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Zhihuan Chen, Xiaohui Yuan

School of Hydropower and Information Engineering, Huazhong University of Science and Technology, 430074 Wuhan, China

a r t i c l e i n f o

Article history:

Received 10 June 2013

Accepted 23 October 2013

Available online 21 November 2013

Keywords:

Water turbine regulation system

Parameter identication

Gravitational search algorithm

Particle swarm optimization

Chaotic mutation

a b s t r a c t

Parameter identication of water turbine regulation system (WTRS) is crucial in precise modeling hydro-

power generating unit (HGU) and provides support for the adaptive control and stability analysis of

power system. In this paper, an improved gravitational search algorithm (IGSA) is proposed and applied

to solve the identication problem for WTRS system under load and no-load running conditions. This

newly algorithm which is based on standard gravitational search algorithm (GSA) accelerates conver-

gence speed with combination of the search strategy of particle swarm optimization and elastic-ball

method. Chaotic mutation which is devised to stepping out the local optimal with a certain probability

is also added into the algorithm to avoid premature. Furthermore, a new kind of model associated to

the engineering practices is built and analyzed in the simulation tests. An illustrative example for param-

eter identication of WTRS is used to verify the feasibility and effectiveness of the proposed IGSA, as com-

pared with standard GSA and particle swarm optimization in terms of parameter identication accuracy

and convergence speed. The simulation results show that IGSA performs best for all identication

indicators.

2013 Elsevier Ltd. All rights reserved.

1. Introduction

The engineering simulation study largely depends on the type

of the model used. More accurate model leads to more accurate de-

sign and application. WTRS which is used to control frequency and

output power of hydro-turbine generator sets is one of the most

important parts of hydropower plant. This complicated system is

made up by water turbine speed governor, guide servomotor,

water turbine and generator, in which mechano-electric dynamics

and hydrodynamics are all involved [18]. As the complex charac-

ters of regulation system, it is difcult to extract features from ac-

tual prototype turbine directly for modeling simulation and

control, and hence parameter identication technique which is

used to get accurate simulation model and parameters through

experiments data and priori knowledge is widely studied for WTRS

system in the past decades. Kishor used the neural network nonlin-

ear autoregressive approach on the elastic character and inelastic

character water turbine column respectively and successfully

modeling the pipeline [9,10]. Xiao et al. established RBF neural net-

works models to identify water turbine generating unit [11] and

get a good result. An improved genetic algorithm (GA) is

introduced and applied to the identication problem of hydro

generation system model with uid transients [12], which obtain

higher parameters accuracy. In [13,14], particle swarm optimiza-

tion (PSO) is brought in and used for WTRS system model and

has been proved to be effective in handling the identication

problem. Kou et al. [15] proposed a new approach of bacterial for-

aging optimization algorithm (BFOA) and simulation results show

that the tested and the estimated outputs are in favorable

agreement.

However, for the complicated characters of WTRS, which the

linear model is a non-minimum phase system, these methods usu-

ally have some shortcomings in some extent. Articial neural net-

works (ANN) are easy to handle but hard to establish as the

difcult in choosing sufcient and accurate training data, suitable

training algorithm, number of neurons in the ANN, number of

ANN layers, etc. [16]. As an early proposed swarm intelligence

algorithm, some bad characters of GA and PSO such as trapped in

local optima in possible and premature phenomenons are gradu-

ally emerged in deeper research [1721]. Bacterial foraging optimi-

zation algorithm has little possibility tracking in local optima but

the rejection and attraction computation between Escherichia coli

bacteria is big and need a long time [22]. Therefore, a simplied

and easily implemented approach is especially reasonable for the

identication problem of WTRS.

Recently, a newly developed evolutionary computation optimi-

zation called gravitational search algorithm (GSA) [23,24] which is

based on the law of gravity and mass interactions has been

veried high quality performance in solving different optimization

0196-8904/$ - see front matter 2013 Elsevier Ltd. All rights reserved.

http://dx.doi.org/10.1016/j.enconman.2013.10.060

E-mail address: yxh71@163.com (X. Yuan).

Energy Conversion and Management 78 (2014) 306315

Contents lists available at ScienceDirect

Energy Conversion and Management

j our nal homepage: www. el sevi er . com/ l ocat e/ enconman

problems. Behrang et al. applied GSA to solve the future oil de-

mand forecasting problem [25] and successfully to estimate Irans

oil demand based on the structure of the Iran socio-economic con-

ditions, Gven et al. present the effectiveness and robustness of

GSA in solving the combined economic and emission dispatch

problem under various test systems [26], Duman et al. used GSA

on the optimal power ow and optimal reactive power dispatch

problems in power system [27,28], which obtained a high-quality

solution compared to PSO.

However, like others stochastic algorithm, classical GSA also

may suffer from premature and local convergence problem, espe-

cially in large scale and complex problems. In order to improve

the performance of classical GSA, numerous variants have been re-

ported. Tsai et al. combined PSO velocity and GSA acceleration into

a hybrid variant [29]. Khajehzadeh et al. developed GSA through

introducing an adaptive maximum velocity constraint to the stan-

dard GSA algorithm [30]. Li et al. proposed a kind of piecewise-

based gravitational search algorithm by designing a piecewise

function as the gravitational constant function [31]. Kumar et al.

introduced a new strategy which tunes the gravitational constant

using fuzzy IF/THEN rules [32]. Han and Chang [33] used a cha-

otic secure communication scheme on the GSA to minimize pre-

mature convergence. Ghasemi applied fuzzy-based mechanism

into GSA to gure out multi-objective problems [34]. Mallick

et al. [35] proposed a hybrid PSOGSA based algorithm on the sta-

tic state estimation problem.

Inspired by the thoughts of adding a new component or distur-

bance in classical GSA [2935], an improved GSA is proposed in

this paper, which is conceptually more concise and performs more

effectively than some GSA variants. In the proposed IGSA, we make

three improvements: rstly, the speed of each agent is not only

based on the law of gravity but also impacted by information of

best particle; secondly the off-boundary agents are treated with

a novel strategy, which increases diversity of the agents; nally,

a chaotic mutation operator is incorporated into the searching pro-

cess ensuring any feasible domain visited.

A mathematical model of WTRS associated to prototype turbine

is taken into consideration. This model keeps an eye on the differ-

ent values of water turbine coefcient under frequency distur-

bance condition and load disturbance condition, which is more

suitable for the analysis of power system. In addition, distinguish

from the model in [18], the newly model considers water turbine

in three parts with engineering practice, which makes the model

more close to the real turbine.

The rest of this paper is organized as follows: In Section 2, WTRS

model is introduced, and the parameter identication problem for

the model is formulated. GSA algorithm is introduced and im-

proved in Section 3. Section 4 illustrates the general structure of

using IGSA approach to solve the identication problem. The com-

parative experiments are designed and the results are discussed in

Section 5. The conclusion is drawn in Section 6. Acknowledgment

is given in the end.

2. Model of WTRS

WTRS is a complicated system, mainly contains four parts, i.e.

speed governor, servomechanism, hydraulic system, generator sys-

tem. The structure of WTRS is illustrated in Fig. 1. In Refs. [18], the

simulation of WTRS system is either modeling in an ideal situation

or overly-simplication, which is not suitable for the electricity

system dynamic process modeling and analysis, especially when

the load of HGU is in a uctuated and transient process. In this sec-

tion, a kind of WTRS model with respect to the engineering prac-

tice has been studied and component models of WTRS are

illuminated respectively.

2.1. Model of speed governor

A major of micro-regulator are PID controller in the world. The

PID controller in water turbine could be expressed as [3,8,36]:

rs

1

1 bp

ki

s

kp

ki

s

kd s

1 Td s

_ _

cs xs 1

where kp is the proportional gain, ki is the integral gain, kd is the

differential gain, s is the Laplace operator, Td is the differential time

constant, bp is the feedback coefcient, c(s) and x(s) are the Laplace

transform of given speed c(t) and generator unit speed x(t).

2.2. Model of servomechanism

Servomechanism is the actuator of water turbine. The control-

lers output signal changes into hydraulic signal by the mechano-

electric servomechanism converter and then gradually strengthen

in turn across the guide device, auxiliary servomotor and main ser-

vomotor for providing enough power to operate guide vane. The

transfer function of servomechanism could be shown as [18]:

ys

1

Ty s 1

rs 2

where y(s) is the Laplace transform of guide vane opening signal

y(t), Ty is the inertia time constant of servomechanism.

2.3. Model of hydraulic system

Hydraulic system is the key component in WTRS, and it is a very

complicated system with multi-parameters, time-varying and non-

minimum phase characteristics. There is not any analytic expres-

sion to describe this system until now. However, associated to

the engineering practice [36], it usually can be considered into

three parts:

(1) The uid characteristics of penstock pipeline. Water pen-

stock is taken to be incompressible if penstock is short or

medium in length, the transfer function of penstock system

is [3,8,36]:

hs

qs

Tw s 3

where Tw is the water time constant, h(s) is the Laplace transform of

water head signal h(t), q(s) is the Laplace transform of turbine ow

rate signal q(t).

(2) The characteristics of hydro-turbine. In small signal perfor-

mance condition, we describe the uid character and torque

character of hydro-turbine as following [3,8,36]:

mts ex xs ey ys eh hs

qs eqx xs eqy ys eqh hs

_

4

where mt(s) is the Laplace transform of generated water torque

mt(t) throughout the water-hammering action, ex, ey, eh, eqx, eqy,

eqh are the partial derivatives of turbine whose calculation methods

are introduced in Ref. [36].

(3) The character of turbine rotor and mechanical inertia of

hydraulic plant. It can be accounted as a part of generators

mechanical inertia.

2.4. Model of generator system

Generator system in WTRS can be considered into two parts,

namely synchronous generators and load in grid. The model of syn-

chronous generators is often simplied as a one-order system, in

which HGU is considered as rigid body with a certain rotated

Z. Chen et al. / Energy Conversion and Management 78 (2014) 306315 307

inertia. The transfer function of synchronous generators could be

shown as [18]:

xs

mts mgs

1

Ta s eg ex

5

where mg(s) is the Laplace transform of load torque mg(t), Ta is the

inertia time constant of generator, eg is the adjusting coefcient of

generator.

The model of load in grid also has a certain rotated inertia,

which includes the rotational inertia of various electromotor and

electric drive system. The function of inertia time constant of load

is similar to the function of inertia time constant of generator,

which is always recorded as Tb. Thus, Eq. (5) can be modied as fol-

lows once we considered the impact of load character.

xs

mts mgs

1

Ta

0

s eg ex

6

where Ta

0

= Ta + Tb, the value of Ta and Tb is usually measured by

means of the simulation experiments. Based on previous experi-

mental data, Tb = (0.240.30)Ta.

The transfer function of WTRS is shown in Fig. 2 [36]. From

Fig. 2, it can be found that WTRS is a high-order, multi-inputs

and multi-outputs (MIMO) system. In order to obtian the relation-

ship of different inputs and outputs, state space analysis is used in

this section. To easy building the state equations, the PID controller

in Fig. 2 makes the following changes:

kds

Tds1

kd

Td

kd=Td

Tds1

and the

rst part

kd

Td

is incorporated into the proportional gain kp. Selecting

x(t), xd(t), xi(t), y(t), h(t) as state variables (i.e. state vector

X x xd xi y h

T

, the parameters in X are marked in Fig. 2)

and c(t), mg(t) as input variables (i.e. input vector u mg c

T

,

the parameters in u are marked in Fig. 2), the state equations for

WTRS could be deduced as:

_

X

a11 0 0 a14 a15

a21 a22 0 0 0

a31 a32 a33 0 0

a41 a42 a43 a44 0

a51 a52 a53 a54 a55

_

_

_

_

X

b11 0

0 b22

0 b32

0 b42

b51 b52

_

_

_

_

u 7

where

a11

ex eg

Ta

0

; a14

ey

Ta

0

; a15

eh

Ta

0

a21

kd

Td

2

; a22

1

Td

a31 ki bp kp

kd

Td

_ _

1

_ _

; a32 ki bp; a33 ki bp

a41

kd kp Td

Td Ty

; a42

1

Ty

; a43

1

Ty

; a44

1

Ty

a51

eqx eg ex

Ta

0

eqh

eqy

Ty eqh

kp

kd

Td

_ _

; a52

eqy

eqh Ty

;

a53

eqy

eqh Ty

a54

1

eqh

eqy

Ty

eqx ey

Ta

0

_ _

; a55

1

eqh

eqx eh

Ta

0

1

Tw

_ _

b11

1

Ta

0

; b22

kd

Td

2

; b32 ki ki bp kp

kd

Td

_ _

;

b42

kd kp Td

Ty Td

b51

eqx

eqh Ta

0

; b52

eqy

eqh Ty

kp

kd

Td

_ _

3. The improved gravitational search algorithm

3.1. Brief introduction of GSA

GSA is a newly developed stochastic search algorithm based on

the physical law of gravity and the law of motion. In this new ap-

proach, a set of agents has been proposed to nd optimum solution

by analogy of Newtonian laws. Agents are considered as objects

and their performance are measured by their masses, and these ob-

jects attract each other by the gravity force, while this force causes

a global movement of whole objects towards the objects with

Generator system Hydraulic system

Speed

governor

Servo-

mechannism

Penstock

Water

turbine

Generator

Load

Fig. 1. Block diagram of water turbine regulation system.

Fig. 2. Mathematical simulation of water turbine regulation system.

308 Z. Chen et al. / Energy Conversion and Management 78 (2014) 306315

heavier masses [23]. The following describes how GSA works for

the problem to be solved.

Usually, the target problem in the real world can be turned into

a minimization or maximization mathematical optimization prob-

lem, and then the GSA is used to solve this optimization problem.

Without loss of generality, in this section, we take minimization

problem as an example, which can be expressed as follows:

min f x x 2 R

n

8

where R

n

is the feasible domain in n dimensions of target problem.

Assumed there are N agents, the position of the ith agent is de-

ned as follows:

X

i

x

1

i

; . . . ; x

d

i

; . . . ; x

n

i

for i 1; 2; . . . ; N 9

where x

d

i

is the position of the ith agent in the dth dimension.

Masses are computed after calculating the tness of agents as

follows:

m

i

t

fit

i

tworstt

besttworstt

M

i

t

m

i

t

N

j1

m

j

t

_

_

10

where M

i

(t) and t

i

(t) represent mass and tness value of the ith

agent at time t, and best(t) and worst(t) respectively specify the

strongest and the weakest agent with regard to their tness route,

which is dened as follows (the denition of best(t) and worst(t)

for maximization optimization problem is on the contrary):

bestt min

j2f1;...;Ng

fit

j

t

worstt max

j2f1;...;Ng

fit

j

t

_

_

_

11

According to Newton gravitation theory, the force acting on the

ith agent from the jth agent at time t is calculated as follows:

F

d

ij

t Gt

M

i

t M

j

t

R

ij

t n

x

d

j

t x

d

i

t 12

where G(t) is gravitational constant at time t, R

ij

(t) is the Euclidian

distance between ith agent and jth agent (i.e. R

ij

(t) = kx

i

(t), x

j

(t)k

2

).

n is a small constant which is set for avoiding the divisor equal to

zero. (There usually uses R

ij

(t) instead R

2

ij

t in GSA because re-

searches show that the performance of R

ij

(t) is better than R

2

ij

t in

most cases.)

Based on the law of motion, the agent acceleration a

d

i

t is cal-

culated as follows:

a

d

i

t

j2kbest; ji

rand

j

F

d

ij

t

M

i

t

j2kbest; ji

rand

j

Gt

M

j

t

R

ij

t n

x

d

j

t x

d

i

t 13

where kbest is the set of rst K agents with the best tness value

and biggest mass, which is a function of time, initialized to K

0

at

the beginning and decreased with time, rand

j

is a random number

in the interval [0, 1]. (kbest is set to decrease the unnecessary calcu-

lation and enhance the efciency of optimization).

Thenthe next velocity of an agent is consideredas a fractionof its

current velocity added to its acceleration. Therefore, the next veloc-

ity and newly position of an agent can be computed as follows:

v

d

i

t 1 rand

i

v

d

i

t a

d

i

t 14

x

d

i

t 1 v

d

i

t x

d

i

t 15

where v

d

i

t and x

d

i

t are the velocity and position of ith agent at

time t in the dth dimension, respectively. rand

i

is a random number

between 0 and 1. It is to give a randomized feature to the search.

It must be pointed out that the gravitational constant G(t) is

important in determining the performance of GSA and dened as

follows:

Gt G

0

exp b

t

t max

_ _

16

where G

0

is the initial gravitational constant, b is a constant, t is the

current iteration, t_max is the maximum iteration.

The principle of GSA is shown in Fig. 3.

3.2. Improvements on GSA

A major of meta-heuristic optimization algorithms searching

the best solution due to the balance of two related concepts: explo-

ration and exploitation [37,38]. Exploration seeks to understand

the connectivity relationship of the search space, which is helpful

to the global optimal solution; exploration hunts for better optimal

solutions in adjacent area of the visited domain, which can

strengthen the convergence capability of local search. So an excel-

lent algorithm should improve the exploration ability in the rst

stage and then enhance the exploitation ability in the second stage

with the iterations increasing. In this section, some strategies

which can enhance the exploration and the exploitation ability of

algorithms are introduced.

3.2.1. Combination with particle swarm optimization

The reason why birds are able to nd foods mainly owes to the

capability of communication and memory among the ock. PSO

algorithm is the imitation of this capability. In the standard GSA,

the movement direction of each agent is determined by the total

force that other better agents act on it and lacking of communica-

tions between the agents. So in this paper, we try to improve the

searching ability of GSA by introducing the communication and

memory characteristics of PSO. The newly moving which is obedi-

ent to the law of gravity and received guide of memory and social

information is dened as follows:

v

d

i

t 1 r1 v

d

i

t a

d

i

t c1 r2 P

d

ibest

t x

d

i

t

c2 r3 G

d

best

t x

d

i

t 17

x

d

i

t 1 x

d

i

t v

d

i

t 18

Generate initial population

Evaluate the fitness for each agent

Update G, best and worst of the population

Calculate M and a for each agent

Update velocity and position

Meeting end of criterion

No

Return best solution

Yes

Fig. 3. Principle of GSA algorithm.

Z. Chen et al. / Energy Conversion and Management 78 (2014) 306315 309

where r

1

, r

2

and r

3

are random variables in the range [0, 1], c

1

and c

2

are learning genes in the range [0, 2], P

ibest

(t) is the best position that

ith agent has ever suffer until time t, G

best

(t) is the past global best

position in the agents at time t.

This new strategy which is a hybrid and universal format of GSA

and PSO has been conrmed to own a faster convergence speed

(i.e. strong exploitation capability) than standard PSO and GSA

[3]. Besides, the special moving mechanism of GSA in Eq. (17) pro-

vides a slower motion of agents in the search space and hence a

more precise search [23].

3.2.2. Elastic-ball strategy

It is normal to encounter the agents whose movement positions

are beyond boundary during the evolutionary process for many

stochastic algorithms. We often handle it with the following

strategy:

if x

d

i

t > Ubd x

d

i

t Ubd or

if x

d

i

t < Lbd x

d

i

t Lbd 19

where Ub(d) and Lb(d) are upper limit and lower limit in the dth

dimension.

All off-boundary agents are gathered in the boundary after such

processing, which will generate a huge force compelling other

agents to move forward boundary in accordance with law of grav-

ity and the uniform distribution of agents is disrupted, which is

great harmful to the global exploration, especially when there

are local optimums around the boundary. Therefore, a new treat-

ment named elastic-ball strategy is used in this paper. This novel

strategy imitates the characteristic that the elastic-ball reects

back excessive information if there is a barrier blocking its moving

direction and described as follows:

if x

d

i

t > Ubd outside x

d

i

t Ubd x

d

i

t Ubd outside

20

if x

d

i

t < Lbd outside Lbd x

d

i

t x

d

i

t Lbd outside

21

After dealing with the two steps, most agents rebound to the

feasible domain. The few rest agents against the boundary will

be reset position as follows:

if x

d

i

t > Ubdjjx

d

i

t < Lbd x

d

i

t rand Ubd

Lbd Lbd

22

This novel elastic-ball strategy has overcome the shortcomings

that pulling the off-boundary agents back to the boundary directly

maybe mislead evolution steps and enhanced the varieties of

searching agents at the same time, which is helpful to the global

exploration.

3.2.3. Mutation operator based on chaotic behavior

Premature phenomenon and local convergence are the com-

mon problems for many intelligence algorithms and one of the

effective approaches in the current is brought in a mutation oper-

ator to overcome these unhealthy performances. In this paper, a

chaotic mutation operator which is able to visit all points in a

specied range without any repeat is incorporated into the im-

proved algorithm. The chaotic mutation searches optimal by

means of regularity, ergodicity and intrinsic stochastic properties

of chaotic motion and can nd out global optimum in great prob-

ability. By mutating the best particle based on chaotic sequences,

the current best agents will leap out local tracking and looking for

a better available solution in global. In order to ensure the muta-

tion operator would not make the tness of populations worse,

only if obtained agent by mutation is better than the worst agent,

it will replace the worst one in next generation. The chaotic pro-

cedure is described as follows:

(1) Create a newparticle X

new

x

1

new

; . . . ; x

d

new

; . . . ; x

n

new

and let it

be the best particle Gbest in populations as: X

new

= Gbest.

(2) Convert the position of X

new

into a chaos vector e as follows:

ed

0

x

d

new

Lbd

Ubd Lbd

d 1; 2; . . . ; n 23

where e(d) is the element of chaos vector e in the dth dimension.

(3) Search the global area by Logistic map as follows:

ed

0

u ed 1 ed 24

where e(d)

0

is the Logistic map result of vector variable e(d), u is a

control variable in which u = 4, the mapping is in full state.

(4) Convert the obtained chaos vector e(d)

0

into the position as

follows:

X

new

d Lbd ed

0

Ubd Lbd d 1; 2; . . . ; n 25

(5) Calculate tness of obtained new position X

new

and compare

it with tness of the worst particle Gworst in the population.

If X

new

s is better, replace Gworst by X

new

; else remap and

relocate new Logistic vector with iterative calculation of

Generate initial population

Evaluate agents fitness and store Pbest and Gbest

Update best(t), worst(t), and M(t) in the population

Calculate gravitational constant and acceleration for each agent

Update the velocity and position for each agent

Meeting end of criterion

Yes

Elastic-ball strategy

is invoked

Chaotic mutation is conducted for the best agent

Yes

No

Beyond boundarys

Evaluate the fitness for each agent s new position

Update Pbest and Gbest in the population

Return best solution

No

No

Fig. 4. Flowchart of the newly IGSA algorithm.

310 Z. Chen et al. / Energy Conversion and Management 78 (2014) 306315

Eqs. (23) and (24) several times until the tness of X

new

is

better than the tness of Gworst or the mapping is covered

with every corner in the searching range.

Through chaotic mutation, the best agent has a bigger possibil-

ity to leap out the current local optimal domain if there are any

other better unsearched regions (i.e. strong exploration ability).

In addition, excellent characters of chaos movement such as

searching feasible areas without repeat are also contributed to glo-

bal exploitation.

By means of three strategies added in the algorithm, the im-

proved GSA (IGSA) is summarized as the following and is illus-

trated by the diagram in Fig. 4. In this work, IGSA will be used to

solve the model parameter identication problem and is applied

in parameter identication of WTRS. The performance of IGSA

and effectiveness of the improvements in this section will be dem-

onstrated through results in the later identication experiments.

Step 1: Initialization. Randomly initialize the agent position and

velocity.

Step 2: Fitness evolution. Calculate the tness of agents by their

initial position, storing current position of each agent as

the best history record position of the agent (i.e.

P

best

i

t x

i

t for t = 1) and position of best agent gbest(t)

(which owns the biggest tness value in the population)

as the best position in global (i.e. G

best

(t) = gbest(t) for

t = 1).

Step 3: Update best(t), worst(t), and M

i

(t) for i = 1, 2, . . . , N.

Step 4: Calculate gravitational constant in the current iteration

and acceleration for each agent.

Step 5: Update agents velocity and position with Eqs. (17) and

(18).

Step 6: Judge whether the new position of the agent is beyond

the boundary. If the new position is against the bound-

ary, elastic-ball program is invoked.

Step 7: Evaluate the tness in accordance with each agents new

position.

Step 8: Compare the obtained tness of new position x

i

(t + 1)

with tness of P

best

i

t while i changes from 1 to N. If

x

i

(t + 1) has a better tness value, replace position of

P

best

i

t by x

i

(t + 1).

Step 9: Compare tness of the agents with G

best

(t). If there is an

agent has a better tness than tness of G

best

(t), G

best

(t)

will be replaced by the position of the agent.

Step 10: Chaotic mutation is conducted for the best agent.

Step 11: Repeat Step 3 to Step 10 until the stop criteria reached.

4. The parameter identication strategy

For a system with known model structure but unknown

parameters, the parameter identication problem can be

converted into an optimization problem. The unknown

parameters vector for WTRS is usually set as a particle in swarm

or a gene in chromosome and a performance function measuring

how well the model response ts the system response is built to

optimize.

4.1. Objective function based on WTRS system

The model of WTRS has been illustrated by Fig. 2. The turbine

speed x, guide vane opening y and water torque m

t

are observed

output state variables. Although three outputs are selected as state

output variables, their contribution and importance in solving the

problem of parameter identication are different. At the same var-

iation of parameters, the more signicant the output of identied

model deviates from that of original system, the more important

the output in the objective function will be. And the weight for this

output is heavy. In this way, weights of different errors outputs are

designed, according to the signicance of deviation. The improved

object function is dened as:

C

IOF

h

N

k1

n

j1

wjz

j

k

^

z

j

k

2

26

where parameter vector h kp ki kd Ty Tw Ta

0

eg , out-

put of actual system z x y m

t

, z

_

x

_

y

_

m

_

t

is simulated

output of identied model, N is the number of samples, n is dimen-

sion of system output vector, in this work, n = 3, the weight vector

w w

1

w

2

w

3

.

The weights are calculated according to following steps:

(1) Set value of vector parameters h

i

, i = 1, 2, . . . , m (m is the

dimension of parameter vector h) in the WTRS system, and

obtain system output z

j

(k), k = 1, 2, . . . , N, j = 1, 2, . . . , n.

(2) Loop A: j = 1:n.

Loop B: i = 1:m.

Vary the ith parameter, h

new

= h

i

(1 + D%), and obtain sys-

tem output ^z

ji

k.

Calculate w

ji

kz

ji

^z

ji

k

2

.

The jth weight w

j

= average(w

ji

).

End Loop B.

End Loop A.

Original

system

Original

system

Measured

output

x

Estimated

system

Estimated

system

Fitness

Evaluator

Fitness

Evaluator

y

t

m

y

x

t

m

Simulated

output

IGSA-based

identifier

IGSA-based

identifier

System input

Identified parameter

(

IOF

C

Fig. 5. Diagram of IGSA based WTRS parameter identication.

Table 1

Transfer coefcients of turbine under two running condition.

Working condition Transfer coefcients in the water turbine system

ex ey eh eqx eqy eqh

No-load 1.0567 0.9080 1.4191 0.0574 0.7887 0.4571

Load 1.4673 0.7713 1.7179 0.4901 0.8184 0.7257

Z. Chen et al. / Energy Conversion and Management 78 (2014) 306315 311

4.2. Parameter identication strategy

As shown in Fig. 5, the original and estimated systems are sup-

plied with a same excitation inputs and their outputs are given as

inputs to the tness evaluator, where the tness is calculated. The

tness function C

IOF

^

h is then used by IGSA-based identier to

identify the unknown parameter vector

^

h. By minimizing of tness

function through IGSA, the outputs of estimated system approxi-

mates to the outputs of original system, while the unknown

parameters trend to be equal with real values.

Parameter identication accuracy is measured by parameter er-

ror (PE):

PE

jh

i

^

h

i

j

h

i

100% i 1; 2; . . . ; m 27

and average parameter error (APE):

APE

1

m

m

i1

jh

i

^

h

i

j

h

i

100% 28

where h

i

is the parameter elements of h in original system,

^

h

i

is the

parameter elements of

^

h in estimated system, m is the size of h.

5. Experiments and results analysis

In this section, the WTRS is simulated in MATLAB, and the pro-

posed IGSA is applied to identify the parameters of simulated sys-

tem. The model of WTRS is illustrated in Fig. 2. Seven key

parameters are chosen to be estimated in simulation experiments

which are kp, ki, kd, Ty, Tw, Ta

0

and eg.

Inexperiments, simulationmodel of WTRS are excitedunder two

condition, loadconditionandno-loadcondition. Under no-loadcon-

dition, step disturbance of speed is employed to excite the system,

andunder loadcondition, stepdisturbanceof loadis employedtoex-

cite the system. The parameters of simulated model are set values

adopted in a Chinese hydroelectric station as follows:

Table 2

Comparison of average identication results of different methods under no-load condition.

Identied parameters h

i

System real value Average of identied parameters (30 trials)

PSO GSA IGSA

^

h

i

PE ^

h

i

PE ^

h

i

PE

kp 5.5912 6.0418 0.0806 5.9529 0.0716 5.5919 0.0007

ki 1.0611 0.0749 0.9295 0.5954 0.4477 1.0596 0.0033

kd 3.2800 4.1630 0.2692 3.5520 0.0921 3.2805 0.0006

Ty 0.1000 0.1472 0.4724 0.1180 0.1917 0.1000 0.0012

Tw 1.5000 1.4712 0.0197 1.4708 0.0283 1.5000 0.0004

Ta

0

12.000 17.159 0.4299 14.035 0.1762 12.005 9.0E-5

eg 0.4433 0.5071 0.1613 0.4148 0.0665 0.4431 0.0016

Table 3

Mean best cost and mean APE of 30 times under no-load condition.

PSO GSA IGSA

Mean best cost 86.319 20.782 0.0117

Mean APE 0.3375 0.1534 0.0013

0 20 40 60 80 100

0

500

1000

1500

2000

2500

3000

3500

4000

C

o

s

t

Iteration

PSO GSA IGSA

Fig. 6. Comparison of average iteration process under no-load condition.

20 40 60 80 100

0

20

40

60

80

100

120

140

160

180

200

C

o

s

t

Iteration

PSO GSA IGSA

Fig. 7. Local magnication of average iteration process under no-load condition.

0 5 10 15 20 25 30

0

1

2

Time

S

p

e

e

d

original system estimated system

0 5 10 15 20 25 30

-10

0

10

Time

T

o

r

q

u

eoriginal system estimated system

0 5 10 15 20 25 30

0

5

10

Time

G

u

i

d

e

v

a

n

e

original system estimated system

Fig. 8. Comparison of system outputs using IGSA under no-load condition.

312 Z. Chen et al. / Energy Conversion and Management 78 (2014) 306315

The gains of PID in steady-state working condition are 5.5912,

1.0611, and 3.2800 (i.e. kp = 5.5912, ki = 1.0611, kd = 3.2801). The

characteristic parameter of penstock in the hydroelectric station

is calculated to approximate equal to 1.5 (i.e. Tw = 1.5). The inertia

time constant and the adjusting parameter of generator and load

are equal to 12 and 0.4433 respectively through the measurement

(i.e. Ta

0

= 12, en = 0.4433). The major servomotor time constant is

nearly approach 0.1 according to the historical data (i.e. Ty = 0.1).

The feedback coefcient and the differential time constant is set

to 0.04 and 0.28 according to the ever experience (i.e. bp = 0.04,

Td = 0.28).

The parameters of water turbine under different conditions are

shown in Table 1.

Based on the above discussion, the parameter vector (i.e.

h kp ki kd Ty Tw Ta

0

eg ) in original system is set as

h 5:5912 1:0611 3:2801 0:1 1:5 12 0:4433. The simu-

lation time is set to be 30 s which is long enough to make sure the

system change to be stable from a transient process. The sampling

time is set to be 0.01 s which is fast enough to capture system

dynamic process. The outputs in vector z, which contains turbine

speedx, guide vane opening y andturbine torque m

t

, are all sampled.

5.1. Comparison of identication method under no-load condition

In this part of experiments, IGSA, GSA and PSO have been em-

ployed to identify the parameters in the dynamic model of WTRS.

A step disturbance of given speed is adopted to excite the system.

The model described in Section 2 is simulated as the original sys-

tem, and experiments of parameter identication are conducted.

In simulation, to perform fair comparison in tness evaluation,

population size of PSO, GSA and IGSA are all 80. The maximum

generation is set to be 100 in the three algorithms. For GSA,

G

0

= 30, b = 10; For PSO, w = 0.6, c1 = c2 = 2; For IGSA, c1 = c2 = 2,

G0 = 30 and b = 10. In order to overcome the randomness of three

heuristic algorithms, 30 trials are tried and average results are

obtained.

Table 4

Comparison of average identication results of different methods under load condition.

Identied parameters h

i

System real value Average of identied parameters (30 trials)

PSO GSA IGSA

^

h

i

PE ^

h

i

PE ^

h

i

PE

kp 5.5912 8.7602 0.5668 6.4076 0.1538 5.6170 0.0060

ki 1.0611 1.4695 0.3938 1.1587 0.0988 1.0654 0.0052

kd 3.2800 4.1421 0.3530 3.5340 0.0928 3.2827 0.0044

Ty 0.1000 0.0500 0.5416 0.0950 0.1591 0.0997 0.0122

Tw 1.5000 1.4294 0.0471 1.4680 0.0240 1.4981 0.0021

Ta

0

12.000 17.685 0.4737 13.448 0.1262 12.043 0.0046

eg 0.4433 0.4312 0.0377 0.4482 0.0415 0.4458 0.0082

Table 5

Mean best cost and mean APE of 30 times under load condition.

PSO GSA IGSA

Mean best cost 0.5528 0.0923 0.0017

Mean APE 0.3448 0.0995 0.0061

0 20 40 60 80 100

0

5

10

15

20

25

C

o

s

t

Iteration

PSO GSA IGSA

Fig. 9. Comparison of average iteration process under load condition.

20 40 60 80 100

0.0

0.5

1.0

1.5

2.0

2.5

3.0

3.5

4.0

C

o

s

t

Iteration

PSO GSA IGSA

Fig. 10. Local magnication of average iteration process under load condition.

0 5 10 15 20 25 30

0

0.1

0.2

Time

T

u

r

b

i

n

e

s

p

e

e

d

original system estimated system

0 5 10 15 20 25 30

-2

-1

0

Time

T

u

r

b

i

n

e

t

o

r

q

u

e

original system estimated system

0 5 10 15 20 25 30

-1.5

-1

-0.5

0

Time

G

u

i

d

e

v

a

n

e

original system estimated system

Fig. 11. Comparison of system outputs using IGSA under load condition.

Z. Chen et al. / Energy Conversion and Management 78 (2014) 306315 313

Comparing identication accuracy of different methods under

no-load, PE is used and listed in Table 2. Simulation results consid-

ering best cost and APE are listed in Table 3. In Tables 2 and 3, it is

seen that compared with GSA and PSO, IGSA achieve better param-

eter identication accuracy. In Table 2, the mean cost and mean

APE are as small as 0.0117 and 0.0013, respectively, much smaller

than those achieved by other methods, which conforms the valid-

ity of improvement measures added.

The convergence of algorithms is compared in Fig. 6, which

exhibits the average convergence of 30 times, it is seen that IGSA

could converge on the optimal quickly compared with other meth-

ods. Although in the incipient evolution period, the convergence of

PSO algorithm is better, but 20 iteration later, Fig. 7 which is the

local magnication gure of Fig. 6 exhibits IGSA has a faster con-

vergence speed while the other algorithms are tracking in a local

optimal soon.

Fig. 8 shows the estimated system outputs of WTRS obtained by

using the average identied parameters with IGSA, and then com-

pared with original system outputs, where guide vane opening,

turbine torque and turbine speed are compared. It is obvious origi-

nal curves and estimated curves are very closely, which means

parameter identication is effective and obtained higher accuracy.

5.2. Comparison of identication method under load condition

In order to verify the validity of IGSA in parameters identica-

tion of WTRS, different running conditions of WTRS is considered.

In this part, the system is under load condition, and a step distur-

bance of load is employed to excite the system. The parameters

regarding to water turbine under load condition is shown in

Table 1, the parameter vector set in original system is not changed,

and parameters of PSO, GSA and IGSA are also keep unchanged.

Identication experiments are repeated 30 times, average indices

of results are taken into consideration

Tables 4 and 5 show the identication accuracy achieved by dif-

ferent algorithms, where average PE, APE and best cost are taken

into consideration. The results show clear that compared with

PSO and GSA, IGSA performs best on all indices, which means the

proposed IGSA is effective. The average convergence process of

PSO, GSA and IGSA are compared in Figs. 9 and 10, which shows

that IGSA possesses excellent ability in obtaining optimal value

of cost function compared with other algorithms. Identied out-

puts using the average parameters based on IGSA are compared

with the original system outputs in Fig. 11, which exhibits the

identied system meet original system perfect.

6. Conclusion

In this paper, the problem of parameter identication of WTRS

is studied. A simulation model associated with engineering experi-

ence is brought in. An improved gravitational search algorithm is

proposed to the parameters identication of WTRS. Simulation re-

sults are provided to validate the effectiveness of the identied

method. It is shown that IGSA is capable of solving the problem

of parameters identication. Comparing to GSA and PSO, IGSA per-

forms the best with high accuracy and stability. Meanwhile, the

identication method is not focus on the specic input signal,

which is easy to implement in the system simulation and conve-

nient to transplant into other parameter identication problems.

Acknowledgment

The authors gratefully acknowledge the nancial supports from

National Natural Science Foundation of China under Grant No.

51379080.

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