 639-646,
0 5 10 15 20 25 30
time(s) 2013.
Fig.6 Actual output curves of swinging rod
566
Design of the Automatic Sample Preparation System
Xin Fu, Shimin Wei*, Yong Liu, Ming Hu, Songming Cao
Automation School
Beijing, China
Email: wsmly@bupt.edu.cn
AbstractThis paper introduces a kind of automatic device whole air analysis work automatically. The virtual assembly
(Automatic Sample Preparation System), which implements the of ASPS is shown in Fig. 1.
function of automatic sample preparation. The components and
design principles of the device are described in detail. The device
consists of the membrane feeding system, the x-y-z manipulator
and the boxes feeding and retrieving mechanism. The design
principles mainly involve tension control and the avoidance of
slippage.
Key Words: automatic sample preparation, membrane, ten-
sion control, slippage
I. I NTRODUCTION
With the rapid development of society, people pay more
attentions to the health problems caused by air pollution.
The air pollution mainly includes two kinds of pollutions: Fig. 1. Virtual assembly of ASPS.
gaseous pollution and aerosol pollution[1]. Although the con-
tent of aerosol is few in earths atmosphere, its impact on
the biosphere and geosphere should not be underestimated. Here is the work ow of how membrane is processed, as
Nowadays, the membrane[2] is widely used in collecting the shown in Fig. 2.
aerosol. After being collected, membrane should be prepared
to samples for detection. Considering that the air monitoring
station is usually remote, it is urgency to automate the aerosol
monitoring process. Automatic sample preparation is the vital
link, which is a gap in China by now.
In this paper, the Automatic Sample Preparation System
(ASPS for short) is introduced. The ASPS is expected to save
considerable human resource and raise the efciency of aerosol Fig. 2. The work ow.
detection. On the other hand, ASPS can offer a reference for
other automatic equipments that deal with papyraceous stuff.
II. T HE CONSTRUCTION OF ASPS A. The Membrane Feeding System

The ASPS is designed to implement the following func- The membrane feeding system can implement the follow-
tions: ing functions:
Feeding membrane automatically and sequentially; Unreeling the membrane web;
Cutting membrane; Transporting the membrane precisely;
Pilling up the cutted membrane sample tidily into a Holding the membrane rmly;
box and putting the lid on;
Recovering the waste of membrane.
Transporting the boxed membrane samples;
The membrane feeding system consists of reel assembly,
Retrieving the boxed membrane samples. three sets of roller, vacuum absorbing platform and automatic
shredder. Fig. 3 shows the details of the components.
According to the above functions, for convenience, the
ASPS is roughly divided to three subsystems: the membrane 1) The reel assembly: The reel assembly refers to the HP
feeding system, the manipulator and the box-lid feeding and Designjet 510. It provides an easy way to change the web
retrieving unit. The interfaces to high volume air sampler and of membrane. Two round steel plates with holes in the edge
laboratory quality material detector are reserved, that is, the are added to the plugs made of plastic, which allows the larger
ASPS can easily cooperate with those devices to complete the web of membrane in diameter installed. Moreover, by detecting
978-1-4673-7995-3/15/$31.00 2015
c IEEE 567
slippage between the rollers and the membrane. The slip-
phenomenon will be discussed in subsection 5). The driving
roller is connected to a stepping motor by a coupling, and 1
stands for the linear speed of the roller.
Fig. 3. The membrane feeding system. (I)unreeling section. (II) Fig. 4. The roller-set-1. 1) the driving roller. 2) the driven roller
sampling section. (III) cutting section. (IV) recovering section. 3). the cam-spring mechanism. 4) stepping motor.
(1) reel-stand. (2) stepping motor 1. (3) roller-set-1. (4) roller-
set-2. (5) stepping motor 2. (6) cutting platform. (7) roller-set-
3. (8) auto-shredder. (9) synchronous belt drive.
The roller-set-2 has the same structure as the roller-set-1,
except that the driving roller has protrusions on its surface.
There is further description about the usage of protrusions in
the holes in the edge of the round plate with a hall angular subsection 5). The linear speed of the driving roller is denoted
displacement transducer and recording the time interval of two by 2 .
adjacent holes, the rotational speed of the reel (denoted by r ) The roller-set-3 consists of a sponge-layered roller and a
can be measured. The speed of transportation of the membrane metal plate[3]. It is the last link of the transportation chain, and
is decided by the driving motor, which is a known quantity, its only task is to provide some tension to keep the membrane
denoted by r . even. Given this fact, the roller-set-3 is designed as simply as
r = 2r /r possible. The driving roller is connected to the driving roller
r stands for the diamater of the web. Considering that the of the roller-set-2 by the synchronous belt drive with a drive
diameter of the paper tube (denoted by t ) is a known quantity, ratio denoted by . The minimum linear speed of the contact
the length of membrane (denoted by ) is derived from the surface between the driving roller and the plate is denoted 3 .
following equations. The value of is given to guarantee that 3 >2 .
3) The vacuum absorbing platform: The vacuum absorbing
= (t + ) + (t + 2 ) + + (t + n )
platform, located between the roller-set-2 and the roller-set-
r t 3, implements the function of holding the membrane still
n= before and especially after the cutting operation. There are six
2
independent absorbing units in the platform, consisting of six
n is the number of coils, is the thickness of the membrane. centrifugal fans, six corrugated pipes, a metal plate with arrays
The value of provides the information of when to change of holes(1.5mm in diameter) and the rubber mat, as shown in
the web of membrane, which is signicant for equipment being Fig. 5. Before the cutting operation, the suction presses the
unattended. membrane close to the metal plate, which is necessary for
precise cutting. On the other hand, the suction can prevent the
2) The roller sets: As shown in Fig. 3, there are three sets cutted square membrane samples from being disturbed by the
of membrane feeding rollers, which implement the function cutting force or the internal stress of the membrane. The shape
of precise and sound transportation of the membrane together. of the rubber mat matches the path of the membrane cutting
The method of transportation is such that the membrane is so that the blade can be protected.
pinched with two rollers.
4) The auto-shredder: The auto-shredder is retted from a
There are four same driven rollers coated with rubber in manual shredder, which implements the function of recovering
roller-set-1, and each driven roller is connected to the cam- the waste of the membrane. It is an economical way to deal
spring mechanism, as shown in Fig. 4. The cam-spring mech- with the waste of the membrane. The main part of the shredder
anism is redesigned based on the paper pressing mechanism is a pair of contrarotating paper combs, whose length is slightly
used in printing machine, which has the advantage of less greater than the width of the membrane.
space occupation. Moreover, all cams are connected to the
5) The principle of precise transportation of membrane:
same steel shaft with a removable crank, which implies that the
The precise transportation of the membrane is the base of
driven rollers can be lifted up uniformly by a single operation
the whole system. There are two fatal factors that affect the
of turning the crank manually. It provides much convenience
precise transportation of the membrane: slip-phenomenon and
to adjust the position of the unreeled membrane for the rst
the membrane tension.
time the worker feeds the membrane. The normal load can
be adjusted within a small range by turning the screw on the The common rollers, like rubber-roller, aluminium-roller
spring, which provides a way to compensate the mechanical and emery-roller, which are usually used in printing press,
error. The driving roller has glossy surface, which allows copycat and printer, have these disadvantages: weak adhesion,
568
is controlled in each section (the division of sections refers to
Fig. 3) follows.
The unreeling section . The tension in this section depends
on the pivoting friction torque of the reel, which no doubt is
proper.
The sampling section. The tension in this section depends
on the friction between the membrane and the driving roller of
the roller-set-1. The friction, which comes from the velocity
difference (2 1 ) between the roller-set-1 and the roller-set-
2, can be easily adjusted to a proper value.
The cutting section. The tension in this section depends on
the friction between the membrane and the driving roller of
Fig. 5. The vacuum absorbing platform. 1) centrifugal fan. 2) the roller-set-3. The friction, which comes from the velocity
corrugated pipe. 3) metal plate. 4) rubber mat. difference (3 2 ) between the roller-set-1 and the roller-set-
2, can be easily adjusted to a proper value.
the recovering section. The auto-shredder cooperates with
a photoelectric sensor to avoid getting the membrane teared
low wearing quality, and severe slip-phenomenon. All of the or creased. The photoelectric sensor detects the status of the
disadvantages lead to low precision of transmission. Therefore, membrane, bent or even relatively. The auto-shredder will start
the steel-sting-roller is adopted, which conquers all of the or stop according to the signal from the photoelectric sensor:
disadvantages. There are steel stings with even division and bent, start; even, stop.
equal height on the surface of the steel-sting-roller. The micro
view of the surface refers to Fig. 6. The paper[4] describes the In conclusion, solutions to avoid the slip-phenomenon and
slip-phenomenon and relative experiment results in detail. It to keep moderate tension are put forward, which will guarantee
proves that the amount of the slip-phenomenon can be reduced enough precise transportation of the membrane.
to the acceptable threshold when these factors, including the
hardness of rubber, back tension and normal load, are well B. The manipulator
controlled. As subsection 1) described, the driving rollers of The manipulator implements the functions of cutting the
the roller-set-2 is the steel-sting-roller. The hardness of rubber membrane into samples in square shape and packaging the
and the normal load are congured as the paper[4] advised, and samples. It consists of the cartesian robot, the cutter carriage
the back tension is little enough owing to the controlling of and the gripper, as shown in Fig. 7. The cutter carriage is
the membrane tension described as follows. In short, the roller- mounted on the Y-axis, while the gripper on Z-axis. The
set-2 is capable of controlling the slip-phenomenon during the separation of the two executors can simplify the structure and
transportation of the membrane, which makes the roller-set-2 reduce interference.
the center of the three sets of rollers.
Fig. 7. The manipulator. 1) X-axis. 2) Y-axis. 3) Z-axis. 4)

cutter carriage. 5) gripper.
The cutter carriage comes from the label cutter. The

engraving knife is driven by electromagnetic force. Although
Fig. 6. The micro view of the surface. the engraving knife blade is sharp, there is not a safety hazard
because of the relatively closed environment. The knife blade
can rotate in circle freely. It can accurately cut the membrane
with hardly any chip in high speed.
Considering that membrane is usually soft and fragile,
moderate tension is necessary for the membrane: too much The gripper is a vacuum chuck, which transports the cutted
tension will get the membrane teared, while too little tension membrane samples, the boxes or the lips and executes the
will get it creased. A detailed account about how the tension operation of putting the lid on.
569
C. The box-lid feeding and retrieving unit [2] X. ZENG, Z. HUANG, L. ZHANG, H. WANG, M. BAO, S. YE,
and M. LIU, Research and development of a new radioactive aerosol
The box-lid feeding and retrieving unit implements the sampling and lter membrane, Membrane Science and Technology,
functions of storing, feeding and retrieving of the boxes, the vol. 29, no. 6, pp. 1015, 2009.
lids and the boxed membrane samples. It mainly consists of [3] U. Hiroshi and Y. Hiroshi, Characteristics of paper feeding mechanism
the storehouses and the lifting mechanism, as shown in Fig. with a short rubber-roller and a at plate(mechanical systems), Trans-
actions of the Japan Society of Mechanical Engineers. C, vol. 75, 2009.
8.
[4] N. TSUJIUCHI, T. kOIZUMI, and T. KAWAMURA, Analysis of slip-
phenomenon of paper feeding system with protrusion roller, Transac-
tions of the Japan Society of Mechanical Engineers. C, vol. 69, 2003.
Fig. 8. The virtual assembly of the box-lid feeding and

retrieving unit.
There are six storehouses, two of which are for unused

boxes, the middle two are for unused lids, and the last are for
boxed samples. The storehouse is specially designed that there
are two parallel elongated slots on one side and bottom of the
storehouse. The slots allows the claws of the lifting mechanism
to run through. This design makes it very convenient to take
away or put back the empty or full storehouses.
In the lifting mechanism, there are three sets of claws to
hold the boxes or lids. Each set of claws is mounted on three
different synchronous belts. Considering that the height of the
box is different from this of the lip, the ratio of the synchronous
pulleys must match the ratio of the box to the lid. Then, the
lifting mechanism can be driven by one single stepping motor,
which no doubt is an economical way in space occupation or
cost.
III. C ONCLUSION
This paper introduces a full solution to automate the
process of the sample preparation. The detailed procedure of
the design is described. Moreover, this paper is expected to
offer a reference to design other similar equipments.
ACKNOWLEDGMENT
This work was supported by National High Technology Re-
search and Development Program of China (2011AA040203),
National Science and Technology Support Program of China
(2013BAD17B06) and Special Fund for Grain Research in the
Public Interest (201313009-06).
R EFERENCES
[1] X. Tie and J. Cao, Aerosol pollution in china: Present and future impact
on environment, Particuology, vol. 7, no. 6, pp. 426431, 2009.
570
IPMC Robust Nonlinear Tracking Control Design

based on A Multi-objective Particle Swarm
Optimization-based RRCF Approach
Wudai Liao, Tongbin Yan, Aihui Wang, and Yiwen Fu

School of Electric and Information Engineering, Zhongyuan University of Technology
41 Zhongyuan Road, Zhengzhou, 450007, China
Email: wah781212@gmail.com, wudailiao@gmail.com
AbstractIn this paper, a robust nonlinear tracking control have been designed in precision position control and achieved
design for an ionic polymer metal composite (IPMC) is proposed some results [3, 4]. But adaptive control scheme demands
by using a multi-objective particle swarm optimization-based real-time seriously and has limitations in the uncertainties
robust right coprime factorization approach. Addressing the of system structure. Neural network control method has to
difcult in obtaining the PI control parameters (K p , Ki ) of the retrain the network when environment changes because of its
former proposed nonlinear robust tracking control system based
on PI-based robust right coprime factorization approach, how to
own self-learning feature. The track convergence rate is slow
obtain the optimal control parameters (K p , Ki ) is investigated by and the robustness of the control system is not satised by
using MATLAB system identication toolbox and multi-objective using fuzzy control approach. Considering an application as
particle swarm optimization algorithm. That is, rstly, a new a robotic manipulator, IPMC has to move arbitrarily from
equivalent transfer function model of the robust stable control one specied position to another. It needs a skilful operator
system of IPMC is identied. For the obtained transfer model, to control manually based on his or her experiences to stop
a multi-objective particle swarm algorithm optimization is used the swing immediately at the right position. Therefore, a
obtain the control parameters (K p , Ki ) of PI controller. Finally, practical mathematical model and an effective control strategy
the effectiveness of the proposed method system is conrmed by are desirable in designing precision position control system.
simulation results. It is well known that the operator-based robust right coprime
KeywordsIPMC, tracking control, MATLAB system identi- factorization (RRCF) approach has been a promising control
cation toolbox, multi-objective particle swarm optimization. strategy for analysis, stabilization and control of nonlinear
system with disturbances and model uncertainties [5-9]. Espe-
I. I NTRODUCTION cially, the operator-based RRCF approach has attracted much
attention due to its convenient in researching input-output
Similar to piezoelectric materials, the ionic polymer metal stability problems of nonlinear system with uncertainties. A
composite (IPMC), also called articial muscle, belongs to robust stable control system to IPMC has been investigated by
the category electroactive polymers (EAP), which is one of using the operator-based RRCF approach, and the tracking per-
the most promising EAP actuators for applications in the bio- formance of the obtained robust stable system was guaranteed
robotics. An IPMC sample consists of a thin ion-exchange by the PI controller [8, 9].
membrane (e.g., Naon) plated on both surfaces with a no-
ble metal as electrodes. Because IPMC have the following
However, it is difcult to obtain the optimal control pa-
characteristics: large strain and stress induced electrically,
rameters (K p , Ki ) of PI controller. Nowadays there are many
light in weight, small and simple mechanisms, small electric
swarm intelligence approaches are used to optimize the pa-
consumption, and low drive voltage, it has been widely used in
rameters [11-14]. In nature, most controllers optimization and
the developments of miniature robots and biomimetic sensors,
design problems are multi-objective, since they normally have
actuators, transducers [1].
several (possibly conicting) objectives that must be satised
The dynamic mode of IPMC is usually broken up into at the same time. At this point, the denition of a multi-
two different types: linear model and nonlinear model. Linear objective optimization (MO) problem can be interesting. The
models have no prior knowledge or some knowledge of the MO techniques offer advantages when compared with single
system. Nonlinear models have a comprehensive knowledge objective optimization techniques because they may produce
of the physics system derivation [2]. For linear models, linear a solution with different tradeoffs among different individual
quadratic regulator (LQR) and proportional integral derivative objectives. Compared with single evolutional algorithm, the
(PID) have been used in precise position control. However, the multi-objective particle swarm optimization (MOPSO) has a
IPMC shows mainly nonlinear behaviors in characteristics of simpler computational paradigm and has shown faster con-
large strain and stress. Moreover, the control performance is vergence and better computational efciency. As a result,
affected by the parameter variations and various disturbances the objective of this paper in how to optimize the control
easily, it is difcult to obtain a precise mathematical model. So, parameters (K p , Ki ) of PI controller using MOPSO algorithm
in order to improve the control performance and achieve robust to improve the tracking performance, where, the MATLAB
tracking, some approaches such as adaptive control scheme, system identication toolbox is used to identify the equivalent
neural network control method, and fuzzy control algorithm transfer function of the obtained robust stable control system.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 571
For the simplied equivalent transfer function model, control
parameters (Kp , Ki ) are easily obtained compared with the
complex RRCF system. Because of the control system of
IPMC with disturbances and model uncertainties many optimal
control parameters (Kp , Ki ) of PI controller are needed to
obtained by using MOPSO algorithm. Finally, the tracking
effectiveness of the proposed methods is shown by the simu-
lation.
The outline of the paper is organized as follows. In section
2, the preliminaries and problem statement are introduced. The (a)
design and optimization of tracking control are investigated in
section 3. The simulation results are given in section 4, and
section 5 is the conclusions.
II. P RELIMINARIES AND P ROBLEM S TATEMENT

A. Nonlinear Dynamic Model of IPMC
The dynamic models of IPMCs fall into two general
categories: linear models, and nonlinear models. Linear models
have no prior knowledge or some knowledge of the system.
Nonlinear models have a comprehensive knowledge of the
(b)
physics system derivation. A nonlinear dynamic model with
uncertainties of IPMC can be modeled by the following Fig. 1. (a) Operator based nonlinear feedback system (b) Operator based
equations [8]: nonlinear feedback system with uncertainties

x x

(xau) 2b( xe x In( xe x )1)
x = 1e 1e
x ex (1xex )
SKe b(Ra +Rc )(1 1ex )
(1ex )2 (1)
xe
S (Y, X)}. Elements of U (X,Y ) are called unimodular

x x
30 Ke 2b( xe x In( xe x )1)
y= 1e 1e
+ P operators.
eaY h2 Denition 3. Let X e and Y e be extended linear spaces asso-
where, x is the state variable, u is the control input voltage, ciated respectively with two given Banach spaces X and Y of
y is the curvature output, Ra is the electrodes resistance, Rc measurable functions dened on the time domain [0, ), and
is the ion diffusion resistance, Ye is the equivalent Youngos let D be a subset of X e . A nonlinear operator Q : D Y e is
modulus of IPMC, 0 is the coupling constant, Ke is the called a generalized Lipschitz
operatoron D if there exists a
effective dielectric constant of the polymer, h is the thickness constant L such that [Q(x)]T [Q(x)] T Y LxT xT X for
2
of IPMC, a = RT F
, b = FRTCKe , F is Faradays constant, C is the all x, x D and for all T [0, ).
anion concentrations, R is the gas constant, T is the absolute Denition 4. Let Q be a nonlinear operator with its domain
temperature, P is uncertainties consisting of measurement D(Q) X e and range R(Q) Y e . If Q(X) Y , Q is said to
error of parameters and model error of the IPMC. be input output stable. If Q maps all input functions from Xs
into the output space Ys , that is Q(Xs ) Ys , then operator Q
is said to be bounded input bounded output (BIBO) stable
B. Operator-based robust right coprime factorization
or simply, stable. Otherwise, namely, if Q maps some inputs
In this section, some basic denitions and notations of from Xs to the set Y e \Ys (if not empty), then Q is said to be
unimodular operator, generalized Lipschitz operator, bounded unstable.
input bounded output (BIBO) stable, right coprime factoriza-
tion, RRCF are outlined. The operator based nonlinear feedback control systems are
Denition 1. An operator Q : X Y is a mapping dened shown in Fig. 1, where U and Y are used to denote the
from the input space X to the output space Y, and can also be input space and output space of a given plant operator P,
expressed in the mathematical form as y(t) = Q(u)(t) where respectively, i.e., P : U Y. P is nominal plant, P is unknown
u(t) is the element of X and y(t) is the element of Y. Let bounded uncertainties, and P + P is the real plant. In the
Q : X Y be an operator mapping from X to Y , and denoted operator based control system shown in Figs. 1(a) and 1(b),
by D(Q) and R(Q), respectively, the domain and range of the right factorization, right coprime factorization, and RRCF
Q. If the operator Q : D(Q) Y satises addition rule and were dened as follows, respectively.
multiplication rule Denition 5. The given plant operator P : U Y is said to
Q : ax1 + bx2 aQ(x1 ) + bQ(x2 ) have a right factorization, if there exist a linear space W
and two stable operators D : W U and N : W Y such
for all x1 , x2 D(Q) and all a, b C , then Q is said to be that P = ND1 where D is invertible. Such a factorization of
linear, otherwise, it is said to be nonlinear. P is denoted by (N, D) and W is called a quasi-state space
Denition 2. Let S (X,Y ) be the set of stable operators of P. The factorization is said to be coprime, or P is said to
mapping from X to Y . Then, S (X,Y ) contains a subset dened have a right coprime factorization in Fig. 1(a), if there exist
by: U (X,Y ) = {T : T S (X,Y ), T is invertible with T 1 two stable operators A : Y U and B : U U, satisfying the
572
Bezout identity for an IPMC is proposed by using MATLAB System Identi-
cation Toolbox and multi-objective particle swarm algorithm-
AN + BD = T, for some T (W, U) (2) based right coprime factorization approach. Firstly, a transfer
Generally speaking, for the corresponding control system function model of the robust stable control system of IPMC
with uncertainties, let the Bezout identity of the nominal using MATLAB System Identication Toolbox is presented.
process and the real process be AN + BD = M U (W,U), Secondly, considering the transfer model, a proportional inte-
A(N + N) + BD = M, respectively. If gral controller is designed to realize perfect tracking control for
the obtained robust stable system. Finally, an multi-objective
(A(N + N) AN)M 1 < 1 (3) particle swarm optimization algorithm is used to obtain the
control parameters K p , Ki of PI controller.
then the system shown in Fig. 1(b) is BIBO stable, and is
called robust right coprime factorization.
III. T RACKING C ONTROL D ESIGN AND O PTIMIZATION
Its worth to mention that the initial state should also be
considered, that is, AN(0 ,t0 ) + BD(0 ,t0 ) = M(0 ,t0 ) should A. Tracking design using MATLAB system identication tool-
be satised. In this paper, t0 = 0 and 0 = 0 are selected. box
C. Problem Statement In this paper, the stabilizing system regarded as the plant is
equal to the system in Fig. 1(b) is identied as a new model by
For the model described by (1), there exist some uncertain- using Matlab system identication toolbox. For the new model,
ties P in the IPMC dynamic model, and the uncertainties are the tracking conditions could been obtained. The system iden-
unknown but bounded. For the model (1), the right factoriza- tication toolbox is for building accurate, simplied models of
tions were designed in [8, 9], and were described as, complex systems from time-series data. It provides tools for
(t) e (t) (1e (t) (t)) creating mathematical models of dynamic systems based on
Se b(Ra +Rc ) (t)(1 1e (t) )
D( )(t) = (t)e (1e (t) )2 observed input-output data. The identication process amounts
(t) (t)
(t)e
ln(
(t)e
)1) to repeatedly selecting a model structure, computing the best
a 2b(
1e (t) 1e (t)
(t)
model in the structure, and evaluating this model is properties
+ a to see if they are satisfactory. The cycle can be itemized as
(4)
30 e 2b(
(t)e (t) (t)e (t) follows: (1) Design an experiment and collect input-output data
(t)
ln( (t)
)1)
N( )(t) = 1e 1e from the process to be identied. (2) Select and dene a model
aYe H 2 structure (a set of candidate system descriptions) within which
(t)
N( )(t) = 2b( (t)e (t) ln( (t)e (t) ) 1)
(t)
a model is to be found. (3) Compute the best model in the
1e 1e model structure according to the input-output data and a given
criterion of t. (4) If the model is good enough, then stop;
Considering the nonlinear IPMC with bounded uncertain- otherwise go back to (2) to try another model set.
ties, a robust stable control system based on Fig. 1(b) approach
has been investigated in [8, 9], and the operators A and B were Here, the input data is the reference of the stabilizing
designed as, system, the output data is the response of the stabilizing
system. Suppose that transfer function is the stabilizing system
A(y)(t) = aSYe H3(R0a +Rc ) y(t)
2
structure, so in step (2), select transfer function as the model
(5) structure. After step (4), choose the model which has the best
B(ud )(t) = aud (t)
t as the new model. As for the new transfer model, a PI
Moreover, a tracking control scheme was designed based tracking system is easily obtained in Fig. 2.
on the obtained robust stable system and shown in Fig. 2. The According to the transfer function model, the output track-
controller C is designed as, ing performance can be realized by designed tracking con-

troller C. Moreover, in order to obtain further suitable param-
u (t) = K p e(t)
+ Ki )d
e( (6) eters (K p , Ki ), a multi-objective particle swarm optimization is
used to identied the optimal control parameters Kp , Ki .
where, K p and Ki are the parameters of PI controller. The
B. Parameters optimization using MOPSO Algorithm
1) Particle swarm optimization: PSO is a popular com-
putational and search technique developed by Kennedy and
Eberhart that is based on the social behavior of birds ocking
to look for food. In PSO, a population of possible solutions
(called particles) are rst initialized. These particles are then
allowed to explore through a solution search space looking
Fig. 2. The tracking control system for the optimum solution. Each particle maintains the best
solution it has found thus far (particle best) as well as the best
control output y can track the desired reference input r , and
solution that the group (called particle swarm) has found thus
the detailed proof has been given in [9].
far (global best). The direction of the search is then updated
However, how to obtain the optimal K p and Ki is also based on the values of particle bests, and the group is global
difcult. As a result, in this paper, a tracking control design best.
573
In the canonical PSO, each particle i has position zi and where ts is the setting time of the control system, it is also
velocity vi that is updated at each iteration as following, called as transition time and it is the main indicators of rapidly
Velocity Equation: of the system; M p is overshoot which reects the stability of
the transition process of the IPMC control system; ess is the
vi = vi +C1 r1i (pi zi ) +C2 r2i (pg zi ) (7) steady state error which reects the deviation of the actual
Position Equation: output and the expected output of the system, it describes
zi = zi +vi (8) the control accuracy of the control system. The indices ts ,
M p and ess should be as small as possible by tuning K p and
The factor and C1 are the particles inertia and self- Ki . Obviously, this is a multi-objective optimization problems.
condence factors. The condence factor for the entire swarm Therefore, the multi-objective PSO algorithm is adopted to
is expressed by C2 . The quantities r1 and r2 are positive random optimize the multi-objective PI parameters in the IPMC control
numbers drawn from a uniform distribution. pi is the best system.
position found so far by particle, pg is the global best so far
found by the swarm.
IV. S IMULATION
2) Multi-objective particle swarm optimization: In order to
extend the PSO to solve multi-objective problems, the single Some identied physical parameters are shown in Table 1.
global best is extended into a xed-sized archive of non- In the simulation, the robust stable simulation result of the
dominated solutions accumulated during the search process. IPMC based on Fig. 1(b) is shown in Fig. 3. In equivalent
The crowding distance density estimator is also incorporated in identication, the reference 1 (1/m) and the response is the
selecting the global best and in the deletion of the low ranking input-out data of the Matlab System Identication Toolbox. In
non-dominated solutions in the sorted archive. The main steps Fig. 4, Measured output is the response of the stabilizing
of the MOPSO algorithm can be summarized as follows: system by simulation. It is described as a black curve and the
transfer function tf1, tf2, tf3 are rst, second , third order
Position and velocity initialization. transfer function. The tf2 which is second order have the
best t for the model of stabilizing system. So, the equivalent
Initialize each particle personal best. transfer model of the robust stable system in Fig. 1(b) can be
described as,
Store the non-dominated solution into the global best 0.24
archive. G(s) = 2 (10)
s + 39.3s + 14.33
Repeat the following until the maximum number of
iterations is reached or a convergence criterion is met.
(1) Sort the archive based on crowding distance in
descending order.
(2) For each particle, randomly select a global best 0.016
from the top 10% of the archive, and use it to update
0.014
the velocity and position.
(3) Updates each particles personal best: if the par- 0.012
ticles new position dominates the current personal
curvature [1\m]
0.01
best,then replace it with the particles new position. If
they are both non-dominated,there is a 50% of chance 0.008
the personal best will be replaced.
(4) Update the global best archive: insert new 0.006
non-dominated solutions into archive and eliminate 0.004

archived solutions that are dominated by the new
solutions. If the archive is full, Crowing Distance is 0.002
used to maintain the diversity and applied to remove
0
the extra ones. 0 10 20 30 40 50
Time [sec]
3) Design of tness function: Designing the appropriate

tness functions is the key to solve the multi-objective op- Fig. 3. The response of the stabilizing system
timization problems. In the stabilizing system, it is expected
that the position could achieve the desired output through a
stationary process in a relatively short time. In other words, the The simulation experiment has been implemented. The
three indices: setting time ts , overshoot M p , steady state error parameters K p and Ki are optimized by the MOPSO algorithm.
ess should be minimum. Therefore, setting time, maximum The parameters of MOPSO are initialized as follows:
overshoot and steady state error are selected as performance (1) The population size is set to 40;
indices. The tness functions in the MOPSO algorithm are (2) The maximum generations are set to 100;
expressed as follows: (3) The inertia weight is set to 0.725;
(4) The learning factors C1 and C1 are set to 2.
f 1 = ts With the MOPSO algorithm, plenty of optimal solutions are
f2 = Mp (9) achieved. Due to the limit space, only best four groups of

f3 = ess the parameters are listed in Table 1. In order to verify the
574
TABLE II. O PTIMIZED PI CONTROLLER
Solutions Kp Ki ts Mp ess
The rst solution of MOPSO 580 3.99 0.1 0.04 0
The second solution of MOPSO 600 3.95 0.09 0 0
The third solution of MOPSO 610 1.94 0.13 0 0.07
The fourth solution of MOPSO 585 2.31 0.1 0 0.06

From Table 2 and Fig. 5, the setting time is less than 0.15sec,

overshoot and steady error is so small to meet the demand.

V. C ONCLUSION

In this paper, a robust nonlinear tracking control for IPMC
was investigated by using MOPSO-based RRCF approach.
The designed robust stable system based RRCF approach was

identied as an equivalent transfer function model. The control
parameters of PI tracking controller was optimized by using

MOPSO. Finally, the simulation results were given to show
the effectiveness of the proposed method. The further work
will be on the experiment and the other RRCF system such

as aluminum plate with peltier device system to verify the

proposed methods. Meanwhile, approximate inverse operator
Fig. 4. The ts of the transfer models
of tracking conditions will be discussed by using system
identication.
TABLE I. PARAMETERS OF THE MODEL
1
L: The length of IPMC L = 50[mm]
0.9
h: The width of IPMC h = 200[ m] 1.02
0.8
W : The thickness of IPMC W = 10[mm]
0.7 1
T : Absolute temperature T = 290[K]
curvature [1/m]
0.6 0.98
Ra : Electrodes resistance Ra = 18[]
0.5
0.96
Rc : Ion diffusion resistance Rc = 60[] 0.4
0.94
Ye : Equivalent Youngos modulus Ye = 0.056[Gpa] 0.3
0 0.1 0.2 0.3 0.4
0 ; Coupling constant 0 = 0.129[J/C] 0.2

The first solution of MOPSO
The second solution of MOPSO
C1 : Anion concentrations C1 = 981[mol/m2 ] 0.1 The third solution of MOPSO
The fourth solution of MOPSO
F: Faradayos constant F = 96487[C/mol] 0
0 2 4 6 8 10
Time [sec]
R: Gas constant R = 8.3143[J/mol.K]
Ke: Effective dielectric constant Ke = 1.12106 [F/m] Fig. 5. The simulation result based proposed method
ACKNOWLEDGMENT
validity of the PI parameters, the selected best four groups
of PI parameters achieved by MOPSO algorithm have been The authors would like to thank National Nature Science
taken into the PI controller respectively. In the simulation Foundation of China (61304115), and Henan Higher Key
experiment, K p is in the range [550, 650], Ki is in the range Scientic Research Project (15A120003) for their support of
[0, 5] and simulation time is T = 10sec. Step responses curves this work.
of the four groups of the parameters are shown in Fig. 5. In
order to observe more clearly, some details of the Fig. 5 are R EFERENCES
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582
Complex Event Processing on Uncertain Data

Streams in Product Manufacturing Process
Na Mao, Jie Tan

Integrate Information System Research Center
Institute of automation, Chinese Academy of Sciences
Beijing, China
{na.mao, jie.tan}@ia.ac.cn
AbstractWith the development of automatic production, sensor readings. We classify these data into two groups:
manufacturing factories record tremendous amounts of data with unreliability and uncertainty [2]. Here, unreliability refers to
sensor devices deployed in a factory. Because of the inherent the erroneous or incomplete readings that can be corrected
inaccuracy of sensor readings, these data is of high level of by deterministic cleansing rules. Instead uncertainty refers to
uncertainty. How to use Complex Event Processing (CEP) to the readings which cannot be determinately eliminated by
get useful information for quality monitoring of products from
a lot of uncertain raw data continually generated from the
cleansing rules due to their essence, such as the possibility
production lines is becoming a challenging research. Therefore, in producing the same product up to standard in the same
in this paper, we propose a model of uncertain complex event operation by different workers. In this paper, we focus only
processing system for real-time monitoring in product manu- on the data streams containing uncertain readings. Since un-
facturing process. And then we dene the probabilistic event certain event streams widely exist in reality, dealing with the
model and propose a probabilistic event detection algorithm based uncertainty in complex event processing raises an interesting
on rNFA and its optimization plan by event ltering. At the study in the academic and industry.
same time, we introduce Conditional Probability Matrix (CPM)
and describe the calculation of probability of complex events However, some existing complex event processing systems,
with the multiplication theorem of probability. The experimental such as SASE [3], Cayuga [4] and Esper [5], assume that
results show that our proposed method is efcient to detect data is precise and certain, or it has been cleansed before
complex events over probabilistic event streams with better event processing. They dont consider the uncertainty and cant de-
throughput capabilities and lower time consumption. tect probabilistic complex events from uncertain event streams
KeywordsComplex Event Processing; Uncertain Even- well. At present, Cascadia [6] and Lahar [7] systems can
t Streams; rNFA; Event Filtering and Pruning; Quality Monitoring; process RFID data with uncertainty, but they mainly focus
Manufacturing Process. on the probabilistic data model and related queries, instead of
uncertain complex event stream and optimization for proba-
bilistic complex event detection. There are two challenges for
I. I NTRODUCTION
complex event detection from probabilistic event streams [8].
Owing to the globalization of product manufacturing, man- One is how to detect complex events from real-time updating
ufacturing partners have high responsibility to manufacture probabilistic event streams. The other is how to calculate
products effectively and make themselves more competitive. the probability of the complex event generated from relevant
In order to improve the capacity of product lines, it needs to uncertain events.
monitor the real-time status of the manufacturing process for
As a result, we propose a model of uncertain complex
high quality. Today, manufacturing factories record tremendous
event processing system for real-time monitoring in product
amounts of data with sensor devices deployed in manufacturing
manufacturing and present a probabilistic event detection algo-
lines. However, the production data from manufacturing shop-
rithm based on rNFA structure in this paper. The outline of the
oors is too simple to be directly used for business and
paper is organized as follows. Section II analyzes the related
execution level. So how to get useful information to monitor
work. In Section III, we present a complex event processing
and control the quality of products from a lot of raw data
model for product manufacturing process. A probabilistic event
continually generated from the production lines is becoming
detection algorithm is proposed in Section IV. The performance
an urgent problem.
evaluation of our proposed method for a quality monitoring
In order to solve the problem, Complex Event Processing application in product lines is described in Section V. Finally,
(CEP) [1] is introduced to detect the complex and meaningful the conclusion is highlighted in Section VI.
information within a factory. Using Complex Event Processing,
we analyze multiple events based on event patterns or rules II. R ELATED W ORK
for identifying meaningful complex events within both large
We introduce the related work of uncertain complex event
collections of events or event streams which transformed from
processing for product manufacturing in this section. Complex
the raw data streams. Indeed, a complex event is a composite
event processing is used to nd interesting or unusual events
of primitive events.
to the user in many types of applications from different elds.
Besides, the raw data from the physical world is of high Also, CEP is applied to monitor the status of manufacturing
level of uncertainty because of the inherent inaccuracy of process for effective production. In the paper of [9], the
978-1-4673-7995-3/15/$31.00 2015
c IEEE 583
author discussed the design of RFID middleware system based
on CEP with manufacturing scenarios. The authors in [10] ZW D^ ^D
applied CEP technology to enterprise information systems, E
and demonstrated how the event processing engine works and
interacts with other existing information systems. Especially, D^

the authors extract complex event pattern from workow model
in their proposed system, which makes CEP more cooperative.
Z
The paper [11] provided a methodology to model CEP using hW
Timed Net Condition Event System to analyze and describe
discrete-event dynamic systems in a manufacturing line.
W
Recently some works have been carried out to study the
uncertainty for CEP. Segev et al. [12] suggested uncertain
complex event grammar rule expression using probability
theory and presented a method to calculate the probability Z
of complex events based on Bayesian network and sampling
method. The author in [13] used statistical models and Markov
sequences to represent the uncertain RFID data stream and

proposed to use the Markov sequence converter to achieve Z&/

sequence event matching. In the work of [8], the author used
CIQ and CPI-Tree structures to detect complex events with Fig. 1. CEP based model for monitoring in product manufacturing system.
single scanning probabilistic stream. Wang et al. [14] proposed
a high performance complex event processing method with
Nondeterministic Finite Automaton and Active Instance Stacks Because every worker has a certain probability to produce a
over distributed probabilistic event streams. In this paper qualied product, the event generated from this scenario is
[15], the authors proposed an optimized method with DFA uncertain. If the probability of complex event is less than the
automaton and matching tree to detect complex events against threshold, an alarm is made by the system.
uncertain raw input data stream.
However, recent studies mainly discuss the framework and B. Event Model
idea about applying probabilistic CEP in manufacturing, but 1) Events: The basic of complex event processing is events,
the details in algorithm realization and optimization. whose denition is varied by different application situations.
So we dene the events we used in this paper as follows.
III. C OMPLEX E VENT P ROCESSING M ODEL FOR Denition 1 Event. An event is an atomic occurrence of
P RODUCT M ANUFACTURING P ROCESS an activity in a system [1]. We also call it primitive event.
To solve the real-time monitoring problem in product man- An event is represented as E = id, eventType, timestamp,
ufacturing process and react to the unusual situation quickly, {attributes} , where id denotes the unique identier of the
we propose a model of uncertain complex event processing event, eventType is the type of the event, timestamp denotes
system for product manufacturing in this section. It includes the occurrence time of the event, {attributes} represents a set
the following three parts. of attributes of the event, composing name and value for an
attribute.
A. Framework for Real-time Monitoring Based on CEP Denition 2 Probabilistic Event. A probabilistic event is
an event with the probability value that means the occurrence
In order to satisfy the need of monitoring in production
probability of the event. It has the same formal representation
lines, we propose a framework for real-time monitoring based
as the certain event, but there is an attribute Probability with
on complex event processing. Fig. 1 shows the architecture
the value between 0 and 1, which is the sign of a probabilistic
of the model [16]. We use RFID readers, sensors and other
event. So we extend the event to EP = id, eventType,
devices to get raw data from the physical world in manufactur-
timestamp, {attributes}, {Probability, (0, 1)} .
ing workshops. In CEMS, all the primitive events transformed
from raw data by event processors are integrated into high-level For example, an event in the example scenario men-
complex events, which are used to monitor the manufacturing tioned above e1 = 10101 , OperationA, 2015-05-
status, such as quality control. The notications from CEMS 27 11:03:20, {Workstation, 1}, {WorkerID, 4}, {ProductID,
are sent to enterprise applications for the support of decision 221}, {probability, 90%} is a probabilistic event that indi-
making. cates a worker with Number 4 takes Operation A in the rst
workstation for the product with Number 221 at the time 2015-
We illustrate our ideas through a simple scenario in the
05-27 11:03:20, and the probability of qualied operation is
product manufacturing process. A kind of product is designed
90%. If an event is a certain event, there is no attribute of
to take three key operations named as A, B and C on a work-
probability or the value of probability is 1.
station sequentially in a period of time. And then the product
will transform to another workstation for further operations. Denition 3 Complex Event. A complex event is a combi-
In order to ensure the product quality, we monitor the quality nation of primitive or complex events by some rules. Events are
of the WIP (Working in Process) when every key operation connected by a set of operators, such as SEQ, ANY, Negative
is nished. We use CEP for fast and effective recognition. and so on [17]. A complex event is represented as CE =
584
E, R, TS , where E represents the events that compose the C. Event Processing Model Based on NFA
complex event, R represents the rule of the combination, TS
represents the time span of the complex event. SEQ event detection is the main part of the CEP engine. In
this paper, we focus on the SEQ event processing for an event
Denition 4 Probabilistic Complex Event. A probabilistic stream. Nondeterministic Finite Automata (NFA) is used to
complex event is composed by events from the uncertain event represent the structure of the event sequence [19]. And a basic
streams, which can be represented as CEP = E, R, TS , Pr . method for SEQ event processing based on NFA and AIS is
We dene Pr the probability that the complex event occurs. It proposed in [17]. We explain the detection process using the
can be considered as the reliability of the pattern query during example illustrated in Fig. 2. The NFA and AIS are created
the corresponding the time interval TS and calculated in the for SEQ (A, B, C). The event detection is started at the 0
complex event matching process. In the example mentioned state of the NFA and the SEQ event is detected after entering
above, the probability of complex events gotten from event the 3 state. The events that trigger the change of states are
streams is dened as the qualied rate of products in the logged into AIS and an event link between neighboring states
manufacturing process. is created. So the matched SEQ events that end with c10 are
(a1 , b3 , c10 ), (a1 , b6 , c10 ), (a4 , b6 , c10 ).
2) Rules: Complex events are processed according to event
rules. We present a complex event query language for speci-
fying complex event rules over streams in this section.
Denition 5 Complex Event Query Language. We use a
declarative pattern matching language proposed in SASE [17] E&
in this paper. A complex event query is dened using the
syntax as follows:
D E F
[FROM input stream ] /
PATTERN pattern structure D E F
^
[WHERE pattern matching condition ] D
[WITHIN sliding window ]
[HAVING] pattern ltering condition D F E D G E F G D F
[RETURN output specication ] d
The FROM clause species the input stream we used, if this
Fig. 2. Example of basic method for SEQ event processing.
clause is omitted, the default stream is used as input stream.
We next explain the other constructs using the examples drawn
from the scenarios of quality control in production lines before. However, in the product manufacturing lines, the WIP is
assembled following the principle of rst-in rst-out (FIFO).
Query 1: So the event selection is satised with the skip-till-next-match
PATTERN SEQ (OperationA a, OperationB b, OperationC c) and matches of the example in Fig. 2 are not suitable in the
WHERE skip-till-next-match (a, b, c) practical application. Besides, the constraints on events are
{[Workstation] [ProductID]} much more complex than those for the example in Fig. 2,
WITHIN 1 hour the basic method with NFA and AIS has a lower efciency if
HAVING Conf (*) > 0.7 the input stream is large. As a result, a new method is needed
RETURN * to detect SEQ event in product manufacturing process.
Query 1 retrieves the qualied operations whose probability NFA with run buffers (rNFA). We propose the rNFA
is greater than 0.7 in the same workstation for the same structure which is NFA combined with run buffers. Instead of
product. The PATTERN clause declares the structure of a AIS, a run of rNFA is used to record the events that have
pattern to be matched against the input stream. We use the SEQ partial matching result for the target event pattern in the run
construct to specify a sequence pattern of three components, buffer. Moreover, an accepting run is a run that has reached
which means Operation A, B and C for the product should be the nal state. The rNFA for Query 1 is illustrated in Fig. 3.
operated sequentially.
The WHERE clause contains attribute-based predicates to IV. C OMPLEX E VENT P ROCESSING U NDER
restrain the relevant events dened in the pattern. In Query 1, U NCERTAINTY
the predicate, [Workstation] and [ProductID], require the three In this section, we introduce the method for complex
operations to be done at the same workstation for the same event processing under uncertainty. We describe the probability
product. It is worth noting that skip-till-next match is an event calculation model rst and introduce Conditional Probability
selection strategy which is introduced in [18]. The WITHIN Matrix in the application for product manufacturing. And then
clause species a sliding window over the pattern, dening the we talk about our probabilistic event detection algorithm based
constraints that a complex event should occur within 1 hour. on rNFA model. Besides, we propose the optimization plan
And then the HAVING clause further lters each pattern match considering the efciency of pattern matching.
by applying predicates on the constituent events. In Query 1,
the predicate in HAVING requires the probability of the pattern A. Probability Calculation Model for Uncertain CEP
matches to be no less than 0.7. Finally, the RETURN clause
transforms each pattern match which satises the HAVING Because of the uncertainty for the input stream, the com-
predicate into a result event. plex event detected from the stream is also uncertain. In order
585
U1)$
ith worker nished the next operation. However, the probability
distribution and the CPM are obtained through the statistics or
machine learning from historical event streams. Thus, it should
E& be updated in a period of time.
B. Probabilistic Event Detection Algorithm

5 D E F hh D E F
Z In order to detect complex events from the probabilistic
5 D E
event streams, we extend the evaluation model NFA and

propose a novel probabilistic event detection algorithm with
rNFA on the basis of the existing stream processing engine
D F E D G E F G SASE. The basic idea of our algorithm is that we use rNFA
ZRUNVWDWLRQ model, which detects the matched complex event based on
NFA and stores the intermediate results in a run of rNFA.
SURGXFW When any event is selected to add the run, we calculate the
ZRUNHU probability of the current run. If we get an accepting run, a
SUREDELOLW\ complex event is detected with the calculated probability. This
algorithm is shown in Algorithm 1.
WD
Algorithm 1 Probabilistic Event Detection Algorithm
0 o 0 o
Input: Uncertain Event Stream s, Complex Event Query q.

Output: Complex Event Set CE.
1: initialization and build NFA through Query q;
Fig. 3. Example of probability event detection based of rNFA.
2: initialize the set of runs: activeRuns;
3: for all instance e in uncertain event stream s do
to express the probability of the complex event, we propose a 4: if e triggers the start state of NFA then
probability calculation model for uncertain CEP. 5: create a new run r and add event e to the run r
6: initialize the probability of r with e.probability
According to the principle of event processing based on 7: add the run r to activeRuns
NFA, when calculating SEQ events, some of the primitive 8: else if e triggers the state transition of NFA then
events have Markov property. That is to say, the probability 9: for all run r in the run set activeRuns do
of the next event in the sequence is only related to the current 10: check the predicate for transition
event but has nothing to do with the previous events. The 11: if checkResult is true then
probability of the sequence with Markovian events can be 12: add event e to the current run r
calculated by the multiplication theorem of probability. Besides 13: calculate probability for the current run r
these Markovian events, we assume that there might be some 14: else discard event e
primitive events that are independent of others [20]. Therefore, 15: if run r is an accepting run then
we can calculate the probability of an SEQ event as follows. 16: check the timespan of r
For an SEQ event E = SEQ (e1 , e2 , , en ), the input stream 17: if r.timespan timewindow then
is partitioned into set S and set T, where set T contains the 18: add run r to CE and output r.probability
independent primitive events and set S contains one or more 19: delete run r from the run set activeRuns
Markov chain. The probability of event E is represented as 20: else discard event e
follows: 21: end
To explain our algorithm well, Fig.3 is used to show the

|Si |1
example of our detection algorithm for Query 1. When event
P r(E) = P r(ej ) (P r(ei1 ) P r(em+1 |em )) a1 arrives, it triggers the start state of the NFA structure
ej T ei S m=1 generated by Query 1. We add a1 to the new run R1 and
(1) set the probability of R1 to be 0.95. Because event c2 doesnt
satisfy the condition of state transition of the NFA, it will be
where ei1 means the rst event in the Markov chain Si that is
discarded. And event b3 triggers the NFA to transfer from 1
in set S, and P r(em+1 |em ) denotes the conditional probability
state to 2 state. Then we check the predicate, that is, compare
of the events in the Markov chain.
b3 and a1 with the value of Workstation and ProductID, and we
Consider the example scenario in manufacturing lines. nd they are the same. So b3 is added to R1 and the probability
Note that qualied rate of the product differs by workers and of R1 is updated by 0.950.78. Similarly, a4 is added to a new
operations. So we introduce Conditional Probability Matrix run R2 and b6 is added to R2 , while d5 is discarded. When
(CPM) to describe the dependence between the current event event c7 arrives, it triggers the NFA to transfer from 2 state
and the previous. Assuming that m workers are assigned to 3 state. But it just satises the predicate for R1 . We add
to take Operation k and n workers for Operation k+1. The c7 to R1 rather than R2 . The probability of R1 is updated to
matrix M = (pij )nm saves the conditional probability from 0.95 0.78 0.83. R1 is an accepting run and we output R1
Operation k to the next operation and pij means the conditional in a matched complex event (a1 , b3 , c7 ) with the probability
probability when the jth worker nished Operation k before the of 0.615.
586
TABLE I. PARAMETERS FOR E VENT G ENERATION
C. Optimization
Parameter Description
In order to reduce the matching cost and improve the
efciency of the detection, we lter the coming event streams S Number of the uncertain events
before match detection to discard the irrelevant events. That WS Number of workstations
is to say, we lter the events whose event type is not in the P Number of products in processing
complex event query, such as event d5 and d8 in Fig. 3. W Number of workers per operation
T Number of event types (operations)
At the same time, we check the probability of the partial Pro Range of probability
matching result in a run. If it is less than the threshold, delete
the run from the run buffer. Because the value of probability is
between 0 and 1, so even if the run reaches the accepting state, B. Experimental Results
the probability of the run is lower than the immediate result.
Therefore, we discard the run ahead of time. The optimization In this section, we use two common metrics, throughput
algorithm with event ltering and pruning plan is described in and time consumption to evaluate the performance of the
Algorithm 2. proposed approach. The throughput denes the number of
events processed for a second by the CEP system. And the
time consumption means the time of processing the incoming
Algorithm 2 Event Filtering and Pruning Plan events.
Input: Uncertain Event Stream s, Complex Event Query q,
Threshold k. 1) Probabilistic Event Detection Algorithm: The experi-
Output: Complex Event Set CE. ment is taken to compare the performance of the proposed
1: initialization and build NFA through Query q; probabilistic event detection system (we call it PCEP) with
2: initialize the set of runs: activeRuns; SASE. We evaluate the throughput of the prototype with
3: for all instance e in uncertain event stream s do different sizes of input event streams and time window. To
4: if e.eventType is not in the NFA model then do so, we xed the number of products in processing and the
5: discard event e number of workstations at 2, the number of event types at 4
6: else if update run with Algorithm 1 then and number of workers per operation at 5. At the same time,
7: if r.probability kr.timespan > timewindow we varied the number of events from 1000 to 500000 and the
then size of time window from 5 to 40, respectively.
8: delete run r from activeRuns

9: else if run r is an accepted run in timewindow then
7KURXJKSXW HYHQWVVHF
^^
10: add run r to CE and output r.probability
WW
11: delete run r from the run set activeRuns

12: end

V. E XPERIMENTAL R ESULTS

In this section, we implement the proposed approach in a

prototype uncertain CEP engine which is designed based on
SASE. We add some processing functions for uncertain events 1XPEHURI,QSXW(YHQWV
and modify the original core method for optimization to evalu-
ate our proposed method. We perform a series of experiments Fig. 4. Throughput over different sizes of input event streams.
based on the application scenario mentioned above and present
a detailed performance analysis of our algorithm.

7KURXJKSXW HYHQWVVHF
^^
A. Experimental Setup WW

The experiment is run on Microsoft Windows 7 operating

systems, Intel i7-4510U 2.0GHz and 2.6GHz CPU processor,
8GB memory, and all algorithms are implemented with Java.
The JVM maximum allocation pool size is 1GB. To test the
system and the proposed approach, we implement an event
generator to create a stream of probabilistic events through

the parameters shown in Table I. In real applications, data is
collected from different sensor devices and a single stream :LQGRZ6L]H
can be got by the fusion of all the data. So in our experiment,
we simulate the fused event stream from the manufacturing Fig. 5. Throughput over different sizes of time window.
process. Noting that the range of probability in producing
qualied product is set to be [80%, 99%] for the quality Fig. 4 and Fig. 5 show the experimental comparison results.
monitoring in the real application. We can clearly observe that compared with SASE, our PCEP
587
shows better event throughput capabilities during the detection event streams with better event throughput capabilities and
process for the same probabilistic event stream. As shown lower time consumption.
in Fig. 4, with the increasing number of input events, the
throughput decreases for the both generally. But the throughput ACKNOWLEDGMENT
of our PCEP increases when the size of input streams is less
than 30000, which is because our PCEP doesnt reach the the The research is supported by the National Natural Science
maximum capacity of the system. Fig.5 plots the throughput Foundation of China under Grant U1201251 and National
against the time window for the query. We can see that, as the Science & Technology Support Plan of China under Grant
number growing of the time window, the throughput decreases 2015BAF09B01.
rapidly with the window size less than 20 and then in a
relatively at way. The reason for this phenomenon is that the R EFERENCES
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we xed S at 200000, WS at 2, P at 2 and W at 5, and varied
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tecting, and managing RFID events. pp.281C294, MobiSys, June.2008.
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bilistie Streams. Proc of the SIGMOD Conf. pp.715-72, June. 2008.
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[8] C. Xu, S. Lin, W. Lei, et al. Complex Event Detection in Probabilistic

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The experimental comparison result is shown in Fig. 6. We [13] Kimelfeld B, Re C. Transducing markov sequences. Proceedings
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can see that the time consumption of the two methods differs Principles of database systems of data. pp.15-26, June.2010.
little when the number of event types is 5. That is because the
[14] Yongheng Wang, Xiaoming Zhang. Complex Event Processing over Dis-
experiment on Query 1 has three valid event types and few tributed Probabilistic Event Streams. 2012 9th International Conference
events should be ltered.As the number to event types rising, on Fuzzy Systems and Knowledge Discovery,pp.1489-1493,May. 2012.
there are much more irrelevant events for event detection. So [15] H. Kawashima, H. Kitagawa and X. Li. Complex Event Processing
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[17] Wu E., Diao Y., Rizvi S. High-performance complex event processing
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Language for Kleene Closure over Event Streams, UMass Technical
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method is efcient to detect complex events over probabilistic
588
Experimental Study on Nonlinear Vibration Control

of an L-shape Arm
Yanfeng Wu, Mingcong Deng Longguo Jin
The Graduate School of Engineering Qingdao Technical College
Tokyo University of Agriculture and Technology 369 Qiantangjiang Road, Huangdao District,
2-24-16 Nakacho, Koganei, Tokyo 184-8588, Japan Qingdao, 266555, China.

AbstractIn this paper, an experimental system is set up to

control the vibration of an L-type arm which is driven by linear
motor. Firstly, the vibration dynamics of the L-shape arm is
modelled based on Euler-Bernoulli beam theory, the relation be-
tween motor motion and arm vibration is investigated. Secondly,
based on nonlinear operator control theory, two nonlinear control
schemes are designed to control the motion of the motor and
suppress the vibration of arm by using piezoelectric actuator,
respectively. The vibration of arm is considered when controlling
the motor. A tracking compensator is designed to eliminate the
hysteresis effect of the piezoelectric actuator. Finally, by using
two piezoelectric sensors to measure the transverse displacement
and one piezoelectric actuator to suppress the vibration of arm,
the experimental system is set up, and some experiments are
conducted to verify the effectiveness of the proposed control
scheme. Fig. 1. Schematic diagram of L-shape arm driven by linear motor
KeywordsEuler-Bernoulli beam, L-shape arm, vibration con-
trol, piezoelectric actuator, operator theory, right coprime fac-
torization.
arrive destination fast and smoothly, the motion of motor will
I. I NTRODUCTION affect the vibration of arm, which should also be considered.
So in this paper, an operator-based nonlinear control system is
In some industrial and robotic systems, the moving or
proposed for the L-shape arm with considering the hysteresis
manipulating devices could be simplied as L-shape arms,
effect of actuator by using PI model.
these devices will be inevitable vibrating when they are driven
The rest of this paper is organized as follows. In Section II,
by power systems. To suppress the undesired vibration of
the experimental devices studied in this paper is introduced,
a small size exible arm, using piezoelectric material as
nonlinear vibration model for the L-shape arm is set up,
actuator has been proved to be one of the most effective
and problem statement is given. Using robust right coprime
control methods[1-4]. However piezoelectric actuator has a
factorization approach based on operator theory, two feedback
nonlinear characteristic that called a hysteresis. So when the
control systems are designed for control the motor and arm
piezoelectric actuator is applied voltage input, it is difcult to
in Section III. In Section IV, the experimental system is set
control the displacement of a piezoelectric actuator accurately
up, and experimental results are illustrated to support verify
every cycle. For the vibration control of a exible arm using
the effectiveness of the proposed method. Finally, Section V
the piezoelectric actuator, an operator-based nonlinear system
draws the conclusion of this paper.
control technique has been given in [10]. However, the hys-
teresis of the piezoelectric actuator is not considered. Prandtl-
II. M ODELLING OF ARM VIBRATION SYSTEM
Ishlinskii (PI) model was adopted to describe hysteresis [3].
Using PI model, a nonlinear compensator was introduced to In this paper, an L-shape arm driven by linear motor which
compensate the hysteretic effects. To conrm the effectiveness running along a horizontal gantry beam is considered. The
and in realtime of controller in [3], a nonlinear controller based schematic diagram of the devices is shown in Fig.1. When
on the experimental system is proposed in [4]. However the the motor starts running, the arm will unavoidably vibrate. To
arm for control in [2-4] are all simple uniform clamped-free control the vibration of arm, we need to analyze the vibration
beams. When it applies to this L-shape arm crane system for causes and model the vibration. For the sake of modelling, the
vibration control, the vibration dynamic of L-shape arm need arm is divided into two parts, Arm 1 for vertical part and Arm
be modelled rstly, and the control effectiveness deserve in- 2 for horizontal part, as shown in Fig.1. In real industry system
vestigated. In addition, the driving motor must be controlled to or equipments, the L-shape arms may differ in materials, micro
978-1-4673-7995-3/15/$31.00 2015
c IEEE 589
structures and with loads at the tip of Arm 2. Cantilever Based on operator theory, the models of the control object
beam with tip mass will be considered in this section. For including linear motor and piezoelectric actuator can be ex-
simplication, the arm used in experimental system is load pressed in (1).
free. The arm is connected with the motor which can be seen In this paper, we consider the rst vibration mode as
as a clamped-free beam, therefore, the acceleration of motor nominal, and the other modes are regarded as uncertainty P .
will cause the arm vibration. The transverse vibrations at the The two plants can be described as
tip end of the arm can be divided into two steps, vibration of t
1 (t )
Arm 1 subjected to the excitation of linear motor, and vibration [Pi + Pi ] (ui )(t) =(1 + )Ji1 e i
0
of Arm 2 subjected to the excitation from Arm 1, both can be 1

seen as clamped-free Euler-Bernoulli beam [8]. Arm 1 has tip sin id (t ) ui ( ) d (4)
mass (mass of Arm 2) at the free end, while the tip end of Arm where ui (t) and are control input and uncertainties of the
1 is the base end of Arm 2, and excitation of Arm 2 includes plants, respectively. The uncertainties deal with modelling
motor acceleration and relative transverse vibrations of Arm difcult subjects that include xing method of the arm, vibra-
1 therefore through the two models of Arm 1 and Arm 2, the tion of motor, and so on. Using robust right coprime factor-
vibration of whole arm could be modelled and controlled. ization, plant Pi + Pi is factorized as following equations
In this experimental system, we only consider the strain- [5].
rate damping, and the material behaviour is approximated as 1
linear-viscoelastic, the relative response y(x, t) at any point [Ni + Ni ](i )(t) =(1 + )Ji1 ei t
t
along the beam axis can be obtained as follows [5]. 1
sinid (t ) i ( )d (5)
0

1i t
t m D(i (t)) = e i (t) (6)
yi (x, t) = Jim ei (t )
0 A. Control design for linear motor
m=1

sin id
m
(t ) fim ( ) d (1) The vibration source of arm includes the linear motors
where, i(i = 1, 2) is identity number for Arm 1 and Arm acceleration and vibration itself. In this paper, we only con-
2, respectively, m is the vibration mode order. sider the rst factor, the vibration of motor could be seen as
uncertainty. As discussed in Section II, it is a nonlinear system
m cs im with two outputs and only one input, the force acting on the
Jim = i
m, im = im im , im =
id 2E arm by the motor. The vibration displacement at the tip of Arm

1 is one of the outputs, which can be expressed as P (u(t))
m EI
m
id = im 1 im 2 , i = (
m i 2
) in (4), another output is the motor position, which could be
Li S
calculated through the kinematic relations. The motor input
acceleration is used in stead of the force as the plant input.
m m Based on operator theory system model can be factorized using
m
i = C m
i cos i x cosh i x
Li Li right coprime factorization as in (5) and (6).

m m Then, we can design operators A1 and B1 to satisfy the
+ im (sin i x sinh i x) (2)
Li Li following Bezout equations.
A1 (N1 + N1 ) + B1 D = M (7)
sin m
i sinh i + m mi (cos i cosh i )
m Mit m m
11 t
2
im = (3) e Km1
cos m
i + cosh i i mi (sin i sinh i )
m m Mit m m A1 (y1 )(t) = 1 (t) (8)
1 2
J11 1d
where , S, E, I and cs are density, cross-sectional area, 2 2
1 (t) = y1 + 21 y1 + (11 + 1
1d )y1
Youngs modulus, moment of inertia and strain-rate damping
coefcient of the arm, respectively. m
i is the mass normalized B1 (u1 )(t) = Km1 u1 (t) (9)
eigenfunction of the clamped-free arm for the m-th mode. im
is the undamped natural frequency of the m-th mode, id m
is where, Km1 , M are design parameter and unimodular
the damped natural frequency, i is the damping ratio, Cim
m operator, respectively. A tracking controller C1 is designed
is a modal amplitude constant which could be evaluated by for output to track the target value.
normalizing the eigenfunctions [8], . t
C1 (e1 )(t) = kI1 e1 ( )d + kP 1 e1 (t) (10)
III. O PERATOR - BASED C ONTROL S YSTEM D ESIGN 0
Operator theory is one of the nonlinear control methods, can where kI1 and kP 1 are designed parameters, e1 (t) is the
be easily applied on nonlinear time-varying system, and the error between the output y1 (t) and the target value r1 (t),
robust stabilization is easy to guarantee. It has been widely The framework of the control system for linear motor is
used in nonlinear system control at time domain and been shown in Fig.2. Certainly the controller stops when it arrives
proved to be effective [2], [9] and [10]. at destination.
590
To keep system robust, the invertible part of PI model DP I
=
hysteresis operator is considered into the nonlinear plant D
1 1 1
DP I D, DP I = K and the nonlinear part P I is regarded
as bounded uncertainty, therefore a compensator Tc is to be
designed to compensate the uncertainty.
Controllers A2 and B2 are decided by satisfying Bezout
identity (16).
Fig. 2. Operator-based control scheme for linear motor
=I
A2 N2 + B2 D (16)
1
e2 t Km K 1
A2 (y2 )(t) = 2 (t) (17)
J2 2d
2 1 2
2 (t) = y2 + 22 y2 + (21 + 2d )y2
B2 (u2 )(t) = Km2 K(u2 )(t) (18)
where Km2 and I are design parameter and identity oper-

Fig. 3. Control scheme for actuator with hysteresis effect ator, respectively.
Moreover, according to the robust right coprime factoriza-
tion approach [2], since following equations are satised, the
B. Control design for piezoelectric actuator designed control system is robust stable.
Considering the advantages of piezoelectric materials, in =M

A2 (N2 + N2 ) + B2 D (19)
this paper, we use piezoelectric sensors and actuator to control
the vibration of arm. Before design of controller, it is necessity [A2 (N2 + N2 ) A2 N2 ]M 1 Lip < 1 (20)
to identify a hysteresis nonlinearity of piezoelectric actuators.
The moment Mp generated by the piezoelectric actuator can where M is an unimodular operator.
be modelled using Prandtl-Ishlinskii hysteresis model dened As mentioned above, the compensator Tc is designed to
by play hysteresis operators [5]. compensate the hysteresis effect of actuator, it can be calcu-
lated by error signal e2 or input signal n2 .
Mp (t) = DP I (u)(t) + P I (u(t) (11) To let the output y2 (t) track the target value r2 (t), namely,
H y2 (t) = r2 (t), the tracking controller C2 is designed as
DP I (u(t)) = Ku(t), K = p(h)dhu(t) (12) follows.
0
hx
P I (u(t)) = Sn hp(h)dh t
0 C(e2 )(t) =kI2 e2 ( )d + kP 2 e2 (t)
H 0
+ p(h)[Fh (u(ti )) u(t)]dh (13) B2 DP1I P I (21)
hx
Sn = sign(u(t) Fh (u(ti ))) (14) where kI2 and kP 2 are designed parameters, e2 (t) is the
error between the output y2 (t) and the target value r2 (t).
where, hx is the upper limit of h that satises h |u(t)
Therefore, the output of this control system is conrmed to
Fh (u(ti ))|. p(h) is the density function satisfying p(h) 0,
track the reference and the system stability is guaranteed.
which depends on the characteristics of the actuator, with

IV. E XPERIMENTAL RESULTS
hp(h)dh < (15)
0 In this section, the experimental system is set up to control
In (11), DP I is dened as linear part of hysteresis operator, the vibration of arm when the motor running for destination.
which can be combined with the plant. The rest nonlinear part
P I need to be compensated in the controller. A. Experimental devices
To control vibration of Arm 2 using piezoelectric actuator, In this paper, an uniform stainless steel L-shape arm is
the control input u2 is voltage inputs of piezoelectric actuators investigated, one end of the arm is connected to the linear
which attached on the controlled object, the output y2 is the motor which drives the arm to destination along on a gantry
displacement of Arm 2 which measured by the piezoelectric beam in a horizontal direction, the whole experimental system
sensor on the opposite side of actuator. The control target r2 is shown as in Fig.4, which is consist of frame, linear motor,
is the output displacement to become zero. So the target of arm, and control system.
this control is to stabilize the vibration of Arm 2, namely, The linear pulse motor is HRM0205, the motor driver is
r2 = 0. The control scheme is designed as shown in Fig.3. LD-300 (made by THK CO.,LTD). The piezoelectric actuator
591
TABLE II
PARAMETERS OF P IEZOELECTRIC S ENSORS
Parameter Value Unit
Thickness ts =0.35103 m
Width ws e=4.8103 m
Length ls e=30103 m
Near end on Arm 1 xs1 =0.12 m
Near end on Arm 2 xs2 =0.05 m
Electric charge constant dse
31 =-16510
12 m/V
Youngs modulus Ep =6.71010
se N/m2
TABLE III
PARAMETERS OF P IEZOELECTRIC ACTUATOR
Fig. 4. Photo of L-shape arm crane system
TABLE I Thickness tp =0.5103 m
PARAMETERS OF THE ARM S TRUCTURE
Width wd =0.02 m
Left location on the arm x1 =0.04 m
Right location on Arm 2 x2 =0.09 m
Mass of motor M =1.6 kg Electric charge constant d31 =-2.51010 m/V
Length of Arm 1 l1 =0.4 m Youngs modulus Ep =7.141010 N/m2
Length of Arm 2 l2 =0.3 m
Width of arm wa =0.02 m
0.35
Thickness of arm ta =0.003 m
0.3
Density of arm =8030 kg/m3 0.25
Motor Position[m]
Youngs modulus Ea =1.97 1011 N/m2 0.2
Damping modulus C1 =3 105 0.15
0.1
0.05
used here is PZT type made by FUJI CERAMICS CORPO-

0 1 2 3 4 5 6 7 8 9 10
Time[s]
RATION (C-6). A voltage amplier HOPS-0.3B10 (Matsusada x 10

3
2
Precision) is used to drive the actuator. 1.5
original
Proposed
The actuator is pasted on one side of Arm 2, two sensors are
Displacement of Arm 1[m]
pasted on the other side of the arm. As Arm 2 is the main part
0.5
used to load in work time, so we need to control its vibration, 0.5
especially the tip displacement. 1
1.5
The density function p(h) of PI model is identied by a 2
0 1 2 3 4 5 6 7 8 9 10
characteristic experiment represented as the following equa- Time[s]
tion, where h [0, 100].

Fig. 5. Position of linear motor and vibration of Arm 1
2
p(h) = 0.00032 e0.00086(h1) (22)
B. Experimental results analysis The experimental results of motor motion control and vi-
To demonstrate the effectiveness of the proposed design bration control for the L-shape arm structure under different
scheme, some experiments for the arm are conducted. The situations are shown in Figs. 5 and 6. For comparison, rstly
controller are programmed in C ++ 2010 which running in we conduct experiments of the linear motor control with and
W indows XP operating system. Parameters of the arm without considering the vibration of arm for a time period of
structure piezoelectric sensors and piezoelectric actuator are 10 seconds, the result is shown in Fig.5. The upper gure in
shown in Tables. I, II and III, respectively. Fig.5 is the motor position versus time under control, while
In this experiment, the linear motor is controlled to move the lower gure is relative displacement of Arm 1 obtained
in one direction for 0.3m, its acceleration is taken as input of from sensor 1 when linear motor running. The original line in
plant as the base excitation of Arm 1. The friction between lower gure is the result when motor only being controlled for
linear motor and crane beam is considered to be constant. The running for destination, while the blue line is the result from
control target is reducing tip displacement of Arm 1 while the the proposed control method for linear motor. It shows that
motor running. the linear motor can move to the desired position while the
592
[5] Y. Wu, M. Deng, Operator-based Vibration Control for an L-type Arm
4
x 10
4
Without control of Crane Systems Using Piezoelectric Actuator, Proceedings of 2015
With control)
IEEE 12th International Conference on Networking, Sensing and Control,
3 pp. 197-201, 2015.
[6] S. Wen, M. Deng, and A. Inoue, Operaotr-based robust nonlinear
2
control for gantry crane system with soft measurement of swing angle,
International Journal of Modeling, Identification and Control, vol. 16,
No. 1, pp. 86-96, 2012.
Displacement of Arm 2[m]
1 [7] Y. Katsurayama, C. Jiang, and M. Deng, Experimental Study of

Nonlinear Vibration Control for Vertical Tail with Considering Low Order
Mode, Proceedings of the 2013 International Conference on Advanced
0
Mechatronic Systems, pp. 335-340, 2013.
[8] A. Erturk and D. Inman, Piezoelectric Energy Harvesting, John Wiley
1 & Sons, pp. 353-360, 2011.
[9] G. Chen and Z. Han, Robust right coprime factorization and robust
stabilization of nonlinear feedback control systems, IEEE Transactions
2
on Automatic Control, Vol. 43, No. 10, pp. 1505-1510, 1998.
[10] M. Deng, A. Inoue, and K. Ishikawa, Operator-based nonlinear
3
feedback control design using robust right coprime factorization, IEEE
0 1 2 3 4 5 6 7 8 9 10
Transactions on Automatic Control, Vol. 51 No. 4, pp. 645-648, 2006.
Time[s]
Fig. 6. Displacement of Arm 2 with and without control
arm vibration is reduced comparatively. In Fig. 6, the relative

vibration displacement of Arm 2 obtained from sensor 2 is
illustrated when the motor running for destination. The output
of the system without control is shown in green line, the blue
line is the result by using the tracking controller designed in
Section III with hysteresis compensator. The result shows the
controller we designed is effective to suppress the vibration of
arm and that with compensation controller, the system outputs
better results.
V. C ONCLUSION
In this paper, an experimental system was set up to control
the vibration of an L-shape arm by using piezoelectric actuator.
The L-shape arm vibration was modelled based on Euler-
Bernoulli beam theory. Two operator-based nonlinear feedback
control systems was proposed in this paper, one for linear
motor not only control its motion but also the vibration
of arm, another for piezoelectric actuator considering the
hysteresis non-linearity by non-symmetric Prandtl-Ishlinskii
hysteresis model. Finally, the effectiveness of the proposed
control scheme was conrmed by the experimental results. For
controlling the vibration of arm more effectively, the impact
of linear motor will be investigated in details in our further
work, although the effect is small.
R EFERENCES
[1] K. Waghulde and B. Sinha, Vibration control of cantilever smart beam
by using Piezoelectric actuators and sensors. International Journal of
Engineering and Technology, Vol. 2, No. 4, pp. 259-262, 2010.
[2] M. Deng, Operator-Based nonlinear control system design and appli-
cations, Wiley-IEEE Press, 2014.
[3] M. Deng, C. Jiang, and A. Inoue, and C. Y. Su, Operator based
robust control for nonlinear systems with Prandtl-Ishlinskii hysteresis,
International Journal of Systems Science, Vol. 42, No. 4, pp. 643-652,
2011.
[4] S. Saito, M. Deng, A. Inoue, and C. Jiang, Vibration control of exible
arm experimental system with hysteresis of piezoelectric actuator,
International Journal of Systems Science, Vol. 42, No. 4, pp. 643-652,
2011.
593
Power Balance Control for Switched Reluctance

Generator Integrated in DC Microgrid
T. Wang1,2,4, D. He1,2,4, Q. Wang3, Y.Huo1,2 L. Lu3, J. Li3

1 3
Lanzhou Institute of Physics & National Key Lab of School of Information and Electrical Engineering
Vacuum & Cryogenic China University of Mining & Technology
2
Lanzhou Hongrui Aerospace Electromechanical Equipment Xuzhou 221116, China
4
Co. Ltd. Wuxi Hongrui Aerospace Electromechanical Equipment
Lanzhou, 730000, P.R. China Co. Ltd., Wuxi, China
AbstractThis paper presents a power balance control (PBC) constant-frequency mode, which is not suitable in modern wind
scheme for switched reluctance generator (SRG) wind power power system. Although both PMSG and BDFG can operate
system integrated with DC microgrid. First, a switched under variable-speed and constant frequency mode, the
reluctance generator wind power system is, which acts as complex system structure will bring not only high cost but also
distributed energy source, is integrated with a 24V utility DC low fault toleration. Moreover, speak of PMSG, additional
microgrid. With proper convertor design and control permanent-magnetic material possesses demagnetization
characteristic for SRG system, output voltage ripple is minimized, phenomena which leads to consequently weaken conversion
which makes it possible for directly connection. Then proposed efficiency [6].
PBC is achieved on DSP controller for a 3 phase 12/8 SRG system.
With proposed control scheme and control system, SRG can Switched reluctance generator (SRG), which processes
change control target dynamically with signals on DC bus. In the many advantages of having rigid structure, simple convertor
end, both simulations and experiments demonstrated proposed circuits with god fault tolerance, simple excitation, brushless
PBC well. and easy cooling feature, etc. has been studied for many years
[7]-[8]
. As a generator mainly used in systems with capacity
Keywordsswitched reluctance generator, DC microgrid, below 30kW, SRG has been successfully used in integrated
power balance control, wind power system. starter/generator system, fly-wheel energy storage system,
battery charging system, wind power system, tidal power
I. INTRODUCTION system etc. Although attractive, SRG adoption for microgrid
Since conventional energy sources and environmental system has just begun. Most researches focus on improving
issues are getting worse, the development of microgrid systems, SRG operating characteristics and efficiency, such as
which is normally defined as system integrated with commutation shift improvement, voltage dynamic control for
photovoltaic systems, small scale wind power systems, loads, dynamic and static performance [14]-[15], which is far enough for
energy storage system, is motivated in the last decades[1]-[4]. adoption in microgrid system adoption.
Robustness and compliance with modern dc end-users has In this paper, a SRG based wind power system for common
made DC microgrid an increasingly popular solution for DC microgrid is established. After optimization of power
interfacing distributed generation systems. Moreover, when convertor and excitation angle, the fluctuation of output voltage
compared with AC microgrids, which is usually recommended is effectively inhibited. The generating system is integrated
as the mostly widely used microgrid style, DC systems has with DC microgrid directly which simplifies the system and
advantages in such as increased efficiency and nonexistence of makes it more reliable. To enhance system stability, the paper
synchronization and reactive power flow issues, which makes proposed power balance control scheme for SRG when
it more convenient for system enlargement[5]. integrated with DC microgrid. During operating, SRG changes
Wind power has been proved to be the most economical control target dynamically with signals on DC bus. When
and efficient way, which brings least damage in environmental microgrid is integrated with heavy load, SRG operates for wind
issues, when set to microgrid systems. Induction generators power maximization. On the other hand, when the system is
(IG), permanent magnet synchronous generators (PMSG) and integrated with light load, SRG operates for corresponding
doubly-fed generators (BDFG) are some most widely used power for power quality on DC bus. In the end, proposed
wind power generators. IG operates in constant-speed and control scheme is achieved by DSP controller for SRG system
This work was supported by the following fundings: i) the funding of the
integrated with a 24V microgrid system. Both the simulation
Science and Technology on Vacuum & Cryogenics Technology and Physics and experimental results demonstrated proposed SRG system
Laboratory; ii) Special funds for the development of small and medium-sized and power balance control scheme well.
enterprises on International S&T Cooperation Program between China and
Europe for under Grant No. 2014-163-88,.
978-1-4673-7995-3/15/$31.00 2015
c IEEE 594
II. PRINCIPLE AND CONFIGURATION OF SRG WIND POWER Wind turbine
SYSTEM
DC AC
1). Principle of SRG system micro grid micro grid
Main grid
Fig. 1 shows the typical phase current when SRG is
generating. In 1~2, the angle area for excitation, the Connected
SRG
DC-DC
directly convertor
windings get excited from DC bus. In 2~3, the angle area for DC-
generation, the generated energy is fed back to DC bus. Take AC
DC-DC
one phase for example, the transient phase current and Gearbox SRG convertor
generation power in Fig. 1 can be expressed as follows:
DC-Load AC-Load
wM
U uZ
di wT T di Fig. 2 Configuration of SRG based wind power system connected with
dt iT T 1 dT microgrid
wM dt
1 Developed SRG system is made up of three parts: a three
wi phase 12/8 switched reluctance machine, a three phase

asymmetric bridge power convertor, and a digital controller.
P U T3 U T2

T3 T 2 T 2
i (T ) dT
T 2 T1 T 1
i (T ) dT For low voltage DC micro grid, the dc-link of power convertor
can be connected to DC micro grid without boosting block.
Where U is voltage between winding terminals of SRG With effectively inhibition of output voltage ripple, the
winding, P is generated power, i is transient phase current at generator can be connected with DC micro grid directly. A
position , is rotor speed, is the flux linkage of SRG. As common 24V DC grid is established by a utility DC grid
shown in (1), and U satisfies as follows: integrated with SRG acting as DER and series of changeable
resistors acting as DC-load.
wM ! 0, (T T T )
wT
a m
U ! 0, (T1 T T 2 ) III. PROPOSED POWER BALANCE CONTROL SCHEME AND
, 2
wM
0, (T T T ) U 0, (T 2 T T 3 ) SYSTEM DESIGN

wT m d
1) Propsed power balance control
Proposed power balance control scheme is shown in Fig. 3.
m
The proposed control scheme consists an MPPT controller and
a closed loop voltage controller. When heavy load is connected
IL to microgrid, which requires power supply from utility grid,
Lmax SRG should generate as much power as possible and keep
operating under MPPT mode. When light load is connected to
microgrid, SRG should find out proper generating power to
Lmin a keep DC bus voltage steady.
d +
US*
US US>U2 Max(igie)
1 2 3 iref Current PWM
US PI
P + loop
Power n* n
Fig. 1.Typical phase current of SRG ig
calculating MPPT
+ US<U1 Logic S1~S6
ie PA
Posiotion PB circuits
2). Configuration of SRG based wind power system n
sensing PC
Speed R
Fig. 2 shows the configuration of SRG wind power system, calculating Q
P
which is integrated with microgrid systems. Wind turbines
supply mechanical energy for SRG, which is the core of Fig. 3. Proposed power balance control scheme
electromechanical energy conversion, through gearbox or Proposed power balance control scheme combines MPPT
directly. With proper control characteristic on SRG, the wind scheme and closed-loop voltage control scheme. The digital
power system can operate on optimal power coefficient curve switch, which is used for operating target choosing, is judged
for maximized generated power. by DC bus voltage. When UsU1, the system choose MPPT
mode. Otherwise, when Us>U2, the system choose closed-loop
voltage control, under which not only generating power is
reduced but also DC bus voltage will be normal. When U1Us
U2 present generating power will be kept for the new
power balance condition.
2) System design
Fig. 4 shows the configuration of digital controller. In this
paper, we choose DSP TMS320F28335. The outside circuits
595
contains: JTAG commutation circuits, clock circuits, reset Start
circuits, logic calculation circuits, etc. al..
TDI PWM ADC conversion
TDO GPIO50
PA s1~s6
TRST GPIO51 Voltage/current
JTAG PB Logic
Circuits TMS GPIO52 calculation
EMU0 PC
GPIO53
EMU1 Power calculation
TCK Switch 2
TMS320F28335
N
clock X1/XCLKIN US>U2?
procetion
Y
reset XRS Closed-loop
voltage control
Current/voltage
Button GPIO17~19 ADCINA02 sensing
PI regulator
Position
monitoring GPIO14~16 ECAP13
sensing
Current loop
Fig. 4. Structure of digital controller.
The key of PBC control is to judge operating situation. The Clear flag
cutover point for digital switch may appear in two conditions:
return
i) the system is searching for maximum power point; ii) the
system has just reached steady operating point, however wind (b)
velocity or DC load suddenly changes. Thus, both capture Start
interruption and ADC interruption of DSP are adopted for

digital switch. In capture interruption, switches 1 is set for Error calculator e(t)
MPPT progress; and in ADC interruption, switch 2 is set for
closed-loop voltage control. Flow chart for digital switch is
e(t)=e(t)-e(t-1)
shown in Fig. 5.
Start
I=Kp*e(t)+Ki*e(t)
N
CAP_P=1?
Y iref(t)=I+I(t-1)
Rotor speed
calculation Open Time 0
iref(t-1)=iref(t)
Power
Switch 1 calculation
Clear Time 0 i1=iref(t)-Iwi2=iref(t)+Iw

N
US<U1?
Y
e(t-1)=e(t)
MPPT Period
calculation
Return
PI regulator (c)
Fig. 5. Flow chart for digital switch. (a) Flow chart for switch 1 in capture
interruption; (b) flow chart for switch 2 in ADC interruption; (c) distributed PI
Clear regulator in ADC interruption.
interruption flag
IV. NUMERCIAL SIMULATION
return In order to validate proposed control scheme, numerical
(a) simulation is taken on Matlab/Simulink. We set the two
threshold voltage: U1=24.5V; U2=25V. In Fig. 6, SRG
operates at constant wind velocity and constant load. Wind
velocity is 10m/s, RL=4. When t=2s, PBC starts. With the
addition of generated power, DC bus voltage rises. When
t=6.15s, Us>U2, MPPT stops. The SRG system switches to
closed-loop voltage control. In the end ,the system operates
steadily at (1127r/min,133W).
596
30 30
28
24 24
26 18
U (V)
18
U (V)
U (V)
24 12 12
6 6
22 0
0
40 40
20
1600 30 30
I (A)
I (A)
1350 20 20
n (r/min)
10 10
1100
0 0
850 10 10.002 10.004 10.006 10.008 10.01 19.99 19.992 19.994 19.996 19.998 20
t (s) t (s)
600
240 (c) (d)
180
Fig. 7 Simulated PBC result. (a) RL changes from 1 to 4; (b) RL changes
P (W)
120 from 4 to 1; (c) steady operating point at (822r/min, 194W); (d) steady
60 operating point at (1127r/min, 133W).
0
0 2 4 6 8 10
t (s)
V. EXPERIMENTAL VERIFICATION
Fig. 6. PBC simulation at 10m/s wind velocity when RL=4
1) Experimental platform
The experimental platform, which is shown in Fig. 8(a),
Moreoverboth changing wind velocity and DC load may
includes a 4 phase 8/6 switched reluctance machine, which acts
break existing power balance, when SRG has already begun
as prime mover, a torque sensor and a 3 phase 12/8 switched
steadily operating. However, there are only two conditions for
reluctance generator. Fig. 8(b) shows the photograph of DSP
proposed PBC. If Pg<PL, SRG should operate in MPPT mode.
control board.
If Pg<PL, SRG should operate in closed-loop voltage mode to
stabilize DC bus voltage.
Both assumed wind velocity in Fig. 7(a) & 7(b) are 10m/s.
In Fig. 7(a), RL changes from 1 to 4. When RL=1, SRG
operates at (1127r/min, 133W). When mutation happen, DC
bus voltage drops and UsU1, MPPT mode was restarted. In the
end, SRG operates in a new steadily point (822r/min, 194W),
which is also the maximum power point at present wind 6503ULPHPRYHU 7RUTXHVHQVRU 65*
velocity. On the other side, When RL changes from 4 to 1,
DC bus voltage rises and Us>U2. The closed loop control will
reduce generated power immediately. Steady operating point (a)
changes from (822r/min, 194W) to (1127r/min, 133W), which
is shown as Fig. 7(b).
28 28
26 26
U (V)
U (V)
24 24
22 22
20 20
1600 1600
1350 1350
n (r/min)
n (r/min)
1100 1100
850 850
600 600
240 240 (b)
180 180
Fig. 8. Experimental platform. (a) photograph of prime mover & SRG; (b)
P (W)
P (W)
120 120
photograph of DSP control board.
60 60
0
10 12 14 16 18 20
0
10 12 14 16 18 20
2) PBC experimental verification
t (s) t (s)
In Fig. 9, wind velocity is 10m/s, RL=4. The whole
(a) (b) operating process can be divided into two steps. Step 1: hill
climb MPPT step; step 2: closed-loop voltage & steady
operating step. In the end, SRG operates steadily at
(1093r/min, 166W).
597
Step 1 Step 2 mode to find out new steady operating point to rebuilt power
DC bus voltage balance between SRG and DC load. Furthermore, proposed
PBC can be adopted for SRG stand-alone wind power system,
Rotor speed
whose energy system is limited. This will motivate SRG
market adoption for small scale wind power system.
Generated power
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CONFERENCE

2015 International Conference on

Advanced Mechatronic Systems

August 22-24, 2015

Xiaoguang Zhou, Beijing University of Posts and Telecommunications, China

Hongnian Yu, Bournemouth University, UK

Mengchu Zhou, New Jersey Institute of Technology, USA

Shinji Wakui, Tokyo University of Agriculture and Technology, Japan

Program Chairs: Yixin Yin , University of Science and Technology Beijing,China

Xinkai Chen, Shibaura Institute of Technology, Japan

Luige Vladareanu, Romanian Academy, Romania

Dongyun Wang, Zhongyuan University of Technology, China

Local Arrangement Chairs: Shengjun Wen, Zhongyuan University of Technology, China

Dianwei Qian, North China Electric Power University, China

Special Session Chairs: Z. Q. Lang, University of Sheffield, UK

Jose Ragot, Nancy-Universite, France

F. Smarandache, University of New Mexico, USA

Shiro Masuda, Tokyo Metropolitan University, Japan

J. X. Zhang, Swinburne University of Technology, Australia

Toru Yamamoto, Hiroshima University, Japan

S.G. Ponnambalam, Monash University, Malaysia

B. Bandyopadhyay, Indian Institute of Technology Bombay, India

Yan Shi, Tokai University, Japan

Publication Chairs: Changan Jiang, Ritsumeikan University, Japan

Hossam A. Gabbar, University of Ontario Institute of Technology, Canada

David Raisz, Budapest University of Technology and Economics, Hungary

Yoshihiro Ohnishi, Ehime University, Japan

Giancarlo S. Gajani, Politecnico di Milano, Italy

Manabu Yamada, Nagoya Institute of Technology, Japan

Tomohiro Henmi, Kagawa National College of Technology, Japan

Zijiang Yang, Ibaraki University, Japan

Jinglong Wu, Okayama University, Japan

Students Activity Chairs: Yegui Xiao, Prefectural Univ. of Hiroshima, Japan

Yang Shi, University of Victoria, Canada

Takao Sato, University of Hyogo, Japan

Zabih Ghassemlooy, Northumbria University, UK

Tianyou Chai, Northeastern University, China

Xiaoping Liu, Beijing University of Posts and Telecommunications, China

Akira Inoue, Okayama University, Japan

Tsu-Tian Lee, Chung Yuan Christian University, Taiwan

Honorary General Chairs: Hong Wang, University of Manchester, UK

Chun-Yi Su, Concordia University, Canada

Ken Nagasaka, Tokyo University of Agriculture and Technology, Japan

Ikuro Mizumoto, Kumamoto University, Japan

Zongxiao Yang, Henan University of Science and Technology, China

Quanmin Zhu, University of the West of England, UK

Secretary: Shin Wakitani, Tokyo University of Agriculture and Technology, Japan

Aihui Wang, Zhongyuan University of Technology, China

Xinkai Chen, Shibaura Institute of Technology, Japan

Luige Vladareanu, Romanian Academy, Romania

Dongyun Wang, Zhongyuan University of Technology, China

Members List: Adrian Olaru, University Politehnica of Bucharest, Romania

Ajiboye Osunleke, Obafemi Awolowo University, Nigeria

Chenzhong Li, Florida International University, USA

Cunchen Gao, Ocean University of China, China

Dong Yue, Huazhong University of Science & Technology, China

Eldert van Henten, Wageningen University, Netherlands

Feng Qiao, Shenyang JianZhu University, China

Guangdong Tian, Northeast Forestry University, China

Haibin Yu, Chinese Academy of Sciences, China

Hao Chen, China University of Mining and Technology, China

Hiroyuki Takanashi, Nihon University, Japan

Hongbo Wang, Yanshan University, China

Huijun Gao, Harbin Institute of Technology, China