IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 66, NO.

1, JANUARY 2019 265

An Overall Distribution Particle Swarm

Optimization MPPT Algorithm for Photovoltaic
System Under Partial Shading
Hong Li , Senior Member, IEEE, Duo Yang , Wenzhe Su , Jinhu Lü , Fellow, IEEE,
and Xinghuo Yu , Fellow, IEEE

Abstract—Solar photovoltaic (PV) systems under partial

shading conditions (PSCs) have a nonmonotonic P–V char-
acteristic with multiple local maximum power points, which
makes the existing maximum power point tracking (MPPT)
algorithms unsatisfactory performance for global MPPT, if
not invalid. This paper proposes a novel overall distribution
(OD) MPPT algorithm to rapidly search the area near the
global maximum power points, which is further integrated
with the particle swarm optimization (PSO) MPPT algorithm
to improve the accuracy of MPPT. Through simulations and Fig. 1. Structure of the PV array.
experimentations, the higher effectiveness and accuracy of
the proposed OD-PSO MPPT algorithm in solar PV systems
is demonstrated in comparison to two existing artificial in- friendliness. Solar energy is considered one of the most im-
telligence MPPT algorithms. portant renewable energy sources and has been widely used in
photovoltaic (PV) power generation [1]–[5]. However, the low
Index Terms—Maximum power point tracking (MPPT),
particle swarm optimization (PSO), partial shading condi- efficiency and high cost of PV systems impede the development
tions (PSCs), solar photovoltaic (PV) systems. of PV power generation. Since the output characteristics of PV
panels are influenced by external factors, such as solar irradi-
ance and temperature, the maximum power point (MPP) of a
I. INTRODUCTION PV panel will vary along with these external factors. Therefore,
N RECENT years, the rapid consumption of fossil fuels an effective maximum power point tracking (MPPT) technique
I has resulted in severe environmental pollution, making re-
newable energy sources a more favorable option in generat-
is of great importance for efficiency improvement of PV power
generation systems.
ing electricity due to their inexhaustibleness and environmental In a PV system, each PV array consists of many PV pan-
els connected in series and parallel to exert high voltage and
Manuscript received October 3, 2017; revised January 11, 2018 and high current, for the purpose of increasing output power of PV
March 10, 2018; accepted April 2, 2018. Date of publication April 24, arrays, as shown in Fig. 1. There are two types of diodes in
2018; date of current version August 31, 2018. This work was supported a solar power system, which are bypass diodes and blocking
in part by the National Key Research and Development Program of China
under Grant 2016YFB0800401, in part by the General Programs of the diodes for different purposes. Blocking diodes prevent back-
National Natural Science Foundation of China under Grant 51577010, flow of electricity. Bypass diodes are used to inhibit hotspot
Grant 51777012, Grant 61621003, and Grant 61532020, and in part heating effect and reduce the power loss due to shading. This
by the Fundamental Research Funds for the Central Universities under
Grant 2017JBM054. (Corresponding author: Hong Li.) situation is defined as PSC where each panel may receive and
H. Li and W. Su are with the School of Electrical Engineering, Bei- experience different solar irradiations and temperatures at the
jing Jiaotong University, Beijing 100044, China (e-mail: [email protected]; same time [5]–[9]. When a PV array is under PSCs, its P–V
[email protected]).
D. Yang is with the China Academy of Railway Sciences Corporation (power–voltage) characteristic curve will have multiple peaks.
Limited, Beijing 100081, China (e-mail: [email protected]). Among all the peaks, there is only one global MPP (GMPP), and
J. Lü is with the School of Automation Science and Electrical Engineer- other peaks are called local MPPs (LMPPs). In the literature,
ing, State Key Laboratory of Software Development Environment, and
Beijing Advanced Innovation Center for Big Data and Brain Machine In- many MPPT algorithms [11]–[29] have been proposed to track
telligence, Beihang University, Beijing 100083, China, with the Academy the GMPP of PV systems under PSCs.
of Mathematics and Systems Science, Chinese Academy of Sciences, It is well-understood that the traditional MPPT algorithms,
Beijing 100190, China, and also with the University of Chinese Academy
of Sciences, Beijing 100049, China (e-mail: [email protected]). such as perturbation and observation (P&O) algorithm, incre-
X. Yu is with the RMIT University (Royal Melbourne Institute of Tech- mental conductance (IC) algorithm, and constant voltage (CV)
nology), Melbourne, VIC 3000, Australia (e-mail: [email protected]). algorithm, cannot well track the GMPP under PSC [2]. To solve
Color versions of one or more of the figures in this paper are available
online at http://ieeexplore.ieee.org. the GMPPT problem, many other algorithms have been pro-
Digital Object Identifier 10.1109/TIE.2018.2829668 posed. The algorithm presented in [10] is an improvement of
0278-0046 © 2018 IEEE. Personal use is permitted, but republication/redistribution requires IEEE permission.
See http://www.ieee.org/publications standards/publications/rights/index.html for more information.

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266 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 66, NO. 1, JANUARY 2019

the IC algorithm, which can find the GMPP by identifying all

LMPPs and GMPP, but it requires a wide range of information
about the PV arrays, such as open-circuit voltage and short-
circuit current of each PV panel. The GMPPT algorithm pro-
posed in [5] is to scan the P–V curve by increasing the output
voltage of PV array step by step, which is helpful to improve the
transient response of the PV system and increase the tracking Fig. 2. Equivalent circuit model of a PV panel.
speed. However a high-precision, fast-speed digital processor is
required for the implementation of this algorithm, which will
not require any hardware information of PV systems and is able
increase the cost of the overall PV system. The proposed MPPT
to search and find the GMPP accurately and rapidly. Particularly,
algorithm in [11] is to first estimate the possible GMPP accord-
the OD MPPT algorithm is employed to locate the vicinity of the
ing to the open-circuit voltage of the PV array and then use the
GMPP region, which facilitates the setting of initial values that
P&O-based MPPT algorithm to track the GMPP. The MPPT
will be imported to the PSO MPPT algorithm. After obtaining
algorithm in [11] has good dynamic tracking performances;
the initial values, the PSO MPPT algorithm will only need to
however, due to its algorithmic nature, this algorithm could be
find the GMPP within a very small search region, enabling it to
invalid for GMMP under complex PSCs. In [12]–[16], the re-
find the exact GMPP in a rapid manner. Therefore, the integra-
gions of all MPPs are first calculated to decrease the tracking
tion of the OD MPPT algorithm and PSO MPPT algorithm is
time, which however requires excessive information about the
capable of quickly and accurately tracking and identifying the
structure of PV array. These values are difficult to obtain or
GMPP of PV panels in diverse PSCs.
predict in real-world engineering practices.
The remainder of this paper is organized as follows. The out-
Furthermore, MPPT can be considered an optimization prob-
put characteristics of the PV arrays and mathematical modeling
lem which can be solved by using AI-based MPPT algorithms
under PSC are introduced in Section II. The OD-PSO MPPT
[17]–[26]. Popular AI-based MPPT algorithms used for MPPT
algorithm is proposed in Section III, followed by its operat-
include particle swarm optimization algorithm, firefly algorithm
ing principle. In Section IV, MPPT simulation results using
and ant colony optimization algorithm. Compared with the tradi-
the proposed OD-PSO MPPT and other AI-based algorithms
tional MPPT methods, the main advantage of AI-based MPPT
are presented, compared, and analyzed. Experimental results
algorithms is that these algorithms can find the GMPP under
are provided in Section V. Finally, conclusions are drawn in
PSCs without a global scan of P–V curve, which requires less
Section VI.
sampling points in the process and thus entails lower compu-
tational costs. The PSO algorithm has been widely used for
MPPT due to its simplicity in mathematical structure and im- II. CHARACTERISTICS OF PV ARRAY UNDER PSC
plementation [22]–[24]. In [23], the problems of nonconver- Suppose an M × N PV array is composed of M PV panels
gence and failure to capture the GMPP in the PSO algorithm connected in parallel and N PV panels connected in series to
have been pointed out, and a GMPPT method was proposed obtain high current and high voltage in an electric circuit, as
based on power closed-loop, which however could increase the shown in Fig. 1. A PV panel is composed of a number of PV
complexity of the control design. In [18], an improved firefly cells, which can be represented as an equivalent circuit, as shown
MPPT algorithm was proposed to increase the MPPT speed by in Fig. 2.
simplifying the movement rules of fireflies in the algorithm. In According to Fig. 2, the I–V characteristics of a PV panel can
recent years, the simulated annealing algorithm and ant colony be expressed by (1) [28], [29], where A is the ideal diode factor,
algorithm have also been proposed for the MPPT [25], [26] in k is Boltzmann’s constant, T is the temperature in Kelvin, q is
PV systems. In [36] and [37], improved Java MPPT algorithms the electron charge, Rs and Rsh are the equivalent series and
were proposed without algorithm-specific parameters. shunt resistances, and Isc is the saturation current of the diode.
According to the experimental results in [25] and [26], suit- V and I are the output voltage and current of PV array:
able initial values are very important for improving the tracking ⎧ ⎡   ⎤⎞ ⎫
speed of the AI-based MPPT algorithms. The determination of a ⎨ q V + IRs · nn ps ⎬
small region containing the GMPP, with which the initial values I = np Ig − np Isc exp ⎣ ⎦⎠ − 1
⎩ ns AkT ⎭
of AI-based MPPT algorithms can be assigned, is thus important
to increase the tracking speed [24], [28], [29]. Several strategies np V /ns + IRs
in finding this region are documented in [24], [28], and [29], − . (1)
Rsh
where however the detailed information of each PV panel, such
as the open-circuit voltage and short-circuit current, is needed. Under PSC, the shaded panels cannot produce power and
This may reduce the feasibility of implementing these algo- become a load, which may create hotspot heating effect and even
rithms into hardware, due to the necessity of preimplementation cause damage to the entire PV panel [28]. To solve the above
hardware testing. problem, a PV panel is normally connected in parallel to a bypass
Having well understood the drawbacks of these aforemen- diode, as shown in Fig. 1. Therefore, the shaded panels can be
tioned existing MPPT algorithms, in this paper, we propose a bypassed and then be protected by the antiparalleled diode under
novel overall distribution OD-PSO MPPT method, which does PSC, which results in the multiple peaks in P–V characteristic

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LI et al.: OVERALL DISTRIBUTION PSO MPPT ALGORITHM FOR PHOTOVOLTAIC SYSTEM UNDER PARTIAL SHADING 267

Fig. 3. PV array composed of three panels in series.

TABLE I Fig. 5. Small PV power generation system.
IRRADIANCES IN THIS STUDY

Optimizing the initial values using a variety of measures [25],

[26] can improve the performance of the AI-based MPPT al-
gorithms. In the following, an OD MPPT algorithm will be
proposed to shrink the search region of GMPP, which obtains
the initial particles for the AI-based MPPT algorithms. There-
fore, the two algorithms are able to complement each other and
achieve a better MPPT performance.

A. OD MPPT Algorithm
The OD algorithm is an intelligent algorithm that was first
proposed in 2012 [30]. The OD algorithm has been successfully
Fig. 4. P–V characteristic curves of the PV array under PSC.
applied to solve the short-term optimization dispatch problems
for hydrothermal power systems [30], [31]. In this paper, the OD
MPPT algorithm is employed to rapidly find the rough search
curve of PV array [8]. Furthermore, the existing results have
region around GMPP. The mathematical expression of the OD
shown that the multiple peaks in P–V characteristic are related to
MPPT algorithm is given in the following equation:
the PV panels connected in series in the PV array under PSCs [8].
⎧ j +1
Therefore, in this paper, a PV array composed of three panels in ⎨R = αRj
j +1
series is chosen as the testbed to validate the proposed OD-PSO d = mppt gbestj + Rj +1 Cauchyji +1
⎩ i
MPPT algorithm. Three cases with different solar irradiance of Cauchyji +1 = −γ tan (πr1 )
the PV array are illustrated in Fig. 3. The irradiances are shown
in Table I. Case III is used as a control group where the irradiance i = 1, 2, . . . N, Cauchy ∈ [−2, 2], α ∈ (0, 1). (2)
is identical for all solar panels. The P–V characteristics under
Term dji +1 is the position of the ith particle at the (j+1)th
these three cases, shown in Fig. 3, are simulated in PSIM, and
iteration, Rj is the Cauchy radius in jth iteration, α is the shrink-
the simulation results are shown in Fig. 4.
ing coefficient, Cauchyji +1 is the Cauchy distribution random
It is obvious that in Case I, PV array receives two different
number of particle i at the (j+1)th iteration, and γ is the scale
radiation intensities; the irradiance of the shaded PV panels is
parameter is a random number.
only 400 W/ m2 . There is a voltage difference between panel 1
According to the OD algorithm and (2), particles dji can be
and panel 2 (or panel 3), which will turn on the bypass diodes
set in a certain area around the GMPP directly due to Cauchy
of panel 2 and panel 3 [8]. Thus, there will be two MPPs on the
distribution. Furthermore, this region can reduce adaptively and
P–V characteristic of the PV array, as shown in Fig. 4. In this
the OD MPPT algorithm will end until the region is smaller than
case, the GMPP is located at GP1 . In Case II, three PV panels
ε (ε > 0).
of the PV array receive three different irradiances, which leads
To introduce the OD MPPT algorithm, a small PV power
to three MPPs on the P–V characteristic curve and the GMPP
generation system with a PV array and a buck converter is taken
is now located at GP2 , as shown in Fig. 4. In case III, PV array
as an example, which is shown in Fig. 5. In this experiment, we
works without any shading, so in Fig. 4 there is only one power
model the inverter as a resistive load, without using an actual
peak on the P–V characteristic curve, namely GP3 .
inverter to simplify the experimental setup and loosen the as-
It can be seen that both the number of the MPPs and the
sumptions. Modeling the inverter as a resistive load is to account
peak values of the P–V characteristic differ from case to case.
for the power transmitted into the dc/ac inverter, which can suf-
Therefore, it is very important to identify the GMPP for PV
ficiently reflect the mechanism of the inverter for the purpose of
systems under PSCs.
this study [26], [27]. For this PV power generation system, the
duty cycle d of the buck converter is chosen as the particle of
III. PRINCIPLE OF THE OD-PSO MPPT ALGORITHM
the OD MPPT algorithm. Term Rj Cauchy radius represents the
Although the AI-based MPPT algorithms can be used to accu- distribution region of the particles in the OD MPPT algorithm
rately capture the GMPP. They are sensitive to initial condition. at the jth iteration. Rj is between 0 and 1. The positions of

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268 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 66, NO. 1, JANUARY 2019

Fig. 6. P–V characteristic of the PV array.

Fig. 7. Cauchy distribution function diagram under different γ.

particles are updated by Rj , Cauchy and mppt gbestj . The po-

sitions of particle dji , Cauchy radius Rj , and the Cauchy dis-
tribution random number Cauchy of the OD MPPT algorithm
can be defined by (2). Term mppt gbestj means the existing
best position of particles in the OD MPPT algorithm within j
iterations. The best position of particles indicates that the fitness
value of the position is the maximum one among these particles.
The fitness function of the PV power generation system can be
expressed as follows:
 
P dji +1 = V I. (3)

Terms V and I are the output voltage and current of PV array,

respectively. In general, the P–V characteristic curve of PV array
and the relationship among the parameters in the OD MPPT
algorithm are depicted in Fig. 6.
The OD MPPT algorithm starts by initializing the duty cycles Fig. 8. Operating principle of the OD MPPT algorithm.
of the buck converter, which are noted as dji (i = 1, 2, . . . , N ).
The corresponding power at each duty cycle can be calculated
by (3). The maximum fitness value will be saved, and its cor- rule as Cauchy. The probability density ρ of Cauchy distribution
responding duty cycle is set as lbj est . According to the defini- is shown in Fig. 7.
tion of mppt gbestj , mppt gbestj needs to satisfy the following It can be seen that the probability is more concentrated toward
relation: to the mppt gbestj when γ is smaller and the probability of
    particles in Cauchy distribution is more dispersed when γ is
P mppt gbestj ≥ P lbk est (k = 1, 2, . . . , j) . (4) greater [30]. Therefore, the closer to the mppt gbestj , the higher
This generation of duty cycles will be updated to track the the probability density of particles [30]. In the algorithm, the
GMPP, and the updated duty cycles dji +1 (i = 1, 2, . . . , N ) can particles distributed near the mppt gbestj can be used to improve
be calculated by (2). The new duty cycles are distributed around the accuracy of GMPPT and particles far from the mppt gbestj
mppt gbestj within a region of radius R (R ∈ [0, 1]), which can help the OD MPPT algorithm avoid tracking the LMPPs.
follows the Cauchy distribution. R is reduced by a shrinking Therefore, in theory, the OD MPPT algorithm has the ability to
coefficient α. The above process is repeated until the radius find the GMPP.
R<ε (ε > 0) is satisfied. To better interpret the proposed OD MPPT algorithm, a non-
In the OD MPPT algorithm, Cauchy distribution, a continuous monotonic P–d curve with two MPPs is given as an example,
probability distribution, is selected to update the particles [30]. which is shown in Fig. 8, and the operating principle, i.e., the
The Cauchy distribution function can be expressed as [30] iteration steps, is given as follows.
First, let N = 3 for the OD MPPT algorithm. In general,
1 π
F (Cauchy) = arctan(Cauchy − x0 )/γ + . (5) GMPP will not occur at d = 0 or d = 1. Three initial parti-
π 2 cles are given as follows: x1 = 0.05, x2 = 0.5, x3 = 0.95. In
Term x0 is the position parameter used to define the distribu- Fig. 8, x1 , x2 , x3 are marked by a dot, triangle, and star, respec-
tion peak position, and γ is the scale parameter. tively. In simulation and experimentation, Cauchyji (i = 1, 2, 3)
Cauchy distribution has its own probability density function, is produced by (2). But now, in order to facilitate the description
which is given as (6) [30]. In this paper, x0 is chosen as 0: of the proposed algorithm, Cauchyji (i = 1, 2, 3) are replaced by
1 three fixed values, i.e., 0.03, −0.08, and 0.6, respectively. The
f (Cauchy; x0 , γ) =   2  . (6) initial value of Cauchy radius R1 is usually set as half of interval
πγ 1 + Cauchy−x
γ
0
of the initial particles. So, the initial value of R1 is chosen to be
((0.95 − 0.05)/ 2) = 0.45.
Because the position of particles dji in the OD MPPT algo- Iteration 1: The OD MPPT algorithm sends these three initial
rithm is a linear change of Cauchy, dji has the same distribution particles to the buck converter and the corresponding output

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LI et al.: OVERALL DISTRIBUTION PSO MPPT ALGORITHM FOR PHOTOVOLTAIC SYSTEM UNDER PARTIAL SHADING 269

Fig. 10. Operating principle of the OD MPPT algorithm.

radius [30]. The increased values of stagnation coefficient are

marked in different colors as shown in Fig. 9. Using Fig. 8(a)
as an example, the duty cycles d1i (i = 1, 2, 3) is updated by (2).
The particles generated at the new generation d2i (i = 1, 2, 3)
may be distributed as Fig. 10(a) and may also be distributed
as Fig. 10(b). In Fig. 10(a), the mppt gbest2 will change to x23 ,
then the Cauchy radius remains unchanged and d2i (i = 1, 2, 3)
will be updated by (2). If the distribution of the three particles
is shown as Fig. 10(b), the mppt gbest2 will not change to x2i .
Term mppt gbest2 remains the same as mppt gbest1 . The stag-
nation coefficient b subtracts 1 and d2i (i = 1, 2, 3) is updated
accordingly. If the stagnation coefficient decreases to 0, the
Fig. 9. Flow chart of the OD MPPT algorithm. Cauchy radius is calculated as R2 = 0.75R1 , and the stagna-
tion coefficient b will be set to its original value. If the stagnation
coefficient b does not decrease to 0, the Cauchy radius remains
power of PV array will be calculated. As shown in Fig. 8(a), x12
unchanged and d2i (i = 1, 2, 3) is updated according to (2). Stag-
is the best particle of the present particles. Term x12 is denoted
nation coefficient is used to find the best particles and ensure the
as lb1 est , and according to the definition in (4), lb1 est is also
location of GMPP can be found at a certain Cauchy radius. Nor-
mppt gbest1 .
mally, the stagnation coefficient is a positive integer, which can
Iteration 2: In accordance with the obtained mppt gbest1 ,
be set in the range from 3 to 5. A larger stagnation coefficient
particles of the next generation are generated by (2). Particles
leads to a larger number of iterations, which will deteriorate the
are distributed as shown Fig. 8(b). It is obvious that x23 is lb2 est .
fluctuations in the output power of the PV system. Therefore,
Comparing lb2 est with mppt gbest1 , it can be found that lb2 est is
there is also a tradeoff between the tracking speed and tracking
the best particles until now. Since P (lb2 est ) > P (mppt gbest1 ),
accuracy in the OD MPPT algorithm.
mppt gbest2 will be replaced by lb2 est and Cauchy radius Rj will
It should be noticed that, according to Rj +1 = αRj
decrease according to (2). If the shrinking coefficient α is set as
and dji +1 = mppt gbestj + Rj +1 Cauchy, Rj +1 Cauchy will
0.75 to meet the tracking performance, the Cauchy radius will
gradually reduce since α < 1, and the generated particles will
be R2 = 0.45 × 0.75 = 0.3375 in this iteration.
move closer to the obtained mppt_gbest in each iteration This
Iteration 3: Repeat the process in iteration 2, and generate
means dji +1 will decrease over iterations and the GMPPT speed
particles of the third generation, which are distributed as shown
will gradually slow down.
in Fig. 8(c). It is obvious that x32 is the best particle at itera-
From the above analysis, it is obvious that the OD MPPT
tion 3, so lb3 est is set as x32 . Since P (lb3 est ) > P (mppt gbest2 ),
algorithm can find the small region containing the GMPP rapidly
mppt gbest3 is replaced by lb3 est , the Cauchy radius will further
and do not need the information about the structure of PV array,
shrink to R3 = 0.3375 × 0.75.
such as open-circuit voltage and short-circuit currents of each
Iteration 4: The fourth-generation particles obtained by the
PV panel. This feature can solve the problem mentioned in
same process are shown as Fig. 8(d). From Fig. 8(d), it can be
the Introduction for the improved AI-based MPPT algorithms.
seen that x42 is the best particle in iteration 4. Therefore, lb4 est
Due to the tracking effectiveness and structural simplicity of the
is set as x42 . Since P (lb4 est ) < P (mppt gbest3 ), mppt gbest4
PSO MPPT algorithm, it is selected to be integrated with the
is the same as mppt gbest3 , the Cauchy radius now is R4 =
OD MPPT algorithm, which is branded as the OD-PSO MPPT
0.2531 × 0.75 < ε (ε = 0.2).
algorithm in this paper.
According to the OD MPPT algorithm, the mppt gbest4 at the
final iteration and other two particles will be considered as the
B. OD-PSO MPPT Algorithm
optimal particles and mppt gbest4 will be regarded the G1b est .
The flow chart of the OD MPPT algorithm is shown in Fig. 9. The PSO algorithm was proposed in 1995 by Kennedy and
In addition, in order to prevent the missing of GMPP, a stag- Eberhart [32]. Later, the PSO algorithm has been widely used in
nation coefficient b is added to the proposed OD MPPT algo- optimal control designs, and the PSO MPPT algorithm was first
rithm, which is used to define the shrinking time of Cauchy proposed in [28]. The mathematical expression of PSO MPPT

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270 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 66, NO. 1, JANUARY 2019

algorithm is given in the following equation:

 k +1    
vi = ωvik + c1 r2 Pb esti − xki + c2 r3 Gb est − xki
.
xki +1 = xki + vik +1
(7)
Term k is the iteration number, ω is the inertia weight, r2
and r3 are random numbers within [0, 1], and c1 and c2 are the
cognitive coefficient and social coefficient, respectively. Term
vik represents the offset vector of the particle i at the kth iteration
which is usually limited below a maximum vmax [28], and xki
represents the position vector of the particle i at the kth iteration.
In each iteration, the position and the offset of the particles are
updated by the personal best Pbesti position of the particle and
the global best Gbest position of the particle swarm, respectively.
The position and offset of the particles are updated as follows
[28]. From (7), it is obvious that the position of particles xki is
changed by the offset vik to move closer to the GMPP. The PSO
MPPT algorithm enables its particles to converge to the GMPP Fig. 11. Flow chart of the OD-PSO MPPT algorithm.
when Pbesti = Gbesti . In order to avoid the particles of the PSO
MPPT algorithm converging to an LMPP, the maximum offset
TABLE II
vmax is always restricted to a small value [5], [33], and according PARAMETERS FOR THE PV MODULES
to [5], vmax can be estimated by vmax = 1/ Voc , where Voc is
the open-circuit voltage of PV array. That is to say, the particle
approaches the GMPP at vmax or a slower speed, which decreases
the tracking speed of the PSO MPPT algorithm significantly.
Therefore, although the PSO MPPT algorithm has high accuracy
on tracking the GMPP [8], the tracking speed of the PSO MPPT
algorithm is not satisfactory. With the initial particles obtained
by the OD MPPT algorithm, the PSO MPPT algorithm can
further be used to track the GMPP quickly and accurately.
In the OD-PSO MPPT algorithm, the OD MPPT algorithm
is first used to rapidly obtain the particles, which are within 1) It can improve the tracking speed of MPPT compared to
a small region that contains the GMPP. The obtained particles the AI-based MPPT algorithm.
will be used as the initial particles for the PSO MPPT algo- 2) It can rapidly find the small region that contains the
rithm, and finally the GMPP will be captured by the PSO MPPT GMPP without the information about the structure of PV
algorithm. Since the GMPP of the PV array will change un- array, which demonstrates a higher accuracy in finding
der different irradiances, the OD-PSO MPPT algorithm needs GMPP.
to restart to track the new GMPP. In order to verify the dy-
namic performances of the OD-PSO MPPT algorithm, the cri- IV. SIMULATION RESULTS
terion for judging the extent of solar irradiance variation can be In order to validate the MPPT performance of the proposed
expressed as OD-PSO MPPT algorithm, the simulation platform is estab-
|Pn +1 − Pn | lished as depicted in Fig. 5 using PSIM and MATLAB. The
≥ δ. (8) duty cycle d of the buck converter is taken as the particle in
Pn
the proposed OD-PSO MPPT algorithm. The circuit parameters
Term Pn denotes the nth output power of the PV array, δ is the of buck converter are as follows: C1 = 50 μF, C2 = 22 μF,
threshold value, which is set to be 0.02 in this paper according L = 600 μH, R = 1.7 Ω, and the switching frequency is 20
to [5]. kHz. The parameters of the PV module are shown in Table II.
The flow chart of the OD-PSO MPPT algorithm is shown In the simulation, ε is set as 0.035, and γ is set as 0.1 for the
in Fig. 11. The flow chart of the OD MPPT algorithm is the OD MPPT algorithm, by referring to [30]. The initial number of
same as shown in Fig. 9. Further, the term jmax is used to set particles is 5, and the initial particles of OD-PSO MPPT algo-
the maximum iteration number of the PSO MPPT algorithm rithm are uniformly distributed within [0, 1], which are chosen
for eliminating the steady-state oscillation. Of course, too small as x1 = 0.1, x2 = 0.3, x3 = 0.5, x4 = 0.7, x5 = 0.9, and
jmax may also lead to accuracy problems. The choice of jmax jmax is 10 for the PSO MPPT algorithm.
requires a tradeoff between accuracy and suppression of steady- The parameters of the PSO MPPT algorithm are ω = 0.4,
state oscillations. c1 = 0.2, c2 = 2, and vmax = 0.01, to ensure that it converges
From the above analysis, it can be seen that the OD-PSO to either LMPPs or GMPP [32]. The selection of cognitive and
MPPT algorithm has the following advantages. social parameters is adopted and modified from [34]. According

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LI et al.: OVERALL DISTRIBUTION PSO MPPT ALGORITHM FOR PHOTOVOLTAIC SYSTEM UNDER PARTIAL SHADING 271

TABLE III
SIMULATION RESULTS OF MPPT

we implemented a threshold value of 5% to indicate that the

system has reached its steady state.
Fig. 12. Output waveforms of the PV system in Case I. (a) OD-PSO
In order to thoroughly compare the tracking performances
MPPT algorithm and the firefly MPPT algorithm in [18]. (b) OD-PSO of these three MPPT algorithms, a variable Pave is introduced
MPPT algorithm and P&O-PSO MPPT algorithm in [24]. to represent the average output power of the PV system with
the MPPT algorithm during time duration T. Pave can be
to [5], the sampling time of V and I needs to be longer than the expressed as
transient response time of the PV system. The transient response T Num
time means the time duration that the converter stabilizes after 0 pdt pi Δt
Pave = = i=1 . (9)
a new duty cycle is implemented, and the transient response T NumΔt
time is determined by the main circuit parameters. In this paper, Term pi is the instantaneous power, Δt is a constant sampling
the transient response time is within 1 ms, and therefore the time, and Num is the total sampling number. Term T, the tracking
sampling time is set to be 5 ms. time, is defined as the duration from the starting of the MPPT
In order to compare the tracking performance of the pro- algorithm to the moment when the GMPP is captured.
posed OD-PSO MPPT algorithm with other AI-based MPPT Further, the tracking performances of these three MPPT al-
algorithms, the firefly MPPT algorithm in [18], denoted as the gorithms can also be described by MPPT efficiency η, which
firefly MPPT algorithm in this paper, and the MPPT algorithm can be calculated as
based on P&O combined with PSO in [24], denoted as the
P1
P&O-PSO MPPT algorithm in this paper, are implemented for η= × 100%. (10)
comparison in this paper. The simulation results with the pro- P2
posed OD-PSO MPPT algorithm, the firefly MPPT algorithm, Term P1 means the output power is in the stable mode of
and the P&O-PSO MPPT algorithm under different PSCs are the PV system under the OD-PSO MPPT algorithm. P2 is the
carried out as follows. theoretical maximum output power of the PV system under a
Case I: The irradiance of PV panels is given in Table I. The certain PSC.
P–V characteristic curve is shown in Fig. 4. From Fig. 4, it can Since the simulation data in PSIM can be exported, Pave
be seen that the output voltage of the PV array for Case I at GP1 and the MPPT efficiency can be calculated using (9) and (10),
is 49.86 V and the power of the PV array is 159.94 W. respectively. Pave and the MPPT efficiency with the proposed
The simulation results for Case I are shown in Fig. 12. In OD-PSO MPPT algorithm, the firefly MPPT algorithm, and the
Fig. 12(a), the output waveforms of PV system using the pro- P&O-PSO MPPT algorithm can also be obtained. According to
posed OD-PSO MPPT algorithm and the firefly MPPT algo- the simulation results, Pave is 134.17, 129.4, and 134 W, while
rithm are shown. With the proposed OD-PSO MPPT algorithm, the MPPT efficiency is 99.82%, 99.75%, and 99.80% using
it takes 0.210 s, eight iterations to successfully track the GMPP. the three MPPT methods, respectively, as given in Table III.
Particularly, five iterations are used for the OD MPPT algo- It is obvious that the proposed OD-PSO MPPT algorithm has
rithm and three iterations for the PSO MPPT algorithm. With the best overall performance considering Pave and the tracking
the firefly MPPT algorithm, it takes 0.206 s, eight iterations. speed.
In Fig. 12(b), the output waveforms of PV system using the Case II: The irradiance of PV panels is given in Table I. The
proposed OD-PSO MPPT algorithm and the P&O-PSO MPPT P–V characteristic curve is shown in Fig. 4. From Fig. 4, the
algorithm are demonstrated. It takes 0.286 s, 15 iterations, to voltage at GP2 is 33.85 V and the maximum power is 131.71 W.
acquire the GMPP with the P&O-PSO MPPT algorithm. There- The simulation results for Case II are shown in Fig. 13. In
fore, the proposed OD-PSO MPPT algorithm has almost the Fig. 13(a), the output waveforms of PV system using the pro-
same tracking speed with the firefly MPPT algorithm and has posed OD-PSO MPPT algorithm and the firefly MPPT algo-
the better MPPT tracking speed comparing to the P&O-PSO rithm are shown. With the proposed OD-PSO MPPT algorithm,
MPPT algorithm. it takes 0.185 s, seven iterations, for acquiring the GMPP,
Here, the tracking time is defined as the time from 0 to the wherein five iterations are used for the OD MPPT algorithm
moment when the fluctuation of P is less than 5%. In this paper, and two iterations for the PSO MPPT algorithm. With the firefly

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272 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 66, NO. 1, JANUARY 2019

Fig. 14. Dynamic waveforms of the PV system using the OD-PSO

MPPT algorithm.

Fig. 13. Output waveforms of the PV system in Case II. (a) OD-PSO
MPPT algorithm and the firefly MPPT algorithm in [18]. (b) OD-PSO
MPPT algorithm and P&O-PSO MPPT algorithm in [24].

MPPT algorithm, it takes 0.206 s, eight iterations. In Fig. 13(b),

the output waveforms of PV system using the proposed OD-
PSO MPPT algorithm and the P&O-PSO MPPT algorithm are
shown. It takes 0.266 s, 13 iterations, for successfully tracking
the GMPP with the P&O-PSO MPPT algorithm. Fig. 15. Experimental platform.
Additionally, according to the simulation results in PSIM,
Pave is 114.12, 108.74, and 113.9 W, while the MPPT effi-
TABLE IV
ciency is 99.83%, 99.73%, and 99.82%, using the proposed the MAIN EXPERIMENTAL DEVICES
OD-PSO MPPT algorithm, the firefly MPPT algorithm, and the
P&O-PSO MPPT algorithm, respectively, which is given in Ta-
ble III. It is obvious that the proposed OD-PSO MPPT algorithm
also has the best overall performance with the highest Pave and
fastest tracking speed in Case II. Furthermore, the power fluc-
tuation with the proposed OD-PSO MPPT algorithm is much
lower than that with the firefly MPPT algorithm and the P&O-
PSO MPPT algorithm, as shown in Fig. 13. Therefore, the PV microprocessor, MC56F8245. In this paper, the PV array is
system has a better dynamic performance with a higher output replaced by a PV simulator for higher controllability, which can
power. edit the P–V curve and the I–V curve for Case I and Case II. As
Please note that the proposed OD-PSO MPPT method is able mentioned before, the inverter is replaced by a resistive load in
to rapidly and accurately track and find the GMPP in various this experiment. The main devices in experiment are provided
PSCs, regardless of the GMPP position. In this study, without in Table IV. In the experiment, ε is set as 0.025, and γ is set
the loss of generality, we have implemented two case studies to as 0.1 for the OD MPPT algorithm. The parameters of the PSO
test the functionality of the proposed method. The GMPPs in MPPT algorithm are ω = 0.4, c1 = 0.2, c2 = 2, jmax = 10,
the case studies are designed to locate at the rightmost peak and and vmax = 0.035. The experimental results for Case I and Case
the middle peak in Case I and Case II, respectively. II are given in Figs. 16 and 17, respectively.
The dynamic waveforms of the PV system using the proposed It is noteworthy that a longer sampling time in the experiment
OD-PSO MPPT algorithm are given in Fig. 14. It is obvious that is chosen due to the slow response speed of PV simulator used
the proposed algorithm can accurately capture the GMPP that in our laboratory and the time cost for the buck converter and
varies with different solar irradiances. PV simulator to reach harmonious synergy. The superiority of
the proposed OD-PSO MPPT algorithm over established ones
in terms of a faster tracking speed and more accurate GMPP
V. EXPERIMENTAL RESULTS location can be noticed in the simulation results. The experiment
In order to verify the feasibility and effectiveness of the OD- is for the purpose of verifying the feasibility of the proposed
PSO MPPT algorithm, an experiment is also conducted. The method being implemented into hardware.
experiment platform is built, as shown in Fig. 15. The parameters Case I: Fig. 16 shows the output power and the current and
of the circuit in the experiment are the same as those in the voltage curves of the PV system in Case I using the proposed
simulation, and the sampling time of V and I is 0.075 s. The OD-PSO MPPT algorithm and using the firefly MPPT algorithm
OD-PSO MPPT algorithm is implemented into a single chip and the P&O-PSO MPPT algorithm, respectively.

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LI et al.: OVERALL DISTRIBUTION PSO MPPT ALGORITHM FOR PHOTOVOLTAIC SYSTEM UNDER PARTIAL SHADING 273

Fig. 16. Output waveforms of the PV system in Case I. (a) OD-PSO MPPT algorithm. (b) Firefly MPPT algorithm. (c) P&O-PSO MPPT algorithm.

Fig. 17. Output waveforms of the PV system in Case II. (a) OD-PSO MPPT algorithm. (b) Firefly MPPT algorithm. (c) P&O-PSO MPPT algorithm.

To compare the experimental results, Pave , MPPT efficiency, TABLE V

EXPERIMENTAL RESULTS OF THREE MPPT ALGORITHMS
and the tracking time are obtained from the experimental wave-
forms and the experimental data are exported from an oscillo-
scope. From Fig. 16, it takes 1.64 s, four iterations to reach the
GMPP in Case I using the proposed OD-PSO MPPT algorithm,
wherein three iterations using the OD MPPT algorithm. It takes
2.56 s, 6 iterations using the firefly MPPT algorithm and 4.53 s,
12 iterations using the P&O-PSO MPPT algorithm in this case,
respectively. It should be noticed that, in addition to the sam-
pling time and the number of particles, the time consumption for
each iteration and the tracking time in experiment are actually
also influenced by the speed of the employed digital controller
and the program statements written for the MPPT algorithms. the P&O-PSO MPPT algorithm can be calculated by (8). Pave in
Using the same comparison standards as in the simulation, Case II with the OD-PSO MPPT algorithm, the firefly MPPT al-
Pave of the PV system with the proposed OD-PSO MPPT al- gorithm, and the P&O-PSO MPPT algorithm is 110.85, 106.58,
gorithm, the firefly MPPT algorithm, and the P&O-PSO MPPT and 111.63 W, respectively. Power fluctuation of the OD-PSO
algorithm can be obtained by (8). Pave in Case I with the OD- MPPT algorithm is noticeably smaller than that with the firefly
PSO MPPT, the firefly MPPT algorithm, and the P&O-PSO MPPT algorithm and the P&O-PSO MPPT algorithm, which
MPPT algorithm is 112.58, 126.07, and 133.08 W, respectively. agrees with simulation results.
Case II: Fig. 17 shows the output power and the current and The numerical results for the experiment on Pave , the num-
voltage curves of the PV system in Case II using the proposed ber of iterations, and tracking time are presented in Table V. It
OD-PSO MPPT algorithm and using the firefly MPPT algorithm can be found that the experimental results are consistent with
and the P&O-PSO MPPT algorithm, respectively. the simulation results. With the proposed OD-PSO MPPT al-
From Fig. 17, it can be seen that it takes 2.08 s, four iterations gorithm, the PV system has a faster GMPP tracking speed, a
to reach the GMPP in Case II using the proposed OD-PSO higher output power, and better dynamic performances.
MPPT algorithm, whereas three iterations using the OD MPPT It should be noticed that according to Figs. 16 and 17, the
algorithm and one iteration using the PSO MPPT algorithm. It tracking times are all longer than 2 s in the experiment with
takes 2.21 s, five iterations using the firefly MPPT algorithm and all three MPPT methods. This is caused by the fact that the
2.74 s, seven iterations using the P&O-PSO MPPT algorithm in sampling time is set to be 0.075 s in the experiment, which
Case II, respectively. however is 0.005 s in simulation. Normally, the tracking time
Average power Pave of the PV system with the proposed in Figs. 16 and 17 can satisfy most of the requirements in prac-
OD-PSO MPPT algorithm, the firefly MPPT algorithm, and tical applications where the change rate of solar irradiance is

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274 IEEE TRANSACTIONS ON INDUSTRIAL ELECTRONICS, VOL. 66, NO. 1, JANUARY 2019

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LI et al.: OVERALL DISTRIBUTION PSO MPPT ALGORITHM FOR PHOTOVOLTAIC SYSTEM UNDER PARTIAL SHADING 275

[30] L. X. Li and B. H. Yu, “Research on short-term scheduling of hybro- Wenzhe Su was born in Shanxi, China, in 1993.
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91–97. of Electrical Engineering, Beijing Jiaotong Uni-
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conditions,” IEEE J. Photovolt. vol. 7, no. 2, pp. 624–639, Mar. 2017. Jinhu Lü (M’03–SM’06–F’13) received the
[35] Overall Efficiency of Grid Connected Photovoltaic Inverters, European Ph.D. degree in applied mathematics from the
Standard EN 50530, Apr. 2010. Academy of Mathematics and Systems Science,
[36] N. Kumar, I. Hussain, B. Singh, and B. Panigrahi, “Rapid MPPT for Chinese Academy of Sciences, Beijing, China,
uniformly and partial shaded PV system by using JayaDE algorithm in in 2002.
highly fluctuating atmospheric conditions,” IEEE Trans. Ind. Informat., He is currently a Professor with the Academy
vol. 13, no. 5, pp. 2406–2416, May 2017. of Mathematics and Systems Science, Chinese
[37] C. Huang, L. Wang, R. S. C. Yeung, Z. Zhang, H. S. H. Chung, and A. Academy of Sciences, Beijing, China. From
Bensoussan, “A prediction model guided Jaya algorithm for the PV system 2005 to 2006, he was a Visiting Fellow with
maximum power point tracking,” IEEE Trans. Sustain. Energy, vol. 9, Princeton University, Princeton, NJ, USA. He
no. 1, pp. 45–55, Jan. 2018. is the author of two research monographs and
[38] Fairchildsemi (2013, Feb.), FDB075N15A_datasheet, Alldatasheet. [On- more than 100 international journal papers published in the fields of
line]. Available: http://pdf1.alldatasheet.com/datasheet-pdf/view/657966/ complex networks and complex systems, nonlinear circuits and systems,
FAIRCHILD/FDB075N15A_F085.html with more than 5700 SCI citations and h-index 38, including 20 papers
with more than 100 SCI citations. He is also a holder of two authorized
patents.
Prof. Lü is currently serving as the Chair of Technical Committee on
Neural Systems and Application and the Secretary of Technical Commit-
tee on Nonlinear Circuits and Systems in the IEEE Circuits and Systems
Society. He has served and is serving as an Editor in various ranks
Hong Li (S’07–M’09–S’18) received the B.Sc. for 11 SCI journals including the IEEE TRANSACTIONS ON CIRCUITS AND
degree in electrical engineering from Taiyuan SYSTEMS—I: REGULAR PAPERS, IEEE TRANSACTIONS ON CIRCUITS AND
University of Technology, Taiyuan, China, in SYSTEMS—II: BRIEF PAPERS, IEEE TRANSACTIONS ON NEURAL NETWORKS,
2002, the M.Sc. degree in electrical engineer- IEEE TRANSACTIONS ON INDUSTRIAL INFORMATICS, PLoS Computational
ing from South China University of Technology, Biology, the International Journal of Bifurcation and Chaos, and the
Guangzhou, China, in 2005, and the Ph.D. de- Asian Journal of Control. He was the recipient of the National Natural
gree in electrical engineering from Fernuniversitt Science Award from the Chinese Government in 2008 and 2012, the
in Hagen, Germany, in 2009. 9th Guanghua Engineering Science and Technology Award from the
She is currently a Professor with the Electrical Chinese Academy of Engineering in 2012, the 11th Science and Tech-
Engineering School, Beijing Jiaotong University, nology Award for Youth of China, and the Australian Research Council
Beijing, China. She has published one book, 30 Future Fellowships Award in 2009.He also received the National Natural
journal papers, and 39 conference papers. She has also applied for 20 Science Fund for Distinguished Young Scholars and 100 Talents Pro-
patents. Her research interests include nonlinear modeling, analysis and gram from the Chinese Academy of Sciences.
its applications, EMI suppressing methods for power electronic systems,
and wide band gap power devices and applications.
Dr. Li is an Associate Editor of the IEEE TRANSACTIONS ON INDUSTRIAL Xinghuo Yu (M’92–SM’98–F’08) received the
ELECTRONICS, the Associate Editor of the Chinese Journal of Electrical B.Eng. and M.Eng. degrees in electrical and
Engineering, and the Vice Chairman of Electromagnetic Compatibility electronic engineering from the University of Sci-
Specialized Committee of the China Power Supply Society. ence and Technology of China, Hefei, China,
in 1982 and 1984, respectively, and the Ph.D.
degree in control science and engineering from
Southeast University, Nanjing, China, in 1988.
He is an Associate Deputy Vice Chancellor
and a Distinguished Professor of RMIT Univer-
Duo Yang was born in Hebei, China, in 1991.
sity, Melbourne, VIC, Australia. His research in-
She received the M.Sc. degree in electrical
terests include control systems, complex and in-
engineering from Beijing Jiaotong University,
telligent systems, and smart grids.
Beijing, China, in 2017. Prof. Yu is the President of IEEE Industrial Electronics Society for
She is currently working with the China
2018 and 2019. He was the recipient of a number of awards and hon-
Academy of Railway Sciences Corporation Lim-
ors for his contributions, including the 2013 Dr.-Ing. Eugene Mittelmann
ited, Beijing, China. Her research interests in-
Achievement Award of IEEE Industrial Electronics Society and the 2018
clude power electronic technology in power sys-
M. A. Sargent Medal of Engineers Australia. He was named a Highly
tems and renewable energies.
Cited Researcher by Clarivate Analytics (formerly Thomson Reuters) in
2015, 2016, and 2017.

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